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Grant Overview, Budget Development and Post Award Processing Workshop. Sponsored by USCRF and School of Public Health. Organization Structure for USC Research Foundation. USCRF’s mission Advance the academic and research enterprise at USC. Overview of the Grant Process. Wanda Hutto.

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grant overview budget development and post award processing workshop

Grant Overview, Budget Development and Post Award Processing Workshop

Sponsored by USCRF and School of Public Health

organization structure for usc research foundation
Organization Structure for USC Research Foundation

USCRF’s mission

Advance the academic and research enterprise at USC

sponsored programs and research
Sponsored Programs and Research
  • Services
    • Provides pre-proposal support including identification of funding sources, presentation of grant workshops, and coordination of weekly flights to Washington for meeting with sponsor agencies.
    • Processes all sponsored project proposals for institutional signatory approval.
    • Negotiates and accepts all sponsored project awards.
    • Establishes all sponsored program accounts.
    • Assures compliance with all university and sponsor policies and regulations.
sponsored programs and research1
Sponsored Programs and Research
  • Services
    • Issues all subcontracts/subawards under all sponsored projects.
    • Processes most post-award actions (rebudgeting, no-cost extensions, change of scope, etc.)
    • Advises project directors on grant/contract administration issues.
    • More information on this program: http://spar.research.sc.edu/
office of research compliance
Office of Research Compliance

Specific areas of responsibility include:

  • Human Subjects Protection Program and Institutional Review Board
  • Conflict of Interest and Outside Professional Activities Reporting
  • Misconduct in Research and Scholarship
  • Training in the Responsible Conduct of Research
  • Liaison to institutional compliance committees including IACUC and Health and Safety
  • Monitoring government legislation and regulation related to compliance issues
  • More information on these programs: http://orc.research.sc.edu
private foundation support
Private Foundation Support
  • USCRF and the Development Office Coordinate Private Funding
  • Foundation Consultant Activities (Sandra Glass)
    • Review One-Page Concept Papers
    • Review Letters of Inquiry
    • Serve as an Advisor Regarding Strategies for Approaching Foundations
  • Contact
proposal idea
Proposal Idea
  • Developed by Faculty
  • Funding Source Identified
  • Grant Process Begins
identify funding source
Identify Funding Source
  • Search Mechanisms
    • Community of Science
      • http://fundingopps.cos.com/
    • Foundation Center
      • http://www.fdncenter.org/
    • Funding Alerts
      • http://spar.research.sc.edu/funding_alerts/alertpage.htm
  • Contact Proposal Development Coordinator
  • Funding Agency
    • Topic should be compatible with agency funding interests
    • Consider agency limits on budget, applicants, and geographic area
next steps
Next Steps
  • Write the Proposal
    • Develop Timeline
    • Follow sponsor guidelines
    • Explain things
    • Don't make assumptions of your reviewers
    • Be innovative .. new audiences, new techniques, etc.
    • Be specific
  • Institutional Official Approval
    • SPAR Office
    • Assigned Sponsored Program Administrator
    • For the list: http://spar.research.sc.edu/assigns01.htm
proposal submission process
Proposal Submission Process
  • Complete SPAR Form
    • http://spar.research.sc.edu/sparforms.html
  • Proposal
  • Sponsor Guidelines

SUBMIT PROPOSAL 3 DAYS PIOR TO DEADLINE

proposal review
Proposal Review

Red Flags in the Budget

  • Indirect Cost Rate Calculations
  • Fringe Benefits
  • Cost Share
    • Provide documentation
  • Subcontracts/Consultants
    • Provide documentation
  • Equipment
  • Tuition
  • Budget Narrative
  • Basic Calculations
facilities and administrative f a cost rates
Columbia

School of Medicine

Senior and RegionalCampuses

FY037/1/02 - 6/30/03

FY047/1/03 - 6/30/04

FY037/1/02 - 6/30/03

FY047/1/03 - 6/30/04

FY037/1/02 - 6/30/03

FY047/1/03 - 6/30/04

Research

45.0%

45.5%

39.0%

39.0%

45.0%

45.5%

Training and Service

30.0%

30.0%

30.0%

30.0%

30.0%

30.0%

Instruction

45.0%

45.5%

45.0%

45.5%

45.0%

45.5%

Columbia

School of Medicine

Senior and RegionalCampuses

FY037/1/02 - 6/30/03

FY047/1/03 - 6/30/04

FY037/1/02 - 6/30/03

FY047/1/03 - 6/30/04

FY037/1/02 - 6/30/03

FY047/1/03 - 6/30/04

Research

25.0%

25.0%

24.5%

24.5%

23.5%

23.5%

Training and Service

24.0%

24.0%

24.0%

24.0%

24.0%

24.0%

Facilities and Administrative (F&A) Cost Rates

On-Campus Rate FY03 & FY04

Off-Campus Rate FY03 & FY04

For more information: http://www.spar.research.sc.edu/indirectcost.html

where indirect dollars go as of july 1 2002
Where Indirect Dollars GoAs of July 1, 2002

$1 of Indirects

USCRF = 43 cents

Start-up costs

Equipment Matching

Internal Grants

Administration

College = 43 cents

Departments

Faculty

Start-up costs

Equipment Matching

Facilities Fund = 14 cents

New Construction

Renovation

SCHOOL OF MEDICINE HAS A DIFFERENT DISTRIBUTION

fringe benefits
Fringe Benefits
  • Current Rate = 19.10%
  • Dates Effective – July 1, 2002 through June 30, 2003
  • http://www.spar.research.sc.edu/fringebenefit.html
proposal review1
Proposal Review

Additional Red Flags

  • Follow Sponsor Guidelines
    • Special Terms and Conditions
  • Departmental Collaboration and Policies
  • Human Subjects
  • Animals
  • Hazardous Materials
  • USC Financial Conflict of Interest Disclosure
administrator additional duties
Administrator Additional Duties
  • Assigned Proposal Number
    • Enter into Database
  • Transmittal Letter
  • Attachments (varies by sponsor)
    • Debarment Forms
    • Lobbying Disclosure
    • Drug-Free Workplace Forms
    • Affirmation Action Forms
    • Copy of Board of Directors
    • Copy of Indirect Cost Rate Agreement
administrator additional duties1
Administrator Additional Duties
  • Authorizing Signatures
    • Additional signatures may be required depending on project amount
  • Ready for Pick-Up or Delivery
    • Department copies and mails to sponsor
award process

Award Process

Bonnie Feary

how an account is determined
How An Account is Determined?
  • F Federal
  • G State
  • H Municipal/County
  • J Business/Industry
  • K Foundation/Non-Profit
  • L Other/Hospital

A Research

L Service

J Training

Q Equipment

V Donated Equipment

P Graduate Assistant

contact information
Contact Information

University of South Carolina

Research Foundation

901 Sumter Street

Byrnes Building, 5th Floor

Columbia, SC 29208

803-777-7093 Fax 803-777-4136

http://spar.research.sc.edu/

budget preparation

Budget Preparation

Maxine Mixon, Prevention Research Center

LaVerne Shuler, Exercise Science

Stephen Wilson, Office of Research

ARNOLD SCHOOL OF PUBLIC HEALTH

overview
Overview

What’s covered:

  • Pre-preparation Checklist
  • Budget Preparation Resources
  • Key Budget Issues
  • Post-preparation Checklist
  • Sample Completed Budget Forms
pre preparation checklist
Pre-preparation Checklist
  • Before you start:
    • Review agency guidelines, instructions, and forms
    • Review SPAR guidelines and internal forms
    • Determine all proposal submittal deadlines
    • Identify target cost or ceiling amount
    • Determine start date and grant period
    • Review proposal
proposal budget preparation guide
Proposal Budget Preparation Guide

SPAR website: http://www.spar.research.sc.edu/prepguide.html

key budget issues1
Key Budget Issues

Applicable to all budgets:

  • NIH Modular Budgets (Maxine Mixon)
  • Personnel (Maxine Mixon / LaVerne Shuler)
  • Consultant Costs (LaVerne Shuler)
  • Equipment (LaVerne Shuler)
  • Supplies and Materials (LaVerne Shuler)
key budget issues continued
Key Budget Issues (continued)
  • Travel (LaVerne Shuler)
  • Other Expenses / Costs (L. Shuler / S. Wilson)
  • Consortium / Contractual Costs (Maxine Mixon)
  • Consultants (LaVerne Shuler)
  • F&A (Indirect) and MTDC Costs (Stephen Wilson)
  • Cost Sharing and Matching (Stephen Wilson)
nih modular budgets
NIH Modular Budgets
  • Applies to NIH research grant applications requesting up to $250,000 per year. Request total direct costs in modules of $25,000.
    • NIH website for modular research grant applications:
      • http://grants1.nih.gov/grants/funding/modular/modular.htm
    • Features (handout)
    • FAQ (handout)

SPECIAL NOTE: SPAR requires a detailed,

itemized budget for each funding period.

personnel
Personnel
  • Salary
    • Institutional Base Salary (excludes salary supplements and bonuses)
    • Appointment Types
    • Faculty Summer Salary
    • Total commitment must not exceed 100%, including contributed effort
    • FY 2003 NIH Salary Limitation: $171,900
    • Apply appropriate escalation factor on multi-year budgets
  • Fringe Benefits
    • Specifically identified to each employee
    • Check SPAR website for latest rates
      • Fringe Benefits Calculator
consultant costs
Consultant Costs
  • USC faculty/staff cannot be paid consultants on a USC grant.
  • State employees require dual employment approval.
  • Budgeted costs cannot exceed max daily rate.
  • Include travel and per diem costs.
  • Include letters of commitment in proposal.
  • SubmitUSC Procurement Exemption Certification Form.
slide38
Equipment
  • Definition:
    • Tangible, nonexpendable personal property having a useful life of more than one year and a unit acquisition cost of $5,000 or more.
  • F& A (indirect) costs do not apply.
  • Submit USC Procurement Exemption Certification Form to SPAR.
slide39
Supplies and Materials
  • Definition -All personal property excluding equipment, intangible property, and debt instruments.
  • Itemize by category.
    • Food must be specifically requested and justified in the grant application.

SPECIAL NOTE: Office supplies and administrative/clerical

support are generally unallowable as direct costs

under Federal funds. Ref: SPAR memo (2/25/94); OMB Circular A-21

Exceptions: Project-specific items

travel
Travel
  • Itemize under separate categories.
    • In-state, out-of-state, and foreign travel
  • Use current mileage and meal allowance rates.
  • Include related expenses.
    • Ground transportation
    • Parking
    • Registration fees
    • Travel agency services fees
    • Phone calls
other expenses costs
Other Expenses / Costs

Examples of items included:

  • Project-specific long-distance telephone & voice mail
  • Participant support costs (travel, fees, meals, stipends, etc.)*
  • Printing and publication costs
  • Freight and project-specific postage
  • Rentals and leases
  • Equipment and animal maintenance
  • Service contracts
  • Stipends and honoraria
  • Graduate student tuition 

* Some funding agencies require that travel and meals be included under the TRAVEL and SUPPLIES budget categories, respectively.

implementation plan for restructuring graduate student assistantships
Implementation Plan For RestructuringGraduate Student Assistantships
  • All graduate assistants = In-state tuition rate
tuition budgeting
Tuition Budgeting

For Graduate Assts:

  • $1,753 per full time (20 hrs/wk) GA
  • $ 877 per half time (10 hrs/wk) GA
  • Goes under other expenses if allowed by agency
  • Excluded from IDC computation
  • Must be indicated as cost of department on PAP

form (item 1) if not covered by funding agency.

consortium contractual costs
Consortium / Contractual Costs
  • Criteria:
    • Funds will be paid to another institution rather than to an individual.
    • Subrecipient will contribute to scholarly or scientific conduct of the project.
    • Subrecipient effort requires judgment, unique expertise, and original thought.
    • Subrecipient does not provide identical services to others as their primary business.
consortium contractual costs1
Consortium / Contractual Costs
  • Requirements:
    • Separate statement of work.
    • Detailed budget.
    • Written confirmation of institutional commitment.
    • Submit USC Procurement Exemption Certification Form.
f a indirect costs
F&A (Indirect) Costs
  • Use appropriate F&A cost rates
      • On-campus, off-campus, effective dates
  • F & A (indirect) costs exclude:
      • Capital expenditures:
        • Equipment
        • Renovations and Alterations
        • Buildings
      • Tuition remission
      • Each sub-award in excess of first $25,000
      • Rental costs of off-site facilities
      • Student support costs (e.g. Stipends, Scholarships, etc.)
      • Patient care costs
  • Modified Total Direct Cost (MTDC)
cost share
COST SHARE
  • Referred to as matching or in-kind contributions
  • Defined in the OMB Circular A-110
  • May be cash or non-cash
  • Frequently required by private foundations

SPECIAL NOTE: Do NOT volunteer cost share.

cost share an example
COST SHARE…an example

Example:

$50,000 grant funds received

$40,000 USC cost share posted

$90,000 total expenditures posted

  • Because of the cost share requirement of 50/50, $5,000 will be returned to the grantor.
  • Departmental account (A or E) will be charged the $5,000 portion not covered by the grant.
post preparation checklist
Post-preparation Checklist
  • Verify budget is consistent with proposal.
  • Check all calculations.
  • Verify fringe and F&A rates are correct.
    • Confirm sufficient department funds to cover cost share commitments
    • Complete USC Procurement Exemption Certification Formfor major equipment, subcontracts, and consultants.

TIP: Pre-coordinate final budget with SPAR

prior to submitting entire proposal.

sample completed budgets1
Sample Completed Budgets
  • National Institutes of Health (NIH) Modular
      • Same Modules (handout only)
      • Variable Modules
    • National Science Foundation (NSF)
    • Robert Wood Johnson Foundation (RWJF) (handout only)
    • NIH and Centers for Disease Control and Prevention (CDC)
      • PHS 398
national science foundation nsf
NATIONAL SCIENCE FOUNDATION (NSF)
  • FastLane submission required for all proposals
  • SPAR must register faculty for FastLane
  • SPAR submits to NSF

Key web address:

http://www.nsf.gov/

http://www.fastlane.nsf.gov/

national science foundation nsf1
NATIONAL SCIENCE FOUNDATION (NSF)
    • Each year must have a budget and a cumulative budget for total project.
    • Summer salary for faculty is restricted to two-ninths of the academic salary.
    • Personnel is divided into two categories:

Senior Personnel and Other Personnel

    • All other budget categories similar to NIH
  • Statutory cost share of 1% is required
        • Not required on application
contact information1
Contact Information:

Maxine Mixon, Prevention Research Center

Tel: 777-2830; Fax: 777-9007; E-mail: [email protected]

LaVerne Shuler, Department of Exercise Science

Tel: 777-7078; Fax: 777-2504; E-mail: [email protected]

Pam Weiss, Director, Office of Research

Tel: 576-6074; Fax: 576-5950; Email: [email protected]

Stephen Wilson, Office of Research

Tel: 777-9415; Fax: 576-5950; [email protected]

post award and grant processing

Post Award and Grant Processing

Tonya Lewis and Linda Zinna

the review
The Review
  • LIMITATIONS
    • Fixed Price Contract
    • Cost Reimburseable
    • Line Item Restrictions
    • Unallowable Costs
    • Matching Requirements
      • Voluntary
      • Mandatory
the review1
The Review
  • F & A COSTS
    • Special Rates
    • Change in Rate
    • Modified
the review2
The Review
  • REPORTING
    • FINANCIAL
    • TECHNICAL
    • PATENT
    • EQUIPMENT
monitoring
Monitoring
  • MONTHLY MANAGEMENT REPORTS
    • LEVEL I
grant accountants
Mike Hamilton

Tonya Lewis

Tracy Pham

Gina Thomas

Call CG&A at

777-4850

Peggy Walsh

Nicole Walukewicz

Neal Woody

Linda Zinna

Fax CG&A at

777-8817

Grant Accountants

Website: www.cga.sc.edu

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