INTRODUCTION TO SPONSORED PROJECTS

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INTRODUCTION TO SPONSORED PROJECTS
FINDING THEM
WINNING THEM
SURVIVING THEM
GETTING THEM AGAIN
Pamela A. Webb Sr. Director, Office of Sponsored
Research [phone] or pwebb_at_stanford.edu
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Agenda

• What are the various funding sources (industrial,
  govt agencies, etc)?
• What is the general process of getting funding?
• Timeline for RFP, writing, internal review,
  external review, award,
• How does the process vary from source to source?
• What administrative support is usually available
  to help with getting funding?
• Funding restrictions, accounting/administration/ov
  ersight of spending during proposal and award

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Lifecycle of a Proposal/Award
Pre-Award
Post-Award
Development
Agency Review (6-9 mos)
Closeout
Project Period
1st Budget Period
2nd Budget Period
3rd Budget Period
No Cost Extension
Award
Submit Renewal /Competing-Continuation
Revised Budget
Final Reports
Submit Proposal
Pre-Award Costs
Award
Perform(Principal Investigator)
Technical Close(Principal Investigator)
Apply
Administer/Monitor(Post-Award Office)
Financial Close(Post-Award Office)
Find/Explore
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Funding Sources (Hundreds)
Navy
NSF
Army
NIH
NASA
Air Force
Education
USDA
CIA
DARPA
Homeland Security
Ford
American Heart Assoc
State of California
Other Universities
Rockefeller
Pfizer
Sloan
Foreign Govts
National Kidney Fdn
Lockheed
Novartis
Start-Ups
HP
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Finding Funding Opportunities

• Use Your Faculty Colleagues
• Commercial Funding Source databases (free to you
  through Stanford subscription)
• Community of Science (COS)
• www.cos.com
• Illinois Researcher Information Services (IRIS)
• http//www.library.uiuc.edu/iris/

Call Marilou Hemingway, Office of Research
Administration, at 650-725-9107  for assistance
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Governmental Funding Source Databases (Free)

• National Science Foundation My NSF Service
• http//www.nsf.gov/mynsf/
• Grants.Gov Find Service
• http//www.grants.gov

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Pick how you want to get and see the information
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My NSF
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Shows you what you have signed up for already
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See Handout!
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www.grants.gov
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Grants.Gov Find
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No Engineering! Use Science and Technology and
Other RD instead
Pick Private Higher Educational Institution Or
Public or State Controlled Institutions of
Higher Education
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Sample Email Alert
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Proposal Writing Tips
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Proposal Writing Tipshttp//www.stanford.edu/dept
/ORA/osr/sponsor.html
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See Handout
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General Timeline

• Proposal Development 1-6 months in advance of
  due date
• (more for highly complex projects)
• Proposal Doc Preparation 1-2 months in advance
  of due date
• Proposal Internal Submission 1-2 weeks in advance
  of due date
• (extra time if cost-sharing, special
  approvals for space, release time, etc.
• needed). (Stanford asks for a minimum of 3
  days)
• D Day PROPOSAL SUBMITTED BY INSTITUTION!!!!
  Much alcohol consumed
• Acknowledgement by Sponsor Instant (electronic
  submissions) several weeks
• Priority Score or Other Indication Industry
  sponsors (1 day to 2 months)
• of Success Foundation sponsors (1-4 months)
• NSF (5-6 months)
• NIH (8-9 months)
• Award Prepared by Sponsor 2 weeks 4 weeks
  before start date

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The Regulatory Pyramid
Your award

• IndividualGrant/
• Contract Terms
• University Policies
• Sponsor-Specific Policies
• Federal Policies

Research Policy Handbook
NIH, NSF etc. Grants Policy
A-21, A-110
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Fiscal Fundamentals

• Who is responsible for
• Technical Progress
• (PI)
• Financial Status
• (PI)
• Administrative Oversight
• (PI)

Errors caught quickly can usually be fixed with
minimal hassle
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Fiscal Fundamentals

• ALLOWABILITY Allowable and unallowable costs are
  defined in OMB A-21 and in the terms and
  conditions of specific awards.
• ALLOCABILITY Only those expenses which benefit a
  project may be charged to that project.
• REASONABLENESS Costs must reflect what a
  prudent person would pay.
• CONSISTENCY Costs must be handled consistently
  across the University.

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Know Your Terms and
Conditions
Comply with terms conditions of your award

• Allowability of expenses
• Pre-approvals
• Decrease in PI/key personnel effort more than 25
• PI leave project for 3 months or more
• Change in scope
• Change in dollars needed
• Change in time needed
• Reporting requirements

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Proposing Effort
When effort is committed, awarded and expended,
salary must be directly charged or charged to a
cost sharing account.

• No one has more than 100 effort
• Adjust levels of commitment to reflect reality
• Proposed versus awarded
• COMMITTED effort must be BUDGETED
• Either charge to the sponsor or cost share
• (salaries may not be cost shared in School of
• Medicine)

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Managing Subawards

• Select appropriate subrecipients
• Obtain signed subrecipient proposal for inclusion
  in Stanfords proposal
• Ensure work does not begin without a signed
  subaward or appropriate alternative arrangement
• Actively monitor technical progress
• Review and approve invoices based on technical
  progress and appropriateness of cost
• Assist in audit or compliance reviews

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Early Accounts
Open an Early account when an award is delayed.

• Obtain a PTA (account number) before the award
  arrives
• Department provides a guarantee account
• Useful when
• Agencys paperwork is delayed beyond the official
  start date
• You want to begin spending before the official
  start date (and agency approves)
• Benefits
• Charge costs to the right place the
  first time (avoid
  transfers later)
• Properly track expenses
• Avoid allocability questions

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Late Expenses/No Cost Extensions
Get a no-cost extension if you need more time
at the end.

• Late-in-period equipment acquisitions will invite
  sponsor and audit scrutiny - document carefully
• Expenses may NOT be charged after a project end
  date, unless
• the cost is for something that was acquired and
  consumed within the project period, OR
• you have written permission from the sponsor
• You or your subrecipient need more time?
• If you have money left, ask for a No-Cost Time
  Extension (generally, 30 days before end date).

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Equipment
Acquire, use, track and dispose of equipment
in an authorized manner

• Expenditures for general-purpose equipment
  usually require pre-approval
• Look for terms concerning
• Equipment title
• Joint funding
• Equipment fabrication

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Project Completion and Record Retention
Submit all reports on a timely basis

• Submit ALL required reports in a timely manner
• Technical Inventions
• Final equipment inventories
• Final financial reports
• Keep records for a minimum of 3 years from
  closeout (can be longer if circumstances require)
• Scientific Financial