Grant Pre-Award Office of Sponsored Programs Engineering 329 [email protected] 410-455-3140 (Phone) 410-455-1876 (Fax)
Dec 26, 2015
Grant Pre-Award
Office of Sponsored Programs
Engineering 329
410-455-3140 (Phone)
410-455-1876 (Fax)
Course Overview
• Audience - Business Resources responsible for managing sponsored projects proposal routing and submissions, completing supporting documentation, reviewing budgets and reviewing the Proposal Status in PeopleSoft
• Prerequisites (Required) - PeopleSoft Overview course- PeopleSoft Fundamentals course- Grant Overview
Course Overview Cont. What is covered in this Class?
- The purpose of this course is to provide guidance to ensure the Business Resource effectively manages the sponsored project throughout the Grant Preaward process.
By the end of this course, you will be able to:- Discuss the Grant Management Process- Identify and complete the appropriate forms required for
Proposal routing and submission- Review a Proposal Budget for compliance- Check the proposal status in PeopleSoft
Length - The length of this course is approximately 3 hours.
Module 1: Pre-Award Phase
By the end of this module, you will be able to:– Name the forms typically used during the Pre-
Award Phase– Locate the necessary proposal forms on the
OSP website– Complete the Proposal Routing form– Identify when to use the additional forms – Describe the proposal submission process– Review proposal budgets for compliance
Terminology
Sponsored Project - Used to define any project with sponsor-restricted funds, such as a Grant or a Contract.
Proposal - an application for funding that contains all the information necessary to describe project plans, staff capabilities and funds requested.
Sponsor - an organization, Federal, Foundation or Private Institution that funds a project.
Direct Costs - Costs that can be identified specifically with a particular sponsored project with high degree of accuracy and are essential to the project existence.
F&A -Facilities & Administration, or Indirect Costs. Costs incurred for common or joint objectives and therefore cannot be identified specifically with a particular project.
Examples – general office supplies, administrative support, electricity, etc.
TDC -Total Direct Costs. F&A is applied to all costs categories as allowed by sponsor. Typically used if sponsor has a cap on F&A.
MTDC - Modified Total Direct Cots. Excludes items on which UMBC does not charge F&A, as negotiated in our Indirect Cots Rate Agreement. Examples – tuition, rent, equipment over $5k and subawards over $25k.
P-cost - Participant Support Costs. P-costs are costs for a project that are specifically for people who come to participate in the Project. Usually includes people attending a conference or training program, except UMBC employees and graduate students. This category is VERY restrictive.
Terminology Cont.
Pre-Award Process
Preaward Phase
PI Develops the Proposal
Complete the routing form (see
example)
Proposal routed for appropriate
signatures
Attach appropriate documentation
Paper/Electronic?
Develop the proposal budget
Complete online proposal form
Attach appropriate documentation
Electronically route the proposal for
appropriate signatures
Paper
Electronic
Overview of Quick Reference Guide Sections
Section What it includes?
Sponsor Information
This section includes information regarding UMBC specific data to include in a proposal; i.e., EIN number, addresses, Dun & Bradstreet number, etc.
Tuition Rates FY20xx Current Tuition Rates and Graduate
Assistant Rates
Salary Increments The recommended inflation rate for COLA
and Merit is 4%
Fringe Benefits Rates FY20xx
The recommended FB rate is 33% of 9 or 12 month salary and 8% for summer pay
Current Indirect Cost Rates
Summary of Rate Agreement Rates
University Funding Mechanisms
Types of funding vehicles UMBC can accept
Preparing A Budget
When preparing, or reviewing, the proposal budget, you must take the following into consideration:
‒ Are there enough funds in the budget for the resources required to do the proposed work?
‒ Are there funds for tuition for Graduate Assistants, if appropriate?
‒ Are there funds for health benefits for Graduate Assistants, if appropriate?
‒ Is summer salary included for the PI or Graduate Assistants?
‒ Did you include F&A?‒ For multi-year Sponsored Projects, did you account for
inflation for each subsequent year, commonly 4% per year?
Ranges for various budget items
Category Range Comments
F&A (on campus research) 48% A project is considered on-campus if more than 50% of the work is done at UMBC. Field work does NOT constitute off-campus research.
F&A (off campus research) 26%
F&A (instruction on campus) 55%
F&A (instruction off campus) 26%
F&A (other sponsored activities on campus)
26% For a project that is not research or instruction (see manual page 14).
F&A (other sponsored activities off campus)
20%
Fringe Benefit Rate (12 & 9-month faculty)
33% Estimate
Fringe Benefit Rate (summer) 8% Used for faculty summer salary, includes FICA & unemployment.
Inflation 4% Used in multi-year Sponsored Projects. This is a per year %.
Budget Categories
Budget Categories define how sponsored project funds should be spent.‒ Restricted (participant costs) vs. Unrestricted
(Supplies)‒ Direct Costs vs. Indirect Costs (F&A)
Hotspots You cannot budget or charge clerical/admin costs
to the Sponsored Project When is someone a subcontractor vs. a
consultant? Participant Costs (Pcosts)
‒ Cannot be transferred to another line item‒ Are not associated with conferences, seminars, or other events
where the PI is a participant ‒ Are direct costs for items such as stipends, subsistence
allowances, travel allowances, registration fees paid to or on behalf of participants or trainees (BUT NOT EMPLOYEES) in connection with meetings, conferences, symposia or training projects
Unallowables‒ A21 Booklet provides a complete list of unallowables on a Grant
or Project which can be found on both the OSP and Grant Accounting website
Sample Budget and Budget Justification
Refer to the appendix in the manual Simple P-Cost Subcontractor Cost-sharing
THESE ARE SAMPLES ONLY. Applicants should briefly explain in their own language each category that appears on their budget page.
Preparing a Proposal for Routing (Paper Process)
The following are forms typically used during the proposal submission process. All forms can be found on the OSP website (www.umbc.edu/ospa), and if required, must be included as part of the complete Proposal Submission package.
Form When to Use the Form CommentsProposal Routing Form This form must accompany all proposal
requests.This form must ALWAYS
accompany the proposal request, whether you are responding as the Prime or the Subcontractor on a Project.
Approval Form for Facilities and Administrative Cost Waivers
This form is used to request an F&A Waiver from the University. If you answer Yes to question 12A on the Routing Form, this form must be completed, and accompany the Proposal Submission
Addendum to Routing Form for NIH Proposals
This form must be completed if NIH is the sponsor for the Project for which you are responding, or if you are the subcontractor to an NIH project.
Cost Sharing Statement and Approval Form
If you answer Yes to question 13 on the routing form, this form must be completed, and accompany the Proposal Submission.
Forms
Form When to Use the Form Comments
Non-Disclosure Form If a company requests that either party sign a non-disclosure agreement, this form must be completed, and accompany the Proposal Submission.
The terms of the non-disclosure are negotiated between OSP and the sponsor.
Assurance of Use of Hazardous Materials
If you answer Yes to question 17A on the routing form, this form must be completed, and accompany the Proposal Submission
Subrecipient Commitment Form
If you answer Yes to question 16 on the routing form, this form must be completed by the subrecipient institution and signed by an Authorized Official.
This is a new requirement as of September 2007.
Forms Cont.
Proposal Routing Form After the Proposal has been written, the Proposal Routing Form must be completed. The form can be downloaded from the OSP website (www.umbc.edu/ospa.)
Locate the Proposal Routing Form from the available list
Follow the screen instructions to open the document. Print the document and follow the steps below to complete it.
Completing the Proposal Routing Form
Include: Deadline Date, Title, PI (Co-PI) Information (Name Department, Extension, E-mail Address), and Sponsor Information (Name, Address, Phone Number)
Attach all Announcement/Special Program Guidelines and Special Certification forms. If none exist, check “No unique guidelines apply”
Completing the Proposal Routing Form – Continued
Indicate what kind of activity, award type, type of application and the project period
Completing the Proposal Routing Form – Continued
What is the first year and total project budget?
What is the F&A cost rate? Is this off campus? If this is a different rate than the standard attach the F&A waiver
Is there any cost sharing? If so, how much? Attach cost share form
Completing the Proposal Routing Form – Continued
Attach budget and budget justification
Check “Yes” if there are any additional resources required.
If there is a subcontract to another organization, check “Yes” and list the Subcontractor name, point of contact, phone number, and e-mail address
Completing the Proposal Routing Form – Continued
Indicate if there are any Hazardous materials, human subjects or animals subjects being used for the project
Completing the Proposal Routing Form – Continued
Specify up to five keywords that describe the projectCheck yes or no if any equipment is required for the projectMark whether the PI does or does not have a conflict of interest
Completing the Proposal Routing Form – Continued
PI, Department Chair/Director and Dean/Provost for each PI/Co-PI must sign and date the routing form before it is sent to OSP. Note: Parallel routing for signature in multiple departments is accepted
Completing the Proposal Routing Form – Continued
Proposal Routing (Paper Process)
• Once a proposal is entered into PeopleSoft, it is given a unique Proposal Number. The proposal is entered into PeopleSoft either by the department, or by OSP.
• OSP provides the final review of the proposal to ensure it meets the University requirements, and then submits it to the sponsor for consideration.
Electronic Routing
• Is the preferred alternative to routing paper documents
• By entering the information directly into PeopleSoft, you will:
– Eliminate the need to complete the paper routing form
– Electronically attach the appropriate document (grants.gov, RFP, Budget)
– Electronically distribute the proposal for signatures
How to Start Using Electronic Routing
• All PIs for the department must complete the online PeopleSoft Access Form and submit it to [email protected]– Request Worklist access
• Training for Electronic Proposal Submission is available via OSP. Please contact OSP to schedule training.
Proposal Status in PeopleSoft
• The status of the proposal can be tracked and viewed by the User.
• Grants Proposals Maintain Proposals
Proposal Status
Proposal Status Definition Proposal Entered by
Draft Proposal entered into PeopleSoft, but not routed for approval
OSP
Pending Approval Proposal is in the routing process
Department
Institution Approval Proposal approved by Sponsored Programs and submitted to the sponsor
Department
Rejected by Institution
Proposal not approved by UMBC. This is a rare occurrence, but it could happen.
Department
Not Funded Sponsor pulled the funding. OSP or Department
Withdrawn PI or UMBC withdraws the proposal
OSP or Department
Awarded Proposal is awarded to UMBC – spending can begin.
OSP or Department
Presales Spending Preaward account is approved, and spending can begin
OSP or Department
Practice
• Navigate to the Proposal Screen in PeopleSoft
• Search a proposal by PI• Identify the proposal status
Module 2: Negotiation & Award Phases
By the end of this module, you will be able to:– Describe what to do if an Award notification is
sent from a Sponsor to the Department– Identify length of time it takes to complete
Award negotiations for various sponsored projects
– Describe when you can request a Pre-award spending account
Terminology
• Award Notification: When the sponsor contacts either the PI or OSP to notify of the INTENT to award the contract to UMBC.
Negotiation Process
Negotiation Phase
Receive Award notification from
Sponsor
OSP negotiates final terms of the award with the
sponsor
Budget change?
OSP notifies PI PI makes budget
changes
OSP and PI approve budget
changes
Generate Award process in PeopleSoft
Yes
No
Award Notification• If the Department receives an award notification
from the Sponsor, the Department MUST notify OSP immediately upon receiving the notification.
• OSP performs final negotiations with the Sponsor to determine the final terms of the Project.
• If budget changes are required, OSP works with the PI to make the necessary changes.
• If budget changes are made, both the PI and OSP approve the final budget. (Rerouting for approval signatures is not required.)
• OSP signs the final document.• The Award Process is performed in PeopleSoft,
and a Project Number is assigned.
Practice:
• Navigate to the Awards Project Page in PeopleSoft.
• Open a Project.• Identify if documentation exists for the
Project.• If documentation exists, open a document.
• A Grant specifies that the University will perform tasks for a Sponsor in order to accomplish a public purpose. There is no substantial involvement from the Sponsor.
• A Cooperative Agreement is similar to a Grant, with the main difference being that there will be substantial involvement from the Sponsor.
• An IPA is an agreement with a State or Federal Agency that allows a UMBC employee to work part- or full-time for the Agency and UMBC gets reimbursed for the salary, fringe benefits and any applicable travel expenses. F&A costs are usually not allowed in IPA agreements.
• An MOU is an agreement, typically with a State Agency, to transfer funds to UMBC in exchange for work. It is generally treated as a contract.
Award Types
Award Types Cont.• A Subaward identifies a project where UMBC is NOT the
prime contractor, but will be working as a subawardee to the prime grant recipient.
• A Contract is the agreement vehicle used when the University is performing tasks for a Sponsor, with a specific deliverable, which is for the direct benefit of the Sponsor. Contracts are more restrictive than Grants, are typically awarded as a fixed priced or cost reimbursement, and have a limited amount of time in which to perform the work.
• A Government Subcontract is a subcontract under a government prime contract to a private company or another institution of higher education. These are typically hardest to negotiate because they include flow down clauses from the prime contract as well as new clauses introduced by the prime contractor.
Pre-award Requests
• Pre-award requests allow you to begin charging to a Project before the final award notification is received from the Sponsor. – Pre-award requests are approved at the sole discretion
of the Chair and Dean. – OSP will perform a risk assessment and advise the Chair
and Dean when making a decision.
• If you receive a Pre-award account, incur expenses as you normally would for a project.
• Billing is help until award is received• The Pre-award Request Form can be located on
the OSP website at www.umbc.edu/ospa/ospaforms.html.
Award Phase Process
Award Phase
OSP sends Event Notification electronic
document w/Grant Information to Grant
contact list
OSP sends budget information to
Grant contact list
OSP generates the Award process that transitions the proposal data to Post-award in PeopleSoft.
Grant Accounting sets up HR
Account Codes in PeopleSoft
Grant Accounting notifies the
department via email of the HR Account Codes
Event Notification
• Provides details about the Sponsored Project that the department needs in order to begin performing work on the Sponsored Project
• Will contain award history starting with proposal submission
• Email notification will include copy of award documents and budget
Grant Management Process
Grant Management
Department Administration
Implement Grant Proposal
Costshare?Participant
CostsSubrecipients
Overhead waived?
Payroll Considerations
Multi-year Grant?
Module 3: Getting Help
By the end of this module, you will be able to:– Locate OSP Personnel contacts online– Name who can help you with proposal
and budget questions in OSP