Grant Overview, Budget Development and Post Award Processing Workshop

Sponsored by USCRF and School of Public Health

Organization Structure for USC Research

Foundation

S p o ns o red P ro g ram & R e se a rch I n te llectual P roperty T echno logy I ncubator F inance P ro posal D evelo pm ent R esearch Co mp liance

U SCR F M anagem ent

O ffi ce o f V P fo r Research

USCRF’s mission

Advance the academic and research enterprise at USC

Overview of the Grant Process

Wanda Hutto

Sponsored Programs and Research

Services Provides pre-proposal support including identification of funding

sources, presentation of grant workshops, and coordination of

weekly flights to Washington for meeting with sponsor agencies.

Processes all sponsored project proposals for institutional signatory

approval.

Negotiates and accepts all sponsored project awards.

Establishes all sponsored program accounts.

Assures compliance with all university and sponsor policies and

regulations.

Sponsored Programs and Research

Services

Issues all subcontracts/subawards under all sponsored projects.

Processes most post-award actions (rebudgeting, no-cost

extensions, change of scope, etc.)

Advises project directors on grant/contract administration issues.

More information on this program: http://spar.research.sc.edu/

Office of Research Compliance

Specific areas of responsibility include: Human Subjects Protection Program and Institutional Review

Board Conflict of Interest and Outside Professional Activities Reporting Misconduct in Research and Scholarship Training in the Responsible Conduct of Research Liaison to institutional compliance committees including IACUC

and Health and Safety Monitoring government legislation and regulation related to

compliance issues More information on these programs: http://orc

.research.sc.edu

Private Foundation Support

USCRF and the Development Office Coordinate Private Funding

Foundation Consultant Activities (Sandra Glass) Review One-Page Concept Papers Review Letters of Inquiry Serve as an Advisor Regarding Strategies for Approaching

Foundations

Contact Harriet Showman, Director of Development/Foundations 7-4095 Hshowman@sc.edu

Proposal Review Process

Proposal Idea

Developed by

Faculty

Funding Source

Identified

Grant Process

Begins

Identify Funding Source

Search Mechanisms Community of Science

http://fundingopps.cos.com/

Foundation Center http://www.fdncenter.org/

Funding Alerts http://spar.research.sc.edu/funding_alerts/alertpage.htm

Contact Proposal Development Coordinator

Funding Agency Topic should be compatible with agency funding interests Consider agency limits on budget, applicants, and geographic area

Next Steps

Write the Proposal Develop Timeline Follow sponsor guidelines Explain things Don't make assumptions of your reviewers Be innovative .. new audiences, new techniques, etc. Be specific

Institutional Official Approval SPAR Office Assigned Sponsored Program Administrator For the list: http://spar.research.sc.edu/assigns01.htm

SUBMIT PROPOSAL 3 DAYS PIOR TO DEADLINE

Proposal Submission Process

Complete SPAR Form http://spar.research.sc.edu/sparforms.html

Proposal

Sponsor Guidelines

Proposal Review

Red Flags in the Budget Indirect Cost Rate Calculations Fringe Benefits Cost Share

Provide documentation

Subcontracts/Consultants Provide documentation

Equipment Tuition Budget Narrative Basic Calculations

Facilities and Administrative (F&A) Cost Rates

On-Campus Rate FY03 & FY04

ColumbiaSchool of Medicine Senior and Regional

Campuses

FY037/1/02 - 6/30/03

FY047/1/03 - 6/30/04

FY037/1/02 - 6/30/03

FY047/1/03 - 6/30/04

FY037/1/02 - 6/30/03

FY047/1/03 - 6/30/04

Research 45.0% 45.5% 39.0% 39.0% 45.0% 45.5%

Training and Service 30.0% 30.0% 30.0% 30.0% 30.0% 30.0%

Instruction 45.0% 45.5% 45.0% 45.5% 45.0% 45.5%

Off-Campus Rate FY03 & FY04

ColumbiaSchool of Medicine

Senior and RegionalCampuses

FY037/1/02 - 6/30/03

FY047/1/03 - 6/30/04

FY037/1/02 - 6/30/03

FY047/1/03 - 6/30/04

FY037/1/02 - 6/30/03

FY047/1/03 - 6/30/04

Research 25.0% 25.0% 24.5% 24.5% 23.5% 23.5%

Training and Service 24.0% 24.0% 24.0% 24.0% 24.0% 24.0%

For more information: http://www.spar.research.sc.edu/indirectcost.html

$1 of Indirects

College = 43 cents

DepartmentsFacultyStart-up costsEquipment Matching

USCRF = 43 cents

Start-up costsEquipment MatchingInternal GrantsAdministration

Facilities Fund = 14 centsNew ConstructionRenovation

Where Indirect Dollars GoAs of July 1, 2002

SCHOOL OF MEDICINE HAS A DIFFERENT DISTRIBUTION

Fringe Benefits Current Rate = 19.10%

Dates Effective – July 1, 2002 through June 30, 2003

http://www.spar.research.sc.edu/fringebenefit.html

A. State Retirement 10.85%

B. FICA (Social Security) 7.65%

C. Unemployment

Compensation

0.10%

D. Worker’s Compensation 0.50%

Total 19.10%

Certification Form

Proposal Review

Additional Red Flags Follow Sponsor Guidelines

Special Terms and Conditions

Departmental Collaboration and Policies

Human Subjects

Animals

Hazardous Materials

USC Financial Conflict of Interest Disclosure

Administrator Additional Duties

• Assigned Proposal Number Enter into Database

Transmittal Letter

Attachments (varies by sponsor) Debarment Forms Lobbying Disclosure Drug-Free Workplace Forms Affirmation Action Forms Copy of Board of Directors Copy of Indirect Cost Rate Agreement

Administrator Additional Duties

Authorizing Signatures Additional signatures may be required depending on project

amount

Ready for Pick-Up or Delivery Department copies and mails to sponsor

Award Process

Bonnie Feary

How An Account is Determined?

F Federal

G State

H Municipal/County

J Business/Industry

K Foundation/Non-Profit

L Other/Hospital

A ResearchL ServiceJ TrainingQ EquipmentV Donated EquipmentP Graduate Assistant

Contact Information

University of South Carolina

Research Foundation

901 Sumter Street

Byrnes Building, 5th Floor

Columbia, SC 29208

803-777-7093 Fax 803-777-4136

http://spar.research.sc.edu/

Budget Preparation

Maxine Mixon, Prevention Research Center

LaVerne Shuler, Exercise Science

Stephen Wilson, Office of Research

ARNOLD SCHOOL OF PUBLIC HEALTH

Overview

What’s covered:

Pre-preparation Checklist

Budget Preparation Resources

Key Budget Issues

Post-preparation Checklist

Sample Completed Budget Forms

Pre-preparation ChecklistBefore you start:

Review agency guidelines, instructions, and forms

Review SPAR guidelines and internal forms

Determine all proposal submittal deadlines

Identify target cost or ceiling amount

Determine start date and grant period

Review proposal

Proposal Budget Preparation Guide

SPAR website: http://www.spar.research.sc.edu/prepguide.html

Key Budget Issues

Key Budget Issues

Applicable to all budgets:

NIH Modular Budgets (Maxine Mixon)

Personnel (Maxine Mixon / LaVerne Shuler)

Consultant Costs (LaVerne Shuler)

Equipment (LaVerne Shuler)

Supplies and Materials (LaVerne Shuler)

Key Budget Issues (continued)

Travel (LaVerne Shuler)

Other Expenses / Costs (L. Shuler / S. Wilson)

Consortium / Contractual Costs (Maxine Mixon)

Consultants (LaVerne Shuler)

F&A (Indirect) and MTDC Costs (Stephen Wilson)

Cost Sharing and Matching (Stephen Wilson)

NIH Modular BudgetsApplies to NIH research grant applications

requesting up to $250,000 per year. Request total

direct costs in modules of $25,000. NIH website for modular research grant applications:

http://grants1.nih.gov/grants/funding/modular/modular.htm

Features (handout) FAQ (handout)

SPECIAL NOTE: SPAR requires a detailed, itemized budget for each funding period.

PersonnelSalary

Institutional Base Salary (excludes salary supplements and bonuses)

Appointment Types Faculty Summer Salary Total commitment must not exceed 100%, including contributed

effort FY 2003 NIH Salary Limitation: $171,900 Apply appropriate escalation factor on multi-year budgets

Fringe Benefits Specifically identified to each employee Check SPAR website for latest rates

Fringe Benefits Calculator

Consultant CostsUSC faculty/staff cannot be paid consultants on a

USC grant.

State employees require dual employment approval.

Budgeted costs cannot exceed max daily rate.

Include travel and per diem costs.

Include letters of commitment in proposal.

Submit USC Procurement Exemption Certification Form.

Equipment Definition:

Tangible, nonexpendable personal property having a useful life of more than one year and a unit acquisition cost of $5,000 or more.

F& A (indirect) costs do not apply.

Submit USC Procurement Exemption Certification Form to SPAR.

Supplies and Materials Definition - All personal property excluding

equipment, intangible property, and debt instruments.

Itemize by category. Food must be specifically requested and justified in the

grant application.

SPECIAL NOTE: Office supplies and administrative/clerical support are generally unallowable as direct costsunder Federal funds. Ref: SPAR memo (2/25/94); OMB Circular A-21

Exceptions: Project-specific items

Travel Itemize under separate categories.

In-state, out-of-state, and foreign travel

Use current mileage and meal allowance rates.

Include related expenses. Ground transportation Parking Registration fees Travel agency services fees Phone calls

Other Expenses / CostsExamples of items included: Project-specific long-distance telephone & voice mail Participant support costs (travel, fees, meals, stipends, etc.)* Printing and publication costs Freight and project-specific postage Rentals and leases Equipment and animal maintenance Service contracts Stipends and honoraria Graduate student tuition

* Some funding agencies require that travel and meals be included under the TRAVEL and SUPPLIES budget categories, respectively.

Implementation Plan For RestructuringGraduate Student Assistantships All graduate assistants = In-state tuition rate

General Academic Spring 2003 In-state Semester Tuition Rate

$2,700

Non-student owed tuition (Abatement or Residual) $1,753

Student owed tuition (Prior to Spring 2003) $ 947

Tuition Budgeting For Graduate Assts:

1) $1,753 per full time (20 hrs/wk) GA

2) $ 877 per half time (10 hrs/wk) GA

3) Goes under other expenses if allowed by agency

4) Excluded from IDC computation

5) Must be indicated as cost of department on PAP

form (item 1) if not covered by funding agency.

Consortium / Contractual Costs

Criteria:

Funds will be paid to another institution rather than to an individual.

Subrecipient will contribute to scholarly or scientific conduct of the project.

Subrecipient effort requires judgment, unique expertise, and original thought.

Subrecipient does not provide identical services to others as their primary business.

Consortium / Contractual Costs

Requirements:

Separate statement of work.

Detailed budget.

Written confirmation of institutional commitment.

Submit USC Procurement Exemption Certification

Form.

F&A (Indirect) Costs Use appropriate F&A cost rates

On-campus, off-campus, effective dates

F & A (indirect) costs exclude: Capital expenditures:

Equipment Renovations and Alterations Buildings

Tuition remission Each sub-award in excess of first $25,000 Rental costs of off-site facilities Student support costs (e.g. Stipends, Scholarships, etc.) Patient care costs

Modified Total Direct Cost (MTDC)

COST SHARE

Referred to as matching or in-kind contributions

Defined in the OMB Circular A-110

May be cash or non-cash

Frequently required by private foundations

SPECIAL NOTE: Do NOT volunteer cost share.

COST SHARE…an example

Example:

$50,000 grant funds received

$40,000 USC cost share posted

$90,000 total expenditures posted

Because of the cost share requirement of 50/50, $5,000 will

be returned to the grantor.

Departmental account (A or E) will be charged the $5,000

portion not covered by the grant.

Post-preparation Checklist Verify budget is consistent with proposal.

Check all calculations.

Verify fringe and F&A rates are correct.

Confirm sufficient department funds to cover cost share commitments

Complete USC Procurement Exemption Certification Form for major equipment, subcontracts, and consultants.

TIP: Pre-coordinate final budget with SPARprior to submitting entire proposal.

Sample Completed Budgets

Sample Completed Budgets

National Institutes of Health (NIH) Modular Same Modules (handout only) Variable Modules

National Science Foundation (NSF)

Robert Wood Johnson Foundation (RWJF)

(handout only)

NIH and Centers for Disease Control and

Prevention (CDC) PHS 398

NATIONAL SCIENCE FOUNDATION (NSF)

FastLane submission required for all proposals

SPAR must register faculty for FastLane

SPAR submits to NSF

Key web address:

http://www.nsf.gov/

http://www.fastlane.nsf.gov/

NATIONAL SCIENCE FOUNDATION (NSF)

Each year must have a budget and a cumulative budget for total project.

Summer salary for faculty is restricted to two-ninths of the academic salary.

Personnel is divided into two categories:Senior Personnel and Other Personnel

All other budget categories similar to NIH

Statutory cost share of 1% is required Not required on application

Sample PHS 398

Contact Information: Maxine Mixon, Prevention Research Center

Tel: 777-2830; Fax: 777-9007; E-mail: mmixon@gwm.sc.edu

LaVerne Shuler, Department of Exercise Science

Tel: 777-7078; Fax: 777-2504; E-mail: laverne@gwm.sc.edu

Pam Weiss, Director, Office of Research

Tel: 576-6074; Fax: 576-5950; Email: pweiss@gwm.sc.edu

Stephen Wilson, Office of Research

Tel: 777-9415; Fax: 576-5950; srwilson@gwm.sc.edu

Post Award and Grant Processing

Tonya Lewis and Linda Zinna

The Process

REVIEW AND CO M PARE

P ro po sa l

D e pa rtm e nt

G ra n t A w a rd

G ra n to r

M e m o ran d um

S P A R

L e ve ls

U n ive rs ityA cco u n ting

B U D G E T

The Review

LIMITATIONS

Fixed Price Contract

Cost Reimburseable

Line Item Restrictions

Unallowable Costs

Matching Requirements– Voluntary– Mandatory

The Review

F & A COSTS

• Special Rates

• Change in Rate

• Modified

The Review

REPORTING

FINANCIAL

TECHNICAL

PATENT

EQUIPMENT

Monitoring

MONTHLY MANAGEMENT REPORTS

• LEVEL I

Grant Accountants

Mike Hamilton

Tonya Lewis

Tracy Pham

Gina Thomas

Call CG&A at

777-4850

Peggy Walsh

Nicole Walukewicz

Neal Woody

Linda Zinna

Fax CG&A at

777-8817

Website: www.cga.sc.edu