Grants Management Workshop

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Grants Management Workshop

• Strengthening the Department
• -
• DRG Partnership

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Overview of Workshop

• Marie Wilson
• Coordinator

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Welcome to Research

• Dr. Ian Phillips
• Vice President for Research

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Research at USFThrough the eyes of research
administrators

• Priscilla Pope
• Associate Vice President
• for Research Grants

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Colleges
Departments Centers
Principal Investigators
Research Office
The USF Research Enterprise
Audit Compliance
Human Resources
General Counsel
Purchasing
Risk Management
Accounts Payable Travel
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Todays focus
Its a shared responsibility!
College
Department
Research Office
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• Division of Research Grants
• Research Proposal Services (RPS)
• (Pre-Award)
• Research Financial Services (RFM)
• (Post Award)

Research Office Vice President for Research
USF Research Foundation Private Awards

• Technology Development
• Patents Licensing
• Economic Development

Comparative Medicine (Veterinarians) Animal care
services
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Division of Research Communications

• Connect the PI to the funding source
• Research.Online (this session will be featured)
• Electronic proposals cant be one second late
• News, news, news!
• Keeps the PI informed!

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Research Proposal Services (RPS)

• Help in preparing proposals
• Put proposal information in FAST
• Review and negotiate award terms
• Verify approvals for humans and animals
• Meet inflexible deadlines
• Get the proposal OUT THE DOOR
• Keep those research numbers up!
• Keep faculty happy so theyll submit again

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Research Financial Management (RFM)

• Withstand audits
• Sponsor documentation
• NO! you cant go to England (or Las Vegas,
  either)
• Accounts set up correctly in FAST
• Bill the sponsors
• Reports
• Keep PI safe and our sponsors happy!

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College/Departments/Centers

• Help the faculty with proposal
• Make personnel appointments
• Submit purchase orders and travel in FAST
• Follow the dollars - review monthly financial
  reports
• Monitor encumbrances and expenditures
• Prepare for audits
• Keep documentation
• Serve as knowledgeable resource for the PI
• Serve as liaison between DRG and PI

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College Research Offices
College Associate Dean Phone College of Arts
and Sciences Sandra Schneider 4-9149 College of
Business Administration Richard
Meyer 4-2081 College of Engineering Robert
Carnahan 4-9899 College of Medicine Phil
Marty 4-5200 College of Nursing Mary
Evans 4-9112 College of Public Health Melinda
Forthofer 4-6681 College of Visual and Performing
Arts Barton Lee 4-2301 Florida Mental Health
Institute Catherine Batsche 4-1992 Cindy
Stark 4-4484 Honors College Naomi
Yavneh 4-4241 Marine Science Albert
Hine 3-1161
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Other Research AdministrationSupport Services

• Accounts Payable [phone]
• Audit and Compliance [phone]
• Environmental Health and Science (813)
  974-4036
• Purchasing [phone]
• Purchasing and Financial Services (813)
  974-4036
  
• Travel [phone]

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• Things to remember
• Successful project management starts during the
  proposal development
• Communication is NOT a one way street
• Building a team takes effort.but not as much as
  working separately.

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Research Communication

• Rebecca Puig
• Director

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Visit the Research Office Home Page at
http//www.research.usf.edu/
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Finding Funding

• SOURCES (http//www.research.usf.edu/sources/ )
• Posted Bi-Weekly by Pre-Award Staff on the web
• Highlights Funding Announcements
• Organized by Discipline
• Community of Science (http//www.cos.com)
• Government (Local Federal)
• Corporations
• Global
• IRIS (http//carousel.lis.uiuc.edu/iris/search.h
  tml)
• Government (Local Federal)
• Corporations
• GrantSelect (http//www.grantselect.com)
• Small Corporations Businesses
• Foundations

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SOURCES
http//www.research.usf.edu/sources/
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eRA - Electronic Research Administration

• American Heart Association
• Central Contractor Registration
• Department of Defense
• Department of Energy
• Department of Justice
• Grants.gov
• NASA

• NIH eRA Commons
• NSF FastLane
• Office of Naval Research
• proposalCentral
• Space Telescope Science Institute
• US Department of Education's e-Grants

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Information Library

• Publications
• Videos
• Compact Discs (CD)
• DVDs

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Introduction of the DRG Staff

• Sue Endress
• Director
• Research Proposal Service

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http//www.research.usf.edu/sr/DRGContacts.xls
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Internal Award Overview

• Liz OConnell
• Coordinator

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THE INTERNAL AWARDS PROGRAM
- Grants designed to stimulate fundable and/or
publishable research scholarship by USF
faculty
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Six specific grant types are offered by the
Research Office
-Individual project grants 1. New Researcher
Grant 2. Established Researcher Grant 3.
Creative Scholarship Grant
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• - Group project grants
• 4. Conference Support
• 5. Interdisciplinary Research Development Grant
• - Presentation grants
• 6. Faculty International Travel Grant
• (future or within last 8 months)

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INTERNAL AWARD FUNDING

• Funded with F A costs recovered from externally
  funded grants
• Funds available for AY04-05 400,000
• Two grant cycles Fall Spring

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PROPOSAL CYCLE

• VP for Research provides funding
• Research Council determines policies
• IAC in RPS revises guidelines forms
• http//www.research.usf.edu/sr/intprogs.htm
• Eligible faculty submit proposals to RPS
• Proposals reviewed by faculty reviewers
• Research Council awards grants
• Applicants receive decision letters reviews

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TYPES OF FUNDING

• Project grants
• NRG, ERG, CSG, CONF, IRDG
• PI is given Research Initiative (like RO acct.)
• Funds may not be commingled
• Funds must be spent during grant period

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2. Presentation grant

• Faculty International Travel Grant
• Initiatives are not set up for each recipient
• Expenses are reimbursed from RPS account
• PI sends travel documentation receipts to
  RPS for authorization
• Cost of the trip may be shared by the
  department or other unit

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FUNDING CYCLEfor project grants

• Grant Manual is sent to funded PIs staff
• PI and/or staff initiate the appropriate
  paperwork starting with RPS
• Grant Budget Release
• Request to Establish a Chartfield
• USF Compliance approval letters, if needed

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FUNDING CYCLE, cont.

• Budget is posted managed in RFM
• Any significant deviations from the budget or
  grant period must receive prior approval by the
  Internal Awards Coordinator (IAC)
• PI finishes project sends Final Report to IAC
  within 3 months of end of grant period

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The Pre-Award Process

• Anne Gallacher Airia Sasser

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The Proposal Cycle

• The proposal cycle is not clear cut - many of
  our responsibilities overlap, so there are
  numerous opportunities to work together.

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Theme of the Day

• How can we help you?
• How can you help us?

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RPS Responsibilities

• 1. Funding Finding a Potential Sponsor (DRC)
• 2. Proposal and Budget Preparation
• 3. RPS Review, Signature, Submission
• 4. Sponsor Funds Project
• 5. RPS Negotiates Accepts Award
• 6. Dept Sends Internal Paperwork to RPS
• 7. RPS Initiates Project Set-Up and Distributes
  Research Award Notice (RAN)

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Step 1

• Funding
• Give us a call, we can help!

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Step 2
PI RPS
Proposal Creation

• Proposal, Budget and Internal Form Preparation
  and Submission to RPS

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Step 2 Preparation Submission to RPS

• What should we submit to RPS at this stage?
• Proposal, including any pages requiring
  signature.
• Budget and Budget Justification, especially for
  federal awards.
• Special forms (such as reps, certifications) that
  require signature on behalf of USF.
• Sponsor Guidelines.
• Internal Form (both grants and contracts).
• We encourage you to email us a draft so
• we can review the proposal as you prepare !

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Step 2 Preparation Submission to RPS

• When should you submit the proposal to RPS?
• A. Three minutes before 5 pm, just enough time
  to get a signature.
• B. Two hours before 5 pm, just enough time for
  RPS to sign and make copies of the proposal.
• C. Approximately three days before it is due, so
  there is time to correct any errors or
  miscalculations RPS might come across.
• D. Four weeks after PI mails the proposal -
  department should submit proposals directly
  without RPS review.

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Step 2 Preparation Submission to RPS The
answer is C

• A contract should be submitted to RPS about two
  weeks before the execution (start) date.

• A proposal even if in draft stages should be
  submitted to RPS three days before sponsors due
  date.

Time is required to review proposal and ensure
the proposal submitted is of the highest
quality.
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Step 3

• RPS Reviews, Signs, Submits Proposal/Contract

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Step 3 RPS Reviews, Signs, Submits

• What exactly does RPS review?
• Compliance to ensure requirements are met.
• Human animal subjects, research safety,
  conflict of interest
• Budget and budget justification to ensure
  expenses are reasonable and allocable.
• Agency guidelines to monitor minimum requirements
  (such as cost sharing, format, page limits,
  etc.).
• In other words, we review the
  entire proposal !!

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Step 3 RPS Reviews, Signs, Submits

• Things to Remember
• Authorized and institutional signatures come
  from DRG Associate VP (Priscilla Pope) or
  Research Proposal Services Director (Sue
  Endress).
• A proposal that arrives in RPS timely can be
  reviewed and edited to help ensure that USF
  submits the highest quality proposal.
• Deans/chairs have requested proposals submitted
  without dean and chair signatures on Internal
  Form be withdrawn.

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Step 4

• Sponsor Reviews Proposal and Project is Funded

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YIPPEE !!!
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Step 5

• RPS Negotiates Accepts Award

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Step 5 - RPS Negotiates Accepts Award

• Negotiating can include
• Reducing cost share provided by USF if sponsor
  awards less than what was requested.
• Seeking approval for CAS expenses on a federal
  award if they were not requested and justified in
  the original proposal.

• Submitting last minute paperwork to the sponsor
• Confirming FA rate and budget awarded are
  acceptable.
• Finalizing award terms such as invoice due dates,
  payment type, IP language, confidentiality and
  other details.

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Step 6

• Department Sends
• Internal Paperwork to RPS

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Step 6 Department Sends Internal Paperwork

• What paperwork is needed to
• open a grant account?

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Step 6 Department Sends Internal Paperwork

• 1. Proposal (if applicable) and budget that were
  submitted to sponsor.
• 2. Signed Internal Form.
• 3. Award notice or contract.
• 4. Compliance Approvals (IRB, IACUC, etc.).
• 5. Grant Budget Release.

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Step 6 Department Sends Internal Paperwork

• What to identify on a grant budget release
• What is the Budget Level ?
• Budget Category??
• Account Roll-up ???
• Account Code ????
• FAST
• Rosetta Stone

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Step 7

• RPS establishes project and distributes paperwork
  to PI, Chair, Dean and RFM.
• Budget is not available for spending until Step
  9

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Step 7 Sample of Electronic Distribution
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Whats new?
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Forms, Forms, Forms !

• Proposal Review Certification (aka Internal
  Form) new electronic form
• Grant Budget Release
• Underwrite
• Budget Transfer
• Subaccount Establishment/Transfer Form

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Changes of Note to Specific PHS 398, effective
November 2, 2004 Face Page, Form Page 2, 4 and
5, Modular Budget Format Page, Biographical
Sketch Format Page, Personal Data Page, Key
Personnel Report Format Page, Checklist Form Page
NEW Font Size Requirement Arial-11 or
Helvetica-11 point font.
To see these changes and more, please check out
the website http//grants1.nih.gov/grants/forms.ht
m
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• Questions?
• Suggestions? Feedback?
• Want to see more of a certain topic?
• Please fill in your survey and let us know. Wed
  be happy to make additional workshops available.

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Grants Management WorkshopStrengthening the
Department DRG Partnership
10 Minute BREAK
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Introduction toResearch Financial Management

• Jane Gentilini Diane Domanovics

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RFM Balancing Act

• Balance regulations with project requirements and
  PI needs
• PI Project Needs Regulations Federal
• State
• USF
• Agency

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RFM Responsibilities

• Establish new sponsored projects
• Process all modifications to the project
• - extensions
• - change in budget
• Cash management, invoice and prepare financial
  reports
• Federal effort reporting
• Review and approval of all grant related cost
  transfers, both salary and non-salary as well as
  tuition payments

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• RFM Responsibilities contd
• Oversight, cost share/matching and reporting to
  sponsors
• Coordinate sponsor audits of projects
• Assist PI and staff with compliance and financial
  issues
• Monitoring of R0 initiatives and convenience
  account funds
• Grant close outs

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Step 7

• Establishing new grant account
• in FAST
• RFM receives grant package from RPS

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Step 8

• RFM Review of Grant Package

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Step 8 Review of Grant Package

• RFM enters chartfields for grant budget and cost
  share budget (if any), and FA set up
• Email notification to PI, their staff, Payroll
  and Workflow Administrator
• Payroll then assigns new GEMS account codes for
  salary and fringe benefits.

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SAMPLE E-MAIL

• The Division of Research Grants (DRG) has now
  completed the initial steps to establish your new
  grants project. The chartfield string is as
  follows
• ROJECT NO.
• OPERATING UNIT
• FUND
• DEPARTMENT
• PRODUCT 000000
• INITIATIVE 0000000
• PROJECT PERIOD BEGIN
• PROJECT PERIOD END
• PROJECT TITLE
• IF FEDERAL, ADMIN/CLERICAL PERMITTED? Y or N
• To spend from the new project, you will need to
  do the following. Both steps can be done at the
  same time, which will help to expedite the final
  setup of your new project. Attached to this
  message are all of the files with instructions
  required to complete the steps.
• Please note that by copy of this memo, Payroll
  will assign a new GEMS account code if the budget
  release contains salary. Therefore there is no
  need for you to send a separate request to
  establish a new GEMS account code. This
  streamlined service will help to expedite the
  project setup.

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Step 9

• PI Completes Workflow Request Form and Financial
  Transaction Authorization Form

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Step 9 Workflow

• Workflow Administrator coordinates with
  departments to establish workflow
• New projects accountable officer must email
  Financial Transaction Authorization form to
  Purchasing and Financial Services
• Workflow establishes purchasing roles, e.g.,
  requisition approver
• Financial Transaction Authorization form
  establishes signature authorization for project
  business transactions

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Step 10

• PI Conducts Research in Accordance with Sponsors
  Terms and Conditions and Institutional Policy

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Step 11

• Budgeting and Financial Management

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Step 11a Budgeting and Financial Management

• Verify approved budget by navigating in FAST
• Commitment control
• Query

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Step 11b Allowable Costs

• In order to be allowable as a project cost, item
  must be
• - reasonable and necessary
• - allocable
• - adequately documented
• - consistent with all applicable guidelines
• - consistent with award terms and conditions
• - for federal awards, appropriate under cost
  accounting standards (CAS)
• Budget Level link
• http//www.research.usf.edu/fast/Budget Levels
  Reference-2.xls
• Account Code Query U_LIST_GL_ACCOUNT_CF

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Step 11c Unacceptable Costing Practices

• Rotation of charges among sponsored projects
• Assigning charges based on the largest remaining
  balance
• Charging the budget amount for costs rather than
  an amount based on actual usage
• Misclassification of charges by identifying a
  cost as something other then what it actually is,
  e.g., equipment identified as a supply item
• Charging projects for costs not benefiting the
  project
• Parking charges! Charging costs to an account
  that actually belong on another account

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Step 11d - Review Departmental Ledgers

• Official University Ledgers
• http//neo.gate.usf.edu/PFS_reports/

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Step 11d - Official University Ledgers

• Check monthly expenditures
• Check encumbrances and pre-encumbrances
• Check project balance
• Check that expenditures posted to correct FAST
  account codes

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Step 11e Direct Costs

• Those costs that can be identified
  specifically with and relate directly to a
  particular sponsored project, e.g., PI salary,
  research technicians, post-docs, etc.

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Step 11e Facilities Administrative Cost

• Those costs that cannot be identified with a
  project, instead are incurred for common
  purposes, e.g., office manager, administrative
  assistant, clerk typist.

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Step 11e Cost Accounting Standards (CAS)

• Cost Accounting Standards for federal
  awards, FA costs may not be charged directly
  to federally funded projects.
• Exceptions should be anticipated early at the
  proposal stage, be well documented, and
  approved by the agency.

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Step 11f Expenditure Transfers

• Mechanism for reassigning cost to another account
• Must stand test of being allowable, allocable and
  reasonable.
• Transfers should be made with in 120 days of when
  charge was incurred
• Should be used for
• - correcting costs charged to the wrong
  account
• - allocating costs based on benefit
• - removing unallowable costs or over
  expenditures from a project
• - used for correcting errors, not for
  managing or exhausting funds

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Step 11f Expenditure Transfers

• If a payroll transfer will affect a certified
  effort report in PERT, it will not be approved
• A high volume of transfers is a red flag to
  auditors
• Should be used infrequently

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Journal Entry Form Template(Non-payroll
Expenditure Transfer Form)

• http//isis.fastmail.usf.edu/fast/financials/Forms
  /Journal Entry Form Template11.xls

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Step 11g Budget Transfers

• Transfers spending authority between budget
  categories
• Expenditure transfers move actual expenses from
  one account to another
• The rules apply to all federal and federal flow
  through awards
• Includes Federal Demonstration Projects and
  Modular Awards
• Transfers must be supported by detailed
  justification (Note To reallocate budget is
  not sufficient justification)
• Must be within agency rebudgeting threshold
• Per the conditions set by the agency
• Agency approval is needed if the transfer exceeds
  the threshold, changes the scope of work, or
  includes a potential CAS exception

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Step 11h Federal Effort Reporting

• Is a requirement of the federal government
• Supports the payroll costs charged to your
  project
• Documents the provision of committed cost sharing
• Report will reasonably reflect the activities for
  which employees are compensated by the
  institution
• Certification must be performed by an individual
  with FIRST HAND knowledge of ALL activities
• Certified reports must be completed by posted
  deadlines
• http//www.research.usf.edu/pa/effort.htm

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Cost Share Setup in PERT

• Cost share is not an automatic setup in PERT
• PI/Staff must complete form and submit to PERT
  Central
• Most salary-based cost share should be certified
  in PERT for documentation to sponsor
• http//www.research.usf.edu/pa/PERT Cost Share
  Setup Template.xls

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Step 11i - Subcontracts

• Subcontracts
• Written and approved in advance by Research
  Proposal Services and General Counsel
• Must be approved in advance by Sponsor
• Approval of invoices for payment documents
  appropriateness of subcontractor costs and
  fulfillment of contract terms and conditions

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Step 11i - Subcontracts

• PI/Staff
• Establishes a P.O. for each subcontract
• PI/staff approves subcontractor invoices
• Use correct FAST account codes for subcontractor
  payments
• Account 51800 gt 25,000
• Account 51900 lt 25,000
• PI is responsible for monitoring financial and
  programmatic performance of subcontractor

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Step 11j Program Generated Income (PGI)

• Definition
• Generally, program income is income directly
  generated from the performance or activities of a
  sponsored program
• The federal government views program income as a
  part of the project
• All program income must be accounted for during
  the performance period of the award
• - A separate University account is established
  to account for any program income

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Step 11j Program Generated Income (PGI)

• Use of Program Income will vary depending upon
  sponsor and award requirements
• - Additive - Program income added to award
  funds
• - Matching - Program income used to satisfy
  cost sharing
• - Deductive - Program income reduces costs
  funded by sponsor
• Income earned must be reported to sponsor
• Contact Research Proposal Services or Research
  Financial Management if you expect to have
  program income

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Step 11k

• Tuition
• http//www.research.usf.edu/pa/Tuition Payment
  Request.xls
• Send form directly to your RFM Senior Grants
  Specialist

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Step 12 Financial Reports Invoicing

• All financial reporting and billing is prepared
  and submitted by RFM in coordination with PI and
  department staff
• PI prepares and submits technical reports
  required by sponsor

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Step 13 - Grant Close Out

• PI and staff should review the final financial
  report submitted to sponsor
• Final invoice must be submitted according to
  award terms

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• Research Financial Management - Things to
  Remember
• Monitor ledgers regularly
• Complete Workflow Request and Financial
  Transaction Authorization forms to enable
  spending on new sponsored projects
• Allocate costs correctly the first time to avoid
  cost transfers
• Ensure costs are reasonable, allowable and
  allocable
• Meet PERT certification deadlines
• Establish and update PERT cost share setups
  timely
• Request purchase orders for each subcontract and
  modify purchase orders as subcontracts are
  modified
• Establish Program Generated Income (PGI) accounts
  for all program income

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Grants Management WorkshopStrengthening the
Department DRG Partnership
Q A
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Grants Management WorkshopStrengthening the
Department DRG Partnership
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