Grant Pre-Award Office of Sponsored Programs Engineering (Phone) (Fax)

Course Overview Audience - Business Resources responsible for managing sponsored projects proposal routing and submissions, completing supporting documentation, reviewing budgets and reviewing the Proposal Status in PeopleSoft Prerequisites (Required) - PeopleSoft Overview course - PeopleSoft Fundamentals course - Grant Overview

Course Overview Cont.  What is covered in this Class? - The purpose of this course is to provide guidance to ensure the Business Resource effectively manages the sponsored project throughout the Grant Preaward 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 - Check the proposal status in PeopleSoft  Length - The length of this course is approximately 3 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 -Total Direct Costs. F&A is applied to all costs categories as allowed by sponsor. Typically used if sponsor has a cap on F&A.  MTDC - Modified Total Direct Cots. Excludes items on which UMBC does not charge F&A, as negotiated in our Indirect Cots 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. This category is VERY restrictive. Terminology Cont.

Pre-Award Process

OSP Quick Reference

Overview of Quick Reference Guide Sections SectionWhat 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 Salary Increments The recommended inflation rate for COLA and Merit is 4% 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 University Funding Mechanisms Types of funding vehicles UMBC can accept

Preparing A Budget  When preparing, or reviewing, the proposal budget, you must take the following into consideration: ‒ Are there enough funds in the budget for the resources required to do the proposed work? ‒ Are there funds for tuition for Graduate Assistants, if appropriate? ‒ Are there funds for health benefits for Graduate Assistants, if appropriate? ‒ Is summer salary included for the PI or Graduate Assistants? ‒ Did you include F&A? ‒ For multi-year Sponsored Projects, did you account for inflation for each subsequent year, commonly 4% per year?

Ranges for various budget items CategoryRangeComments 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. Inflation4% Used in multi-year Sponsored Projects. This is a per year %.

Budget Categories  Budget Categories define how sponsored project funds should be spent. ‒ Restricted (participant costs) vs. Unrestricted (Supplies) ‒ Direct Costs vs. Indirect Costs (F&A)

Hotspots  You cannot budget or charge clerical/admin costs to the Sponsored Project  When is someone a subcontractor vs. a consultant?  Participant Costs (Pcosts) ‒ Cannot be transferred to another line item ‒ Are not associated with conferences, seminars, or other events where the PI is a participant ‒ 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

Practice Follow instructor’s directions…

Sample Budget and Budget Justification  Refer to the appendix in the manual  Simple  P-Cost  Subcontractor  Cost-sharing  THESE ARE SAMPLES ONLY. Applicants should briefly explain in their own language each category that appears on their budget page.

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 ( and if required, must be included as part of the complete Proposal Submission package.

FormWhen to Use the FormComments Proposal Routing FormThis 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 from the University. If you answer Yes to question 12A on the Routing Form, this form must be completed, and accompany the Proposal Submission Addendum to Routing Form for NIH Proposals This form must be completed if NIH is the sponsor for 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, and accompany the Proposal Submission. Forms

FormWhen to Use the FormComments Non-Disclosure FormIf 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 Subrecipient Commitment Form If you answer Yes to question 16 on the routing form, this form must be completed by the subrecipient institution and signed by an Authorized Official. This is a new requirement as of September Forms Cont.

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 ( 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.

Completing the Proposal Routing Form Include: Deadline Date, Title, PI (Co-PI) Information (Name Department, Extension, 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 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 waiver Is 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, point of contact, phone number, and address 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 project Check yes or no if any equipment is required for the project Mark 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: –Eliminate the need to complete the paper routing form –Electronically attach the appropriate document (grants.gov, RFP, Budget) –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- –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. Grants  Proposals  Maintain Proposals

Locating the proposal in PS

Reading the Online Proposal Screen

Proposal Status DefinitionProposal Entered by DraftProposal entered into PeopleSoft, but not routed for approval OSP Pending ApprovalProposal is in the routing processDepartment Institution ApprovalProposal approved by Sponsored Programs and submitted to the sponsor Department Rejected by Institution Proposal not approved by UMBC. This is a rare occurrence, but it could happen. Department Not FundedSponsor pulled the funding.OSP or Department WithdrawnPI or UMBC withdraws the proposal OSP or Department AwardedProposal is awarded to UMBC – spending can begin. OSP or Department Presales SpendingPreaward account is approved, and spending can begin OSP or Department

Practice Navigate to the Proposal Screen in PeopleSoft Search a proposal by PI Identify the proposal status

Module 2: Negotiation & Award Phases By the end of this module, you will be able to: –Describe what to do if an Award notification is sent from a Sponsor to the Department –Identify length of time it takes to complete Award negotiations for various sponsored projects –Describe when you can request a Pre-award spending account

Terminology Award Notification: When the sponsor contacts either the PI or OSP to notify of the INTENT to award the contract to UMBC.

Negotiation Process

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 to make the necessary changes. 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 PeopleSoft Cont.

Practice: Navigate to the Awards Project Page in PeopleSoft. Open a Project. Identify if documentation exists for the Project. If documentation exists, open a document.

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. 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 Cont. 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. If you receive a Pre-award account, incur expenses as you normally would for a project. Billing is help until award is received The Pre-award Request Form can be located on the OSP website at

Award Phase Process

Event Notification Provides details about the Sponsored Project that the department needs in order to begin performing work on the Sponsored Project Will contain award history starting with proposal submission notification will include copy of award documents and budget

Grant Management Process

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

Who is my OSP Grants and Contracts Team?

Who is my OSP Grants and Contracts Team? Cont.