Old Dominion Old Dominion UniversityUniversity

Research FoundationResearch Foundation(ODURF)(ODURF)

Overview of Sponsored Programs

The Research Foundation is…• A separate, private, not-for-profit corporation

• The fiscal and administrative agent for sponsored research and other projects conducted by ODU

• The authority to enter into sponsored agreements with external funding agencies on behalf of ODU

• The administrative and fiscal services support of funded projects

Things to Remember• ODURF applies for and administers all sponsored

programs

• Contact pre-award staff immediately upon deciding to submit a proposal (PreAward@odu.edu)

• ODURF monitors grant and contract funds for compliance with all federal regulations, specific funding agency guidelines, and ODU and ODURF policies

• ODURF has a wide range of services to assist the PI with proposal submission, award management, and project closeout

Why does the Research Foundation monitor research?

• Protection of ODU, ODURF, and Principal Investigator– Monitoring of cost share commitments– Time and effort reporting– Subrecipient monitoring

• Fiscal Responsibility and Oversight– Expenditure monitoring and compliance

• Federal regulations– Increased scrutiny, regulations

• Keep all interested parties out of the headlines by safeguarding the reputation of the Principal Investigator, ODU, and ODURF

Fiscal Compliance• U.S. Office and Management Budget

– OMB A-21 – Cost Principles for Educational Institutions

– OMB A-110 - Uniform Administrative Requirements for Grants and Agreements With Institutions of Higher Education, Hospitals, and Other Non-Profit Organizations

– OMB A-133 - Audits of States, Local Governments, and Non-Profit Organizations

• Funding agency– Policy and procedures for oversight of awards– Special terms and conditions specific to award

• ODU Policy• ODURF Policy

Grant Life Cycle

Proposal Preparation

ODURF Pre-Award• ODURF pre-award staff work closely

with PIs to submit proposals on behalf of ODU and its researchers– All applications for sponsored projects

are submitted through ODURF pre-award staff

– Applications cannot be submitted by any other unit or individual in the name of the Research Foundation or ODU

Roles and Responsibilities• Principal Investigator

– Contact ODURF to begin the proposal development process (budget, internal forms, etc.)

– Review sponsoring agency’s guidelines and deadlines

– Prepare proposal compliant with agency guidelines

– Discuss project with chair and dean

– Coordinate for any Subrecipient and /or cost share arrangements

– Approve and route proposal transmittal form (PTF)

– Submit completed proposal to ODURF at least 5 business days before agency deadline

Roles and Responsibilities• Pre-award Grant and Contract Administrator

– Review sponsoring agency’s guidelines and deadlines– Assist PI with budget and budget justification development

• Salaries and Fringe Benefits• Facilities and Administrative (F&A) costs• Cost share budgets• Tuition scholarships• Single- and Multi-year budgets• Cost accounting compliance

– Assist with completion of agency forms and application packages

– Point of contact for coordinating proposal with subrecipients– Submit applications to sponsoring agency

Facilities and Administrative Costs (F&A)

• Negotiated Indirect Cost Rate Agreement– Office of Naval Research– April 12, 2011 (good through 6/30/14)

• ODU faculty posted fringe rate 30.00%• Current F&A Rates

– 53% Research on-campus– 26% Research off-campus– Department of Defense

• 60% on-campus• 35% off-campus

– 43.7% Instruction on-campus• Sponsor F&A caps

Facilities and Administrative Costs (F&A)

• F&A is a real cost of performing work on a project– Facilities:

• Building, utilities, equipment• Library – operations and materials• operation and maintenance expenses - janitorial, repairs,

security, environmental safety, and insurance– Administrative:

• General administration and expenses - President, financial management, general counsel, management information systems

• Departmental administration - Deans, faculty administrative work, clerical staff, office supplies

• Sponsored Programs Administration • Student Administration and Services

• Recovered F&A is distributed to academic units to support research infrastructure

Cost Sharing• Mandatory– Required by the sponsor–Must be tracked and reported to sponsor

• Voluntary commitment– is offered in the proposal– if offered and accepted, it becomes

mandatory–Must be tracked and documented

Electronic Proposal Transmittal Form (ePTF)

• An internal electronic form that contains project information and is used to obtain approval of ODU commitment of resources– Time and effort of any ODU/ODURF personnel (salaries)– Use of university facilities and equipment

• Electronic signature approval is required by the PI, Co-PI, chair(s), and dean(s)

• Form can be accessed remotely through the internet: http://www.researchfoundation.odu.edu/forms/ptf.htm

• ODURF is not authorized to submit a proposal without receiving a fully approved ePTF

• Once completed and signed, the ePTF should be routed back to the Pre-award GCA in the ODURF office

Why the 5 Day Guarantee?• Several near misses as a result of PIs waiting until the last

minute to complete the proposal process

• An increased number of proposals

• Accommodates funding agencies’ processes and application complexities

• Allows time for proposal development assistance

• Allows time for sufficient review by college and department officials and ODURF officials

• Guarantees PIs receive ODURF staff’s “best work”

• Serves as a professional courtesy to colleagues also submitting proposals

When to contact ODURF• PI should contact ODURF immediately upon identifying a

sponsor and program for proposal submission– Places PI in ODURF proposal queue– Assures ODURF pre-award staff will be available to provide

support to the PI– Proposals received by ODURF five or more working days from

deadline are guaranteed submission by the deadline– Proposals received by ODURF less than five working days of

deadline will be completed, reviewed, approved, and submitted if and as resources permit

– Proposals without firm deadlines will be submitted as soon as practical and prioritized in order of receipt

• PI works simultaneously with both ODURF and grant writing staff to submit a well-prepared and compliant application

Pre-Award Grant & Contract Administrators (GCA)

• Jessica HarrisonAssociate Manger

• Stephanie HarrisGrant & Contract Administrator I

• Nicole SwartzGrant & Contract Administrator I

As soon you have identified a potential Sponsor & Announcement, email

PreAward@odu.edu to be assigned a GCA to assist in your submission

Sign up to Meet Us• One-on-one meeting with pre-

award GCA– Detailed overview of the proposal

submission process– Answer any questions– Review funding agency guidelines, federal

regulations, and program solicitations– Get familiar with ODURF staff and facility

location

The Proposal Effort

Award Management

What happens once aproposal is awarded?

• ODURF notifies PI of the grant or contract award

• Contract negotiation

• ODURF is signing official on all contracts and awards

• Project number is assigned and award processed

• ODURF coordinates any budget revisions with PI

• ODURF sends a copy of notice of grant award to PI

• ODURF contacts PI to set up award orientation

Additional Post-Award Services

• Human Resources– Insurance and risk management– Fringe benefit administration– Recruiting– Hiring– Personnel appointments– Employee relations

• Account/Finance– Payroll– Purchasing– Fixed asset inventory control– Travel and reimbursements– Time and effort reporting

• Facility Security Officer– Security clearances– Visit requests (classified contracts)

Roles and Responsibilities• Principal Investigator– Perform statement of work– Monitor grant activity– Ensure all costs are compliant with funding agency,

federal regulations, and ODU and ODURF policies– Submit travel claims, payroll authorization forms

(108), and other reimbursements in a timely manner– Monitor subrecipient expenses and approve invoices– Submits cost share documentation to ODURF in a

timely manner – Certify time and effort reports

• Payroll Authorization Reports (PARS)

Roles and Responsibilities• Post-award Grant and Contract

Administrator– Negotiate awards– Approve and monitor expenditures– Budget revisions– Process cost transfers– Process Subrecipient paperwork– Liaison with funding agency– Process no-cost time extensions– Reconcile project issues– Maintain project compliance

Post-Award Grant & Contract Administrators (GCA)

Richard BrammerGrant & Contract Administrator II

Bridgett BurmanGrant & Contract Administrator I

Becky EllisGrant & Contract Administrator I

Michelle Gooding, CRAGrant & Contract Administrator I

Denise HendersonGrant & Contract Administrator I

Sarah JaeschkeGrant & Contract Administrator I

Kathy PowellGrant & Contract Administrator I

Julie TylerGrant & Contract Administrator I

Lynne Whitfield, CRAGrant & Contract Administrator II

Thread of Compliance• Begins in Pre-award process

– Agreement of certifications and representations– Accurate budget and budget justification– Review of all proposal files (cost share, personnel,

facilities, IRB, etc.)

• Continues in Post-award management– Monitoring of cost share commitments– Human subjects, animals, export controls– Time and effort reporting (PARs)– Subrecipient monitoring– Monitoring of project expenditures

• Ends at project closeout

Cost Share Tracking

• Principal Investigator:– Assures cost share expenditures are

charged to the appropriate match account

– Submits cost share documentation to GCA

– Assures all cost share obligations are meet by project termination date

Reporting and Deliverables

• Principal Investigator:– Responsible for the timely preparation and

submission of all progress (technical) reports– Responsible for the timely submission of all project

deliverables

• ODURF:– Prepares and submits all grant specific quarterly,

annual, and final financial status reports– ODURF will submit progress reports, if desired, on

behalf of PI

Award Closeout• Federal agencies usually require closeout

of projects within 90 days of project termination date– Final expenses – before project end date

– Final invoice• Final payment can be dependent on agency’s receipt of

deliverables and progress reports

– All deliverables (includes financial and technical reports)

– Equipment, inventory, and intellectual property reports

Things to Remember•ODURF applies for and administers all sponsored programs

•Contact pre-award staff immediately upon deciding to submit a proposal

•ODURF monitors grant and contract funds for compliance with all federal regulations, specific funding agency guidelines, and ODU and ODURF policies

•ODURF is the authorized signing official on all sponsored projects

•ODURF has a wide range of services to assist the PI with proposal submission, award management, and project closeout

If you have questions or need additional information,

please contact us:

Old Dominion University Research Foundation4111 Monarch Way, Suite 204

Norfolk, VA 23508Office: (757) 683-4293Fax: (757) 683-5290