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Twila Fisher ReighleyAssistant Vice President of Research and Graduate Studies
Sponsored Programs Administration
Essentials of Research
Administration
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Research at MSU
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Facilitating Research at MSU
3
Current and Foreseeable Future State
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Increasing proposals needed for same funding
Increasing demands on faculty
Increasing requirements from sponsors
Decreasing funding
Decreasing staff in many units
Decreasing time available for research
*Board Report Data
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FY15 Award FundingTotal Awards: $584,128,630
NOTES: Award dollars are from the June 2015 Board of Trustees Report. The breakdown of Sponsor type is based on Federal Prime or Direct Sponsor. The first pie chart reflects the system of record. The smaller pie chart reflects the breakdown of sponsor type without Various Donors.
OSP=Office of Sponsored ProgramsBC=Business-CONNECTCGA=Contract and Grant Administration 6
Awards Administered through OSP/BC/CGA, $426M, 81%
Federal Government, $382M, 77%
Foundation, $45M, 9%
State of MI, $22M, 5%
Association, $4M, 1%
Industry, $17M, 3%
Other, $24M, 5%
Awards Administered through Advancement,$90M, 15%
Awards Administered through OSP/BC/CGA, $494M, 85%
Sponsored Programs (OSP/CGA),Colleges and Departments
Team to Support Investigators
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Research at MSUFY 2015
Proposals
Submitted: 3,306
Total Requests: $1.5 Billion
Awards
Total Funds Awarded: $584 Million
2,000+ PIs
500 Research Administrators & Central Staff
...plus COUNTLESS CONTRIBUTORS!
Why the ERA Certificate Series Matters:
Improve understanding, collaboration and teamwork between central, collegiate and departmental administrators to support faculty’s efforts and MSU’s research mission
Increase depth and breadth of staff knowledge on new and existing federal, state and university policies through five core and three elective classes.
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ERA Certificate Series
Replaced by
ERA
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Thank you for participating in the Essentials of Research Administration (ERA) series.
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Thanks also to the session developers, presenters and leaders throughout the series.
Appreciation also extended on behalf of Dr. Stephen Hsu, Vice President for Research and Graduate Studies
Twila Fisher [email protected]
Presented by: Katie Cook, Director
Office of Sponsored Programs (OSP)
TOPIC 1: Overview of Research Administration
ERA Core 1: Principles of Pre-Award Administration
Part 1
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What is Research Administration?
Research Administration is the management of the research and creative endeavor enterprise.
Goals of Research Administration:
Enhance the success of faculty and staff in obtaining external funding for research and creative endeavors.
To keep the University compliant with Sponsor and University requirements.
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What is a Research Administrator?
Administrative Staff at the University, College, Department, Division, Institute, Center, or other unit level may provide administrative support for all research and sponsored projects within that unit.
Research Administrator
Human Resources Department
Administration
Post-Award Administration
Service Centers
University Administration
Compliance Administration
(multiple offices)
Subrecipients/ Contractors
SponsorsPrincipal
Investigators
Research Associates and Grad Students
Payroll
University Accounting
Purchasing
College Administration
Pre-Award Administration
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MSU’s Research Infrastructure
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Top federal funding agencies: 1. U.S. Department of Energy2. National Science Foundation (NSF)3. U.S. Department of Health and Human Services
(DHHS/NIH)
MSU's research breakthroughs improve life for people around the world. Examples: Cross-fertilization of corn in the 1870s Homogenization of milk in the 1930s Top-selling anticancer drug, Cisplatin, in the 1960s Development of materials in the 21st century for reducing
dependence on fossil fuels
MSU Facts about Research
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MSU Facts about Research
Home of the MSU AgBioResearch (formerly) Michigan Agricultural Experiment Station Funds the research of more than 300 scientists on campus 13 research centers across the state
Site of Facility for Rare Isotope Beams (FRIB) Advancing the University’s continued leadership in the
field of nuclear isotope research Enable researchers from around the world to address
leading-edge questions in nuclear structure and astrophysics
Bring significant economic activity to Michigan
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MSU Finance Facts (June 2014–2015)
TOTAL REVENUE: $2.4 BILLION
Operating Revenues: $1,742 million (73.4%) Student Tuition and Fees: $797 million (33.6%)
Grants and Contracts: $415 million (17.5%)
Auxiliary Activities: $326 million (13.7%)
Other Operating Revenues: $204 million (8.5%)
Net Non-Operating & Other Revenues: $631 million (26.6%) Investments and Other Net Revenue: $57 million (2.4%) Federal Pell Grant Revenue: $38 million (1.6%) Gifts, Capital Grants, Additions to Permanent Endowments: $164 million
(6.9%) State/Capital Appropriations: $372 million (15.7%)
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College/Department Faculty (Principal Investigators) Research Administrators Office of the Vice President of Research and
Graduate Studies (OVPRGS) Sponsored Programs Administration (SPA)
- Office of Sponsored Programs (OSP Pre-Award)- Contract and Grant Administration (CGA Post-Award)
Office of Research Facilitation and Dissemination Office of Export Control and Trade Sanctions (ECTS) Office of Regulatory Affairs (ORA) MSU Technologies MSU Business-CONNECT
Partners in the Enterprise
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Controller’s Office Contract & Grant Administration (Post-Award) Travel Accounting & Voucher Processing Payroll Financial & Cost Analysis Office of Risk Management & Insurance
University Services Purchasing Inventory Management University Stores
Human Resources/Academic Human Resources
Partners in the Enterprise
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Office of the General Counsel
International Studies and Programs
Office of Planning and Budgets (OPB) Space/F&A distribution
Partners in the Enterprise
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Roles and ResponsibilitiesCollege Dean’s Office
The College Dean’s Office is responsible for general oversight
of the sponsored activities conducted within the college.
This may include, but is not limited to:
Assuring that departments have adequate facilities and other resources for achieving project goals and objectives
Assuring that faculty time commitments on sponsored activities do not conflict with other departmental or University responsibilities
Monitoring departmental financial resources
Assuring that departments are complying with the various regulatory requirements of the sponsors and the University as they apply to sponsored activities.
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Roles and ResponsibilitiesPrincipal Investigator (PI)
The principal investigator is responsible for the sponsored project's overall programmatic and financial direction.
In that role, he/she must decide how best to allocate the available financial resources to successfully carry out the project activities, and may require the department's assistance with the routine paperwork associated with the obligation and expenditure of funds and in the regular review of the project's fiscal status.
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Roles and ResponsibilitiesPrincipal Investigator (PI)
The principal investigator is ultimately responsible to his or her departmental executive officer/ administrator for resolving in a timely manner any over-expenditures or unallowable costs that occur on a sponsored project.
The principal investigator assumes responsibility for project fiscal management; for adhering to all University, governmental, and sponsor certifications, policies, and regulations; and for reporting any inventions and/or financial conflicts of interest in accordance with prescribed University policies.
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Roles and ResponsibilitiesResearch Administrator
A Research Administrator helps facilitate research or other creative endeavors for an entity by assisting faculty with the management of their sponsored projects so they are able to do the project.
It is essential that administrative staff maintain current knowledge of sponsor regulations and MSU policies and procedures related to sponsored projects management and research compliance.
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Roles and ResponsibilitiesResearch Administrator
Promote best practices in grant administration
Identify funding sources
Oversee compliance with funding agency regulations and standards
Ensure the timely submission of progress reports and closeout reports
Familiarize faculty with the guidelines and requirements of grant applications
Familiarize investigators and staff with the scientific and financial responsibilities of the grant
Provides proposal and budget templates
Helps the PI apply for grants or contracts, especially through assistance with budgets, forms, deadlines, approvals, and signatures
Takes part in reviewing applications, including the budgets, before they are submitted
Award review and negotiation
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Roles and ResponsibilitiesOffice of the Vice President for Research and Graduate Studies (OVPRGS)This office assists faculty in a number of ways:
Sets research expectations and directions
Promotes integrity in the research enterprise
Advocates for research and graduate education
Assists in administering certain funds made available from the MSU Foundation to provide:
Startup support for new faculty
Matching for external grants
Faculty seeking matching funds are advised to initiate discussions first with their department chairperson and college dean
Seed monies for new projects that have the potential to attract funds from outside sponsors
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Reviews & approves proposals Negotiates agreements & accepts awards Advises faculty & staff about external funding agencies Liaison with funding agency prior to award/contract MSU’s Authorized Representative for sponsored projects.
Roles and ResponsibilitiesOffice of Sponsored Programs (OSP)
Mission Statement: Our mission is to provide superior pre-award support to faculty, staff, and the Contract & Grant Administration.
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Roles and ResponsibilitiesContract & Grant Administration (CGA)
CGA monitors the award from account set up through close out/audit.
CGA is the post award/compliance office.
Advises faculty & staff about external agency regulations
The liaison with the sponsor for post award transactions including
amendments, prior approval requirements, progress reports, and other
inquiries
Mission Statement: A unit dedicated to superior post-award administration. Our mission is to support MSU's research and creative endeavors by providing timely, accurate, and courteous assistance to faculty and support staff with the financial and contractual administration of their grants, cooperative agreements, and contracts.
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Grant writing assistance for approved cross-disciplinary, all-university, or multi-department proposals
Information regarding open grant competitions and RFPs http://resfacil.msu.edu http://www.vprgs.msu.edu/findfunding
Direct training and subventions for third-party training(e.g. Coffee Breaks)
Travel support for visits to federal and other grant officers for discussion of possible projects (typically matched by a college or department).
www.resfacil.msu.edu
Roles and ResponsibilitiesOffice of Research Facilitation & Dissemination
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Facilitate compliance with all export control laws
Disseminate up to date information regarding export controls and trade sanctions
http://www.exportcontrols.msu.edu/
Roles and ResponsibilitiesOffice of Export Control and Trade Sanctions (ECTS)
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The Office of Regulatory Affairs' (ORA) goal is to promote the responsible conduct of research at MSU, to assure compliance with federal, state, and university regulations and policies on research and to serve as a campus resource for research ethics education materials and training.
ORA facilitates the research oversight processes in accordance with federal regulations to protect the rights and welfare of research subjects, to protect public & investigator health and safety, and to assure the proper execution of the research.
ORA’s Departments include:
Animal Care Program
Human Research Protection Program
Environmental Health & Safety
Institutional Stem Cell Research Committee
Clinical Research Billing Compliance
http://www.ora.msu.edu/
Roles and ResponsibilitiesOffice of Regulatory Affairs (ORA)
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Manages the university's extensive intellectual property portfolio, evaluating the commercial potential of each invention
Works with MSU researchers on the invention disclosure and technology transfer process
Protects inventions by filing patent applications Markets and licenses commercially viable technologies to large
corporations and small-to-mid-sized businesses Works with Spartan Innovations to launch start-up companies
based around MSU technologies Facilitates confidential disclosure and material transfer
agreements (CDA/MTA) http://www.technologies.msu.edu/
Roles and ResponsibilitiesMSU Technologies
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Roles and ResponsibilitiesBusiness Connect
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Mission Statement: Business-CONNECT serves as MSU’s front door for corporations, directing business to the right MSU resources – from recruiting students to finding a researcher for a specific project – and enabling two-way strategic communications and planning for business customers. The Business-CONNECT team also supports entrepreneurial and regional economic development efforts. We, as well as MSU Technologies and Spartan Innovations, are part of the MSU Innovation Center.
Facilitates rapid, high-quality customer connections with Michigan State
University’s research and service knowledge base and to provide support
to entrepreneurs.
Ensure alignment of customer business goals and needs with MSU’s
intellectual capacity and ability to deliver.
Coordinate the timely completion of contractual negotiations and other
business agreements between MSU and partner organizations.
Productivity
Wise investment of sponsor funds
Transparency
Public Benefit
Stewardship/integrity/compliance
Advancement of knowledge (Federal)
Economic development (State)
Sharing of information, protection of property and full recovery of costs (MSU)
Research Policy LandscapeWhy are there policies?
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Federal law, regulations, policy, guidance
MSU policy
State law, policy, guidance
Sponsor terms and conditions - Incorporated in award document
Research Policy LandscapeLayers of Regulations and Policies
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Lifecycle of an Award
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Core 1: Pre-award Core 2: Post-award
Core 3: Compliance
MaryJo Banasik, J.D., C.R.A.
Research Administration Manager
Office of Research Facilitation
College of Veterinary Medicine
Essentials of Research AdministrationCORE 1 – Topic 2
Identifying Funding and Reading Solicitations
OVERVIEW:
Identifying faculty research interests
Finding funding opportunities
Solicitation review
Overview of NSF/NIH solicitations
Considerations when handling foundation or non-profit solicitations
Working with solicitations from DOD/DARPA
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Identifying Faculty Strengthsand Research Interests
Look at what proposals have been submitted, and what proposals have been funded in your department to get an idea of research interests
Review department and faculty web pages
Use MSU Collaboration resources to search faculty expertise MSU Scholars – Public portal to publications of MSU researchers
from Elsevier’s Scopus database This tool may be accessed at the following web site:
https://scholars.opb.msu.edu/
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Identifying Possible Funding Sources
Federal Opportunities Non-federal Opportunities
• Foundations
• Nonprofits
• Commodity Groups
• Foreign Agencies
• Industry
• State of Michigan– MI Department of Agriculture
– MI Department of Community Health
– MI Department of Transportation
– MI Economic Development Corp.
• National Science Foundation
• National Institutes of Health
• U.S. Department of Agriculture
• U.S. Department of Education
• U.S. Department of Energy
• U.S. Department of Defense
• U.S. Department of Commerce
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Identifying Possible Funding Sources
MSU FUNDING OPPORTUNITY RESOURCES
SciVal Funding is a subscription service provided to the MSU research community to help faculty identify funding opportunities based on specific terms and criteria.
Faculty profiles in the MSU Scholars database can be linked to the SciVal Funding tool so that faculty may set up automatic alerts of funding opportunities that match their expertise.
The OVPRGS Funding Opportunities Database provides information about selected funding opportunities from a variety of sources.
https://vprgs.msu.edu/find-funding
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Identifying Possible Funding Sources
Finding Federal Funding Opportunities Grants.gov: http://www.grants.gov/web/grants/search-grants.html NIH website: http://grants.nih.gov/grants/oer.htm NSF website: http://www.nsf.gov/funding/ FedBizOpps.gov: https://www.fbo.gov/ For subscription to daily email alerts: http://gcionline.net/index.html To subscribe to grants.gov alerts:
http://www.grants.gov/web/grants/manage-subscriptions.html
Finding Non-Federal Funding Opportunities
proposalCENTRAL: https://proposalcentral.altum.com/
Review websites of potential sponsors directly.
The VPRGS website at MSU has links to facilitate searching for both federal and non-federal opportunities: http://vprgs.msu.edu/find-funding
SciVal Funding may also be used to find both federal and non-federal opportunities.
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Let’s Find an Opportunity
Professor Climate would like to find some opportunities that will support his research in global warming.
Visit www.Grants.gov
Click on the Search Grants tab
Search Tips can help with your search logic
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Grants.gov Search
Let’s use “global warming” as a search term.
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Grants.gov Search
We have 3 results.
Let’s modify our search.Sometimes it is better to use broader search terms.
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Grants.gov Search
Let’s try “climate” instead.
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Grants.gov Search
Now we have 170 results.
Let’s look – there may be a good opportunity or two.
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SciVal Funding Searchhttp://www.funding.scival.com/home#b
To bring up a detailed search screen, click on Searchat the top of the page.
Select Keywords and enter words “Global warming”.
Then click on Search opportunities (green button).
There are no active opportunities!
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Let’s Broaden Our Search
Click on Modify this search
Enter keyword “climate”
There are 7 opportunities.
Let’s see which ones are research opportunities. Click on Research Grants under Award type.
Now we have 4 opportunities.
Review the opportunities and compile a list for Dr. Climate.
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Identifying Possible Funding Sources
MSU INTERNAL OPPORTUNITIES
Strategic Partnership Grants (SPG) – Provides funding for major projects in key areas of research, scholarship, and creative activities. The most recent call provided up to $400,000 for projects of up to three years in duration.
Humanities and Arts Research Program (HARP) – The HARP Development program provides funds to support faculty who are conducting important research leading to creative and performance projects or activities in the arts and humanities. The HARP Production program provides funds for expenses related to producing the results of a completed creative or research project.
Discretionary Funding Initiative (DFI) – This program provides bridge funds for tenure stream faculty for additional studies needed for resubmission of a grant application. Matching funds are required.
College and Department Level Programs – Funding programs may be available at the college or department level. This varies by college and department.
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You’ve Identified the Solicitation – Now What?
Briefly review the solicitation to check for eligibility requirements and deadlines. You don’t want to circulate a solicitation that has expired, or that your faculty are not eligible to pursue. Check to see if the solicitation is institutionally limited so that your faculty meet the internal deadline if one has been set.
Send to faculty who may be interested.
If numerous faculty may be interested, send to the department chair, or post in the department offices or on the department website if you are a department administrator.
For large inter/multi-disciplinary solicitations, notify faculty of the help offered through the Office of Research Facilitation and Dissemination: http://resfacil.msu.edu/.
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Your Faculty Member Plansto Submit a Proposal!
Give the Office of Sponsored Programs (OSP) a heads up by sending a link to the solicitation. Send the email to the team email address for your college: https://www.cga.msu.edu/PL/Portal/DocumentViewer.aspx?cga=aQBkAD0AMQA3ADEA
Review the solicitation closely, along with the sponsor’s proposal guide if applicable. The solicitation generally takes precedence over the proposal guide if there are discrepancies.
Be mindful of any deadlines set for asking questions or seeking clarification. This can be several weeks ahead of the due date.
Coordinate communication with the sponsor through OSP if there are questions.
Prepare a list of what documents or forms will be needed to submit a proposal.
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Reviewing the SolicitationBefore doing anything else, confirm eligibility. Are institutions of higher education eligible? How many applications may be submitted from an institution? If a proposal is
institutionally limited, then a PI will need permission to submit a proposal.
Review deadlines, including what time the proposal is due. Is a letter of intent or pre-application required? Are there multiple deadlines available?
Review budget requirements. Does the solicitation provide a budget cap for direct costs, or for all costs? Is tuition allowed? Are there restrictions concerning faculty salaries? Are there any required PI meetings out of town? Does the sponsor require the budget to be in a specific format, such as hourly labor
rather than as a percentage of effort? Is cost sharing or matching required?
Consider the need for proposal signatures.Will signatures from OSP be needed to submit the proposal, and must they be original?
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Reviewing the Solicitationto Prevent Roadblocks
Look for required supplemental documents, such as data management plans and postdoctoral mentoring plans.
Does your budget need to be tied to milestones or timelines?
Are there intellectual property provisions, such as royalty sharing or IP ownership clauses? OSP needs to review any contractual terms prior to submission if there are any in the solicitation.
Are there extensive data collection needs for the proposal?
What certifications are necessary?
How will the proposal be submitted, and who will submit it?
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Reviewing the Proposal Guide
Format, font, page limits – noncompliance may cause submission to be rejected.
Biosketch format and instructions should be reviewed. Length varies by sponsor.
Current and pending support documentation may be needed.
Is a conflict of interest list required?
Check for guidance concerning contents of letters of support.
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Potential “Deal Breakers” – May Be Found in FAR/DFAR Clauses
Publication restrictions – time for review is ok, but prior-approval requirements may not be acceptable
Foreign participation restrictions – this may prevent some graduate students and some faculty from being able to participate in a project
Collaboration with embargoed countries Classified information Anything else that would eliminate the Fundamental Research
Exclusion which exempts research from licensing requirements If any of the above are present, the PI must complete an export
control worksheet (http://exportcontrols.msu.edu/) though MSU’s electronic system.
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NSF Solicitation Components
Title of Solicitation and Solicitation Number
Directorates participating
Due Dates (letter of intent, pre-apps, full proposal)
Synopsis
Anticipated # and $ of award
Organization Limit/PI limit/Eligibility
Description
Details on Award and Eligibility and Budget
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NSF Solicitation BasicsGrant Proposal Guide (GPG) – New since Jan. 2016http://www.nsf.gov/publications/pub_summ.jsp?ods_key=gpg
Cover Sheet Project Summary Project Description, content, page limits, components References Cited Biographical Sketches Budget and Budget Justification Current and Pending Support Facilities, Equipment and Other Resources
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NSF Solicitation Basics (Continued)
Special Information and Supplementary Documentation
Data management plan
Post-doctoral mentoring plan (if applicable)
Letters of commitment (collaborative arrangements)
Single Copy Documents: Collaborators and Other Affiliations
Collaborators and other affiliations (no longer included in biosketch, but must be separate attachment here)
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NSF Solicitation Basics
See the Proposal Preparation Checklist
Merit Review Principles and CriteriaFor some solicitations, indicates what would be “non-responsive”, i.e. failure to provide some part of the budget, broader impacts, etc. might eliminate the proposal from consideration.
Submission is done through FastLane ; requires NSF ID for PI and co-PIs prior to submission
Collaborative Proposals are often possible – each university submits its own, awards are made to each, one entity is lead.
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NIH Solicitation Basics
Solicitations comparable to NSF NIH has 27 institutes and centers and each has a unique
research agenda. Program announcements are often for the following:
• R01 – Research Project grant – unlimited funding, but special permission is required if direct costs exceed $499k in any year; typically from 3 to 5 years in duration; may use modular budgets if for $250k per year or less.
• R21 – Exploratory/Developmental grant – maximum of $275k over two years.
• R03 – Small Research grant – $50k per year for two years• K – Research Career grants• U – Cooperative agreements
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NIH Solicitation Basics
Due dates are often standard depending on the mechanism and are typically three times per year.
The solicitation includes Overview and Award Information sections.
Proposals are submitted to the NIH through Grants.gov. The NIH follows the U.S. Department of Health and Human
Services Public Health Service SF424 (R&R) Application Guide
The Office of Extramural Research has news and useful information about NIH grants and funding: http://grants.nih.gov/grants/oer.htm
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Non-Profit ExampleBill and Melinda Gates Foundation: Global Grand Challenges Design New Analytics Approaches for Malaria Elimination (Round 17)http://gcgh.grandchallenges.org/challenge/design-new-analytics-approaches-malaria-elimination-round-17
Review the Application Instructionshttp://gcgh.grandchallenges.org/application-instructions
There are many details about what the Foundation is looking for. The website has instructions with multiple steps. Be sure to download and review the rules and guidelines. Subawards are not permitted. This is an unusual requirement. The sponsor considers equipment to be valued at less than
$5,000 per item. The Appendix includes award terms and conditions. It is
important for OSP to have the opportunity to review the terms prior to submission.
This sponsor has an on-line application process. 63
Typical DARPA/DOD Solicitation (Defense Advanced Research Projects Agency)
More complex than NSF or NIH Require Technical Proposal and Cost Proposal Very specific sections and page restrictions Task Budgets, Monthly spending plans, are required of
prime and subcontractors Often IP discussion, Management Plan, List of
Collaborators, Former Contracts list, Milestone list with budget, Timeline, Small Business Subcontracting Plans, etc. are required.
Merit review/Non-responsive issues usually “buried” at the end
These solicitations must be reviewed well in advance by pre-award administrators.
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How DARPA Cost Proposal May Impact Technical Proposal
Start date often provided in solicitation Task and Phase budgets must tie to milestones that may be “go
or no-go” for Sponsor• “recommend” to PI that their tasks fall within governmental
fiscal years (quarters, etc.) if possible• Minimal number of tasks and subtasks – a budget will be
needed for each one• Subcontractors will need to provide the same type of budget
– additional time & expertise needed by subs IT & equipment purchases must be justified separately Travel to sponsor meetings required
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DARPA/DOD BAA Instructions Volume I, Technical and Management Proposal
• Section I. Administrative• Section II. Detailed Proposal Information • Section III. Additional Information (no page limit)
Includes bibliography; up to 3 relevant papers
Volume II, Cost Proposal (no page limit)• 1. Total program cost broken down my major cost items
• Direct labor, consultants, indirect costs, travel, other direct costs, equipment, materials; major program tasks by Government fiscal year (Oct 1 – Sept 30)
• 2. Major program costs by phase and task• 3. Itemization of major subcontracts and equipment purchases• 4. Itemization of any information technology (IT) purchase• 5. Summary of projected funding requirements by month• 6. Source, nature, and amount of any industry cost-sharing• 7. identification of pricing assumptions
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Typical DARPA/DOD Provisions
“The Government reserves the right to select for negotiation all, some, one, or none of the proposals received in response to this solicitation, and to make awards without discussions with proposers. The Government also reserves the right to conduct discussions if it is later determined to be necessary. If warranted, portions of resulting awards may be segregated into pre-priced options. Additionally, DARPA reserves the right to accept proposals in their entirety or to select only portions of proposals for award. In the event that DARPA desires to award only portions of a proposal, negotiations may be opened with that proposer. The Government reserves the right to fund proposals in phases with options for continued work at the end of one or more of the phases.”
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DARPA Proposal Submission
Proposers requesting grants or cooperative agreements may submit proposals through one of the following methods: (1) hard copy mailed directly to DARPA; or (2) electronic upload per the instructions at http://www.grants.gov/applicants/apply_for_grants.jsp.
Grant or cooperative agreement proposals may not be submitted through any other means (including https://baa.darpa.mil and other comparable systems). These systems used are for contract proposals.
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DARPA Proposal Submission
All proposals submitted electronically through a DARPA-approved proposal submission web site (not including Grants.gov) must be encrypted using WinZip 'compatible' 256-bit key AES ZIP format. Only one zipped/encrypted file will be accepted per proposal and proposals not zipped/encrypted will be rejected by DARPA. An encryption password form must be completed and e-mailed to [email protected] at the time of proposal submission. See https://dsobaa.darpa.mil for the encryption password form.
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Key Pointers Communicate with OSP as soon as you know about a
proposal. Read the solicitation taking note of special
requirements, and items that will be needed. Get the project dates and other items needed from the
PI to start putting the budget together, such as personnel needs, equipment, travel, supplies.
Obtain information about cost share or matching if required in case approval will be needed from other colleges and/or units.
Gather information for subcontracts – it may take some time to have necessary forms signed
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Questions?
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Essentials of Research Administration
CORE 1
Topic 3:Proposal Basics/Getting Started
Judy Brown
Director, Office of Research Support
College of Natural Science (NatSci)72
Overview:
Inform proper individuals of intent to apply
Develop timeline and processes
Identify participating faculty, determine project roles
Download application package
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Inform Proper Individuals of Intent to Apply and Provide Funding Opportunity
PI communicates intent to submit proposal
Ask PI for the funding agency and the solicitation number
When is it due? Is PI available on the date it’s due at OSP? Provide a proposal timeline based on this information
Document the proposal deadline on your calendar
Create a draft eTransmittal
Notify both OSP & department/college of the planned submission
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SPA Portal
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Add New Blank eTransmittal
or View Draft
To pull up routing eTransmittal click on “To Approve, Disapprove or View the Proposal Detail” or “View All”
Development Timelines and Processes –OSP Proposal Deadline Policy
10 – 6 – 3
Notify OSP of proposal ten (10) business days before
sponsor deadline
Final budget & justification sent to OSP for review six
(6) business days before sponsor deadline
Final proposal released/sent to OSP for submission
three (3) business days before sponsor deadline
Individual colleges/departments often have
earlier deadlines!!
Subaward budgets needed before MSU budget
can be finalized77
Development Timelines and Processes –Proposal Checklist
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Stay ORGANIZED!
Development Timelines and Processes –Proposal Checklist
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Look for Checklists in your solicitation
Development Timelines and Processes –Proposal Checklist
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If not, create your own!
Development Timelines and Processes –Special Approvals Required
Are signatures from the PI or OSP (or others)
required on any of the proposal documents?
Are there any other issues identified in the
solicitation that need immediate attention
(required cost share, space, IP, FARS/DFARS,
subcontracting plan)?
Does anyone need to provide a signed conflict
of interest form?
Is PI/Co-PI exception approval needed?
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Development Timelines and Processes –Subaward Timelines
Subaward final budget needed before MSU
budget can be finalized
Subaward documents needed before final
proposal can be submitted
Statement of work
Budget / budget justification
Signed subrecipient commitment form
Provide subawardee with a timeline for their
documents
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Development Timelines and Processes –Subaward Timelines
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MSU requires Subrecipient
Commitment Form with institutional
signature for Subcontracts
Subrecipient Commitment Form
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https://cga.msu.edu/PL/Portal/DocumentViewer.aspx?cga=aQBkAD0AMgA2ADAA
Identify Participating Faculty, Determine Role on Project
Early identification of the participating faculty
and their roles on the project is important
MSU faculty usually need to be on eTransmittal and receive some overhead credit
MSU faculty may not have permission to be a PI/Co-PI on a grant
If submitting a fellowship proposal, mentors and co-mentors need to be on eTransmittal
Non-MSU faculty may require a signed COI form
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PI Exception Approval
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Who may submit a proposal at MSU?
Regular faculty members and research or fixed-term faculty
employees of the University with a rank of assistant professor and
higher, may be identified as the sole or co-principal investigator on
proposals seeking support for a sponsored research, education, or
service project.
Individuals holding other appointment titles, such as, research
associates, specialists, postdoctoral fellows, or visiting, adjunct and
clinical faculty, normally may submit proposals only as co-investigators/
key personnel with a regular MSU faculty member. Upon approval by
the appropriate department chairperson, college-level research
associate dean, and the Office of the Vice President for Research and
Graduate Studies (OVPRGS), these non-regular faculty may serve as
principal investigators or co-principal investigators.
PI Exception Approval
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Procedure for requesting an exception approval :
Chair/director forwards request to appropriate associate dean for research for approval.
On the draft eTransmittal, indicate in the notes section that OVPRGS approval is being requested.
Forward the chairperson & research dean approved request to [email protected], indicating the eTransmittal number & request the review and approval for this exception by OVPRGS. Needs to be received at least 3 days prior to intended submission date.
If approved, OVPRGS will email this approval to the person who submitted the request with a copy to OSP.
If disapproved, OVPRGS will email the person requesting the exception as well as OSP.
Download Application Package
Discuss with the PI who will be handling various components:
Communicating with subcontractor(s) for administrative documents
Downloading the application package / setting up the online submission
Collecting biosketches / C&P / COI
Uploading final documents
Releasing / sending final proposal to OSP
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Lunch!
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Case Study
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NETWORK for BUSINESS ENGAGEMENTA ONE-STOP Destination for Business, Industry, & Investor Engagement
Part of an integrated approach to University engagement with the private sector
A ONE-STOP Destination for Business, Industry, & Investor Engagement
Business-CONNECT’s vision for value creation
• PARTNERING:
Facilitate business partnerships that add value to both MSU and business partners, by providing a visible, accessible, and helpful portal.
• The Business-CONNECT office is:
• An advocate for the deal, acting to translate among the stakeholders.
• A one-stop shop, single portal, for business engagement
MSU Business-CONNECT
B-C:
Industry
SPONSORED RESEARCH
MSU-T:
Industry
INVENTIONS
OSP:
Gov & Found’n
GRANTS
Advancement:
Corp & Found’n
GIFTS
Thumbnail summary of MSU service offices:
WHO:
Works with whom?
DOING WHAT?
MSU Business-CONNECT
Part of an integrated approach to University engagement with the private sector
Business-CONNECT
• Corporate-sponsored Research and Fee for Service Agreements
• Clinical Trials
OSP (Pre-award)
• Federal Grants and Contracts
• Foundation Grants
• Federal pass-through contracts – even through corporate channel (in cooperation with B-C)
CGA (Post-award)
• Account creation and compliance monitoring for all awards
MSU Business-CONNECT
Part of an integrated approach to University engagement with the private sector
MSU Business-CONNECT
Which MSU office is responsible for handling my Pre-Award Proposal?
Question: Who is the direct sponsor?
(The Entity sending payment to MSU?)
Industry*
Question: Who is the prime sponsor?
(Is the direct sponsor receiving the money from another organization?)
Any organization that is NOT the Federal Govt.
Business-CONNECT will handle your
proposal
No prime sponsor; the industrial sponsor
is providing the funds.
Business-CONNECT will handle your
proposal
Prime sponsor is the Fed Govt.
(Contract or Grant)
OSP will handle your proposal.
Not Industry
OSP will handle your proposal.
MSU Business-CONNECT: Part of an integrated
approach to University engagement with the private sector
MSU-T
Disclosures, patents, licenses
Business-CONNECT
Preserves rights during
research
How do these offices work
together?
INTELLECTUAL
PROPERTY
Advancement
Gifts
Business-CONNECT
Research
CORPORATE
RELATIONSHIP
Shared
contacts,
coordinated
approach
How do these offices work
together?
MSU Business-CONNECT
Part of an integrated approach to University engagement with the private sector
Who we Are
Faculty / Company interface
Contract Appropriateness Budget AppropriatenessInformation Capture
Direction Leader
Coordinator
Tina Ramos, MPA, J.D.
Contract &
Grant/Sponsored Prgms
Administrator
517-884-2365
MSU Business-CONNECT:
Jeff Myers
Associate Director
517-884-2366
How can you work with Business-CONNECT?• Start early. As soon as you are aware of a possibility of partnering with
industry, come to Business-CONNECT. Companies may need to move
fast; the sooner you get us involved, the better we can match that pace.
• Build relationships. MSU wants to build solid bridges to commercial
partners. Engage with colleagues in industry when you meet them; treat a
sponsored research project as a real partnership; follow through on
obligations.
• Protect MSU assets. Be aware of how your work can generate new
intellectual property. Work with Business-CONNECT and MSU-
Technologies by discussing any IP potential of your work. Again, start
early.
MSU Business-CONNECT
ERA
MaryJo Banasik Judy Brown
Research Administration Manager Director, Office of Research Support
College of Veterinary Medicine College of Natural Science
CORE 1
Topic 4:Budget and Budget Justification
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The Why – What – How of Budgets
Why does the budget matter?
What types of budgets are there?
How to get started
The how and why of budget templates
What budget categories are there?
The how and why of budget justifications
Cost share, how and why?
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What is a Budget?
Grants
- Best guess, good faith estimate of expenses incurred by the proposed project
Contracts
- Accurate accounting of expenses incurred by the proposed project
- Fixed price – overage not allowed, budget carefully!
Industry
- Fully burdened budget
- OSP may still require a detailed budget but it may not be what you should submit to the sponsor!
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Why Does the Budget Matter?
We are stewards of taxpayer dollars, and of funds entrusted to us from other public or privates sources.
We need budgets to develop reasonable estimates of the work that will be funded.
The budget is also a helpful tool to provide a limit within which a research project may be designed and planned.
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Types of Budgets
Cost reimbursable - typical for grants
Payment is based on expenditures incurred.
The institution is expected to deliver what can be accomplished within the constraints of the available funds and within the designated project period.
Once funds have been depleted, work is not expected to continue.
Reimbursement is made based upon invoicing or letter of credit draws.
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Types of Budgets
Fixed price – seen in contracts
Value of contract is determined by whether the overall price is a good value for the work to be completed.
Individual budget items are not typically considered.
Payment is based on performance.
The institution may keep any excess funds if funds are left over, BUT if costs exceed the award, the institution absorbs the costs.
The institution carries the risk of price fluctuations.
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Industry Budgets
Industry budgets may be cost reimbursable or fixed price.
Typically an internal budget is prepared for MSU Business-Connect.
A fully burdened budget with all costs, including personnel and indirect costs is usually submitted to the sponsor.
Do not submit industry budgets to industry without prior approval from MSU Business-CONNECT!
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Getting Started
Read the solicitation and the agency budget forms carefully.
− How much funding is available annually?
− What are the budget restrictions?
− If you will be preparing the budget, ask the PI for general information that you may use to start a spreadsheet.
− Ask the PI additional questions; if you don’t understand, ask for the justification language.
− Be consistent and stay organized!
− Be sure to version your documents & archive previous drafts.
− Remember, all costs must be reasonable, allocable to the research project funded, treated consistently across projects, and compliant with the requirements of the solicitation.
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Budget Templates
Find a template that fits your proposal budget form
Use formulas!!
Be consistent
Use the notes column
Don’t reinvent the wheel The SPROUT site includes links to budget templates:
http://sprout.vprgs.msu.edu/tools/ OSP also provides links to budget templates:
https://www.cga.msu.edu/PL/Portal/Forms.aspx
Remember to cross-check the budget justification with the budget spreadsheet.
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NSF Formatted Budget Worksheet
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NIH Formatted Budget Worksheet
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Budget Categories
Personnel Salaries and wages
• Faculty (can be Annual, Academic Year, or Summer)• Postdoctoral Research Associates• Technical Support• Clerical Support – not usually permitted• Graduate Students – ¼, ½, or ¾ time, 9 or 12 months• Undergraduate student labor• International – budget 13 months• Don’t forget the NIH (really DHHS) Salary cap:
$185,100/AN or $138,825/AY (2016)
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Fringe Benefits
MSU uses the Specific Identification method to calculate fringe benefits.
Costs are based on average actual costs and individual participation in retirement.
Academic year faculty should be charged fringes at the rate of 7.65% for FICA during the summer.
Charges for student labor should include 7.65% for FICA during the summer and when a student will be taking less than six credit hours.
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Fringe Benefits
Remember Affordable Care Act! Generally, if students will work more than 29 hours per week for 90 days or more, or over an average of a year, $417 must be budgeted monthly for health costs.
Graduate Assistants – health costs should be budgeted as fringe benefits, and tuition and fees should be budgeted under Other Direct Costs.
See the “FINAL 2015 Grad Fringe Charge 14-20.pdf” at the following link (very bottom of webpage):https://www.cga.msu.edu/PL/Portal/DocumentViewer.aspx?cga=aQBkAD0AOQA1AA==
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Fringe Benefits
Research Associates
Research associates are eligible to participate in MSU’s retirement plan after three years of employment. Afterthree years of employment, the fringe benefit rate increases by 10%. After 5 years, regular fringe rates.
When using the budget builder, be sure to check the PostDoc box for postdocs.
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OSP/CGA Salary Budget Builder
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OSP/CGA Salary Budget Builder
Select the correct starting year and month.
Click on Lookup Person to search for personnel names.
For personnel with academic year appointments, add the name for both the academic year and for the summer. There will be two entries.
Check the PostDoc box for any postdoctoral research associates in the budget.
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Budget Justification Language for Fringe Benefits
MSU fringe benefits are based on a specifically identified rate for all employees. Under this system, costs are identified into four categories and accounts will be charged only to the extent that an employee receives those benefits. Categories are; Retirement; FICA; Other/Miscellaneous; and Health Costs. Summer salaries for AY appointment faculty are limited to 7.65%. Fringe rates for Graduate Assistants are determined by the university. All salaries are increased by 2% annually by default.
**Avoid using actual rates in your Budget Justification**
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Budget Categories: Equipment
Equipment
Article of nonexpendable, tangible personal property with a useful life of more than one year
The cost of the item must be $5,000 or more
F&A may not be charged on equipment
Fabrication of equipment with individual components valued at less than $5,000
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Budget Categories: Travel
Travel
Check the solicitation• Is an annual meeting required?
• Does the sponsor allow travel to scientific meetings?
• Is there a funding cap on travel in the solicitation?
– Distinguish between domestic and international travel
– Provide details in the budget justification
• Who is traveling, where, and for how many days
• Include airfare or mileage, lodging, and per diems
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Budget Categories: Participant Support Costs
Participant Support Costs
Direct costs from stipends, subsistence and/or travel allowances, and registration fees paid on behalf of participants or trainees (not usually employees) in connection with meetings, conferences, symposia, or training projects
F&A is not charged on participant support costs.
Read the solicitation!
Ask Questions!! - What is it they want to do?
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Budget Categories: Other Direct Costs
Other Direct Costs
Supplies and materials - provide breakdown for budget review. Must be project related.
Computers must be justified and may be allowed when:• Essential and allocable
• Must be allocated based on anticipated use and provide a direct benefit to the project, both of which should be documented with the purchase
Publications
Consultants – use a reasonable rate; typically NOT an MSU employee; include travel if needed
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Budget Categories: Other Direct Costs
Other Direct Costs Computer services and equipment rental fees Subawards – need detailed budget, budget justification,
scope of work, and signed subrecipient commitment form:https://www.osp.msu.edu/PL/Portal/DocumentViewer.aspx?cga=aQBkAD0AMQA2ADYA
Tuition and fees – this does not go under fringe benefits Some international costs such as visa fees, costs of
immunizations, in-country expenses Service center fees Rental fees; space and renovations Etc.!
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Total Direct Costs Versus Total Costs
Total Direct Costs = all costs except for F&A
Total Costs = all costs, including F&A
Budget caps
Some sponsors base budget caps on total direct costs, such as NIH.
Other sponsors base budget caps on total project costs, such as USDA.
Again, READ THE SOLICITATION!
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NIH Modular Budgets
NIH allows for modular budgets if total direct costs are $250,000 or less annually for every year of the project.
Subaward F&A does not count toward the cap!
Budgets are to be requested in $25,000 increments or modules – If the budget does not have the same number of modules requested each year, this must be justified.
A Personnel Justification is used instead of a detailed budget justification.
Provide the name and role of all personnel including their role in the project, and person months committed.
• An additional justification is needed for equipment
• A detailed budget and justification are still needed for internal budget review.
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Facilities and Administrative Costs (F&A)
7/1/16-6/30/19
Project Nature Rates
Research 55%
Other Sponsored Activities 36%
Off Campus* 26%
Testing 26%
*Off campus:Activities are performed in facilities not owned by MSU and rent is directly
allocated to the project(s)
If more than 50% of a project is performed off campus, the off campus rate will apply to the entire project.
Cognizant federal agency: DHHSContact: Matthew Dito (214) 767-3261
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Modified Total Direct Costs (MTDC)
MTDC is the base to which the F&A rate is applied in most cases
Excluded from the base are:
Subawards with the exception of the first $25,000 of each subaward
Equipment
Graduate tuition and fees
Capital expenditures
Charges for patient care
Space rental costs
Scholarships and fellowships
Participant support costs
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Reduced Facilities and Administrative Costs
MSU can accept reduced F&A rates when:
The sponsor is a nonprofit or foundation AND has a written policy documenting their F&A rate.
The sponsor is a government agency with a required F&A rate that is lower than MSU’s established rate.
The State of Michigan typically requires a rate of 20%.
• The Office of the Vice President for Research and Graduate Studies approves a waiver.https://www.cga.msu.edu/PL/Portal/DocumentViewer.aspx?cga=aQBkAD0AMQA2ADUA#IndirectCostWaiver
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Facilities and Administrative Costs
F&A rates lower than MSU’s Negotiated Indirect Cost Rate Agreement (NICRA) are typically based on total direct costs (TDC) rather than MTDC.
USDA limits F&A to the lesser of the institution’s negotiated rate or the equivalent of 42.857 % (30% of Total Federal Funds Awarded) – be sure to calculate F&A using both rates when there are subcontracts or equipment!
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Budget Justification
Follow the order of the categories in your budget.
Check how to quantify effort – some sponsors such as the NIH require person months rather than percentage of effort.
Confirm page limits.
Provide details for all expenses or they risk being cut.
Explain unusual circumstances or requests.
Avoid using $$ totals in justification.
Your budget justification must match your budget!
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Cost Sharing/Matching
Cost Sharing – portion of total project costs that are paid from sources other than the sponsor
Matching – University is required to proportionally match the funds that are provided by the sponsor
May be cash, or “in-kind” – value of non-cash contributions to the project
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Types of Cost Share
Mandatory required by the sponsor
Voluntary Committed not required by the sponsor quantifiable a binding commitment included in the proposal
Voluntary Uncommitted not required by the sponsor incidental not binding not included in the proposal
See definitions on the OSP website:https://www.osp.msu.edu/PL/Portal/DocumentViewer.aspx?cga=aQBkAD0AMgA0ADkA
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Cost Share – NSF Restrictions
The National Science Foundation prohibits voluntary cost share in proposal budgets.
For NSF to be able to assess the scope of the proposed project, all organizational resources necessary to complete the project must be described in the Facilities, Equipment, and Other Resources section.
Mandatory cost sharing requires authorization from the NSF Director, the National Science Board, or by legislation.
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What Expenses May be Cost Shared?
Cost sharing contributions must:
Be verifiable from the recipient’s records
Not be included as contributions for any other federally assisted project or program
Be allowable under federal cost principles
Are not paid by the federal government under another award, except as authorized by statute
Are provided for in the approved budget when required by the federal awarding agency
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Showing Cost Share on the eTransmittal
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Showing Cost Share on the eTransmittal
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Points to Consider
Be mindful of individual unit requirements.
Some require academic year salary if summer salary is being budgeted.
Department policies vary concerning re-distribution of salary savings or indirect cost recovery.
Some require a minimum amount of effort to participate on a proposal.
It is best to plan ahead!
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Questions?
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Office of Sponsored Programs Budget Review Process
• Solicitation Review (RFP)
• Examples of what OSP looks for: institutional limitations, required budget items, award without discussion terms, etc.
• Activity Log Entries
• Common events logged: solicitation review, budget review and proposal review
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Pat Hampton, OSP
Office of Sponsored Programs Budget Review Process Budget Review
MSU budget• Provide additional hands-on assistance with international
budgets Salary Budget Builder
• Review all budget categories (i.e., material and supplies, consultants, publication cost, travel, equipment, undergraduate student hourly, participant support costs, GA stipend/fringes/tuition and fees, etc.)
F&A review – Proper rate and base applied. Ensure waiver is received, if applicable.
Subaward budget Subaward budget justification Subaward statement of work Subaward signed commitment form Budget approval
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Pat Hampton, OSP
Case Study
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Save-the-Dates:
Core 2: April 26th
Core 3: May 10th (*full day)
Core 4: May 17th
Core 5: May 24th
Materials posted on the SPROUT site:
https://sprout.vprgs.msu.edu/training/core-series/
Thank You for Attending!
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