Grant Preparation and Award Management April 2018 Your

Grant Preparation and Award Management April 2018 Your Team: sw-grantsandcontracts@illinois. edu

Distribution of Labor* Donna Jeno-Amici (djamici@illinois. edu) – CWPWD, IB 3, FISP and individual PIs Alice Turner (ajturner@illinois. edu) – CPRD (all fund types) and individual PIs Future Hire: – CFRC (all fund types), Office of Medicaid Innovation Project Order 11 and 13, and individual PIs Maggie Helms (mhlms@illinois. edu) – Grant strategy, content support, resource identification *includes budgets for campus-based funding opportunities

Turn to Maggie Helms for: Individualized list of potential funders Review of funding agency and RFA – Promising? Requirements? Review criteria? Assistance with application process – Drafting non-technical sections and supporting documentation; editorial review, if requested in advance – Identification and contracting of external reviewers Resource Identification – Physical resources, mentors, collaborators, and training Human Subjects support – Planning and implementing clinical trials, Human Subjects Forms for NIH applications

Uniform Guidance Consolidation of Federal grant guidelines Also adopted by State of Illinois as GATA (Grant Accounting Transparency Act) Goals: Eliminate duplicate and conflicting guidance Increase accountability Encourage efficient use of resources by limiting allowability Strengthen oversight Tighten regulation on waste, fraud, and abuse Being applied to ALL funding sources by campus

Key take-aways “It’s always been this way” is no longer true Be detailed in your budget Be specific as to the “benefit to the grant” for all travel and expenses Heavily justify: administration costs (ie. accountants), supplies generally used in an office setting Appointments need to match effort New rate concern: Research vs Instruction vs Other Sponsored Activity

“Where do I find funding? ” New area of research for you? Talk to Maggie first! Foundation Directory Online: https: //fconline. foundationcenter. org/search/member-index Vice Chancellor for Research: http: //research. illinois. edu and http: //research. illinois. edu/resources-research/limited-submissions Office of Foundation Relations: http: //with. illinois. edu/foundationrelations/ NIH opportunities: https: //grants. nih. gov/grants/guide/listserv. htm Nat’l Institute of Justice: https: //www. nij. gov/funding/Pages/welcome. aspx PCORI: https: //www. pcori. org/funding-opportunities Admin for Children and Families: https: //www. acf. hhs. gov/grants Federal Government: http: //www. grants. gov Federal Register: https: //www. federalregister. gov/topics/grantprograms

“How do I prepare a proposal? ” Contact your assigned SSW financial contact and Maggie Helms ASAP Assemble your team Sign up to access Workspace/Grants. gov for all Federal sources EXCEPT NIH Assist/Commons Review the guidelines – Eligibility – Formatting/margins – Special attachments – Budget limitations Use resources – Office of Proposal Development (https: //proposal. illinois. edu/) for proposals over $1 million

Is it another type of agreement? Work directly with your contact on the forms for: – – – – Data Use Agreements Data and Materials Distribution Agreement Memorandum of Understanding Facility Use Agreements Material Transfer Agreements Non-Disclosure Agreements Technical Testing Agreements

Typical content Always: – Budget justification – Work scope/narrative Sometimes: – – – – Bibliography Biographical sketch Broader impact Current and pending grants Data management plan Equipment quotes Facilities Subaward (statement of work, budget justification, letter of Organizational Authorization) – Mentoring plan – Summary

Side notes… Campus assistance on data management plans: – https: //www. library. illinois. edu/lsdata/dmp/ – Current and Pending available: – My. Research Portal https: //myresearch. uillinois. edu/pi. Portal/home

The budget PI and other researcher salary Clerical staff (with caution!) Research assistants (2, 4. 5, 9 months) Hourly staff (grads, undergrads, academic hourlies) Benefits (7. 75% to 41. 98%) Tuition remission (when allowable; 64%) Contractual services Subawards Publication fees Foreign and domestic travel Participant or human subjects costs Equipment (over $5 K) and supplies (under $5 K) Facilities and administration costs may be variable – MTDC: assessed on all except tuition, equipment over $5, 000, subawards over $25, 000, and participant costs

Keep in mind… Need to well justify: – – – “office” supplies (including cost per item) Printers/Computers (including quotes) Postage, copies, printing Telecommunications charges Administrative salaries (clerical staff) Cannot fund: – Books – Meals with visitors (unless participant costs) Potential issues: – – Travelers not paid on grant Office supplies used for lab/field use Charges not in budget Poor budget justifications

Example budget (1 year) 20% PI 1 year @ $6, 666/mo: $18, 000 100% data analyst @ $5, 000/mo: $60, 000 1 academic hourly $20/hr, 40 hr/wk, 12 wks: $9, 600 benefits: $33, 488 domestic travel: $5, 000 Human subjects: $5, 000 Printing: $500 Indirect costs (58. 6%): $77, 111 TOTAL: $208, 699 *If 20% indirect costs (on-campus state minimum), total is $157, 906

Campus Budget Templates http: //sponsoredprograms. illinois. edu/resources/forms. html (multiple tabs-this is “Research or Instruction”) Complete yellow area first! Updated by campus Put zero in first year beyond length of grant (for all categories)

Campus Budget Templates Split subawards into $25 K, above $25 K Zero tuition remission if not assessed

Budget justification Personnel: – Tasks? – Number of months? – Percent time/hours per week? (95% if will have nongrant tasks) – Rate? – Administration not typically allowable, but can be requested if 20%+ of time committed to grant Fringe benefits: – Standard rates, that change! – IDCFS won’t cover termination benefits

Budget justification, cont’d Supplies: – Demonstrate need – Justify “consumable” supplies (50 boxes of envelopes at $4. 00 each for mailing surveys) – Generally under $5, 000 per item – Computers under $5 K ea (must be necessary, not convenient) Participant Support Costs: – Conference or training session for non-UI employees – Generally restricted in use

Budget justification, cont’d Travel: – – – Where? How often? How long? Costs (hotel, per diem, airfare, taxi, car rental)? international vs. domestic travel Consulting: – Is there really no one at University of Illinois who can do the work? – Be sure the individual is allowed to do outside consulting – Be specific about rate, hours, tasks

Budget justification, cont’d Services: – Conference registration fees? computing time? Data storage? Website hosting? Transcription services? – Be specific about rate, hours, benefit to project Subawards: – Will another agency provide assistance? – Is there no way to directly fund the other agency? – A Subrecipient Profile Form, Subaward Assurance, Letter of Intent, scope of work, budget justification, institutional approvals all needed Tuition remission: – Standard rates are to be used (64%) when allowed

Budget justification (last one!) Facilities and Administrative Costs: State Federal Oncampus Offcampus Research 43. 22% 19. 17% 58. 6% 26% Instruction 33. 78% 19. 17% 45. 8% 26% Other Sponsored Activity 21. 93% 16. 19% 28. 6% 21. 1% Minimum 20% 10% n/a – If use lower rates, must prove in writing – OSA non-state of IL rates increase again FY 19 – Your description should be specific as to what rate was used and how it was calculated.

Effort/Cost share/Match Effort: – Time committed to the project (as salary or cost share); can’t be over 100% – Tracked within department only (for now) – Must reserve 5% for “other duties as assigned” (committees, proposal writing, etc. ) Cost sharing/match: – Limit cost share to what is required – Tracked by campus Activity Reporting System

Submitting Staff confirms proposal is ready PI and Co-PIs electronically sign the Proposal Intake Form (PIF) and any other required documents (ie. cover sheet) Staff obtains school/other unit signature(s) on PIF Once approved by SPA, the staff member will instruct the PI on final submission.

Got it! Anticipation fund can be established when funding assured Office of Sponsored Programs will send you and us the agreement – Review: reporting, citation in publications, foreign travel limitations Adjust the budget if reduced funding – Revise budget and justification with your contact Fund set up by campus Hold off expenditures until the period of performance is confirmed Subawards, purchase orders and professional service contracts cannot be finalized until awarded

“How do I manage my award? ” Funded incrementally or all at once Have the tools: – – CFOP: Chart, Fund, Organization, Program TCard PI should contact Amy Hiles PCard (Dept Card Manager) TEM access- Should have already; contact Wendy Harris (Unit Security Contact) Know what you promised: – See the spending guidelines provided by funding agency – Know report due dates – Know what was in the budget

“How do I make appointments? ” Send an email to sw-hr@illinois. edu and copy your grant contact Include: – Type of position – Name (if no search required) – Start date – Pay rate – Basic job description – Fund to charge “I need to hire an unknown academic hourly at $20 per hours for 10 hours per week from 5/16/18 to 8/15/18 to transcribe technical research data. Charge my NIH grant. ”

Grant expenditures Justify, justify! Save standard text to reuse Who, where, why, when, benefit to project Know the tripping hazards: – – – Equipment, supplies, computers Travelers not appointed on grant Saving charges to last 90 days of grant Indirect travel (ie. to Peoria via Chicago) Poor justifications for relationship to grant

Planning Travel Complete a Travel Approval Form – Estimate how much to be charged on each funding source (50% Grant A, 50% Grant B) A Tcard Superuser can book airfare, make hotel reservations, or pay conference registration for other people – Contact sw-expenses@illinois. edu or possibly an assistant in your unit Receipts to sw-expenses@illinois. edu – Include conference hotel information if applicable – Include note if hotel already paid for in advance

Tracking expenditures Sources: – Monthly statements (the 20 th of the month) – my. Research Portal (https: //myresearch. uillinois. edu/pi. Portal/home) – my. UI-Financials (https: //www. obfs. uillinois. edu/my-uifinancials) Review: – – Right people appointed Appointment dates fit grant period Are expenses related to grant? Are expenses yours? Caution: – Total available based on funding received and accuracy of obligations

A taste of my. Research Portal Copies of documents/Review status

A taste of my. Research Portal Active Grants/Pending/C&P Summary of Expenses

A taste of my. Research Portal Detailed Charges Balance (with caution)

A taste of my. UI-Financials Balance (with caution) Link to standard campus reports

Common changes Budget revisions – Work with grant contact on budget – PI drafts letter of justification – Goes through SPA for approval Change in scope of work – PI drafts letter of justification and new deliverables – Goes through SPA for approval PI change – Need letter and CV of new PI; work with grant contact Extension requests – Federal now through Research. gov – Other: work through your grant contact

More common changes New employees – Contact the HR team (sw-hr@illinois. edu) and copy your grant contact – PLAN AHEAD (job description, background check, search) – I-9 forms must be signed on or before start Supplemental funding – Essentially prepare a new proposal Transfer expenses – Tell your grant contact

Reporting/confirmations Reporting: – Dates, format and contents as shown in agreement – Federal reports run through SPA first (allow time!) – Send copy to your grant contact (or copy on email) Expenditure confirmation: – Semiannual review of expenses – Conducted online – Routes through grant contact/Donna Jeno-Amici Statement of Economic Interest: – Spring completion – Process through University Ethics Office

“What is the close-out process? ” Start about 6 months out Watch spending amount and categories Limit supplies/equipment in last 90 days Contact HR/your grant contact to alter appointments of your staff Charges must be on/before last day of grant; if ends mid-trip, so does reimbursement on that fund (unless have sponsor approval) Work with grant contact to clear overages to another grant (with justification) or faculty development fund Federal Grants: will need to deposit publications and data in an open access repository

Questions?

Additional Sessions Postaward (again) Friday April 20 11: 00 am 2019 SSW