How to Prepare and Route a Proposal

1. How to Prepare and Route a Proposal Dr. Monica Swahn Associate Vice President for Research mswahn@gsu.edu / 404-413-1148 March 27, 2012

2. Become familiar with URSA organization Learn how to develop and submit the “pre-award” of the non-scholarly parts of a Sponsored project proposal at Georgia State University Learn how to prepare a budget Objectives

3. Office of Sponsored Programs (OSP) Proposal submission Handles non-financial aspects of Postaward Any contact with Agency officials Research Financial Services (RFS) Financial aspects of awards Questions about budget and/or expenditures Office of Research Integrity (ORI) Research Compliance & Safety University Research Services & Administration (URSA)

4. Georgia State University (GSU) State regulated/funded University Georgia State University Research Foundation (GSURF) Private foundation associated with GSU which technically is the applicant in almost all Sponsored projects not Principal Investigator (PI) GSU Foundation (GSUF) administered through Development Office and processes gifts GSU & Its Foundations

5. Sponsored Project: All externally funded activity that has a defined scope of work or product. (Administered by URSA) Grant,typically competitive, is an award for work proposed by PI (faculty/staff/ student) Contract is a binding legal document between the Sponsor and GSURF. It obligates GSURF to do defined work (must also be reviewed by Legal Affairs) Subaward is a grant or contract with another institution (typically a University) who is the recipient of the award. Routed like any other Sponsored project Fellowship may be an award to an individual Gift is an unrestricted award. Administered through the Development Office (and GSUF) Detailed definition available in resource manual Sponsored Project Versus Gifts

6. Proposal Development • Read the Program Guidelines to determine: • Eligibility (Higher Education Institution) • What needs to be done • Who is going to do it • Format • Timing (order of tasks) • Electronic or paper submission • Agency-specific requirements

7. Proposal Development: Forms • Sponsored Agency Forms need to be completed (either paper or online) • Fact sheet contains useful information • Applicant: GSURF (not Principal Investigator) • Authorized Institutional Official: Marca Gurule, OSP Associate Director • Only individuals authorized to commit resources and enter into legal contracts on behalf of GSURF. Again, PI can’t sign a contract or submit a grant for the institution EXCEPT for individual fellowship programs (check the eligibility)

8. Electronic applications Downloadable from www.grants.gov or Agency website How to find help on URSA’s webpage? Agency Forms

9. Identify limits or target (ceiling) total costs or total Direct Costs Set a start date and/or period of performance (can be specified by Agency) Identify limits on F&A or Indirect Costs Identify budget categories and limitations (e.g., NSF only 2 months salary) Identify any cost share requirements Budget: Program Guidelines

10. Budget Period 1 Budget Period 2 Budget Period 3 Budget Period 4 Budget Period 5 Project Budget Project Period NOTE: Budget periods are usually one year, but can vary in length

11. Direct Costs • Salaries and wages • Fringe benefits • Equipment • Travel • Materials and supplies • Other direct costs • Facilities and Administrative Costs • Building depreciation • Building interest • Equipment depreciation • Operations and maintenance • Library • General administration • Department administration • Sponsored projects administration • Student services Types of Costs in a Budget • Cost sharing • Direct costs • F&A costs Direct Costs F&A Costs Cost Sharing Total Budget + + =

12. Direct Costs • Become familiar with URSA organization • Direct Costs can be, distinctly, identified as costs directly related to the project that are reasonable and necessary • Divided into budget categories: • Personnel • Salaries (including GRAs) • Fringe Benefits • Permanent (Capital) Equipment > $5,000 • Travel: Domestic & International • Participant Support Costs • Consultants (individuals notemployed by GSU) • Supplies and Expendable (Non-Capital = <$4,999.99) Equipment • Subcontracts (with other institutions) • Other Costs: publication, service contracts for equipment, computer usage fees, etc

13. Personnel: Salaries • Faculty: Academic Year (AY- 9 month) • How much of GSU effort is spent on this project? It is expressed as % of Full Time Equivalent (FTE). Think of “workload” related to GSU appointment • How much of that work is going to be spent on this project? It is not % of 40 hour workweek but of total amount of work paid for by GSU • % of effort committed = % of AY institutional base salary (contract salary) • % of effort may correspond to “buyout” of courses- expressed in fraction of AY Salary required to get course release varies by college (1/6; 1/9). • NIH/NSF want effort expressed in “Person Months” 1 = 1/9.

14. Available under proposal development on URSA’s website Spreadsheet for figuring effort, person months, and budgeted salary Spreadsheet for whole budget Spreadsheets

15. Professor Jones wants to have time to work on a grant by getting release from teaching 2 courses (one course per semester). She works in A&S where a course release is determined to cost 16.63% of AY salary. Her annual salary is $65,000. How much effort would she devote to the project? How much salary should be budgeted? How many person months? Example 1: Academic Year

16. Example 1: Academic Year • How much effort would she devote to the project? • 33.26% • How much salary should be budgeted? • $21,619 • How many person months? • 3

17. Professor Liu wants to have time to work on a grant by getting release from teaching 1 course for the year (she’ll take it in fall). She works in HHS where a course is determined to be 12.50% effort. Her annual salary is $75,000. How much effort would she devote to the project? How much salary should be budgeted? How many person months? Example 2: Academic Year

18. Example 2: Academic Year How much effort would she devote to the project? 12.50% How much salary should be budgeted? $9,375 How many person months? 1

19. Professor Green, another co-Investigator, earns an annual salary of $80,000 and will only devote 5% of effort to the grant How much salary should be budgeted? How many person months? Example 3: Academic Year

20. Example 3: Academic Year How much salary should be budgeted? $4,000 How many person months? .45

21. Professor Green is an administrator and has a 12 month appointment. She wants to devote 8% of her effort to a project. Her annual salary is $98,000. How much salary should be budgeted? How many person months? Example: Calendar Year

22. Example: Calendar Year • How much salary should be budgeted? • $7,840 • How many person months? • 1

23. 3 Months of Summer Salary To earn “full salary” is 1/3 of 9-month salary or 33.33% of Academic Year (AY) or 3 PM “Full Salary” would be 100% of summer effort Any percentage earned up to 100% Summer Salary

24. Dr. Smith wants to teach a course during the summer and devote the rest of her effort to a project. She earns an annual salary of $75,000. How much effort can she devote to the project? What is the number of person months? What is the budgeted salary? Example: Summer Salary

25. Example: Summer Salary • How much effort can she devote to the project? • 24.33% of AY salary or 72.99% • What is the number of person months? • 2.19 • What is the budgeted salary? • $18,247

26. Staff is a 12-month appointment and certain faculty are also 12-month appointments Percentage (%) effort X salary or hourly (staff assts) Fulltime staff = 100% Only list salary for personnel that will be GSU’s employees (non-GSU’s employees are consultants) Use GSU’s title and pay plan for vacant positions If staff is already selected and named in the grant proposal, this is much easier to hire if awarded grant and not necessary to go through the same HR procedures, as if it is a regular vacant position Students: Graduate assistantships or hourly GAs: Keep in mind minimums to get tuition waivers Personnel: Salaries

27. Personnel: Salaries • Extra Compensation, i.e., additional compensation beyond the base salary: • Only in rare cases and must be approved by Agency (in proposal budget) • Federal Agencies, typically, do not allow • Must meet Board of Regents’ requirements and the following four conditions, existing, are: • “The work is carried in addition to a normal full load; • No qualified person is available to carry the additional work load as part of his/her normal duties; • The work produces sufficient income to be self-supporting; • The additional duties must not be so heavy as to interfere with the performance of regular duties.”

28. Apply merit increases as appropriate Start with current salaries Project salary increases up to the proposed project start date Use the projected salaries as of the proposed start date to estimate personnel costs for the project period (i.e., estimate raises for subsequent years) Comply with any Sponsor salary caps (e.g., NIH) Personnel: Salaries

29. Cost incurred by GSU for FICA, Retirement costs, Insurance Listed on Fact Sheet Always use higher number on proposal Only apply to faculty and staff Separately calculate the 9-month faculty because it is different rates for Summer and Academic Year Personnel Total Costs = Salary + Fringe Personnel: Fringe Benefits

30. Follow GSU’s Travel Rules Domestic (US, Canada, and Mexico) listed separately from Foreign Fly America Act (U.S. flag carriers must be used to the maximum extent possible) Detailed budget (may be in justification) should include purpose of trip, estimates on airfare/mileage rates, per diem, hotel rates Travel

31. Permanent equipment Useful life of more than one year Cost > $5,000 Applicable educational/University discounts Freight charges Vendor installation and set up charges Transit insurance Equipment

32. Supplies & Expendable Equipment • Research supplies to support the project • Equipment that costs less than $5,000 • Test tubes • Chemicals • Assessment Tests • Animals • Stickers (kids) • NOT GENERAL OFFICE SUPPPLIES

33. Stipends, subsistence allowances, travel allowances, and registration fees paid to or on behalf of participants or trainees in connection with meetings, conferences, symposia, training activities, and workshops Typically NOT human subject payments Participant Support Costs

34. Individuals hired to give professional advice or services for a fee Letter confirming participation (may include a quote for expenses) Consultant’s travel costs If included as part of consultant’s hourly or daily rate, budget as consulting costs If not, budget as travel costs Consultants

35. Agreements that transfer a substantive portion of the scope of work to another institution or organization Need to have a short written proposal Statement of work, budget, and justification Generally, total amount of subaward in prime budget with budget detail in justification Signed by the other institution’s principal investigator and an authorized organizational official (has to be routed through other Univeristy) Start this 2 weeks ahead!!! Subawards

36. Publication Service contract for equipment Computer usage fees Subject incentives/respondent fees Conference registration costs Other Costs

37. Other Costs • Costs may not have to be listed in budget (with exception of equipment & international travel) to be a Direct Cost just as long as it “passes” test of: • allocable (can be attributed to project); • reasonable (would a reasonable person think it benefits project); and, • allowable (not an unallowable cost or covered by Indirect Rate). • HOWEVER, Reviewers may want to know.

38. Also known as “Indirect Costs” Costs to support research such as building depreciation, libraries, operation and maintenance, general departmental administration, and support for conducting research Facilities & Administration Costs (F&A)

39. Percentage (%) of the Direct Costs has been negotiated with the Department of Health and Human Services based on data collected on record of our costs Different for research, instruction, and service Different for on-campus versus off-campus activities Modified Total Direct Costs (excludes participant costs, equipment, subaward above $25,000 for life of grant) F&A Rate

40. **Approved as of February 13, 2012

41. F&A Rate Waiver • Must include full F&A rate except: • Agencies set F&A rate to a smaller percentage than the one negotiated with DHHS. Provide to OSP documentation of restriction that is included in the program announcement • Requests for reduced rates that are not required must be co-signed by Chair and Dean and then approved by the Vice President for Research. STRONGLY DISCOURAGED

42. Examples of costs typically not charged as Direct Costs because considered and included as Indirect Costs: Administrative and clerical costs Cell phones/telephone service Routine postage General office supplies and equipment Printer toner, copy paper Computers (unless scientifically justified) PDAs/blackberries General office supplies and equipment Copying Refer to list of unallowable items in Direct Cost policy Direct Cost Policy

43. If above “routine” use of these items (e.g., distributing classroom material, surveys) Or project is considered a major project (definitions are in policy) Or need a computer, alcohol, or food for an exclusively scientific use Need to include these justifications in budget narrative to be approved by Agency at time of submission See Direct Cost Policy available under manuals Exceptions to the Rule

44. Do not require detailed budget until awarded Must detail Key Personnel’s commitment Utilize the Modified Direct Cost basis for calculating F&A. Therefore need to calculate the estimates for equipment, participant support costs, and subawards NIH Modular Grants

45. Cost-sharing is defined as a financial commitment by GSU to share the expense of the total project cost Should only occur when required by the Agency. (Provide documentation to OSP) Requests for voluntary cost sharing must be co-signed by Chair and Dean and then approved by the Vice President for Research Only costs that are allowable as “Direct Costs” can be cost share costs (e.g., salaries). Cost-share budget looks same as project budget Can not use federal projects to cost share Cost Sharing

46. Proposal Routing

47. Proposal Approval Form is your routing form Download and fill out now Get signatures from Chair and Dean If PI and co-PIs are from more than one college/department, all administrators have to sign form Need to start the process 6 to 8 days ahead to obtain Chair and Dean’s signatures in time Get “everything” to OSP 5 days ahead “Everything” does not include research narrative Refer to OSP Quick Reference since it lists out what needs to be included Proposal Submission: Routing

48. Proposal Approval Form Compliance approvals can be pending PI certifies to adherence of GSU’s: Conflict of Interest Policy Intellectual Property Policy Terms and Conditions of Award Proposal Submission: Certifications

49. Proposal Submission • Office of Sponsored Program Officer reviews proposals to ensure: • comply with applicable funding source guidelines and regulations, and with federal, state, and university’s policies • contains accurate and reasonable budgets • accurate “compliance” information • contracts have necessary approval of contractual terms from Office of Legal Affairs • obtains Authorizing Institutional Official Signature

50. Proposal Submission • Once approved and signed by the Authorized Official, the proposal is returned to the PI • The paper copy is the responsibility of the PI to mail the completed original to the Sponsor along with the correct number of copies • A final version of the proposal should be delivered to OSP to be uploaded into our records’ system