Presentation is loading. Please wait.

Presentation is loading. Please wait.

Pre-Award: Budget Development for Grants & OCGA Updates UCLA School of Nursing Research Support Team October 29, 2012.

Similar presentations

Presentation on theme: "Pre-Award: Budget Development for Grants & OCGA Updates UCLA School of Nursing Research Support Team October 29, 2012."— Presentation transcript:

1 Pre-Award: Budget Development for Grants & OCGA Updates UCLA School of Nursing Research Support Team October 29, 2012

2 The Purpose of Budgets  Demonstrate that PI has considered all costs of achieving the specific aims and project goals  Dedicate effort and resources to the project  Delineate budget categories which must be adhered to (±25%) once the project is underway  Describe the scientific necessity of every line item

3 Timeline for Successful Budgets  Three months before due date  Develop Specific Aims  Meet with Statistics Consultation Group to develop power analysis and study size, statistician effort (if applicable), data management plan  Develop project timeline  What is the project duration?  Who is involved? Does effort fluctuate?  Enrollment timeline?  Analysis timeline?

4 Timeline for Successful Budgets  Two months before due date  Identify personnel and performance sites  Rough draft of budget and justification  One month before due date  Final budget and justification

5 Timeline for Successful Budgets  Secure special arrangements earlier  Permission to exceed direct cost limitation?  Subawards to other Institutions?  Projects with an international component?  Quotes for equipment, consultants, vendor agreements?  Mandatory cost sharing?  Program income?

6 Budget Foundations Program announcement Scope? Cost/category limitations? Modular or line item budget? Project goals & specific aims What is feasible/necessary to achieve goals? Just- ification Describe necessity Cost categories Effort, subcontracts, other costs

7 Direct and Indirect costs  Direct Costs identified with a particular sponsored project and directly assigned to that project with a high degree of accuracy Examples: scientific/technical personnel effort, project supplies, subject renumeration, scientific/technical computers  Indirect Costs For common or joint objectives which cannot be identified specifically with a particular project Examples: clerical effort, office supplies, general purpose computers

8 Direct Cost Categories  Personnel: define effort devoted to the project  Materials and supplies  Travel (PI to study sites, conferences)  Consultants  Equipment  Subawards  Other costs  Define categories and atypical line items at outset to ensure allowability when project is underway  Subject renumeration, TIF, fee remission, animal research, pharmacy costs, rent, project-specific office-type supplies, telephones, mailing, copying, machines (<5k), core services

9 Personnel Determinations  Personnel comprise the largest part of grant budgets  2% escalation per NOT-OD-11-068  All personnel have a project role, duties, and effort  Senior/Key Personnel  individuals who contribute to the scientific development or execution of the project in a substantive, measurable way  Current staff or TBN?  Actual salary/benefits vs institutional scales

10 Project roles: Senior/Key  Multiple PI  Requires Multiple PI leadership plan  Co-Investigator  Requires stated effort/salary  Faculty Collaborator  Other Significant Contributor  Effort is “as needed”

11 Subaward, Vendor or Consultant?  Subawards are the most common mechanism for collaboration with another site that brings intellectual value to the project. They have discrete, fully-formed budgets authorized by an institutional official.  Vendor Agreements are established when a site performs work (assays, sample processing) on a fee- for-service basis. No intellectual contribution.  Consultants are non-UCLA individuals who perform fee-for-service work at a fixed rate; always requires a letter of support stating the rate, scope and expertise; compliant with SB1467 “Public Contracts: Conflict of Interest.”

12 Human and Animal Subjects  Protocol defines timepoints and processes for subject renumeration which must be included in the budget  Approvals must be in place before award can be issued  Start work on the protocol before award is issued to ensure the project is not delayed or restricted

13 Financial Characteristics of Contracts & Grants  Defined performance period  Ongoing reporting – progress, effort and technical reports  Auditable financial reports

14 Financial Characteristics of Contracts & Grants  Most research grants are cost-reimbursable  Specific scope of work  Unobligated funds returned to agency  Some contracts (clinical trials, subcontracts for services) are fixed-rate  Funds provided for services rendered  Unobligated funds retained under Policy 913  Research Office will advise PI regarding the contract type

15 Federal Costing Principles  OMB A-21  Should I charge this to my grant?  Allowability- Does the agency or announcement prohibit certain costs?  Allocability- Is the expense tied directly and proportionally to the project?  Reasonableness- Are the cost and units reasonable in light of the study aims and scope of work?  Consistency- Are the costs consistent across projects and campus units?  OMB A-110  Competitive procurement  Report submission and records retention  Prior approval for rebudgeting beyond established thresholds

16 Managing Project Expenses  Partnership between PI, requestor, purchaser and grant analyst to adhere to principles and facilitate timely correction  Continuous, dynamic, collaborative review  Review Process  Research Office provides ad hoc, real-time reports on expenditures  PI defines steps to align expenses with budget and goals  Fund manager and requester take action  Repeat

17 Managing Project Expenses  By approving a purchase, PI certifies that the expense is necessary, directly benefits and is used exclusively for the project  Use exception processes sparingly or never  Out-of-pocket expenses, cost transfers, sole- source purchases  Expenses >90 days old cannot be moved to or between research projects (NIH GPS 7.5)

18 Examples of reporting flags  Categorical variances ± 25%  Rebudgeting into/out of IDC-exclusion categories  Effort variances  Unallowable/misattributed items  Carryforward >25% to continuation year

19 Reporting  Effort reports  PI submits reports quarterly  Prevents overlap and ensures effort is consistent with stated levels  Personnel effort must be ≥ pay  Prior approval required if senior/key effort decreases >25% from proposed effort  Three reporting points: Other Support page, All Personnel Report, Effort Reporting System

20 Reporting  Progress reports  Submitted to agency annually to secure continuation funding  Publications? Results? Project delays? Changes to project? Enrollment? Effort? Carryforward over threshold?  Sloppy reports are frequently returned and will delay continuation funding

21 Pre-Award: OCGA Updates UCLA School of Nursing Research Support Team October 29, 2012

22 OCGA Reorganization  Proposal and Award Intake Teams Created  Grant Analysts  Grants and Cooperation Agreements  Grant Officers  Contracts, Incoming Subs, and Multi Campus Agreements  New Assistant Director  Grants and Cooperative Agreements

23 OCGA Proposal Intake Process  Proposal Intake Team receives all proposals to review  Team reviews documents for completeness  Complete application  Minimum documents  Less than minimum  some level of review possible  Incomplete/insufficient  Systematic reminders will be issued to follow-up on missing documents

24 OCGA Proposal Requirements  Minimum for Review  Completed EPASS with PI signature  Sponsor guidelines  All sponsor forms requiring OCGA signature  Final budget with budget justification  Brief description of proposal aims or proposal abstract  Subaward Documents (if applicable)

25 OCGA Proposal Requirements  Review, Approval, and Submission  Completed EPASS with all required signatures *  Sponsor guidelines  Final Proposal (budget, science, agency required signatures, biosketches, etc.)  Subaward Documents (if applicable) *  Signed/Completed COI disclosure (if applicable)  For PHS agencies or agencies that have adopted PHS regulations, all investigators report in eDGE *

26 PHS Conflict of Interest Regulations  Applies to all research supported by PHS agencies (NIH, CDC, AHRQ, etc.)  Applies to non profits that have adopted the PHS COI regulations (American Heart Association, American Cancer Society, Susan G. Komen, etc.)  Regulations apply to proposals submitted and awards received on or after August 24, 2012.

27 UCLA Electronic Disclosure Gateway (eDGE)  By law, the PI and other Investigators must disclose their significant financial interests to UCLA before a proposal can be submitted  Disclosures are required for all research awards, including some that previously did not require disclosure (i.e. conference, equipment, or training grants)  Could be found at:  Help Desk for eDGE: 310-206-8546 or

28 UCLA Electronic Disclosure Gateway (eDGE)


30 OCGA EPASS Form  Replaced the Goldenrod  EPASS has been mandatory since September 1  The PI/CoPI signature(s) on the EPASS incorporate required PHS certification  NIH/PHS PI signature Form is no longer needed  Utilizes dropdowns and hyperlinks  Form could be found at:




34 OCGA Subrecipient Requirements  Prior to proposal submission subs need to submit:  Statement of work  Budget and budget justification  Subrecipient Commitment Form  Now incorporates new PHS COI regulations  Form could be found at: ment_Form_revSept_2012.pdf

35 Subrecipient Commitment Form



38 Summary  Budgets and expenses are a function of the project goals and specific aims  Budgets should be as realistic as possible to minimize post-award changes  PI and departmental coordinators are jointly responsible for adhering to costing principles and managing project expenses  OCGA form/process changes reflect the revised PHS funding regulations.

39 Summary  Proposal submission tips:  Familiarize yourself with UCLA Policies, Procedures, and Forms (as well as Sponsor Application Instructions and Forms)  Alert the SON Research Office regarding all upcoming submissions  Meet deadlines for a successful submission  Start Early!

40 Questions?  Slides will be available on the web (click Research, Past Presentations)  Email

Download ppt "Pre-Award: Budget Development for Grants & OCGA Updates UCLA School of Nursing Research Support Team October 29, 2012."

Similar presentations

Ads by Google