Transcript UMBC Animal Care & Use

Departmental Research Administrators
Training Track
Grant Pre-Award
2011-2012
Office of Sponsored Programs
Engineering 329
[email protected]
410-455-3140 (Phone)
410-455-1876 (Fax)
www.umbc.edu/research/OSP/
1
Course Overview
 Audience:
DRATT participants responsible for managing
sponsored projects, proposal routing and submissions,
completing supporting documentation, reviewing
budgets and reviewing the Proposal Status in
PeopleSoft
 DRATT Prerequisite:
 Grant Overview
Course Overview
 What is covered in this Class?
• The purpose of this course is to provide guidance to ensure that DRATT
participants effectively manage sponsored projects throughout the Grant
Pre-Award process.
 By the end of this course, you will be able to:
• Discuss the Grant Management Process
• Identify and complete the appropriate forms required for Proposal routing
and submission
• Review a Proposal Budget for compliance
 Length - The length of this course is approximately 2 hours.
Overview of Grant Management
Pre-award
Phase
Negotiation
Phase
Award Phase
Grant
Management
Module 1: Pre-Award Phase
By the end of this module, you will be able to:




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
Name the forms typically used during the Pre-Award Phase
Locate the necessary proposal forms on the OSP website
Complete the Proposal Routing form
Identify when to use the additional forms
Describe the proposal submission process
Review proposal budgets for compliance
Terminology
 Sponsored Project - Used to define any project with sponsor-restricted funds,
such as a Grant or a Contract.
 Proposal - an application for funding that contains all the information necessary
to describe project plans, staff capabilities and funds requested.
 Sponsor - an organization, Federal, Foundation or Private Institution that funds
a project.
 Direct Costs - Costs that can be identified specifically with a particular
sponsored project with high degree of accuracy and are essential to the project
existence.
Terminology
 F&A -Facilities & Administration, or Indirect Costs: Costs incurred for
common or joint objectives and therefore cannot be identified specifically with
a particular project.
 Examples: general office supplies, administrative support, electricity, etc.
 TDC Base – Total Direct Costs Base: This is used during budget calculations
when F&A is applied to the total amounts of direct costs with no exclusions.
 MTDC Base - Modified Total Direct Costs Base: Excludes items on which
UMBC does not charge F&A, as negotiated in our Indirect Costs Rate
Agreement. Examples – tuition, rent, equipment over $5k, and subawards over
$25k.
 P-cost - Participant Support Costs: P-costs are costs for a project that are
specifically for people who come to participate in the Project. Usually includes
people attending a conference or training program, except UMBC employees
and graduate students. These costs are to be treated in accordance with federal
guidelines.
Pre-Award Process
Complete the
routing form (see
example)
Attach appropriate
documentation
Proposal routed
for appropriate
signatures
Paper
Preaward
Phase
PI Develops the
Proposal
Develop the
proposal budget
Paper/
Electronic?
Electronic
Complete online
proposal form
Attach appropriate
documentation
Electronically route
the proposal for
appropriate
signatures
OSP Quick Reference (Website)
http://www.umbc.edu/research/OSP/
OSP Quick Reference
Overview of Quick Reference Guide Sections
Section
What it includes?
Sponsor Information
This section includes information regarding UMBC specific
data to include in a proposal; i.e., EIN number, addresses,
Dun & Bradstreet number, etc.
Tuition Rates FY20xx
Current Tuition Rates and Graduate Assistant Rates
Fringe Benefits Rates FY20xx
The recommended FB rate is 33% of 9 or 12 month salary and
8% for summer pay
Current Indirect Cost Rates
Summary of Rate Agreement Rates
PI Proposal Handbook
Sponsor Links
Electronic Submission
Funding Opportunities
Role of PI, Role of OSP, Routing Process
Federal, State, International, Foundations/Associations, Local
Government, Private
OSP Grants.gov package upload
Community of Science, Foundation Directory, Grants.gov
Preparing A Budget
 When preparing, or reviewing, the proposal budget, you must take
the following into consideration:
o Are there enough funds in the budget for the resources required to do the
proposed work?
o Are there funds for tuition for Graduate Assistants, if appropriate?
o Are there funds for health benefits for Graduate Assistants, if appropriate?
o Is summer salary included for the PI or Graduate Assistants?
o Did you include F&A?
o For multi-year Sponsored Projects, did you account for inflation for each
subsequent year, commonly 4% per year?
Ranges for Various Budget Items
Category
Range
Comments
F&A (on campus research)
48%
A project is considered on-campus if more than 50% of the
work is done at UMBC. Field work does NOT constitute
off-campus research.
F&A (off campus research)
26%
F&A (instruction on campus)
55%
F&A (instruction off campus)
26%
F&A (other sponsored activities on
campus)
26%
F&A (other sponsored activities off
campus)
20%
Fringe Benefit Rate (12 & 9-month
faculty)
33%
Estimate
Fringe Benefit Rate (summer)
8%
Used for faculty summer salary, includes FICA &
unemployment.
Inflation
4%
Used in multi-year Sponsored Projects. This is a per year
%.
For a project that is not research or instruction (see manual
page 14).
Budget Categories
Budget Categories define how sponsored project funds
should be spent. A budget breakdown should include the
following:
 A separation of wages for faculty, graduate students,
undergraduate students
 An estimate of fringe benefits to be listed separately
from wages
 Other items to consider:
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Domestic/foreign travel
F&A costs
Supplies
P-costs
Tuition
Hotspots
 You cannot budget or charge clerical/admin costs to the Sponsored
Project
 When is someone a subcontractor vs. a consultant?
 Participant Costs (P-costs):
• Cannot be transferred to another line item without prior approval
• Do not include costs for a PI to attend a conference or seminar
• Are direct costs for items such as stipends, subsistence allowances, travel
allowances, registration fees paid to or on behalf of participants or trainees (BUT
NOT EMPLOYEES) in connection with meetings, conferences, symposia or
training projects
 Unallowables
• A21 Booklet provides a complete list of unallowables on a Grant or Project which
can be found on both the OSP and Grant Accounting website
It’s Time To…
WAKE UP!!
Let’s discuss/answer questions…
Sample Budget and Budget Justification
 Refer to the following handouts for samples of:
o
o
o
o
A budget
A budget Justification
A cost-sharing budget
An F&A calculation for a subaward
 THESE ARE SAMPLES ONLY. When preparing a budget or
budget justification for a sponsored project, make sure to include a
clear breakdown of all costs and an explanation for each in the
justification.
Preparing a Proposal for Routing (Paper Process)
The following are forms typically used during the
proposal submission process. All forms can be found on
the OSP website (www.umbc.edu/research/osp), and if
required, must be included as part of the complete
Proposal Submission package to OSP.
Forms
Form
When to Use the Form
Comments
Proposal Routing Form
This form must accompany all proposal requests.
This form must ALWAYS accompany the
proposal request, whether you are
responding as the Prime or the
Subcontractor on a Project.
Approval Form for Facilities and
Administrative Cost
Waivers
This form is used to request an F&A Waiver from
the University. If you answer Yes to question 12A
on the Routing Form, this form must be
completed., and accompany the Proposal
Submission
This form should still be completed if the
Sponsor has limited the F&A recovery to
ensure that all departmental personnel are
aware of that limitation.
Addendum to Routing Form for
NIH Proposals
This form must be completed if NIH is the sponsor
for the Project for which you are responding, or if
you are the subcontractor to an NIH project.
Cost Sharing Statement and
Approval Form
If you answer Yes to question 13 on the routing
form, this form must be completed, and
accompany the Proposal Submission.
This form must be signed by all parties
and must include a chart string for where
the funds are coming from.
Forms
Form
When to Use the Form
Comments
Non-Disclosure Agreement
If a company requests that either party sign a nondisclosure agreement, this form must be
completed, and accompany the Proposal
Submission.
The terms of the non-disclosure are
negotiated between OSP and the sponsor.
Assurance of Use of Hazardous
Materials
If you answer Yes to question 17A on the routing
form, this form must be completed, and
accompany the Proposal Submission
http://www.umbc.edu/safety/
Sub recipient Commitment Form
If you answer Yes to question 16 on the routing
form, this form must be completed by the sub
recipient institution and signed by an Authorized
Official.
This form includes information about the
collaborating organization that will be
used when negotiated a Subaward
Agreement.
Proposal Routing Form
After the Proposal has been written, the Proposal Routing Form must be
completed. The form can be downloaded from the OSP website
(http://www.umbc.edu/research/OSP/).
Locate the Proposal Routing Form from the available list
Proposal Routing Form
Follow the screen
instructions to open the
document. Print the
document and follow the
steps below to complete it.
Completing the Proposal Routing Form
Include: Deadline Date, Title, PI (Co-PI) Information (Name
Department, Extension, E-mail Address), and Sponsor
Information (Name, Address, Phone Number)
Completing the Proposal Routing Form – Continued
Attach all Announcement/Special Program
Guidelines and Special Certification forms. If
none exist, check “No unique guidelines apply”
Completing the Proposal Routing Form – Continued
Indicate what kind of activity, award type, type of
application and the project period
See handout for further information on the type of
activity, i.e. research, instruction, training, etc.
Completing the Proposal Routing Form – Continued
What is the first year and total project budget?
What is the F&A cost rate? Is this off campus? If this is a
different rate than the standard attach the F&A waiver
Is there any cost sharing? If so, how much? Attach cost share
form
Completing the Proposal Routing Form – Continued
• Attach budget and budget justification
• Check “Yes” if there are any additional resources required.
• If there is a subcontract to another organization, check “Yes”
and list the Subcontractor name, administrative point of contact,
phone number, and e-mail address. OSP will also need a letter of
institutional support, a budget, and a statement of work from the
Subaward organization.
Completing the Proposal Routing Form – Continued
Indicate if there are any Hazardous materials, human subjects or
animals subjects being used for the project
Completing the Proposal Routing Form – Continued
Specify up to five keywords that describe the project
Check yes or no if any equipment is required for the project
Mark whether the PI does or does not have a conflict of interest
Completing the Proposal Routing Form – Continued
PI, Department Chair/Director and Dean/Provost for each PI/Co-PI must
sign and date the routing form before it is sent to OSP.
Note: Parallel routing for signature in multiple departments is accepted
Practice
Follow instructors directions…
Proposal Routing (Paper Process)

Once a proposal is entered into PeopleSoft, it is given a
unique Proposal Number. The proposal is entered into
PeopleSoft either by the department, or by OSP.

OSP provides the final review of the proposal to ensure it
meets the University requirements, and then submits it to
the sponsor for consideration.
Electronic Routing

Is the preferred alternative to routing paper documents

By entering the information directly into PeopleSoft, you
will:
o
o
o
Eliminate the need to complete the paper routing form
Electronically attach the appropriate document (grants.gov,
RFP, Budget)
Electronically distribute the proposal for signatures
How to Start Using Electronic Routing

All PIs for the department must complete the
online PeopleSoft Access Form and submit it
to [email protected]
 Request

Worklist access
Training for Electronic Proposal Submission is
available via OSP. Please contact OSP to
schedule training.
Proposal Status in PeopleSoft

The status of the proposal can be tracked and viewed by the User
in PeopleSoft

PS Navigation:
 Grants  Proposals  Maintain Proposals
Locating the Proposal in PS
Reading the Online Proposal Screen
Proposal Status
Proposal Status
Definition
Proposal Entered by
Draft
Proposal entered into PeopleSoft, but not OSP
routed for approval
Pending Approval
Proposal is in the routing process
Department
Institution Approval
Proposal approved by Sponsored
Programs
OSP or Department
Rejected by Institution
Proposal not approved by UMBC. This
is a rare occurrence, but it could happen.
OSP or Department
Not Funded
Sponsor pulled the funding.
OSP or Department
Withdrawn
PI or UMBC withdraws the proposal
OSP or Department
Awarded
Proposal is awarded to UMBC –
spending can begin.
OSP or Department
Presales Spending
Preaward account is approved, and
spending can begin
OSP or Department
Hands – On Practice

Navigate to the Proposal Screen in PeopleSoft

Search for a proposal by PI ID (or Proposal
Number or Short Title)

Identify the proposal status (Draft, Pending
Approval, Institution Approved, Not Funded, etc.)
Module 2: Negotiation & Award Phases
By the end of this module, you will be able to:
o
Describe what to do if an Award Notification is sent from a
Sponsor to the Department
o
Identify approximate length of time it takes to complete Award
negotiations for various sponsored projects
o
Describe when you can request a Pre-Award Spending Account
Notification & Negotiation

Award Notification: When the sponsor contacts either
the PI or OSP to notify of the INTENT to award the
grant or contract to UMBC

Negotiation Process:
Negotiation
Phase
Receive Award
notification from
Sponsor
OSP negotiates
final terms of the
award with the
sponsor
Budget
change?
No
OSP and PI
approve budget
changes
Generate Award
process in
PeopleSoft
Yes
OSP notifies PI
PI makes budget
changes
Award Notification

If the Department receives an award notification from the Sponsor, the
Department MUST notify OSP immediately upon receiving the notification.

OSP performs final negotiations with the Sponsor to determine the final terms
of the Project.

If budget changes are required, OSP works with the PI and Business Manager to
make the necessary changes before processing the award in PeopleSoft.

If budget changes are made, both the PI and OSP approve the final budget.
(Rerouting for approval signatures is not required.)

OSP signs the final document.

The Award Process is performed in PeopleSoft, and a Project Number is
assigned.
Viewing Grant Documents in PeopleSoft
Grants  Awards  Projects
Viewing Grant Documents in PeopleSoft
To View Documents, you must tab over to the Attachments Tab
Viewing Grant Documents in PeopleSoft
More PS Practice:
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Navigate to the Awards Project Page in PeopleSoft.
Open a Project.
Identify if documentation exists for the Project
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
I.E.; Award Document, Budget, Routing, Cost Waivers, Cost Sharing Forms,
Solicitations, etc.
If documentation exists, open a document.
Timeline
**Please note that this is a very general, approximate, and ideal timeline**
Award Types

A Grant specifies that the University will perform tasks for a Sponsor in
order to accomplish a public purpose. There is no substantial involvement
from the Sponsor.

A Cooperative Agreement is similar to a Grant, with the main difference
being that there will be substantial involvement from the Sponsor.
(UMBC Example: JCET Cooperative Agreement)

An IPA is an agreement with a State or Federal Agency that allows a
UMBC employee to work part- or full-time for the Agency and UMBC gets
reimbursed for the salary, fringe benefits and any applicable travel
expenses. F&A costs are usually not allowed in IPA agreements.

An MOU is an agreement, typically with a State Agency, to transfer funds
to UMBC in exchange for work. It is generally treated as a contract.
Award Types

A Subaward identifies a project where UMBC is NOT the prime
contractor, but will be working as a subawardee to the prime grant
recipient.

A Contract is the agreement vehicle used when the University is
performing tasks for a Sponsor, with a specific deliverable, which is for the
direct benefit of the Sponsor. Contracts are more restrictive than Grants,
are typically awarded as a fixed priced or cost reimbursement, and have a
limited amount of time in which to perform the work.

A Government Subcontract is a subcontract under a government prime
contract to a private company or another institution of higher education.
These are typically hardest to negotiate because they include flow down
clauses from the prime contract as well as new clauses introduced by the
prime contractor.
Pre-award Requests

Pre-award requests allow you to begin charging to a Project before
the final award notification is received from the Sponsor.
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Pre-award requests are approved at the sole discretion of the Chair and
Dean.
OSP will perform a risk assessment and advise the Chair and Dean when
making a decision.
A Pre-Award Request Form MUST be signed (and noted with appropriate
chart string and funding source codes) and delivered to OSP for approval.
If you receive a Pre-award account, incur expenses as you
normally would for a project.
Billing is held until award is received
The Pre-award Request Form can be located on the OSP website
at www.umbc.edu/ospa/ospaforms.html.
Award Phase Process
Award Phase
OSP generates
the Award process
that transitions the
proposal data to
Post-award in
PeopleSoft.
OSP sends Event
Notification electronic
document w/Grant
Information to Grant
contact list
Grant Accounting
sets up HR
Account Codes in
PeopleSoft
OSP sends budget
information to
Grant contact list
Grant Accounting
notifies the
department via
email of the HR
Account Codes
Event Notification

Provides details about the Sponsored Project that
the department needs in order to begin
performing work on the Sponsored Project

Contains entire award history starting with the
initial proposal submission

Email notification to Department and OCGA will
include a copy of the info-sheet, award
documents and budget
Grant Management Process
Grant
Management
Department
Administration
Implement Grant
Proposal
Overhead
waived?
Costshare?
Payroll
Considerations
Participant
Costs
Multi-year
Grant?
Subrecipients
Module 3: Getting Help
By the end of this module, you will be able to:

Locate OSP Personnel contacts online

Name who can help you with proposal and
budget questions in OSP
OSP Grants and Contracts Team
OSP Grants and Contracts Team
Scroll to Bottom of Page for the
Manager and Specialist in each
College and/or Center
OSP Organization/Responsibilities 2011
Main OSP Contact/Reference
UMBC Office of Sponsored Programs
Engineering 329
[email protected]
410-455-3140 (Phone)
410-455-1876 (Fax)
www.umbc.edu/research/OSP
2011-2012