State Agencies Funding and Proposal Processes at OU

Submitting Proposals to State Agencies Fran Stephens Director, Office of Research Services fran@ou.edu 11/29/2022

Overview How do we define state agency at OU? What state agencies normally fund OU? What types of actions are normally processed? How do PI find out about solicitations/bids? How do PI get involved with a state agency? What kinds of format guidance can be expected? How does the proposal/bid process start? What are some common proposal components? How are proposals submitted to state agencies? How are deadlines handled? Reminder Internal Items of Consideration What are some common problems/issues? Take-a-Way 2

How do we define state agency at OU? An organization that does business on behalf of or for the benefit of the people of Oklahoma. The agency or organization may be established by Oklahoma or US legislature. They are non-profit organizations. They may be part of the governing body of state and local government. 3

What state agencies normally fund OU? (1 of 3) Oklahoma Transportation Authority (OTA) Oklahoma Regents for Higher Education Oklahoma Department of Transportation (ODOT) Oklahoma Department of Human Resources Oklahoma Center for Advancement of Science and Technology (OCAST) Oklahoma Tobacco Settlement Endowment Trust Grand River Dam Authority Oklahoma Arts Council (OAC) Oklahoma Department of Career and Technology Education Oklahoma Department of Education 4

What state agencies normally fund higher education organizations? (2 of 3) Oklahoma Department of Mental Health and Substance Abuse Services Oklahoma Office of Homeland Security Oklahoma Pardon and Parole Board Oklahoma Emergency Management Oklahoma Office of Juvenile Affairs Oklahoma Boll Weevil Eradication Organization Oklahoma Commission on Children and Youth Oklahoma Conservation Commission Oklahoma Department of Agriculture Oklahoma Department of Corrections 5

What state agencies normally fund higher education organizations? (3 of 3) Oklahoma Department of Environmental Quality Oklahoma Department of Health Oklahoma Department of Human Services Oklahoma Department of Libraries Oklahoma Department of Rehabilitation Services Oklahoma Department Human Services, Development Disabilities Council Oklahoma Election Board Oklahoma Historical Society Oklahoma Military Department Oklahoma Tax Commission Oklahoma Water Resources Board Oklahoma Wildlife Conservation Department State and local government offices (City of Norman, City of OKC, Chamber offices) 6

What types of actions are commonly processed? Grants Contracts Subcontracts Cooperative Agreements These can be direct from the state agency or flow-through from a federal or other sponsors. 7

What types of actions are commonly accepted? (cont.) If given a choice between contract and cooperative agreement OU will normally opt for agreement but we do many contracts for state agencies. A few of these are through the bid process. OU does have a vendor account set up with the State of Oklahoma and may participate in bids if the language of the bid doesn t exclude us (for example if it says a commercial entity is being sought) ITB: "Invitation to Bid" means a type of solicitation a state agency or the State Purchasing Director sends to suppliers for submission of bids for acquisitions. RFP: "Request for Proposal" means a type of solicitation a state agency or the State Purchasing Director sends to suppliers for submission of proposals for acquisitions. Very important register for amendments or updates if you are working on a bid or solicitation that gives you that option. 8

How do PI find out about solicitations/bids? Announcements listed in grants.gov and SAM.gov Oklahoma Grant Exchange (OGX https://ogx.ok.gov (primarily OCAST and OHSO) Announcements from VPRP/ORS; our website (we have link to OGX account set up too) Agency Websites (Some you need to fill a form out to get access, sign up with or join listservs) State Agencies (oklahoma.gov) Contact Us (oklahoma.gov) Government of Oklahoma | USAGov Oklahoma.gov Home Oklahoma.gov Home Central Purchasing: Division of Office of Management and Enterprise Services (OMES) - Solicitations (ok.gov) Bid Solicitations | Oklahoma State Department of Education 9

How do PI find out about solicitations/bids? (cont.) There is a lot of information on the internet from various organizations and companies related to State of Oklahoma bids. Some information is free, and some is for a fee (be cautious) example RFPMart.net. One thing to look for is prior/closed bid postings which may give you insight on the agency you might want to work with and possibly program officers to contact. 10

How do PI get involved with a state agency? Respond to a solicitation or bid Access website and look for program officer, grants/bid information (including prior awards) See if there are newsletters, list serves See if there are public meetings Look for info on prior awardees and link up 11

What kinds of format guidance can be expected? Some agency announcements will provide format guidance, but many won t If they are tied to a federal agency there may be format guidance you can use from that source If no guidance is given, recommend 11 or 12 pt. font, one inch margin, single space PDF if possible (do not password protect) Look for guidance, if present it is usually expected to be strictly followed. 12

How does the proposal/bid process start? Proposal process may start with contact between PI and agency initiated by the PI or by the state agency. The agency may sponsor research or other activities such as services; all externally funded activities involve ORS except gifts (which go through OU Foundation). At the time ANYTHING written is submitted (even LOI or any type of preliminary proposal) the University s Info Sheet is submitted. Bid process starts when the PI finds a bid notice they want to submit to - at that point they initiate the Info Sheet. 13

What are some common proposal components? Cover Letter or Transmittal Letter Watch specific content requirements Normally signed by ORS Abstract/Summary/Statement of Work/Objectives/Deliverables Common requirement is Publicly Releasable May be a form May include requirements for key words, specific statements, etc. Narrative/Description/Technical Proposal Watch page limit (most aren t long) Be sure you answer all requirements or state that they are not applicable (don t leave a section out) (Note: flow-through funding may have guidance content flowing down too) 14

What are some common proposal components? (cont.) References/Bibliography May not be requested Don t be excessive Budget/Budget Justification/Cost Proposal Must meet federal cost principles Spans spectrum may be limited info or extremely detailed If no format or form is required, the OU spreadsheet and detailed budget justification is normally used Equipment threshold differences and possession Travel usually detailed info required; may be restricted; hot topic for state agencies Cost share do not quantify if not mandatory Consultants daily rate; conformance to expectation of field Tuition some state agencies don t allow tuition unless the funds are flow-through 15

What are some common proposal components? (cont.) BUDGET ----- SUBCONTRACTS Do not include a subcontract in your proposal without official permission of the organization (even in a preliminary submission; ORS will obtain an email as minimum). For a full submission, OU requires a statement of work, budget, budget justification, and an official letter of commitment from someone with authority to commit the organization (this is called a subcontract package). Depending on the sponsor, parts or all of the subcontract package may be required in the submission along with other documents. Take into account additional time that may be needed for a subcontract to complete their internal processes before they can provide official information to OU/for the submission. 16

What are some common proposal components? (cont.) BUDGET --- INDIRECT COSTS (IDC)/FACILITY & ADMINSTRATIVE COSTS (F&A) IDC/F&A are true costs to the University Trying to direct cost entire budget will not capture all the F&A OU has a federally negotiated rate agreement that must be used for IDC unless special procedures are followed (Provost process for Outreach/VPRP cost share form after request for reduced idc denial for all others) State agencies are allowed to use 26% IDC rate on non-flow through funds; it is responsibility of someone from the state agency to say that the funds are not flow through OU honors restriction on flow-through funds (example DoED has 8% idc allowed on funds going through OK Dept of ED to OU then we accept the 8% restriction) 17

What are some common proposal components? (cont.) Personnel documents Resume/CV/Bio sketch If no flow-through involved there may be no guidance (recommend use NSF or similar agency formatting such as DoEd) Recommend only 2-3 pgs. unless the normal expectation in the profession is longer None may be requested (they may have an area where a short description of the PI and team qualifications are given) Current and Pending/Other Support Form May not be requested or may have no format given If no format is given use similar organization or NSF Conflict of Interest May not be requested If present, declare somewhere in the submitted materials even if not requested Collaborator and Other Affiliations information Likely not requested unless flow-through is involved that requires it 18

What are some common proposal components? (cont.) Equipment and Facilities May not be requested If requested address what is on hand to do the work unless told otherwise Don t forget nearby assets or including subcontract info Be comprehensive but concise Data Management Plan May not be requested but good idea to include at least a statement as this is a high interest. Letters of Support May not be requested If they are requested usually have specific persons, organizations, or statements/info to include Support vs Endorsement (and endorsement may be okay) 19

What are some common proposal components? (cont.) Special Forms and Certifications A variety may be requested depending on the state agency such as: Proof of non-profit status Proof of insurance State vendor number Tax forms SF 424 forms Bid or other certification forms Letter on amendment review ORS will assist on either providing or obtaining most forms and certifications. 20

How are proposals submitted to state agencies? Email Mail (recommend trackable) Hand Delivery Oklahoma Grant Exchange (OGX) 21

How are deadlines handled? Response to bid or for contract dates are usually firm. Grant, cooperative agreement, subcontract due dates can vary by agency and contact take at face value. Watch for unusual times. Most agencies don t have a set policy for weekend/holiday exceptions or other delays. Very common for deadlines to be near holidays or to have multiple deadlines stacked on same date for some agencies (OCAST). 22

After submission actions? Sponsor may request changes in what was submitted or additional information. Unless sponsors requests likelihood of updates, corrections, or revisions being made is slim. If your proposal is in response to a bid nothing after the submission date is normally allowed (perception of preference). 23

Reminder - Internal Items of Consideration What is the information sheet? Collection point for basic proposal info that is sent to ORS to give notice a proposal is being considered for submission (bunch of questions, just answer the best you can) Starts the internal process and allows ORS to plan support for proposal What is routing? Process that gives you official permission to submit a proposal Only requires draft SOW/Summary/Abstract, budget on OU form, draft budget justification (and subcontract package if applicable) Who submits the proposal? Sometimes ORS Sometimes the PI; not uncommon for both (PI unofficial, ORS official) If PI submits make sure the agency knows who to contact for award actions/negotiations 24

What are some common problems/issues? State agencies trying to negotiate with unofficial persons at OU ORS not being involved in process until agreement stage Sometimes there are vague instructions from the sponsors; not following instructions Not allowing adequate time to accomplish all the paperwork (especially on bids) May be hard to find information at the state agency or to connect with the right person or to get a timely response to questions Award acceptance may take longer than expected State agencies tend to do a lot of funding actions based on the fiscal year of either the state (July to June) or federal government (Oct to Sept) this can affect when solicitations are announced and how they want to see budget periods, reporting, and award start dates. 25

Take-a-Way OU does a lot of work with state sponsors don t be afraid to try for state funding or worried that we can t resolve issues with state agency sponsored activities. State agency budgets are dependent on the state budget and sometimes federal funding; Legislature issues can result in delays in funding of proposals or in expenditure recovery. There are many state agencies and government related organizations that have appointed leadership, so elections can change leadership which can also impact the direction of funding and relationships you may be trying to build with an organization. If you need help, contact ris@ou.edu for any questions; or submit an info sheet so a Proposal Specialist can be assigned. 26

Submitting Proposals to State Agencies QUESTIONS? 4/8/2025 27