Grant Overview, Budget Development and Post Award Processing Workshop

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Grant Overview, Budget Development and Post Award
Processing Workshop

• Sponsored by USCRF and School of Public Health

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Organization Structure for USC Research
Foundation
USCRFs mission Advance the academic and research
enterprise at USC
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Overview of the Grant Process

• Wanda Hutto

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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.

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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/

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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

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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/Foundatio
  ns
• 7-4095
• Hshowman_at_sc.edu

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Proposal Review Process
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Proposal Idea

• Developed by Faculty
• Funding Source Identified
• Grant Process Begins

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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/alertpa
  ge.htm
• Contact Proposal Development Coordinator
• Funding Agency
• Topic should be compatible with agency funding
  interests
• Consider agency limits on budget, applicants, and
  geographic area

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Next Steps

• Write the Proposal
• 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/assigns
  01.htm

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Proposal Submission Process

• Complete SPAR Form
• http//spar.research.sc.edu/sparforms.html
• Proposal
• Sponsor Guidelines

SUBMIT PROPOSAL 3 DAYS PIOR TO DEADLINE
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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

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Facilities and Administrative (FA) Cost Rates
On-Campus Rate FY03 FY04
Off-Campus Rate FY03 FY04
For more information http//www.spar.research.sc
.edu/indirectcost.html
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Where Indirect Dollars GoAs of July 1, 2002
1 of Indirects
College 43 cents Departments Faculty Start-up
costs Equipment Matching
USCRF 43 cents Start-up costs Equipment
Matching Internal Grants Administration
Facilities Fund 14 cents New Construction Renova
tion
SCHOOL OF MEDICINE HAS A DIFFERENT DISTRIBUTION
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Fringe Benefits

• Current Rate 19.10
• Dates Effective July 1, 2002 through June 30,
  2003
• http//www.spar.research.sc.edu/fringebenefit.html
  

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Certification Form
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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

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Administrator Additional Duties

• Assigned Proposal Number
• Enter into Database
• Transmittal Letter
• Attachments (varies by sponsor)
• Debarment Forms
• Lobbying Disclosure
• Drug-Free Workplace Forms
• Affirmation Action Forms
• Copy of Board of Directors
• Copy of Indirect Cost Rate Agreement

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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

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Award Process

• Bonnie Feary

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How An Account is Determined?

• F Federal
• G State
• H Municipal/County
• J Business/Industry
• K Foundation/Non-Profit
• L Other/Hospital

A Research L Service J Training Q Equipment V Dona
ted Equipment P Graduate Assistant
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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/

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Budget Preparation

• Maxine Mixon, Prevention Research Center
• LaVerne Shuler, Exercise Science
• Stephen Wilson, Office of Research
• ARNOLD SCHOOL OF PUBLIC HEALTH

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Overview

• Whats covered
• Pre-preparation Checklist
• Budget Preparation Resources
• Key Budget Issues
• Post-preparation Checklist
• Sample Completed Budget Forms

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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

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Proposal Budget Preparation Guide

• SPAR website http//www.spar.research.sc.edu/pre
  pguide.html

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Key Budget Issues
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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) ?

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Key Budget Issues (continued)

• Travel (LaVerne Shuler)
• Other Expenses / Costs (L. Shuler / S. Wilson)
• Consortium / Contractual Costs (Maxine Mixon)
• Consultants (LaVerne Shuler)
• FA (Indirect) and MTDC Costs (Stephen Wilson)
• Cost Sharing and Matching (Stephen Wilson)

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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/modu
  lar.htm
• Features (handout)
• FAQ (handout)

SPECIAL NOTE SPAR requires a detailed,
itemized budget for each funding period.
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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
• Fringe Benefits
• Specifically identified to each employee
• Check SPAR website for latest rates
• Fringe Benefits Calculator

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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.

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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.

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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
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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

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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.

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Implementation Plan For RestructuringGraduate
Student Assistantships

• All graduate assistants In-state tuition rate

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Tuition Budgeting

• For Graduate Assts
• 1,753 per full time (20 hrs/wk) GA
• 877 per half time (10 hrs/wk) GA
• Goes under other expenses if allowed by agency
• Excluded from IDC computation
• Must be indicated as cost of department on PAP
• form (item 1) if not covered by funding agency.

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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.

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Consortium / Contractual Costs

• Requirements
• Separate statement of work.
• Detailed budget.
• Written confirmation of institutional commitment.
• Submit USC Procurement Exemption Certification
  Form.

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FA (Indirect) Costs

• Use appropriate FA cost rates
• On-campus, off-campus, effective dates
• F A (indirect) costs exclude
• Capital expenditures
• Equipment
• Renovations and Alterations
• Buildings
• 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)

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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.
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COST SHAREan 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.

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Post-preparation Checklist

• Verify budget is consistent with proposal.
• Check all calculations.
• Verify fringe and FA 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.
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Sample Completed Budgets
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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

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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/

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NATIONAL SCIENCE FOUNDATION (NSF)

• Each year must have a budget and a cumulative
  budget for total project.
• Summer salary for faculty is restricted to
  two-ninths of the academic salary.
• Personnel is divided into two categories
• Senior Personnel and Other Personnel
• All other budget categories similar to NIH
• Statutory cost share of 1 is required
• Not required on application

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Sample PHS 398
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Contact Information
Maxine Mixon, Prevention Research Center Tel
777-2830 Fax [phone] E-mail
mmixon_at_gwm.sc.edu LaVerne Shuler, Department of
Exercise Science Tel [phone] Fax [phone]
E-mail laverne_at_gwm.sc.edu Pam Weiss, Director,
Office of Research Tel [phone] Fax [phone]
Email pweiss_at_gwm.sc.edu Stephen Wilson, Office
of Research Tel [phone] Fax [phone]
srwilson_at_gwm.sc.edu


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Post Award and Grant Processing

• Tonya Lewis and Linda Zinna

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The Process
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The Review

• LIMITATIONS
• Fixed Price Contract
• Cost Reimburseable
• Line Item Restrictions
• Unallowable Costs
• Matching Requirements
• Voluntary
• Mandatory

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The Review

• F A COSTS
• Special Rates
• Change in Rate
• Modified

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The Review

• REPORTING
• FINANCIAL
• TECHNICAL
• PATENT
• EQUIPMENT

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Monitoring

• MONTHLY MANAGEMENT REPORTS
• LEVEL I

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Grant Accountants

• Peggy Walsh
• Nicole Walukewicz
• Neal Woody
• Linda Zinna
• Fax CGA at
• 777-8817

• Mike Hamilton
• Tonya Lewis
• Tracy Pham
• Gina Thomas
• Call CGA at
• 777-4850

Website www.cga.sc.edu