Understanding Pre-Award Training, Grant vs Contract, PI Eligibility, and More
Explore the differences between grants and contracts, learn about PI eligibility, discover the submission process, guidelines, budgeting, and effort calculation in research proposals. Delve into the world of externally funded activities and mechanisms for procurement, and understand tenure tracks in academia.
Download Presentation
Please find below an Image/Link to download the presentation.
The content on the website is provided AS IS for your information and personal use only. It may not be sold, licensed, or shared on other websites without obtaining consent from the author. Download presentation by click this link. If you encounter any issues during the download, it is possible that the publisher has removed the file from their server.
E N D
Presentation Transcript
Pre Pre- -Award Training Award Training Health Outcomes & Biomedical Informatics/ICHP November 17, 2016
What is a grant vs. a contract? Who are eligible and ineligible to be a PI? Sponsors Grant Proposal submission process and timeline What to look for in sponsor guidelines? Proposal budget Effort Conversion-Percent to Months UF Faculty Effort calculation Required documents for proposal submission UFirst Proposal NIH Tips IPA (Intergovernmental Personnel Act) Internal Proposal Submission
An externally funded activity under which there is a transfer of funds, property, services or anything of value from the sponsor to the institution to assist the institution in reaching a particular institutional goal or public purpose. PI provides the Scope of Work Defined period of performance Annual progress reports to sponsor Intellectual Property (IP) owned by Grantee Institution Supports further knowledge in a particular subject area or field of research. Best Efforts are used in completing research Sponsor retains the right to revoke the award and unused Funds revert back to sponsor
A mechanism for the procurement of a specific service or product with specific obligations for both the sponsor and the contractor. Sponsor and PI jointly define Scope of Work Reports are often done more frequently than annually Contractor generally is required to produce a work product or deliverable Most involve some supervision or control by sponsor (on expenditures and/or deliverable) Contractors are paid only if the deliverable is accomplished Performance is accomplished by specific time frame Sponsor retains the right to terminate the contract
Tenure Accruing Tracks Assistant Professor Associate Professor Professor Eminent Scholar Graduate Research Professor Non-Tenure Tracks Assistant/Associate Scientist Assistant/Associate Research Professor Assistant Scholar Clinical Professor Research Professor (see link below for complete list) http://research.ufl.edu/research/handbook/proposals/eligibility-to-submit-a-proposal-for-external-funding.html
Adjunct, Courtesy, OPS, Visiting Faculty Assistant In, Associate In, Senior Associate In, Research Associates Postdocs Graduate Students Other Non Faculty
Requests must be initiated in UFirst as follows: (best practice prior to proposal submission) Department Chair needs to submit a PI eligibility request as an ad hoc review from UFIRST Log In to UFIRST and create new Proposal Click on the left side menu item called ad hoc review . This opens and email. The request should be addressed to DSP s Director slgray@ufl.edu or Associate Director prindle@ufl.edu The request should be specific to a project and contain information about the qualifications and capabilities of the individual that would allow the person to perform the duties of a Principal Investigator . It should also state the name of the individual who has PI eligibility that will act as Co-PI on the project and assume the PI role in case the approved PI cannot fulfill the responsibilities There is a new MENTOR field available in UFIRST that should cut down on PI eligibility requests. For example, on fellowships where some units wanted the student listed as the UF PI, the student used to require PI eligibility. Now, the student (or whomever is listed in the PI/PD/Fellow field) doesn t need PI eligibility as long as the mentor is PI eligible.
Sponsors Sponsors Federal (NIH, NSF, FDA, etc) State/Local gov t Foundations Industry Other Domestic/Foreign Organizations UF DSP UF Foundation UFRF/Gatorade CTSI Other UF Entities/Centers External Internal
PI reviews proposal with his/her mentor to obtain Chair approval PI submits LOI and abstract to a sponsor *required by some sponsors Sponsor accepts LOI and notifies PI to submit application Grant Proposal Submission Process PI decides to apply for a grant and PI/Coordinator sends RFA/ sponsor guidelines to Grants Team Grants Team creates Proposal in UFirst Proposal is reviewed and approved by Dept>College>DSP Completes proposal, enters budget, uploads documents and submits to WF for approval Grants Team reads the RFA guidelines and instructions DSP Submits to sponsor/Grants.gov or signs signature page for PI to submit application PI/Coordinator and Grants Team create Proposal Budget PI/Coordinator create justification Complete and collect all required proposal documents *If applicable, PI /Grants Team creates application in UFirst or external website If applicable, PI/Coordinator or Grants Team submits application via online, email, or courier Completes application, uploads documents. Generates signature page / applicationpdf.
Key Information to look for in the Sponsor Guidelines Key Information to look for in the Sponsor Guidelines When is the submission due date? What is the start date and period of award? What is the total budget allowed? Are there any budget restrictions? What is the IDC rate? Is there mandatory cost sharing? Does the sponsor require Institutional Signature? What are the required documents for grant application submission? How will the application be submitted? (Email, Online, or Paper)
Proposal Budget Proposal Budget A proposal budget should include all costs needed to accomplish the objectives presented in the proposal. The total cost of any project includes both Direct Costs (salaries, lab supplies, travel, other expenses, etc.) and Indirect/F&A costs.
Direct Costs Direct Costs Names of key & non-key personnel and their roles Effort (% or months) Annual salary and fringe rate Use current salary cap ($185,100) effective 1/10/16- 9/30/16 as applicable Salary inflated by 3%/year including those at cap Find out if any personnel have multiple appointments at UF or VA (multiple employee records) Direct Cost- Personnel (Annual Salary and Fringe x Effort) Consultant costs, Lab/Other supplies Travel, Other Expenses Equipment, Patient care costs, Rental cost of offsite facility, Tuition, Scholarships, Subcontract/Consortium costs (direct + indirect cost) Direct Cost Non Personnel
Indirect Costs Indirect Costs None No IDC per sponsor guidelines* TDC Total Direct Cost (all costs) x IDC rate MTDC Total Direct Cost minus equipment, tuition, scholarships, fellowships, patient care, rental cost of offsite facility, subcontract in excess $25,000 x IDC rate (Federal) Other Unique policy with regards to IDC per sponsor guidelines (e.g. TDC minus equipment or TDC minus consortium) x IDC rate Indirect Cost or F&A Cost *rates vary *If IDC rate is not clearly stipulated in the sponsor guidelines, the current federal rates will apply.
UF IDC Rates UF IDC Rates Federal and Federal flow through Funds (e.g., NIH, NSF) IDC Base MTDC On Campus Research starting 7/7/16 52.5% Off Campus Research and Instruction 26% Other Sponsored Activity On Campus 32.6% Other Sponsored Activity Off Campus 26% Industry IDC Base TDC Clinical Trials (human) 28% Non-Clinical (applicable federal rate) State IDC Base TDC State Funds 10% All Activities Base -- TDC Domestic Gov t entities (within Florida ) 10% Domestic Gov t entities (outside of Florida) 25% http://research.ufl.edu/faculty-and-staff/proposal-development-submission/budgeting-information/fa-rates-idc.html
Budgeting Tips Budgeting Tips Reviewers will use your budget request to gauge your understanding of how much your project will cost and what it takes to accomplish the proposed research A poorly prepared budget request can influence reviewer scores Provide a detailed description of expenses as well as the justification for why those expenses are needed for each project period of the grant Deliberately under budgeting or padding the budget reflects naivety, which reviewers will recognize. A request that misses its mark will undermine their confidence in not only your money smarts but also your ability to manage a major independent project
How to develop a GOOD working budget How to develop a GOOD working budget Your budget should always be developed after the scope and project needs have been determined Carefully review personnel FTE s to ensure appropriate coverage for all project members is accurate (Ex. Project extensions, renewals, adding additional work and new projects) Instances of adding additional work or expending the project consider any available carry forward funds and incorporate for spending as necessary Consider budgetary compliance, cost principals and other requirements and policies applicable to the type of award Know your limits for budget criteria, types of expenses, spending caps on certain expenses (e.g. travel limited to $10,000), overall funding limits (e.g. total costs cannot exceed $300,000 per year), and cost share or matching requirements Cost principles address the determination of allowable costs. All costs charged to the award must be allowable, allocable, reasonable, necessary, and constantly applied regardless of the source of funds Identify all costs that are necessary and reasonable to complete the work described in your proposal
Percent to Months Effort Conversion Percent to Months Effort Conversion (Federal/Non (Federal/Non- -Federal Grants) Federal Grants) Example: UF Effort 10% Appointment (Calendar Year = 12 months) Effort = 10% x 12 months = 1.2 months Effort = 1.2 months/12 months = 10% Appointment (Academic Year = 9 months) Effort = 10% x 9.0 months = .90 months Effort = .90 months/9.0 months = 10% Appointment (Summer Term = 3 months) Effort = 10% x 3.0 months = .30 months Effort = .30 months/3.0months = 10%
Proposal Budget Proposal Budget Proposal Budget should comply with sponsor guidelines on allowable Direct and Indirect Costs Once the budget is finalized, PI provides a budget justification
Required Documents for Grant Required Documents for Grant Proposal Submission Proposal Submission Abstract /Project Summary * Animal or Human Subjects Plan* Biosketches of all key personnel With personal statement (NIH)* Bibliography* Budget* Budget or Personnel Justification* Cover Letter* Department or Mentor Letter Equipment* Face Page/Signature Page Facilities and Resources* Key Personnel Letters of Support - Optional Other Support Project Narrative* Research Plan/Strategy* Specific Aims* Other Required Documents per Sponsor Guidelines * NIH Submission
Additional Required Documents Additional Required Documents- - Proposal with Consortium/ Proposal with Consortium/Subaward (UF is the Prime Institution) (UF is the Prime Institution) Request from Consortium: Detailed Budget and Budget Justification of Consortium Biosketches of Consortium Key Personnel Scope of Work Letter of Intent (LOI) to set up a Consortium Agreement signed by the Consortium Institution s authorized official or a signed Face Page (in lieu of Consortium Agreement). F&A Agreement to verify IDC rate Certifications such as IRB or IACUC if applicable FCOI of Consortium Key Personnel - Federal Grants, AHA, NSF, PCORI etc. Subaward *Note: The Sponsor is the Awarding Agency (ex. NIH)
Required Documents Required Documents- - UF is the Consortium/Sub UF is the Consortium/Sub- -awardee Submit to Prime Institution: Detailed Budget and Budget Justification (UF) Biosketches of Key Personnel Scope of Work Letter of Intent (LOI) to set up a Consortium Agreement signed by UF official or a signed Face Page (in lieu of Consortium Agreement) F&A Agreement -UF Certifications such as IRB or IACUC if applicable FCOI of all Key Personnel Federal Grants, AHA awardee *Note: The Sponsor is the Prime Institution (ex. University of Miami)
UF Internal Documents/Forms for Upload to the UF Internal Documents/Forms for Upload to the Proposal Proposal Financial Conflict of Interest Form (AHA, NIH, NSF, other federal sponsors) Other documents depending on RFA requirements
Cost Share Cost Share Mandatory Cost Sharing submit when cost sharing is required by a specific solicitation or program announcement. Expenditures are tracked and reported back to the agency in a financial report. Voluntary Committed Cost Sharing submit when proposal includes cost sharing when none is required (PI opts to cost share effort or other expenses). If funded, PI and UF are committed to provide the project with indicated support. Not allowed for NSF. Not reported to the agency but expenditures are tracked at UF. Cost Share and time commitment letters are no longer required in letter format. This process is completed in UFirst by designating the department responsible for the expense and will be approved by the Department Chair in Ufirst prior to submission.
Online Training Available for Grants: Online Training Available for Grants: http://hr.ufl.edu/learn-grow/just-in-time-training/myufl-toolkits/grants/
Most Common Issues/Errors Most Common Issues/Errors Budget does not comply with sponsor guidelines Budget justification calendar months not included or correct Incorrect Department IDs used for subprojects Incorrect IDC/F&A base and rate Incorrect Project start date for NIH submissions Incorrect Sponsor for consortiums/ sub-awards Missing required documents PI unable to approve proposal due to UFirst grant security role not requested
Per HOP Departmental Standards and COM RAC, proposals submitted to the department for approval 2-days before due date will be approved without review.
PRE PRE- -AWARD TIMELINE AWARD TIMELINE *Recommended *Recommended DSP approves the proposal and submits to thesponsor or signs signature page for submission by the PI to the sponsor *At least 3- days prior to due date Grants Team submits the proposal in UFirst workflow for approval by the PI, Dept, COM RAC, and DSP *At least 11- days prior to due date PI decides to apply for a grant and sends the RFA/sponsor guidelines to Grants Team *At least 3- weeks prior to due date
NIH Submission Tips NIH Submission Tips All files for upload should be converted to pdf with no headers/footers and follow the page limits Effort should be in calendar, academic or summer months Executive Level II Salary cap is $185,100 (subject to change per DHHS) Biosketch - maximum of 5 pages and with a personal statement Project summary/abstract should not exceed 30 lines and project narrative 3 sentences. (This is not caught by Cayuse and may create an error). Modular budget is applicable only to R01, R03, R21, and R34 applications. Modules of $25,000 should be requested and not exceed $250,000 in Direct Cost (excluding Consortium F&A). If the DC budget exceeds $250,000 ,use the detailed budget.
NIH Submission Tips NIH Submission Tips When requesting for Direct Cost of $500,000 or more/year (excluding Consortium IDC), PI must get approval from NIH at least 6 weeks prior to submission of application The Consortium Total Direct and Indirect Cost is budgeted as Direct Cost of the Prime Institution under Consortium/Subaward/Subcontract Cost. Only the 1st $25,000 is subject to IDC When budgeting for a graduate assistant, the total salary, fringe and tuition reimbursement should not exceed the current stipend amount of the NRSA T32 level zero Postdoc Fellow ($47,484 *subject to change by NIH) Note: Graduate student tuition and fee rates vary between colleges; please check with grants team for further details Equipment Item of property that has an acquisition cost $5,000 or more. Total requested amount should include shipping costs and maintenance agreement.
NIH Due Dates NIH Due Dates Standard Due Dates and Start Dates for Competing Applications: http://grants.nih.gov/grants/funding/submissionschedule.htm
EXERCISE EXERCISE Budget of Alligator University (Prime Institution) Category Faculty COM ClinicalFaculty Exempt TEAMS/USPS Non-Exempt Teams/USPS Housestaff Post Docs/Grad Assts Student OPS/FWS Other OPS/Temp Faculty FY15-16 Pooled Fringe Internal Budget PI: Title: Agency: Dates: Alligator Budget of Alligator University (Prime Instituation) 26.90% 16.40% 36.90% 44.80% 22.10% 20.40% 2.50% 7.60% 7/1/16-6/30/18 Base with 3% inflation $157,603 Salary Fringe Rate 26.90% Total Sal Personnel Name A, Gator Year 1 Year 2 Year 1 Year 2 TOTALS Role PI 20.00% 20.00% 2.40 31,521 $ 8,479 $ 40,000 $ 31,521 $ 8,479 $ 40,000 $ $ $ $ 63,042 16,958 80,000 2.40 Fringe $ 80,000 M. Twobits Co-I 10.00% 10.00% 1.20 $157,605 Salary Fringe Rate 26.90% Total Sal 15,760 $ 4,240 $ 20,000 $ 15,760 $ 4,240 $ 20,000 $ $ $ $ 31,520 8,480 40,000 1.20 Fringe $ 40,000 S, Sharp Prj MGr 50.00% 50.00% 6.00 $73,045 Salary Fringe Rate 36.90% Total Sal 36,523 $ 13,477 $ 50,000 $ 36,523 $ 13,477 $ 50,000 $ 73,046 26,954 100,000 $ $ $ 6.00 Fringe $ 100,000 I, Swampy Grad, Asst 50.00% 50.00% 6.00 $27,881 Salary Fringe Rate 7.60% Total Sal 13,940 $ 1,060 $ 15,000 $ 13,940 $ 1,060 $ 15,000 $ $ $ $ 27,880 2,120 30,000 6.00 Fringe $ 30,000 Name PI 0.00% - 0.00% - $0 Salary Fringe 0.00% Total Sal $ $ $ - - - $ $ $ - - - $ $ $ - - - Fringe Rate $ - Name PI 0.00% - 0.00% - $0 Salary Fringe 0.00% Total Sal $ $ $ - - - $ $ $ - - - $ $ $ - - - Fringe Rate $ - $ $ $ 195,488 54,512 250,000 Total FTE 130.0% 130.0% Salary Fringe Total 97,744 $ 27,256 $ 125,000 $ 97,744 $ 27,256 $ 125,000 $ 195,488 $ 54,512 $ 250,000 $ Personnel Consultants $ $ $ - - - $ $ $ - - - $ $ $ - - - $ - Sub Consultants Tuition Depends on program - Request information from Grants Team (15,000) $ (15,000) $ (15,000) $ (15,000) $ $ $ (30,000) (30,000) $ (30,000) Sub Tuition Equipment (50,000) $ (50,000) $ (50,000) $ (50,000) $ (100,000) $ (100,000) $ (100,000) $ Sub Equipment Supplies 60,000 $ 60,000 $ 60,000 $ 60,000 $ 120,000 $ 120,000 $ $ 120,000 Sub Supplies Travel A. Gator (2 trips to NIH in Washington, DC) $ $ $ 5,000 - 5,000 $ $ $ 5,000 - 5,000 $ $ $ 10,000 - $ 10,000 Sub Travel 10,000 Other Expenses Other Expenses Patient Care Cost 10,000 $ (10,000) $ $ $ $ $ 10,000 $ (10,000) $ $ $ $ $ $ $ $ $ $ $ 20,000 (20,000) - - - - - - - - - - - - $ - Sub Other Expenses Subcontracts Agency #1 less than $25,000 Agency #1 more than $25,000 25,000 $ $ 25,000 $ 25,000 $ $ 25,000 $ $ $ $ 50,000 - - - $ 50,000 Sub Subcontracts 50,000
EXERCISE Budget of Crocodilla University (Consortium/Sub-awardee) EXERCISE Crocodilla University Role Spronsor: Alligator University Yr1 Yr2 All Years Name John Crock Effort 10% Months 1.2 Co-I $15,625 $15,625 $31,250 Total Personnel Cost 15,625 15,625 31,250 Total Direct Cost 15,625 15,625 31,250 MTDC Base 15,625 15,625 31,250 IDC -rate 60% 9,375 9,375 18,750 Total Budget 25,000 25,000 50,000
EXERCISE EXERCISE Grant Proposal with Consortium
Pre Pre- -Award Topics Award Topics What is a grant vs. a contract? Who are eligible and ineligible to be a PI? Sponsors Grant Proposal Process and timeline What to look for in sponsor guidelines? Proposal budget Effort Calculation-Percent to Months UF Faculty Effort calculation Required documents for proposal submission PeopleSoft Proposal UFirst NIH Tips IPA Internal Proposal Submission
Intergovernmental Personnel Act Agreement (IPA) Intergovernmental Personnel Act Agreement (IPA) Funding mechanism for the VA to reimburse UF for the salary and fringe benefits of a UF faculty or non-faculty person working on sponsored research projects funded by the VA Requested by UF Faculty with VA8s appointment with Merit Award funding Personnel can be appointed for initial 2-years and can be extended for another 2- years for a total of 4-years . Permanent, fulltime employees are eligible - had been employed for at least 90- days No retroactive appointment allowed No IDC
IPA Process IPA Process VA/UF faculty notifies the VA and the Department at UF of the employee that he/she wants to be placed on the IPA. VA sends an IPA form for completion by the UF department or PI. Department completes the form and sends it back to the VA IPA contact. The VA generates the IPA document agreement (1 original form) and sends to UF for signature by the employee and Institution (UF DSR). A UF proposal is created and signed copy of the IPA is uploaded (SSN should be hidden/removed) Proposal is submitted in Workflow for approval. Original IPA agreements (1 copy) are hand delivered to DSP Proposals for Institutional signature. DSP/Grants Team sends the signed IPA back to the VA IPA contact . VA routes the IPA for their approval. VA signs the IPA and sends to the Department at UF a copy of the fully executed agreement. 10. Department forwards fully executed agreement with UF Proposal # information to DSP Awards for NOA issuance. 1. 2. 3. 4. 5. 6. 7. 8. 9.
IPA Form and IPA Agreement IPA Form and IPA Agreement
Internal Proposals (CTSI and DSP Opportunity) Internal Proposals (CTSI and DSP Opportunity) PI completes sponsor application form after receiving Chair approval Grants Team assists the PI in creating the budget. (Not uploaded into UFirst) and finalizes application Department/College reviews and approves PI or Grants Team emails application to UF sponsor
UF Frequently Used Facts in Grants Submission UF Frequently Used Facts in Grants Submission University s Legal Name and Address: University of Florida Board of Trustees Division of Sponsored Research 219 Grinter Hall P.O. Box 115500 Gainesville, Florida 32611-5500 Phone: 352-392-1582 Fax: 352-392-4400
Authority to Sign and Accept Applications, Proposals, and Other Authority to Sign and Accept Applications, Proposals, and Other Research Related Agreements on Behalf of the University Research Related Agreements on Behalf of the University Stephanie Gray, Director of Sponsored Research Brian E. Prindle, Associate Director of Sponsored Research Rosalyn Health , Associate Director of Sponsored Research Anthe Hoffman, Assistant Director of Sponsored Research for Clinical Trials, College of Medicine Email: DSP Proposals (ufproposals@ufl.edu) DSR Awards (ufawards@ufl.edu)
UF Frequently Used Facts in Grant Submission UF Frequently Used Facts in Grant Submission Political Subdivision: Congressional District FL-003 UF Entity Number, Employer ID (EIN), Federal ID, TIN: 59-6002052 North American Industry Classification System Code (NAICS): 611310 UF Duns Number: 969663814 NSF Awardee Organization Code: 0015354000 UF s Animal Welfare Assurance Number: A3377-01 UF s Federal wide Assurance (FWA) Number for Human Subjects Research: FWA00005790, Expiration Date: February 13, 2017 AAALAC Accreditation: 06/20/06 (JHMHC) CLAS: 11/16/90 DHHS contact: Shon Turner, Tel# 214-676-3261 Current DHHS IDC rate approval date: 6/04/15 (subject to change- renegotiated by UF) http://research.ufl.edu/faculty-and-staff/proposal-development-submission/proposal-preparation-information/frequently-used-facts.html
UF Resources Links UF Resources Links College of Medicine Research and Compliance (RAC) http://rac.med.ufl.edu/ Contracts and Grants http://www.cg.cfo.ufl.edu/ Division of Sponsored Programs (DSP) http://research.ufl.edu/faculty-and-staff/offices-and-services/division-of-sponsored-programs.html
Sponsor Links Sponsor Links American Heart Association (AHA) https://research.americanheart.org/ris/template.jsp?pid=ris.extlogin&_requestid=8942 eRa Commons https://commons.era.nih.gov/ Florida Biomed (Bankhead Coley and J&E King) http://www.floridabiomed.com/ Patient-Centered Outcomes Research Institute (PCORI) http://www.pcori.org/ Grants.gov http://www.grants.gov/ NIH http://www.nih.gov/ NSF Fastlane https://www.fastlane.nsf.gov/jsp/homepage/proposals.jsp Proposal Central https://proposalcentral.altum.com/
