“SPEAR” Pre-Award October 18, 2016 - PowerPoint Presentation

1. “SPEAR”Pre-AwardOctober 18, 2016Sponsored Projects Education and Resources

2. Presented by:Trey bauerSolicitations

3. SolicitationsHow 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.

4. SolicitationsImportant information to consider when reviewing the solicitationDue DateInvestigator and/or Institution EligibilityLimited submission?Maximum Award AmountAllowable period of performanceF&A restrictionTerms & Conditions – must be reviewed by SRA prior to submissionCost share – portion of project costs not borne by the sponsorFSU does not commit cost share unless required by the sponsor

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

6. Navigate to nih.gov

7. Hover over Grants & Funding & Click Funding

8. Click View All Parent Announcements

9. Click PA-16-160

10. PA-16-160

11. Your Turn: Reading a SolicitationFind the Following information:Due Date and TimeAllowable proposal period of performanceAllowable proposal funding amount/RestrictionsProposal submission methodEligibility requirementsCost Sharing requirement/restrictionPage limitsRequired proposal elementsSubject to Intergovernmental Review (E.O. 12372)?

12. Due date and time2/5/17 @ 5pm EST (Due to SRA 3 business days prior!) – (Standard Due Dates Table)

13. Allowable project period of performanceMaximum of 5 years

14. Allowable proposal funding amount/restrictionsNo limit

15. Proposal submission methodGrants.gov or ASSIST

16. Eligibility requirementsInstitutions of higher education are eligiblePIs must have eRA Commons account

17. Cost Sharing RequirementCost sharing not required = no cost sharing (per FSU policy)

18. Page limitsTable of Page Limits

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

20. Reading a SolicitationFind 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 performanceMaximum of 5 yearsAllowable proposal funding amount/Restrictions No limitProposal submission method Grants.gov or ASSISTEligibility requirementsInstitutions of Higher Ed are eligible; PI must have eRA Commons accountCost Sharing requirement/restrictionNo requirement = No Cost Sharing (per FSU policy)Page limitshttp://grants.nih.gov/grants/how-to-apply-application-guide/format-and-write/table-of-page-limits.htm#otherSubject to Intergovernmental Review (E.O. 12372)?No

21. Required Components of the ProposalSF424(R&R) CoverSF424(R&R) Project/Performance Site LocationsSF424(R&R) Other Project InformationSF424(R&R) Senior/Key Person Profile R&R or Modular BudgetR&R Subaward BudgetPHS 398 Cover Page Supplement PHS 398 Research PlanResource Sharing PlanIndividuals are required to comply with the instructions for the Resource Sharing Plans as provided in the SF424 (R&R) Application Guide.AppendixDo 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 ReportWhen conducting clinical research, follow all instructions for completing PHS Inclusion Enrollment Report as described in the SF424 (R&R) Application Guide. PHS Assignment Request FormAll instructions in the SF424 (R&R) Application Guide must be followed.

22. Questions?

23. Presented by:Josie CausseauxBudget Development

24. ObjectivesFormulate a proposal budget Calculate direct and indirect costsCalculate salaries and fringe benefitsIdentify the requirements for graduate studentsIdentify the requirements for a collaboratorIdentify the indirect cost rates

25. Direct Costs (2 CFR 220 or A-21; 2 CFR 200.413)Identified specifically with a particular projectIndirect Costs (2 CFR 220 or A-21; 2 CFR 200.414) Incurred for common objectives and can’t be identified specifically with a particular projectaka “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.Types of Costs

26. Salary & FringeGenerally based on FTE, percent effort, person-months, etc.Do not use hourly rates, FSU does not maintain timesheets for salaried employees’ project activities3% yearly cost of living increase allowed 9 mo. v. 12 mo. appointment and health insurance for summer appointmentRefer to Facts Sheet for current fringe ratesDirect Costs

27. Direct CostsGraduate Student RequirementsSalary (up to .5 FTE – 20 hours/week)Fringe Benefits Workers Comp – 1.3 %Health Insurance SubsidyTuition – FSU requirement for 9 hrs/semesterOther PersonnelPostdocs, OPS, clerical

28. Equipment>$5,000 with a useful life of ≥ 1 yearTravelIn accordance with FSU travel policies and FL Statute 112.061Requires detailed justificationParticipant/Trainee Support StipendsTravel, etc. Direct Costs

29. Direct CostsOTHER Direct CostsTuitionMaterials and Supplies – includes computers, laptopsPublicationsConsultantsSubawards/consortiaOther (e.g. long distance phone, dedicated phone line, shipping, printing)

30. Direct CostsSubcontractsSubrecipient v. contractor determination Subrecipient: >$25,000 excluded from F&A baseContractor: full amount subject to F&AScope of work, budget and justificationSubrecipient Commitment Form

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

32. Variables:Sponsor: Federal, State, Local Government, Water Management District, etc.Purpose:Research, Other Sponsored Activity, InstructionProject Location:On-Campus, Off-Campus, NHMFLSponsor IDC policySee Facts Sheet for current F&A agreement and ratesIndirect Cost Rates

33. MTDC rate excludes:EquipmentTuitionRent (Off-site facilities)Participant Support CostsAmount of subcontracts >$25,000Scholarships and FellowshipsTDC rate excludes:TuitionExclusions from IDC Base

34. Questions?

35. Presented By:Marcy FriedleSubrecipient and Contractors

36. Collaborator RelationshipsAt 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.

37. 200.330 Subrecipient and Contractor Determinationshttp://www.ecfr.gov/cgi-bin/text-idx?SID=d11220fb87d0457fac68e3b9778e5add&mc=true&node=se2.1.200_1330&rgn=div8SubrecipientFSU 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 metThe entity has responsibility for programmatic decision makingThe 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.ContractorThe entity provides the goods and services within normal business operationsThe entity provides similar goods or services to many different purchasersThe entity normally operates in a competitive environmentThe 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.

38. Type ofRelationship?The entity’s performance will be measured in relation to whether objectives of the prime award are metThe entity has responsibility for programmatic decision makingThe 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.Scope of WorkExperimental DesignGranulosa 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.

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

40. Type of Relationship?The entity provides the goods and services within normal business operationsThe entity provides similar goods or services to many different purchasersThe entity normally operates in a competitive environmentThe 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. Scope of WorkProfessor 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.

41. SummaryThe 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.

42. ResourcesFSU Sponsored Research forms:https://www.research.fsu.edu/research-offices/sra/forms/ FSU Procurement: http://procurement.fsu.edu/suppliersJames Johnson, jcjohnson@fsu.edu850-645-2304 fsu SPONSORED RESEARCH ADMINISTRATION Pre-Award: SRA-Pre@fsu.edu 850-644-5260 SRA Certificate Series: Subcontracting/auditingDecember 14, 2016 8:30-10:30am, SRA Conference/Training Room 301

43. Questions

44. Presented by: catherine stresingProposal transmittal form

45. Proposal Transmittal form (PTF)Internal document and key component to a complete proposalDue 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/

46. Key Components of the PTFFunding Announcement/Request for proposal (RFP) or solicitation numberProposal due dateName of PI/Co-PIs, other personnel and departments involvedAmount requested and project performance periodDistribution of the indirect costs between the participating departments Special commitmentsItems that may need further review or certifications

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

48. Completing the PTFIndicate 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?

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

50. Questions

51. Presented by:Catherine StresingGRANTS.GOV &assist

52. GRANTS.GOVGrants.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

53. ASSISTApplication 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

54. Why use GRANTS.GOV?Easy system to find federal opportunities and application packagesSimplified 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

55. Submitting through GRANTS.GOVSlide to show grants.gov

56. 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.

57. Submitting through ASSIST

58. Using GRANTS.GOV or ASSISTContact 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.

59. 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

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

61. Presented by:Jan JamesProposal Review

62. Contact Sponsored Research Administration (SRA) – ASAPEstablish 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

63. Submission Policy – 3 Day RuleThe 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 deadlineThe 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.

64. Sponsor SRA InternalDeadline DeadlineMonday 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.

65. eRA Commons and User IDThe 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 profileWebsite: http://era.nih.gov/

66. EDMSFSU’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.

67. Logging In to EDMS

68. Prepare the Proposal ApplicationDownload 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

69. SRA Review Proposal ProcessTransmittal FormScope of WorkDetailed Budget and JustificationFinancial Conflict of Interest Disclosure - EDMSeRA Commons User NamesSubrecipient Letter of SupportSpecial Forms – ASU FormGrants.gov Application or ASSIST number

70. Standard NIH Grant ApplicationProject Summary – 30 linesProject Narrative – 3 sentencesBibliography/References CitedFacilitiesEquipmentKey Personnel Biosketches – 5 pages – No Current/Pending SupportResearch Related Budget – Full Justification Subaward Budget

71. Standard NIH Grant ApplicationSpecific Aims – 1 pageResearch Strategy – 6 or 12 pagesProject Specific:Human Subjects – if applicableAnimal Subjects – if applicableMultiple PI Plans – if applicableConsortium Arrangements – if applicableLetters of Support – if applicableResource Sharing Plan – if applicableAuthentication of Biological/Chemical ResourcesAppendix – if applicable

72. Research and Related BudgetOnly 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.

73. R & R Subaward BudgetsFor R&R Budget, SRA will need:Letter of Support Scope of WorkDetailed Budget and Budget JustificationCopy of Indirect Cost Rate Agreement

74. After Proposal Review is CompleteOnce 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 PIProposal must be submitted, error-free, by 5PM.

75. Jan JamesGrants Officer III644-8663jjames@fsu.eduQuestions

76. Presented by:Elizabeth SlackAward Set-Up and Advances

77. Award Set-UpReceipt of awardReview and negotiation of awardAward set-up in OMNIPI and department notification of award set-up

78. Award Set-Up: Receipt of AwardAll awards are made to Florida State University rather than to individualsOften sent to SRA directlyIf sent to PI or department, please send to SRA

79. Award Set-Up: Receipt of AwardWho’s the sponsor?Federal governmentState of FloridaOther public entitiesType of awardGrantsContractsCooperative agreementsSubgrants and subcontractsPurchase ordersMaster agreements and task orders

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

81. Award Set-Up: Receipt of Award

82. Award Set-Up: Receipt of Award

83. Award Set-Up: Receipt of Award

84. Award Set-Up: Review and NegotiationPI’s and departments should not negotiate and cannot sign on behalf of FSUWhat does SRA do when it reviews and negotiates an award?Asks PI for review and approval of technical elementsConfirms that the award has needed elementsProject periodBudget periodPI namedTerms and conditions, including payment details and whether the award is fixed price or cost reimbursableScope

85. Award Set-Up: Review and NegotiationWhat does SRA do when it reviews and negotiates an award?Reads and reviews any and all terms and conditions for administrative and legal concernsStandard terms and conditions, possibly agreed to when the proposal was submittedFAR clausesOther terms and conditionsSRA will coordinate review within the Office of Research and will contact the sponsor if any terms are problematicFor more information, attend the SRA Certificate Series class on award negotiations

86. Award Set-Up: Review and NegotiationWhat does SRA do when it reviews and negotiates an award?Determines what else is neededBudget summary or amendmentIRB and IACUC approvalEDMS certificationSubaward set-upUnfavorable terms memoCost share commitment and set-upSubprojects

87. Award Set-Up: Review and NegotiationNotes other itemsPre-award spendingAvailable on most federal grants; see 2 CFR 200.458Award in hand = pre-award spending; award not received = advancePrior approval request formSign the award, if needed

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

89. Award Set-Up: Review and Negotiation

90. Award Set-Up: Review and Negotiation

91. Award Set-Up: Review and Negotiation

92. Award Set-Up: Review and Negotiation

93. Award Set-Up: Review and Negotiation

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

95. Award Set-Up: PI and Department Notification

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

97. Award Set-Up: PI and Department Notification

98. Award Set-Up: PI and Department Notification

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

100. Questions?

101. AdvancesFor more information…FSU’s Advance PolicySRA Certificate Series class on advancesNext class in the springWhy do an advance?It’s not because SRA likes paperwork To ensure timely start-up or uninterrupted continuation of a projectTo authorize spending before a fully executed award or amendment is receivedTo allow costs to be charged to the correct project, without transferring them from another project

102. Advances: When You Should Consider One…

103. Advances: When You Should Consider One…

104. AdvancesPer FSU policy, with no advance, project work can neither begin nor continueWith no advance, neither salary nor effort can be charged to the project, not even retroactivelyEven with an advance, subawards can neither be issued nor extended

105. AdvancesWhat is needed to set up an advance?Request for advance formTypes of advancesTime only, for continuing awardsTime and funding, for new and continuing awardsDepartmental financial backing of direct costsRequired even for time-only advances because spending occurs without an award to back itSourced from non-sponsored funds, typically E&G or SRADSponsor assuranceStart and end dates; the start date in the award must be no later than the start date of the advanceFunds obligatedAnticipated receipt date of award

106. Advances: Mind the Start Date!

107. Advances: Sponsor Assurance

108. AdvancesWhat is needed to set up an advance?Strong justificationGreat reason: without an advance, project work will be delayed irreparably and adverselyUnacceptable reason: to spend available project funds

109. Advances: Justification

110. AdvancesWhat is needed to set up an advance?IRB or IACUC approvalBudget, for advances with fundingCost share commitment

111. AdvancesWhat do the PI and department do to create an advance?Send the advance form with all needed accompanying documents and details to SRAEnsure that neither work nor spending begins before the advance is in placeEnsure that subawardees neither work nor spend before the fully executed award or amendment is in placeAssume the risk for costs incurred during an advance; rarely, awards fall throughDo not submit deliverables until the award or amendment is in place

112. AdvancesWhat does SRA do to create an advance?Review the advance request and ensure that all accompanying documents and details are in handSecure OVPR’s signature on the advance formSend fully signed paperwork to PI and department for their recordsSend project file to Pre-Award QA and thence to Post-Award to set up the advanceRegularly follow up with the sponsor about the anticipated award or amendmentOnce the award or amendment is received, send the project file to Pre-Award QA and thence to Post-Award to remove the advance

113. Questions?

114. “SPEAR”WorkshopOctober 18, 2016Marcy Friedle, CRAMfriedle@fsu.edu850-644-8654Issuing a subaward

115. Who to contact?Establish a working relationship with the Subcontracts Officer who will create and issue the outgoing subaward or amendmentSend a request for a new subagreement or amendment to the SRA Subcontracts Officer when the project has been set upYou 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

116. 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 documentsEmail the request to the SRA Subcontracts OfficerThe Subaward will not be created prior to the request.

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

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

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

120. Subrecipient = Subaward Contractor = Purchase OrderThe relationshipA bi-lateral subaward agreement is issued for the purpose of carrying out a portion of a prime award.The prime award terms and conditionsThe relationshipA 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.Factors that DeterminationType of Agreement

121. Final steps to issuing a subaward/subcontractThe template used depends upon the award to FSUIE: Direct Federal to FSU uses the FDP TemplatesIE: State Funded without Federal Flow Thru uses the FSU template with State fundsThe new subaward or amendment will be createdNegotiation occurs as neededAgreement gets fully executed and encumbered

122. Marcy Friedle, CRASRA Subcontracts Officer II850-644-8654Mfriedle@fsu.eduQuestionsCan you guess the most frequently asked question?

123. Presented by: kathy PenningtonEffort Reporting

124. Today’s TopicsWhat is Effort Reporting? What are Effort Commitments?

125. Effort reporting overview

126. Why Effort Reporting MattersSatisfy Federal requirements (UG reference 200.430, formerly OMB Circular A-21, J. 10)Support salaries charged (direct & cost-shared) and effort expended on sponsored projectsDemonstrate compliance with effort commitments made to agenciesDemonstrate 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

127. Why Effort Reporting MattersConsequencesInstitutional Sanctions: fines and penalties; debarment from participating in federally-funded researchIndividual Sanctions: civil and/or criminal sanctions (fines and imprisonment); debarment from participating in federally-funded research

128. 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 activitiesInstructionResearch/Creative ActivityService/AdministrationSabbatical/Leave

129. QuestionWhy is effort expressed as a percentage instead of hours worked?

130. Who is required to certify their effort?Any Instructor of Record on a courseAny employee paid on a sponsored projectAny employee working on a sponsored projectAny employee with a commitment on a sponsored project130

131. How is effort tracked?F acultyA ssignmentsC ommitments andE ffort CertificationT racking131

132. 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.132

133. Inputs from Campus Systems

134. Effort commitments

135. 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.”

136. Key PersonnelDefinition: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.

137. Commitments in ProposalsEffort commitments may be found in:Budget FormsBudget JustificationCurrent and Pending SupportAvailable Resources Section

138. Commitment EntryProposal and award are reviewed to determine:Whether a commitment exists for Key Personnel and whether it is to be direct charged or cost sharedWhether a commitment proposed as cost sharing exists for non-Key PersonnelPercent of commitment (converting from dollars, or other values as needed)What period(s) the commitment covers

139. Commitment EntryCommitments are entered under one of two categories:Direct Charged SalariesCommitted Cost SharingDepending on how the commitment was stated in the proposal, it may be entered for any of the following:Life of ProjectAcademic Year (Fall, Spring)Summers Only

140. ExamplesDirect Charged Salary commitment

141. ExamplesCommitted Cost Sharing

142. Commitment AdjustmentsOverall commitment may be adjusted due to:Increase/reduction in fundingIncrease/reduction in period of performanceChanges to scope of workReduction 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

143. Commitment QueryHR has a query that can be run to show PI commitments:FSU_ER_SRS_CURRENT_COMMITMENTSEmployee Job DeptID: enter %Employee ID: enter employee ID of PIProject ID: enter % for all projectsER Year: enter % for all yearsER Period: enter % for all periods

144. ReferencesEffort Reporting FAQs & Helpful Resourceshttp://ir.fsu.edu/faculty.aspx FSU Effort Commitment Policyhttp://www.research.fsu.edu/media/1463/policy-7a-9.docxEffort Commitments during No-Cost Extension Periods http://www.research.fsu.edu/media/1485/effort_nocost.pdfEffort Commitment Data Entry in FACET https://www.research.fsu.edu/media/2761/effentry.pdf FSU Cost Sharing Policyhttp://www.research.fsu.edu/media/1458/policy-7a-4.docx FSU Campus Cost Sharing Procedureshttps://www.research.fsu.edu/media/2551/csprocedures.pdf 144

145. FACET Support Contacts145Sponsored Research AdministrationPhoneEmailKathy Pennington645-9809kmpennington@fsu.eduInstitutional Research PhoneEmailIR-FACET ContactN/Afacet@fsu.eduMatthew Earhart644-0398mearhart@admin.fsu.eduMev Verzaal645-0285mverzaal@fsu.eduJoshua Jordan645-2387jjordan@admin.fsu.edu

146. 146

147. Presented by Susanne StammNon-Financial Post Award Activities

148. Prior ApprovalRe-budgetingIncremental Funding and TimeNo-Cost Time ExtensionsReports and Milestones OVERVIEW

149. SRA Prior ApprovalWritten approval required for:Pre-award SpendingNo-Cost Time ExtensionAll other sponsor terms and conditions requiring prior approvalhttps://research.fsu.edu/research-offices/sra/forms/

150. Changes to the project as it was proposed and awarded:Change in scopeChange in key personnelPI disengaged from the project for more than three months, or has had a 25 percent reduction in time devoted to the projectRe-budgeting participant support costs to other cost categoriesSubcontractingMemberships, subscriptions, and professional activity costsTravel costsCost sharing or matchingProgram incomeEquipmentFoodCarry Forwardchanges requiring sponsor prior approval

151. where to find terms and conditionsOMNI FinancialsGrantsAwardsAward ProfileSearch CriteriaBusiness Unit: FSU01Project #039083Click on Terms tabUnder “Detail” click the hyper-link “View All”

152. SRA Approval RequiredPre-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 & DeanNOTE: 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.sponsor waiver of prior approval

153. RE-BUDGETINGCan 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? Check the terms tab in OMNI.Still not sure. Reach out to your SRA Grants Officer.

154. INCREMENTAL FUNDING AND TIMENotice of AwardPI Concurrence (award acceptance)Budget AmendmentCarry Forward (subproject)Participant Support (subproject)Cost Share (tracked separately)Subcontracts (not automatic)

155. NO-COST TIME EXTENSIONGrantee Time ExtensionFSU 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, andthe project's originally approved scope will not change.NOTE: FSU SRA is still required to notify the sponsor.

156. subsequent extensionsAny 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.

157.

158. REPORTS AND MILESTONES

159. FEDERALSTATEAnnual Reports:FinancialProgressProperty inventoryFinal Reports:FinancialFinal progress OutcomesInventionFinal property inventoryDeliverables:Scheduled due datesAcceptance and approvalInvoice:Schedule with due dates InterimFinalReports

160. consequences of late report submissionsMay result in closer monitoring by the sponsorMay result in award delays/incremental funding delaysMay 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.

161. 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 CommitmentMilestones

162. where to find Report and Milestone informationOMNI FinancialsGrantsAwardsAward ProfileSearch CriteriaBusiness Unit: FSU01Project #039083Click on Milestone tabUnder “Detail” click the hyper-link to “View All”

163. Questions