NASA ROSES Update

ROSES 2013 Amendments 23-27: new proposal due dates for MDAP, PMDAP, HGCR, OVWST, and OPR

During the Government shutdown, the proposal due dates for three ROSES programs were set to TBD in order for Government proposers to have time to prepare their submissions. Now that the Government has resumed work, new due dates have been set for these programs. In addition, new proposal due dates have been set for two programs with original due dates in the near future.

Updated due dates are as follows:

The proposal due date for Appendix C.12, the Mars Data Analysis Program (MDAP), had been October 4, 2013, but was delayed during the Government shutdown. The new due date for proposals is Wednesday, October 23, 2013.

The Step-2proposal due date for Appendix B.5, Heliophysics Grand Challenges Research Program (HGCR), had been October 11, 2013, but was delayed during the Government shutdown. The new due date for proposals is Thursday, October 31, 2013.

The proposal due date for Appendix C.11, the Planetary Mission Analysis Program (PMDAP), had been October 11, 2013, but was delayed during the Government shutdown. The new due date for proposals is Monday, October 28, 2013.

The proposal due date for Appendix A.11 Ocean Vector Winds Science Team

(OVWST) had been October 31, 2013. The new due date for proposals is Friday, November 15, 2013.

The proposal due date for Appendix C.7 Outer Planets Research (OPR) had been November 1, 2013. The new due date for proposals is Friday, November 15, 2013.

On or about October 18, 2013, this Amendment to the NASA Research Announcement "Research Opportunities in Space and Earth Sciences (ROSES) 2013" (NNH13ZDA001N) will be posted on the NASA research opportunity homepage at http://nspires.nasaprs.com/ and will appear on the RSS feed at: http://nasascience.nasa.gov/researchers/sara/grant-solicitations/roses-2013

Questions concerning this amendment should be directed to the relevant point of contact, all at the Science Mission Directorate, NASA Headquarters, Washington, DC 20546-0001:

Appendix C.12, MDAP: Mitchell Schulte, Planetary Science Division. Telephone: (202) 358-2127; E-mail: mitchell.d.schulte@nasa.gov

Appendix B.5, H-GCR: Robert Leamon, Heliophysics Division. Telephone: (202) 358-1546; E-mail: robert.j.leamon@nasa.gov

Appendix C.11, PMDAP: Michael Kelley, Planetary Science Division. Telephone: (202) 358-0607; E-mail: HQ-PMDAP@mail.nasa.gov

Appendix A.11, OVWST: Eric Lindstrom, Earth Science Division. Telephone:  (202) 358-4540; E-mail: Eric.J.Lindstrom@nasa.gov

Appendix C.7, OPR: Terry Hurford, Planetary Science Division. Telephone: (202) 358-0780; E-mail: terry.a.hurford@nasa.gov

Forms Listings
Formsort descending Type Read More
Budget Adjustments (doc) Post Award Services
Comments
Most agencies require notification and justification for substantial deviations from their approved budgets on any project. Each project's policies need to be reviewed and followed when rebudgeting becomes necessary. If rebudgeting creates a change in scope of work or effort, sponsor approval is always needed. Generally, when an agency needs to be notified, a letter is sent from the PI to the agency requesting a rebudget of funds with a justification. A revised budget is included. A Post Award Services (PAS) administrator also signs off on the letter as endorsement and forwards it to the agency. If approval is granted a revised budget summary, showing budget adjustments, is sent to all concerned parties. If a rebudget doesn't need agency approval, the PI (department on behalf of the PI) should submit a KUCR Budget Adjustment Request Form.
Business/Financial Services Agreement Template (pdf) Business/Financial Services
Cash Advance (pdf) Travel Related
Comments
It is possible to request up-front cash for use with official research-related travel.
Consultants and Contractors Form (doc) Business/Financial Services
Comments
Use this checklist (pdf) to determine which of the three types of contract can be used for a particular contractor. For questions contact Jay Darnell at jdarnell@ku.edu or call 785-864-7775.
Cost Share Verification Form (xls) Post Award Services
Comments
Serves to confirm the actual amounts and sources of cost share (fund 950 only) provided on sponsored project. To be completed and signed by the PI (electronic signature accepted) and returned to your Post Award Services Team.
Delegation of Approval Authority Through the SciQuest Electronic System (KUPPS) (pdf) Business/Financial Services
Comments
By Principal Investigators for Purchases Under Sponsored Project or Other Funding Sources Managed by the KU Center for Research, Inc.
Department Advance Reconciliation Request (pdf) Travel Related
Employee Emergency Evacuation and Repatriation Insurance and Business Travel (pdf) Travel Related
Expense Reimbursement, Out-of-Pocket (pdf) Travel Related
Fixed Price Close Out Procedures Form (pdf) Post Award Services
Fixed-Price Sponsored Projects, Determination of Applicability <10k (pdf) Pre-Award Services
Comments
This policy defines the occasions when a fixed-price agreement is the appropriate mechanism for managing a sponsored project. It also provides guidance for determining the appropriate payment schedules for fixed-price agreements.   Any payroll transactions involving grants or other funds provided by the Vice Chancellor for the Office of Research must have KU Research/KUCR Compensation and Appointments’ signature before being sent to KU Payroll for final processing.   For questions, contact KU Research Financial Services, payroll and compensation.
Fixed-Price Sponsored Projects, Determination of Applicability >10k (pdf) Pre-Award Services
Comments
This policy defines the occasions when a fixed-price agreement is the appropriate mechanism for managing a sponsored project. It also provides guidance for determining the appropriate payment schedules for fixed-price agreements.   Any payroll transactions involving grants or other funds provided by the Vice Chancellor for the Office of Research must have KU Research/KUCR Compensation and Appointments’ signature before being sent to KU Payroll for final processing.   For questions, contact KU Research Financial Services, payroll and compensation
Fly America Waiver Checklist (pdf) Travel Related
Comments
Required if using federal or federal flow-thru funds and not using a U.S. air carrier.
Human Subjects Conduct of Research/Research Integrity
Comments
Links to the Human Subjects area of the research.ku.edu website.
Internal Revenue Service Forms and Information Travel Related
Comments
Link to the IRS website for forms and publications.  Publication 463, Publication 535, and Circular E are the most commonly-needed business and travel policies.
International Travel Travel Related
Comments
Link to research.ku.ed international travel page with guides, checklists and forms.
Journal Entry Form (non-sponsored funds) (pdf) Business/Financial Services
Comments
Used by departments to request a correction or transfer of KUCR non-grant funding
KUCR Cost Transfer Request (xls) Post Award Services
Comments
Cost Transfers The University of Kansas Center for Research, Inc. (KUCR) has compiled the following policy and procedures related to cost transfers in accordance with the cost allowability and allocability requirements of OMB Circular A-21, Cost Principles for Educational Institutions. A cost transfer is defined as an expense that is transferred between sponsored projects and other accounts after the expense is posted in the financial accounting system. These guidelines also apply to reclassification of sponsored project expenditures. Examples of allowable cost transfers include: Transfer of allowable pre-award costs; Reassignment of personnel in accordance with their appropriate effort on a project; Correction of account number transposition errors; and Allocation of expenses incurred to departmental funds that are easily identified with project activities through maintenance of logs or other departmental records. Responsibilities The Principal Investigator (PI), or departmental staff acting on behalf of the PI, is responsible for providing the written cost transfer request and appropriate supporting justification to Post Award Services for review and approval. Post Award Services is responsible for oversight of cost procedures and for determining allowable and unallowable costs charged to externally-sponsored projects based on federal and sponsor guidelines. Before a non-personnel cost transfer to a sponsored agreement is approved, a Post Award Services staff member reviews the cost transfer request to determine whether the cost is allowable under OMB Circular A-21 and sponsor guidelines. All expenditures charged to externally-sponsored projects must meet the following criteria: Both the nature and amount of a cost must reflect prudent action at the time the decision was made to incur the cost; A cost must be incurred solely to advance the work under the sponsored agreement. It must reasonably benefit the sponsored agreement. It must be necessary to the overall operation of the institution and can be assignable to a specific sponsored project; Each cost must be given consistent treatment according to generally accepted accounting principles appropriate to the project; and Each cost must conform to principles outlined in OMB circulars or specific agency guidelines. A cost transfer to a sponsored agreement will not be approved for any of the following reasons: To meet deficiencies caused by overruns or other fund considerations; To avoid restrictions imposed by law or by the terms of the sponsored agreement; or For other reasons of convenience. Procedures For non-payroll transfers: The PI, or departmental staff working on behalf of the PI, must submit a written request to Post Award Services (PAS) staff.  Both questions and transaction portions must be filled in and signed.  Please make certain the following questions are addressed: Describe in detail the expenditures (s) that are being transferred:  (research supplies, travel, GRA salary, etc.) How will the transfer benefit the project being transferred to? How did the error occur? Why is the error correction late? (More than 60 days) What steps are being taken to ensure that this error will not reoccur? If the correction is more than 90 days late, the PI and department head should sign off. For payroll transfers: Personnel costs are initiated at the PI's department or research unit. Only the question/justification portion of the forms needs to be filled out and signed. The form should to be sent to Payroll with a completed payroll form and a gross fringe report. Post Award Services performs a post-audit review on all payroll transfers. The following cost transfers raise red flags with auditors: Transfers to or between federal projects; Transfers that are late ( greater than 90 days after discovery of the error); Transfers to a federal project occurring at the end of the project, thereby giving the appearance of utilizing funds inappropriately; Transfers with inadequate explanation; Transfers between federal projects that clears an overrun on one of the projects; Payroll transfers that are recorded in the accounting system but not corrected in the payroll system. Auditors tend to focus on late cost transfers (over 90 days), particularly payroll transfers, because they are easy targets and hard to defend if not properly documented. Payroll transfers are particularly vulnerable because the original charge has already been certified as correct.
KUCR Payroll Cost Transfer Form (pdf) Post Award Services
Comments
Use this form when a retroactive funding adjustment (RFA) is needed involving grant funds.
Limitations on University Sponsored Research Appeal Form (doc) Conduct of Research/Research Integrity
Comments
Details regarding the policy and exemptions.
Limitations on University Sponsored Research Exemption Form (doc) Conduct of Research/Research Integrity
Comments
Details regarding the policy and exemptions
New Principal Investigator (xls) Pre-Award Services
Comments
One-page form for new Principal Investigators to provide essential information to PreAward Services to aid in proposal preparation.
NSF Collaboration Letter Template (doc) Pre-Award Services
Comments
National Science Foundation (NSF) guidelines regarding letters of collaboration have become more stringent. Non-compliant letters include those that go beyond statements of commitment by the individual/organization writing the letter that affirm a willingness to collaborate in the conduct of the project, and instead, argue for support of the project by articulating in detail what activities the collaborator will undertake and/or by elaborating reasons for supporting the project. For some NSF programs, this template is required and will be noted as such in the program announcement.
Participant Payment Advance Reconciliation Report (pdf) Business/Financial Services
Comments
Required for all KU employees regardless of funding source. Link to KU Travel Authorization page.
Participant Payment Advance Request (pdf) Business/Financial Services
Payroll (sign in to KuPortal required) Compensation/Appointments
Comments
Payroll forms to be routed through KU Research/KUCR: Any payroll forms from units who report to the Vice Chancellor for the Office of Research, regardless of funding. Any payroll forms from other departments/units that involve sponsored projects (grants) or any other KUCR- provided funds (i.e., General Research Funds, New Faculty General Research Funds, Start-Up funds, etc.)   Payroll forms need the following signatures: Hiring department (department number & name listed in top left hand corner). For any department’s funding that is different from the hiring department; for example, if HBC is the hiring department and they are using EEB’s funding, we would need BOTH HBC and EEB signatures. If you are doing a funding change for a faculty member and the funding is from the Vice Chancellor for the Office of Research or is a grant, the form will need to be routed through your departmental budgetary hierarchy BEFORE sending to KU Research/KUCR. Any payroll transactions involving grants or other funds provided by the Vice Chancellor for the Office of Research must have KU Research/KUCR Compensation and Appointments’ signature before being sent to KU Payroll for final processing. For questions, contact KU Research Financial Services, payroll and compensation.
Per Diem Exceptions (doc) Travel Related
Comments
This form is to be used if the per diem rate requested is lower than the standard published per diem rate for KUCR, either at time of proposal if lower rates are included in the budget or prior to travel.
Principal Investigator Acknowledgement of Responsibilities (pdf) Pre-Award Services
Comments
An eight-item checklist highlights the PI’s key responsibilities and requires a signature.
Research Employee Separation Checklist (doc) Compensation/Appointments
Comments
This checklist is intended to outline some matters of importance related to the departure from the university of a PI or other research employee and should be completed by the employee prior to departure.
Salary Certification/Effort Reporting (pdf) Post Award Services
Comments
Forms should be returned to POST AWARD SERVICES, KU Research/KUCR — YOUNGBERG HALL.   Salary certification, or "effort reporting," is a federal requirement, per Section J.10 of the Office of Management and Budget (OMB) Circular A-21.  These are highly auditable forms, and have resulted in numerous (and costly) audit findings at other universities in recent years.   Salary Certification Procedures   Certified forms are due 30 days after receipt - roughly the 15th of the following month.   Salary cert forms are printed approximately the 10th of each month for the previous month's salary charges. The forms are sent via campus mail to the appropriate PI or departmental contact for PI (or representative) signature. Post Award Services keeps track of all forms as they are returned with signature. Prior to running the next month's forms, the returns from the previous months are reviewed. For forms that are due within the next five days, an email is sent to all non-returners reminding them that to be in compliance they must return the forms within 30 days of receipt and that failure to do so will result in notification of the PI's chair. (Since some forms go to the department and not the PI, the PI will be copied on this initial reminder.) For forms that were due the previous month and are now almost 3 weeks overdue, another email is sent requesting immediate compliance with the federal regulations, copying the Director of Research Administration and the Chair of the PI's department. Failure to respond after this step will result in further sanctions (up to and including freezing all sponsored project spending until the PI is in compliance). Example: July 10th   Salary certification forms will be printed for the month of June and mailed to departments or PIs. These forms are due back to PAS August 15th. Anyone who has not returned their forms from May (due July 15th) will get a reminder (cc-ing the PI) to complete the forms as soon as possible in order to be in compliance with federal regulations. Anyone who has not returned their forms from April (due June 15th) will have a second reminder sent to them, the project PI and the PI's chair requesting immediate compliance. Remember: Changes noted on these forms do not result in changes to employee payroll appointments! The department must still complete a payroll change request and/or RFAs to correct errors.
Scholarship/Fellowship Multiple Payments Domestic (xls) Post Award Services
Comments
This document is for submitting Domestic Scholarship/ Fellowship requests to KUCR.
Scholarship/Fellowship Multiple Payments International (xls) Post Award Services
Comments
This document is for submitting International Scholarship/ Fellowship requests to KUCR.
Scholarship/Fellowship One Time Payment (xls) Post Award Services
Comments
This form is for submitting a one time Scholarship/Fellowship to KUCR.
Sponsorship Authorization, Tuition and Fees (xls) Post Award Services
Comments
This form is completed when a student's tuition and fees are paid by a third-party on behalf of the student.
Sponsorship Authorization, Tuition and Fees (xls) Post Award Services
Comments
This form is completed when a student's tuition and fees are paid by a third-party on behalf of the student.
Subrecipient Monitoring Form- Non-PHS Compliant Sponsor (pdf) Pre-Award Services
Comments
Alternate version in MS Word format.
Subrecipient Monitoring Form- PHS Compliant Sponsor (pdf) Pre-Award Services
Comments
Alternate MS Word version.
Subrecipient Monitoring Procedure (doc) Post Award Services
Comments
Information on monitoring subrecipients and "Intent to Form a Subrecipent Agreement..." forms.
Subrecipient Monitoring Procedure- KUCR as Prime (pdf) Pre-Award Services
Comments
Information on monitoring subrecipients and "Intent to Form a Subrecipent Agreement..." forms.
Subrecipient Monitoring Procedure- KUCR as Subcontractor (pdf) Pre-Award Services
Comments
Information on monitoring subrecipients and "Intent to Form a Subrecipent Agreement..." forms.
Subrecipient Monitoring Procedures (pdf) Pre-Award Services
Comments
Information on monitoring subrecipients and "Intent to Form a Subrecipent Agreement..." forms.
Time Extension Request, No Cost (doc) Post Award Services
Comments
A template for letters to sponsoring agencies requesting no-cost time extensions.
Travel Expense Report- Jan 1, 2014 - Dec. 31, 2014 (pdf) Travel Related
Comments
View the mileage and per diem rates for 2014 (pdf). Open the Per Diem Calculator for travel expenses from 2014 (xls).
Travel Fund, Faculty/Staff Research Development (pdf) Travel Related
Comments
KUCR has committed funds for faculty and staff to travel to potential sponsoring agencies to meet with appropriate program officials about their mutual research interests. For this purpose, KUCR will provide up to $750 for an annual trip to fulfill the purpose of seeking additional research funding. This funding is not meant for trips to professional meetings that sponsoring program officials may attend. The purpose is for focused meetings at a sponsor's office.
Travel Summary (pdf) Travel Related
UKANS Projects, Project/Grant Budget Transfer (xls) Post Award Services
Comments
Use this form to move funds from one account to another within a project. Debits must equal credits.
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