Transcript Slide 1

Conducting your
Scholarly Work
Finding Sponsors, Preparing and
Submitting Proposals, Accepting
and Managing Awards
Office of Grant and Contract Services
January 24, 2009
Introductions
Winnie Ennenga
Director of Grant and Contract Services
[email protected]
Bobbie Ursin
Senior Grant and Contract Administrator
[email protected]
Cindy Judge
Grant and Contract Administrator
[email protected]
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Workshop Goals
• Understand the context within which
research and other sponsored activities
are conducted at NAU.
• Identify best practices and strategies for
identifying sponsors and funding
opportunities, preparing and submitting
proposals, and managing sponsored
projects.
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What is the context for
sponsored activities at
NAU?
How do we distinguish sponsored
projects from other externally
funded activities?
Who are the primary individuals
and offices with responsibilities for
sponsored projects?
What is a sponsored project?
• A sponsored project is any externally
funded research, instruction, service, or
scholarly activity binding the University
to a defined scope of work or set of
objectives that provides a basis for
sponsor expectations.
– Sponsored projects are always managed
by the University.
What is a sponsored project?
• A gift or donation is a voluntary and
usually irrevocable transfer of money,
services or property from a donor
without any expectation of or receipt of
direct economic benefit or provision of
goods or services from the recipient.
• All gifts to NAU are administered
through the NAU Foundation.
Who can be a Sponsor?
• Individuals, non-profit foundations or
organizations, for-profit companies,
and federal, state, local or tribal
government entities.
• Private sector entities may act as
either donors or sponsors depending on
how the funds are conveyed, but
awards from governmental entities are
ALWAYS considered sponsored
projects.
Who are the main players and what
are their responsibilities?
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Principal Investigator (PI)
Chair and Dean
Vice President for Research
Office of Grant and Contract Services
(OGCS)
• Regulatory and fiscal compliance offices
Principal Investigator
• Identify a potential sponsor or funding
opportunity
• Prepare the proposal and provide the
required certifications
• Conduct and complete the technical work,
including required reports
• With assistance from the department/unit,
manage the project in accordance with
sponsor, University, ABOR, and applicable
local, state, and federal laws and regulations
Chair and Dean
• Certify that each has reviewed and
approves the proposal submission, and
concurrence with the representations
made by the PI and/or the department
• Approve the proposed level of effort,
and commit to provide the identified
cost share or other resources
• Confirm the project fits the mission and
contributes to the attainment of
department and college goals
Vice President for Research
• Technology transfer/intellectual property
protection
• Regulatory compliance
• Research support services
• Internal research awards
• Institutional cost share or match
• Indirect cost and/or tuition waivers
Regulatory Compliance
• Institutional Review Board (IRB)
• Institutional Animal Care and Use Committee
(IACUC)
• Radiation Safety Committee (radioisotopes
and radiation-emitting equipment)
• Institutional Biosafety Committee (IBC)
• Toxic chemicals
• Waste management
• Responsible Conduct of Research
• Compliance with Import/Export Regulations
Office of Grant and Contract Services
• OGCS is the central administrative
office responsible for authorizing and
submitting proposals for extramural
funding.
• After a proposal has been submitted,
OGCS negotiates and accepts the
award and provides non-financial
administrative oversight of the funded
project.
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Office of Sponsored Projects Services (SPS)
• The Office of Sponsored Projects
Services (SPS) is responsible for
financial accounting and fiscal oversight
of sponsored projects, including
monitoring budgets and accounting
records, preparing financial reports and
invoices, and award closeout, working
with PIs and departmental/unit
managers.
Best Practices and
Strategies
Finding Sponsors
Preparing and Submitting
Proposals
Managing Awards
Finding Sponsors
Finding Sponsors
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Subscribe to electronic funding services
Use NAU funding database
Utilize internet resources
Attend professional conferences
Serve on agency review panels
Review agency funding patterns
NAU Resources
• SPIN – (Sponsored Programs
Information Network) is a searchable
funding opportunities database
• SMARTS (SPIN Matching and
Researcher Transmittal System)
matches keywords to opportunities
listed in SPIN and e-mails opportunities
directly to you. SMARTS will only send
opportunities that match your keywords.
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NAU Resources
• “Leveraging the Internet”
http://www.research.nau.edu/OGCS
– Includes links to public domain websites
providing funding information, targeted
funding opportunities, funding alert
subscriptions
– “Best practices” for using the internet to
find funding opportunities
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Public Domain Websites
• Duke University, for example, publishes
a Funding Alert Newsletter
– http://www.ors.duke.edu/funding-newsletter
(click on current weekly posting)
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Arts & Humanities
Curriculum Development
Graduate and Postdoctoral Funding
International Opportunities
Physical Sciences and Engineering
Community Development
Environmental and Life Sciences
Health Sciences
Multidisciplinary
Social Sciences
Subscription Services
• My NSF, National Science Foundation
– http://www.nsf.gov/mynsf/
• National Institutes of Health Listserv
– http://www.grants.nih.gov/grants/guide/lists
erv.htm
• GrantsNet: Undergraduate Science
Training Education
– http://www.grantsnet.org/funding_news_ale
rt.cfm
Federal Opportunities
• Grants.gov contains opportunities in 21
categories in excess of $400 billion in
annual awards: www.grants.gov
• Agency websites also list funding
opportunities
• The Federal Register is the official daily
publication for rules, proposed rules,
and notices of Federal agencies and
organizations: www.gpoaccess.gov/fr
ARRA Funding Opportunities
• American Recovery and Reinvestment
Act (ARRA) of 2009
– All ARRA funding opportunities are listed
on grants.gov
• http://www07.grants.gov/search/search.do;jses
sionid=?mode=CATSEARCH&fundActivity=RA
– Agency websites also are required to list
ARRA opportunities
Preparing Proposals
What is a proposal?
• A proposal is a request for funding that
includes all the information necessary to
describe project plans, staff capabilities
and funds requested.
– Concept Papers, Letters of Inquiry, and
Pre-proposals may not require institutional
endorsement
– Full Proposals are officially approved and
submitted by the University on behalf of a
principal investigator
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Review the Program Announcement
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Program description
Eligibility requirements
Agency Contacts
Review process
Proposal deadline and submission
requirements
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Writing the Proposal: Pre-award issues
with post-award consequences
• Subrecipients:
– Are proposed collaborators financially
stable, able to comply with flow-down
provisions, committed in writing?
• Consultants
• Compliance issues (IACUC, IRB, IBC)
• Budget restrictions and/or costshare/match requirements
• Health or safety concerns
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Writing the Proposal: Pre-award issues
with post-award consequences
• Space considerations
• Continuing obligations after termination
• Special restrictions or requirements
involving
– intellectual property
– publication
– proprietary information – data ownership
• Faculty release time/workload issues
• Foundation proposals
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Preparing the Budget
Budget Development
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Resources
Source for cost estimates
Proposed start date
Project duration
Sponsor requirements/restrictions
Deliverables
Format
Direct and Indirect Costs
• Direct Costs
– Costs easily identified and quantified,
which related directly to the project
• Indirect Costs/F&A
– Costs which cannot be precisely identified
and quantified to a specific project
Direct Costs
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Salaries and Wages
Employee-Related Expenses (ERE)
Equipment
Travel
Trainee Support/Participant Support
Other Costs
Consultants
Subcontracts
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Indirect Costs
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Office Supplies
General Purpose Equipment
Administrative Support
Utility Costs
Space Usage
Other Institutional Resources
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Salaries and Wages
• NAU personnel
– Actual salary/wage
– Effort may be academic and/or summer
– Future budget years
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Employee-Related Expenses (ERE)
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Health and Dental Insurance
Life insurance
Disability insurance
FICA and Medicare Taxes
Unemployment insurance
Retirement
Fringe benefit (ERE) rate calculator:
http://www.research.nau.edu/OGCS/forms.html
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Equipment
• NAU defined equipment – unit cost of
greater than $5,000 and useful life of at
least one year
– Special purpose equipment
– General purpose equipment
– Unallowable unless approved in advance by the
sponsor
• Use the sponsor’s definition if one is
given
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Travel
• Transportation
– Airfare, taxis, car rental, etc.
• Lodging
• Per Diem
– Meals
– Incidentals
• AZ State Rates:
http://www.gao.state.az.us/publications/SAA
M/Supp_I_trvrates-012308.pdf
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Trainee Support /Participant Support
• Trainee Support – tuition, registration
fees, student health insurance, student
travel
• Participant Support – subsistence
allowances, travel allowances and
registration fees paid to or on behalf of
participants in connection with
participation in a project or meeting
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Other Direct Costs
• Supplies and Materials
• Communication Costs
• Miscellaneous
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Consultants
• Experts - specialized knowledge and skills
– Not AZ university employee
– Advise and/or provide services
– Evaluators
– Presenters
• Review sponsor guidelines for restrictions
or maximum daily rates
• Review NAU Purchasing Policy, Guide to
Using Independent Contractors
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Subcontracts
• Transfer of scientific or programmatic
efforts through an agreement to another
organization
• Subcontractor’s proposal includes
statement of work, detailed budget,
period of performance, key personnel
• Sole Source Justification vs. Bid
• Cost analysis, plan for subrecipient
monitoring, etc.
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Indirect Costs
• NAU Rate Agreement
– Modified Total Direct Costs (MTDC) base
excludes equipment, tuition remission,
scholarships and fellowships, and
subcontract costs > $25,000
– Different rates for research, instruction,
and “other” sponsored activity
– http://www.research.nau.edu/OGCS
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Indirect Costs
• Rates Effective July 2008
MTDC: Modified Total Direct Costs
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Research: On Campus: 48.5% MTDC
Instruction: On Campus: 51.2% MTDC
Other Sponsored Activities: 28.6% MTDC
Off Campus: 26.0% MTDC
• MTDC excludes equipment, capital
expenditures, tuition remission, rental costs of
off-site facilities, scholarships and fellowships,
and includes only the first $25,000 of each
subcontract
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Budget Justification
• Detailed explanation of budget items
• Discuss budget items including
– Special administrative and/or clerical costs
– Special equipment needs
– Consultants and subcontractors
Provide sufficient detail to justify need
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Submitting Proposals
Process Overview
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Early Proposal Notification Form
OGCS Number Assignment
Proposal Approval Form (PAF)
Financial Disclosure Form
OGCS Review, Approval and Mailing
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Are you writing a proposal?
• Submit Early Proposal Notification Form
• OGCS Number Assignment
Proposal Approval Form (PAF)
• Initiated by PI
• PI obtains appropriate approval
signatures
• Incomplete PAFs may result in
submission delays
• PAF is required for new and
continuation proposals, and revised
proposals with substantial changes.
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Proposal Approval Form (PAF)
– PI is responsible for securing regulatory
approvals
• Some sponsors allow “just in time” submission
at the award stage; others require complete
documentation as part of the proposal. Check
proposal guidelines and/or discuss with GCA.
• Contact the appropriate NAU compliance office
for guidance about necessary forms.
– http://www.research.nau.edu/compliance.html
– Investigators’ Financial Disclosure Form
– Subcontract Documents
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Proposal Approval Form (PAF)
• Cost Sharing
– Required Cost Share
– Voluntary Committed Cost Share
– Third Party Cost Share
– Tuition and Indirect Cost Waivers
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Proposal Review
• Grant and Contract Administrator (GCA)
reviews to determine:
– Compliance with University policies
– Compliance with sponsor requirements
– Inclusion of all required forms
– Confirm NAU statistical information
– Completeness and accuracy of the
proposal documents
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Proposal Submission
• GCA obtains authorizing official
signature and/or approval to submit
electronically
• The proposal is submitted per the
agency guidelines
– Electronic
– Paper and/or CD
– Both
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Accepting and
Managing the Award
PI Responsibilities
• Conduct and manage the scope of work
• Hire and manage project personnel
• Authorize, review and monitor financial
transactions
• Technical/Scientific reporting
• Coordinate subcontractor activities
• Communicate with program officer
• Understand and comply with sponsor
requirements/regulations
Department/Unit Responsibilities
• Provide necessary administrative staff
– Procurement
– Payroll
– Travel
• Monitor spending
• Review and oversee financial transactions
for allowability (sponsor, state, federal,
NAU)
• Coordinate actions with OGCS and SPS
Department and College
• Provide administrative staff to assist
with procurement, payroll, travel, and
other financial transactions, as well as
assist with interpretation of financial
data in the NAU Advantage system.
College Responsibilities
• Review and authorize award actions
including pre-award or at-risk accounts,
no-cost time extensions, etc.
• Identify unrestricted fund sources, when
necessary, to cover matching
requirements, overdrafts, or
disallowances
• Assure that the project is completed in
compliance with sponsor requirements.
SPS Responsibilities
• Establish account and oversee all financial
transactions
• Assure that transactions are reasonable,
allowable and allocable
• Understand regulations relating to each
award
• Prepare and submit financial reports
• Monitor sub-recipients/subcontractors
• Prepare and certify property reports and
other closeout materials
OGCS Responsibilities
• Negotiate terms and conditions of awards
• Interpret sponsor, federal, state and NAU
regulations
• Authorize the establishment of a sponsored
project account
• Issue subrecipient agreements
• Advise PI, department/unit, college and SPS
on post-award requirements
• Authorize or request sponsor approval of
award modifications
• Liaison with sponsor
Federal Regulations
Applicable to
Educational Institutions
Cost requirements for federal awards
• Charges to federal awards must comply
with Office of Management and Budget
(OMB) Circular A-21: Cost Principles for
Educational Institutions:
– Government will pay its “fair share” of
direct and indirect costs
– Some costs are specifically Unallowable
– Costs must be Reasonable, Allocable and
Allowable, and treated Consistently
Costs Must be Reasonable
• A prudent person would pay this
amount
• The timing of the purchase is in line with
the objectives of the project
• Consistent with NAU policy
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Costs Must be Allocable to the Project
• Required to conduct the work of a
specific project
• Can be assigned to the project with a
high degree of accuracy
• Directly benefit the project
• If the cost only partially benefits the
project, it must
– Have a documented allocation plan
– Be charged in proportion to the benefit
Costs Must be Allowable
• Comply with NAU policies
• Comply with sponsor policies and/or
restrictions
• Comply with state and federal laws and
regulations
Costs Must be Allowable
• If an allowable cost is one that IS
eligible for reimbursement by the federal
government, then
• An unallowable cost is one that IS NOT
eligible for reimbursement by the federal
government.
• Any cost designated as unallowable
cannot be used as cost sharing.
“Unallowable” Charges to Federal Awards
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Alcohol
Charitable contributions
Entertainment costs
Advertising and public
relations costs
• Fines and penalties
• Gifts and flowers
• Transfers to cover
overspending on other
sponsored awards
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Fundraising
Lobbying
Student activities
Memorabilia,
promotional materials
• Cash donations to other
parties
• Memberships in social,
dining, or country clubs
Requirement for Consistency
• Costs must be reasonable, allocable, and
allowable
• A-21 also requires costs to be treated
consistently as either Direct or Indirect (F&A)
costs
• Costs “normally” treated as F&A may be
charged directly ONLY if needed for a
different purpose and circumstance.
Different Purpose and Circumstance
• Costs that are normally treated as F&A
that are going to be charged directly to
a sponsored project must be
– Readily and accurately identified with the
project
– Required because the project is a “major
project or activity”
– Budgeted and fully justified in the proposal
– Documented again at the time of purchase
Costs Normally Considered F&A by A-21
• Administrative and
clerical salaries and
fringe benefits
• Hazardous waste
disposal
• Membership dues
• Office supplies
• Personal computers
• Postage and
shipping
• Proposal
preparation
• General-purpose
software
• Telephone and fax
service (basic costs)
Administrative and Clerical Salaries and Benefits
• OMB A-21 has special rules for
administrative & clerical effort, which is
normally considered F&A
– Certain types of tasks are considered
Allocable
– Must be able to identify/track time with high
degree of accuracy
Allocable and Allowable Administrative Tasks
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Extensive data manipulation
Making complex travel arrangements
Organizing large workshops and conferences
Managing extensive field operation logistics
Coordinating with distant subcontractors
Administering a major research operation
Preparation and production of manuals and large
reports, books and monographs
• Coordination and communications for teams of
investigators from a number of institutions.
Administrative Requirements for
Federal Awards: OMB Circular A-110
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Pre-award requirements
Post-award requirements
Property standards
Procurement standards
Reports and records
Termination and enforcement
After-the-award requirements
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Audit Requirements for Federal
Awards: OMB Circular A-133
- Audits of States, Local Governments,
and Non-Profit Organizations
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Single audit requirements
Audit of pass-through funds
Subrecipient monitoring
Compliance auditing
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Case Study
Case Study:
• Professor Smith has received an NSF grant
to “Develop a digital database of plants of the
Colorado Plateau.”
• Professor Smith would like to charge these
items to the project:
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A computer system costing $7,000
Materials for his course “Plants of AZ”
$1,500 for travel to a botany conference in Italy
$13,500 for a 50% FTE administrative asst.
Cost #1: $7,000 Computer
• REASONABLE? What are the cost details?
– Computer is part of a system that includes a
specialized scanner to digitize antique photos on
glass plates.
• ALLOCABLE? How will the computer be
used?.
– Computer is itemized and justified in the budget
and is necessary for the project.
• ALLOWABLE?
– Award terms and conditions state that “This grant
is made in response to the proposal submitted…”
Cost #2: Materials for “Plants of AZ” class
• REASONABLE?
– $200 for 100 students meeting 9 times
• ALLOCABLE? What is the project about?
– Project is on Plants of the Colorado Plateau
– Course is on Plants of AZ
– Is the course related to the database work of the
project?
Cost #3: Travel to conference in Italy
• REASONABLE?
– $1,500 for five-day conference
• ALLOCABLE?
– Project is for plants of the Colorado Plateau and
the proposed conference is on Plants
– Travel was budgeted and justified in the proposal
“to present database to scientific community.”
– Are you traveling for any other purpose?
• ALLOWABLE?
– Terms and conditions do not restrict foreign travel.
Cost #4: 50% Administrative Assistant
• REASONABLE?
– Salary and fringe are within salary and grade range for
administrative assistant
• ALLOCABLE?
– Administrative assistant was budgeted in the proposal
to assist with digitizing images and database entry
• ALLOWABLE?
– Normally F&A but may be allowable, if it meets the test
of different purpose and circumstance.
• Different Purpose and Circumstance?
– Labor to digitize images and manage database will
require extensive effort above and beyond what would
normally be expected for this position.
Case Study Conclusions:
• $7,000 computer
– Reasonable, Allocable and Allowable with
documentation
• Course materials
– Reasonable but NOT Allocable
• Foreign travel:
– Reasonable, Allocable and Allowable with
documentation of direct benefit to the project.
• Administrative Assistant
– Reasonable, Allocable, Allowable and meets the test of
different purpose and circumstance with
documentation of direct benefit to the project.
Discussion
7/20/2015
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Let us know how we can help you!
www.research.nau.edu/ogcs
[email protected]
928-523-4880
THANK YOU!