Transcript Electronic Research Administration

Grant Overview, Budget Development
and Post Award Processing
Workshop
Sponsored by USCRF and School of Public Health
Organization Structure
for USC Research Foundation
Office of VP for Research
USCRF Management
Sponsored Program & Research
Intellectual Property
Technology Incubator
Finance
Proposal Development
Research Compliance
USCRF’s mission
Advance the academic and research enterprise at USC
Overview of the Grant Process
Wanda Hutto
Sponsored Programs and Research
Services
 Provides pre-proposal support including identification of funding
sources, presentation of grant workshops, and coordination of
weekly flights to Washington for meeting with sponsor agencies.
 Processes all sponsored project proposals for institutional signatory
approval.
 Negotiates and accepts all sponsored project awards.
 Establishes all sponsored program accounts.
 Assures compliance with all university and sponsor policies and
regulations.
Sponsored Programs and Research
Services
 Issues all subcontracts/subawards under all sponsored projects.
 Processes most post-award actions (rebudgeting, no-cost
extensions, change of scope, etc.)
 Advises project directors on grant/contract administration issues.
 More information on this program:
http://spar.research.sc.edu/
Office of Research Compliance
Specific areas of responsibility include:
 Human Subjects Protection Program and Institutional Review
Board
 Conflict of Interest and Outside Professional Activities Reporting
 Misconduct in Research and Scholarship
 Training in the Responsible Conduct of Research
 Liaison to institutional compliance committees including IACUC
and Health and Safety
 Monitoring government legislation and regulation related to
compliance issues
 More information on these programs:
http://orc.research.sc.edu
Private Foundation Support
 USCRF and the Development Office Coordinate Private Funding
 Foundation Consultant Activities (Sandra Glass)
 Review One-Page Concept Papers
 Review Letters of Inquiry
 Serve as an Advisor Regarding Strategies for Approaching
Foundations
 Contact
 Harriet Showman, Director of Development/Foundations
 7-4095
 [email protected]
Proposal Review Process
Proposal Idea
Developed by
Faculty
Funding Source
Identified
Grant Process
Begins
Identify Funding Source
 Search Mechanisms
 Community of Science
 http://fundingopps.cos.com/
 Foundation Center
 http://www.fdncenter.org/
 Funding Alerts
 http://spar.research.sc.edu/funding_alerts/alertpage.htm
 Contact Proposal Development Coordinator
 Funding Agency
 Topic should be compatible with agency funding interests
 Consider agency limits on budget, applicants, and geographic area
Next Steps
 Write the Proposal
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Develop Timeline
Follow sponsor guidelines
Explain things
Don't make assumptions of your reviewers
Be innovative .. new audiences, new techniques, etc.
Be specific
Institutional Official Approval
 SPAR Office
 Assigned Sponsored Program Administrator
 For the list: http://spar.research.sc.edu/assigns01.htm
Proposal Submission Process
Complete SPAR Form
 http://spar.research.sc.edu/sparforms.html
Proposal
Sponsor Guidelines
SUBMIT PROPOSAL 3 DAYS PIOR TO DEADLINE
Proposal Review
Red Flags in the Budget
 Indirect Cost Rate Calculations
 Fringe Benefits
 Cost Share
 Provide documentation
 Subcontracts/Consultants
 Provide documentation
 Equipment
 Tuition
 Budget Narrative
 Basic Calculations
Facilities and Administrative (F&A) Cost Rates
On-Campus Rate FY03 & FY04
School of Medicine
Columbia
Senior and Regional
Campuses
FY03
FY04
FY03
FY04
FY03
FY04
7/1/02 - 6/30/03
7/1/03 - 6/30/04
7/1/02 - 6/30/03
7/1/03 - 6/30/04
7/1/02 - 6/30/03
7/1/03 - 6/30/04
Research
45.0%
45.5%
39.0%
39.0%
45.0%
45.5%
Training and Service
30.0%
30.0%
30.0%
30.0%
30.0%
30.0%
Instruction
45.0%
45.5%
45.0%
45.5%
45.0%
45.5%
Off-Campus Rate FY03 & FY04
School of Medicine
Columbia
Senior and Regional
Campuses
FY03
FY04
FY03
FY04
FY03
FY04
7/1/02 - 6/30/03
7/1/03 - 6/30/04
7/1/02 - 6/30/03
7/1/03 - 6/30/04
7/1/02 - 6/30/03
7/1/03 - 6/30/04
Research
25.0%
25.0%
24.5%
24.5%
23.5%
23.5%
Training and Service
24.0%
24.0%
24.0%
24.0%
24.0%
24.0%
For more information: http://www.spar.research.sc.edu/indirectcost.html
Where Indirect Dollars Go
As of July 1, 2002
$1 of Indirects
USCRF = 43 cents
Start-up costs
Equipment Matching
Internal Grants
Administration
College = 43 cents
Facilities Fund = 14
cents
New Construction
Renovation
Departments
Faculty
Start-up costs
Equipment Matching
SCHOOL OF MEDICINE HAS A DIFFERENT DISTRIBUTION
Fringe Benefits
 Current Rate = 19.10%
 Dates Effective – July 1, 2002 through June 30, 2003
 http://www.spar.research.sc.edu/fringebenefit.html
A.
State Retirement
B.
FICA (Social Security)
7.65%
C.
Unemployment Compensation
0.10%
D.
Worker’s Compensation
0.50%
Total
10.85%
19.10%
Certification Form
Proposal Review
Additional Red Flags
 Follow Sponsor Guidelines
 Special Terms and Conditions
 Departmental Collaboration and Policies
 Human Subjects
 Animals
 Hazardous Materials
 USC Financial Conflict of Interest Disclosure
Administrator Additional Duties
• Assigned Proposal Number
 Enter into Database
 Transmittal Letter
 Attachments (varies by sponsor)
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Debarment Forms
Lobbying Disclosure
Drug-Free Workplace Forms
Affirmation Action Forms
Copy of Board of Directors
Copy of Indirect Cost Rate Agreement
Administrator Additional Duties
 Authorizing Signatures
 Additional signatures may be required depending on project
amount
 Ready for Pick-Up or Delivery
 Department copies and mails to sponsor
Award Process
Bonnie Feary
How An Account is Determined?
F
Federal
G
State
H
Municipal/County
J
Business/Industry
K
Foundation/Non-Profit
L
Other/Hospital
A
L
J
Q
V
P
Research
Service
Training
Equipment
Donated Equipment
Graduate Assistant
Contact Information
University of South Carolina
Research Foundation
901 Sumter Street
Byrnes Building, 5th Floor
Columbia, SC 29208
803-777-7093 Fax 803-777-4136
http://spar.research.sc.edu/
Budget Preparation
Maxine Mixon, Prevention Research Center
LaVerne Shuler, Exercise Science
Stephen Wilson, Office of Research
ARNOLD SCHOOL OF PUBLIC HEALTH
Overview
What’s covered:
 Pre-preparation Checklist
 Budget Preparation Resources
 Key Budget Issues
 Post-preparation Checklist
 Sample Completed Budget Forms
Pre-preparation Checklist
Before you start:
 Review agency guidelines, instructions, and forms
 Review SPAR guidelines and internal forms
 Determine all proposal submittal deadlines
 Identify target cost or ceiling amount
 Determine start date and grant period
 Review proposal
Proposal Budget Preparation Guide
SPAR website:
http://www.spar.research.sc.edu/prepguide.html
Key Budget Issues
Key Budget Issues
Applicable to all budgets:
 NIH Modular Budgets (Maxine Mixon)
 Personnel (Maxine Mixon / LaVerne Shuler)
 Consultant Costs (LaVerne Shuler)
 Equipment (LaVerne Shuler)
 Supplies and Materials (LaVerne Shuler) 
Key Budget Issues (continued)
 Travel (LaVerne Shuler)
 Other Expenses / Costs (L. Shuler / S. Wilson)
 Consortium / Contractual Costs (Maxine Mixon)
 Consultants (LaVerne Shuler)
 F&A (Indirect) and MTDC Costs (Stephen Wilson)
 Cost Sharing and Matching (Stephen Wilson)
NIH Modular Budgets
 Applies to NIH research grant applications
requesting up to $250,000 per year. Request total
direct costs in modules of $25,000.
 NIH website for modular research grant applications:
 http://grants1.nih.gov/grants/funding/modular/modular.htm
 Features (handout)
 FAQ (handout)
SPECIAL NOTE: SPAR requires a detailed,
itemized budget for each funding period.
Personnel
 Salary
 Institutional Base Salary (excludes salary supplements and
bonuses)
 Appointment Types
 Faculty Summer Salary
 Total commitment must not exceed 100%, including contributed
effort
 FY 2003 NIH Salary Limitation: $171,900
 Apply appropriate escalation factor on multi-year budgets
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Fringe Benefits
 Specifically identified to each employee
 Check SPAR website for latest rates
 Fringe Benefits Calculator
Consultant Costs
 USC faculty/staff cannot be paid consultants on a
USC grant.
 State employees require dual employment
approval.
 Budgeted costs cannot exceed max daily rate.
 Include travel and per diem costs.
 Include letters of commitment in proposal.
 Submit USC Procurement Exemption Certification Form.
Equipment
 Definition:
 Tangible, nonexpendable personal property
having a useful life of more than one year and
a unit acquisition cost of $5,000 or more.
 F& A (indirect) costs do not apply.
 Submit USC Procurement Exemption
Certification Form to SPAR.
Supplies and Materials
 Definition - All personal property excluding
equipment, intangible property, and debt
instruments.
 Itemize by category.
 Food must be specifically requested and justified in the
grant application.
SPECIAL NOTE: Office supplies and administrative/clerical
support are generally unallowable as direct costs
under Federal funds. Ref: SPAR memo (2/25/94); OMB Circular A-21
Exceptions: Project-specific items
Travel
 Itemize under separate categories.
 In-state, out-of-state, and foreign travel
 Use current mileage and meal allowance rates.
 Include related expenses.
 Ground transportation
 Parking
 Registration fees
 Travel agency services fees
 Phone calls
Other Expenses / Costs
Examples of items included:
 Project-specific long-distance telephone & voice mail
 Participant support costs (travel, fees, meals, stipends, etc.)*
 Printing and publication costs
 Freight and project-specific postage
 Rentals and leases
 Equipment and animal maintenance
 Service contracts
 Stipends and honoraria
 Graduate student tuition 
* Some funding agencies require that travel and meals be included under the
TRAVEL and SUPPLIES budget categories, respectively.
Implementation Plan For Restructuring
Graduate Student Assistantships
 All graduate assistants = In-state tuition rate
General Academic Spring 2003 In-state Semester Tuition Rate
$2,700
Non-student owed tuition (Abatement or Residual)
$1,753
Student owed tuition (Prior to Spring 2003)
$ 947
Tuition Budgeting
For Graduate Assts:
1) $1,753 per full time (20 hrs/wk) GA
2) $ 877 per half time (10 hrs/wk) GA
3) Goes under other expenses if allowed by agency
4) Excluded from IDC computation
5) Must be indicated as cost of department on PAP
form (item 1) if not covered by funding agency.
Consortium / Contractual Costs
Criteria:
 Funds will be paid to another institution rather than
to an individual.
 Subrecipient will contribute to scholarly or scientific
conduct of the project.
 Subrecipient effort requires judgment, unique
expertise, and original thought.
 Subrecipient does not provide identical services to
others as their primary business.
Consortium / Contractual Costs
Requirements:
 Separate statement of work.
 Detailed budget.
 Written confirmation of institutional commitment.
 Submit USC Procurement Exemption Certification
Form.
F&A (Indirect) Costs
 Use appropriate F&A cost rates
 On-campus, off-campus, effective dates
 F & A (indirect) costs exclude:
 Capital expenditures:
 Equipment
 Renovations and Alterations
 Buildings
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Tuition remission
Each sub-award in excess of first $25,000
Rental costs of off-site facilities
Student support costs (e.g. Stipends, Scholarships, etc.)
Patient care costs
 Modified Total Direct Cost (MTDC)
COST SHARE
 Referred to as matching or in-kind contributions
 Defined in the OMB Circular A-110
 May be cash or non-cash
 Frequently required by private foundations
SPECIAL NOTE: Do NOT volunteer cost share.
COST SHARE…an example
Example:
$50,000 grant funds received
$40,000 USC cost share posted
$90,000 total expenditures posted
 Because of the cost share requirement of 50/50, $5,000 will
be returned to the grantor.
 Departmental account (A or E) will be charged the $5,000
portion not covered by the grant.
Post-preparation Checklist
 Verify budget is consistent with proposal.
 Check all calculations.
 Verify fringe and F&A rates are correct.
 Confirm sufficient department funds to cover cost
share commitments
 Complete USC Procurement Exemption
Certification Form for major equipment,
subcontracts, and consultants.
TIP: Pre-coordinate final budget with SPAR
prior to submitting entire proposal.
Sample Completed Budgets
Sample Completed Budgets
National Institutes of Health (NIH) Modular
 Same Modules (handout only)
 Variable Modules
 National Science Foundation (NSF)
 Robert Wood Johnson Foundation (RWJF)
(handout only)
 NIH and Centers for Disease Control and
Prevention (CDC)
 PHS 398
NATIONAL SCIENCE FOUNDATION (NSF)
 FastLane submission required for all proposals
 SPAR must register faculty for FastLane
 SPAR submits to NSF
Key web address:
http://www.nsf.gov/
http://www.fastlane.nsf.gov/
NATIONAL SCIENCE FOUNDATION (NSF)
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Each year must have a budget and a cumulative budget for total
project.
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Summer salary for faculty is restricted to two-ninths of the
academic salary.
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Personnel is divided into two categories:
Senior Personnel and Other Personnel
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All other budget categories similar to NIH
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Statutory cost share of 1% is required
 Not required on application
Sample PHS 398
Contact Information:
Maxine Mixon, Prevention Research Center
Tel: 777-2830; Fax: 777-9007; E-mail: [email protected]
LaVerne Shuler, Department of Exercise Science
Tel: 777-7078; Fax: 777-2504; E-mail: [email protected]
Pam Weiss, Director, Office of Research
Tel: 576-6074; Fax: 576-5950; Email: [email protected]
Stephen Wilson, Office of Research
Tel: 777-9415; Fax: 576-5950; [email protected]
Post Award and Grant Processing
Tonya Lewis and Linda Zinna
The Process
REVIEW AND COMPARE
BUDGET
Department
Grantor
SPAR
University
Accounting
Proposal
Grant Award
Memorandum
Levels
The Review
LIMITATIONS
 Fixed Price Contract
 Cost Reimburseable
 Line Item Restrictions
 Unallowable Costs
 Matching Requirements
– Voluntary
– Mandatory
The Review
F & A COSTS
• Special Rates
• Change in Rate
• Modified
The Review
REPORTING
 FINANCIAL
 TECHNICAL
 PATENT
 EQUIPMENT
Monitoring
MONTHLY MANAGEMENT REPORTS
• LEVEL I
Grant Accountants
Mike Hamilton
Peggy Walsh
Tonya Lewis
Nicole Walukewicz
Tracy Pham
Neal Woody
Gina Thomas
Linda Zinna
Call CG&A at
Fax CG&A at
777-4850
777-8817
Website: www.cga.sc.edu