Presentation Transcript

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
51. What if my application includes costs share? Cost share identified during the application process For mandatory cost sharing, provide a copy of the RFP, PA, regulations or guidelines with proposal All cost sharing must be reviewed and approved by the appropriate Dean and Fiscal Officer (if applicable) Cash Match – When there is a cash match, an account number must be provided Excluding the professional schools, all cash matching exceeding $10,000 must also be approved by the Executive Vice President of Administration and Finance It will be the responsibility of the PI to Ensure cost sharing commitment is met and Provide the Contracts & Grants Office with the appropriate documentation
52. Questions?