Grant Overview, Budget Development and Post Award Processing Workshop

1. Grant Overview, Budget Development and Post Award Processing Workshop Sponsored by USCRF and School of Public Health

2. Organization Structure for USC Research Foundation USCRF’s mission Advance the academic and research enterprise at USC

3. Overview of the Grant Process Wanda Hutto

4. 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.

5. 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/

6. 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

7. 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

8. Proposal Review Process

9. Proposal Idea • Developed by Faculty • Funding Source Identified • Grant Process Begins

10. 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

11. 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

12. Proposal Submission Process • Complete SPAR Form • http://spar.research.sc.edu/sparforms.html • Proposal • Sponsor Guidelines SUBMIT PROPOSAL 3 DAYS PIOR TO DEADLINE

15. 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

16. Columbia School 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 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% Columbia School 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% Facilities and Administrative (F&A) Cost Rates On-Campus Rate FY03 & FY04 Off-Campus Rate FY03 & FY04 For more information: http://www.spar.research.sc.edu/indirectcost.html

17. Where Indirect Dollars GoAs of July 1, 2002 $1 of Indirects USCRF = 43 cents Start-up costs Equipment Matching Internal Grants Administration College = 43 cents Departments Faculty Start-up costs Equipment Matching Facilities Fund = 14 cents New Construction Renovation SCHOOL OF MEDICINE HAS A DIFFERENT DISTRIBUTION

18. Fringe Benefits • Current Rate = 19.10% • Dates Effective – July 1, 2002 through June 30, 2003 • http://www.spar.research.sc.edu/fringebenefit.html

19. Certification Form

20. 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

22. 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

23. 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

24. Award Process Bonnie Feary

25. How An Account is Determined? • F Federal • G State • H Municipal/County • J Business/Industry • K Foundation/Non-Profit • L Other/Hospital A Research L Service J Training Q Equipment V Donated Equipment P Graduate Assistant

26. 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/

27. Budget Preparation Maxine Mixon, Prevention Research Center LaVerne Shuler, Exercise Science Stephen Wilson, Office of Research ARNOLD SCHOOL OF PUBLIC HEALTH

28. Overview What’s covered: • Pre-preparation Checklist • Budget Preparation Resources • Key Budget Issues • Post-preparation Checklist • Sample Completed Budget Forms

29. Pre-preparation Checklist • Before 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

30. Proposal Budget Preparation Guide SPAR website: http://www.spar.research.sc.edu/prepguide.html

31. Key Budget Issues

32. 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)

33. 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)

34. NIH Modular Budgets • Applies 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.

35. Personnel • Salary • 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

37. Consultant Costs • USC 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. • SubmitUSC Procurement Exemption Certification Form.

38. 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.

39. 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 costs under Federal funds. Ref: SPAR memo (2/25/94); OMB Circular A-21 Exceptions: Project-specific items

40. 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

41. Other Expenses / Costs Examples 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.

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

43. Tuition Budgeting For Graduate Assts: • $1,753 per full time (20 hrs/wk) GA • $ 877 per half time (10 hrs/wk) GA • Goes under other expenses if allowed by agency • Excluded from IDC computation • Must be indicated as cost of department on PAP form (item 1) if not covered by funding agency.

44. 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.

45. Consortium / Contractual Costs • Requirements: • Separate statement of work. • Detailed budget. • Written confirmation of institutional commitment. • Submit USC Procurement Exemption Certification Form.

46. 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)

47. 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.

48. 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.

49. 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 Formfor major equipment, subcontracts, and consultants. TIP: Pre-coordinate final budget with SPAR prior to submitting entire proposal.

50. Sample Completed Budgets