Grant Overview, Budget Development and Post Award Processing Workshop Sponsored by USCRF and School of Public Health
Dec 26, 2015
Grant Overview, Budget Development and Post Award Processing Workshop
Sponsored by USCRF and School of Public Health
Organization Structure for USC Research
Foundation
S p o ns o red P ro g ram & R e se a rch I n te llectual P roperty T echno logy I ncubator F inance P ro posal D evelo pm ent R esearch Co mp liance
U SCR F M anagem ent
O ffi ce o f V P fo r Research
USCRF’s mission
Advance the academic and research enterprise at USC
Overview of the Grant Process
Wanda Hutto
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 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
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
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 Harriet Showman, Director of Development/Foundations 7-4095 [email protected]
Proposal Review Process
Proposal Idea
Developed by
Faculty
Funding Source
Identified
Grant Process
Begins
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
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
SUBMIT PROPOSAL 3 DAYS PIOR TO DEADLINE
Proposal Submission Process
Complete SPAR Form http://spar.research.sc.edu/sparforms.html
Proposal
Sponsor Guidelines
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
On-Campus Rate FY03 & FY04
ColumbiaSchool of Medicine Senior and Regional
Campuses
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%
Off-Campus Rate FY03 & FY04
ColumbiaSchool 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%
For more information: http://www.spar.research.sc.edu/indirectcost.html
$1 of Indirects
College = 43 cents
DepartmentsFacultyStart-up costsEquipment Matching
USCRF = 43 cents
Start-up costsEquipment MatchingInternal GrantsAdministration
Facilities Fund = 14 centsNew ConstructionRenovation
Where Indirect Dollars GoAs of July 1, 2002
SCHOOL OF MEDICINE HAS A DIFFERENT DISTRIBUTION
Fringe Benefits Current Rate = 19.10%
Dates Effective – July 1, 2002 through June 30, 2003
http://www.spar.research.sc.edu/fringebenefit.html
A. State Retirement 10.85%
B. FICA (Social Security) 7.65%
C. Unemployment
Compensation
0.10%
D. Worker’s Compensation 0.50%
Total 19.10%
Certification Form
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
• 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 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
Bonnie Feary
How An Account is Determined?
F Federal
G State
H Municipal/County
J Business/Industry
K Foundation/Non-Profit
L Other/Hospital
A ResearchL ServiceJ TrainingQ EquipmentV Donated EquipmentP Graduate Assistant
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
Maxine Mixon, Prevention Research Center
LaVerne Shuler, Exercise Science
Stephen Wilson, Office of Research
ARNOLD SCHOOL OF PUBLIC HEALTH
Overview
What’s covered:
Pre-preparation Checklist
Budget Preparation Resources
Key Budget Issues
Post-preparation Checklist
Sample Completed Budget Forms
Pre-preparation ChecklistBefore 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
SPAR website: http://www.spar.research.sc.edu/prepguide.html
Key Budget Issues
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)
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 BudgetsApplies 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.
PersonnelSalary
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 CostsUSC 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.
Submit USC Procurement Exemption Certification Form.
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.
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 costsunder Federal funds. Ref: SPAR memo (2/25/94); OMB Circular A-21
Exceptions: Project-specific items
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 / CostsExamples 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 RestructuringGraduate Student Assistantships All graduate assistants = In-state tuition rate
General Academic Spring 2003 In-state Semester Tuition Rate
$2,700
Non-student owed tuition (Abatement or Residual) $1,753
Student owed tuition (Prior to Spring 2003) $ 947
Tuition Budgeting For Graduate Assts:
1) $1,753 per full time (20 hrs/wk) GA
2) $ 877 per half time (10 hrs/wk) GA
3) Goes under other expenses if allowed by agency
4) Excluded from IDC computation
5) Must be indicated as cost of department on PAP
form (item 1) if not covered by funding agency.
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 Costs
Requirements:
Separate statement of work.
Detailed budget.
Written confirmation of institutional commitment.
Submit USC Procurement Exemption Certification
Form.
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
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
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 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 Form for major equipment, subcontracts, and consultants.
TIP: Pre-coordinate final budget with SPARprior to submitting entire proposal.
Sample Completed Budgets
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)
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 (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
Sample PHS 398
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
Tonya Lewis and Linda Zinna
The Process
REVIEW AND CO M PARE
P ro po sa l
D e pa rtm e nt
G ra n t A w a rd
G ra n to r
M e m o ran d um
S P A R
L e ve ls
U n ive rs ityA cco u n ting
B U D G E T
The Review
LIMITATIONS
Fixed Price Contract
Cost Reimburseable
Line Item Restrictions
Unallowable Costs
Matching Requirements– Voluntary– Mandatory
The Review
F & A COSTS
• Special Rates
• Change in Rate
• Modified
The Review
REPORTING
FINANCIAL
TECHNICAL
PATENT
EQUIPMENT
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
Website: www.cga.sc.edu