Managing Your Sponsored Project

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  • 1. Sponsored Project Administration Pre and Post Award Jackie Bendall, Director 4-7991 Office of Research Training & Compliance January 2009

2. Acronyms

  • FAR (Federal Acquisition Regulation)
  • OMB (Office of Management & Budget)
  • NGA (Notice of Grant Award)
  • RFP (Request for Proposal)
  • RFA (Request for Application)
  • FO (Funding Opportunity)
  • CIS (Change inStatus)
  • CFA (Center Finance Administrator)
  • BPR (Budget Performance Report)
  • MTDC (Modified Total Direct Cost)
  • TDC (Total Direct Cost)
  • FAC (Facilities & Administrative Cost)
  • GCRC (General Clinical Research Center)
  • For complete list of commonly used acronyms, please see http://www.gwu.edu/~research/files/Acronyms.pdf

3. What constitutes Sponsored Research at GW?

  • If one or more of the following criteria exist within a grants or contract proposal, it must be processed through the OCRO:
  • The award requires a line-item financial report to the grantor/sponsor at any time during the life of the project.
  • The award has a cost-sharing component (University, school, or department matching funds).
  • The award is one of several to a project for which there is a project-wide financial reporting requirement (i.e., any of the granting/sponsoring entities require a financial report for the entire project).
  • The grantor/sponsor controls the scope of the project and/or requires scientific or technical reporting of specific milestones as a condition of the grant/award.
  • The award includes funds that will be re-granted or subcontracted by the University to non-GW entities.
  • The award includes indirect costs recoveries.

4. What constitutes Sponsored Research at GW, cont.

  • The award involves an Intergovernmental Personnel Act (IPA) agreement that places GW personnel on assignment to a Federal agency.
  • The grantor/sponsor states in its award letter that it maintains the right to perform a detailed financial audit of the award expenditures.
  • The proposal indicates a conflict of interest;
  • The proposal contains the use of animals, human subjects, or hazardous agents requiring the review of OHRCTT;
  • There are conditional obligations of the funding indicated in the award document or solicitation (e.g., time and effort, space, budget restrictions, return of unusedfunds, contingent payments, employment requirements);
  • The award or solicitation contains intellectual property provisions, indemnification, hold harmless, provisions containing restrictions on publication of research results and other contractual provisions that place risk on the University.

5. Proposal Search Mechanisms

  • Community of Science
    • GW subscribes to this service.
  • http:// www.gwu.edu/~research/files/cosintro.pdf
  • The Illinois Researcher Information System (IRIS)
  • http:// www.library.uiuc.edu /iris/
  • The Foundation Center
    • located right here in DC
  • http:// foundationcenter.org/washington /

6.

  • Grants.gov
  • http://www.grants.gov/search/search.do?docs1= doc_open_checked&dates =7&mode=Search
  • Federal Business Opportunities
  • http:// www.fedbizopps.gov /

For direct assistance in solicitation searches, please contact Laura Walker, Information Specialist in OCRO at 4-9136 or email at[email_address] . 7. Pilot Project with Cayuse

  • Web Based
  • Streamlined Proposal Submission
  • Electronic Routing
  • Limited Reporting
  • Error Checks
  • Subawards.com
  • Supports Most Grants.gov submissions
  • Pilot ends February 2009
  • Contact May Watling to be set-up (4-7990)

8. Responding to Solicitations/Funding Opportunities

  • Know the difference between an RFA , RFQ , RFP
  • Always contact your RSC if you receive an RFP
  • RFPs from federal sources result in contracts (not grants or cooperative agreements).
  • Contracts result generally from a competitive selection process and are subject to Procurement regulations of the FAR.
  • Always notify your RSC in advance if you know the solicitation or funding opportunity you are responding to.
  • RFPs contain representations and certifications that must be completed at proposal submission.
  • RFPs may contain preparation of small business and small disadvantaged business subcontracting plans for any anticipated award over $500K

9. Elements of a Proposal

  • Statement of Work (must in detail explain the scope of the project, including detailed scope of proposed collaborators/consultants.
  • Budget
  • Budget Justification
  • Resources (if necessary)
  • CVs/Bios/Publications
  • Reps and Certs (if necessary)
  • Subrecipients budget/sow/budget justification/letter of intent

10. Letter of Intent

  • A Letter of Intent (LOI) expresses the intention to submit a proposal in response to a particular program announcement or request for proposals.
  • LOIs are generally solicited by the sponsor in conjunction with an announcement that is expected to generate widespread interest.
  • If the LOI contains budget estimates or representations, it should be reviewed and approved by the appropriate RSC prior to submission. The Managing Director of Research Support and Analysis will sign the letter as an indication of the institutions concurrence with the planned submission.

11. OMB Circular A-21 Cost Principles

  • Read GWs policy on Direct Charging of Administrative Costs (very important)
  • Understand what costs are unallowable on FEDERAL awards in accordance with OMB Circular A-21 athttp://www.whitehouse.gov/omb/circulars/a021/a21_2004.html
  • Understand the exceptional circumstances rule of thumb for charging administrative costs.

12. Accounts typically not charged to federally sponsored projects

  • Advertising - 55151
  • Bad Debt Expense - 53911
  • Entertainment - 52611
  • Fines, Fees, and Penalties - 52442
  • GW Advertising - 59523
  • Lobbying - 52616
  • Metro Area Alumni Activities - 52722
  • Prizes and Awards 57121
  • Publicity & Promotion 55152
  • MISC Expense 52691
  • Office Supplies 54111
  • Postage/Express Mail- Non-GW 53411
  • Telephone Direct 53311
  • Misc Supplies - 54541

13. Exceptional Circumstances

  • - Large complex programs such as Clinical Research Centers, primate centers and program projects that entail managing teams of investigators from a number of departments and institutions.
  • - Projects which involve substantial data accumulation, analysis, entry, surveying, cataloging, etc., such as epidemiological studies, multi-center clinical trials.
  • - Projects involving extensive travel or meeting arrangements for a large group of participants.
  • - Projects whose exclusive purpose is for the preparation of manuals/books, large reports outside the normal technical reports.

14. Budget Planning

  • Personnel (expressed in % of total GW effort) include anticipated salary increases if multi-year. (Jan 1 admin and research staff and Med Ctr. Staff, and July 1 for MC Faculty and Jan 1 for University Faculty, not the anniversary of the project award).
  • Fringe Benefits
  • Supplies
  • Travel (Foreign/Domestic)
  • Equipment
  • Subawards
  • Independent Contractors/Consultants
  • Space/Rental
  • MTDC/TDC (remember exclusion criteria for MTDC)

15. Fringe Benefits

  • Fringe benefits are charged as the University provides a percentage of salaries for all regular full-time employees and certain part-time employees to cover such benefits as retirement, health care, and tuition benefits. The funds generated are pooled and eligible employees may draw from them to the extent appropriate to the terms of their employment. There is a separate rate for temporary hourly wage employees who work 700 hours or less per year. Fringe benefit rates are determined annually; consult the Office of the Chief Research Officer or its Web site ( http:// www.gwu.edu/~research/boiler.htm ) for current rate information.

16. Budget Terms cont.

  • MTDC = Modified Total Direct Costs
  • The base to which indirect costs rates are applied. Modified Total Direct Costs consist of "salaries and wages, fringe benefits, materials and supplies, services, travel, and subgrants and subcontracts up to the first $25,000 of each subgrant or subcontract (regardless of the period covered by the subgrant or subcontract).
  • Exclusions from Base:
  • Equipment, capital expenditures, charges for patient care, tuition remission, rental costs, scholarships, and fellowships as well as the portion of each subgrant and subcontract in excess of $25,000 shall be excluded from modified total direct costs.

17. Budget Justification

  • Must explain each proposed cost to project and how it is necessary to help accomplish the aims of the project
  • Any cost charged to a project must be specifically for that project alone
  • Do not use generic terms for supplies, if office supplies are required, indicate what kind, if you are using MISC supplies, indicate what types of MISC supplies are being purchased.
  • Travel cost must explain where, when and why.

18. Optional Budget Tool http://www.gwu.edu/~research/traininginfo6.htm

  • Talk to your RSC
  • Do not cost share unless its mandatory
  • Review the application instructions in case a specific budget format is required
  • Know your institutions rates

19. Budget Templates 20. What internal forms are required for routing?

  • Proposal Routing and Approval Form/Non-Competing Continuation Routing Form
  • (if applicable)
  • http:// www.gwu.edu/~research/forms/routingform.pdf
  • Conflict of Interest Disclosure Form
  • http://www.gwu.edu/~research/forms/Conflict%20of%20interest.pdf

All proposal submissions require the following no matter what :

  • The proposal in accordance with the sponsors solicitation or guidelines.

21. Proposal Submissions Workflow Principal Investigator (PI) informs OCRO of RFP/RFA and initiates documentation Research Service Coordinator (RSC) completesFirst Review of Proposal Pre-Award Specialist completesSecond Review of Proposal Managing Director Research Support and Analysis completesThird and Final Review Proposal Complete PI submits proposal to RSC Proposal inaccurate/incomplete Proposal inaccurate/incomplete After Final Approval returned to Pre-Award Specialist for Electronic Submission Paper proposal submissions are routed to the department for mailing

  • PI initiates/informs RSC of RFP (Request for Proposal) and in turn, RSC sends RFP information to the Pre-Award Specialist and Contracts Manager)
  • Route to Dean for signature
  • Submit to Anne Hirshfield( ifvoluntary cost-sharing)
  • Return to RSC

22. Optional Forms Required for the following cases:

  • Cost Sharing Form (Attach if you plan to cost-share, either mandatory or voluntary/committed)http://www.gwu.edu/~research/forms/costshareform.pdf
  • Are multiple investigators involved?If so, submit this form:
  • http://www.gwu.edu/~research/forms/allocationform.pdf
  • Is a sub-award to another collaborator required?Remember, subwards are issued when GW plans to collaborate with another entity to help perform a part of the statement of work.Submit the following checklist with forms:http://www.gwu.edu/~research/forms/SubAchecklist.pdf
  • Are human subjects involved?Submit form on websitehttp://www.gwumc.edu/research/human/
  • Are animals involved?Submit form on websitehttp://www.gwumc.edu/research/animal/forms.htm
  • Are biohazards involved?Submit form on website:http:// www.gwumc.edu/research/labsafety/commbull.htm

23. Forms are filled out, where do I route my proposal?

  • All investigators involved on the project must sign the proposal routing form first;for multi-year cross departmental situations, it is the lead PI who is responsible to ensure that all signatures are contained, all assurances are met, and all terms and conditions upon receipt of award are complied with.
  • Chairs, Deans, Directors, VPs must sign where appropriate.
  • Additional signature(s)- As required.Loudon Campus:the Executive Director and the VP for Academic Affairs must sign all proposals originating from or involving theLoudoun Campus .
  • Medical Center -The Associate VP for Health Research, Compliance, and Technology Transfer must sign all proposals originating from or involving theMedical Center .
  • The Research Service Coordinator (RSC) must initial before the proposal is received and signed by GWs Institutional Official (Hal Gollos) in OCRO.

24. What is Cost Sharing?

  • Cost sharing are those costs borne/shared by the University, not the agency, and are proposed up front.There are three types of Cost sharing:
  • MandatoryRequired by the agency in solicitation or guidelines;
  • Voluntary Committed an implied willingness for the University to bear certain project costs contained in the proposal submitted to the sponsor. The commitment is not a requirement imposed by the sponsor. Requires approval from Anne Hirshfield.Must be tracked in the financial system if specified in proposal.
  • Voluntary Uncommitted-neither a sponsor requirement nor a University commitment but represents additional costs incurred by the University beyond the levels in the proposal and/or award documents. Voluntary cost sharing is not specifically quantified in the proposal submitted to the sponsor. Federal regulations do not require the University to document voluntary cost sharing.

25. Must Nots of Cost Sharing

  • University policy states that no cost sharing is allowed on federal sponsored projects unless its a mandatory requirement from the agency;
  • Cost shared expenses must not be expenses already included under another sponsored project as cost sharing;
  • Cost shared expenses must not be paid by any federal sponsor under another agreement, unless authorized by federal statute for that purpose and the sponsor approves these costs in writing.
  • Federal regulations do not allow admin and clerical staff salaries or wages, inc. fringe benefits and salary dollars in excess of the stated NIH salary cap to be cost shared.

26. ADMINISTRATIVE ESTABLISHMENTS

  • When the program officer has notified a PI that the proposal has been funded but there will be a delay from the grants management office in sending out the official paperwork, what can I do???
    • Request an Administrative Establishment via email from your Research Service Coordinator.
      • This will allow the University sets up an award in the financial system before the official notice of award is received in order to allow the work to begin.
    • Compliance approvals for the project must be in place before work begins (IRB, IACUC, etc.). These approvals are the PIs responsibility.
    • Administrative Establishments are generally set for a three month period and may be extended.Your RSC can provide additional guidance.

27. Administrative Extensions and Funding

  • Once approved, the RSC sets up the award as an Administrative Establishment in the financial system for a period of up to 90 days.
    • If the award is not forthcoming, then at least two-weeks before the expiration of the Administrative Establishment period, the Principal Investigator should discuss the matter with the Chair and/or Dean and determine whether to recommend that the Administrative Establishment be extended for an additional period.
  • Should an extension be desired, requests for existing Administrative Establishments must be processed and appro...