Grant Pre-Award2011-2012

Office of Sponsored ProgramsEngineering 329ospa@umbc.edu

410-455-3140 (Phone)410-455-1876 (Fax)

www.umbc.edu/research/OSP/

1

Departmental Research Administrators Training Track

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

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 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

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.

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.

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.

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 $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.

Terminology

Pre-Award Process

Preaward Phase

PI Develops the Proposal

Complete the routing form (see

example)

Proposal routed for appropriate

signatures

Attach appropriate documentation

Paper/Electronic?

Develop the proposal budget

Complete online proposal form

Attach appropriate documentation

Electronically route the proposal for

appropriate signatures

Paper

Electronic

http://www.umbc.edu/research/OSP/

OSP Quick Reference (Website)

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 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, LocalGovernment, Private

Electronic Submission OSP Grants.gov package upload

Funding Opportunities 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 proposed work?

o Are there funds for tuition for Graduate Assistants, if appropriate?o Are there funds for health benefits for Graduate Assistants, if appropriate?o Is summer salary included for the PI or Graduate Assistants?o Did you include F&A?o 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% For a project that is not research or instruction (see manual page 14).

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 %.

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 F&A costs Supplies P-costs Tuition

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

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 A budgeto A budget Justificationo A cost-sharing budgeto 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.

Form When to Use the Form CommentsProposal 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 fromthe University. If you answer Yes to question 12A on the Routing Form, this form must becompleted., 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 sponsorfor 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, andaccompany 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 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.

Forms

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

Follow the screen instructions to open the document. Print the document and follow the steps below to complete it.

Proposal Routing Form

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)

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

What is the first year and total project budget?What is the F&A cost rate? Is this off campus? If this is a different rate than the standard attach the F&A waiverIs 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 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.

Completing the Proposal Routing Form – Continued

Indicate if there are 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 projectCheck yes or no if any equipment is required for the projectMark 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

Completing the Proposal Routing Form – Continued

Practice

Follow instructors directions…

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.

Electronic Routing

Is the preferred alternative to routing paper documents

By entering the information directly into PeopleSoft, you will:o Eliminate the need to complete the paper routing formo Electronically attach the appropriate document (grants.gov,

RFP, Budget)o Electronically distribute the proposal for signatures

How to Start Using Electronic Routing

All PIs for the department must complete the online PeopleSoft Access Form and submit it to PS-Support@umbc.edu Request 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 PeopleSoft

PS Navigation: Grants Proposals Maintain Proposals

Locating the Proposal in PS

Reading the Online Proposal Screen

Proposal StatusProposal 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

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.)

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

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:

Negotiation Phase

Receive Award notification from

Sponsor

OSP negotiates final terms of the award with the

sponsor

Budget change? OSP notifies PI PI makes budget

changes

OSP and PI approve budget

changes

Generate Award process in PeopleSoft

Yes

No

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.

Viewing Grant Documents in PeopleSoft Grants Awards Projects

Viewing Grant Documents in PeopleSoftTo View Documents, you must tab over to the Attachments Tab

Viewing Grant Documents in PeopleSoft

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.

Timeline

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

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. F&A 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.

Award Types

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.

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.

Award Phase Process

Award Phase

OSP sends Event Notification electronic

document w/Grant Information to Grant

contact list

OSP sends budget information to

Grant contact list

OSP generates the Award process that transitions the proposal data to Post-award in PeopleSoft.

Grant Accounting sets up HR

Account Codes in PeopleSoft

Grant Accounting notifies the

department via email of the HR Account Codes

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

Grant Management Process

Grant Management

Department Administration

Implement Grant Proposal Costshare? Participant

Costs Subrecipients

Overhead waived?

Payroll Considerations

Multi-year Grant?

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

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 329ospa@umbc.edu

410-455-3140 (Phone)410-455-1876 (Fax)

www.umbc.edu/research/OSP

2011-2012