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Missouri S&T Office of Sponsored Programs (OSP) Department-Level Training Overview of OSP Procedures March 06, 2008. Introductions and Topical Overview. OSP Mission The OSP Balancing Act Award Lifecycle Pre Award Team Functions Post Award Team Functions Discussion. OSP Mission. - PowerPoint PPT Presentation
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Missouri S&T Office ofSponsored Programs
(OSP)
Department-Level TrainingOverview of OSP Procedures
March 06, 2008
Introductions and Topical Overview• OSP Mission
• The OSP Balancing Act
• Award Lifecycle
• Pre Award Team Functions
• Post Award Team Functions
• Discussion
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.
The OSP Balancing Act
Industry
Technology Transfer
Missouri S&T Faculty and Support Staff
Missouri S&T Senior Leadership
UM Collected Rules & Regulations, and Business Policies
State Laws and Regulations
Federal Laws, Circulars, and Agency
Guidelines
Office of Sponsored Programs
Award LifecycleProposal
Development2
Publications,Inventions, &Tech Transfer
7
Concept1
AwardCloseout
6ManageAward
(Technical& Admin)
5
Negotiation& Award
4
Org Review &Submit to Sponsor
3
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.
1. Concept
Responsible Party Activity
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
OSPPre Award Team
Negotiate and process non-disclosure agreements (NDA) with industry
2. Proposal Development
ResponsibleParty
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)
2. Proposal Development
ResponsibleParty
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 [email protected]
2. Proposal Development
ResponsibleParty
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),
2. Proposal Development
ResponsibleParty
Activity
OSPPre 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
3. Organization Review & Submission to Sponsor
ResponsibleParty
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.)
3. Organization Review & Submission to Sponsor
ResponsibleParty
Activity
OSPPre AwardTeam
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
4. Negotiation & Award
ResponsibleParty
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)
4. Negotiation & Award
ResponsibleParty
Activity
OSPPre 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
4. Negotiation & Award
ResponsibleParty
Activity
OSPPre Award TeamCont.
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
Post Award Team
Management of Award
Monitor Terms and Condition of Contract to
Ensure Compliance
Award Closeout
5. Management of Award (Tech, Admin, & Finance)
ResponsibleParty
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 [email protected]: 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 [email protected]
5. Management of Award (Tech, Admin, & Finance)
ResponsibleParty
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
5. Management of Award (Tech, Admin, & Finance)
ResponsibleParty
Activity
Department
Process the following requests:o Change of institutiono Change of PI and/or shared credito Time extension
Send completed form to OSP at [email protected]
Approve and process Post Award Multi-Use Form;
Send completed form to [email protected]
Process payroll, other expenses, & cost share associated with award
5. Management of Award (Tech, Admin, & Finance)
ResponsibleParty
Activity
OSPPost 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 credittime extensiondecrease in award by Sponsorearly terminationrequest for re-budgettransfer 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
5. Management of Award (Tech, Admin, & Finance)
ResponsibleParty
Activity
OSPPost Award Teamcont. 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
6. Award Closeout
ResponsibleParty
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
6. Award Closeout
ResponsibleParty
Activity
OSPPost 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
7. Publications, Inventions, and Technology Transfer
ResponsibleParty
Activity
PI
If applicable, support development of patent application with OTCED Submit technical proposal to Research Repository (highly
encouraged)
DepartmentNone
7. Publications, Inventions, and Technology Transfer
ResponsibleParty
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
Discussion
