Pre-Award: Budget Development for Grants & OCGA Updates UCLA School of Nursing Research Support Team October 29, 2012.

Pre-Award: Budget Development for Grants

& OCGA Updates

UCLA School of Nursing

Research Support Team

October 29, 2012

The Purpose of Budgets

Demonstrate that PI has considered all costs of achieving the specific aims and project goals

Dedicate effort and resources to the project

Delineate budget categories which must be adhered to (±25%) once the project is underway

Describe the scientific necessity of every line item

Timeline for Successful Budgets

Three months before due date Develop Specific Aims Meet with Statistics Consultation Group to develop

power analysis and study size, statistician effort (if applicable), data management plan

Develop project timeline What is the project duration? Who is involved? Does effort fluctuate? Enrollment timeline? Analysis timeline?

Timeline for Successful Budgets

Two months before due date Identify personnel and performance

sites Rough draft of budget and justification

One month before due date Final budget and justification

Timeline for Successful Budgets

Secure special arrangements earlier Permission to exceed direct cost limitation? Subawards to other Institutions? Projects with an international component? Quotes for equipment, consultants, vendor

agreements? Mandatory cost sharing? Program income?

Budget Foundations

Program announcementScope? Cost/category limitations? Modular or line item budget?

Project goals & specific aimsWhat is feasible/necessary to achieve goals?

Just-ification

Describe necessityCost categories

Effort, subcontracts, other costs

Direct and Indirect costs Direct Costs

identified with a particular sponsored project and directly assigned to that project with a high degree of accuracyExamples: scientific/technical personnel effort, project supplies, subject renumeration, scientific/technical computers

Indirect CostsFor common or joint objectives which cannot be identified specifically with a particular projectExamples: clerical effort, office supplies, general purpose computers

Direct Cost Categories Personnel: define effort devoted to the project Materials and supplies Travel (PI to study sites, conferences) Consultants Equipment Subawards Other costs

Define categories and atypical line items at outset to ensure allowability when project is underway

Subject renumeration, TIF, fee remission, animal research, pharmacy costs, rent, project-specific office-type supplies, telephones, mailing, copying, machines (<5k), core services

Personnel Determinations

Personnel comprise the largest part of grant budgets 2% escalation per NOT-OD-11-068 All personnel have a project role, duties, and effort Senior/Key Personnel

individuals who contribute to the scientific development or execution of the project in a substantive, measurable way

Current staff or TBN? Actual salary/benefits vs institutional scales

Project roles: Senior/Key Multiple PI

Requires Multiple PI leadership plan

Co-Investigator Requires stated effort/salary

Faculty Collaborator Other Significant Contributor

Effort is “as needed”

Subaward, Vendor or Consultant? Subawards are the most common mechanism for

collaboration with another site that brings intellectual value to the project. They have discrete, fully-formed budgets authorized by an institutional official.

Vendor Agreements are established when a site performs work (assays, sample processing) on a fee-for-service basis. No intellectual contribution.

Consultants are non-UCLA individuals who perform fee-for-service work at a fixed rate; always requires a letter of support stating the rate, scope and expertise; compliant with SB1467 “Public Contracts: Conflict of Interest.”

Human and Animal Subjects

Protocol defines timepoints and processes for subject renumeration which must be included in the budget

Approvals must be in place before award can be issued

Start work on the protocol before award is issued to ensure the project is not delayed or restricted

Financial Characteristics of Contracts & Grants

Defined performance period Ongoing reporting – progress, effort

and technical reports Auditable financial reports

Financial Characteristics of Contracts & Grants Most research grants are cost-reimbursable

Specific scope of work Unobligated funds returned to agency

Some contracts (clinical trials, subcontracts for services) are fixed-rate Funds provided for services rendered Unobligated funds retained under Policy 913

Research Office will advise PI regarding the contract type

Federal Costing Principles OMB A-21

Should I charge this to my grant? Allowability- Does the agency or announcement prohibit certain

costs? Allocability-Is the expense tied directly and proportionally to the

project? Reasonableness- Are the cost and units reasonable in light of

the study aims and scope of work? Consistency- Are the costs consistent across projects and

campus units? OMB A-110

Competitive procurement Report submission and records retention Prior approval for rebudgeting beyond established thresholds

Managing Project Expenses

Partnership between PI, requestor, purchaser and grant analyst to adhere to principles and facilitate timely correction

Continuous, dynamic, collaborative review Review Process

Research Office provides ad hoc, real-time reports on expenditures

PI defines steps to align expenses with budget and goals

Fund manager and requester take action Repeat

Managing Project Expenses

By approving a purchase, PI certifies that the expense is necessary, directly benefits and is used exclusively for the project

Use exception processes sparingly or never Out-of-pocket expenses, cost transfers, sole-

source purchases Expenses >90 days old cannot be moved to or

between research projects (NIH GPS 7.5)

Examples of reporting flags

Categorical variances ± 25% Rebudgeting into/out of IDC-exclusion

categories Effort variances Unallowable/misattributed items Carryforward >25% to continuation year

Reporting

Effort reports PI submits reports quarterly Prevents overlap and ensures effort is consistent

with stated levels Personnel effort must be ≥ pay Prior approval required if senior/key effort

decreases >25% from proposed effort Three reporting points: Other Support page, All

Personnel Report, Effort Reporting System

Reporting

Progress reports Submitted to agency annually to secure

continuation funding Publications? Results? Project delays?

Changes to project? Enrollment? Effort? Carryforward over threshold?

Sloppy reports are frequently returned and will delay continuation funding

Pre-Award: OCGA Updates

UCLA School of Nursing

Research Support Team

October 29, 2012

OCGA Reorganization

Proposal and Award Intake Teams Created

Grant Analysts Grants and Cooperation Agreements

Grant Officers Contracts, Incoming Subs, and Multi Campus Agreements

New Assistant Director Grants and Cooperative Agreements

OCGA Proposal Intake Process Proposal Intake Team receives all proposals to

review

Team reviews documents for completeness Complete application Minimum documents Less than minimum

some level of review possible Incomplete/insufficient

Systematic reminders will be issued to follow-up on missing documents

OCGA Proposal Requirements Minimum for Review

Completed EPASS with PI signature Sponsor guidelines All sponsor forms requiring OCGA signature Final budget with budget justification Brief description of proposal aims or proposal

abstract Subaward Documents (if applicable)

OCGA Proposal Requirements Review, Approval, and Submission

Completed EPASS with all required signatures * Sponsor guidelines Final Proposal (budget, science, agency

required signatures, biosketches, etc.) Subaward Documents (if applicable) * Signed/Completed COI disclosure (if applicable)

For PHS agencies or agencies that have adopted

PHS regulations, all investigators report in eDGE *

PHS Conflict of Interest Regulations Applies to all research supported by PHS

agencies (NIH, CDC, AHRQ, etc.)

Applies to non profits that have adopted the PHS COI regulations (American Heart Association, American Cancer Society, Susan G. Komen, etc.)

Regulations apply to proposals submitted and awards received on or after August 24, 2012.

UCLA Electronic Disclosure Gateway (eDGE) By law, the PI and other Investigators must

disclose their significant financial interests to UCLA before a proposal can be submitted

Disclosures are required for all research awards, including some that previously did not require disclosure (i.e. conference, equipment, or training grants)

Could be found at: https://coi.research.ucla.edu

Help Desk for eDGE: 310-206-8546 or [email protected]

UCLA Electronic Disclosure Gateway (eDGE)

UCLA Electronic Disclosure Gateway (eDGE)

OCGA EPASS Form

Replaced the Goldenrod

EPASS has been mandatory since September 1

The PI/CoPI signature(s) on the EPASS incorporate required PHS certification NIH/PHS PI signature Form is no longer needed

Utilizes dropdowns and hyperlinks

Form could be found at: http://www.research.ucla.edu/ocga/Forms/EPASS_Form.pdf

OCGA EPASS Form

OCGA EPASS Form

OCGA EPASS Form

OCGA Subrecipient Requirements Prior to proposal submission subs need to

submit: Statement of work Budget and budget justification Subrecipient Commitment Form

Subrecipient Commitment Form Now incorporates new PHS COI regulations Form could be found at:

http://www.research.ucla.edu/ocga/Forms/Sub_Commitment_Form_revSept_2012.pdf

Subrecipient Commitment Form

Subrecipient Commitment Form

Subrecipient Commitment Form

Summary Budgets and expenses are a function of

the project goals and specific aims Budgets should be as realistic as possible

to minimize post-award changes PI and departmental coordinators are

jointly responsible for adhering to costing principles and managing project expenses

OCGA form/process changes reflect the revised PHS funding regulations.

Summary Proposal submission tips:

Familiarize yourself with UCLA Policies, Procedures, and Forms (as well as Sponsor Application Instructions and Forms)

Alert the SON Research Office regarding all upcoming submissions

Meet deadlines for a successful submission

Start Early!

Questions?

Slides will be available on the web (click Research, Past Presentations)

Email [email protected]