1. Missouri S&T Office of Sponsored Programs (OSP) Department-Level Training Overview of OSP Procedures March 06, 2008

2. Introductions and Topical Overview OSP Mission The OSP Balancing Act Award Lifecycle Pre Award Team Functions Post Award Team Functions Discussion

3. OSP Mission Enhance and facilitate University research and external funding by providing services, in a timely and professional manner, to all persons involved with sponsored program activities.

4. The OSP Balancing Act Office of Sponsored Programs Federal Laws, Circulars, and Agency Guidelines State Laws and Regulations UM Collected Rules & Regulations, and Business Policies Missouri S&T Senior Leadership Missouri S&T Faculty and Support Staff Technology Transfer Industry

5. Award Lifecycle Proposal Development 2 Org Review & Submit to Sponsor 3 Negotiation & Award 4 Manage Award (Technical & Admin) 5 Award Closeout 6 Publications, Inventions, & Tech Transfer 7 Concept 1

6. Pre Award Team Concept Proposal Development Organizational Review & Submission to Sponsor Negotiation & Award *********REMINDER********* Inform OSP as soon as you know that you are submitting a proposal. Proposal along with PSRS must be submitted to OSP 24 hours prior to submission due date.

7. 1.Concept Responsible PartyActivity PI  Search for opportunities  Notify DEPT and OSP via email of PI intent to submit proposal  If required by Sponsor, request assistance in completion of a non-disclosure agreement (NDA) from OSP, using a UM- approved Mutual NDA Agreement or equivalent Department  Assist PI in searching for opportunities OSP Pre Award Team  Negotiate and process non-disclosure agreements (NDA) with industry

8. 2.Proposal Development Responsible Party Activity PI  Provide OSP with digital or paper copy of white papers provided to potential Sponsors  Develop technical and budget proposal in accordance with Sponsor, UM System, and Missouri S&T guidelines; to minimize errors, PI should use one or more budget templates developed by OSP  If Sponsor requires a per-unit price budget, PI is required to provide OSP both a completed Unitized Budget and a completed standard budget, ideally using one or more budget templates developed by OSP  Verify adequate space and research staff availability  Provide DEPT with completed PeopleSoft Proposal Worksheet (DEPT will input proposal into PeopleSoft)

9. 2. Proposal Development Responsible Party Activity PI cont.  Per UM Policy 203 (F&A Cost Recovery and Missouri S&T Policy Memorandum III-20 (Cost Sharing Policy), complete and route  If proposal includes a potential subcontractor/subrecipient, proposal must include the following: Subcontractor letter of intent Scope of work and budget F&A rate agreement or equivalent  Develop individual subcontracting plan if required by Sponsor; contact Diane Brown at (573) 341-4135 or email browndm@mst.edu

10. 2.Proposal Development Responsible Party Activity Department  Input proposal into PeopleSoft to generate a Proposal Signature Routing Sheet (PSRS)  Assist PI in compiling and submitting the following materials to OSP (digital or paper):  Technical proposal  Budget proposal spreadsheets  All other Sponsor-required forms  Subcontractor documentation  Missouri S&T OSP Request for University Contribution (F&A-related/Cost Share),

11. 2. Proposal Development Responsible Party Activity OSP Pre Award Team  Assist PI and DEPT in proposal development efforts (questions related to PeopleSoft data entry, budgets, Sponsor guidelines and administrative clarifications)  Complete and Sponsor-required Representations & Certifications  Provide PI with export control requirements and guidelines Typically related to publication or restrictions on persons allowed to work on or have access to information pertaining to project.  Assist PI in developing individual subcontracting plan

12. 3.Organization Review & Submission to Sponsor Responsible Party Activity PI  Secure regulatory approvals & training  Ensure compliance with Sponsor guidelines and UM policy Department  Route PSRS thru PI, DEPT, and onto OSP (to be done before proposal is submitted to Sponsor —ONLY OSP is authorized to submit proposals.)

13. 3.Organization Review & Submission to Sponsor Responsible Party Activity OSP Pre Award Team  Review for compliance with Sponsor guidelines, Federal Circulars and/or Federal Acquisition Regulations, UM policy and Missouri S&T policy  Prepare University endorsement letter for paper and/or digital proposals  Mail proposal or submit proposal digitally to Sponsor  Maintain contact relationship with Sponsor in relationship to proposal OTCED  Review IP provisions of proposals associated with industry or other non-governmental organizations

14. 4.Negotiation & Award Responsible Party Activity PI  Negotiate technical matters with Sponsor, informing OSP of status  Revise budget at Sponsor request; communicate changes to OSP  Notify Co-PI's of award account  Request Pre Award Spending Chartfield, if allowable and necessary (grant awards only) Department  Approval PI Request for Pre Award Spending Chartfield and forward request to OSP (grant awards only)

15. 4.Negotiation & Award Responsible Party Activity OSP Pre Award Team  Approve and Set up Pre Award Spending Chartfield (grant awards only)  Notify PI and DEPT when an award is received  Negotiate terms & conditions with Sponsor, informing PI and DEPT of status  Route Sponsor-proposed contract to UM General Counsel for legal review  Route Sponsor-proposed contract to OTCED for IP language review and approval  Route final proposed contract to PI for review and concurrence before presentation to VPR for approval

16. 4.Negotiation & Award Responsible Party Activity OSP Pre Award Team Cont.  Formally accept award and notify PI and DEPT  Initiate subcontract/subrecipient efforts and negotiations (Missouri S&T as Prime/Missouri S&T as Sub)  Negotiate and execute contract agreements, using UM-approved contract agreements, or agreements proposed by third parties  Pre Award Team – Post Award Team hand-off  Document digitization and Pre-Award Checklist OTCED  Review and approve or modify IP provisions contained in Sponsor-proposed contract that is provided by OSP Pre Award Team

17. Post Award Team Management of Award Monitor Terms and Condition of Contract to Ensure Compliance Award Closeout

18. 5.Management of Award (Tech, Admin, & Finance) Responsible Party Activity PI  Approve expenses  Provide Sponsor with technical reports; carbon copy to OSP required  Initiate the following requests thru DEPT and send to OSP at andrews@mst.edu: andrews@mst.edu  Change of institution  Change of PI and/or Shared Credit  Time Extension  Using OSP Post Award Multi-Use Form, submit request through DEPT to OSP requests for:  decrease in Award by Sponsor  early termination  transfer between business units Send thru DEPT onto OSP at research@mst.eduresearch@mst.edu

19. 5.Management of Award (Tech, Admin, & Finance) Responsible Party Activity PI cont.  Manage and ensure accuracy of Effort Verification Reports (EVR)  Manage and ensure accuracy of payroll associated with award  Manage and ensure cost share associated with award  Maintain compliance certifications e.g. IRB  Approve subcontractor invoices provided by DEPT and/or OSP  Monitor subcontractor progress  Initiate invention disclosure form during research, if necessary, to OTCED

20. 5.Management of Award (Tech, Admin, & Finance) Responsible Party Activity Department  Process the following requests: o Change of institution o Change of PI and/or shared credit o Time extension Send completed form to OSP at andrews@mst.eduandrews@mst.edu  Approve and process Post Award Multi-Use Form; Send completed form to research@mst.eduresearch@mst.edu  Process payroll, other expenses, & cost share associated with award

21. 5.Management of Award (Tech, Admin, & Finance) Responsible Party Activity OSP Post Award Team  Pre Award Team – Post Award Team hand-off  Chartfield String setup (see attachment)  Process PI and/or DEPT-initiated requests for: change of institution change of PI and/or shared credit time extension decrease in award by Sponsor early termination request for re-budget transfer between business units  Process payment to subcontractors/subrecipients  Monitor Compliance Monitor expenses for reasonableness, allowability, and allocability Monitor terms and conditions for contract compliance Monitor tech/progress reports

22. 5.Management of Award (Tech, Admin, & Finance) Responsible Party Activity OSP Post Award Team cont.  Monitor cost share  Generate invoices/collect payments/process electronic draws  Provide required patent and equipment reports, etc.  Provide required financial reports OTCED  Review and track invention disclosure  Report invention disclosure to Sponsor

23. 6.Award Closeout Responsible Party Activity PI  Ensure all expenses have been posted, in compliance with regulations and terms of contract and project is not overspent  Ensure cost share is complete and is recorded within performance availability  Ensure all deliverables are have been received from subcontractors/subrecipients  Provide OSP with first three pages of each progress report, as well as provide first three pages (which should include an abstract) of final technical report that has been accepted by Sponsor  Initiate invention disclosure form to OTCED Department  Process Personnel Action Form (PAF) to move salary and benefits  Work with PI and OSP to close account

24. 6.Award Closeout Responsible Party Activity OSP Post Award Team  Send out end date letters (30 to 60 days prior to project end date)  Ensure subcontractors are paid in full  Ensure match is met  Work with PI and DEPT to ensure project is not overspent  Closeout reporting  Ensure project milestones are complete and project is closed out in PSGM OTCED  Review and track invention disclosure  Report invention disclosure to Sponsor

25. 7.Publications, Inventions, and Technology Transfer Responsible Party Activity PI  If applicable, support development of patent application with OTCED  Submit technical proposal to Research Repository (highly encouraged) Department None

26. 7.Publications, Inventions, and Technology Transfer Responsible Party Activity OTCED  Conduct patent viability analysis and inform PI of findings  Patent application decision  Development of patent application (shared w/ PI)  Submission of patent application  Assignment of IP rights to inventor(s) if Missouri S&T has no intent to pursue  Identification of and negotiation with potential IP licensees  Management and oversight of license income to Missouri S&T, DEPT, and PI  Technology commercialization guidance to entrepreneurial-minded PIs

27. Discussion