Neta Fernandez
Director of Office of Grants and Contracts (OGC)
OGC
Reports to VPR ~10 research administrators Submits all proposals Negotiates with agencies Provides assistance/training Provides authorized signature Board of Regents Responsible for close out
Other Workshops
• Cost Accounting Standards (CAS)• Cost Sharing• Export Control• ARGIS• Others, as requested
Write Proposal
Find RFP that interests you
Provide copy to OGC
Review RFP for specific directions
How to do Proposals?
• Write proposal
• Work with RC/OGC on budget
• Provide to OGC with ample time
to review and submit
Complex Proposals
• Key is the RFP
• New Sponsor with Unique Guidelines
• Work is Interdisciplinary
• Includes Partners – Subcontractors
• Center Grants – Multi Year
• Cost Share or In-kind
• Foreign Countries – Export Controls
Proposal Deadlines 5 Days before deadline to OGC for all
electronic proposals that must be
submitted through Grants.gov on-line portal
48 Hours before deadline to OGC for non-
Grants.gov proposals
Allow extra lead time for Complex Proposals
Stimulus Money• Lots of extra requirements
• Still being defined
• Allow extra time for proposals
• OGC will offer a workshop to PI’s
Keys to a Successful Proposal
• Start Early
• Team Effort
• Cover all your bases up front
YEA – Received Award!
OGC receives award OGC reviews and negotiates OGC prepares award packet OGC sends packet to SPA SPA creates index OGC and RC notified of index# Finally…PI begins research
Award Cycle
Award Packet
Basic Info for PI
“Must Know” Stuff
Definitions of Agreement
Grant: more flexible than contract; team oriented; deliverables normally consist of report
Contract: issued by external sponsors for detailed SOW with final or milestone deliverables
Definitions of Agreement
Cooperative Agreement:
similar to grant but has statutory criterion that anticipates substantial agency involvement
Definitions of Agreement
Gift: a donation, no deliverables; all gifts processed through the VP for Advancement
• Colleges sometimes have one specific person who deals with Advancement
Types of Awards
• Fixed Price
• Cost Reimbursable
• Time and Material
Fixed Price
Grant or contract for which one party pays the other party a pre-determined price, regardless of actual costs, for services rendered
* More common on contracts
Cost Reimbursable
Grant or contract where one party pays other party for full allowable costs incurred during project. Based on actual costs incurred including direct and indirect costs.
* Common on grants
Sponsored Award Costs
There are two ways to charge toa sponsored award:
• Direct costs
• Indirect costs
Cost Accounting Standards (CAS)
• Created as act of Congress, 1971
• Applied to universities in 1996
• Promoted greater standardization of costs
• Goal to tighten rules on allowability/ allocation
Direct Costs
OMB Circular A-21 definition:
Those costs that can be specifically identified
to the cost objective with relative ease and a
high degree of accuracy
Examples of Direct Costs
• Salaries and wages including fringe
• Non-office supplies
• Subcontracts
• Animal use fees
• Travel related to project
OMB Circular A-21 definition:
Costs that are incurred for common or joint objectives and therefore, cannot be identified readily and specifically with particular sponsored project, an instructional activity, or any other institutional activity
Facility and Administrative (F&A or Indirect Costs)
Examples of F&A Costs
• Operation and maintenance of buildings
• Library costs
• Administrative office supplies
Charging Indirect Costs as Direct Costs
• Must be required by scope of work
• Cost can be accurately identified/ allocated to project
• Must be unique requirement and justified
• Evaluated on case-by-case basis
Is it Acceptable?
For example, office supplies are consideredunder F&A costs. If you can show that the office supplies are an unlike circumstance or are excessive for this project, you can write a justification and get approval for charging as a direct cost.
Office Supplies Example
Program is to promote AIDS Awareness on campus. Requires unusually large amount of supplies to prepare brochures and educationaltraining materials for workshops
ARGIS
Electronic Research Administration Contains all grants/contracts Allows PI to log in, enter proposal,
and view data Reminds PI when deliverables due Reminds PI when project ending
-- ready for closeout
Contact 646-1523 for:
ARGIS userid/password ARGIS training ARGIS help or assistance
ARGIS
Can be revenue obtained from:
• conference fees
• sale of videos
• sale of books
Program Income
Federal regulations provide following guidelines for treatment of program income:
• Use to further program objectives*
• Use to finance non-federal share of project
* Default application for research projects
Program Income
Role of PI
Get Started• Three general phases to funding cycle:
-- Proposal Devel & Submission
-- Project Administration
-- Project Reporting & Closeout
• Hopefully, Reporting & Closeout is not
“forever” but leads to follow-on or
subsequent grant
Proposal Development and Submission
Proposals have 3 general areas:• Technical Proposal (your ideas)
• Management Proposal (who will do the work, does NMSU have right facilities, are protocols to conduct work in place, need subcontractors, etc)
• Cost Proposal (who will pay for what, are costs proper, do they track with technical needs
Provide a copy (ASAP) of Request for Proposal (RFP) to research center or OGC
Proposal Award Form (PAF)
Proposal Development and Submission
Project Administration
Project Administration Stages:
• account/project setup
• day-to-day administration
• project reporting
Day-to-Day Administration
• Personnel
-- allocate, monitor, track level of effort
-- complete effort certifications (6 mo)
-- record timesheets in timely manner• Property
-- if property is purchased under grant, track
property as part of NMSU inventory list
Day-to-Day Administration
Financial Responsibilities:• ensure cost sharing documented/met• expend funds per approved budget• initiate/monitor/approve subaward expenditures• review/validate expenditures on BANNER• ensure travel expenses follow agency
requirements and NMSU allowed costs
Day-to-Day Administration
Purchases:• Can use Purchase Order/Procurement Card• Vendors must be approved and “in system”• PI initiates purchase and gets approval at
department/college/unit level for
appropriateness and funds available*
* PI responsible if purchases are not appropriate
Project Reporting
• Technical Reports -- prepare project Final/Intermediate Reports according to agency T&Cs -- disseminate project results according to proposal plan (conference proceedings, journal articles, etc) & acknowledge grant
• Assist research center in final reporting— financial matters, inventions, inventory, etc
More Basics
Cost Sharing
Definition:
Portion of project costs not borne by sponsor
Cost Sharing
Two types of cost sharing:
• Mandatory – required by agency or statute as condition of award
• Voluntary – NOT required by agency; cost sharing is not required but university funds part of research cost
Cost Sharing
• Charge full F&A, unless capped by agency
• Treated as cost share
** Voluntary cost share requires approval
by VPR – see attached form
If not charging full F&A and not capped –
MUST have VPR approval (See attached)
Voluntary cost share will only be approved in
very rare cases such as when it is considered a
proposal review criteria and is stated as such in
the RFP
Cost Share
Terminology may vary among agencies:
• cost sharing
• matching funds
• in-kind
Cost Share
Compliance Committees & Issues
• Conflict of Interest
• Institutional Review Board (human subjects)
• Institutional Animal Care & Use Committee (animal subjects)
Compliance Committees and Issues
• Institutional Biosafety Committee
• Supplemental Compensation
• Export Control
Conflict of Interest Definition
• Research where it appears researcher may have significant financial interest that could directly/indirectly affect the design, conduct, or reporting of research activities
• Or the researcher’s situation could directly and significantly compromise his/her professional commitments to NMSU
Conflict of Interest Examples
• Issue subaward to or pay spouse/significant other on grant
• Purchase supplies/equipment from company that relative/close friend owns
• Accepting gratuities or gifts from private organization that may be interpreted as attempt to influence
Conflict of Interest Procedures
• PI required to fill out and submit a Disclosure of Significant Financial Interest at annual evaluation
• PI required to submit new form when new interests are acquired
Conflict of Interest Committee
GOAL is to resolve completely or develop a plan to manage
Note: COI problems can cause PI to pay back agency out of personal funds
Institutional Review Board (IRB)
• NMSU is required by federal regulations to review research involving human subjects
• Must have IRB approval before PI actually begins research
Institutional Animal Care Use Committee (IACUC)
• NMSU is required by federal regulations to review research involving animal subjects
• PI required to get IACUC approval for any use of vertebrate animals – including research, teaching or testing
• PI must get IACUC review/approval in advance
Institution Biosafety Committee (IBC)
• Provides guidelines for research or academic programs involving biological agents
• Researchers must receive IBC approval before beginning work
Supplemental Compensation
For exempt staff and faculty to be paidsupplemental compensation, work must:
• cross departmental lines or at remote site AND• be performed in addition to regular workload
Supplemental Compensation
Must have agency approval
Must have approved CAS justification
Must comply with NMSU policy/procedures
Export Control
• Federal laws to protect items, technical data, and information important to U.S.
• More important during times of war or heightened security*
* Protect national security
What is an Export?
• Any oral, written, electronic or visual disclosure, transfer or transmission outside the US to anyone, including a US citizen, of any commodity, technical data, technology, or software
• Transfer of a controlled commodity, technology, or software to a non US entity wherever located
Foreign Students/Scientists
• Large presence of foreign students & scientists at NMSU increases the chance of transferring knowledge to other countries.
Note: Export Control laws can restrict use of foreign students/scientists on research
University Exemption
Exemption for universities:
• fundamental research
• open publication rights
• does not involve satellite
Civil penalties up to $500k each violation
Criminal penalties up to $1M each violation
Imprisonment up to 10 years
OR BOTH
Penalties and Fines
Dr. Horan
Intellectual Property/Tech Transfer
Director of Intellectual Property
and Technology Transfer
Maureen Camunez 6-5398
• Patent rights retained by university
• Government receives license to practice
• Universities to share royalties with inventors
Bayh Dole Act
• Signed prior to beginning of research project
Intellectual Property Agreement
Questions?