become familiar with ursa organization learn how to develop and submit the “pre- award” of the...

Become familiar with URSA organizationBecome familiar with URSA organizationLearn how to develop and submit the Learn how to develop and submit the ““pre-pre-awardaward”” of the non-scholarly parts of a of the non-scholarly parts of a Sponsored project proposal at Georgia State Sponsored project proposal at Georgia State University University Learn how to prepare a budgetLearn how to prepare a budget

Office of Sponsored Programs (OSP)Office of Sponsored Programs (OSP)Proposal submissionProposal submissionHandles non-financial aspects of PostawardHandles non-financial aspects of PostawardAny contact with Agency officialsAny contact with Agency officials

Research Financial Services (RFS)Research Financial Services (RFS)Financial aspects of awardsFinancial aspects of awardsQuestions about budget and/or expendituresQuestions about budget and/or expenditures

Office of Research Integrity (ORI)Office of Research Integrity (ORI)Research Compliance & SafetyResearch Compliance & Safety

Georgia State University (GSU)Georgia State University (GSU)State regulated/funded UniversityState regulated/funded University

Georgia State University Research Foundation Georgia State University Research Foundation (GSURF)(GSURF)

Private foundation associated with GSU Private foundation associated with GSU which technically is the applicant in almost which technically is the applicant in almost all Sponsored projects not Principal all Sponsored projects not Principal Investigator (PI)Investigator (PI)

GSU Foundation (GSUF) administered through GSU Foundation (GSUF) administered through Development Office and processes giftsDevelopment Office and processes gifts

Sponsored Project:Sponsored Project: All externally funded activity that has a All externally funded activity that has a defined scope of work or product. (Administered by URSA)defined scope of work or product. (Administered by URSA)

GrantGrant,, typically competitive, is an award for work typically competitive, is an award for work proposed by PI (faculty/staff/ student)proposed by PI (faculty/staff/ student)Contract Contract is a binding legal document between the is a binding legal document between the Sponsor and GSURF. It obligates GSURF to do defined Sponsor and GSURF. It obligates GSURF to do defined work (must also be reviewed by Legal Affairs)work (must also be reviewed by Legal Affairs)Subaward Subaward is a grant or contract with another institution is a grant or contract with another institution (typically a University) who is the recipient of the award. (typically a University) who is the recipient of the award. Routed like any other Sponsored projectRouted like any other Sponsored project

Fellowship Fellowship may be an award to an individualmay be an award to an individualGiftGift is an unrestricted award. Administered through the is an unrestricted award. Administered through the Development Office (and GSUF)Development Office (and GSUF)Detailed definition available in resource manualDetailed definition available in resource manual

Read the Program Guidelines to determine:Read the Program Guidelines to determine:Eligibility (Higher Education Institution)Eligibility (Higher Education Institution)What needs to be done What needs to be done Who is going to do itWho is going to do itFormatFormatTiming (order of tasks)Timing (order of tasks)Electronic or paper submissionElectronic or paper submissionAgency-specific requirementsAgency-specific requirements

Sponsored Agency Forms need to be Sponsored Agency Forms need to be completed (either paper or online)completed (either paper or online)Fact sheetFact sheet contains useful information contains useful informationApplicant: Applicant: GSURFGSURF (not Principal Investigator) (not Principal Investigator)Authorized Institutional Official: Authorized Institutional Official: Marca GuruleMarca Gurule, , OSP Associate DirectorOSP Associate Director

Only individuals authorized to commit resources Only individuals authorized to commit resources and enter into legal contracts on behalf of GSURF. and enter into legal contracts on behalf of GSURF. Again, PI canAgain, PI can’’t sign a contract or submit a grant for t sign a contract or submit a grant for the institution the institution EXCEPTEXCEPT for individual fellowship for individual fellowship programs (check the eligibility)programs (check the eligibility)

Electronic applicationsElectronic applicationsDownloadable from Downloadable from www.grants.govwww.grants.gov or or Agency websiteAgency websiteHow to find help on URSAHow to find help on URSA’’s webpage?s webpage?

Identify limits or target (ceiling) total costs or Identify limits or target (ceiling) total costs or total Direct Coststotal Direct CostsSet a start date and/or period of performance Set a start date and/or period of performance (can be specified by Agency)(can be specified by Agency)Identify limits on F&A or Indirect CostsIdentify limits on F&A or Indirect CostsIdentify budget categories and limitations (e.g., Identify budget categories and limitations (e.g., NSF only 2 months salary)NSF only 2 months salary)Identify any cost share requirementsIdentify any cost share requirements

Project Period

NOTENOTE: Budget periods are usually one year, : Budget periods are usually one year, but can vary in lengthbut can vary in length

Direct Costs• Salaries and wages• Fringe benefits• Equipment• Travel• Materials and supplies• Other direct costs

Facilities and Administrative Costs• Building depreciation• Building interest• Equipment depreciation• Operations and maintenance• Library• General administration• Department administration• Sponsored projects administration• Student services

Cost sharing• Direct costs• F&A costs

Direct Costs

F&A Costs

CostSharing

TotalBudget++ ++ ==

Become familiar with URSA organizationBecome familiar with URSA organizationDirect Costs Direct Costs can be, distinctly, identified as costs directly can be, distinctly, identified as costs directly related to the project that are reasonable and necessaryrelated to the project that are reasonable and necessaryDivided into budget categories:Divided into budget categories:

PersonnelPersonnel- Salaries (including GRAs)Salaries (including GRAs)- Fringe BenefitsFringe BenefitsPermanent (Capital) Equipment Permanent (Capital) Equipment > > $5,000$5,000Travel: Domestic & InternationalTravel: Domestic & InternationalParticipant Support CostsParticipant Support CostsConsultants (individuals Consultants (individuals notnot employedemployed by GSU) by GSU)Supplies and Expendable (Non-Capital = Supplies and Expendable (Non-Capital = <<$4,999.99$4,999.99) ) Equipment Equipment

• Subcontracts (with other institutions)Subcontracts (with other institutions)Other Costs: publication, service contracts for Other Costs: publication, service contracts for equipment, computer usage fees, etcequipment, computer usage fees, etc

Faculty: Academic Year (AY- 9 month)Faculty: Academic Year (AY- 9 month)How much of GSU effort is spent on this project? It is How much of GSU effort is spent on this project? It is expressed as % of Full Time Equivalent (FTE). Think of expressed as % of Full Time Equivalent (FTE). Think of ““workloadworkload”” related to GSU appointment related to GSU appointment How much of that work is going to be spent on this How much of that work is going to be spent on this project? It is not % of 40 hour workweek but of total project? It is not % of 40 hour workweek but of total amount of work paid for by GSUamount of work paid for by GSU

% of effort committed = % of AY institutional base % of effort committed = % of AY institutional base salary (contract salary)salary (contract salary)% of effort % of effort maymay correspond to correspond to ““buyoutbuyout”” of of courses- expressed in fraction of AY Salary courses- expressed in fraction of AY Salary required to get course release varies by college required to get course release varies by college (1/6; 1/9). (1/6; 1/9). NIH/NSF want effort expressed in NIH/NSF want effort expressed in ““Person MonthsPerson Months”” 1 = 1/9. 1 = 1/9.

Available under proposal development on Available under proposal development on URSAURSA’’s websites websiteSpreadsheet for figuring effort, person Spreadsheet for figuring effort, person months, and budgeted salary months, and budgeted salary Spreadsheet for whole budgetSpreadsheet for whole budget

Professor Jones wants to have time to work on Professor Jones wants to have time to work on a grant by getting release from teaching 2 a grant by getting release from teaching 2 courses (one course per semester). She works courses (one course per semester). She works in A&S where a course release is determined in A&S where a course release is determined to cost 16.63% of AY salary. Her annual salary to cost 16.63% of AY salary. Her annual salary is $65,000. is $65,000.

How much How much efforteffort would she devote to the would she devote to the project?project?How much How much salarysalary should be budgeted? should be budgeted?How many How many personperson months? months?

How much How much efforteffort would she devote to the would she devote to the project?project?33.26%33.26%

How much How much salarysalary should be budgeted? should be budgeted?$21,619$21,619

How many How many personperson months? months?33

Professor Liu wants to have time to work on a Professor Liu wants to have time to work on a grant by getting release from teaching 1 course grant by getting release from teaching 1 course for the year (for the year (sheshe’’ll take it in fallll take it in fall). She works in ). She works in HHS where a course is determined to be HHS where a course is determined to be 12.50% effort. Her annual salary is $75,000.12.50% effort. Her annual salary is $75,000.

How much How much efforteffort would she devote to the would she devote to the project?project?How much How much salarysalary should be budgeted? should be budgeted?How many How many personperson months? months?

How much How much efforteffort would she devote to the would she devote to the project?project?12.50%12.50%



Professor Green, another co-Investigator, Professor Green, another co-Investigator, earns an annual salary of $80,000 and will only earns an annual salary of $80,000 and will only devote 5% of effort to the grantdevote 5% of effort to the grant

How much How much salarysalary should be budgeted? should be budgeted?How many How many personperson months? months?


How many How many personperson months? months?.45.45

Professor Green is an administrator and has a Professor Green is an administrator and has a 12 month appointment. She wants to devote 12 month appointment. She wants to devote 8% of her effort to a project. Her annual salary 8% of her effort to a project. Her annual salary is $98,000.is $98,000.

How much How much salarysalary should be budgeted? should be budgeted?How many How many personperson months? months?

3 Months of Summer Salary3 Months of Summer SalaryTo earn To earn ““full salaryfull salary”” is 1/3 of 9-month is 1/3 of 9-month salary salary or 33.33% of Academic Year (AY) or 33.33% of Academic Year (AY) or 3 PMor 3 PM

““Full SalaryFull Salary”” would be 100% of summer effort would be 100% of summer effortAny percentage earned up to 100%Any percentage earned up to 100%

Dr. Smith wants to teach a course during the Dr. Smith wants to teach a course during the summer and devote the rest of her effort to a summer and devote the rest of her effort to a project. She earns an annual salary of $75,000.project. She earns an annual salary of $75,000.

How much How much efforteffort can she devote to the can she devote to the project? project? What is the What is the number number of person months?of person months?What is the What is the budgeted salarybudgeted salary??

How much How much effort effort can she devote to the can she devote to the project?project?24.33% of AY salary or 72.99%24.33% of AY salary or 72.99%

What is the What is the number number of person months?of person months?2.192.19

• What is the What is the budgeted salarybudgeted salary??$18,247$18,247

• Staff is a 12-month appointment and certain faculty Staff is a 12-month appointment and certain faculty are also 12-month appointmentsare also 12-month appointments

• Percentage (%) effort Percentage (%) effort X X salary or hourly (staff assts) salary or hourly (staff assts)• Fulltime staff = 100% Fulltime staff = 100% • Only list salary for personnel that will be GSUOnly list salary for personnel that will be GSU’’s s

employees (non-GSUemployees (non-GSU’’s employees are consultants)s employees are consultants)• Use GSUUse GSU’’s title and pay plan for vacant positionss title and pay plan for vacant positions• If staff is already selected and named in the grant If staff is already selected and named in the grant

proposal, this is much easier to hire if awarded grant proposal, this is much easier to hire if awarded grant and not necessary to go through the same HR and not necessary to go through the same HR procedures, as if it is a regular vacant positionprocedures, as if it is a regular vacant position

• Students: Graduate assistantships or hourlyStudents: Graduate assistantships or hourly• GAs: Keep in mind minimums to get tuition waiversGAs: Keep in mind minimums to get tuition waivers

• Extra Compensation, i.e., additional compensation beyond Extra Compensation, i.e., additional compensation beyond the base salary: the base salary: • Only in Only in rarerare cases and must be approved by Agency (in cases and must be approved by Agency (in

proposal budget)proposal budget)• Federal Agencies, typically, do not allowFederal Agencies, typically, do not allow• Must meet Board of RegentsMust meet Board of Regents’’ requirements and the requirements and the

following four conditions, existing, are:following four conditions, existing, are: ““The work is carried in addition to a normal full load;The work is carried in addition to a normal full load;No qualified person is available to carry the No qualified person is available to carry the

additional work load as part of his/her normal duties;additional work load as part of his/her normal duties;The work produces sufficient income to be self-The work produces sufficient income to be self-

supporting;supporting; The additional duties must not be so heavy as to The additional duties must not be so heavy as to

interfere with the performance of regular duties.interfere with the performance of regular duties.””

• Apply merit increases as appropriateApply merit increases as appropriate– Start with current salariesStart with current salaries– Project salary increases up to the proposed Project salary increases up to the proposed

project start dateproject start date– Use the projected salaries as of the proposed Use the projected salaries as of the proposed

start date to estimate personnel costs for the start date to estimate personnel costs for the project period (i.e., estimate raises for project period (i.e., estimate raises for subsequent years)subsequent years)

• Comply with any Sponsor salary caps (e.g., NIH)Comply with any Sponsor salary caps (e.g., NIH)

• Cost incurred by GSU for FICA, Retirement costs, Cost incurred by GSU for FICA, Retirement costs, InsuranceInsurance

• Listed on Listed on Fact SheetFact Sheet• Always use higher number on proposalAlways use higher number on proposal• Only apply to faculty and staffOnly apply to faculty and staff• Separately calculate the 9-month faculty because Separately calculate the 9-month faculty because

it is different rates for Summer and Academic it is different rates for Summer and Academic YearYear

• Personnel Total Costs Personnel Total Costs = = Salary Salary + + FringeFringe

• Follow GSUFollow GSU’’s Travel Rules s Travel Rules – Domestic (US, Canada, and Mexico) listed Domestic (US, Canada, and Mexico) listed

separately from Foreignseparately from Foreign• Fly America Act (U.S. flag carriers must be used Fly America Act (U.S. flag carriers must be used

to the maximum extent possible)to the maximum extent possible)• Detailed budget (may be in justification) Detailed budget (may be in justification)

should include purpose of trip, estimates on should include purpose of trip, estimates on airfare/mileage rates, per diem, hotel ratesairfare/mileage rates, per diem, hotel rates

• Permanent equipmentPermanent equipment– Useful life of more than one yearUseful life of more than one year– Cost Cost >> $5,000 $5,000– Applicable educational/University discountsApplicable educational/University discounts– Freight chargesFreight charges– Vendor installation and set up chargesVendor installation and set up charges– Transit insuranceTransit insurance

• Research supplies to support the projectResearch supplies to support the project• Equipment that costs less than $5,000Equipment that costs less than $5,000• Test tubesTest tubes• ChemicalsChemicals• Assessment TestsAssessment Tests• AnimalsAnimals• Stickers (kids)Stickers (kids)NOT GENERAL OFFICE SUPPPLIESNOT GENERAL OFFICE SUPPPLIES

• Stipends, subsistence allowances, travel Stipends, subsistence allowances, travel allowances, and registration fees paid to or on allowances, and registration fees paid to or on behalf of participants or trainees in connection behalf of participants or trainees in connection with meetings, conferences, symposia, training with meetings, conferences, symposia, training activities, and workshops activities, and workshops

• Typically Typically NOTNOT human subject payments human subject payments

• Individuals hired to give professional advice or services for a fee– Letter confirming participation (may include

a quote for expenses)• Consultant’s travel costs

– If included as part of consultant’s hourly or daily rate, budget as consulting costs

– If not, budget as travel costs

• Agreements that transfer a substantive portion of the scope of work to another institution or organization

• Need to have a short written proposal– Statement of work, budget, and justification– Generally, total amount of subaward in prime

budget with budget detail in justification – Signed by the other institution’s principal

investigator and an authorized organizational official (has to be routed through other Univeristy) Start this 2 weeks ahead!!!

• PublicationPublication• Service contract for equipmentService contract for equipment• Computer usage feesComputer usage fees• Subject incentives/respondent feesSubject incentives/respondent fees• Conference registration costsConference registration costs

• Costs may not have to be listed in budget (with exception of equipment & international travel) to be a Direct Cost just as long as it “passes” test of: • allocable (can be attributed to project);• reasonable (would a reasonable person think

it benefits project); and, • allowable (not an unallowable cost or covered

by Indirect Rate). • HOWEVER, Reviewers may want to know.

• Also known as Also known as ““Indirect CostsIndirect Costs””• Costs to support research such as building Costs to support research such as building

depreciation, libraries, operation and depreciation, libraries, operation and maintenance, general departmental maintenance, general departmental administration, and support for conducting administration, and support for conducting researchresearch

• Percentage (%) of the Direct Costs has been negotiated with the Department of Health and Human Services based on data collected on record of our costs

• Different for research, instruction, and service• Different for on-campus versus off-campus

activities• Modified Total Direct Costs (excludes

participant costs, equipment, subaward above $25,000 for life of grant)

**Approved as of February 13, 2012

• Must include full F&A rate except:Must include full F&A rate except:• Agencies set F&A rate to a smaller Agencies set F&A rate to a smaller

percentage than the one negotiated percentage than the one negotiated with DHHS. Provide to OSP with DHHS. Provide to OSP documentation of restriction that is documentation of restriction that is included in the program included in the program announcement announcement

• Requests for reduced rates that are Requests for reduced rates that are not required must be co-signed by not required must be co-signed by Chair and Dean and then approved Chair and Dean and then approved by the Vice President for Research. by the Vice President for Research. STRONGLY DISCOURAGEDSTRONGLY DISCOURAGED

• Examples of costs typically Examples of costs typically notnot charged as Direct charged as Direct Costs because considered and included as Costs because considered and included as Indirect Costs:Indirect Costs:– Administrative and clerical costsAdministrative and clerical costs– Cell phones/telephone serviceCell phones/telephone service– Routine postageRoutine postage– General office supplies and equipmentGeneral office supplies and equipment- Printer toner, copy paperPrinter toner, copy paper- Computers (unless scientifically justified)Computers (unless scientifically justified)- PDAs/blackberriesPDAs/blackberries

– General office supplies and equipmentGeneral office supplies and equipment– CopyingCopying– Refer to list of unallowable items in Direct Refer to list of unallowable items in Direct

Cost policyCost policy

• If above If above ““routineroutine”” use of these items (e.g., use of these items (e.g., distributing classroom material, surveys)distributing classroom material, surveys)

• Or project is considered a major project Or project is considered a major project (definitions are in policy)(definitions are in policy)

• Or need a computer, alcohol, or food for an Or need a computer, alcohol, or food for an exclusively scientific useexclusively scientific use

• Need to include these justifications in budget Need to include these justifications in budget narrative to be approved by Agency at time of narrative to be approved by Agency at time of submissionsubmission

• See Direct Cost Policy available under manualsSee Direct Cost Policy available under manuals

• Do not require detailed budget until awardedDo not require detailed budget until awarded• Must detail Key PersonnelMust detail Key Personnel’’s commitments commitment• Utilize the Modified Direct Cost basis for Utilize the Modified Direct Cost basis for

calculating F&A. Therefore need to calculate calculating F&A. Therefore need to calculate the estimates for equipment, participant the estimates for equipment, participant support costs, and subawardssupport costs, and subawards

• Cost-sharing Cost-sharing is defined as a financial commitment is defined as a financial commitment by GSU to share the expense of the total project by GSU to share the expense of the total project cost cost

• Should only occur when Should only occur when requiredrequired by the Agency. by the Agency. (Provide documentation to OSP)(Provide documentation to OSP)

• Requests for voluntary cost sharing must be co-Requests for voluntary cost sharing must be co-signed by Chair and Dean and then approved by signed by Chair and Dean and then approved by the Vice President for Researchthe Vice President for Research

• Only costs that are Only costs that are allowableallowable as as ““Direct CostsDirect Costs”” can be cost share costs (e.g., salaries). Cost-share can be cost share costs (e.g., salaries). Cost-share budget looks same as project budget budget looks same as project budget

• Can not use federal projects to cost shareCan not use federal projects to cost share

• Proposal Approval FormProposal Approval Form is your routing form is your routing form– Download and fill out nowDownload and fill out now– Get signatures from Chair and DeanGet signatures from Chair and Dean– If PI and co-PIs are from more than one If PI and co-PIs are from more than one

college/department, all administrators have to college/department, all administrators have to sign formsign form

– Need to start the process Need to start the process 6 to 8 days ahead 6 to 8 days ahead to to obtain Chair and Deanobtain Chair and Dean’’s signatures in times signatures in time

– Get Get ““everythingeverything”” to OSP to OSP 5 days ahead5 days ahead– ““EverythingEverything”” does not include research does not include research

narrativenarrative– Refer to Refer to OSP Quick ReferenceOSP Quick Reference since it lists out since it lists out

what needs to be includedwhat needs to be included

• Proposal Approval Form• Compliance approvals can be pending• PI certifies to adherence of GSU’s:

– Conflict of Interest Policy– Intellectual Property Policy– Terms and Conditions of Award

• Office of Sponsored Program Officer reviews proposals to ensure:• comply with applicable funding source guidelines

and regulations, and with federal, state, and university’s policies

• contains accurate and reasonable budgets• accurate “compliance” information• contracts have necessary approval of contractual

terms from Office of Legal Affairs• obtains Authorizing Institutional Official Signature

• Once approved and signed by the Authorized Official, the proposal is returned to the PI

• The paper copy is the responsibility of the PI to mail the completed original to the Sponsor along with the correct number of copies

• A final version of the proposal should be delivered to OSP to be uploaded into our records’ system

• Each Agency is differentEach Agency is different• The role of PI and Authorizing Official (AO) differs The role of PI and Authorizing Official (AO) differs

by agency/submission requirementsby agency/submission requirements• PI should maintain an active contact with OSP to PI should maintain an active contact with OSP to

ensure AO submits. Some Agencies donensure AO submits. Some Agencies don’’t notify the t notify the AO that it is ready to submit!!!AO that it is ready to submit!!!

• Must get completed application submitted Must get completed application submitted 2 days 2 days before submission deadlinebefore submission deadline

• URSAURSA’’s website has step-by-step instructions for s website has step-by-step instructions for certain Agenciescertain Agencies

• Participating in the grants.gov workshop is very Participating in the grants.gov workshop is very beneficialbeneficial

QuestionsQuestions ??

become familiar with ursa organization learn how to develop and submit the “pre- award” of the...

Documents

sponsored project proposal

unrestricted award

budget periods

sponsored projects

sponsored projectfellowship

behalf of gsurf

defined work

expendable noncapital