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Grants WorkshopPresented by:
Mercer University’s Grants & Contracts Office
Objectives
• Clarify the services of the Grants & Contracts Office
• Explain the internal proposal submission process
• Provide overview for funding opportunity database searches
• Provide an overview for proposal budgets
Staff DirectoryDeLaine Samples, Director, Grants & Contracts Office x2627
[email protected] for coordinating functions of the office to include all pre-award and post-award activities. Additionally acting as a liaison between research faculty, compliance offices, Deans, and agencies.
Lanita Higgs-Jackson, Grants Accountant x2328 [email protected] proposal budgets for allowability and accuracy. Responsible for managing post-award financial aspects of grants/contracts such as monitoring budgets, reviewing charges, calculating indirect costs, invoicing, and preparing financial reports.
Jo-Bess Deane, Grants Accountant x2811Reviews proposal budgets for allowability and accuracy. Responsible for managing post-award financial aspects of grants/contracts such as monitoring budgets, reviewing charges, calculating indirect costs, invoicing, and preparing financial reports.
Chiquita Porter, Pre-Award Specialist x2801 [email protected] Responsible for preaward activities to assist faculty and staff with research and funding opportunities. Also maintains and provides training and access to electronic systems, prepares our newsletter and reports, and serves as liaison for Grants & Contracts & Compliance.
Grants & Contracts Office Services
• Provide information about external funding opportunities
• Perform funding searches for faculty
• Assist in budget preparation/calculations such as indirect costs, fringe benefits, and allowability
• Review your proposal before it is submitted to an outside agency.
• Assist in obtaining forms required by federal agencies
• Provide financial guidance and accounting support for MU faculty investigators
• Provide training and access to electronic systems
• Act as a liaison between investigators and their external sponsors
• Prepare financial reports required by sponsor
Duties of PI
Submit PTF to GCO with:
Complete Grant Application
Budget & Budget Justification Proposal Narrative Additional
Documentation
Second StepsSend Funding Guidelines and link
to the opportunity to the GCO Complete Proposal Transmittal
Form (PTF)
Obtain signatures from Dean, Chair, and Fiscal Officer (if
applicable)
First StepsSelect Appropriate Funding
opportunity Draft Project Description/Narrative Apply with Compliance Committee
Duties of GCO
Second StepsEnsure institutional
approvals are obtained
Obtain the necessary signatures
Forward to University Official or
PI for submission
First StepsLog into Proposal
Tracking Database
Ensure application adheres to sponsor
guidelines
Review Budget calculations & rates
7
Proposal Transmittal Form• Internal form used to circulate your
proposal for University review and approval (not sent to sponsoring agency)
• Used to obtain signatures• Dean, Departmental Chair, and Fiscal
Officer (if applicable) signatures are required when proposal is submitted to our office
• Grants and Contracts Office will determine other necessary approvals based on the information in the form
• Serves as a checklist in order for us to know who should review your proposal
• Provides a summary of award information that is helpful when award is received and account is established
Proposal Transmittal FormUniversity Research
Number: The tracking number assigned by GCO.Sponsor Deadline Date:
Indicate the deadline of the sponsor as well as
whether it is a postmark or receipt date.
Investigator Information: Includes
general contact information for the
Principal Investigator
Project Information: Includes Title and Funding
Agency. Branch/Division refers to federal agencies.
Initial Budget Period refers to Year 1 of the proposed project. Project Period refers to the
entire life of the grant. Contact the Grants Accountant with Indirect Costs questions.
If any boxes are checked here please refer to page 3. All compliance applications
approved before project begins.
Funding Purpose: Describe the scholarship activities of the project.
Signing this document ensures
adherence to University and
Agency policies and procedures.
Resource Allocation: Beneficial for the
department chair and dean to understand exactly what resources are requested
University Commitment: List any committed
contributions by department to cover costs
include your committed percentage of effort
Proposal Transmittal Form
Both the Dean, Department Chair, and Fiscal Officer (if applicable) must sign and
approve the proposal before it is submitted to
GCO.
Proposal Transmittal Form
(Continued from page 1) All compliance applications must be approved before
project begins. Some sponsors require
approval before it is submitted.
Search Engines
• SPIN Plus• SPIN (Sponsored Programs Information Network) is a funding opportunities database
designed to provide up-to-date information on current national and international government and private funding sources. SPIN contains information from thousands of different sponsoring agencies, which together fund thousands of separate funding opportunities. All of the data in SPIN is obtained directly from the sponsoring agencies to ensure the integrity of the information. Each program is updated in SPIN as the sponsoring agency updates or revises information, which is typically on an annual basis. The SPIN database is provided through annual subscription to colleges, universities, and industry clients worldwide.
• Grants.gov • Grants.gov is the single Federal source for finding and applying for competitive
discretionary grants for more than nine hundred Federal competitive grant programs. Here, you’ll discover standardized grant information, application packages, and application processes across all 26 Federal grant making agencies. Finding and applying for Federal grants has never been more streamlined or consistent.
• Whatever type of grant interests you, Grants.gov is the ideal entry point for state, local, nonprofit, and tribal governments, academic institutions, research organizations, non-profit organizations and all other eligible entities seeking Federal discretionary grant opportunities.
• Grants.gov is a direct link from the desk of the grant maker to the desk of the grant seeker. Its design and interface features make it centralized, searchable, easy to access, and easy to use.
SPIN Email Subscription
SPIN Email Subscription
My Profile select SMARTS
SPIN Email Subscription
Select Keywords
Grants.gov is designed to allow users to register/subscribe to receive email notifications of new grant postings that meet specific criteria. To register to receive grant postings,
• Click Find Grant Opportunities from the left side navigation. • Click on the Email Subscription from the submenu. Once on
the Email Subscription page, you may elect to be notified of updates, all grant notices, those with advanced criteria, grants with a specific Funding Opportunity Number (FON), or, you may choose to unsubscribe from receiving email notifications.
Grants.gov UpdatesAll Grant NoticesAdvanced CriteriaSpecific FON
Grants.gov Email Subscription
Grants.gov Email SubscriptionUnsubscribe:To unsubscribe, in the For Applicants section, simply click on Find Grant
Opportunities in theleft side navigation from Grants.gov’s homepage. Then, select Email
Subscriptions from the leftsubmenu, and click Unsubscribe. The Subscription Services page will appear
and allow you tounsubscribe from receiving emails. You will need to confirm your unsubscription.
An email willbe sent to your registered email address. Click the link enclosed in the email and
theunsubscription will be completed.
Quick Link Tip: To register to receive grant postings that meet
the needsof you or your organization, you
can also click on the Grant Email Alerts in the
Quick Links box.
Funding Search Request Form
Proposal BudgetsSo Many Questions…So Little Time
19
How do I know what budget form to complete?
• Grants.gov application form packages will typically include one of the two budget components
• R&R Budget Component (this is the detailed version); and,
• PHS398 Modular Budget Component
• Sometimes application package will include both
• Only ONE of these forms is required• Additional guidance should be
provided in the specific funding opportunity announcement
20
What if my sponsor does not require a budget?
• A detailed budget is required for institutional review/approvals
• The purpose of this is to• Ensure enough funds are
being requested• Allow for appropriate
approvals of any cost share• Verify F&A costs and
calculations• Resolve any budget issues
prior to the award
21
What costs should be included in my budget?
• Personnel• Equipment• Travel• Participant/Trainee Support
Costs• Other Direct Costs
• Materials and supplies• Publication costs• Consultants• Consortium participants• Other
• F&A Costs
22
How Should I Format the Budget?
• Any format that includes the basic cost categories and information discussed is acceptable for internal review
• Recommendations• Use an Excel worksheet for your
calculations• Follow one of the federal formats
• (old) PHS 398 Detailed Budget Form• (new) SF424 Research and Related
Budget• NSF Fastlane Budget form
• Blank versions of these formats available (only NSF format is in Excel)
Example of Excel Budget
23
24
What if my application requires a modular budget?
• Applicable only to certain research grant applications (R01, R03, R15, R21, and R34) requesting $250,000 or less per year for direct costs
• Modular budgets are a simplified budget requests
• Detailed categorical budget not required in submission – required by GCO
• Funds are requested in modules of $25,000
• Use a realistic estimate for direct costs and round up to the nearest module of $25,000 (do not include consortium F&A)
25
Costs to Include in the Budget
• Determined by OMB Circluar A-21, Principles for Determining Costs Applicable to Grants, Contracts, and Other Agreements with Educational Institutions
• Budgets for sponsored programs should include • Allowable direct costs required
for the project• Allocable portion of Facilities and
Administrative (F&A) costs
26
What costs are treated as direct, F&A or unallowable?
• A-21 Section J, General Provisions for Selected Items of Cost• Specifies if and when certain types
of expenses • Are generally allowable as direct
costs• Should typically be treated as
F&A• Are completely unallowable
• Cannot be direct• Cannot be included in calculation of
the F&A rate
27
Allowable Direct Costs• A direct cost is one that can be
identified specifically with a particular project
• Factors that affect allowability• Must be reasonable – reflect the
actions of a “prudent person”• Must be allocable - if the cost:
• Is incurred solely to advance the work of the particular project
• Benefits the project and other work of the institution, it can be allocated based on proportional benefit
• Benefits two or more projects in proportions that can be determined without undue effort, it can be allocated based on proportional benefit
28
Facilities and Administrative (F&A) Costs
• Facilities and Administrative (F&A) costs• Also known as indirect costs• Are costs incurred for common
or joint objectives and cannot be specifically identified with a particular project
• Costs that meet this definition cannot be charged directly to a project
29
Facilities and Administrative (F&A) Costs cont’d
• These costs are recovered through the application of the F&A rate to the direct costs
• Mercer’s F&A rate is negotiated with Department of Defense (DoD)• Cognizant agency is Office of Naval
Research (ONR)• Rate is negotiated every three years
• Current rates effective until 06/30/2014• On campus is 57%• Off campus is 26%
30
How do I calculate F&A costs?• Modified Total Direct Cost
(MTDC) Base• The F&A Rate is applied to all
direct costs except:• Equipment• Subcontracts after the first
$25,000 of each subcontract (regardless of the period covered)
• Same F&A rate remains in effect for the duration of the agreement
• University shares F&A cost recovery with School (25%) and PI (25%)
31
What if my agency’s guidelines for costs differ?
• Cost treatment can vary by agency
• Typically agency guidelines or agreement will be more stringent than the federal guidelines (A-21)
• In the event of a discrepancy, the agency/agreement will take precedence
32
What about my specific situation?
• Per A-21, the institution must treat like costs consistently• Regardless of funding source
• Exceptions may be made• Case-by-case basis• Adequate justification to support different
cost treatment
33
What if my sponsor limits/does not allow F&A costs?
• Simply provide documentation with your application package
• Either a copy of the announcement or guidelines or
• Written documentation from the sponsor
34
Who should be included under the personnel section?
• Senior/Key Personnel• Must contribute to the scientific
development or execution of the project in a substantive and measurable way• Not determined by whether they
receive salaries/compensation from the grant
• Usually have doctoral or professional degrees, but other levels may be considered if involvement meets definition
• “Zero percent” effort or “as needed” is not an acceptable level of involvement for key personnel (from NIH Grants Policy Statement)
35
Who should be included in the personnel section? (cont’d)
• Other Personnel• Any other personnel who do not
meet the definition of key personnel but are necessary to complete the work of the project
• Consultants and Consortium participants should not be listed in this section• Both are included in the Other
Direct Costs section
36
What amounts should I include in personnel costs?
• Salary support cannot exceed the person’s base salary for the proposed effort/person months committed • OMB Circular A-21, Section J8d(1): “In no event
will charges to sponsored agreements…exceed the proportionate share of base salary”
• NIH has a Salary Cap (currently $179,700)• Allowable support cannot exceed proportionate
share of cap• Should factor in increases in subsequent
years (recommend using 2% per yr)• Not guaranteed; based on institutional policies
• Grants and Contracts works with Payroll to provide and verify salary amounts included in the budget
37
What is percent of effort?
• Proposed amount of time committed to the project• Usually based on full-time
professional effort• Not expressed as a specified time
amount like hours/week • Individual’s total time commitment
cannot exceed 100%• Additional information will be
requested after peer review • Once committed, any changes for
key personnel effort greater than 25% require prior approval
38
What are person months?
• Most federal agencies are changing to this concept in place of percent of effort
• Essentially the percent of effort committed multiplied by the individual’s appointment period • Calendar year (12-month appt)• Academic year (9- or 10-month appt)• Summer term (period outside of academic
year)• Either have academic/summer months OR
calendar months, not both• Effort commitment can exceed salary
support requested• FAQs:http://grants.nih.gov
/grants/policy/person_months_faqs.htm
39
Examples
• 10% of a 12 month calendar appointment equals 1.2 person months (12 x .10 = 1.2) shown in Cal. Months column
• 25% of a 9 month academic year appointment equals 2.25 person months (9 x .25= 2.25) shown in Acad. Months column
• 100% of a 3 month summer term appointment equals 3.0 person months (3 x 1.00= 3.0) shown in Sum. Months column
40
New Personnel Being Hired
• Base salary included in application must be consistent with institutional policies and procedures
• PI works with Human Resources to provide amounts included in proposals
• Grants and Contracts verifies the amounts
41
Fringe Benefits
• Applicable fringe rate should be applied to salary support requested in budget• Rates will vary for full-time and part-time
faculty/staff• No fringes associated with student workers
unless they are working while not attending classes during the summer months
42
What is Considered to be Equipment?
• Any item of property that has an acquisition cost of $5,000 or more and an expected service life of more than one year
• Detailed budgets require each items to be listed separately and a justification to provided
• Not included in F&A Calculation• Allowable equipment purchases
are usually limited to necessary research equipment and apparatus not already available for the conduct of the work
43
Budgeting Travel Costs
• A justification of travel expenses must be provided which should include
• Purpose, • Destination, • Dates of travel (if known), and
• If the exact dates of travel are not known, specify estimated length of trip (for example, 3 days)
• Number of individuals for each trip
44
What is Included in Other Direct Costs?
• Materials and supplies• Should not include office supplies
(indirect costs)• The justification should include
general categories; categories less than $1,000 do not have to be itemized.
• Publication costs• Consultants• Consortium Participants• Equipment• Other Costs
45
Consultants vs. Consortiums• Consultant -
Provides similar goods/services
• Within normal business operations;
• To many different purchasers;
• In a competitive environment;
• Which are ancillary to the operation of the program
• Consortium• Has its
performance measured against the objectives of the program;
• Has responsibility for programmatic decision making;
• Uses the funds to carry out a program of the organization as compared to providing goods or services for a program
46
Consultants vs. Consortiums (cont’d)
• Consultant• Relationship is that of
vendor/contractual• Usually not an employee of
the applicant organization• Consulting fees may be paid to
employees only in unusual cases• Not subject to flow through of
federal guidelines• Applicant organization has no
responsibility for monitoring
47
Consultants vs. Consortiums (cont’d)
• Consortium• “Sub-award” or “Sub-recipient”• Relationship exists when the
research project is to be carried out by one or more organizations that are separate legal entities• Involves a specific percent of effort
from the consortium’s PD/PI and a categorical breakdown of costs (personnel, supplies, and other allowable expenses, as well as F&A costs)• Consortium F&A Costs are not subject
to Mercer’s indirect costs limits http://grants.nih.gov/grants/guide/notice-files/NOT-OD-04-040.html)
48
Consultants vs. Consortiums (cont’d)
• Consortium (cont’d)• Applicant organization must
perform a substantive role (cannot be a conduit of funds)
• Typically Must comply with all applicable federal guidelines• Applicant organization is
responsible for monitoring subrecipient compliance
49
Cost Share• Cost share (or matching) represents
that portion of the project costs not paid for by the sponsor
• Two types of cost sharing • Committed – Included in the application
either in the budget, justification or the narrative; must be accounted for and reported• Mandatory – Required as a condition of an
award• Anything above what is required becomes
voluntary• Voluntary – Not required but included in
application• Uncommitted – Costs above what is
included in the application• Does not have to be tracked or reported
50
Cost Share (cont’d)• Cost share can be in two forms
• In-kind Cost Share • Are those costs already budgeted for
in the school’s/department’s approved budget and
• Will be paid by the University regardless of sponsored programs
• Example - personnel costs for current employees
• Cash matching contributions are additional costs that the University must pay as a result of conducting the sponsored program
• Example – travel or supplies
51
What if my application includes costs share?• Cost share identified during the
application process• For mandatory cost sharing, provide a
copy of the RFP, PA, regulations or guidelines with proposal
• All cost sharing must be reviewed and approved by the appropriate Dean and Fiscal Officer (if applicable)
• Cash Match – • When there is a cash match, an account
number must be provided• Excluding the professional schools, all
cash matching exceeding $10,000 must also be approved by the Executive Vice President of Administration and Finance
• It will be the responsibility of the PI to • Ensure cost sharing commitment is met
and • Provide the Contracts & Grants Office with
the appropriate documentation
52
Questions?