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    1. 1. Budgets and Proposals A workshop for budgets and compliance at UGA Office of Research Noel Gregg, Associate Dean Cathy Cuppett, Grants Officer Grace Thornton, Grants Development Specialist
    2. 2. Budget and Compliance Workshop Agenda <ul><li>Welcome </li></ul><ul><li>Resources Available in COE and UGA </li></ul><ul><li>Agencies to which you might apply </li></ul><ul><li>What to do when you find funding </li></ul><ul><ul><li>Reading an RFP </li></ul></ul><ul><ul><li>Making a Budget </li></ul></ul><ul><ul><li>The Budget Justification and other external forms </li></ul></ul><ul><ul><li>Internal forms </li></ul></ul><ul><li>Proposal Submission </li></ul>
    3. 3. College of Education Resources <ul><li>Research Information and Resources </li></ul><ul><ul><li>Grant Writing Resources </li></ul></ul><ul><ul><ul><li>Cathy Cuppett – Grants Officer </li></ul></ul></ul><ul><ul><ul><ul><li>Signs on behalf of the Dean and the College </li></ul></ul></ul></ul><ul><ul><ul><ul><li>Will assist you in making a budget, checking for compliance with RFP and CASB and UGA accounting standards and completion of all forms </li></ul></ul></ul></ul><ul><ul><ul><li>Paula Alexander – Accountant </li></ul></ul></ul><ul><ul><ul><ul><li>Will assist in making your budget, getting salary numbers and percentages and is Cathy’s back up person </li></ul></ul></ul></ul><ul><ul><ul><li>Grace Thornton – Grant Development Officer </li></ul></ul></ul><ul><ul><ul><ul><li>Will assist you with editing your project narrative and finding funding for your project </li></ul></ul></ul></ul>
    4. 4. Office of the Vice President for Research <ul><li>Office for Sponsored Programs </li></ul><ul><ul><li>Jacob Maas – Assistant Grants Officer </li></ul></ul><ul><ul><ul><li>Signs on behalf of the University </li></ul></ul></ul><ul><ul><ul><li>Checks for compliance with internal and external regulation </li></ul></ul></ul><ul><ul><ul><li>Uses transmittal form to enter your proposal into the mainframe and processes awards, award pendings, and no cost extensions. </li></ul></ul></ul><ul><ul><ul><li>Creates, approves and signs all Agreements and contracts on behalf of UGA for the COE </li></ul></ul></ul>
    5. 5. Funding Sources <ul><li>Government Sources </li></ul><ul><ul><li>United States Department of Education </li></ul></ul><ul><ul><li>National Science Foundation </li></ul></ul><ul><ul><li>National Institutes of Health </li></ul></ul><ul><li>Private Sources </li></ul><ul><ul><li>Private Foundations </li></ul></ul><ul><ul><li>Corporations </li></ul></ul><ul><ul><li>Professional Organizations </li></ul></ul>
    6. 6. What to do when you find funding? <ul><li>Alert the Deans Office by calling or emailing either Grace Thornton or Cathy Cuppett </li></ul><ul><li>Alert your Department Head and Departmental Accountant </li></ul><ul><li>Read the RFP and/or Funding Announcement – Checking for: </li></ul><ul><ul><li>Eligibility – Institution of higher education, 501(3)(c), or faculty member at institution of higher education </li></ul></ul><ul><ul><li>Proposal Due Dates – will you have enough time? Is there a letter of intent required? </li></ul></ul><ul><ul><li>Award Amount – Is this enough money and is enough time allocated to meet your needs? </li></ul></ul><ul><ul><li>Priorities – Does your project fit within the goals of the RFP? </li></ul></ul>
    7. 7. If the Funding Source is Private <ul><li>If the Source of Funding is Private </li></ul><ul><ul><li>Corporate and Foundation Relations Approval </li></ul></ul><ul><ul><ul><li>Either grace or I will email Corporate and Foundation Relations on your behalf – this is 99% of the time a formality but occasionally it does affect the proposal – Examples include Coca-Cola and Watson-Brown Foundation </li></ul></ul></ul><ul><ul><ul><li>PLEASE do not contact private Foundations or Corporations without Approval </li></ul></ul></ul><ul><ul><li>Register with the site if necessary – Spencer dissertation support, Janet and Harry Knowles Foundation, the National Writing Project, etc. etc. </li></ul></ul><ul><ul><li>Make a budget appointment with Cathy Cuppett  </li></ul></ul>
    8. 8. If the Funding Source is a Government Agency <ul><li>If the Source of Funding is a Government Agency </li></ul><ul><ul><li>You do NOT need to Register with grants.gov </li></ul></ul><ul><ul><li>You will need to register for Fastlane if you have an NSF proposal. Jake Maas and Cathy Cuppett with be happy to register you. All we need is your degree type, and year, full name and preferred email address. </li></ul></ul><ul><ul><li>If you are applying to NIH you will need an eRA Commons login. Jake Maas and Cathy Cuppett will be happy to get you one. We need you full name, email address, social security number and degree specialty, year and institution. </li></ul></ul><ul><ul><li>Make a budget appointment with Cathy Cuppett  </li></ul></ul>
    9. 9. Budget Meetings <ul><li>Budget Meetings – Grant Team </li></ul><ul><ul><li>Personnel </li></ul></ul><ul><ul><ul><li>PI </li></ul></ul></ul><ul><ul><ul><li>Co-PI </li></ul></ul></ul><ul><ul><ul><li>All other UGA employees regardless of role on grant </li></ul></ul></ul><ul><ul><li>Graduate Assistants </li></ul></ul><ul><ul><li>Travel </li></ul></ul><ul><ul><ul><li>For UGA employees only </li></ul></ul></ul><ul><ul><ul><li>Per Diem rates apply </li></ul></ul></ul><ul><ul><li>Supplies – anything you buy under $5000 </li></ul></ul><ul><ul><ul><li>All general office supplies are included in indirect costs when dealing with the federally negotiated indirect cost rate, therefore supplies such as paper, copying, printing, postage, phone calls and similar costs will not be permitted unless they are excessive and fall within the CASB exceptions </li></ul></ul></ul><ul><ul><li>Equipment – over $5,000 </li></ul></ul><ul><ul><ul><li>Things you might generally think about as equipment such as laptops are put under supplies since they cost less then $5,000 </li></ul></ul></ul><ul><ul><ul><li>Equipment is excluded from indirect cost recovery </li></ul></ul></ul>
    10. 10. Budget Meetings <ul><li>Budget Meetings (con’t) </li></ul><ul><ul><li>Participant Support </li></ul></ul><ul><ul><ul><li>Stipends, travel, subsistence, and other – these costs are sometimes excluded from indirect cost recovery depending on the RFP and the Agency or Foundation </li></ul></ul></ul><ul><ul><li>Consultants </li></ul></ul><ul><ul><ul><li>Consultants are always non-UGA employees. </li></ul></ul></ul><ul><ul><ul><li>They do not commit the resources of their respective institutions. </li></ul></ul></ul><ul><ul><ul><li>They are individuals who have an expertise which they will lend to your project. Examples include evaluation teams, special computer programmers, scientists, etc. etc. </li></ul></ul></ul><ul><ul><ul><li>They are paid a flat rate. You may include their travel expense in that flat rate if they need to travel. We will not include travel for the consultant’s spouse or friend or student in the rate. </li></ul></ul></ul><ul><ul><ul><li>There are recommended rates from which there may be deviation but the deviation must be justified. Examples include highly qualified experts and persons of high esteem in their fields. </li></ul></ul></ul>
    11. 11. Budget Meetings <ul><li>Budget Meetings (con’t) </li></ul><ul><ul><li>Other Direct Costs </li></ul></ul><ul><ul><ul><li>Includes things like transcription, publication and dissemination costs, conferences, etc. etc. </li></ul></ul></ul><ul><ul><li>Subcontracts </li></ul></ul><ul><ul><ul><li>Indirect costs are taken on only the first $25,000 of any one subcontract regardless of the total amount of the subcontract. </li></ul></ul></ul><ul><ul><ul><li>What we need: </li></ul></ul></ul><ul><ul><ul><ul><li>contact information for the Sponsored Programs Office at the subcontract Institution </li></ul></ul></ul></ul><ul><ul><ul><ul><li>Their Budget and Justification </li></ul></ul></ul></ul><ul><ul><ul><ul><li>A letter of Support from their Institution </li></ul></ul></ul></ul>
    12. 12. Budget Meetings <ul><li>Budget Meetings (con’t) </li></ul><ul><ul><li>Indirect Costs </li></ul></ul><ul><ul><ul><li>Federally negotiated Indirect Cost Rates </li></ul></ul></ul><ul><ul><ul><ul><li>On-Campus Research grants – 48.5% </li></ul></ul></ul></ul><ul><ul><ul><ul><li>Off-Campus Research Grants – 26% </li></ul></ul></ul></ul><ul><ul><ul><ul><li>On Campus Service Grants – 37% </li></ul></ul></ul></ul><ul><ul><ul><ul><li>Off-Campus Service Grants – 26% </li></ul></ul></ul></ul><ul><ul><ul><ul><li>On-Campus Instruction – 56% </li></ul></ul></ul></ul><ul><ul><ul><ul><li>Off campus instruction – 26% </li></ul></ul></ul></ul><ul><ul><ul><li>Private and Foundation Indirect Cost Rates </li></ul></ul></ul><ul><ul><ul><ul><li>Are the federally negotiated Rates unless otherwise stated in the RFP or in writing from the Corporation or Foundation </li></ul></ul></ul></ul><ul><ul><ul><li>INDIRECT COST RATES ARE INCLUDED IN THE AWARD AMOUNTS UNLESS OTHER WISE STATED – meaning if the award says the amount awarded will be up to $200,000 each year for 2 years then you do not get $200,000 in direct costs. You only get $134,680 in direct costs if you are on campus research and indirect costs take up the remaining $65,320 </li></ul></ul></ul>
    13. 13. Budget Meetings <ul><li>Budget Meetings (con’t) </li></ul><ul><ul><li>Indirect Costs – (con’t) </li></ul></ul><ul><ul><ul><li>Exceptions to the Rule </li></ul></ul></ul><ul><ul><ul><ul><li>Reduced or Limited Indirect Cost Rates </li></ul></ul></ul></ul><ul><ul><ul><ul><ul><li>Some RFP’s severely limit or remove entirely the indirect cost portion of the budget. If this applies it will be stated in the RFP itself. Examples of typical RFP’s which reduce or eliminate indirect costs are most USAID proposals (they are flow through from private Companies) and Post doctoral or pre doctoral training grants. </li></ul></ul></ul></ul></ul><ul><ul><ul><ul><ul><li>GA DOE Allows no Indirect Cost recovery; instead, UGA includes 10% &quot;project management&quot; as a direct cost in order to recover a small portion of the indirect costs we incur as a result of the project </li></ul></ul></ul></ul></ul>
    14. 14. Budget Meetings <ul><li>Budget Meetings (con’t) </li></ul><ul><ul><li>Cost Share </li></ul></ul><ul><ul><ul><li>What is cost share – cost share is the commitment of resources or time by the University of Georgia without reimbursement by the grant. There is a separate budget for cost sharing. Cost sharing is also called matching, but is never called “in-kind contribution” </li></ul></ul></ul><ul><ul><ul><ul><li>In Kind Contributions are contributions by a third party and thus can never come from the University of Georgia on any of our own proposals since we are not a third part to our own proposal. </li></ul></ul></ul></ul><ul><ul><ul><li>So what is an example of cost-share? </li></ul></ul></ul><ul><ul><ul><ul><li>Stating that you will do something on a proposal like oversee the project or do research but not budget time for yourself on the proposal where the grant compensates your efforts as a percentage of your salary is cost share. </li></ul></ul></ul></ul><ul><ul><ul><ul><li>Committing university resources such as support staff to a project without including them in the personnel section of the budget is cost share. </li></ul></ul></ul></ul><ul><ul><ul><li>The University has a policy of no cost share unless it is specifically required by the RFP or we receive in writing such a requirement from your program officer. </li></ul></ul></ul>
    15. 15. The Budget Justification <ul><li>Budget Justifications </li></ul><ul><ul><li>Each expense must be justified -- you must explain how each expense is reasonable and allocable to this specific project. </li></ul></ul><ul><li>Good Example: Senior Personnel Dr. Smith, PI is requesting 11.111% of his academic salary ( 1 academic month). Dr. Smith will provide the overall direction of the project, including making arrangements for and directing the (_____symposium, conference, research, etc._______) and coordinating the schedule of work to further (_______develop the project, meet the goals of the grant, develop the scholarship, complete the project, etc.________). </li></ul>
    16. 16. The Budget Justification <ul><li>Budget Justifications </li></ul><ul><ul><li>Bad Example: Dr. Smith is the PI. He will devote sufficient time and energy to the project. No salary is requested. </li></ul></ul><ul><ul><ul><li>Cathy Cuppett has suggested wording and templates for the Budget Justifications. She is happy to provide them. They currently comply with NSF guidelines, but if you specify what you are using them for she will be happy to modify them to comply with whichever agency you are applying. </li></ul></ul></ul><ul><ul><li>The Office of the Vice President for Research has examples CASB exceptions on their website: </li></ul></ul><ul><ul><ul><li>http://www.ovpr.uga.edu/docs/policies/osp/CASB-Non-Admin-Exception.pdf </li></ul></ul></ul><ul><ul><ul><li>http://www.ovpr.uga.edu/docs/policies/osp/CASB-Admin-Exception.pdf </li></ul></ul></ul>
    17. 17. <ul><li>Bio-Sketches </li></ul><ul><ul><li>Depending on the agency a bio sketch may or may not be required. Also they will vary in length from a full Vita which can be over 50 pages to a short 2 page synopsis. I also have templates for some of the bio-sketches. </li></ul></ul><ul><li>Current and Pending Support </li></ul><ul><ul><li>Depending on the Agency current and pending support may or may not be required and the formats and contents will vary. NSF always requires it and requires you to list the proposal you are submitting in the pending support section. Support is listed in person months. NIH uses a &quot;Just in Time&quot; mechanism in which certain components, including Current & Pending, are not required at proposal time but may be requested later. </li></ul></ul>Other Forms You May Need
    18. 18. <ul><li>References Cited </li></ul><ul><ul><li>There are certain requirements for spacing and page margins throughout your proposal. They are applicable to different things based on what the RFP requires and what Agency you are applying to. Sometimes like with NSF the references cited section has certain formatting requirements. I have a template for this. Other agencies allow you to handle your references cited sections as you see fit. </li></ul></ul><ul><li>Letter of Support </li></ul><ul><ul><li>Each RFP will state whether Letter of Support are either required, allowed or not allowed. Please do not ever include anything in your proposal which is not allowed. Your proposal will be rejected without being read if you include things in your proposal which are specifically not allowed. It will be seen as a violation of the page limitations. </li></ul></ul>Other Forms You May Need
    19. 19. <ul><li>Institutional Letter of Support </li></ul><ul><ul><li>Different then other letters of support </li></ul></ul><ul><ul><li>Is provided by the Sponsored Programs Office and signed by an Institutional Representative such as Jacob Maas. </li></ul></ul><ul><ul><li>Institutional Letters of Support are always required when UGA is a subcontract to another institution of higher education. They may also be required by the RFP but not always. </li></ul></ul>Other Forms You May Need
    20. 20. Internal Forms <ul><ul><li>The Transmittal Form </li></ul></ul><ul><ul><ul><li>The transmittal form is the most important form you will fill out that will not go with your proposal to the Agency. </li></ul></ul></ul><ul><ul><ul><li>It allows your proposal to be tracked in UGA’s accounting system. </li></ul></ul></ul><ul><ul><ul><li>It allows for you to receive an account number if and when you proposal is awarded. </li></ul></ul></ul><ul><ul><ul><li>It shows that your department head is in support of your project and if there is cost share. </li></ul></ul></ul><ul><ul><ul><li>It shows by your signature that you have no conflict of interest. </li></ul></ul></ul><ul><ul><ul><li>It shows how you want indirect costs distributed between departments. </li></ul></ul></ul><ul><ul><ul><li>It should be turned in before your proposal is submitted. </li></ul></ul></ul>
    21. 21. Proposal Submission <ul><ul><li>Internal Requirements – Who can be the PI? </li></ul></ul><ul><ul><ul><li>Any employee who holds one of the following ranks and who has signed the University of Georgia Intellectual Property Agreement may serve as a Principal Investigator or a Co-Principal Investigator and submit proposals for external funding. </li></ul></ul></ul><ul><ul><ul><li>A. Tenured or Tenure-Track Faculty - Assistant Professor, Associate Professor, Professor, Professor Emeritus </li></ul></ul></ul><ul><ul><ul><li>B. Non-Tenure-Track or Temporary Faculty - Assistant Research Scientist, Associate Research Scientist, Senior Research Scientist, Public Service Representative , Public Service Assistant, Public Service Associate, Senior Public Service Associate, Academic Professionals, Clinical Assistant Professor, Clinical Associate Professor, Clinical Professor, Temporary Assistant Professor (with Dean's Approval), Adjunct Faculty with Primary Federal Appointments, Instructor/Lecturer </li></ul></ul></ul><ul><ul><li>If a Graduate Student wants to apply for funding they can do it in conjunction with a faculty member or for projects which are specifically geared toward them such as dissertation funding. </li></ul></ul>
    22. 22. Proposal Submission <ul><li>Proposal Submission </li></ul><ul><ul><li>Internal Deadlines </li></ul></ul><ul><ul><ul><li>Cathy Cuppett needs your completed proposal no later then 10 business days before the due date listed on the RFP. This is so that she can review the proposal for compliance with the RFP, the agency standards and internal standards of UGA as well as Federal Spending guidelines and circulars applicable to institutions of higher education. </li></ul></ul></ul><ul><ul><ul><li>Jacob Maas will receive your proposal 5 business days before the due date in order that he can review the proposal as well according to all the same guidelines stated above. Additionally, Jacob signs the proposal on behalf of the university and officially approves it for submission to the Agency. </li></ul></ul></ul>
    23. 23. Proposal Submission <ul><ul><li>Format of submitted documents </li></ul></ul><ul><ul><ul><li>Microsoft Word and Excel Files – please submit all proposals to Cathy Cuppett in parts as you complete them in their own separate Microsoft word or excel files. For example upon completion of your bio sketch please email it to me in micro soft word. Do not send it to me in a PDF. This is so that if there is a small spacing issue or typo I can fix it without having to email you every little issue. </li></ul></ul></ul><ul><ul><ul><li>Grants.gov Applications – PLEASE DO NOT ATTEMPT TO UPLOAD PROPOSALS INTO GRANTS.GOV. – their system is difficult and has many arbitrary requirements. Please email me your documents and I will upload them. I will be happy to email or campus mail you a copy of your final proposal. </li></ul></ul></ul><ul><ul><ul><li>Mail in Applications – even when the applications are mail it we would like to receive an electronic copy for our records as the Grants Office at the COE is now paperless. </li></ul></ul></ul><ul><ul><ul><li>CAYUSE </li></ul></ul></ul>
    24. 24. OTHER CONSIDERATIONS <ul><li>Export Control – Ask yourself two questions to see if this applies to you </li></ul><ul><ul><li>1. Am I applying to Homeland Security, a branch of the Armed Forces, the Dept of Defense, the Coast Guard, the Port Authority or a private company or other institution applying as the prime institution for one of these agencies? </li></ul></ul><ul><ul><li>2. Are foreign nationals working on my project – EVEN AS GA’s? </li></ul></ul><ul><ul><li>If the answer is YES to both question then you may have an export control issue. Export control is a serious issue – See University of Tennessee </li></ul></ul><ul><ul><ul><li>http://www.knoxnews.com/news/2009/jul/02/prison-for-ex-ut-professor/ </li></ul></ul></ul><ul><ul><ul><li>http://research.utk.edu/exportcontrol/ </li></ul></ul></ul>
    25. 25. Don’t Forget <ul><li>Always check with the COE Office of Research & External Affairs before: </li></ul><ul><ul><li>Making official contact with a private foundation or corporation </li></ul></ul><ul><ul><li>Submitting a proposal </li></ul></ul><ul><li>All proposals must be submitted to the Office for Sponsored Programs 5 business days prior to the submission deadline therefore, proposals must be submitted to our Grants Officer, Cathy Cuppett, 10 business days before the due date. </li></ul><ul><li>TELL YOUR DEPARTMENTAL ACCOUNTANT & DPEARTMENT HEAD ABOUT YOUR PROPOSAL </li></ul>
    26. 26. Contact Information <ul><li>Call or email Cathy Cuppett @ [email_address] / 706-542-3873 if you: </li></ul><ul><ul><li>Have general questions </li></ul></ul><ul><ul><li>Would like assistance with creating a budget </li></ul></ul><ul><ul><li>Have any other needs related to grant proposals, budget creation, compliance or proposal submission </li></ul></ul><ul><li>Call or email Jacob Maas @ </li></ul><ul><li>[email_address] / 706-542-0710 if you have questions regarding: </li></ul><ul><ul><li>proposal review </li></ul></ul><ul><ul><li>contacting agencies </li></ul></ul><ul><ul><li>and compliance and proposal submission </li></ul></ul>