Presentation on theme: "“The Transition from Submission to Post-Award Funding (Grants 102)” Office of Grants and Sponsored Programs (OGSP) Scott C. Martin, PhD Interim Associate."— Presentation transcript:
“The Transition from Submission to Post-Award Funding (Grants 102)” Office of Grants and Sponsored Programs (OGSP) Scott C. Martin, PhD Interim Associate Dean for Research (Designated “Authorized Institutional Official”) Cheryl Coy, Secretary, x2377, Gary Clark, Coordinator, x2228, Ed Orona, PhD, Director OGSP – facilitate and coordinate the grant development and submission process; contract development; finalize awards. (=>> federal, state govts, other agencies, business, industry) (=>> federal, state govts, other agencies, business, industry) March 25, 2015
OGSP -EXECUTIVE SUMMARY Annual Report FY July 1, June 30, 2014 Awarded Proposals (Number) FY2013 FY2014 Annual Total $ 3,553,670 (68) $ 7,213,042 (67) Submitted Proposals (Number) FY2013 FY2014 Annual Total$ 20,537,924 (101) $ 18,920,361 (106) Internal Funding – Award during Spring 2014 University Research Council Grants University Research Council Grants 14 awards to faculty $ 35, awards to faculty $ 35,600 Research Assistant Awards - FY 2013 (not 2014) 100 to faculty in support of student research: $168, to faculty in support of student research: $168,498
OGSP Services (“Pre- Award and some Post-Award”) Project consultation and strategy development Project consultation and strategy development Funding opportunities: Requests for Proposals (RFPs), PAs Funding opportunities: Requests for Proposals (RFPs), PAs Use OGSP website (e-Grants Advisor, updated monthly) Use OGSP website (e-Grants Advisor, updated monthly) Developing, reviewing and submitting external grant proposals Developing, reviewing and submitting external grant proposals Grant development: editing and budget assistance * Grant development: editing and budget assistance * Liaison for Agency and Sponsor contacts and visits Liaison for Agency and Sponsor contacts and visits _______________________________ _______________________________ Accepting and authorizing awards Accepting and authorizing awards Negotiating sponsor agreements and contracts (sub-grants) Negotiating sponsor agreements and contracts (sub-grants) Interpreting guidelines, Terms & Conditions, re: Compliance with agency and YSU Board and University policies Interpreting guidelines, Terms & Conditions, re: Compliance with agency and YSU Board and University policies Research Compliance: Research Compliance: Human Subjects research (IRB), Animal Subjects (IACUC), Responsible Conduct of Research (RCR)
PI Roles and Responsibilities 1. Project management according to the approved scope of work, sponsor conditions and budget 2. Preparation and submission of progress reports and other deliverables 3. Supervision of expenditures in conformity with the budget and obtaining clearances from the University and Sponsor when proposing revisions 4. Completion of “personnel activity” reports (Time and Effort) 5. Review and validation of financial reports generated by Grants Accounting 6. Maintenance of records to establish documentation of expenditures and to facilitate final project closeout 7. Performance of project duties in conformity with generally accepted standards and ethical principles.
“Grant Development and Submission” The Initial Phase: Planning and Clearance Process Grant awards are to the University. YSU = Legal Applicant Grant submission is a formal process: requires pre-approval Proposal Authorization & Pre-approval Endorsement Routing Form: “Blue Sheet” (Pre-approval form – same as “transmittal” or clearance form) “Blue Sheet” (Pre-approval form – same as “transmittal” or clearance form) PI/PD Dept Chair Dean (approval signatures) “Red Guidebook”
The Submission Process: “Notice of Intent” (NOI) – send to us. (ckc, gc, eo) Preferable – give, at least, 3 weeks advance notice. “Blue Sheet” = YSU Proposal Authorization and Pre-Approval Form This form and process must be completed at least 3 days prior to the submission of an external proposal. (Read 3-day Policy) ==> Provide: Deadline – Due Date (at the Sponsor), Link to Request for Proposal (RFP) or Funding Opportunity, Project Description (draft), Budget and Budget Justification.
Office of Grants and Sponsored Programs (OGSP): (Coffelt Hall) Ext “PRE-award” (and some Post-) Submission of grant proposals Acceptance of award Grant/contract agreements (sub-awards) Initial or “single point of contact” (SPOC) Budgets and budget revisions No-cost extensions Other changes in Scope of project Controllers Office (formerly Grants Accounting): (Jones Hall) – Theresa Orwell, Alycia Sutherin “POST-award” Post-award financial matters and questions Establish a unique Banner FOAPAL ID number Documentation of grant expenditures Deposit checks; electronic fund transfers (EFT) Billing and invoicing Financial Reports (interim & final); closeout procedures
PRE-AWARD (OGSP) Grant Submission FILE: OGSP Proposal and Blue Sheet log-in: S# (submission) Notice of Grant Award Notice (NOGA): Terms & Conditions Budget: Excel spreadsheet (budget sub- codes) ↓ POST-AWARD (Controller /Grants Accounting) 1. Grants Accounting → unique Banner account # (FOAPAL) with Budget Object Codes: ex xxxxxx 2. PI gets - “Grant Profile Sheet”: Summary of award info. Grant Award: Banner FOAPAL Set-up when “Funded”
Budget: includes Direct and Indirect Costs Budget Sub-codes (left column)
MTDC rate (8% -Educ.) (40-50%) at RIUs (at a Research Intensive Univ): This EXAMPLE
Sponsor => Notice of Grant Award (NOGA): “Terms and Conditions” “Award Acceptance”: Terms and Conditions include specificity on … 1. Reporting Requirements (Performance/Progress; Financial) 2. Restrictions on publicity (PR; disclaimers) 3. Publications and dissemination (restrictions, timing) 4. IP: Intellectual Property rights (and protections) 5. Compliance regulations (OMB Circulars A-21, A-133) 6. Agency specific Terms: RCR, FCOI 7. Changes in project PI or Scope of Work 8. Grant close-out or NCE (no-cost extensions) Other project-related issues. Follow-up to NOGA actions may include: 1. Re-budgeting: object codes or $ amounts - revised with Sponsor approval. 1. Re-budgeting: object codes or $ amounts - revised with Sponsor approval. 2. No-cost extension request: to complete project, not simply to use $ 2. No-cost extension request: to complete project, not simply to use $
Notice of Grant Award: (cont.) Two Types of Awards (cost-reimbursement or fixed-price) Most grants are “Cost-reimbursable”: A. Cost-reimbursement: YSU gets $ based on receipts (invoices). at Closeout … All funds may not be expended (up to the original Project Award Total $), All funds may not be expended (up to the original Project Award Total $), and thus, become “de-obligated”. Funds are returned or not-used. (“ok”) B. Fixed-Price (“lump sum”): Total project $ awarded upfront. at Closeout … if Exceed project costs, Dept/College pays the difference, OR if Exceed project costs, Dept/College pays the difference, OR if Fund balance exists, keep residual $ at YSU (Board Policy- on “use”) if Fund balance exists, keep residual $ at YSU (Board Policy- on “use”) … “but, it all depends” (on the Sponsor Terms & Conditions) … … “but, it all depends” (on the Sponsor Terms & Conditions) …
“Post-Award Guidance” – see OGSP website Start and End dates: the Start date – when you can first expend –Start Date- when you can first expend. End Date- closure begins,… unless –NCE (no-cost extension), not given simply to use remaining funds. Timing of expenditures - “late” ordering may not be honored. (example- equipment, travel) Cost transfers - use of one Banner FOAP, changed to Grant FOAP (problematic; audit concerns – red flags) Supplemental pays to faculty v. independent contractors (Grant-funded Supplemental Form v. Procurement office form)
CITI Training Modules – IRB and RCR
Supplemental Pay: FYI YSU Personnel Compensation Guidelines Policy YSU Board of Trustees (# ) (effective 1/1/09) Use of grant funds for Supplemental compensation: (academic year or summer ) Use of grant funds for Supplemental compensation: (academic year or summer ) Academic year: can cover reassigned time (# credit- hrs) Academic year: can cover reassigned time (# credit- hrs) or, if extra, based on overload rate of $1250 per credit hour. Summer: usually limited to 2 months, dependent upon Sponsor or, if extra, based on overload rate of $1250 per credit hour. Summer: usually limited to 2 months, dependent upon Sponsor FORM (Grant-Funded Supplemental Pay) - available at website
“CONSULTING” - FYI True “Consulting” refers to activities outside of the University setting (without the use of Univ. resources, space, equipment, etc. ) - see CBA –Be careful of Conflict of Interest, Conflict of Commitment State Law: ORC (Ohio Revised Code) Chapter 3356: covers “Consulting” and its relationship to YSU employees (at a public university in Ohio). MEMO (“Continuing Reminder”) to Faculty: see OGSP website On Grant Projects (re: narrative in Budget Justification) Only non-YSU personnel are paid as “consultants” (term is okay) If you are on a grant project (elsewhere), use the term “contracted” services instead, if you are contributing to and being paid as YSU personnel.
“Food for thought” 1. Respect your Colleagues and their Time: “We don’t have the same priorities.” We are all busy. Have some patience: other colleagues are ahead of you, in the queue. 2. OGSP Submission 3-Day Policy and Sponsor deadlines: Read RFP carefully. Give Notice of Intent (NOI) 3 full business days – minimum (best- 3 weeks) Deadline at OGSP is 3 days earlier – than the Sponsor deadline. Deadline at OGSP is 3 days earlier – than the Sponsor deadline. 3. Do NOT start a “project activity” prior to when Banner FOAPAL set-up and contract Agreements are fully executed. (re: “Start Date”) – risk of not being reimbursed. 4. Do NOT transfer funds or pay expenditures from a different grant account, or prior to a new Banner FOAPAL set-up. (“cost transfers”) (Avoid red flags; “co-mingling” - audit concerns). (Avoid red flags; “co-mingling” - audit concerns).
Summary Notes Advice for Experienced: Bookmark the OGSP website! Go to: home page. - Review the content on ALL the web pages. “External Funding Opps” – use SEARCH Engines. “External Funding Opps” – use SEARCH Engines. 1. Grants Advisor Plus. 2. InfoED: (SPIN & GENIUS/SMARTS) Develop Draft Budget: Use Template – “Budget Auto-Calculator” Advice for Experienced Faculty: 1. Review Sponsor grant/contract Agreements: Terms and Conditions 2. Focus on: Banner, YSU support office personnel. (workflow) Training using CITI modules (Collaborative Institutional Training Initiative) - The IRB must review and approve all research protocols involving human subjects. * Certification requirement. - The IRB must review and approve all research protocols involving human subjects. * Certification requirement. - RCR (Responsible Conduct of Research) * Effective – RCR (Responsible Conduct of Research) * Effective –