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					                                FREQUENTLY ASKED QUESTIONS


PRE-AWARD PROCESS
(Click questions for answer)

Q. How do I route a proposal?

Q. Where do I find the required internal routing forms?

Q. Who is eligible to serve as Principal Investigator?

Q. How much time is needed by the Office of Research and Sponsored Programs (ORSP) to
   process a proposal?

Q. What documents are required to submit a proposal?

Q. Is it permissible for the department chair's secretary or others to sign the Proposal Routing
   form or Conflict of Interest form for the Principal Investigator?

Q. Why is proposal approval necessary?

Q. Do letters of inquiry, pre-proposals, or letters of intent require internal review and
   approval?

Q: What action is required if “Yes” is answered to human subject, animal subject, recombinant
   DNA or biohazardous materials involvement on the Proposal Routing form?

Q. Who can I contact for assistance with my proposal budget?

Q. How do I know how much effort (salary and fringe benefits) to charge to my grant?

Q. Can my total effort go over 100%?

Q: What are the fringe benefits rates?

Q. What are facilities and administrative costs (F&A) (indirect/overhead)?

Q. What is the University’s current F&A (Indirect) Cost Rate?

Q. What are Modified Total Direct Costs (MTDC)?

Q. Do I need to include indirect costs on every proposal I submit through the University?
Q. How do I decide whether to use the on-campus or off-campus indirect cost rate?

Q. What is cost share?

Q. Is an itemized budget required by the ORSP on NIH applications that only need a modular
   budget?

Q. What items should be included in the “equipment” section of the budget?

Q. Can general office supplies, i.e. telephone, paper, toner, clerical assistance, etc., be included
   as “supplies” on grants? It has always been my understanding that these costs are the price
   of doing business and should come from the indirect cost. Which is correct?

Q. What is the University’s Tax ID or EIN (Entity Identification Number) number?

Q. What is the University’s DUNS (Data Universal Numbering System) number?

Q. What are the University’s Congressional and Senate districts’ numbers?

Q. What is our Federal-Wide Assurance number?

Q. What is the difference between a gift and a grant?

Q. How are proposals processed if the sponsor requires applications be submitted by a
   501(c)(3) organization?

Q. If something is listed as not being “allowable” as grant costs, but it has been specifically
   listed in the work/budget plan that is submitted and approved by the sponsor, can it be
   purchased anyway?

Q. I have a postdoctoral associate on my grant. What do I charge for fringe benefits?

Q. Who should be considered key personnel?

POST-AWARD PROCESS

Q. What if I receive an award document from the sponsoring agency?

Q. Who is authorized to sign grants and contracts on behalf of the University?

Q. Now that I have received an award, how do I get a sponsored project index?

Q. What are my responsibilities as a Principal Investigator or Project Director?
Q. How do I get a subcontract prepared? What information is required to prepare a
   subcontract on a grant?

Q. I have what looks like an invoice from a subcontractor under one of my awards. What do I
   do with it?

Q: I want to change my budget. What should I do?

Q. Who prepares the financial reports required by my grant?

Q. My grant is going to end but I'm not finished the work, what can I do?

Q. Do I notify the ORSP if I decide to be away from the campus on an interim or permanent
   basis?



ANSWERS

PRE-AWARD PROCESS

Q. How do I route a proposal?
A. Please bring all signed/approved routing forms and proposal to Debbie Severt in the Office
   of Research & Sponsored Programs, room G-235. (Return to questions)

Q. Where do I find the required internal routing forms?
A. Proposal routing forms are on the ORSP web site at:
http://www.neoucom.edu/audience/research/offices_programs/research_programs/forms
(Return to questions)


Q. Who is eligible to serve as Principal Investigator?
A. All those who hold faculty status or staff positions of Director or above may be named in
   leadership positions as Principal Investigator/Project Director on proposal submitted for
   external support. These positions include tenured or tenure-track faculty, clinical faculty,
   adjunct faculty with approval of the Vice President for Research, and research faculty of the
   University at consortium hospitals and universities. (Return to questions)

Q: How much time is needed by the Office of Research and Sponsored Programs to process a
   proposal?
A. Please notify the ORSP as soon as you decide you will intend to submit an application so we
   may assist you with the process. You should allow at least five business days for the ORSP
   review and approval of your proposal. If you have compliance related components, e.g.,
   animal subjects, human subjects, recombinant DNA, biohazardous materials, isotopes,
   please allow additional time because these proposals must be reviewed by the relevant
   compliance committee. In order to expedite the review and approval process, proposals
   should be in final, or close to final, form when submitted for internal review and all items
   being submitted should be included. (Return to questions)

Q. What documents are required to submit a proposal?
A. In addition to the proposal narrative and budget, the following forms are required for all
   proposal applications:
       ORSP Internal Routing Form
       Conflict of Interest Form (for each person named in the proposal)
       Time and Effort Form

   The following forms may also be required, depending on the specifics of your proposal:
      Cost Share Form
      Reduction or Waiver of Indirect Cost Form
      Just in Time Form- Human Subjects
      Just in Time Form- Animals
      Just in Time Form- Radioisotopes
      Just-in-Time Form- rDNA Summary
      Biohazardous Materials Summary Form (Return to questions)

Q. Is it permissible for the department chair's secretary or others to sign the Proposal
   Routing form or Conflict of Interest form for the principal investigator?
A. No, the Principal Investigator and other investigators must personally sign the proposal
   routing forms. (Return to questions)

Q. Why is Proposal Approval Necessary?
A. The ORSP reviews the proposal for issues such as research compliance; whether costs are
   allowable, allocable, and reasonable; if cost sharing is committed; as well as verifying that
   sponsor requirements and University guidelines and objectives are being met. The approval
   process is structured to assure that the appropriate physical and human resources are
   available to execute the sponsored project successfully, and that the proposed work can be
   carried out safely and in full compliance with federal, state and local laws/regulations. The
   process is also structured to resolve, in advance, questions concerning budgeting, staffing,
   space utilization or other priorities, and to provide a written record of institutional
   commitments for additional space, staffing or matching funds for the project. (Return to
   questions)


   Although proposals for sponsored projects are developed and written by faculty and staff
   members, the resulting grant and contract awards are made to NEOUCOM. Signatory
   approval of all University personnel in the line of authority for the project, including
   Principal Investigators/Project Directors (PI/PD), and department chairs (or Dean, as
   appropriate) is necessary.
    In addition, information concerning sponsor type, funding source, and other variables are
    entered and tracked by the ORSP for reporting purposes. (Return to questions)

Q. Do letters of inquiry, pre-proposals, or letters of intent require internal review and
   approval?
A. The ORSP only needs to review contractually binding pre-proposals, notices of intent,
   letters of intent, or white papers that require approval of the Authorized Organizational
   Representative (AOR) before submission to the sponsor. If the pre-proposal is non-binding
   and does not require AOR approval, then it does not need to be submitted to the ORSP for
   approval before submission. We do appreciate receiving a copy for our files. (Return to
    questions)


Q: What action is required if “Yes” is answered to human subject, animal subject,
   recombinant DNA or biohazardous materials involvement on the Proposal Routing form?
A: All proposals with compliance related components must be reviewed by the appropriate
   compliance committee(s). The approved routing forms, a final draft of the narrative, and
   Just-in-Time (JIT) forms (as appropriate) are required for the compliance review. Please give
   these documents to Debbie Severt in the ORSP. You will be contacted by the reviewers if
   questions arise during the review(s). (Return to questions)

Q. Who can I contact for assistance with my proposal budget?
A. For assistance with your budget, please contact Diana Dubinsky at 330.325.6497. (Return to
questions)


Q: How do I know how much effort (salary and fringe benefits) to charge to my grant?
A: You should first determine the total effort required to perform the proposal work on the
   project, and then determine what portion can be supported by the grant. Any effort not
   supported by the grant is considered cost shared effort. Any effort committed in the
   proposal becomes mandatory effort, if the project is funded. (Return to questions)

Q: Can my total effort go over 100%?
A: No. Regardless of the number of hours you work, your total effort is 100%. (Return to questions)

Q: What are the fringe benefits rates?
A: The University’s current fringe rates for budgeting (CY2010) are:
Faculty or Administrative staff, Full-time: 31 %
Faculty or Administrative staff, Part-time: 16 %
Classified staff, Full-time: 43%
Classified staff, Part-time: 16%
Students (non-NEOUCOM): 16%

Q. What are facilities and administrative costs (F&A) (indirect/overhead)?
A. Indirect Costs are those costs that are incurred by the University which are not readily
   assignable to a specific contract or grant. These include costs such as building and
   equipment use charges, utilities, general administration, sponsored programs
   administration and departmental administration. (Return to questions)


Q: What is the University’s current F&A (Indirect) Cost Rate?
A: The F&A (facilities and administrative) rate is based on an agreement with the University’s
   cognizant federal agency, the Department of Health and Human Services. The current F&A
   Rate Agreement is valid through June 30, 2012; the rate for on-campus projects is 54%
   MTDC (modified total direct costs) and the rate for off-campus projects is 26% MTDC.
   Reference: F&A Information. (Return to questions)

Q. What are Modified Total Direct Costs (MTDC)?
A: The Modified Total Direct Cost (MTDC) is determined by subtracting the cost of equipment,
   tuition, fellowships, and subcontract amounts over $25,000 from the total direct costs to
   determine the F&A base, to which the applicable rate (currently 54% MTDC) is applied.
   (Return to questions)


Q. Do I need to include indirect costs on every proposal I submit through the University?
A. Yes. In certain cases, sponsors may provide either no facilities or administrative overhead
   reimbursement or only a fraction of what the University's negotiated agreement for indirect
   costs allows. It is important to determine the percentage of indirect costs permitted by the
   sponsor and to apply it to your budget. The difference between what the sponsor is willing
   to provide and what the University requires is considered "cost-sharing." Before a proposal
   is submitted, cost-sharing must be approved by the Vice President for Research as the
   University must understand its financial obligations toward the project. If the sponsor
   includes information in its guidelines concerning the payment of indirect costs, please
   include a copy of this documentation with your proposal routing materials as this will speed
   up the review process. (Return to questions)

Q. How do I decide whether to use the on-campus or off-campus indirect cost rate?
A. The appropriate indirect cost rate to apply is determined by where the preponderance of
   project work is to be done. If, for example, 51% or more of the work plan is undertaken on
   campus, then the on-campus rate should be used. Conducting fieldwork or using off-
   campus facilities for short-term project-related activity does not qualify for the off-campus
   rate. Utilizing the on- and off-campus rates for different line items within the same project
   budget is not permitted per the federal Office of Management and Budget (see OMB
   Circular A-21, Cost Principles for Educational Institutions). Thus, there can be no "blended"
   rates. (Return to questions)

Q. What is cost share?
A. Cost share represents that portion of the total project costs (direct or indirect) of a
   sponsored agreement borne by the University, rather than by the sponsor.
   Cost sharing should be limited only to those situations where it is mandated by a sponsor or
   where a Principal Investigator has determined that such a contribution is necessary to
   ensure the success of a competitive award or proposal. When cost sharing or matching is
   required by the sponsoring agency or volunteered by the university, it becomes a
   commitment of the university. Details and approval of the cost share must be documented
   through the Cost Share Form.

   Cost sharing that is required by some sponsors is called mandatory cost sharing. Cost
   sharing included in proposals that is not required by the sponsor is referred to as voluntary
   cost sharing. Once cost sharing has been included in a proposal and that proposal has been
   accepted by the sponsor, the University has an obligation to provide the cost sharing
   proposed, regardless of whether it was mandatory or voluntary. (Return to questions)

Q. Is an itemized budget required by the ORSP on NIH applications that only need a modular
   budget?
A. Yes. Although NIH has adopted the modular budget format for budgets of $250,000 per
   year and less, the University, as do many universities, requires a detailed itemized budget
   for internal purposes. Under Cost Accounting Standards (CAS), the burden is on the
   University to apply costs consistently. Without a detailed budget, ORSP does not have any
   way to assure costs are in general compliance with CAS. (Return to questions)

Q. What items should be included in the “equipment” section of the budget?
A. The University defines “equipment” as any tangible, nonexpendable property having: (1) a
   useful life of more than one year, and, (2) an acquisition cost of $2,500 or more per unit.
   Items not meeting these two conditions are not to be classified as, and placed in, the
   equipment category. (Return to questions)

Q. Can general office supplies, i.e. telephone, paper, toner, clerical assistance, etc., be
   included as “supplies” on grants? It has always been my understanding that these costs
   are the price of doing business and should come from the indirect cost. Which is correct?
A. Office supplies (pens, paper, notebooks, clips, stamps, envelopes, ink cartridges/copying
   toner, local telephone service, etc.) are those costs that are incurred for a “common or joint
   objective” of the University and, therefore, cannot be identified readily and specifically
   with a particular sponsored project. While one can easily recognize that a printer cartridge
   might be “needed” for a research project, we don’t want to have to set up an accounting
   system to track all of the department’s printer cartridge inventory in order to direct cost
   them to all the various accounts/projects on which they are used. So, although it is possible
   to practically direct charge any cost to a project, the accounting system that would be
   required and the staff effort to ensure each unit of these various costs are properly
   distributed makes it an unrealistic and inefficient way of handling such costs. We,
   therefore, recover these costs through the indirect cost reimbursement process.

   There are exceptions to the general rule. A major project requiring a full time clerical
    employee could possibly be an extraordinary circumstance, thus justifying the direct costing
    of clerical salaries. (Return to questions)

Q. What is the University’s Tax ID or EIN (Entity Identification Number) number?
A. 34-1131512 (Return to questions)

Q. What is the University’s DUNS (Data Universal Numbering System) number?
A. 07-777-9882 (Return to questions)

Q. What are the University’s Congressional and Senate districts’ numbers?
A. Congressional District: 17 (enter in Grants.gov applications as OH-017)
   State Legislative Districts: Ohio House of Representatives: 75; Ohio Senate: 28        (Return to
    questions)


Q. What is our Federal-Wide Assurance number?
A. Under the Department of Health and Human Services (DHHS) human subjects protection
   regulations (at 45 C.F.R. 46.103), every institution engaged in human subjects research
   funded or conducted by DHHS must obtain an Assurance Of Compliance approved by the
   Office for Human Research Protections (OHRP). Both “awardee” institutions and
   collaborating “performance site” institutions must file assurances.
   NEOUCOM’s number is FWA00000027. (Return to questions)

Q: What is the difference between a gift and a grant?
A: In general, grants carry obligations for reporting of either technical or financial activity to
   the sponsor and require separate, auditable accounting.
       Usually, a grant:
       1. Is intended to support a project with a specific set of objectives.
       2. Requires a formal written proposal that indicates total project costs.
       3. Requires periodic written reports of a descriptive, technical and/or financial nature.
       4. Must be budgeted and accounted for separately from other awards.
       5. Must be applied for and awarded through the ORSP to assure compliance with
          University and agency policies.

        And a gift:
        1. Normally requires no formal proposal and no reporting of a descriptive, technical, or
           financial nature.
        2. Is made and accepted without consideration of project costs, but rather as project or
           institutional support.
        3. Can be combined with gifts of a similar nature for similar purposes and does not
           need separate accounts or budgets.
        4. May be for a specific project or unrestricted institutional purposes. (Return to questions)

Q. How are proposals processed if the sponsor requires applications be submitted by a
   501(c)(3) organization?
A. Applications that can only be awarded to 501(c)(3) organizations are submitted by the
   NEOUCOM Foundation on behalf of the University. However, the proposals are first
   reviewed by the ORSP, so please follow the standard proposal submission process.
   Documents related to the NEOUCOM Foundation required by most sponsors, such as the
   IRA letter of determination, can be found through DOCS. (Return to questions)

Q. If something is listed as not being “allowable” as grant costs, but it has been specifically
   listed in the work/budget plan that is submitted and approved by the sponsor, can it be
   purchased anyway?
A. In many cases, as a result of the imposition of the Cost Accounting Standards (CAS), federal
   sponsors no longer perform in-depth reviews of proposal budgets. Under CAS, the federal
   agencies expect the applicant to be familiar with the A-21 Cost Principles and to exclude
   non-allowed costs from those budgets. As a result, Universities cannot depend on the
   “rationalization” that since the sponsor did not remove it from the awarded budget that, in
   fact, the sponsor has “approved” that cost item. In order to position your argument along
   that line, at a minimum the proposal’s budget should include a separate page titled “Budget
   Justification” in which those non-routine or normally non-allowed expenses are identified
   and justified for the project – the ORSP initially must make the judgment call based upon
   the circumstances of the PI’s justification. (Return to questions)

Q. I have a postdoctoral associate on my grant. What do I charge for fringe benefits?
A. A postdoctoral associate who works on a research project is considered an employee of the
   University. As such, his or her salary is subject to the full fringe benefits rate. (Return to
   questions)


Q. Who should be considered key personnel?
A. Key personnel are individuals who contribute in a substantive way to the scientific
   development or execution of the project, whether or not salaries are requested. This role
   should be determined by the Principal Investigator. (Return to questions)


POST-AWARD PROCESS

Q. What if I receive an award document from the sponsoring agency?
A. You should immediately notify the Office of Research and Sponsored Programs (ORSP) and
   forward the document to the ORSP, if requested. Sometimes awards are sent to the ORSP
   as well as the Principal Investigator, but occasionally the sponsor only notifies the Principal
   Investigator. All awards must be reviewed and approved by the Vice President for Research
   or his designee. (Return to questions)



Q. Who is authorized to sign grants and contracts on behalf of the University?
A. The Vice President for Research, Dr. Walter E. Horton, Jr., or his designee in the ORSP.
   (Return to questions)


Q. Now that I have received an award, how do I get a sponsored project index?
A. After an award or contract/subcontract has been accepted by the University Authorized
   Organizational Representative (AOR) and all other documents are finalized, the ORSP sends
   the documents to Grants Accounting. Grants Accounting personnel set up a restricted index
   in the University accounting system to which project expenses will be charged. After the
   index is established, the ORSP will notify you of your index number via email. (Return to
   questions)


Q. What are my responsibilities as a Principal Investigator or Project Director?
A. The Principal Investigator has primary responsibility for achieving the technical success of
   the project, while also complying with the financial and administrative policies and
   regulatons associated with the award. Although a Principal Investigator may have
   administrative staff to assist him or her with the management of project funds, the ultimate
   responsibility for the management of the sponsored research awasrd rests with the
   Principal Investigator. The Principal Investigator:
        Executes the project as outlined in the funded proposal, using sound management
        Attests to the allowability and reasonableness of all expenditures
        Monitors and ensures the integrity of any collaborative relationships
        Initiates and approves subcontract agreements and payments
        Implements the project’s financial plan as presented in the funded proposal, or
          makes changes to the plan following a prescribed set of policies and procedures
        Assists in the process of documenting cost sharing/matching costs
        Is responsbile for the completion, accuracy and timeliness of all technical reports as
          outlined in the terms of award
        Assists in the process of documenting cost sharing/matching costs
        Complies with all Univesity policies and procedures related to project management
          and personnel practices
        Complies with all applicable sponsor rules, regulatins and/or terms and ocnditions of
          the award (Return to questions)

Q. How do I get a subcontract prepared? What information is required to prepare a
   subcontract on a grant?
A. Please contact Beth Cline in the ORSP at 330.325.6498 to request a subcontract be prepared
   for your project. (Return to questions)

Q. I have what looks like an invoice from a subcontractor under one of my awards. What do I
   do with it?
A. You will be asked to approve all invoices for subcontracts on your award. The reason for
   this is that the Principal Investigator is assumed to have knowledge of the progress of each
   of their subcontractors and, therefore, is in the best position to know whether an invoice
   appears reasonable given the progress of the research at that time. (Return to questions)
Q: I want to change my budget. What should I do?
A. Contact Grants Accounting for assistance in determining funding agency rules regarding
   budget changes. If allowed, you will need to submit a Grant Budget Reallocation Form,
   available through DOCS, to Grants Accounting. If prior approval from the sponsor is
   required, Grants Accounting will contact the sponsor for permission. (Return to questions)

Q. Who prepares the financial reports required by my grant?
A. Grants Accounting will prepare any invoices and/or financial reports that a sponsor
   requires. (Return to questions)

Q. My grant is going to end but I have not finished the work, what can I do?
A. If a grant period is scheduled to expire and the Principal Investigator has not finished the
   proposed objectives, a no-cost extension may be an option. Many sponsors allow a first
   time 12-month extension without sponsor approval. Other sponsors require a formal
   written request to review. Contact the ORSP for the procedure required for a particular
   grant. (Return to questions)

Q. Do I notify the ORSP if I decide to be away from the campus on an interim or permanent
   basis?
A. Please notify the ORSP if you: (1) withdraw from the project entirely; (2) anticipate being
   absent from the project during any continuous period of 3 months or more; (3) are
   substituted with an alternate individual; and (4) make an effort commitment reduction of
   25% or more. This rule applies to a budget period, not a single quarter. (Return to questions)

				
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