Grants Workshop

1. Grants Workshop Presented by: Mercer University’s Grants & Contracts Office

2. Objectives • Clarify the services of the Grants & Contracts Office • Explain the internal proposal submission process • Provide overview for funding opportunity database searches • Provide an overview for proposal budgets

3. Staff Directory DeLaine Samples, Director, Grants & Contracts Office x2627 samples_dw@mercer.eduResponsible for coordinating functions of the office to include all pre-award and post-award activities.   Additionally acting as a liaison between research faculty, compliance offices, Deans, and agencies.  Lanita Higgs-Jackson, Grants Accountant x2328higgs-jackson_lm@mercer.eduReviews proposal budgets for allowability and accuracy.  Responsible for managing post-award financial aspects of grants/contracts such as monitoring budgets, reviewing charges, calculating indirect costs, invoicing, and preparing financial reports.   Jo-Bess Deane, Grants Accountant x2811Reviews proposal budgets for allowability and accuracy.  Responsible for managing post-award financial aspects of grants/contracts such as monitoring budgets, reviewing charges, calculating indirect costs, invoicing, and preparing financial reports.   Chiquita Porter, Pre-Award Specialist x2801porter_c@mercer.edu  Responsible for preaward activities to assist faculty and staff with research and funding opportunities.   Also maintains and provides training and access to electronic systems, prepares our newsletter and reports, and serves as liaison for Grants & Contracts & Compliance.

4. Provide information about external funding opportunities Perform funding searches for faculty Assist in budget preparation/calculations such as indirect costs, fringe benefits, and allowability Review your proposal before it is submitted to an outside agency.  Assist in obtaining forms required by federal agencies Provide financial guidance and accounting support for MU faculty investigators Provide training and access to electronic systems Act as a liaison between investigators and their external sponsors Prepare financial reports required by sponsor Grants & Contracts Office Services

5. Duties of PI

6. Duties of GCO

7. Proposal Transmittal Form • Internal form used to circulate your proposal for University review and approval (not sent to sponsoring agency) • Used to obtain signatures • Dean, Departmental Chair, and Fiscal Officer (if applicable) signatures are required when proposal is submitted to our office • Grants and Contracts Office will determine other necessary approvals based on the information in the form • Serves as a checklist in order for us to know who should review your proposal • Provides a summary of award information that is helpful when award is received and account is established

8. Proposal Transmittal Form University Research Number: The tracking number assigned by GCO. Sponsor Deadline Date: Indicate the deadline of the sponsor as well as whether it is a postmark or receipt date. Project Information: Includes Title and Funding Agency. Branch/Division refers to federal agencies. Investigator Information: Includes general contact information for the Principal Investigator University Commitment: List any committed contributions by department to cover costs include your committed percentage of effort Initial Budget Period refers to Year 1 of the proposed project. Project Period refers to the entire life of the grant. Contact the Grants Accountant with Indirect Costs questions. If any boxes are checked here please refer to page 3. All compliance applications approved before project begins. Resource Allocation: Beneficial for the department chair and dean to understand exactly what resources are requested Funding Purpose: Describe the scholarship activities of the project. Signing this document ensures adherence to University and Agency policies and procedures.

9. Proposal Transmittal Form Both the Dean, Department Chair, and Fiscal Officer (if applicable) must sign and approve the proposal before it is submitted to GCO.

10. Proposal Transmittal Form (Continued from page 1) All compliance applications must be approved before project begins. Some sponsors require approval before it is submitted.

11. Search Engines • SPIN Plus • SPIN (Sponsored Programs Information Network) is a funding opportunities database designed to provide up-to-date information on current national and international government and private funding sources. SPIN contains information from thousands of different sponsoring agencies, which together fund thousands of separate funding opportunities. All of the data in SPIN is obtained directly from the sponsoring agencies to ensure the integrity of the information. Each program is updated in SPIN as the sponsoring agency updates or revises information, which is typically on an annual basis. The SPIN database is provided through annual subscription to colleges, universities, and industry clients worldwide. • Grants.gov • Grants.gov is the single Federal source for finding and applying for competitive discretionary grants for more than nine hundred Federal competitive grant programs. Here, you’ll discover standardized grant information, application packages, and application processes across all 26 Federal grant making agencies. Finding and applying for Federal grants has never been more streamlined or consistent. • Whatever type of grant interests you, Grants.gov is the ideal entry point for state, local, nonprofit, and tribal governments, academic institutions, research organizations, non-profit organizations and all other eligible entities seeking Federal discretionary grant opportunities. • Grants.gov is a direct link from the desk of the grant maker to the desk of the grant seeker. Its design and interface features make it centralized, searchable, easy to access, and easy to use.

12. SPIN Email Subscription

13. SPIN Email Subscription My Profile select SMARTS

14. SPIN Email Subscription Select Keywords

15. Grants.gov Email Subscription Grants.gov is designed to allow users to register/subscribe to receive email notifications of new grant postings that meet specific criteria. To register to receive grant postings, • Click Find Grant Opportunities from the left side navigation. • Click on the Email Subscription from the submenu. Once on the Email Subscription page, you may elect to be notified of updates, all grant notices, those with advanced criteria, grants with a specific Funding Opportunity Number (FON), or, you may choose to unsubscribe from receiving email notifications. Grants.gov Updates All Grant Notices Advanced Criteria Specific FON

16. Grants.gov Email Subscription Unsubscribe: To unsubscribe, in the For Applicants section, simply click on Find Grant Opportunities in the left side navigation from Grants.gov’s homepage. Then, select Email Subscriptions from the left submenu, and click Unsubscribe. The Subscription Services page will appear and allow you to unsubscribe from receiving emails. You will need to confirm your unsubscription. An email will be sent to your registered email address. Click the link enclosed in the email and the unsubscription will be completed. Quick Link Tip: To register to receive grant postings that meet the needs of you or your organization, you can also click on the Grant Email Alerts in the Quick Links box.

17. Funding Search Request Form

18. Proposal Budgets So Many Questions…So Little Time

19. How do I know what budget form to complete? • Grants.gov application form packages will typically include one of the two budget components • R&R Budget Component (this is the detailed version); and, • PHS398 Modular Budget Component • Sometimes application package will include both • Only ONE of these forms is required • Additional guidance should be provided in the specific funding opportunity announcement

20. What if my sponsor does not require a budget? • A detailed budget is required for institutional review/approvals • The purpose of this is to • Ensure enough funds are being requested • Allow for appropriate approvals of any cost share • Verify F&A costs and calculations • Resolve any budget issues prior to the award

21. What costs should be included in my budget? • Personnel • Equipment • Travel • Participant/Trainee Support Costs • Other Direct Costs • Materials and supplies • Publication costs • Consultants • Consortium participants • Other • F&A Costs

22. How Should I Format the Budget? • Any format that includes the basic cost categories and information discussed is acceptable for internal review • Recommendations • Use an Excel worksheet for your calculations • Follow one of the federal formats • (old) PHS 398 Detailed Budget Form • (new) SF424 Research and Related Budget • NSF Fastlane Budget form • Blank versions of these formats available (only NSF format is in Excel)

23. Example of Excel Budget

24. What if my application requires a modular budget? • Applicable only to certain research grant applications (R01, R03, R15, R21, and R34) requesting $250,000 or less per year for direct costs • Modular budgets are a simplified budget requests • Detailed categorical budget not required in submission – required by GCO • Funds are requested in modules of $25,000 • Use a realistic estimate for direct costs and round up to the nearest module of $25,000 (do not include consortium F&A)

25. Costs to Include in the Budget • Determined by OMB Circluar A-21, Principles for Determining Costs Applicable to Grants, Contracts, and Other Agreements with Educational Institutions • Budgets for sponsored programs should include • Allowable direct costs required for the project • Allocable portion of Facilities and Administrative (F&A) costs

26. What costs are treated as direct, F&A or unallowable? • A-21 Section J, General Provisions for Selected Items of Cost • Specifies if and when certain types of expenses • Are generally allowable as direct costs • Should typically be treated as F&A • Are completely unallowable • Cannot be direct • Cannot be included in calculation of the F&A rate

27. Allowable Direct Costs • A direct cost is one that can be identified specifically with a particular project • Factors that affect allowability • Must be reasonable – reflect the actions of a “prudent person” • Must be allocable - if the cost: • Is incurred solely to advance the work of the particular project • Benefits the project and other work of the institution, it can be allocated based on proportional benefit • Benefits two or more projects in proportions that can be determined without undue effort, it can be allocated based on proportional benefit

28. Facilities and Administrative (F&A) Costs • Facilities and Administrative (F&A) costs • Also known as indirect costs • Are costs incurred for common or joint objectives and cannot be specifically identified with a particular project • Costs that meet this definition cannot be charged directly to a project

29. Facilities and Administrative (F&A) Costs cont’d • These costs are recovered through the application of the F&A rate to the direct costs • Mercer’s F&A rate is negotiated with Department of Defense (DoD) • Cognizant agency is Office of Naval Research (ONR) • Rate is negotiated every three years • Current rates effective until 06/30/2014 • On campus is 57% • Off campus is 26%

30. How do I calculate F&A costs? • Modified Total Direct Cost (MTDC) Base • The F&A Rate is applied to all direct costs except: • Equipment • Subcontracts after the first $25,000 of each subcontract (regardless of the period covered) • Same F&A rate remains in effect for the duration of the agreement • University shares F&A cost recovery with School (25%) and PI (25%)

31. What if my agency’s guidelines for costs differ? • Cost treatment can vary by agency • Typically agency guidelines or agreement will be more stringent than the federal guidelines (A-21) • In the event of a discrepancy, the agency/agreement will take precedence

32. What about my specific situation? • Per A-21, the institution must treat like costs consistently • Regardless of funding source • Exceptions may be made • Case-by-case basis • Adequate justification to support different cost treatment

33. What if my sponsor limits/does not allow F&A costs? • Simply provide documentation with your application package • Either a copy of the announcement or guidelines or • Written documentation from the sponsor

34. Who should be included under the personnel section? • Senior/Key Personnel • Must contribute to the scientific development or execution of the project in a substantive and measurable way • Not determined by whether they receive salaries/compensation from the grant • Usually have doctoral or professional degrees, but other levels may be considered if involvement meets definition • “Zero percent” effort or “as needed” is not an acceptable level of involvement for key personnel (from NIH Grants Policy Statement)

35. Who should be included in the personnel section? (cont’d) • Other Personnel • Any other personnel who do not meet the definition of key personnel but are necessary to complete the work of the project • Consultants and Consortium participants should not be listed in this section • Both are included in the Other Direct Costs section

36. What amounts should I include in personnel costs? • Salary support cannot exceed the person’s base salary for the proposed effort/person months committed • OMB Circular A-21, Section J8d(1): “In no event will charges to sponsored agreements…exceed the proportionate share of base salary” • NIH has a Salary Cap (currently $179,700) • Allowable support cannot exceed proportionate share of cap • Should factor in increases in subsequent years (recommend using 2% per yr) • Not guaranteed; based on institutional policies • Grants and Contracts works with Payroll to provide and verify salary amounts included in the budget

37. What is percent of effort? • Proposed amount of time committed to the project • Usually based on full-time professional effort • Not expressed as a specified time amount like hours/week • Individual’s total time commitment cannot exceed 100% • Additional information will be requested after peer review • Once committed, any changes for key personnel effort greater than 25% require prior approval

38. What are person months? • Most federal agencies are changing to this concept in place of percent of effort • Essentially the percent of effort committed multiplied by the individual’s appointment period • Calendar year (12-month appt) • Academic year (9- or 10-month appt) • Summer term (period outside of academic year) • Either have academic/summer months OR calendar months, not both • Effort commitment can exceed salary support requested • FAQs:http://grants.nih.gov/grants/policy/person_months_faqs.htm

39. Examples • 10% of a 12 month calendar appointment equals 1.2 person months (12 x .10 = 1.2) shown in Cal. Months column • 25% of a 9 month academic year appointment equals 2.25 person months (9 x .25= 2.25) shown in Acad. Months column • 100% of a 3 month summer term appointment equals 3.0 person months (3 x 1.00= 3.0) shown in Sum. Months column

40. New Personnel Being Hired • Base salary included in application must be consistent with institutional policies and procedures • PI works with Human Resources to provide amounts included in proposals • Grants and Contracts verifies the amounts

41. Fringe Benefits • Applicable fringe rate should be applied to salary support requested in budget • Rates will vary for full-time and part-time faculty/staff • No fringes associated with student workers unless they are working while not attending classes during the summer months

42. What is Considered to be Equipment? • Any item of property that has an acquisition cost of $5,000 or more and an expected service life of more than one year • Detailed budgets require each items to be listed separately and a justification to provided • Not included in F&A Calculation • Allowable equipment purchases are usually limited to necessary research equipment and apparatus not already available for the conduct of the work

43. Budgeting Travel Costs • A justification of travel expenses must be provided which should include • Purpose, • Destination, • Dates of travel (if known), and • If the exact dates of travel are not known, specify estimated length of trip (for example, 3 days) • Number of individuals for each trip

44. What is Included in Other Direct Costs? • Materials and supplies • Should not include office supplies (indirect costs) • The justification should include general categories; categories less than $1,000 do not have to be itemized. • Publication costs • Consultants • Consortium Participants • Equipment • Other Costs

45. Consultant - Provides similar goods/services Within normal business operations; To many different purchasers; In a competitive environment; Which are ancillary to the operation of the program Consortium Has its performance measured against the objectives of the program; Has responsibility for programmatic decision making; Uses the funds to carry out a program of the organization as compared to providing goods or services for a program Consultants vs. Consortiums

46. Consultants vs. Consortiums (cont’d) • Consultant • Relationship is that of vendor/contractual • Usually not an employee of the applicant organization • Consulting fees may be paid to employees only in unusual cases • Not subject to flow through of federal guidelines • Applicant organization has no responsibility for monitoring

47. Consultants vs. Consortiums (cont’d) • Consortium • “Sub-award” or “Sub-recipient” • Relationship exists when the research project is to be carried out by one or more organizations that are separate legal entities • Involves a specific percent of effort from the consortium’s PD/PI and a categorical breakdown of costs (personnel, supplies, and other allowable expenses, as well as F&A costs) • Consortium F&A Costs are not subject to Mercer’s indirect costs limits http://grants.nih.gov/grants/guide/notice-files/NOT-OD-04-040.html)

48. Consultants vs. Consortiums (cont’d) • Consortium (cont’d) • Applicant organization must perform a substantive role (cannot be a conduit of funds) • Typically Must comply with all applicable federal guidelines • Applicant organization is responsible for monitoring subrecipient compliance

49. Cost Share • Cost share (or matching) represents that portion of the project costs not paid for by the sponsor • Two types of cost sharing • Committed – Included in the application either in the budget, justification or the narrative; must be accounted for and reported • Mandatory – Required as a condition of an award • Anything above what is required becomes voluntary • Voluntary – Not required but included in application • Uncommitted – Costs above what is included in the application • Does not have to be tracked or reported

50. Cost Share (cont’d) • Cost share can be in two forms • In-kind Cost Share • Are those costs already budgeted for in the school’s/department’s approved budget and • Will be paid by the University regardless of sponsored programs • Example - personnel costs for current employees • Cash matching contributions are additional costs that the University must pay as a result of conducting the sponsored program • Example – travel or supplies