1. Jane Lee, Pre Award Administrator Sarah Lawrence, Pre Award Administrator OVPR Overview of Sponsored Programs

2. Agenda OSP Mission & Purpose About Sponsored Programs Pre-Award/Contracts Administration –Introduction –Budgeting Overview –Proposal Submission –Award –Negotiation Post-Award Administration –Introduction & Services –Cost Principles –Compliance Issues –Project Closeout Research Education

3. OSP Mission & Purpose  To provide the best service possible to the Virginia Tech faculty and staff in their pursuit and administration of external funding.  OSP provides full service throughout the lifecycle of a project, from preliminary review to award closeout.

4. VT Sponsored Programs Facts:  68 Employees  Both Pre and Post Award within our office FY 2010 Proposals Submitted2,944 Amount Requested $1,465,383,672 Awards Received2,516 Amount Awarded $312,372,157 Research Expenditures $226,129,280 FY 09 Statistics

5. Virginia Tech Research Portfolio and Federal Agency Funding Breakdown FY2011 Sponsored Program Expenditures

6. Proposal Metrics

7. Pre Award Responsibilities Assistance with budgeting Review & Submission of all proposals Negotiations of grant awards Establishment of grant awards All external proposals submitted by Virginia Tech PIs must be submitted through the OSP

8. Pre-Award Process Find Funding Send RFP to OSP Budget approved by OSP Completed package & internal forms submitted to OSP OSP Submits Proposal Pre- Award receives award Pre-Award Negotiates and signs grant OSP sends PAN to PI Work Begins Contracts Team Negotiates and signs contracts

9. What you need to create a Budget The RFP or solicitation Proposal submission deadline Proposal type: research, instruction, extension Start and End dates Full names of personnel on project GRA step level and Post Doc annual salary Description of equipment and supplies Identification and paperwork for subcontractor or consultant Identification of contractual services Justification for reduced indirect

10. OSP Forms http://www.osp.vt.edu/formsandpolicies.html

11. Proposal Submission Pre-award Review all internal approval forms Review completed application and check for errors Work with PI to correct errors before submission Submit to sponsor if electronic submission Submit to processor if hard copies or email submission Work with PI if errors arise after submission Submission Deadlines: Administrative documents - by 9:00 a.m. the day before Final technical doc - by 9:00 a.m. the day of the deadline See the full policy- http://www.osp.vt.edu/policies/osp-10-01- guidelines-for-timely-proposal-submission.pdf http://www.osp.vt.edu/policies/osp-10-01- guidelines-for-timely-proposal-submission.pdf

12. PI Responsibility Complete and obtain signatures for the SPAF Complete and obtain signatures for any additional required internal forms (Form A, B or C) Complete sponsor application and forms Send pre-award administrator SPAF Budgets and other required docs excluding electronically submitted technical narratives Send pre-award admin technical proposal and final proposal by 9 am on the deadline day Be available by email or phone during the submission process in case questions or errors arive Make any necessary corrections to errors as they arise

13. Types of Agreements Grant Financial assistance For public good – not to be restricted for commercial or internal use Federal Grants use standard federal assistance terms Contract Procurement of research services Specific obligations and detailed terms & conditions Federal Contracts use Federal Acquisition Regulations (FARs) Cooperative Agreement Sponsor and VT cooperate on a specific SoW with both parties assigned specific responsibilities Specific obligations and usually detailed terms Federal Cooperative Agreements use federal assistance terms

14. Award Negotiation OSP must review for: Type of Award (cost reimbursable or fixed price) Budget Limitations / Restrictions Invoice Requirements Technical Reporting Requirements Export Control Restrictions Unacceptable Terms that must be negotiated: Laws of another state or country Indemnification (against State Law to accept) Intellectual Property Rights Publication Rights

15. Post-Award Administration Organized by Sponsor http://www.osp.vt.edu/contactus.html Who is my Post Award Administrator? http://www.osp.vt.edu/contactus.html

16. Post Award Responsibilities:  Review award set up  Sponsor Terms and Conditions  Process amendments on grants and contracts  Review no-cost time extensions  Monitor, review, and approve expenditures  Prepare internal budget revisions  Submit invoices and financial reports timely  Accounts Receivable management  Issue and monitor subawards  Project closeout FY 09 Statistics

17. PI’s Responsibilities  Provide overall project management to ensure compliance  Manage the project budget  Request no-cost time extensions through OSP  Responsible for all expenditure transactions  Certify time & effort  Submit technical progress reports timely  Ensure grant or contract requirements are fulfilled

18. Cost Principles  Costs must be:  Reasonable and necessary for the performance of the sponsored program  Allocable and verifiable  Allowable under regulations  Consistent  Within the timeframe of the project

19. Major Compliance Issues Cost Transfers – moving overages from one federal project to another Charging administrative costs to federally funded projects Effort Certification – retroactive PAR certification

20. Non-Financial Compliance Export Control – VT must ensure it is in compliance with export control and trade sanctions http://www.oesrc.researchcompliance.vt.edu http://www.oesrc.researchcompliance.vt.edu Research involving human subjects requires approval form IRB Research involving animals requires IACUC approval

21. What are the risks of noncompliance? 2009 $1.7M Duke – Improper Admin & Clerical Costs 2008 $7.6M Yale – Effort Reporting, Improper Cost Transfers 2006 $2.5M Univ. Connecticut – Service Center Billing Rates 2005 $4.4M Cornell – Grant funds paid to Non-Research personnel 2005 $6.5M Mayo Clinic – Improper Cost Transfers 2005 $11.5M Florida International – Improper Cost Transfers 2004 $2.6M Harvard - Grants billed for Unrelated Salaries 2003 $5.5M Northwestern – Faculty Effort Reporting

22. Project Completion & Close-Out 60 Day Close Out Letter-Automated System OSP/Department Communication Title to equipment Reporting: SF 425, DD882, Etc. Final report = Final payments

23. Contact Information To find the funding opportunities at VT site: http://www.research.vt.edu/funding/ou/ Important Points of Contact: Website: www.osp.vt.eduwww.osp.vt.edu Phone: 540-231-5281/ Fax: 540-231-3599 John Rudd, assistant VP for Sponsored Programs Admin Lauren Magruder, Director of Pre-Award Kim Linkous, Director of Post-Award Kristen Mittelman, Director of Contracts Team 23

24. To Add Delegate in Cayuse 424 To Add Delegate 1.Log into Cayuse 2.Select Professional Profile 3.Search for you – professional profile screen displays 4.Select the Permission icon (top of the right corner) 5.Add user/group 6.Check the box under ‘Write’ – will give this user the ability to update the PI’s professional Profile and add themselves as a Delegate 7.Sign out To Be a Delegate (Admins) 1.Log into Cayuse 2.Select Professional Profile 3.Search for the needed PI – enter their name and select the PI 4.Click ‘Routing Profile button – at the bottom 5.Click Add icon – green plus sign 6.Search for your name and click ‘Add Delegates’ Box Delegates can update the professional profile of the PI and approve a proposal in Cayuse if needed