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Neta Fernandez

Neta Fernandez. Director of Office of Grants and Contracts (OGC). OGC. Reports to VPR ~10 research administrators Submits all proposals Negotiates with agencies Provides assistance/training Provides authorized signature Board of Regents Responsible for close out.

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Neta Fernandez

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  1. Neta Fernandez Director of Office of Grants and Contracts (OGC)

  2. OGC • Reports to VPR • ~10 research administrators • Submits all proposals • Negotiates with agencies • Provides assistance/training • Provides authorized signature Board of Regents • Responsible for close out

  3. Other Workshops • Cost Accounting Standards (CAS) • Cost Sharing • Export Control • ARGIS • Others, as requested

  4. Write Proposal • Find RFP that interests you • Provide copy to OGC • Review RFP for specific directions

  5. How to do Proposals? • Write proposal • Work with RC/OGC on budget • Provide to OGC with ample time to review and submit

  6. Complex Proposals • Key is the RFP • New Sponsor with Unique Guidelines • Work is Interdisciplinary • Includes Partners – Subcontractors • Center Grants – Multi Year • Cost Share or In-kind • Foreign Countries – Export Controls

  7. Proposal Deadlines • 5 Days before deadline to OGC for all electronic proposals that must be submitted through Grants.gov on-line portal • 48 Hours before deadline to OGC for non- Grants.gov proposals • Allow extra lead time for Complex Proposals

  8. Stimulus Money • Lots of extra requirements • Still being defined • Allow extra time for proposals • OGC will offer a workshop to PI’s

  9. Keys to a Successful Proposal • Start Early • Team Effort • Cover all your bases up front

  10. YEA – Received Award!

  11. Award Cycle • OGC receives award • OGC reviews and negotiates • OGC prepares award packet • OGC sends packet to SPA • SPA creates index • OGC and RC notified of index# • Finally…PI begins research

  12. Award Packet

  13. Basic Info for PI “Must Know” Stuff

  14. Definitions of Agreement Grant: more flexible than contract; team oriented; deliverables normally consist of report Contract: issued by external sponsors for detailed SOW with final or milestone deliverables

  15. Definitions of Agreement Cooperative Agreement: similar to grant but has statutory criterion that anticipates substantial agency involvement

  16. Definitions of Agreement Gift: a donation, no deliverables; all gifts processed through the VP for Advancement • Colleges sometimes have one specific person who deals with Advancement

  17. Types of Awards • Fixed Price • Cost Reimbursable • Time and Material

  18. Fixed Price Grant or contract for which one party pays the other party a pre-determined price, regardless of actual costs, for services rendered * More common on contracts

  19. Cost Reimbursable Grant or contract where one party pays other party for full allowable costs incurred during project. Based on actual costs incurred including direct and indirect costs. * Common on grants

  20. Sponsored Award Costs There are two ways to charge to a sponsored award: • Direct costs • Indirect costs

  21. Cost Accounting Standards (CAS) • Created as act of Congress, 1971 • Applied to universities in 1996 • Promoted greater standardization of costs • Goal to tighten rules on allowability/ allocation

  22. Direct Costs OMB Circular A-21 definition: Those costs that can be specifically identified to the cost objective with relative ease and a high degree of accuracy

  23. Examples of Direct Costs • Salaries and wages including fringe • Non-office supplies • Subcontracts • Animal use fees • Travel related to project

  24. Facility and Administrative (F&A or Indirect Costs) OMB Circular A-21 definition: Costs that are incurred for common or joint objectives and therefore, cannot be identified readily and specifically with particular sponsored project, an instructional activity, or any other institutional activity

  25. Examples of F&A Costs • Operation and maintenance of buildings • Library costs • Administrative office supplies

  26. Charging Indirect Costs as Direct Costs • Must be required by scope of work • Cost can be accurately identified/ allocated to project • Must be unique requirement and justified • Evaluated on case-by-case basis

  27. Is it Acceptable? For example, office supplies are considered under F&A costs. If you can show that the office supplies are an unlike circumstance or are excessive for this project, you can write a justification and get approval for charging as a direct cost.

  28. Office Supplies Example Program is to promote AIDS Awareness on campus. Requires unusually large amount of supplies to prepare brochures and educational training materials for workshops

  29. ARGIS • Electronic Research Administration • Contains all grants/contracts • Allows PI to log in, enter proposal, and view data • Reminds PI when deliverables due • Reminds PI when project ending -- ready for closeout

  30. ARGIS Contact 646-1523 for: • ARGIS userid/password • ARGIS training • ARGIS help or assistance

  31. Program Income Can be revenue obtained from: • conference fees • sale of videos • sale of books

  32. Program Income Federal regulations provide following guidelines for treatment of program income: • Use to further program objectives* • Use to finance non-federal share of project * Default application for research projects

  33. Role of PI

  34. Get Started • Three general phases to funding cycle: -- Proposal Devel & Submission -- Project Administration -- Project Reporting & Closeout • Hopefully, Reporting & Closeout is not “forever” but leads to follow-on or subsequent grant

  35. Proposal Development and Submission Proposals have 3 general areas: • Technical Proposal (your ideas) • Management Proposal (who will do the work, does NMSU have right facilities, are protocols to conduct work in place, need subcontractors, etc) • Cost Proposal (who will pay for what, are costs proper, do they track with technical needs

  36. Proposal Development and Submission Provide a copy (ASAP) of Request for Proposal (RFP) to research center or OGC Proposal Award Form (PAF)

  37. Project Administration Project Administration Stages: • account/project setup • day-to-day administration • project reporting

  38. Day-to-Day Administration • Personnel -- allocate, monitor, track level of effort -- complete effort certifications (6 mo) -- record timesheets in timely manner • Property -- if property is purchased under grant, track property as part of NMSU inventory list

  39. Day-to-Day Administration Financial Responsibilities: • ensure cost sharing documented/met • expend funds per approved budget • initiate/monitor/approve subaward expenditures • review/validate expenditures on BANNER • ensure travel expenses follow agency requirements and NMSU allowed costs

  40. Day-to-Day Administration Purchases: • Can use Purchase Order/Procurement Card • Vendors must be approved and “in system” • PI initiates purchase and gets approval at department/college/unit level for appropriateness and funds available* *PI responsible if purchases are not appropriate

  41. Project Reporting • Technical Reports -- prepare project Final/Intermediate Reports according to agency T&Cs -- disseminate project results according to proposal plan (conference proceedings, journal articles, etc) & acknowledge grant • Assist research center in final reporting— financial matters, inventions, inventory, etc

  42. More Basics

  43. Cost Sharing Definition: Portion of project costs not borne by sponsor

  44. Cost Sharing Two types of cost sharing: • Mandatory – required by agency or statute as condition of award • Voluntary – NOT required by agency; cost sharing is not required but university funds part of research cost

  45. Cost Sharing • Charge full F&A, unless capped by agency • Treated as cost share ** Voluntary cost share requires approval by VPR – see attached form

  46. Cost Share If not charging full F&A and not capped – MUST have VPR approval (See attached) Voluntary cost share will only be approved in very rare cases such as when it is considered a proposal review criteria and is stated as such in the RFP

  47. Cost Share Terminology may vary among agencies: • cost sharing • matching funds • in-kind

  48. Compliance Committees & Issues • Conflict of Interest • Institutional Review Board (human subjects) • Institutional Animal Care & Use Committee (animal subjects)

  49. Compliance Committees and Issues • Institutional Biosafety Committee • Supplemental Compensation • Export Control

  50. Conflict of Interest Definition • Research where it appears researcher may have significant financial interest that could directly/indirectly affect the design, conduct, or reporting of research activities • Or the researcher’s situation could directly and significantly compromise his/her professional commitments to NMSU

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