Fundamentals for Faculty

1. Fundamentals for Faculty 10 Steps to Successful Funding

2. WELCOME

3. 10 Steps to Successful Funding 1 2 3 4 5 6 7 8 9 10 Route & Submit your proposal You have an idea Find a program Submit an Infosheet Start spending Do the research Set up an account Financial management Work with your PDS You get an award!!!

4. The ORS “Process” COMMUNICATION IS KEY!

5. Break!

6. 10 Steps to Successful Funding 1 2 3 4 5 6 7 8 9 10 You get an award!!! Route & Submit your proposal You have an idea Find a program Start spending Do the research Set up an account Financial management Submit an Infosheet Work with your PDS

7. Step 1: You have an idea

8. 10 Steps to Successful Funding 1 2 3 4 5 6 7 8 9 10 Route & Submit your proposal You have an idea Find a program Start spending Do the research Set up an account Financial management Submit an Infosheet Work with your PDS You get an award!!!

9. Step 2: Find a Program

10. Internal vs. External • Internal Funding • Office of the Vice President for Research • Research Council • External Funding • Federal • NSF • NEH • NIH • State • OCAST • ODOT

11. External Funding

12. 10 Steps to Successful Funding 1 2 3 4 5 6 7 8 9 10 Route & Submit your proposal You have an idea Find a program Start spending Do the research Set up an account Financial management Submit an Infosheet Work with your PDS You get an award!!!

13. Step 3: Submit an Infosheet

14. Step 3: Submit an Infosheet Why do I have to fill one out?? • The proposal routing process makes the appropriate people (department chairs and college deans for PI and any Co-PIs) aware of the proposal and requires their signature. • Once the internal signatures are secured, the ORS authority to submit proposals on behalf of the University is secured. Signature authority for this vests with those authorized by the Board of Regents of the University of Oklahoma.

15. Step 3: Submit an Infosheet http://ors.ou.edu/proposal/infosheet/infotype/InfoMain_2008.asp Infosheet

16. Proposal Infosheet

17. Compliance Component Review: Intellectual Property Information/Office of Technology Development

18. Compliance Component Review:Export Regulation Compliance/Office of Export Controls

19. Friendly Reminders • Don’t sign anything unless directed by the Office of Research Services. • Fringe Benefits ALWAYS apply. • Indirect Cost ALWAYS applies unless specifically disallowed or reduced.

20. 10 Steps to Successful Funding 1 2 3 4 5 6 7 8 9 10 You have an idea Find a program Route & Submit your proposal Start spending Do the research Set up an account Financial management Submit an Infosheet Work with your PDS You get an award!!!

21. Step 4: Work with Your Proposal Development Specialist (PDS)

22. Types of Proposals • Federal • Non-Federal • State or local government • Foundation/Non-Profit • Industry • International • Subcontract/Subaward

23. Budget Components • Direct Costs • Indirect Costs (IDC) – hereinafter referred to as Facilities and Administrative Costs (F&A)

24. Direct Costs • Expenses identified specifically with a particular sponsored project, instructional activity, creative or artistic pursuit, or other institutional activity. • Expenses that can be assigned to a particular sponsored project with a high degree of accuracy. • Must be allowable, allocable, reasonable & necessary for the program, given consistent treatment and conform to Sponsor limitations.

25. Facilities & Administrative (F&A) Costs • Costs incurred for common or joint objectives which cannot be allocated to a specific direct cost activity, such as: • Facilities • Salaries of administrative and clerical staff • Office supplies (may be allowable if attributed directly and specifically to the project) • Postage (may be allowable if attributed directly and specifically to the project-no stamps!)

26. Personnel Costs Fringe Benefits Equipment Travel Participant Support Costs Other Direct Costs Research Materials and Supplies Publication costs Consultants Computer/ADPE Services Subcontracts Tuition Other Budget Categories • Facilities & Administrative • Costs (F&A) • Cost Sharing Note: The following slides are formatted to follow the ORS generic budget spreadsheet which is recommended for all budgets.

27. Faculty – Academic Year Faculty - Summer Professional Staff Post Docs Professional Staff – Limited (temporary) Classified Staff (hourly) Graduate Students (GRA/GTA) Undergraduate Students Other Types of Personnel Costs

28. Equipment • Items costing over $5,000 and having a useful life of one year or more • Includes freight and shipping costs • May include training and installation • Fabricated Equipment • Exempt from F&A • Raises a red flag

29. Domestic Travel • Airfare, Lodging • Car Rental (not in Oklahoma) • Per Diem, Mileage • Parking Fees/Pike Pass • Registration Fees • Local Transportation (Taxi, Metro, Shuttle) • Travel to Canada or Mexico is agency specific • GSA Rates (http://www.gsa.gov) • OU Travel Policy link: • http://www.ou.edu/aa/travel.htm

30. Foreign Travel • Airfare • Lodging/Apartment Rental • Car Rental • Local Transportation • Per Diem • Registration Fees • Safety and security costs may also be included dependent on location • Travel to Canada or Mexico is agency specific • May raise a red flag

31. Participant Support Costs • Agency specific (only applicable in limited circumstances) • Intended for conferences, meetings, symposia, training activities, and workshops • Participants or trainees may not be employees • Stipends • Cost of transportation • Subsistence • Other related costs • Raises a red flag

32. Research Materials & Supplies Publication Costs Consultant Services Computer Services Subcontracts Tuition Other Other Direct Costs (overview)

33. Chemicals Expendable Equipment Computer Software Computer Supplies Lab Supplies (Gases and Fuels) Cartridges for Copiers/Printers/Faxes Research Supplies (allocable to the project) Reference Materials Other Direct Costs Research Materials & Supplies

34. Other Direct Costs • Publication Costs • Consultant Services • Raises a red flag • Letter of commitment • Computer Services • Subcontracts • Raises a red flag • Entire sub-proposal • Institutional letter of commitment

35. Other Direct Costs - Tuition • Graduate Research Assistant (GRA) labor budgeted on sponsored programs determines the amount of tuition to be budgeted • GRA labor budgeted is multiplied by a percentage to arrive at the tuition amounts requested from sponsor and provided by the Graduate College • Tuition is excluded from F&A

36. Other Direct Costs - Other Communication Costs: • Express Mail Charges • Fax Charges • Mobile Phone Services/Pager Fees • Postage (no stamps!) • Telecommunication • Long Distance phone calls • All charges must be directly attributable to project

37. Other Direct Costs - Other • Copying • Animal care costs/Human subject care costs • Maintenance agreements • Audio/visual services • Construction/renovation/remodeling costs • Costs for workshops/conferences/technical meetings (if including food costs, state such in budget & justification) • Contractual/vendor expenses/services/fees • Space Rental • RCR Training (only required for NSF)

38. Facilities & Administrative (F&A) Cost Rates • OU’s rate is set by negotiation with Department of Health and Human Services • PI’s cannot negotiate F&A with Sponsor • If a Sponsor has a rate set that is less than our negotiated rate then we use their rate (however, it must be formally established) • PI may ask VPR to cost share IDC (may not be approved as OU volunteering not to collect our F&A may increase our rate in the future) • The VPR allows use of 26% for most state agencies unless the source of the funds is providing full F&A.

39. Calculating F&A • Identify Exclusions • Equipment • Capital Expenditures • Tuition remission • Rental costs of off-site facilities • Scholarships/Fellowships • Subcontract amounts in excess of first $25,000 (for each subcontract) • Patient Care Costs • Modified Total Direct Base (MTDC) = Total Direct Costs minus exclusions listed above

40. Common Budget Dilemmas • Subcontractor versus Consultant or Vendor? • Consultants on Oklahoma Teachers Retirement • Fellowship versus Stipends for Students (is the student an employee?) • Cost sharing (more to follow)

41. Cost Sharing - Issues • May be tracked internally but not reported to Sponsor • OU policy on 1% time commitment • If in budget, budget justification, or body of proposal the Sponsor may require tracking and documentation to prove it occurred • May be required or recommended in guidelines; if not mentioned in guidelines it is voluntary cost sharing and is discouraged.

42. Cost Sharing - Sources • PI Contributions • Departmental Contributions • University Contributions • Vice President for Research • Third Party Contributions (Subcontractors, Industry, etc.) • Oklahoma Regents for Higher Education • Contributed and Unrecovered F&A

43. Sponsor Required Cost Sharing • Sponsor may have limits or requirements on the cost share such as: • Equipment • Contributed F&A • Unrecovered F&A (i.e., F&A not allowed or F&A associated with cost sharing; not in all cases - check guidelines) • Regents Matching Funds

44. Requesting Cost Sharing from the Vice President for Research http://research.ou.edu/about/cost_share_req.asp

45. Arithmetic • Fringe Benefit Rate • GRA Tuition Rate • F&A Rate • MTDC Exclusions • Budget Total • Correct? • Within Sponsor Limits? • For All Years? Our internal budget spreadsheet does this for you!

46. Perform budget review Ensure calculations, fringe and F&A rates are correct Ensure budget conforms to Sponsor requirements or limitations Assist with Sponsor forms and certifications Ensure that subagreement documents are in line with budgeted amounts Ensure that any cost sharing is approved and documented prior to submission How ORS Can Help You

47. Useful Links for Proposal Preparation: • http://ors.ou.edu/proposal/generic_budget.html • Site with downloadable budget templates. • Note: If you contact your PDS for a budget template they can ensure you are using the correct rate for the proposal. • http://ors.ou.edu/about/rateagr.html • Site with downloadable F&A and fringe benefit rate agreements.

48. Preparing Proposal Budgets Proposal Development Specialists Tena Smith (A – D, CAPS & CIMMS): tena@ou.edu or 405.325.6140 Tonya Easley (E – L): teasley@ou.edu or 405.325.3903 Fran Stephens (M – R): fran@ou.edu or 405.325.3904 Matt Berry (S – Z): mberry@ou.edu or 405.325.6131 Proposal Services Main Line 405.325.3901

49. Break!

50. “As a Matter of Fact I Am the Boss of You”: Some Employment Law and Policy Issues for New PI’s ORS “Fundamentals for Faculty” presentation Greg Heiser, Office of the Provost 2009