Departmental Research Administrators Training Track Grant PreAward 2011

Departmental Research Administrators Training Track Grant Pre-Award 2011 -2012 Office of Sponsored Programs Engineering 329 ospa@umbc. edu 410 -455 -3140 (Phone) 410 -455 -1876 (Fax) www. umbc. edu/research/OSP/ 1

COURSE OVERVIEW Ø Audience: DRATT participants responsible for managing sponsored projects, proposal routing and submissions, completing supporting documentation, reviewing budgets and reviewing the Proposal Status in People. Soft Ø DRATT Prerequisite: § Grant Overview

COURSE OVERVIEW What is covered in this Class? • The purpose of this course is to provide guidance to ensure that DRATT participants effectively manage sponsored projects throughout the Grant Pre -Award 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 Length - The length of this course is approximately 2 hours.

OVERVIEW OF GRANT MANAGEMENT Pre-award Phase Negotiation Phase Award Phase Grant Management

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 q Locate the necessary proposal forms on the OSP website q Complete the Proposal Routing form q Identify when to use the additional forms q Describe the proposal submission process q Review proposal budgets for compliance q

TERMINOLOGY v Sponsored Project - Used to define any project with sponsor-restricted funds, such as a Grant or a Contract. v Proposal - an application for funding that contains all the information necessary to describe project plans, staff capabilities and funds requested. v Sponsor - an organization, Federal, Foundation or Private Institution that funds a project. v 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.

TERMINOLOGY v 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. v TDC Base – Total Direct Costs Base: This is used during budget calculations when F&A is applied to the total amounts of direct costs with no exclusions. v MTDC Base - Modified Total Direct Costs Base: Excludes items on which UMBC does not charge F&A, as negotiated in our Indirect Costs Rate Agreement. Examples – tuition, rent, equipment over $5 k, and subawards over $25 k. v 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. These costs are to be treated in accordance with federal guidelines.

PRE-AWARD PROCESS

OSP QUICK REFERENCE (WEBSITE) http: //www. umbc. edu/research/OSP/

OSP QUICK REFERENCE

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 FY 20 xx Current Tuition Rates and Graduate Assistant Rates Fringe Benefits Rates FY 20 xx 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 PI Proposal Handbook Sponsor Links Electronic Submission Funding Opportunities Role of PI, Role of OSP, Routing Process Federal, State, International, Foundations/Associations, Local Government, Private OSP Grants. gov package upload Community of Science, Foundation Directory, Grants. gov

PREPARING A BUDGET When preparing, or reviewing, the proposal budget, you must take the following into consideration: o Are there enough funds in the budget for the resources required to do the o o o 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% 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 %. For a project that is not research or instruction (see manual page 14).

BUDGET CATEGORIES q. Budget Categories define how sponsored project funds should be spent. A budget breakdown should include the following: q A separation of wages for faculty, graduate students, undergraduate students q An estimate of fringe benefits to be listed separately from wages q Other items to consider: § § § Domestic/foreign travel F&A costs Supplies P-costs Tuition

HOTSPOTS Ø You cannot budget or charge clerical/admin costs to the Sponsored Project Ø When is someone a subcontractor vs. a consultant? Ø Participant Costs (P-costs): • Cannot be transferred to another line item without prior approval • Do not include costs for a PI to attend a conference or seminar • 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 Ø Unallowables • A 21 Booklet provides a complete list of unallowables on a Grant or Project which can be found on both the OSP and Grant Accounting website

IT’S TIME TO… WAKE UP!! Let’s discuss/answer questions…

SAMPLE BUDGET AND BUDGET JUSTIFICATION Refer to the following handouts for samples of: o o A budget Justification A cost-sharing budget An F&A calculation for a subaward THESE ARE SAMPLES ONLY. When preparing a budget or budget justification for a sponsored project, make sure to include a clear breakdown of all costs and an explanation for each in the justification.

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/research/osp), and if required, must be included as part of the complete Proposal Submission package to OSP.

Forms Form When to Use the Form Comments Proposal 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 12 A on the Routing Form, this form must be completed. , and accompany the Proposal Submission This form should still be completed if the Sponsor has limited the F&A recovery to ensure that all departmental personnel are aware of that limitation. 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. This form must be signed by all parties and must include a chart string for where the funds are coming from.

Forms Form When to Use the Form Comments Non-Disclosure Agreement If a company requests that either party sign a nondisclosure 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 17 A on the routing form, this form must be completed, and accompany the Proposal Submission http: //www. umbc. edu/safety/ Sub recipient Commitment Form If you answer Yes to question 16 on the routing form, this form must be completed by the sub recipient institution and signed by an Authorized Official. This form includes information about the collaborating organization that will be used when negotiated a Subaward Agreement.

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 (http: //www. umbc. edu/research/OSP/). Locate the Proposal Routing Form from the available list

Proposal Routing Form 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)

Completing the Proposal Routing Form – Continued 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 See handout for further information on the type of activity, i. e. research, instruction, training, etc.

Completing the Proposal Routing Form – Continued v. What is the first year and total project budget? v. 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 v. 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 any additional resources required. • If there is a subcontract to another organization, check “Yes” and list the Subcontractor name, administrative point of contact, phone number, and e-mail address. OSP will also need a letter of institutional support, a budget, and a statement of work from the Subaward organization.

Completing the Proposal Routing Form – Continued Indicate if there 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 project Check yes or no if any equipment is required for the project Mark 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

PRACTICE Follow instructors directions…

PROPOSAL ROUTING (PAPER PROCESS) v Once a proposal is entered into People. Soft, it is given a unique Proposal Number. The proposal is entered into People. Soft either by the department, or by OSP. v 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 v Is the preferred alternative to routing paper documents v By entering the information directly into People. Soft, you will: o o o 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 Ø All PIs for the department must complete the online People. Soft Access Form and submit it to PS-Support@umbc. edu q Request Ø 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 in People. Soft § PS Navigation: § Grants Proposals Maintain Proposals

LOCATING THE PROPOSAL IN PS

READING THE ONLINE PROPOSAL SCREEN

PROPOSAL STATUS Proposal Status Definition Proposal Entered by Draft Proposal entered into People. Soft, but not routed for approval OSP Pending Approval Proposal is in the routing process Department Institution Approval Proposal approved by Sponsored Programs OSP or Department Rejected by Institution Proposal not approved by UMBC. This is a rare occurrence, but it could happen. OSP or 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

HANDS – ON PRACTICE q Navigate to the Proposal Screen in People. Soft q Search for a proposal by PI ID (or Proposal Number or Short Title) q Identify the proposal status (Draft, Pending Approval, Institution Approved, Not Funded, etc. )

MODULE 2: NEGOTIATION & AWARD PHASES By the end of this module, you will be able to: o Describe what to do if an Award Notification is sent from a Sponsor to the Department o Identify approximate length of time it takes to complete Award negotiations for various sponsored projects o Describe when you can request a Pre-Award Spending Account

NOTIFICATION & NEGOTIATION Ø Award Notification: When the sponsor contacts either the PI or OSP to notify of the INTENT to award the grant or contract to UMBC Ø Negotiation Process:

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 and Business Manager to make the necessary changes before processing the award in People. Soft. § 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 People. Soft, and a Project Number is assigned.

VIEWING GRANT DOCUMENTS IN PEOPLESOFT Grants Awards Projects

VIEWING GRANT DOCUMENTS IN PEOPLESOFT To View Documents, you must tab over to the Attachments Tab

VIEWING GRANT DOCUMENTS IN PEOPLESOFT

MORE PS PRACTICE: Ø Ø Ø Navigate to the Awards Project Page in People. Soft. Open a Project. Identify if documentation exists for the Project Ø Ø I. E. ; Award Document, Budget, Routing, Cost Waivers, Cost Sharing Forms, Solicitations, etc. If documentation exists, open a document.

TIMELINE **Please note that this is a very general, approximate, and ideal timeline**

AWARD TYPES v 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. v A Cooperative Agreement is similar to a Grant, with the main difference being that there will be substantial involvement from the Sponsor. (UMBC Example: JCET Cooperative Agreement) v 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. v 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 v A Subaward identifies a project where UMBC is NOT the prime contractor, but will be working as a subawardee to the prime grant recipient. v 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. v 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 q Pre-award requests allow you to begin charging to a Project before the final award notification is received from the Sponsor. q q q 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. A Pre-Award Request Form MUST be signed (and noted with appropriate chart string and funding source codes) and delivered to OSP for approval. If you receive a Pre-award account, incur expenses as you normally would for a project. Billing is held until award is received The Pre-award Request Form can be located on the OSP website at www. umbc. edu/ospaforms. html.

AWARD PHASE PROCESS

EVENT NOTIFICATION Ø Provides details about the Sponsored Project that the department needs in order to begin performing work on the Sponsored Project Ø Contains entire award history starting with the initial proposal submission Ø Email notification to Department and OCGA will include a copy of the info-sheet, award documents and budget

GRANT MANAGEMENT PROCESS

MODULE 3: GETTING HELP By the end of this module, you will be able to: v Locate v Name OSP Personnel contacts online who can help you with proposal and budget questions in OSP

OSP GRANTS AND CONTRACTS TEAM

OSP GRANTS AND CONTRACTS TEAM Scroll to Bottom of Page for the Manager and Specialist in each College and/or Center

OSP Organization/Responsibilities 2011

MAIN OSP CONTACT/REFERENCE UMBC Office of Sponsored Programs Engineering 329 ospa@umbc. edu 410 -455 -3140 (Phone) 410 -455 -1876 (Fax) www. umbc. edu/research/OSP 2011 -2012