pre-award: budget development for grants & ocga updates ucla school of nursing research support...
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Pre-Award: Budget Development for Grants
& OCGA Updates
UCLA School of Nursing
Research Support Team
October 29, 2012
The Purpose of Budgets
Demonstrate that PI has considered all costs of achieving the specific aims and project goals
Dedicate effort and resources to the project
Delineate budget categories which must be adhered to (±25%) once the project is underway
Describe the scientific necessity of every line item
Timeline for Successful Budgets
Three months before due date Develop Specific Aims Meet with Statistics Consultation Group to develop
power analysis and study size, statistician effort (if applicable), data management plan
Develop project timeline What is the project duration? Who is involved? Does effort fluctuate? Enrollment timeline? Analysis timeline?
Timeline for Successful Budgets
Two months before due date Identify personnel and performance
sites Rough draft of budget and justification
One month before due date Final budget and justification
Timeline for Successful Budgets
Secure special arrangements earlier Permission to exceed direct cost limitation? Subawards to other Institutions? Projects with an international component? Quotes for equipment, consultants, vendor
agreements? Mandatory cost sharing? Program income?
Budget Foundations
Program announcementScope? Cost/category limitations? Modular or line item budget?
Project goals & specific aimsWhat is feasible/necessary to achieve goals?
Just-ification
Describe necessityCost categories
Effort, subcontracts, other costs
Direct and Indirect costs Direct Costs
identified with a particular sponsored project and directly assigned to that project with a high degree of accuracyExamples: scientific/technical personnel effort, project supplies, subject renumeration, scientific/technical computers
Indirect CostsFor common or joint objectives which cannot be identified specifically with a particular projectExamples: clerical effort, office supplies, general purpose computers
Direct Cost Categories Personnel: define effort devoted to the project Materials and supplies Travel (PI to study sites, conferences) Consultants Equipment Subawards Other costs
Define categories and atypical line items at outset to ensure allowability when project is underway
Subject renumeration, TIF, fee remission, animal research, pharmacy costs, rent, project-specific office-type supplies, telephones, mailing, copying, machines (<5k), core services
Personnel Determinations
Personnel comprise the largest part of grant budgets 2% escalation per NOT-OD-11-068 All personnel have a project role, duties, and effort Senior/Key Personnel
individuals who contribute to the scientific development or execution of the project in a substantive, measurable way
Current staff or TBN? Actual salary/benefits vs institutional scales
Project roles: Senior/Key Multiple PI
Requires Multiple PI leadership plan
Co-Investigator Requires stated effort/salary
Faculty Collaborator Other Significant Contributor
Effort is “as needed”
Subaward, Vendor or Consultant? Subawards are the most common mechanism for
collaboration with another site that brings intellectual value to the project. They have discrete, fully-formed budgets authorized by an institutional official.
Vendor Agreements are established when a site performs work (assays, sample processing) on a fee-for-service basis. No intellectual contribution.
Consultants are non-UCLA individuals who perform fee-for-service work at a fixed rate; always requires a letter of support stating the rate, scope and expertise; compliant with SB1467 “Public Contracts: Conflict of Interest.”
Human and Animal Subjects
Protocol defines timepoints and processes for subject renumeration which must be included in the budget
Approvals must be in place before award can be issued
Start work on the protocol before award is issued to ensure the project is not delayed or restricted
Financial Characteristics of Contracts & Grants
Defined performance period Ongoing reporting – progress, effort
and technical reports Auditable financial reports
Financial Characteristics of Contracts & Grants Most research grants are cost-reimbursable
Specific scope of work Unobligated funds returned to agency
Some contracts (clinical trials, subcontracts for services) are fixed-rate Funds provided for services rendered Unobligated funds retained under Policy 913
Research Office will advise PI regarding the contract type
Federal Costing Principles OMB A-21
Should I charge this to my grant? Allowability- Does the agency or announcement prohibit certain
costs? Allocability-Is the expense tied directly and proportionally to the
project? Reasonableness- Are the cost and units reasonable in light of
the study aims and scope of work? Consistency- Are the costs consistent across projects and
campus units? OMB A-110
Competitive procurement Report submission and records retention Prior approval for rebudgeting beyond established thresholds
Managing Project Expenses
Partnership between PI, requestor, purchaser and grant analyst to adhere to principles and facilitate timely correction
Continuous, dynamic, collaborative review Review Process
Research Office provides ad hoc, real-time reports on expenditures
PI defines steps to align expenses with budget and goals
Fund manager and requester take action Repeat
Managing Project Expenses
By approving a purchase, PI certifies that the expense is necessary, directly benefits and is used exclusively for the project
Use exception processes sparingly or never Out-of-pocket expenses, cost transfers, sole-
source purchases Expenses >90 days old cannot be moved to or
between research projects (NIH GPS 7.5)
Examples of reporting flags
Categorical variances ± 25% Rebudgeting into/out of IDC-exclusion
categories Effort variances Unallowable/misattributed items Carryforward >25% to continuation year
Reporting
Effort reports PI submits reports quarterly Prevents overlap and ensures effort is consistent
with stated levels Personnel effort must be ≥ pay Prior approval required if senior/key effort
decreases >25% from proposed effort Three reporting points: Other Support page, All
Personnel Report, Effort Reporting System
Reporting
Progress reports Submitted to agency annually to secure
continuation funding Publications? Results? Project delays?
Changes to project? Enrollment? Effort? Carryforward over threshold?
Sloppy reports are frequently returned and will delay continuation funding
Pre-Award: OCGA Updates
UCLA School of Nursing
Research Support Team
October 29, 2012
OCGA Reorganization
Proposal and Award Intake Teams Created
Grant Analysts Grants and Cooperation Agreements
Grant Officers Contracts, Incoming Subs, and Multi Campus Agreements
New Assistant Director Grants and Cooperative Agreements
OCGA Proposal Intake Process Proposal Intake Team receives all proposals to
review
Team reviews documents for completeness Complete application Minimum documents Less than minimum
some level of review possible Incomplete/insufficient
Systematic reminders will be issued to follow-up on missing documents
OCGA Proposal Requirements Minimum for Review
Completed EPASS with PI signature Sponsor guidelines All sponsor forms requiring OCGA signature Final budget with budget justification Brief description of proposal aims or proposal
abstract Subaward Documents (if applicable)
OCGA Proposal Requirements Review, Approval, and Submission
Completed EPASS with all required signatures * Sponsor guidelines Final Proposal (budget, science, agency
required signatures, biosketches, etc.) Subaward Documents (if applicable) * Signed/Completed COI disclosure (if applicable)
For PHS agencies or agencies that have adopted
PHS regulations, all investigators report in eDGE *
PHS Conflict of Interest Regulations Applies to all research supported by PHS
agencies (NIH, CDC, AHRQ, etc.)
Applies to non profits that have adopted the PHS COI regulations (American Heart Association, American Cancer Society, Susan G. Komen, etc.)
Regulations apply to proposals submitted and awards received on or after August 24, 2012.
UCLA Electronic Disclosure Gateway (eDGE) By law, the PI and other Investigators must
disclose their significant financial interests to UCLA before a proposal can be submitted
Disclosures are required for all research awards, including some that previously did not require disclosure (i.e. conference, equipment, or training grants)
Could be found at: https://coi.research.ucla.edu
Help Desk for eDGE: 310-206-8546 or [email protected]
UCLA Electronic Disclosure Gateway (eDGE)
UCLA Electronic Disclosure Gateway (eDGE)
OCGA EPASS Form
Replaced the Goldenrod
EPASS has been mandatory since September 1
The PI/CoPI signature(s) on the EPASS incorporate required PHS certification NIH/PHS PI signature Form is no longer needed
Utilizes dropdowns and hyperlinks
Form could be found at: http://www.research.ucla.edu/ocga/Forms/EPASS_Form.pdf
OCGA EPASS Form
OCGA EPASS Form
OCGA EPASS Form
OCGA Subrecipient Requirements Prior to proposal submission subs need to
submit: Statement of work Budget and budget justification Subrecipient Commitment Form
Subrecipient Commitment Form Now incorporates new PHS COI regulations Form could be found at:
http://www.research.ucla.edu/ocga/Forms/Sub_Commitment_Form_revSept_2012.pdf
Subrecipient Commitment Form
Subrecipient Commitment Form
Subrecipient Commitment Form
Summary Budgets and expenses are a function of
the project goals and specific aims Budgets should be as realistic as possible
to minimize post-award changes PI and departmental coordinators are
jointly responsible for adhering to costing principles and managing project expenses
OCGA form/process changes reflect the revised PHS funding regulations.
Summary Proposal submission tips:
Familiarize yourself with UCLA Policies, Procedures, and Forms (as well as Sponsor Application Instructions and Forms)
Alert the SON Research Office regarding all upcoming submissions
Meet deadlines for a successful submission
Start Early!
Questions?
Slides will be available on the web (click Research, Past Presentations)
Email [email protected]