Sponsored Program Services. Ken Sandel Senior Director, Sponsored Program Services Date: August 18, 2016

Transcription

1 Sponsored Program Services Ken Sandel Senior Director, Sponsored Program Services Date: August 18,

2 SPONSORED RESEARCH AWARDS Research awards $403M: RECORD $450 Sponsored Research Awards system-wide excluding ARRA $400 $396 $389 $401 $403 Millions $350 $300 $250 $261 $301 $334 $332 $332 $351 $319 $200 $150 $100 $50 $- FY06 FY07 FY08 FY09 FY10 FY11 FY12 FY13 FY14 FY15 FY16

3 Awards by Agency FY16 Awards System-wide: $403 million

4 Sponsored Program Services SPS provides support services for Purdue University s research enterprise. We have responsibility for proposal development (budget development), contract negotiation, award management, systems and data support and research quality assurance for all sponsored programs proposed and awarded within the Purdue University System. Sponsored Program Services FY ,639 Unique Projects (Grants) >12,000 Accounts (Sponsored Programs) 1,300 Unique Sponsors 522 Unique Companies Pre-Award Contracting Post Award Data & Support Quality Assurance - Proposal Development - Organized by College - FY ,923 Proposals $1.617 Billion - Contract Negotiations - Organized by Industry/ Federal/State/Misc. - FY ,952 Fully Executed Contracts, NDAs, MTAs, etc. - Award Management - Organized by Sponsor - FY ,116 Awards $401 Million - System support and data needs - Internal assessments & Audit engagements Sponsored Program Services:

5 Sponsored Program Services Pre-Award Support for proposal development activities for all faculty within all academic areas and Discovery Park Services include, but are not limited to: Review sponsor guidelines for proposal requirements and identify key issues Review and help faculty develop budget/budget justification Preparation of internal documents such as budget, proposal worksheet and proposal submission form. Work with partnering institutions to secure all subcontract documentation Collaborate with EVPRP staff as appropriate Assist with cost share commitments and prepare documentation for approval Preparation of required sponsor administrative forms Assist with Grants.gov, Fastlane and era Commons Assure all Regulatory requirements and Export Control issues are identified Review budgets, cost sharing and related documentation Obtain academic approvals and provide institutional approval for the proposal Submit proposal to the sponsor

6 Pre-Award Centers ADDRESSES Pre-Award Centers: College of Agriculture: College of Engineering: College of Health and Human Sciences: College of Pharmacy: College of Science: College of Veterinary Medicine: College of Education, College of Liberal Arts, Krannert School of Management, and Polytechnic Institute:

7 Pre-Award Faculty Orientations ONE-ON-ONE SESSIONS Available upon request Designed to introduce new Purdue researchers to the services offered by Pre- Award Familiarizes researchers with proposal development and submission process Can be focused on specific sponsors and topics relevant to the researcher Structure of RFP Noteworthy Sponsor Requirements System Access Provides information related to the following topics: Overview of the roles of Pre-Award, Post Award, and Contracting Brief discussion of business office and EVPRP roles related to proposal submissions and future awards Letters of intent and preliminary proposals Timelines for proposal preparation Proposal Worksheet, introduction Budget development process Subcontracts Current and pending support Cost share Regulatory FCOI Coeus approvals Who can sign a proposal What to expect post-submission Contact Pre-Award to Schedule a Session: Contact your Center or Pre-Award proposal@purdue.edu

8 Sponsored Program Services Contracting Negotiate and process all contracts associated with sponsored programs Services include, but are not limited to: Read and review entire contract, including all attachments o Funding Agreements (Federal, State, Industrial/Non-profit) o Confidentiality Agreements (NDA s, CDA s) o Material Transfer Agreements (MTA s) o Equipment Transfer/Loan Agreements o Miscellaneous Agreements (MOU, LOI, LOA s, Etc.) Identify terms not matching proposal (project term, deliverables, etc.) Contact Proposal Specialist or PI for clarification/ verification Ensure export control review is complete Identify contractual terms not in compliance with University policy, federal requirements, state requirements, and state and federal law Present redline to sponsor and negotiate

9 Sponsored Program Services Post Award Support is provided through sponsor specific areas which include: NSF/DHHS, Other Federal, and Non-Federal Services include, but are not limited to: Award establishment, management, and closeout Serve as resource for faculty, researchers, and business offices Provide guidance on sponsor specific guidelines and regulations Ensure all regulatory requirements and export control issues are identified and contain appropriate disclosures and approvals Review award document for requirements and highlight key issues for faculty and business offices Work with partnering institutions to secure all subcontract documentation Facilitate the establishment of agreements with and the payment of sub recipients Prepare and submit financial and property reports Assist with electronic submission of technical reports Manage collection of sponsor income, including draws under the federal letters of credit

10 Sponsored Program Services Structure Post Award SPS - Sponsor Specific Areas NSF/DHHS Other Federal Non-Federal Ag Field Office Post Award Business Office Department Specific Areas First Point of Contact: Research Expenditures Human Resources Purchasing Account Numbers (Startup/Discretionary funds) Travel Account Management

11 Roles & Responsibility Expectations Deans, Directors and Department Heads The Dean, Director, and Department Head are the chief administrative officers for their area of responsibility and, as such, are expected to manage all programs and funds within their areas of responsibility in accordance with University rules, regulations and policies The financial responsibility of the Dean, Director, and Department Head includes an assurance that costs are allocated appropriately to the various funding sources under their control, including sponsored programs Business Management Staff Business Management staff (Directors of Financial Affairs, Business Managers, etc.) have been assigned primary responsibility for assisting Deans, Directors, and Department Heads in fulfilling their fiscal responsibilities Provide assistance in the determination of the allowability of costs and assistance in the determination of appropriate cost allocation techniques Ensure that certifications are obtained on source documents and that these documents are retained in accordance with University retention requirements Exercise delegated signature authority from the Dean/Department Head and the Comptroller Sponsored Program Services Post Award Responsible for providing detailed advice regarding sponsor regulations and business procedures pertaining specifically to sponsored programs and serve as liaison with the sponsors on budgetary matters Managerial Accounting Services (Office of the Comptroller) Responsible for providing detailed advice regarding costing issues including cost allocation, indirect cost, effort reporting and effort certification and business procedures pertaining specifically to these topics.

12 Roles & Responsibility Expectations of a Principal Investigator (PI) Responsibility for setting the direction of research at Purdue University lies with the faculty Proposal Prepares the technical proposal, works with Pre-Award to develop the budget and related materials and confirms that the entire proposal meets requirements outlined in the sponsor s program guidelines Identifies sub recipients and consultants Requests cost sharing dollars, if required Satisfies regulatory research requirements (i.e. use of human subjects, animals, etc.) Assures the final proposal is properly endorsed and communicates with Pre-Award staff to obtain appropriate approvals prior to submission Research Conducts the research, which includes, but is not limited to: o Managing project personnel o Overseeing the scope of work o Authorizing payments to consultants and sub recipients o Overseeing the scientific integrity of the project o Communicating any allegations of academic fraud or scientific misconduct to the appropriate office o Ensuring all researchers are trained in the responsible conduct of research Complies with the Intellectual Property Policy Discloses inventions, discoveries, and improvements to Purdue University and the Purdue Research Foundation Complies with the Federal Acquisition Regulation (FAR) for combating trafficking in persons Award and Administrative Oversight Reviews and approves, in conjunction with the appropriate University Research Administration staff, the terms and conditions of the award Certifies Personnel Activity Reports Completes interim and final technical reports Prepares continuation or renewal proposal Retains project data and materials as required Updates annual Conflict of Interest and prepares a Disclosure Form if significant financial conflict of interest develops

13 Sponsored Program Services Contact Information and Resources Ken Sandel Senior Director, SPS Laurie Kuhl Director, Contracting Becky White Director, Quality Assurance Amanda Hamaker Director, Pre-Award Christy Haddock Director, Post Award Stephanie Willis Director, Data & Support

14 14 Questions? Ken Sandel Date: August 18, 2016