Sponsored Projects Education and Resources “SPEAR” Pre-Award October 18, 2016

Presented by: Trey bauer Solicitations Presented by: Trey bauer

Solicitations How do we find out about funding? Solicitation - FOA, PA, RFP, RFQ, RFA, FFO, etc. Funding Opportunity Announcement, Proposal/Program Announcement, Request for Proposals, Request for Quotes, Requests for Applications, Federal Funding Opportunity, How do YOU find the announcement? It depends on what information you have. Could go by title, number, sponsor, type, etc. – it all depends! Why are they important? They give guidelines on what is allowed or not, and explain how proposals are to be crafted. THEY ARE EXTREMELY IMPORTANT! But sometimes they may not tell the whole story – some agencies refer back to additional documents that must ALSO be reviewed.

Solicitations Important information to consider when reviewing the solicitation Due Date Investigator and/or Institution Eligibility Limited submission? Maximum Award Amount Allowable period of performance F&A restriction Terms & Conditions – must be reviewed by SRA prior to submission Cost share – portion of project costs not borne by the sponsor FSU does not commit cost share unless required by the sponsor

Hands-on review with: PA-16-160 (NIH R01) Search NIH – www.nih.gov Hover over Grants & Funding Click Funding Click View All Parent Announcements Click PA-16-160

Navigate to nih.gov

Hover over Grants & Funding & Click Funding

Click View All Parent Announcements

Click PA-16-160

PA-16-160

Your Turn: Reading a Solicitation Find the Following information: Due Date and Time Allowable proposal period of performance Allowable proposal funding amount/Restrictions Proposal submission method Eligibility requirements Cost Sharing requirement/restriction Page limits Required proposal elements Subject to Intergovernmental Review (E.O. 12372)?

Due date and time 2/5/17 @ 5pm EST (Due to SRA 3 business days prior!) – (Standard Due Dates Table)

Allowable project period of performance Maximum of 5 years

Allowable proposal funding amount/restrictions No limit

Proposal submission method Grants.gov or ASSIST

Eligibility requirements Institutions of higher education are eligible PIs must have eRA Commons account

Cost Sharing Requirement Cost sharing not required = no cost sharing (per FSU policy)

Page limits Table of Page Limits

Subject to Intergovernmental Review (E.O. 12372)? No

Reading a Solicitation Find the Following information: Due Date and Time 2/5/17 @ 5pm EST (Due to SRA 3 business days prior!) – (Standard Due Dates Table) Allowable project period of performance Maximum of 5 years Allowable proposal funding amount/Restrictions No limit Proposal submission method Grants.gov or ASSIST Eligibility requirements Institutions of Higher Ed are eligible; PI must have eRA Commons account Cost Sharing requirement/restriction No requirement = No Cost Sharing (per FSU policy) Page limits http://grants.nih.gov/grants/how-to-apply-application-guide/format-and-write/table-of-page-limits.htm#other Subject to Intergovernmental Review (E.O. 12372)? No

Required Components of the Proposal SF424(R&R) Cover SF424(R&R) Project/Performance Site Locations SF424(R&R) Other Project Information SF424(R&R) Senior/Key Person Profile R&R or Modular Budget R&R Subaward Budget PHS 398 Cover Page Supplement  PHS 398 Research Plan Resource Sharing Plan Individuals are required to comply with the instructions for the Resource Sharing Plans as provided in the SF424 (R&R) Application Guide. Appendix Do not use the Appendix to circumvent page limits. Follow all instructions for the Appendix as described in the SF424 (R&R) Application Guide. PHS Inclusion Enrollment Report When conducting clinical research, follow all instructions for completing PHS Inclusion Enrollment Report as described in the SF424 (R&R) Application Guide. PHS Assignment Request Form All instructions in the SF424 (R&R) Application Guide must be followed.

Questions?

Presented by: Josie Causseaux Budget Development Presented by: Josie Causseaux

Objectives Formulate a proposal budget Calculate direct and indirect costs Calculate salaries and fringe benefits Identify the requirements for graduate students Identify the requirements for a collaborator Identify the indirect cost rates

Types of Costs Direct Costs (2 CFR 220 or A-21; 2 CFR 200.413) Identified specifically with a particular project Indirect Costs (2 CFR 220 or A-21; 2 CFR 200.414) Incurred for common objectives and can’t be identified specifically with a particular project aka “F&A” (Facilities and Administration) or “overhead” Costs incurred for the same purpose in like circumstances must be treated consistently as either direct or indirect (F&A) costs.

Direct Costs Salary & Fringe Generally based on FTE, percent effort, person-months, etc. Do not use hourly rates, FSU does not maintain timesheets for salaried employees’ project activities 3% yearly cost of living increase allowed 9 mo. v. 12 mo. appointment and health insurance for summer appointment Refer to Facts Sheet for current fringe rates FTE=full time equivalent

Direct Costs Other Personnel Graduate Student Requirements Salary (up to .5 FTE – 20 hours/week) Fringe Benefits Workers Comp – 1.3 % Health Insurance Subsidy Tuition – FSU requirement for 9 hrs/semester Other Personnel Postdocs, OPS, clerical

Direct Costs Equipment Travel Participant/Trainee Support >$5,000 with a useful life of ≥ 1 year Travel In accordance with FSU travel policies and FL Statute 112.061 Requires detailed justification Participant/Trainee Support Stipends Travel, etc.

Direct Costs OTHER Direct Costs Tuition Materials and Supplies – includes computers, laptops Publications Consultants Subawards/consortia Other (e.g. long distance phone, dedicated phone line, shipping, printing)

Direct Costs Subcontracts Subrecipient v. contractor determination Subrecipient: >$25,000 excluded from F&A base Contractor: full amount subject to F&A Scope of work, budget and justification Subrecipient Commitment Form Addressed in more detail in Marcy Friedle’s presentation

Indirect Costs Indirect Cost Rates: Two IDC bases: Based on sponsor, project location, and project purpose Two IDC bases: Modified Total Direct Costs (MTDC) Federal and federal flow-through Total Direct Costs (TDC) State of Florida

Indirect Cost Rates Variables: Sponsor: Federal, State, Local Government, Water Management District, etc. Purpose: Research, Other Sponsored Activity, Instruction Project Location: On-Campus, Off-Campus, NHMFL Sponsor IDC policy See Facts Sheet for current F&A agreement and rates

Exclusions from IDC Base MTDC rate excludes: Equipment Tuition Rent (Off-site facilities) Participant Support Costs Amount of subcontracts >$25,000 Scholarships and Fellowships TDC rate excludes:

Questions?

Subrecipient and Contractors Presented By: Marcy Friedle

Collaborator Relationships At the proposal stage, it is required by federal regulations to determine the relationship (2 CFR 200.330) between the collaborators. If the PI knows they will need a subaward/subcontract it should be indicated on the Proposal Transmittal Form (PTF) at the time of the proposal.

200. 330 Subrecipient and Contractor Determinations http://www. ecfr FSU must determine who is eligible to receive funding (using federal, state and sponsor guidelines) when issuing a subaward. The entity’s performance will be measured in relation to whether objectives of the prime award are met The entity has responsibility for programmatic decision making The entity uses the funds to carry out a program for a public purpose, as opposed to providing goods or services for the benefit of Florida State University. Entities that include these characteristics are responsible for adherence to applicable program requirements and terms and conditions as specified in the prime sponsored award. Contractor The entity provides the goods and services within normal business operations The entity provides similar goods or services to many different purchasers The entity normally operates in a competitive environment The entity provides the goods and services that are primarily for the benefit of FSU and only indirectly might support the operation of a sponsored project. Entities that include these characteristics are not subject to compliance requirements of the prime sponsored award as a result of the agreement, although similar requirements may apply for other reasons.

Scope of Work Experimental Design Granulosa cells will be isolated from small follicles collected from prepubertal pig ovaries obtained at slaughter. The cells will be plated for 2 days in the presence of platelet-poor plasma derived serum, to allow for attachment. Following 1 additional day in serum-restricted media, the cells will be cultured in serum- restricted media containing 10 ng/ml FSH in the presence of 10-7M androstenedione for 10 min. (short-term) or 3 days (long-term). Total cell lysates will be prepared and stored frozen until use. The lysates will be shipped to the University of Florida where they will be analyzed in the laboratory of Co-PI, Dr. Steroid. Briefly, the lysates will be subjected to SDS-PAGE using 8 or 12% resolving gels, transferred to nylon membranes, and Western analysis performed using specific antibodies against growth factors. All of these antibodies (and the positive control lysates) are commercially available and are currently in use in Dr. Steroid’ laboratories. Type of Relationship? The entity’s performance will be measured in relation to whether objectives of the prime award are met The entity has responsibility for programmatic decision making The entity uses the funds to carry out a program for a public purpose, as opposed to providing goods or services for the benefit of Florida State University.

Let’s take a look at… Exercise 101 https://www.research.fsu.edu/research-offices/sra/forms/

Scope of Work Type of Relationship? Professor Jones tells you that she is preparing a proposal and one of the tasks can be done by a survey center that does this kind of work for PI’s all over the country. The survey center will gather data from one thousand respondents using telephone surveys developed by Dr. Jones. The center will collect the data in an electronic database and deliver it for analysis to Dr. Jones. The cost is $30 per respondent, or $30,000. The entity provides the goods and services within normal business operations The entity provides similar goods or services to many different purchasers The entity normally operates in a competitive environment The entity provides the goods and services that are primarily for the benefit of FSU and only indirectly might support the operation of a sponsored project.

Summary The potential need for a subaward to a collaborating entity is typically made at the proposal stage. This will also include the determination of the nature of the relationship between the parties i.e., subrecipient vs. contractor as outlined in 2 CFR §200.330. The scope of work (SOW) must outline the work to be accomplished by the entity and identify deliverables, products or expected outcomes that support the overall project. The SOW is used to determine the type of relationship between the collaborating entity and FSU and identify the entity as a "subrecipient" or "contractor“. Ideally, this determination is made at the proposal stage so that F&A (indirect) costs in the proposed budget may be calculated properly. A subaward or purchase order will be issued depending upon the type of relationship.

Resources SRA Certificate Series: Subcontracting/auditing FSU Sponsored Research forms: https://www.research.fsu.edu/research-offices/sra/forms/ FSU Procurement: http://procurement.fsu.edu/suppliers James Johnson, jcjohnson@fsu.edu 850-645-2304 fsu SPONSORED RESEARCH ADMINISTRATION Pre-Award: SRA-Pre@fsu.edu 850-644-5260 SRA Certificate Series: Subcontracting/auditing December 14, 2016 8:30-10:30am, SRA Conference/Training Room 301

Questions

Proposal transmittal form Presented by: catherine stresing

Proposal Transmittal form (PTF) Internal document and key component to a complete proposal Due with other proposal documents (budget, budget justification, SOW, others) at least 3 days before proposal deadline Transmittal form found on SRA website: https://research.fsu.edu/research-offices/sra/

Key Components of the PTF Funding Announcement/Request for proposal (RFP) or solicitation number Proposal due date Name of PI/Co-PIs, other personnel and departments involved Amount requested and project performance period Distribution of the indirect costs between the participating departments Special commitments Items that may need further review or certifications

PTF Formats Paper or electronic submission Original or electronic signatures Approvals via email are acceptable if needed. No submission without all appropriate signatures (PI, Chair an Dean)

Completing the PTF Due Date and Time? Solicitation number? Indicate the following information on the PTF: Due Date and Time? Solicitation number? Project period of performance? Indirect cost rate? Number of students working on the project? Tuition Waiver? Consortium? Consultant?

Filling the PTF (2) Indicate the Following information on the PTF: Due Date and Time : 02/05/2017 – 5pm Solicitation number: PA-16-160 Project period of performance: 07/01/17-6/30/18 Indirect cost rate: 52% MTDC Number of Students working on the project: 1 Grad Student and 1 Post Doc Tuition Waiver: Waiver 1 Consortium? Consultant? Yes (section 36)

Questions

Presented by: Catherine Stresing GRANTS.GOV &assist Presented by: Catherine Stresing

GRANTS.GOV Grants.gov is a system providing a centralized location for grant seekers to find & apply for federal funding opportunities. Created in 2002, Grants.gov houses information on over 1,000 grant programs and vets grant applications for 26 federal agencies. DHHS serves as the managing partner for the Grants.gov initiative, providing both operational and fiscal oversight. http://www.grants.gov/web/grants/search-grants.html

ASSIST Application Submission System & Interface for Submission Tracking (ASSIST) system used to prepare & submit grant applications electronically to NIH and other PHHS agencies. Same SF424 Research & Related forms as the ones used to submit via grants.gov to NIH and other participating agencies. https://era.nih.gov/files/ASSIST_user_guide.pdf

Why use GRANTS.GOV? Easy system to find federal opportunities and application packages Simplified application process (fillable forms, auto populated data, error check, email notifications) Standard Forms 424 (SF-424) are common to all the federal agencies using that system

Submitting through GRANTS.GOV Slide to show grants.gov

Why use ASSIST? Allows access to multiple users at the same time with instant correction. Pre-populates data from established eRA Commons profiles. Runs validations on federal-wide and agency business rules prior to submission (to avoid errors). Ability to print/preview applications prior to submission in the format used by the agency.

Submitting through ASSIST

Using GRANTS.GOV or ASSIST Contact SRO to have them create an eRA Commons ID (usually PI or ASST roles). Log into ASSIST using your eRA Commons ID or download a GRANTS.GOV application. Follow the application guidelines for compliance (amount, font, pages limit). Upload documents as applicable. Send to SRA pre-award for review. SRA will submit the application on behalf of the PI.

Need GRANTS.GOV or ASSIST Help? Toll-free: 1-866-504-9552 (Press 1 for eRA Commons and 3 for iEdison) Hours: Mon-Fri, 7 a.m. to 8 p.m. Eastern Time (closed on federal holidays) Non urgent question can be submitted online via a Web Ticket

Questions?? Catherine Stresing,CRA,MPH Email: cstresing@fsu.edu Email: SRA-pre@fsu.edu Tel: (850) 644-8652

Presented by: Jan James Proposal Review Presented by: Jan James

Contact Sponsored Research Administration (SRA) – ASAP Establish a working relationship with the administrator who will process your proposal. SRA administrators are now assigned by department. Administrator provides agency-specific expertise and information about the proposal process. Send proposal documents to SRA as soon as possible

Submission Policy – 3 Day Rule The Vice President for Research instituted a policy effective on February 1, 2006, stating that a proposal must be submitted to Sponsored Research Administration (SRA) by 9 am three working days prior to the Agency deadline The PI may work on the technical narrative until 9 am on the day of submission. SRA needs ample time to review the proposal and institutional commitments. Subcontracts or collaborations are also subject to this rule.

Sponsor SRA Internal Deadline Deadline Monday the previous Wednesday at 9. Tuesday the previous Thursday at 9. Wednesday the previous Friday at 9 A.M. Thursday Monday of the same week at 9 A.M. Friday Tuesday of the same week at 9 A.M. *Saturday and Sunday are not business days and do not count towards the 3-day rule. You should treat Friday as the deadline, so the internal proposal deadline is Tuesday of the same week at 9 am. *Some agencies move weekend and federal holiday due dates to the next business day – but it needs to be verified by the sponsor.

eRA Commons and User ID The eRA Commons is an online interface system where signing officials, principal investigators, trainees and post-docs at institutions/organizations can access and share administrative information relating to research grants. eRA Commons User ID: All PIs, Postdocs & students need to have a user ID for eRA activities – applications, JIT requests, Progress reports, etc. User ID is obtained from SRA and the individual creates their personal profile Website: http://era.nih.gov/

EDMS FSU’s online Electronic Disclosure and Management System allows Investigators to initially disclose whether they have any significant financial interests, annually update any significant financial interests or disclose new significant financial interests. The EDMS system will maintain this information for Investigators and will also track Investigator training and certificates of training completion. The EDMS system is administered by the Office of Research and Investigators must register and create an account to log in and utilize the EDMS system. Investigators should go www.research.fsu.edu/edms to register. Note that Principal Investigators have a key role in the EDMS and must register and identify “Investigators” on PHS funded projects so that the EDMS system may send notices to Investigators needing to submit disclosures.

Logging In to EDMS

Prepare the Proposal Application Download the application from nih.gov (http://nih.gov/) or grants.gov (http://grants.gov/). From NIH.gov, ASSIST is an option. Complete forms in the application and attach required items as pdf. documents. Email grants.gov package to SRA Administrator or provide ASSIST number

SRA Review Proposal Process Transmittal Form Scope of Work Detailed Budget and Justification Financial Conflict of Interest Disclosure - EDMS eRA Commons User Names Subrecipient Letter of Support Special Forms – ASU Form Grants.gov Application or ASSIST number

Standard NIH Grant Application Project Summary – 30 lines Project Narrative – 3 sentences Bibliography/References Cited Facilities Equipment Key Personnel Biosketches – 5 pages – No Current/Pending Support Research Related Budget – Full Justification Subaward Budget

Standard NIH Grant Application Specific Aims – 1 page Research Strategy – 6 or 12 pages Project Specific: Human Subjects – if applicable Animal Subjects – if applicable Multiple PI Plans – if applicable Consortium Arrangements – if applicable Letters of Support – if applicable Resource Sharing Plan – if applicable Authentication of Biological/Chemical Resources Appendix – if applicable

Research and Related Budget Only FSU employees should be included in the key personnel section. Effort for key personnel is required even if funds are not requested. NIH Salary Cap is $185,100. $89.85 per hour. A 556 account is set up by SRAS for the over the cap salary. Must be moved to non-sponsored funds.

R & R Subaward Budgets For R&R Budget, SRA will need: Letter of Support Scope of Work Detailed Budget and Budget Justification Copy of Indirect Cost Rate Agreement

After Proposal Review is Complete Once approved by SRA, the final grants.gov application will be sent to PI for their approval to submit. If being submitted through ASSIST, PI approval, in writing, is also needed. Proposal is submitted by SRA on behalf of the PI Proposal must be submitted, error-free, by 5PM.

Questions Jan James Grants Officer III 644-8663 jjames@fsu.edu

Award Set-Up and Advances Presented by: Elizabeth Slack

Award Set-Up Receipt of award Review and negotiation of award Award set-up in OMNI PI and department notification of award set-up

Award Set-Up: Receipt of Award All awards are made to Florida State University rather than to individuals Often sent to SRA directly If sent to PI or department, please send to SRA

Award Set-Up: Receipt of Award Who’s the sponsor? Federal government State of Florida Other public entities Type of award Grants Contracts Cooperative agreements Subgrants and subcontracts Purchase orders Master agreements and task orders

Award Set-Up: Receipt of Award What does SRA do when it receives an award? Forwards it to the PI and department What do the PI and department do when they receive an award? If SRA does not have the award, send it to SRA

Award Set-Up: Receipt of Award

Award Set-Up: Receipt of Award

Award Set-Up: Receipt of Award

Award Set-Up: Review and Negotiation PI’s and departments should not negotiate and cannot sign on behalf of FSU What does SRA do when it reviews and negotiates an award? Asks PI for review and approval of technical elements Confirms that the award has needed elements Project period Budget period PI named Terms and conditions, including payment details and whether the award is fixed price or cost reimbursable Scope

Award Set-Up: Review and Negotiation What does SRA do when it reviews and negotiates an award? Reads and reviews any and all terms and conditions for administrative and legal concerns Standard terms and conditions, possibly agreed to when the proposal was submitted FAR clauses Other terms and conditions SRA will coordinate review within the Office of Research and will contact the sponsor if any terms are problematic For more information, attend the SRA Certificate Series class on award negotiations

Award Set-Up: Review and Negotiation What does SRA do when it reviews and negotiates an award? Determines what else is needed Budget summary or amendment IRB and IACUC approval EDMS certification Subaward set-up Unfavorable terms memo Cost share commitment and set-up Subprojects

Award Set-Up: Review and Negotiation Notes other items Pre-award spending Available on most federal grants; see 2 CFR 200.458 Award in hand = pre-award spending; award not received = advance Prior approval request form Sign the award, if needed

Award Set-Up: Review and Negotiation What do the PI and department do during review and negotiation? Review the award for technical elements and respond to SRA with approval or questions Work with SRA on meeting compliance Work with SRA in answering questions generated by review of award terms and conditions Refrain from spending on the project until notification of project set-up is received, unless an advance is in place

Award Set-Up: Review and Negotiation

Award Set-Up: Review and Negotiation

Award Set-Up: Review and Negotiation

Award Set-Up: Review and Negotiation

Award Set-Up: Review and Negotiation

Award Set-Up: Set-Up in OMNI What does SRA do to set up the project in OMNI? Upload award and compliance documents into OMNI Set up the internal project file Send the project file to Pre-Award QA and thence to Post-Award What do the PI and department do during project set up? Nothing! But please be patient. 

Award Set-Up: PI and Department Notification

Award Set-Up: PI and Department Notification What does SRA do to notify the PI and department? SRA Post-Award sends an e-mail with pertinent details

Award Set-Up: PI and Department Notification

Award Set-Up: PI and Department Notification

Award Set-Up: PI and Department Notification What do the PI and department do? Start spending! And congratulations! Project will now appear in OMNI

Questions?

Advances For more information… Why do an advance? FSU’s Advance Policy SRA Certificate Series class on advances Next class in the spring Why do an advance? It’s not because SRA likes paperwork  To ensure timely start-up or uninterrupted continuation of a project To authorize spending before a fully executed award or amendment is received To allow costs to be charged to the correct project, without transferring them from another project

Advances: When You Should Consider One…

Advances: When You Should Consider One…

Advances Per FSU policy, with no advance, project work can neither begin nor continue With no advance, neither salary nor effort can be charged to the project, not even retroactively Even with an advance, subawards can neither be issued nor extended

Advances What is needed to set up an advance? Request for advance form Types of advances Time only, for continuing awards Time and funding, for new and continuing awards Departmental financial backing of direct costs Required even for time-only advances because spending occurs without an award to back it Sourced from non-sponsored funds, typically E&G or SRAD Sponsor assurance Start and end dates; the start date in the award must be no later than the start date of the advance Funds obligated Anticipated receipt date of award

Advances: Mind the Start Date!

Advances: Sponsor Assurance

Advances What is needed to set up an advance? Strong justification Great reason: without an advance, project work will be delayed irreparably and adversely Unacceptable reason: to spend available project funds

Advances: Justification

Advances What is needed to set up an advance? IRB or IACUC approval Budget, for advances with funding Cost share commitment

Advances What do the PI and department do to create an advance? Send the advance form with all needed accompanying documents and details to SRA Ensure that neither work nor spending begins before the advance is in place Ensure that subawardees neither work nor spend before the fully executed award or amendment is in place Assume the risk for costs incurred during an advance; rarely, awards fall through Do not submit deliverables until the award or amendment is in place

Advances What does SRA do to create an advance? Review the advance request and ensure that all accompanying documents and details are in hand Secure OVPR’s signature on the advance form Send fully signed paperwork to PI and department for their records Send project file to Pre-Award QA and thence to Post-Award to set up the advance Regularly follow up with the sponsor about the anticipated award or amendment Once the award or amendment is received, send the project file to Pre-Award QA and thence to Post-Award to remove the advance

Questions?

Issuing a subaward “SPEAR” Workshop October 18, 2016 Marcy Friedle, CRA Mfriedle@fsu.edu 850-644-8654

Who to contact? Establish a working relationship with the Subcontracts Officer who will create and issue the outgoing subaward or amendment Send a request for a new subagreement or amendment to the SRA Subcontracts Officer when the project has been set up You can locate the Subcontracts Officer (or any SRA staff member) by checking the SRA Staff Assignment list. SRA Staff Assignment available at: https://research.fsu.edu/media/3640/20160725-sra-pre-award-staff-assignment-sheet.pdf

Request a Subaward or Amendment The request for a Subaward or Amendment form is available at https://www.research.fsu.edu/research-offices/sra/forms/ Complete the request form and attach required documents Email the request to the SRA Subcontracts Officer The Subaward will not be created prior to the request.

Next Steps: Submit the Following Documents Request Form—One for each new subaward Scope of Work—Subrecipient’s not the complete SOW submitted to the sponsor. Detailed Budget—Prefer the worksheets used by our prime Budget Justification–FSU travel regulations changed on 7/1/16

Next Steps Continued Indirect Cost Rate Agreement— Clearly identify in the budget justification how it is applied, i.e. ON and OFF campus Animal or Human Subjects—Protocol from the subrecipient’s entity prior to issuing a subaward Sponsored Research Exemption-If applicable: used mostly for travel Cost or Price Analysis-If applicable

SRA will review the request SRA Internal Process: All documents are reviewed The prime award is reviewed for any special terms or conditions that flow down to the subaward Communication with FSU Dept. and/or Subrecipient as needed occurs A risk assessment is completed The type of subagreement to be issued is determined

Factors that Determination Type of Agreement Subrecipient = Subaward Contractor = Purchase Order The relationship A bi-lateral subaward agreement is issued for the purpose of carrying out a portion of a prime award. The prime award terms and conditions The relationship A purchase order issued by Procurement Services is used for the purpose of obtaining goods and services for Florida State University’s own use, and is a procurement relationship.

Final steps to issuing a subaward/subcontract The template used depends upon the award to FSU IE: Direct Federal to FSU uses the FDP Templates IE: State Funded without Federal Flow Thru uses the FSU template with State funds The new subaward or amendment will be created Negotiation occurs as needed Agreement gets fully executed and encumbered

Can you guess the most frequently asked question? Questions Can you guess the most frequently asked question? Marcy Friedle, CRA SRA Subcontracts Officer II 850-644-8654 Mfriedle@fsu.edu

Presented by: kathy Pennington Effort Reporting Presented by: kathy Pennington

Today’s Topics What is Effort Reporting? What are Effort Commitments?

Effort reporting overview

Why Effort Reporting Matters Satisfy Federal requirements (UG reference 200.430, formerly OMB Circular A-21, J. 10) Support salaries charged (direct & cost-shared) and effort expended on sponsored projects Demonstrate compliance with effort commitments made to agencies Demonstrate compliance with Florida’s 12-hour law through reporting to Board of Governors Florida Statutes, s. 1012.945 Required number of classroom teaching hours for university faculty members Effort reporting is our means of providing assurance to sponsors that - Salaries charged to Sponsored Projects are reasonable in relation to the work performed, and faculty and staff have met their commitments to sponsored projects. It’s also how we demonstrate compliance with Florida’s 12-hour law through reporting to Board of Governors. The Florida Statute specifies expectations for instructional and other responsibilities of full-time faculty paid from state monies.

Why Effort Reporting Matters Consequences Institutional Sanctions: fines and penalties; debarment from participating in federally-funded research Individual Sanctions: civil and/or criminal sanctions (fines and imprisonment); debarment from participating in federally-funded research

What is Effort? Amount of time spent on a particular activity, whether directly charged to a project or cost-shared. Expressed as a percentage of the total amount (100%) of time spent on compensated work-related activities Instruction Research/Creative Activity Service/Administration Sabbatical/Leave

Why is effort expressed as a percentage instead of hours worked? Question Why is effort expressed as a percentage instead of hours worked?

Who is required to certify their effort? Any Instructor of Record on a course Any employee paid on a sponsored project Any employee working on a sponsored project Any employee with a commitment on a sponsored project Any employee who receives funds from a sponsored project is required to certify their effort each semester. Certain employees paid from state funds or who participate in instructional activities at the university must also certify their effort.

How is effort tracked? F aculty A ssignments C ommitments and E ffort Certification T racking Faculty Assignments = Assignment of Responsibilities (AORs) Commitments = AORs and Sponsored Projects Effort Certification = Where time was spent for that semester (teaching, administration, sponsored projects, etc. )

What is FACET? FACET is Florida State University’s official effort reporting system. It is required for compliance with federal and state regulations governing sponsored research and other activities at the University. It replaced the Personnel Activity Report System (PARS) during the Fall 2008 semester. Show example of FACET report?

Inputs from Campus Systems FACET Employee Data Payroll Data Sponsored Project Data Campus Solutions Course Data This slide shows where FACET pulls the information from to populate the report – the funding information, employee status, commitments to projects, commitments to teaching

Effort commitments

What is an effort commitment? FSU defines a commitment as: “Quantified effort for named personnel whether direct charged or cost shared, as specified in the proposal or award.” https://research.fsu.edu/media/2761/effentry.pdf Technical definition of commitment

Key Personnel Definition: FSU will follow the sponsoring agency’s definition of Key Personnel if one exists. If no agency definition exists, FSU will define Key Personnel as the PI and all Co-PIs identified as such in the proposal and/or award. PI’s are encouraged to limit the number of key personnel identified in the proposal. PI’s are cautioned not to voluntarily include effort commitments that are not paid for by sponsor. A voluntary commitment of cost-shared effort should be made only where the competitive circumstances or perceived institutional benefit of receiving the award are deemed to be sufficiently strong to warrant the commitment.

Commitments in Proposals Effort commitments may be found in: Budget Forms Budget Justification Current and Pending Support Available Resources Section

Commitment Entry Proposal and award are reviewed to determine: Whether a commitment exists for Key Personnel and whether it is to be direct charged or cost shared Whether a commitment proposed as cost sharing exists for non-Key Personnel Percent of commitment (converting from dollars, or other values as needed) What period(s) the commitment covers At award stage

Commitment Entry Commitments are entered under one of two categories: Direct Charged Salaries Committed Cost Sharing Depending on how the commitment was stated in the proposal, it may be entered for any of the following: Life of Project Academic Year (Fall, Spring) Summers Only

Examples Direct Charged Salary commitment The PI in this example is requesting 1 month of summer salary support for each year of the project, so the effort committed is 33% for each summer of the project No other personnel are mentioned by name, so no other commitments will be entered for this project

Examples Committed Cost Sharing

Commitment Adjustments Overall commitment may be adjusted due to: Increase/reduction in funding Increase/reduction in period of performance Changes to scope of work Reduction at PI’s discretion as allowed by terms of the award [FACET would not be adjusted for a voluntary increase in overall commitment] As long as the Overall commitment is met, commitments allocated to individual periods may be moved to future periods depending on when the employee plans to do the actual work and availability of time For example, if you have a PI who committed 25% Academic Year (25% Fall, 25% Spring), if they were only able to work 15% in the first Fall semester, they could roll over the other 10% to the Spring semester, so their FACET for Fall would be 15% and their FACET for Spring would be 35%

Commitment Query HR has a query that can be run to show PI commitments: FSU_ER_SRS_CURRENT_COMMITMENTS Employee Job DeptID: enter % Employee ID: enter employee ID of PI Project ID: enter % for all projects ER Year: enter % for all years ER Period: enter % for all periods

References Effort Reporting FAQs & Helpful Resources http://ir.fsu.edu/faculty.aspx FSU Effort Commitment Policy http://www.research.fsu.edu/media/1463/policy-7a-9.docx Effort Commitments during No-Cost Extension Periods http://www.research.fsu.edu/media/1485/effort_nocost.pdf Effort Commitment Data Entry in FACET https://www.research.fsu.edu/media/2761/effentry.pdf FSU Cost Sharing Policy http://www.research.fsu.edu/media/1458/policy-7a-4.docx FSU Campus Cost Sharing Procedures https://www.research.fsu.edu/media/2551/csprocedures.pdf

FACET Support Contacts Sponsored Research Administration Phone Email Kathy Pennington 645-9809 kmpennington@fsu.edu Institutional Research IR-FACET Contact N/A facet@fsu.edu Matthew Earhart 644-0398 mearhart@admin.fsu.edu Mev Verzaal 645-0285 mverzaal@fsu.edu Joshua Jordan 645-2387 jjordan@admin.fsu.edu

Non-Financial Post Award Activities Presented by Susanne Stamm

OVERVIEW Prior Approval Re-budgeting Incremental Funding and Time No-Cost Time Extensions Reports and Milestones Preface this by saying most of this information is applicable to Federal Grants and the Uniform Guidance. If your particular award is not a Federal Grant, award terms and conditions will govern these situations.

SRA Prior Approval Written approval required for: Pre-award Spending No-Cost Time Extension All other sponsor terms and conditions requiring prior approval https://research.fsu.edu/research-offices/sra/forms/ Internal approval is required in all instances. Guide to SRA website, forms page. Look under “Other Approval Forms” and click the WORD hyperlink to open the Prior Approval Request Form (DSR Form 6).

changes requiring sponsor prior approval Changes to the project as it was proposed and awarded: Change in scope Change in key personnel PI disengaged from the project for more than three months, or has had a 25 percent reduction in time devoted to the project Re-budgeting participant support costs to other cost categories Subcontracting Memberships, subscriptions, and professional activity costs Travel costs Cost sharing or matching Program income Equipment Food Carry Forward Preface by saying “if not approved in award notice.” Explain this is not an all-inclusive list.

where to find terms and conditions OMNI Financials Grants Awards Award Profile Search Criteria Business Unit: FSU01 Project #039083 Click on Terms tab Under “Detail” click the hyper-link “View All” Discuss Equipment, Publication, Rebudgeting, Subcontracts, Time Extensions – restrictions and prior approval. This section is where you will find terms that are allowed as well, such as carry forward.

sponsor waiver of prior approval SRA Approval Required Pre-award spending (90 days) One-time extension (12 months) All requests for prior approval must be made in writing to the SRA signed by PI, Chair & Dean NOTE: Should a request require agency prior approval, the request must be sent to SRA with sufficient time, at least 60 days prior to the proposed change, to process the request. Reference the prior approval request form on SRA website. SRA approval is always required.

RE-BUDGETING Can I re-budget? Check the terms tab in OMNI. Still not sure. Reach out to your SRA Grants Officer. Is sponsor prior approval required to re-budget? You may be able to re-budget with no restrictions, there may be a restriction to re-budget a line item by greater than 10%, for example. Or in the case of the Florida Department of Education, prior approval is required to move a nickel. Most Federal awards do not require prior approval to re-budget unless the cost is associated with or is considered to be a change in scope or you are moving funds out of participant support.

INCREMENTAL FUNDING AND TIME Notice of Award PI Concurrence (award acceptance) Budget Amendment Carry Forward (subproject) Participant Support (subproject) Cost Share (tracked separately) Subcontracts (not automatic) PI must review the award amendment/modification and either accept the award amendment/modification “as is” or express his or her concerns. With regard to the budget amendment, if the incremental funding distribution is “as awarded,” signatures are not required. Remember carry-forward is not automatic – its at the sponsor’s option. Upon receipt of the incremental funds, if carry forward is not allowed, a subproject must be set up. If a project contains funding for participant support, those funds must be tracked separately; therefore SRA will require a budget amendment for the primary project and one for the participant support subproject. If there are subcontracts, SRA does not automatically issue an amendment to add funds, the PI/Dept must request it.

NO-COST TIME EXTENSION Grantee Time Extension FSU SRA may have the authority to extend the final budget period of the previously approved project period one time for a period of up to 12 months beyond the original completion date shown in the Notice of Award if: no term of award specifically prohibits the extension, no additional funds are required to be obligated by the sponsor, and the project's originally approved scope will not change. NOTE: FSU SRA is still required to notify the sponsor. Most Federal agencies allow a one-time grantee approved time-extension. State Agencies require prior approval of any extension, as do most institutions of higher education, even if the funds are Federal flow-thru.

subsequent extensions Any additional project period extension beyond the initial extension of up to 12 months requires sponsor prior approval. The request should include a description of the project activities that require support during the extension and a statement about the funds available to support the extension. REMINDER: The request must be sent to SRA with sufficient time, at least 60 days prior to the proposed change, to process the request. I still have money to spend, is NOT valid a reason to request a time extension!

Remember when we visited the SRA website forms page, in particular the prior approval request form. Now we are going to take a look at this form and the fields that are sometimes overlooked.

REPORTS AND MILESTONES

Reports FEDERAL STATE Annual Reports: Final Reports: Deliverables: Financial Progress Property inventory Final Reports: Final progress Outcomes Invention Final property inventory Deliverables: Scheduled due dates Acceptance and approval Invoice: Schedule with due dates Interim Final Reports are tracked in OMNI. I’ll show you where you can find them in a moment. Most of the reports and deliverables are submitted by the PI; however, there are a few reports that must be reviewed and submitted by SRA. Example: NIH progress reports are routed to SRA via the eRA commons for review and submission. U.S. Department of Education reports are reviewed by SRA and signed by AOR, then forwarded to the PI to submit via the G5 system. Just to name a few.

consequences of late report submissions May result in closer monitoring by the sponsor May result in award delays/incremental funding delays May result in enforcement actions, such as a modification of the award to include more restrictive terms and conditions. In the case of a collaboration, may result the collaborating partner being exposed to the same administrative enforcement actions. It’s important to submit reports on time. This is what FSU proposed to do and the award was based on this proposal so we need to honor our commitments.

Milestones Tracking of timelines of major tasks covering the duration of the proposed project, which include but are not limited to the following: Financial monthly, quarterly, bi-annually, annually Final Financial typically within 90 days following the project end date Progress monthly, quarterly, bi-annually, annually Final Progress typically within 90 days following the project end date Outcomes typically within 90 days following the project end date Effort Commitment Milestones are tracked in OMNI. System generated reminder emails are sent to the parties identified in the OMNI project file that are to receive such notices.

where to find Report and Milestone information OMNI Financials Grants Awards Award Profile Search Criteria Business Unit: FSU01 Project #039083 Click on Milestone tab Under “Detail” click the hyper-link to “View All” Point out milestone type, status, due date.

Questions