Grant Pre-Award

1
Departmental Research Administrators Training
Track

• Grant Pre-Award
• 2011-2012
• Office of Sponsored Programs
• Engineering 329
• ospa_at_umbc.edu
• 410-455-3140 (Phone)
• 410-455-1876 (Fax)
• www.umbc.edu/research/OSP/

2
Course Overview

• Audience
• DRATT participants responsible for managing
  sponsored projects, proposal routing and
  submissions, completing supporting documentation,
  reviewing budgets and reviewing the Proposal
  Status in PeopleSoft
• DRATT Prerequisite
• Grant Overview

3
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.

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Overview of Grant Management
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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

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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.

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Terminology

• FA -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 Base Total Direct Costs Base This is used
  during budget calculations when FA is applied to
  the total amounts of direct costs with no
  exclusions.
• MTDC Base - Modified Total Direct Costs Base
  Excludes items on which UMBC does not charge FA,
  as negotiated in our Indirect Costs 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. These costs are to be treated
  in accordance with federal guidelines.

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Pre-Award Process
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OSP Quick Reference (Website)

• http//www.umbc.edu/research/OSP/

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OSP Quick Reference
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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
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
PI Proposal Handbook Role of PI, Role of OSP, Routing Process
Sponsor Links Federal, State, International, Foundations/Associations, Local Government, Private
Electronic Submission OSP Grants.gov package upload
Funding Opportunities Community of Science, Foundation Directory, Grants.gov
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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 FA?
• For multi-year Sponsored Projects, did you
  account for inflation for each subsequent year,
  commonly 4 per year?

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Ranges for Various Budget Items
Category Range Comments
FA (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.
FA (off campus research) 26
FA (instruction on campus) 55
FA (instruction off campus) 26
FA (other sponsored activities on campus) 26 For a project that is not research or instruction (see manual page 14).
FA (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 .
14
Budget Categories

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

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Hotspots

• You cannot budget or charge clerical/admin costs
  to the Sponsored Project
• When is someone a subcontractor vs. a consultant?
  
• 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
• 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

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Its Time To

• WAKE UP!!
• Lets discuss/answer questions

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Sample Budget and Budget Justification

• Refer to the following handouts for samples of
• A budget
• A budget Justification
• A cost-sharing budget
• An FA 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.

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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.

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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 FA 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 This form should still be completed if the Sponsor has limited the FA 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.
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Forms
Form When to Use the Form Comments
Non-Disclosure Agreement 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 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.
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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
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Proposal Routing Form
Follow the screen instructions to open the
document. Print the document and follow the
steps below to complete it.
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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)
24
Completing the Proposal Routing Form Continued
Attach all Announcement/Special Program
Guidelines and Special Certification forms. If
none exist, check No unique guidelines apply
25
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.
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Completing the Proposal Routing Form Continued

• What is the first year and total project budget?
• What is the FA cost rate? Is this off campus? If
  this is a different rate than the standard attach
  the FA waiver
• Is there any cost sharing? If so, how much?
  Attach cost share form

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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, 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.

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Completing the Proposal Routing Form Continued

• Indicate if there are any Hazardous materials,
  human subjects or animals subjects being used for
  the project

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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

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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

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Practice

• Follow instructors directions

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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.

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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

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How to Start Using Electronic Routing

• All PIs for the department must complete the
  online PeopleSoft Access Form and submit it to
  PS-Support_at_umbc.edu
• Request Worklist access
• Training for Electronic Proposal Submission is
  available via OSP. Please contact OSP to
  schedule training.

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Proposal Status in PeopleSoft

• The status of the proposal can be tracked and
  viewed by the User in PeopleSoft
• PS Navigation
• Grants ? Proposals ? Maintain Proposals

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Locating the Proposal in PS
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Reading the Online Proposal Screen
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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 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
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Hands On Practice

• Navigate to the Proposal Screen in PeopleSoft
• Search for a proposal by PI ID (or Proposal
  Number or Short Title)
• Identify the proposal status (Draft, Pending
  Approval, Institution Approved, Not Funded, etc.)

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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 approximate length of time it takes to
  complete Award negotiations for various sponsored
  projects
• Describe when you can request a Pre-Award
  Spending Account

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Notification Negotiation

• Award Notification When the sponsor contacts
  either the PI or OSP to notify of the INTENT to
  award the grant or contract to UMBC
• Negotiation Process

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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
  PeopleSoft.
• 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.

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Viewing Grant Documents in PeopleSoft
Grants ? Awards ? Projects
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Viewing Grant Documents in PeopleSoft
To View Documents, you must tab over to the
Attachments Tab
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Viewing Grant Documents in PeopleSoft
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More PS Practice

• Navigate to the Awards Project Page in
  PeopleSoft.
• Open a Project.
• Identify if documentation exists for the Project
• I.E. Award Document, Budget, Routing, Cost
  Waivers, Cost Sharing Forms, Solicitations, etc.
• If documentation exists, open a document.

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Timeline
Please note that this is a very general,
approximate, and ideal timeline
48
Award Types

• 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.
• (UMBC Example JCET Cooperative Agreement)
• 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. FA 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.

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Award Types

• 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.

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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.
• 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/ospa/ospaforms.html.

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Award Phase Process
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Event Notification

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

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Grant Management Process
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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

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OSP Grants and Contracts Team
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OSP Grants and Contracts Team
Scroll to Bottom of Page for the Manager and
Specialist in each College and/or Center
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OSP Organization/Responsibilities 2011
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Main OSP Contact/Reference

• UMBC Office of Sponsored Programs

Engineering 329 ospa_at_umbc.edu 410-455-3140
(Phone) 410-455-1876 (Fax) www.umbc.edu/research/
OSP
2011-2012