Transcript Document

Nuts & Bolts of Budgets and
Electronic Submissions
for
Research Development Fellows
Sponsored Programs Office Contact Information
OSP Director
Jeanne Wicks
472-1825
[email protected]
Associate Director
Suzan Lund
472-1930
[email protected]
Assistant Directors
Deb Arent
472-6327
Mike Behne
472-6323
[email protected]
[email protected]
Sponsored Programs Office Contact Information
Grant Coordinators
Nancy Becker
472-3601
[email protected]
Shelly Cutsor
472-2247
[email protected]
Julie Poykko-Post
472-6174
[email protected]
Contract Coordinator
Andy Budell
472-3759
[email protected]
Sponsored Programs Office Contact Information
312 N 14th Street
Alexander Bldg West
Lincoln, NE 68588-0430
Ph 402-472-3171
Fax 402-472-9323
http://research.unl.edu/sp1
Official Applicant/Recipient Entity:
The Board of Regents of the University of Nebraska
for the University of Nebraska-Lincoln
use same address as above
Idea
Funding Source
Notify Dept/College Admins of Plans
Proposal Development
Notify OSP & Start NUgrant Record
Prepare Agency Forms
Completed Pkg to Dept/College Support for Review
Nearly Final Pkg to OSP for Review
Make OSP Required/Suggested Changes
Final Pkg to OSP for Submission
Internal Processing of Proposals
• All proposals must be internally routed through NUgrant
to department, college and OSP for review prior to
submission to sponsor
Note: Pre-proposals do not require routing unless a detailed
budget or cost share is required.
• Provide proposal to OSP for complete review 2 days prior
to deadline
• Proposals received with less than 2 days for review are
submitted with conditional approval. If subsequent review
reveals that proposal does not conform to institutional requirements,
proposal may be withdrawn.
• Many electronic systems in use – no forgiveness of
tardiness
Tips for smooth transition from approval
to submission
• An early “heads-up” to the people who would be
involved in the approval process
• Prepare the routing form in NUgrant as soon as
you know you are submitting a proposal
• Get early budget assistance through your
dept/college support or the Office of Sponsored
Programs
• Build in time for administrative review (2
business days) & approvals (2-3 business days)
and OSP review (2 business days). Remember,
any of these reviewers could recommend
and/or require changes prior to submission!
Signature Authority
• Sponsored Programs has authority for
– proposal submission
– negotiation and acceptance of grants and contracts
Note: IANR has signature authority for proposals and
awards to/from USDA
• If a document commits university resources (people,
building space, funds), proper signatures are required
Note: PIs, deans, chairs and others are not authorized to
sign any proposals, agreements, or any other legal
document on behalf of the Board of Regents of the
University of Nebraska.
Responsibilities of PI/Department
•
•
•
•
•
•
Prepare proposal according to guidelines
Complete all sponsor forms
Often done
simultaneously
Route proposal through NUgrant
Notify your Pre-award Coordinator early
Make required copies
Have proposal to OSP 2 business days prior to
the deadline
Note: DHL picks up at OSP at 3:30 pm daily (paper
submissions)
Agency Electronic Submission Systems
•
•
•
•
NSF – FastLane
NASA – NSPIRES
DTRA
Grants.gov
–
–
–
–
–
–
UNL is registered
IBM Forms (PureEdge) – Adobe
download the package & instructions
follow instructions carefully
email .xfd package to OSP upon completion
is a submission portal, not final destination site – no data
remains at www.grants.gov
– NURAMP training session 9/25
Budget Planning
• Start the budget early in the proposal
preparation process.
• Budget caps may limit the scope of work.
• The budget should reflect the scope of work.
• Make sure to use the current rates.
• Utilize budget tools and/or ask for help.
• OSP resources at http://research.unl.edu/sp1
Budget Planning
• Is cost sharing required? If so, ensure
approvals early.
• Avoid unnecessary cost sharing.
“The investigator will devote 10% effort to the project during the
academic year.”
(Effort related, quantifiable. Use when cost share is mandatory.)
vs.
“The investigator will devote the effort necessary to ensure that the
scientific and educational outcomes of the proposal are met.”
(Outcome related.)
Purpose and Elements of a Good Budget
• To present and justify financial needs to fulfill the
scope of the project
• Provide a roadmap for successful progress of work
• Reflect project goals financially
• Clear
• Realistic
• Conforms to regulations and policies
–
–
–
–
federal
agency
institutional
program specific
Common Reviewer Issues to Avoid
•
•
•
•
Budget too small for project size
Budget inflated for project size
Justification does not support budget
Budget and justification do not reflect project
aims
Budget Considerations
• Costs to a project must meet the criteria in
OMB Circular A-21 (if a federal project)
• Primary Principles – all costs must
–
–
–
–
Be reasonable
Be allocable
Be treated consistently across the institution
Conform to any limitations or exclusions described
in these principles or in the sponsored agreement as
to types or amounts of cost items
The cost is unallowable if all principles aren’t met!
Steps for Developing a Budget
• Review solicitation to help determine which
costs are allowable, allocable, and reasonable
for the proposal
• Determine start date – make sure it falls
within sponsor guidelines
• Determine if cost share is required and if F&A
is allowable or restricted
• Utilize budget & justification templates from
OSP website
• Include costs based on project needs
Facilities & Administrative (F&A) Costs
• Also known as overhead or indirect costs
• F&A costs are those that are incurred for common or
joint objectives which cannot be readily and
specifically identified with a single sponsored project
• Real costs to the university to maintain resources and
infrastructure to do research
–
–
–
–
Heating and air conditioning
Building maintenance
Administrative salaries
Snow removal
• UNL has a federally negotiated rate agreement
through our cognizant agency - DHHS
Facilities & Administrative (F&A) Costs
• UNL’s F&A rate is applied to Modified Total
Direct Costs (MTDC)
– MTDC includes all direct costs except
•
•
•
•
•
•
•
equipment (over $5000)
capital expenditures
charges for patient care
tuition remission
rental costs
scholarships and fellowships
the portion of each subaward in excess of $25,000
• F&A costs are incurred on actual expenditures
F&A Policy
• Request full negotiated rates on all proposals
• If sponsor has a published standard limited rate or
does not allow F&A costs, UNL will accept (usually
foundations)
• If sponsors request use of a less than full F&A rate, PI
must route a request well in advance of deadline
• Requests for F&A reductions must be thoroughly
justified and signed by the appropriate department
chair and dean then submitted to OSP for review and
consideration. Requests should not be directed to the
Vice Chancellor for Research.
• Waivers of F&A costs are generally not allowed.
Other Considerations
• Cost of living increases on multi-year awards
• Cost share requires institutional approval (via
NUgrant) prior to proposal submission
Budget Justification
• An explanation of the items included on
budget form
• Most important part of the budget!
• Fully justify every person listed in the proposal
• Fully justify every budget category in order of
budget form
• Make it easy for a reviewer to understand the
proposed costs on the budget
Budget Justification
• Justify any items that would normally be
unallowable or treated as F&A cost or require
sponsor approval
• Provide budget details in the justification
rather than list in budget
– Cost Accounting Standards 501 requires that our
accounting system accumulate level of detail that is
proposed in the budget
Cost Share
•
•
•
•
Project costs not borne by the sponsor
Cannot be met through federal sources
Two types – mandatory and voluntary
Voluntary cost share becomes mandatory if the
proposal is awarded
Cost Share
• Cost sharing has to be tracked and reported
• Don’t quantify unless needed
• Examples of acceptable wording to avoid
quantifying
– The PI will devote the necessary time to complete the project
– The department of X will provide the necessary equipment to
accomplish the proposed research.
– Computer support for the project will be provided by the College
of X.
• You cannot cost share an item more than once
• As a general rule, avoid it, if possible!
Reminders
• OSP hours are 8-5 Monday through Friday
• OSP cannot be responsible for proposals
arriving at OSP after 5 pm
• OSP must review documents prior to signing –
allow plenty of time, minimum 2 business days
• Deadline includes a review by OSP prior to
submission
• Plan ahead to ensure proposal has best chance
for success.
Copyright 2008, The Board of Regents of the
University of Nebraska. All Rights Reserved.