Session I:  Pre-Award

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Session I: Pre-Award

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1. Session I: Pre-Award Office of Research & Sponsored Programs (ORSP) May 2010

3. Office of Research and Sponsored Programs (ORSP) Provide information, services, and support to faculty and staff in their (sponsored/funded) scholarly activity AND oversee ethical and regulatory compliance of scholarly activities Notify faculty of funding opportunities (limited) Work with faculty PIs and staff on proposal preparation, including advice on fulfilling sponsor requirements, review of budget and other proposal components Assist with proposal budgeting Review and submit proposal (ensure compliance with sponsor guidelines, University policies, federal/state rules and regs)

4. Office of Research and Sponsored Programs (cont) Review, negotiate, and accept awards Compile documents for index set-up Prepare subcontracts Post award: ORSP No cost extensions, other programmatic changes Progress reports and grant closeout Grants Accounting Financial - all expenditures and re-budgeting Financial reporting and invoicing

5. When are approvals and routing required? Grant or gift? Letters of inquiry, letters of intent, pre-proposals Proposals (as prime or sub) to federal/state agencies Proposals (as prime or sub) to foundations or other external sponsors Generally, ORSP only needs to review contractually binding pre-proposals, notices of intent, letters of intent, or white papers that require approval of the Authorized Organizational Representative (AOR) before submission to the sponsor. If the pre-proposal is non-binding and does not require AOR approval, then it does not need to be submitted to the ORSP for approval before submission (but copy requested for our files).

6. Why is Proposal Review and Approval Necessary? The ORSP reviews the proposal for issues such as Verifying that sponsor and University guidelines and requirements are met Evaluating whether budgeted costs are allowable, allocable, and reasonable Assuring that the appropriate physical and human resources are available to execute the sponsored project successfully and resolve issues in advance Assuring that the proposed work can be carried out safely and in full compliance with federal, state and local laws/regulations

7. Why (continued)?? Also, Provide a written record of institutional commitments for additional space, staffing or matching funds for the project. Although written by faculty and staff members, the awards are made to NEOUCOM. Signatory approval of all University personnel in the line of authority for the project, including Principal Investigators/Project Directors (PI/PD), and department chairs (or Dean, as appropriate) is necessary. In addition, information concerning sponsor type, funding source, and other variables are entered and tracked by the ORSP for reporting purposes.

8. Overview of Proposal Submission Process PI should obtain and review sponsor guidelines PI should email Diana and Beth with opportunity information (sponsor, RFA, due date, external partners). Also notify your chair ORSP reviews guidelines for eligibility, due dates, etc. If submitting a federal application through, Diana will complete standard NEOUCOM info and email package to PI PI prepares draft of proposal (narrative and budget) Diana will assist with budget refinement and budget justification PI prepares ORSP Routing Forms. Signatures required: PI and all named Co-investigators; Chair(s) of department(s)/PI supervisor

9. If project includes human or animal subjects, radiation, biohazards, etc., must be reviewed by relevant compliance committee. Submit Routing Forms, JIT forms and near final draft of narrative to Debbie Severt for Workflow process. If collaborators/subcontractors in proposal, additional documentation required Submit FINAL, complete proposal to ORSP for review After final review and needed revisions, ORSP submits the final proposal to the sponsor by ORSP IF SUBCONTRACT, rather than prime, essentially the same process We are willing to review a draft form prior to submission. We encourage submission of the Routing Forms to ORSP as early as possible to allow an adequate review and time for any necessary revisions.


11. BASICS PIs are ultimately responsible for their budgets. ORSP is available for consultation and guidance with regard to the budget and should be contacted early (Diana). This portion of the workshop will highlight the fundamentals associated with the budget process. A more detailed budget workshop is offered by ORSP periodically throughout the calendar year.

12. BUDGET BASICS Where do we begin? Read the Sponsor’s Program Announcement/RFA and identify any restrictions specific to this opportunity Note the Earliest Start Date and length of the Project Period Visit the Sponsor’s website and identify forms/restrictions/policies specific to this agency

13. 13 Definitions: Direct Costs: Costs which can be identified specifically with a particular sponsored project or that can be directly assigned to such activities relatively easily with a high degree of accuracy. Facilities & Administrative (F&A)/Indirect: Costs incurred for common or joint objectives and therefore cannot be identified readily and specifically with a sponsored project, instructional activity or any other institutional activity. Direct Costs: This is the question you should ask yourself when you are creating a budget for your proposal. It is equally important when you are faced with charging expenditures to the subsequent award. F&A/Indirects are real costs that the institution bears. If you are awarded a grant, where will you carry out the project? In your office, heated and lit by your institution. There are many other costs borne by the institution. Grants Accounting will explain in more detail in Session #2.Direct Costs: This is the question you should ask yourself when you are creating a budget for your proposal. It is equally important when you are faced with charging expenditures to the subsequent award. F&A/Indirects are real costs that the institution bears. If you are awarded a grant, where will you carry out the project? In your office, heated and lit by your institution. There are many other costs borne by the institution. Grants Accounting will explain in more detail in Session #2.

14. BUDGET COMPONENTS Expense: Key: Salary & Fringes Effort Equipment Necessary Travel Need/Necessity Material & Supplies Appropriate Assessment of Need Publications Reasonable Consultants Necessary/Consistent Advertising Cost of hiring Subawards Essential portion of work Cost Share Required? Let’s unlock the box holding the keys to budget creation!Let’s unlock the box holding the keys to budget creation!

15. Cost Building Blocks Salary and fringes should be decided based on effort. Equipment - A reasonable assessment must be made taking into consideration existing equipment and facilities with which the PI has access. Travel - Meetings/Conferences are the norm and sometimes required by funding agencies. When collaborators are involved, you may need to visit one another. If you are the Prime, it is important to monitor your subaward operations. Materials & Supplies - These are the supplies necessary to this project only.

16. Cost Building Blocks - Continued Publications - Reasonable estimate of publishing. Consultants – Individuals/Companies/Institutions that you will contract with to purchase expert services. Advertising - Reasonable cost of advertising for new positions. Subawards - Collaborators who represent an integral portion of the proposed project. Cost Share – Cost-sharing represents the actual costs of a sponsored project borne by the PI’s institution rather than the sponsor. Who will pay for this commitment?

17. Cost Share Example An investigator plans to commit 50% of his/her time to a project on a grant application. The budget justification includes a request for 25% of the PI’s salary to be funded by the sponsoring agency. If 50% effort on the part of the PI is essential, this scenario suggests that the remaining 25% cost will be “covered” by the PI’s department (providing approvals are obtained). Cost Share can be: Mandatory, Voluntary Committed and Voluntary Uncommitted THE BOTTOM LINE: Voluntary committed cost share becomes mandatory if the grant is funded. The key word is committed.

18. BRAIN TEASERS 1. A good budget justification includes a very detailed account of costs/per diems/etc.? a.) TRUE b.) FALSE 2. Which of the following must be included in every federal grant budget? a.) Institutional Cost Sharing b.) A budget justification c.) Justification of indirect cost rate used d.) Method by which payments are to be made 3. Which guidelines take priority when deciding if a cost is allowable: a.) the most restrictive b.) the most reasonable c.) federal guidelines are always the most important

19. BRAIN TEASERS CON’T 4. Which of the following is true when determining the allowability of a particular budget item: a.) They must be reasonable b.) They must be allocable c.) Consistent Treatment in like circumstances (university-wide) d.) None of the above e.) a, b and c are true 5. Where can I find the starting salary for a Post Doc?

20. BRAIN TEASERS CON’T 6. Proposed Effort on a project should: a.) reflect the total amount of time I work b.) reflect the amount of time I work on my research c.) reflect the time I work divided between research and teaching d.) reflect the time necessary to complete this project e.) reflect the dollars available after supplies and other expenses in the budget 7. Mark Smith, PhD would like to pay Dr Jones for contributing 5% of his time on his proposed project. Dr Jones is a NEOUCOM Clinical Faculty member, but employed by SUMMA. Should Mark consider Dr Jones’ benefits as a part of the total cost? a.) YES b.) NO Who gets paid if the grant is funded, Dr Jones or SUMMA? What should be included in the cost of this contract?

21. BRAIN TEASERS CON’T 8. Should I include the cost of balloons in my federal proposal? 9. Which of the following costs can I include in my federal budget proposal? a.) Late charges on an invoice b.) Deficit from my other small grant award c.) Subject Payments d.) Dinner with prospective vendors 10. A PI intends to attend a conference in China to present work accomplished on his federal award. The conference is in October 2011. The grant ends April 2011. The PI has made the case that tickets can be purchased at an amazing discount this far ahead of time. Can he/she include this cost in their budget? a.) Of course, it is all about saving money b.) No, the conference is outside the project period c.) Maybe Only if necessary for the substance of the project.Only if necessary for the substance of the project.

22. Proposals may be submitted via Electronic systems Fastlane American Heart Association Paper processing Many foundations

23. What documents are required to submit a proposal at NEOUCOM? In addition to the proposal narrative and budget, the following forms are required for all proposal applications: ORSP Internal Routing Form Conflict of Interest Form (for each person named in the proposal) Time and Effort Form The following forms may also be required, depending on the specifics of your proposal: Cost Share Form Reduction or Waiver of Indirect Cost Form Just in Time Form- Human Subjects Just in Time Form- Animals Just in Time Form- Radioisotopes Just-in-Time Form- rDNA Summary Biohazardous Materials Summary Form  FORMS available on ORSP web page at:

24. Compliance issues Protection of Human Subjects(IRB) Animal Welfare (IACUC) Radioisotopes (Radiation Safety) Biological safety (IBC) Recombinant DNA Conflict of Interest RCR (Responsible Conduct in Research) Compliance is the cost of doing business with the government

25. What are we looking for?? Have sponsor and NEOUCOM guidelines been met? Does PI eligibility and appointment meet criteria? Are compliance committee approvals needed? Is cost sharing involved? Is set-up required for electronic submission? Is the budget accurate with corresponding justification? Is the institutional information accurate? Are letters of support needed? Is this a final version consistent with guidelines? If subcontracts: are all necessary documents included? If Foreign travel is included: Check the U. S. Department of State for travel restrictions Is there proprietary information included ? Have required reps/certs been obtained?

26. Hints for proposal preparation Carefully read the solicitation/program guidelines (use current guidelines) Does your project fit the purpose of the funding? Program Qualifications? Funding Limitations? Consider PI/Institutional eligibility criteria Discuss your project with the Program Officer Make a checklist with timeline Use sponsor-provided forms, if provided – cover page, budget forms, etc. Organize proposal sections, per guidelines – abstract (scientific & lay), objectives, methods, cv’s, bibliographies, current & pending support, etc. Address review criteria

27. Hints (cont) Adhere to requirements for: Title length Description length Margins Type size/font Obtaining prior sponsor approval for exceptions Biosketch/CV Current and pending support Resources and facilities Understand who the key players are and their roles Make certain the budget is appropriate for the project Seek advice and input; share proposal drafts with colleagues

28. Some of the Problems that Delay Proposal Submission proposal budgets that contain calculation errors proposals that do not comply with the sponsor's guidelines in form and composition unapproved reduced or waived F&A costs in budgets inconsistencies between Routing Forms and proposal commitments from third parties or the mention of their name as a collaborator or advisor that are not confirmed in writing by the third party (e-mail is acceptable)

29. Problems that Delay Proposal Submission commitments from university resources (cash or in-kind) without confirmation by the contributing party multiple investigators from multiple departments and colleges involved without the documented concurrence of their respective heads, chairs or deans statements in the text of the proposal that conflict with university policy insufficient time provided for institutional review at all levels thus decreasing or eliminating time for corrections

30. Other Information Collected Type of Project (research/instruction/public service) Proposal type (new, resubmission, supplement) Pass through funding? Sponsor type (federal, state/local, foundation, business) Award type (grant, contract, cooperative agreement) Subcontractors/collaborators

31. Award process Notification of award (new or continuing) For most federal grants, expenditure of funds constitutes acceptance of award, e.g. NIH, NSF Formal acceptance by “Authorized Institutional Official” - NOT the PI. All awards must be reviewed, accepted, and processed through ORSP Step 1 – Congratulatory email Step 2 – ORSP reviews terms and conditions (e.g., consistency with proposal submitted, deliverables and other requirements; problematic terms).

32. Award Process Step 3 – Diana drafts Request for New Grant Fund and Index form and emails to PI/admin assistant (if new award) for completion and signatures Step 4 – When form returned to ORSP, ORSP compiles all documents and emails to Grants Accounting Step 5 – Grants Accounting reviews all documents, resolves issues, establishes index, then notifies ORSP Step 6 – ORSP notifies PI of new index (or continuation)

33. Questions? Please contact us with any other questions or for assistance: Diana Dubinsky: x6497 Beth Cline: x6498

34. Remember: Post Award Sessions Wednesday, May 5, 2010 1:00 to 3:00 pm in G105 or Friday, May 7, 2010 9:00 to 11:00 am in G204

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