Transcript Finding and Managing Alternative Funding
West Virginia University Research Office Training Session 1
Working with the Office of Sponsored Programs
8:30 a.m. Tuesday, September 4, 2012 NRCCE Classroom 125 A&B 9:00 a.m. Wednesday, September 5, 2012 HSC - John Jones 3 1:00 p.m. Wednesday, September 5, 2012, Mountainlair Monongahela Room
Office of Sponsored Programs West Virginia University
886 Chestnut Ridge Road, 2 nd Floor Morgantown, WV 26506 http://osp.research.wvu.edu/
Mary Jane Buckland, Interim Director, OSP Assistant Secretary, WVURC [email protected]
Office of Sponsored Programs
Basic Services
Identify Funding Opportunities Budget Assistance Review and Submit Proposals Review and Negotiate Awards Establish Awards Prepares Subcontract Assists with Project Management Coordinates Project Close Out
Office of Sponsored Programs
Identifying Funding Opportunities Funding for various projects can come from federal, state and private sources--government agencies, corporations and foundations, nonprofit organizations are some examples. Goals of sponsors vary, so preliminary contact can be important if not essential. In your search for funding, some good places to start are:
SPIN-WWW
, a searchable, worldwide database of funding sources.
SMARTS/GENIUS database. provides daily e-mail announcements of funding opportunities based on the SPIN Federal Register documents. - Published by the Office of the Federal Register, National Archives and Records Administration (NARA), the Federal Register is the official daily publication for rules, proposed rules, and notices of Federal agencies and organizations, as well as executive orders and other presidential
Commerce Business Daily /Federal Business Opportunities
Internal Sources When preparing a proposal, you will need to make sure you understand the proposal process. Please review the
proposal preparation
webpage. Grants.gov: Is the Federal government’s initial solution for a “one stop shop” for finding and applying for funding
I. SPINPlus
SPINPlus Introduction What is SPINPlus?
SPINPlus
is a web-based system that includes a database of funding opportunities, a database of investigator profiles, and a matching alert service.
SPINPlus
includes three product modules:
SPIN, SMARTS,
and
GENIUS.
SPIN
Funding Opportunities database of national and international government and private funding sources.
SMARTS
Investigator Funding Alert System matches investigator profile information with SPIN. Matching is conducted on a daily basis and programs are emailed to researchers.
GENIUS
Global WWW network and database of investigator profiles of scientific and scholarly expertise.
Funding Sources (SPIN)
Funding Sources (Grants.gov)
What is grants.gov?
The Federal government’s single, online portal for any person, business, or State, Local and Tribal government to electronically: * Find Grant Opportunities * Apply for Grants using a standard application family of forms (SF 424 Research and Research Related {SF424 R&R}) A cross-agency initiative involving *900 grant programs *26 grant-making agencies *Over $350 billion in annual awards
Grants.gov
Why transition? It’s the law . . .
Public Law (PL) 106-017 * Federal Financial Assistance Management Improvement Act of 1999 Improve the effectiveness and performance of Federal financial assistance programs Simplify Federal assistance application and reporting requirements Improve the delivery of services to the public President’s Management Agenda (2002) * “Agencies to allow applicants for Federal Grants to apply for, and ultimately manage, grant funds online through a common web site, simplifying grants management and eliminating redundancies . . .”
Funding Sources
(WVU Internal Grants Program)
Senate Research Grants (1)
Support for research and other scholarly activities.
Faculty Travel Grants (4)
Support for travel to present or perform
Faculty Development Grants (4)
Support for attending and hosting workshops
Public Service Grants (1)
Support for projects of service to the citizens of West Virginia.
( ) denotes number of deadlines per academic year http://osp.research.wvu.edu/funding_source/grants
Budget Assistance General Information
Budget is one of the most essential components of the proposal Budget should be the last component of a proposal to be completed A line item budget and corresponding budget justification are required for most proposals
Budget Process
West Virginia University is required to comply with the Government Cost Accounting Standards (CAS). These standards require that the University maintain consistency in budgeting and expending, consistency in allocating costs to activities, accounting for unallowable costs and costing periods, whether or not federal funding is involved. These standards, along with Office of Management and Budget (OMB) Circular A-21, State guidelines and University policy, dictate how the University budgets and expends externally supported projects, including both government and private sponsors.
OSP Grant Budget Assistance Unit
Primary focus of this unit will be to assist the Principal Investigator (PI) with translations of the basic elements required in creating a budget that meets institutional policy, the sponsor’s guidelines, and Cost Accounting Standards The Grant Budget Assistance unit will focus on the following situations: * The PI is working on a large proposal that will have a significant effect on the institution; * The PI is working on a large proposal that involves multiple collaborations with WVU Faculty members in another department or college, as well collaborations with external institutions or organizations; and * The PI is a new WVU faculty member with minimal experience in creating a budget for a proposal.
Budget Templates & other Budget Information may be found at the following url: http://osp.research.wvu.edu/forms
Budget Creation
Direct Cost Salaries and Wages Fringes Equipment - Specify Supplies Consultants - Identify Subaward Costs - Identify Other Facilities and Administrative (Indirect) Costs Cost Sharing Program Income
Budget creation (con’t)
Sub-Awards (subcontract) vs Vendor
By definition a subcontract conducts project activities that are a primary purpose of the sponsored programs which, for whatever reason, are not conducted at the University. These activities should constitute a significant portion of the program and required the leadership and direction of a responsible investigator located at the work site of the cooperating subcontractor.
It is important to determine whether the work should be classified as a subcontract or a service agreement (vendor) at the proposal stage in order to determine F&A costs correctly.
In order to determine whether or not the work proposed to be conducted should be a subcontract or a service agreement, please complete our checklist for “Determination of Vendor or Subrecipient” found at the following url: http://osp.research.wvu.edu/r/download/22726
Budget Creation (con’t)
F &A Rates
FACILITIES AND ADMINISTRATION RATES
Facilities and Administrative (F&A) costs ( also known as "indirect costs' or "overhead costs") are those costs of an institution which are not readily identifiable with a particular project or activity but nevertheless are necessary to the general operation of the institution and the conduct of its activities. The cost of operating and maintaining buildings, grounds and equipment depreciation, general and departmental administrative salaries and expenses, sponsored programs and library costs are types of expenses usually considered as F&A costs.
F&A Rates Research on campus FY2010 46.5% off campus Instruction on campus 26% 55% off campus Other Sponsored Activity (OSA) on campus 26% 32.5% off campus 26%
Budget Creation
F & A Rates cont.
FY2011 47% 26% 55% 26% FY2012 48% 26% 55% 26% 32.5% 26.% 32.5% 26.% FY2013 48% 26% 55% 26% 32.5% 26.%
Budget Creation F & A Rates cont.
These F&A rates must be charged for all sponsored programs unless a program or an agency has been granted a legislatively endorsed restriction on the F&A rate that is to be charged, or in the case of private agencies, an established written policy exist which limits F&A Rates.
F&A is calculated on a Modified Total Direct Cost (MTDC) base – consisting of all salaries and wages, fringes benefits, materials, supplies, services, travel and subgrant and subcontracts up to the first $25,000 of each subgrant or subcontract (regardless of the period covered by the subgrant or subcontract). MTDC shall exclude equipment, capital expenditures, charges for patient care, tuition remission, rental costs or off-site facilities, scholarships and fellowship as well as the portion of each subgrant/subcontract in excess of $25,000.
Budget Creation
F & A Rates cont.
Why should my project have to pay F&A?
Is there a Procedure for negotiating lower F&A rates when the budget can’t handle the standard rate?
What are the F&A Rates for different grants/funding agencies and how do they figure into the budget?
What does the institution do with the F&A funds that are recovered ?
Budget creations
Cost Sharing
Cost Sharing is that portion of a sponsored agreement related to cost that is contributed by parties other than the primary sponsor and not directly charged to sponsored agreement account(s). Cost share can be actual dollars (salaries) or in-kind contributions to support a project (such as the value of tuition waivers). Cost sharing represents a legal commitment by the University to provide resources to a sponsored agreement, and is subject to audit.
Three types of cost sharing are as follows: * Mandatory Cost Share
* Voluntary Committed Cost Sharing * Voluntary Uncommitted Cost Sharing
Budget Creation
Cost Sharing cont.
Mandatory Cost Sharing is cost sharing that is part of the proposal budget and is mandated by the sponsoring agency. This can be in the form of a specified dollar amount, a certain percentage of total costs, or in-kind.
Voluntary Committed Cost Sharing is cost sharing that the University contributes to a project on its own initiative and is included in the proposal budget or award. Once committed, this amount becomes a legal obligation on the part of the University. Voluntary Uncommitted Cost Sharing is cost sharing that is not committed or budgeted for in a sponsored agreement. It need not be tracked for cost accounting purposes or reported to the sponsor, and if it arises from faculty or other personnel effort, it is excluded from separate identification in effort reporting. Voluntary Uncommitted Cost Sharing most commonly results from a cost overrun on a project or from research efforts which are over and above that committed and budgeted for in a sponsored agreement. Another example would be the faculty oversight of student practicums where the specific percentage of effort for the faculty’s time is not tracked on an individual project basis but is part of the faculty member’s overall teaching responsibility.
Budget Creation
Cost Sharing cont.
Cost Sharing must meet all of the following criteria: Verifiable from the department’s accounting records, including appropriate documentation for in-kind cost sharing; Necessary and reasonable for proper and efficient accomplishment of project objectives; Represents types of charges that would be allowable under the applicable cost principles and institutional policy; Provided for in the approved budget when required by the Federal agency; Expended during the sponsored agreement project period; Not paid by the federal government under another assistance agreement (unless the agreement is authorized by federal law to be used for cost sharing; and Not included as contributions for any other sponsored agreement
Budget Creation
Program Income
Program Income means gross income earned by the grant recipient that is directly generated by a supported activity or earned as a result of the award. Program income includes, but is not limited to, income from fees for services performed, the use or rental of real or personal property acquired under federally-funded projects, the sale of commodities or items fabricated under an award, license fees and royalties on patents and copyrights, and interest on loans make with award funds. Interest earned on advances of Federal funds is not program income. Except as otherwise provided in Federal awarding agency regulations or the terms and conditions of the award, program income does not include the receipt of principal on loans, rebates, credits, discounts, etc., or interest earned on any of them.
Budget Creation
Program Income cont.
For the most part, program income earned during the project period shall be retained by the recipient and, in accordance with Federal awarding agency regulations or the terms and conditions of the award, shall be used in one or more of the ways listed in the following: (1) Added to funds committed to the project by the Federal awarding agency and recipient and used to further eligible project or program objectives.
(2) Used to finance the non-Federal share of the project or program.
(3) Deducted from the total project or program allowable cost in determining the net allowable costs on which the Federal share of costs is based.
Proposal Routing and Approvals Electronic Blue Sheet (EBS)Process
On January 1, 2011, the Electronic Blue Sheet (EBS) process became the primary means through which all external funding proposals are submitted to the Office of Sponsored Programs. When faculty and investigators pursue externally sponsored research, an Application Approval Sheet (Blue Sheet) must be completed and submitted to OSP. This is an internal document that includes all the necessary information to process externally funded proposals.
In the spring of 2010, the OSP unveiled an electronic version of the Blue Sheet. The EBS allows researchers to remotely provide information for all fields required on the paper Blue Sheet. Additionally EBS also provides a dedicated server space for uploading budgets, proposal and any supplemental forms needed by OSP in the process of endorsing and submitting requests to external sponsors. The EBS system can be accessed from the OSP website under the “Forms” section.
This new electronic system assists investigators in not only streamlining the delivery of proposals to OSP for review, but also provides department administrators, department chairs, and college deans the ability to review and approve proposed budgets and effort commitments online.
Routing and Approval (EBS)
One of the most frequently encountered issues associated with the EBS is the process of adding the appropriate approver for your proposal. While OSP requires only the Principal Investigator, Co-Investigators and their associated Department chairs and Deans as approvers on the EBS, we recognize that each department and college may also have their own separate internal approval processes. The EBS was designed so that each proposal could have the approval process customized to meet these additional approval needs of individual colleges and departments.
In order to assist PIs with the process of adding more approval, OSP, along with the help of each college, has compiled a list of the required approvers for various colleges and departments. This list may be found at the following url: http://osp.research.wvu.edu/r/download/120705 PIs should remember that once all approvers have approved a proposal in the EBS, the proposals must then be officially submitted to OSP by the PI. Many times we have seen that proposal sit in the queue awaiting final submission even though all approvals have been received.
OSP Pre-Award Unit
Proposal Review
5 Working Days Review Time
Review of Program Solicitation (Where Applicable) Budget Request and Cost Sharing Commitments Applicable Rates and Institutional Policies Regarding Cost Share Completeness of Application and Forms Checks for Correct Application Package for Electronic Submission Page Limits and Font Size Regulatory Issues (Where Applicable) IRB & IACUC Small Business/Small Disadvantaged Business Subcontracting Plan State Single Point of Contact (SPOC) Mailing and Receipt Instructions Revised Budgets Additional Information Requested by the potential Sponsor
OSP Pre-Award Unit Submission Process
Institution MUST Review PRIOR to Submission Electronic Paper Most Electronic grant administration systems (e.g. grants.gov, proposal central, NSF fastlane, NIH eRA Commons) require registration in their electronic systems. While the OSP maintains the institutional registrations, there are requirements for individual registration (NSF, eRA Commons). Please contact the OSP for assistance with the individual registrations.
OSP Pre-Award Unit Provides Training on the eBS system and Grants.gov Submissions
OSP’s Contracts & Negotiations Unit
http://osp.research.wvu.edu
OSP is Administrative Contact Award Negotiation (examples) Review Terms and Conditions – which include the following Intellectual Property Copyright Student Project State Law Indemnification Termination Use of Subawards Export Control Publication Rights Visit OSP Web Site under Contracts & Negotiations Units for a checklist of terms & conditions.
Award Initiation & Management Unit
Setting Up Awards Establish Awards in Financial System to Match the Sponsor Approved Budget Multi-task Information * Departmental Activity Number Cost Share Details Coordinate with Compliance Office Identifies Important Agency Special Conditions If a subcontract(s) has been approved in the award, after accounts have been established for the project, the file is then given to the OSP Subcontract Unit to create, negotiate and finalize the subcontract document .
Award Initiation & Management Unit Setting Up Awards cont.
The following represent important elements needed to create an Award in MAP* Payment Terms Matching/Cost Sharing Level Use of Program Income Facilities and Administrative Rates Budget (high level) Property Reporting * Mountaineer Administrative Processes
Award Initiation & Management Unit
Post Award Assistance Prior Approval Requirements (Institutionally or Sponsor specific) * Pre-Award Costs * Change in PI * Change in Scope of Work * Significant change in budget * Carry-over of funds from one budget period to the next * No Cost Extensions As a reminder to each PI, a Notice of Expiration letter is provided for each active project. This letter is issued 90 days prior to the expiration date of their project and will hopefully remind PIs if they need an extension to initiate the necessary paperwork, cancel any outstanding encumbrances, or begin preparation on any final technical reports.
Subcontract & Closeout Assistance Unit
Subcontract Process When a sponsored project with a subcontract(s) is awarded to WVU/WVURC, this Unit will work with the PI to establish a formal agreement with the collaborating institution (i.e. “subcontractor”) named in the award. • • • Detailed Statement of Work Line item Budget Contract Information Once the subcontract is established it is up to the PI to monitor the technical work and review the invoices.
Subcontract & Closeout Assistance Unit
Closeout checklist Time Constraints Financial Considerations Equipment Disposition Property/Equipment Reports Residual Balances Program Income Unrelated Business Income Record Retention Inventions Report Final Invoice and Report
WVU Office of Research Integrity & Compliance (ORIC)
The ORIC is not a Unit within OSP. However, it is an important component of the research administration infrastructure.
The ORIC is responsible with helping faculty, staff and students comply with all applicable federal, state, and institutional requirements and policies. Research integrity and compliance areas covered by this office include human research protections, animal welfare, biosafety, conflict of interest in research, export control and the responsible conduct of research.
ORIC url: http://oric.research.wvu.edu/ Pages on this web site provide information on policies and procedures, guidelines, educational programs, and monitoring and accountability in the areas identified above.
Applicable Regulations
OMB Circular A-110, Uniform Administrative Requirements for Grants and Agreements With Institutions Of Higher Education, Hospitals, and Other Nonprofit Organizations; OMB Circular A-21, Cost Principles for Educational Institutions;
Applicable Regulations (Con’t)
OMB Circular A-133, Audits of States, Local Governments, and Nonprofit Organizations; and Code of Federal Regulations (CFR).
WVU Research Corporation
Fiscal Agent for Grants and Contracts Manages Intellectual Property WVURC Board is comprised of:
15 Voting Directors 3 Non-voting Directors and Assistants 3 Non-voting Supporting Directors
WVURC Officers:
James Clements – Chairperson Narvel Weese – Interim President/Executive Director Alan Martin – Secretary Dan Durbin - Treasurer
WVU Research Corporation-Human Resources The West Virginia University Research Corporation (WVURC) has chosen to provide a broad range of personnel services, having its employees work within the university environment, represent and support West Virginia University, while providing a distinct work package to its employees as a nonprofit corporate affiliate.
The WVURC Human Resources Office exists to support research infrastructure and economic development opportunities at WVU by providing flexible, responsive recruitment and employment services for its sponsored activities. It is the goal of the WVURC HR Office to capitalize upon strengths, to help its workforce anticipate and meet the needs of the research community in its markets, and to value employees through effective communications, courteous, responsive, and enthusiastic service.
WVU Research Corporation-Human Resources
For information contact: Colleen Lankford Director, WVURC Human Resources 886 Chestnut Ridge Road, Room 101 PO Box 6216 Morgantown, WV 26506 Tel: 304-293-8704 Fax: 304-293-7498
Office of Sponsored Programs Contact Information
Office of Sponsored Programs
Telephone: 293-3998 FAX: 293-7435 http://osp.research.wvu.edu/
Grants Budget Assistance Unit:
Anne Hatfield, Manager [email protected]
Pre Award:
Janet Boyles, Manager
Contracts & Negotiations Unit:
Molly Superfesky, Manager [email protected]
Award Initiation & Management Unit:
Donna Leary, Manager
Subcontracts & Closeout Unit:
Cindy Jarvis, Manager [email protected]