Neta Fernandez

Director of Office of Grants and Contracts (OGC)

OGC

Reports to VPR ~10 research administrators Submits all proposals Negotiates with agencies Provides assistance/training Provides authorized signature Board of Regents Responsible for close out

Other Workshops

• Cost Accounting Standards (CAS)• Cost Sharing• Export Control• ARGIS• Others, as requested

Write Proposal

Find RFP that interests you

Provide copy to OGC

Review RFP for specific directions

How to do Proposals?

• Write proposal

• Work with RC/OGC on budget

• Provide to OGC with ample time

to review and submit

Complex Proposals

• Key is the RFP

• New Sponsor with Unique Guidelines

• Work is Interdisciplinary

• Includes Partners – Subcontractors

• Center Grants – Multi Year

• Cost Share or In-kind

• Foreign Countries – Export Controls

Proposal Deadlines 5 Days before deadline to OGC for all

electronic proposals that must be

submitted through Grants.gov on-line portal

48 Hours before deadline to OGC for non-

Grants.gov proposals

Allow extra lead time for Complex Proposals

Stimulus Money• Lots of extra requirements

• Still being defined

• Allow extra time for proposals

• OGC will offer a workshop to PI’s

Keys to a Successful Proposal

• Start Early

• Team Effort

• Cover all your bases up front

YEA – Received Award!

OGC receives award OGC reviews and negotiates OGC prepares award packet OGC sends packet to SPA SPA creates index OGC and RC notified of index# Finally…PI begins research

Award Cycle

Award Packet

Basic Info for PI

“Must Know” Stuff

Definitions of Agreement

Grant: more flexible than contract; team oriented; deliverables normally consist of report

Contract: issued by external sponsors for detailed SOW with final or milestone deliverables

Definitions of Agreement

Cooperative Agreement:

similar to grant but has statutory criterion that anticipates substantial agency involvement

Definitions of Agreement

Gift: a donation, no deliverables; all gifts processed through the VP for Advancement

• Colleges sometimes have one specific person who deals with Advancement

Types of Awards

• Fixed Price

• Cost Reimbursable

• Time and Material

Fixed Price

Grant or contract for which one party pays the other party a pre-determined price, regardless of actual costs, for services rendered

* More common on contracts

Cost Reimbursable

Grant or contract where one party pays other party for full allowable costs incurred during project. Based on actual costs incurred including direct and indirect costs.

* Common on grants

Sponsored Award Costs

There are two ways to charge toa sponsored award:

• Direct costs

• Indirect costs

Cost Accounting Standards (CAS)

• Created as act of Congress, 1971

• Applied to universities in 1996

• Promoted greater standardization of costs

• Goal to tighten rules on allowability/ allocation

Direct Costs

OMB Circular A-21 definition:

Those costs that can be specifically identified

to the cost objective with relative ease and a

high degree of accuracy

Examples of Direct Costs

• Salaries and wages including fringe

• Non-office supplies

• Subcontracts

• Animal use fees

• Travel related to project

OMB Circular A-21 definition:

Costs that are incurred for common or joint objectives and therefore, cannot be identified readily and specifically with particular sponsored project, an instructional activity, or any other institutional activity

Facility and Administrative (F&A or Indirect Costs)

Examples of F&A Costs

• Operation and maintenance of buildings

• Library costs

• Administrative office supplies

Charging Indirect Costs as Direct Costs

• Must be required by scope of work

• Cost can be accurately identified/ allocated to project

• Must be unique requirement and justified

• Evaluated on case-by-case basis

Is it Acceptable?

For example, office supplies are consideredunder F&A costs. If you can show that the office supplies are an unlike circumstance or are excessive for this project, you can write a justification and get approval for charging as a direct cost.

Office Supplies Example

Program is to promote AIDS Awareness on campus. Requires unusually large amount of supplies to prepare brochures and educationaltraining materials for workshops

ARGIS

Electronic Research Administration Contains all grants/contracts Allows PI to log in, enter proposal,

and view data Reminds PI when deliverables due Reminds PI when project ending

-- ready for closeout

Contact 646-1523 for:

ARGIS userid/password ARGIS training ARGIS help or assistance

ARGIS

Can be revenue obtained from:

• conference fees

• sale of videos

• sale of books

Program Income

Federal regulations provide following guidelines for treatment of program income:

• Use to further program objectives*

• Use to finance non-federal share of project

* Default application for research projects

Program Income

Role of PI

Get Started• Three general phases to funding cycle:

-- Proposal Devel & Submission

-- Project Administration

-- Project Reporting & Closeout

• Hopefully, Reporting & Closeout is not

“forever” but leads to follow-on or

subsequent grant

Proposal Development and Submission

Proposals have 3 general areas:• Technical Proposal (your ideas)

• Management Proposal (who will do the work, does NMSU have right facilities, are protocols to conduct work in place, need subcontractors, etc)

• Cost Proposal (who will pay for what, are costs proper, do they track with technical needs

Provide a copy (ASAP) of Request for Proposal (RFP) to research center or OGC

Proposal Award Form (PAF)

Proposal Development and Submission

Project Administration

Project Administration Stages:

• account/project setup

• day-to-day administration

• project reporting

Day-to-Day Administration

• Personnel

-- allocate, monitor, track level of effort

-- complete effort certifications (6 mo)

-- record timesheets in timely manner• Property

-- if property is purchased under grant, track

property as part of NMSU inventory list

Day-to-Day Administration

Financial Responsibilities:• ensure cost sharing documented/met• expend funds per approved budget• initiate/monitor/approve subaward expenditures• review/validate expenditures on BANNER• ensure travel expenses follow agency

requirements and NMSU allowed costs

Day-to-Day Administration

Purchases:• Can use Purchase Order/Procurement Card• Vendors must be approved and “in system”• PI initiates purchase and gets approval at

department/college/unit level for

appropriateness and funds available*

* PI responsible if purchases are not appropriate

Project Reporting

• Technical Reports -- prepare project Final/Intermediate Reports according to agency T&Cs -- disseminate project results according to proposal plan (conference proceedings, journal articles, etc) & acknowledge grant

• Assist research center in final reporting— financial matters, inventions, inventory, etc

More Basics

Cost Sharing

Definition:

Portion of project costs not borne by sponsor

Cost Sharing

Two types of cost sharing:

• Mandatory – required by agency or statute as condition of award

• Voluntary – NOT required by agency; cost sharing is not required but university funds part of research cost

Cost Sharing

• Charge full F&A, unless capped by agency

• Treated as cost share

** Voluntary cost share requires approval

by VPR – see attached form

If not charging full F&A and not capped –

MUST have VPR approval (See attached)

Voluntary cost share will only be approved in

very rare cases such as when it is considered a

proposal review criteria and is stated as such in

the RFP

Cost Share

Terminology may vary among agencies:

• cost sharing

• matching funds

• in-kind

Cost Share

Compliance Committees & Issues

• Conflict of Interest

• Institutional Review Board (human subjects)

• Institutional Animal Care & Use Committee (animal subjects)

Compliance Committees and Issues

• Institutional Biosafety Committee

• Supplemental Compensation

• Export Control

Conflict of Interest Definition

• Research where it appears researcher may have significant financial interest that could directly/indirectly affect the design, conduct, or reporting of research activities

• Or the researcher’s situation could directly and significantly compromise his/her professional commitments to NMSU

Conflict of Interest Examples

• Issue subaward to or pay spouse/significant other on grant

• Purchase supplies/equipment from company that relative/close friend owns

• Accepting gratuities or gifts from private organization that may be interpreted as attempt to influence

Conflict of Interest Procedures

• PI required to fill out and submit a Disclosure of Significant Financial Interest at annual evaluation

• PI required to submit new form when new interests are acquired

Conflict of Interest Committee

GOAL is to resolve completely or develop a plan to manage

Note: COI problems can cause PI to pay back agency out of personal funds

Institutional Review Board (IRB)

• NMSU is required by federal regulations to review research involving human subjects

• Must have IRB approval before PI actually begins research

Institutional Animal Care Use Committee (IACUC)

• NMSU is required by federal regulations to review research involving animal subjects

• PI required to get IACUC approval for any use of vertebrate animals – including research, teaching or testing

• PI must get IACUC review/approval in advance

Institution Biosafety Committee (IBC)

• Provides guidelines for research or academic programs involving biological agents

• Researchers must receive IBC approval before beginning work

Nellie Quezada-Aragon

Director of Compliance

646-2557

maaragon@nmsu.edu

Supplemental Compensation

For exempt staff and faculty to be paidsupplemental compensation, work must:

• cross departmental lines or at remote site AND• be performed in addition to regular workload

Supplemental Compensation

Must have agency approval

Must have approved CAS justification

Must comply with NMSU policy/procedures

Export Control

• Federal laws to protect items, technical data, and information important to U.S.

• More important during times of war or heightened security*

* Protect national security

What is an Export?

• Any oral, written, electronic or visual disclosure, transfer or transmission outside the US to anyone, including a US citizen, of any commodity, technical data, technology, or software

• Transfer of a controlled commodity, technology, or software to a non US entity wherever located

Foreign Students/Scientists

• Large presence of foreign students & scientists at NMSU increases the chance of transferring knowledge to other countries.

Note: Export Control laws can restrict use of foreign students/scientists on research

University Exemption

Exemption for universities:

• fundamental research

• open publication rights

• does not involve satellite

Civil penalties up to $500k each violation

Criminal penalties up to $1M each violation

Imprisonment up to 10 years

OR BOTH

Penalties and Fines

Dr. Horan

Intellectual Property/Tech Transfer

Director of Intellectual Property

and Technology Transfer

Maureen Camunez 6-5398

• Patent rights retained by university

• Government receives license to practice

• Universities to share royalties with inventors

Bayh Dole Act

• Signed prior to beginning of research project

Intellectual Property Agreement

Questions?