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OSR Quarterly Network April 2012

Learn types, principles, sources, considerations, and process of obtaining institutional cost share support. Improve competitiveness and resource allocation.

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OSR Quarterly Network April 2012

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  1. OSR Quarterly NetworkApril 2012 Cost Sharing: Revised Process of Obtaining Institutional Support

  2. Cost Sharing The portion of total project or program costs (direct and indirect) not borne by the sponsor. Types of Cost Share • Mandatory: Required by the sponsor as a condition of obtaining an award • Voluntary Committed: Not required by the sponsor, but proposed by PI to demonstrate institutional commitment to project • Voluntary Uncommitted: Not required by the sponsor, not included in the proposal, not formally tracked

  3. Cost Sharing • General costing principles regarding allowable costs apply to contributions used to meet cost sharing commitments • Allowable, Allocable, Reasonable, and Consistently Treated

  4. Cost Sharing • Appropriate Sources for Cash Funds • Gifts • Endowments • Unrestricted discretionary funds • Common Types of In- Kind Cost Share • Faculty Effort • Unrecovered F&A • Graduate Student Fellowships

  5. Cost Sharing Considerations • Good • Helps Northwestern be eligible for certain programs • Makes Northwestern more competitive for certain programs • Helps Northwestern allocate resources to areas of strategic national importance • Bad • Can lower F&A rate • Audit Exposure • Can redirect resources from other needs at the university

  6. When is cost sharing required or requested? • Center Proposals (DoD, DoE, NSF) • Equipment Proposals (NIH Shared & High End Instrumentation, NSF Major Research Instrumentation) • Sponsors most often requiring mandatory cost sharing: DoE and DoD

  7. Process of Obtaining Institutional Support 1. Notification to OSR Cost Share Officer by PI 2. Development of Cost Share Budget, Justification, and Letter of Support 3. Negotiation and Formal Request of Cost Sharing Commitments 4. Generation of Official Cost Share Letter of Support • Used for investigators requesting institutional resources • PI Appointments drive cost share distribution • Cash requests leveraged Department(s) make commitments, School matches total department commitments, Office for Research matches total school and department commitments

  8. Notification 1. Notification to OSR Cost Share Officer by PI 2. Development of Cost Share Budget, Justification, and Letter of Support 3. Negotiation and Formal Request of Cost Sharing Commitments 4. Generation of Official Cost Share Letter of Support • At least three weeks in advance of the application deadline • PI or designate advises OSR Cost Share Officer that cost sharing will be requested • Include solicitation number for initial review

  9. Development 1. Notification to OSR Cost Share Officer by PI 2. Development of Cost Share Budget, Justification, and Letter of Support 3. Negotiation and Formal Request of Cost Sharing Commitments 4. Generation of Official Cost Share Letter of Support • Discussion of plan for cost share request • Cost Share Officer advises involved Research Deans of any any unusual circumstances • Sponsor budget is developed – certain elements must be finalized before moving forward with cost share request

  10. Revised OSR-EZ • Only highlighted sections must be completed by department (PI or designate) • Fringe, tuition, and graduate student stipend rates calculate based on dates • Additional Sections • Sponsor & Cost Share Budget Information • Academic Salary Recovery

  11. Development 1. Notification to OSR Cost Share Officer by PI 2. Development of Cost Share Budget, Justification, and Letter of Support 3. Negotiation and Formal Request of Cost Sharing Commitments 4. Generation of Official Cost Share Letter of Support • Designate completes highlighted portions of the following sections: • Cover Page, Cost Share Budget Detail, Investigator List, and Sponsor & Cost Share Budget Information • Cost Share Officer reviews/edits and completes other sections: • Investigator List (Appointment Breakdown), Academic Salary Recovery, Cost Share Distribution

  12. Development 1. Notification to OSR Cost Share Officer by PI 2. Development of Cost Share Budget, Justification, and Letter of Support 3. Negotiation and Formal Request of Cost Sharing Commitments 4. Generation of Official Cost Share Letter of Support • Cost Share Officer sends final version to PI for approval before moving forward with requests • OSR-EZ is considered final at this point • Cost Share Officer provides draft letter of support to the PI or designate for edits/additions as necessary

  13. Negotiation & Request 1. Notification to OSR Cost Share Officer by PI 2. Development of Cost Share Budget, Justification, and Letter of Support 3. Negotiation and Formal Request of Cost Sharing Commitments 4. Generation of Official Cost Share Letter of Support • Cost Share Officer makes formal request on behalf of PI to Chairs and/or Research Deans depending on the involved school’s model for cost share requests • If school requires individual department commitments, these are gathered before school request is made

  14. Negotiation & Request 1. Notification to OSR Cost Share Officer by PI 2. Development of Cost Share Budget, Justification, and Letter of Support 3. Negotiation and Formal Request of Cost Sharing Commitments 4. Generation of Official Cost Share Letter of Support • Handling of graduate student fellowship requests vary from school to school • Office for Research will only make a decision regarding the commitment of OR funds after Research Deans have expressed their commitents

  15. Generation of Letter 1. Notification to OSR Cost Share Officer by PI 2. Development of Cost Share Budget, Justification, and Letter of Support 3. Negotiation and Formal Request of Cost Sharing Commitments 4. Generation of Official Cost Share Letter of Support • One week in advance of application deadline • Commitments package and draft letter of institutional support is forwarded to Jay Walsh, VPR, for his review and endorsement • Scan of endorsed letter will be sent to PI and all cc’ed letter; original will be sent to PI or designate via intercampus mail

  16. NSF Voluntary Committed Cost Sharing • Per GPG guidelines, inclusion of voluntary cost sharing is prohibited • Certain solicitations (ERCs, MRIs) still require mandatory cost sharing • In other instances, voluntary cost sharing is prohibited but PI would like to show institutional resources

  17. NSF Voluntary Committed Cost Sharing • If PI has requested institutional resources, these should be included in the Facilities, Equipment, & Other Resources section • Per GPG, “In order to assess the scope of the project, all organizational resources necessary for the project must be described in the Facilities, Equipment, and Other Resources section. The description should be narrative in nature and must not included any quantifiable financial information”.

  18. NSF Voluntary Committed Cost Sharing • If PI is not requesting salary but is still committing effort – • Effort should not be listed or quantified on the budget or in the budget justification • Effort should be listed on Current & Pending and in Facilities & Other Resources • Internally, effort should be listed on OSR-1 as cost shared

  19. Post Award Project Establishment • For awards involving institutional cost share support • Three Steps for Establishment • Notification and Evaluation of Award • Confirmation of Commitments • Establishment of 191 and 192 Chart Strings

  20. Notification and Evaluation of Award • Grants Officer advises Cost Share Officer when award involving institutional cost sharing is received • Review and evaluation of award documents compared with original proposal and original cost share distribution • For awards involving institutional cost sharing, Cost Share Officer must be involved before 191 and/or 192 chart strings (if necessary) are established

  21. Confirmation of Commitments • If the award funding matches the original proposal • Cost Share Officer contacts involved units notifying them of the award attaching copy of original OSR-EZ reflecting their commitments • Units should communicate directly with Cost Share Officer within 5 business days regarding questions or concerns

  22. Confirmation of Commitments • If the award funding does not match the original proposal & is awarded at a reduced level of support • Cost Share Officer will revise the OSR-EZ accordingly to adjust the commitments • Unless PI makes other arrangements, commitments will be reduced proportionally based on award reduction • Once PI confirms revised distribution is acceptable, Cost Share Officer contacts involved units notifying them of the reduced award and attaching copy of revised OSR-EZ reflecting their commitments • Units should communicate directly with Cost Share Officer within 5 business days regarding questions or concerns

  23. Establishment of 191 and 192 Chart Strings • OSR will establish 191 and/or 192 chart strings for the cost share commitments associated with the award • Keep in mind that at this time, • 191: Mandatory Cost Sharing and Voluntary Committed Non-Salary Cost Sharing • 192: Voluntary Committed Salary Cost Sharing and NIH Over-the-Cap

  24. Questions? http://www.research.northwestern.edu/osr/costshare.html Contact: Kelly Morrison, OSR Cost Share Officer kellym@northwestern.edu

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