Sponsored Program Services Post Award Susan Corwin Director, - PDF document

11/12/2019 Sponsored Program Services Post Award Susan Corwin Director, Post Award 1 Proposal is Submitted - What Now? Agency sends Notice of Award • Directly to SPS • Directly to Faculty Notice to Proceed (NTP) will allow you to start research before award is received. • NTP is a line of credit established to allow a project to begin prior to receipt of a fully executed award • Business Office will work with SPS to get you an account number • IMPORTANT: Regulatory approvals and Conflict of Interest (COI) disclosures must typically be in order prior to start of research . 1

11/12/2019 https://www.purdue.edu/business/sps/contractmgmt/index.html/ SPONSORE D PROGRAM SE RVICE S 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 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.) o • 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 • Contracting Email: spscontr@purdue.edu 2

11/12/2019 Award Arrives What information is included? • Start/End Dates • Award Amount • Approved Budget • Agency Contacts • Payment Terms • Notation of Special Restrictions/Conditions • Cost Sharing • Limitations on Spending, Prior Approvals • Required Reports (Technical, Fiscal) • Intellectual Property Rights & Requirements (Industrial) • Licensing Royalty Rights (Industrial) • Publication Rights (Industrial) SPS Contracting Role of Contract Analyst Contract Analyst ensures: • The University can and should meet the obligations as written within agreement. • The award truly reflects the University’s understanding of the activity • Any contract/agreement entered into by the University is compliant with State and Federal law, and with University policy 3

11/12/2019 Types of Awards Spectrum of Sponsor Influence No consideration Gifts MOU/MOA Grant Contract Membership Teaming Cooperative Agreements Agreements Agreement SPONSORE D PROGRAM SE RVICE S POST AWARD • Sponsor Specific Areas • NSF/DHHS • Other Federal • Non-Federal • Ag Field Office 4

11/12/2019 https://www.purdue.edu/business/sps/postaward/index.html Sponsored Program Services 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 5

11/12/2019 https://www.purdue.edu/business/sps/postaward/faculty/index.html/ AWARD E STABLISHME NT POST AWARD Each new grant will be setup with a minimum of 2 accounts. • Account 1 for an “Income Only” • Account 2 for the Project expenses • There could be more accounts created in the cases where a subcontract(s) is utilized. Each one will receive an account. • Participant Support is also a category where a separate account will be setup for those types of expenses. • Unique categories (tasks, projects, sub-projects) & reporting requirements • Cost Sharing funds 6

11/12/2019 Cost Allocation Time to start spending! First Point of Contact: Departmental Business Office • Human Resources • Purchasing • Account Numbers (Startup/Discretionary funds) • Travel • Account Management Cost Allocation Roles of the Principal Investigator As PI, what is my role in allocating costs? Must assure charge is: • Reasonable and necessary • Incurred within the project period • Allowable in accordance with sponsor guidelines • Allocated on the basis of benefit to the project 7

11/12/2019 Managing the Award Roles of the Principal Investigator • Direct the work • Within project period • Within budget authorized by sponsor • Determine Staffing • Project should be staffed according to budget unless something has changed • Communicate with Business Office • Work closely with business office if changes to budget categories are needed; sponsor prior approval may be required Managing the Award Prior Approval Items that may require prior approval: • Change in Scope • Changes in Key Personnel • New/Additional Subcontracts • Foreign Travel • Capital Equipment • PI absence exceeding 3 months • PI reduction of effort exceeding 25% • Extension of time 8

11/12/2019 Managing the Award Technical Reports Principal Investigators are responsible for the timely submission of all technical reports • Due dates are in award document • Information available in Grants Management (GM) Account Information Management System (AIMS) • Contact SPS Post Award with questions Why be timely? • Proper stewardship • Requirement (as part of terms & conditions) • Incremental or future funding may depend upon receipt of the report Managing the Award Financial Information GM AIMS provides: • Tracking of grant budgets and expenditures • Expenditure details such as PO numbers, vendors and item descriptions • Information on technical reports • When due • Where & how to send • Balance trends charts • Projection tool to estimate future balances • GM AIMS is accessible via the GM AIMS Faculty Portal https://one.purdue.edu/launch-task/all/aims-faculty?terms=faculty 9

11/12/2019 After Close-Out of Award Record Retention Terms and Conditions of Award allow auditors the right of access to all University records associated with a project PI Responsibilities: • Scientific records and data • Regulatory material (if applicable) • Maintain for THREE years after sponsor acceptance/approval of the final report • May be contacted by auditors regarding certification of effort and other items Lessons Learned Audits • Expenditures in the last ninety (90) days of project highly scrutinized. Capital equipment purchases o Computer purchases o Travel –other than presenting results of project at meetings o • Transactions posted after project expiration date are red flags Critical to document benefit to project in detail o Why transactions posting after project expiration date o Clear supporting documentation o • Record retention of supporting backup documentation Pcard receipts o Allocability support of charges o • Presentations at conferences, workshops, symposiums Document sponsor and project in PowerPoints, handouts, posters o Document purpose fro project being presented o • Document project activities in quarterly, annual, and final technical reports Travel – both domestic and international to include purpose of trip, who you met with and o meetings, workshops, conferences attended • Equipment and computer purchases Why needed o Benefits to the Project o 10

11/12/2019 Award E stablishment Communication is Key Sponsor SPS Business Contracting Office Principal Investigator Research Pre ‐ Award Professional Staff SPS Post Award Sponsored Program Services Contact Information Susan Corwin Ken Sandel Director, Post Award Senior Director, SPS 49 ‐ 41052 49 ‐ 41063 scorwin@purdue.edu sandel@purdue.edu Kyle Wargo Beth Siple Director, Contracting Assistant Director, Ag Sponsored Programs 49 ‐ 41059 49 ‐ 48464 kwargo@purdue.edu sipleb@purdue.edu 11

11/12/2019 Managing Your Award: Research Regulatory Affairs IANTHE “COOKIE” BRYANT‐GAWTHROP DIRECTOR, RESEARCH REGULATORY AFFAIRS AND HUMAN RESEARCH PROTECTION PROGRAM PI PIs Ha Have Ma Many Re Regulatory Respon sponsibilitie sibilities Keep up with sponsor ‐ specific human/animal/rDNA/RCR requirements Apply to committees applicable to your research Train staff and keep records of training Develop strategies that allow your research team to fulfill regulatory requirements As a PI, you are responsible for the research study from its design through its implementation, and the maintenance of study data and records. The Regulatory Affairs staff can assist you with the right path. Today, we will briefly cover regulatory requirements and how they relate to your proposals and awards for sponsored funds. 1