The Office of Grants and Contracts (OGC) is a service unit of Valdosta State University and, as such, exists to encourage and assist the VSU faculty and staff in their pursuit of external funds. The Mission Statement of the Office of Grants and Contracts appears below and complements the Mission Statements of Valdosta State University.

Mission Statement

OFFICE OF GRANTS AND CONTRACTS

The Office of Grants and Contracts is a service unit of the University operating within the Division of Academic Affairs. This office will continuously seek to provide assistance to the faculty and staff of Valdosta State University in all phases of externally funded project development to support research and other activities. Support includes locating funding sources, preparation of proposals, processing and obtaining appropriate sign-off, post-award administration, and compliance oversight.

The Office of Grants and Contracts shall maintain and administer these institutional policies: the Intellectual Property Policy, the Institutional Review for Human Subjects Policy, the Conflict of Interest Policy, the Scholarly Misconduct Policy, and the Laboratory Animal Use Policy. Such policies, required by federal and state agencies, provide the ethical framework within which externally funded research, and the results of such activity, are managed at Valdosta State University.

The Office of Grants and Contracts shall strive always to support and encourage increased activity in obtaining external funding for research and program development at Valdosta State University and to support the Mission and Goals of Valdosta State University.

1.2 Description of the Office of Grants and Contracts

The Office of Grants and Contracts seeks to provide the necessary support to faculty and staff interested in preparing competitive proposals for external funding. The office facilitates administrative review and approval of all proposals for competitive sponsored projects in research, institutional and faculty development activities from the initial planning phase through award and administration. Post-award activities, fiscal arrangements, and grant implementation are the shared responsibility of the researcher or principal investigator, the Financial Services Office, and the Office of Grants and Contracts.

1.3 Services Provided by the Office of Grants and Contracts

The Office of Grants and Contracts provides a wide range of support and assistance to the researcher and will assist in all activities related to proposal preparation and administration.

(a) Grants and Contracts can assist in locating potential sponsors. VSU subscribes to database resources available campus-wide to faculty and staff having an @valdosta.edu address or available by obtaining an ID and PASSWORD from the Office of Grants and Contracts . These services are:

1.) GRANTS RESOURCE CENTER (GRC) is a subscription service provided through the American Association of State Colleges and Universities (AASCU) for which VSU pays an annual fee. The web address is: http://www.aascu.org/grc. Services provided by GRC include:

GRANTSEARCH, a database of all federal and some private funding sources provided by Grants Resource Center. VSU Faculty and staff can utilize this searchable database by obtaining an ID and PASSWORD from the Office of Grants and Contracts at 259-5045.

DEADLINES, another service of GRC, can also be accessed by obtaining an ID and PASSWORD from the Office of Grants and Contracts at 259-5045. This is a date sensitive resource divided by categories of funding and usually identifies deadlines approaching within the upcoming 2-3 month period.

2.) FASTLANE is an electronic service of the National Science Foundation. Through FASTLANE you can develop your proposal, submit your proposal for funding, track the progress of your proposal through the NSF review process, and manage the award once received. FASTLANE is a restricted service and you must be registered to use it. To register, visit the following web address: http://www.valdosta.edu/grants/forms.shtml

3.) GRANTS AND CONTRACTS web site includes links to a wide range of other resources including Federal Agency Web sites, Foundations and selected databases and can be reached at the following address: http://www.valdosta.edu/grants/. Once there, select the category you are most interested in such as Resources, Funding Sources, Policies and Regulations, etc.

(b) The Grants and Contracts staff will assist the principal investigator (PI) in the interpretation of policies, regulations, and guidelines applicable to particular projects. A simple request for assistance is all that is needed to get started. The Grants and Contracts office maintains an in-house database:

FACDAT- This database was developed by the Office of Grants and Contracts staff and is used to assist in locating funding sources for faculty interested in locating potential support for specific interests. Faculty Database provides a format for faculty, staff, and administrators at VSU to register their research interests. You cannot access this database, but to be a part of this database you need only complete a short registration form online. The registration form can be found at: http://www.valdosta.edu/grants/forms.shtml. ALL VSU FACULTY ARE ENCOURAGED TO JOIN THIS DATABASE.

(c) The Grants and Contracts staff will assist in obtaining proposal guidelines as well as interpreting them upon request. Most federal program deadlines and application forms are now available online, and the staff will happily assist you in locating materials you need.

(d) The Grants and Contracts staff maintains contact with sponsoring agencies and will assist the principal investigator (PI) in pre-proposal contacts, pre-award negotiations, and post-award activities. Every PI is encouraged to contact program staff to discuss their ideas prior to writing a proposal and as frequently as necessary during the preparation of the final proposal.

(e) The Grants and Contracts staff will assist in budget preparation prior to obtaining full approval for the proposal submission. All budgets, along with the proposal, must be approved by the Office of Grants and Contracts staff and receive full administration approval in the 'sign-off' process. Signatures must be obtained from (1) Department Head, (2) Dean, (3) Office of Grants and Contracts, (4) VP for Academic Affairs, (5) Grants and Contracts Accountant, (6) VP for Finance and Administration, and (7) President. No proposal shall leave the VSU campus without full approval of the budget and a full review and approval of VSU commitment in the activity. Failure to obtain such approval could result in the refusal of VSU to accept an award.

(f) The Grants and Contract's Accountant located in the VSU Financial Services Office assists in the post-award process. The budget prepared by the PI, often with the assistance of Grants and Contracts staff, becomes a part of the files in the Grants and Contracts Accountant's office and is used to verify all expenditures related to the award. The Accountant works closely with the Grants and Contracts staff to insure that the award funds are properly spent out over the course of the grant period. The Grants and Contracts Accountant assists the PI in obtaining a VSU account number and will track the Facilities and Administrative (F & A) recovered costs for the Grants and Contracts Director, the Vice President for Academic Affairs, the Deans of the various colleges and others needing this information. Effective July 1, 2003, F & A funds may be carried over into the next fiscal year.

(g) The Grants and Contracts staff will assist, on a continuing basis, in program design and development, editorial services, review of draft proposals, and will provide general advice on strategies to maximize the effectiveness of the application effort.

(h) The Grants and Contracts office staff will assist:

1). In duplicating and printing services needed to complete the proposal for submission.

2). In internal sign-off procedures. The staff will advise the principal investigator (PI) on internal review procedures and will coordinate the final internal review and signature approval process as expeditiously as possible. Five (5) working days are needed by the Office of Grants and Contracts for review and sign off.

3). In transmitting the proposal to the sponsoring agency by whatever process is necessary to meet the application deadline. The Office of Grants and Contracts customarily uses USPS Priority Mail With Delivery Confirmation unless some other method is required to meet the published deadline such as guaranteed overnight delivery.

4). In completing periodic and final reports required by sponsoring agencies, when such assistance is requested by the P. I.

Relationship with the VSU Foundation

The Office of Grants and Contracts is the central coordination point for proposals that involve an external grant or contract and the University. Proposals to non-governmental sources (corporations, foundations, etc.) which do not involve contractual obligations may be submitted to the VSU Foundation. The Grants and Contracts staff will always work with the VSU Foundation to assure proper reporting of all grants, contracts, and gifts to the University.

Annually the Office of Grants and Contracts prepares a list of all current and pending grants. This information is included in the President's Annual Report and becomes a part of the permanent record of the University. To maintain an accurate description of those funds which Valdosta State University is receiving from outside sponsors and those commitments which are made by the University, it is absolutely necessary that all grants and contracts for externally funded research activities be processed through this office.

1.4 Research Using Human Subjects

If the proposal is a research activity that involves human subjects, the research protocol must be reviewed and approved by the University's Institutional Review Board (IRB). IRB approval is required by the Code of Federal Regulations, 45 CFR 46.

All individuals conducting research using human research subjects, whether faculty, staff, or students, must complete the training provided on-line through the VSU Institutional Review Board (IRB). You may access the training program at: www.citiprogram.org The required modules are numbers 1 through 6. These are modest in size, usually 4 to 6 questions for each module, and may be completed relatively quickly. You may retake the modules until you have passed them satisfactorily, with at least an 80% correct score. A certificate will be issued and the VSU Office of Grants and Contracts will be notified of your success in completing the training. No IRB review will be processed without this certificate of satisfactory completion.

Faculty members contemplating sponsored research, or projects, involving human subjects should inform the Office of Grants and Contracts and the IRB Administrator as soon as possible. This notice should be presented early enough to provide time for the Board to examine the research protocol(s) and to make recommendations regarding methodology or project structure. Strict compliance with the Code of Federal Regulations 45 CFR 46, which governs the protection of human subjects, is an absolute necessity for any research project conducted at Valdosta State University.

No research involving human research subjects shall be conducted by VSU faculty, staff, or students without prior review of the Valdosta State University Institutional Review Board.

Note: Compliance with 45 CFR 46 and the requirements of the Valdosta State University Policy is the responsibility of the Project Director. The VSU Human Research Subjects Policy and IRB requirements may be accessed at the following web address: http://www.valdosta.edu/grants/ - Policies and Regulations - Institutional.

IRB Required Training Program -
http://www.valdosta.edu/grants/documents/IRB REQUIRED TRAINING PROGRAM.doc

IRB Application for Review - http://www.valdosta.edu/grants/forms.shtml

IRB Sample Consent Forms - http://www.valdosta.edu/grants/forms.shtml

1.5 Intellectual Property Policy

The Intellectual Property Policy has been reviewed and accepted by the Faculty Senate. It has also been favorably reviewed, with minor revisions, by the legal office in the Chancellor's office of the Board of Regents. The policy and the disclosure form developed by the Intellectual Property Committee is available online.

Intellectual Property Policy - http://www.valdosta.edu/grants/ippolicy.shtml

Intellectual Property Disclosure - http://www.valdosta.edu/grants/forms.shtml

Intellectual Property Confidentiality Agreement - http://www.valdosta.edu/grants/forms.shtml

Intellectual Property Confidentiality/Non-Disclosure Agreement - http://www.valdosta.edu/grants/forms.shtml

It is the responsibility of every member of the faculty to understand the rights and responsibilities contained in this document as it relates to their professional activities.

Faculty members considering research or projects in which a patent or copyright might be appropriate for materials produced are urged to consult the Director of Grants and Contracts and become cognizant of all official policies before making application including copyright, patent applications.

1.6 Conflict of Interest

The Conflict of Interest Policy - http://www.valdosta.edu/grants/coi.shtml - provides the process within which faculty with significant interest in an enterprise that may be related to their externally funded activities can report these potential conflicts of interest. Should, upon review, it be determined that there is, indeed, a conflict of interest situation, this policy allows for processes through which some resolution can be made. Every faculty member should be cognizant of the Conflict of Interest Policy and how it can impact his/her professional and personal activities. All members of the faculty are responsible and bound by this policy and should take care to understand it.

Any faculty, staff, or other employee writing a proposal for external funds will be required, on an annual basis, to report any potential conflict of interest by completing a Conflict of Interest Disclosure Statement - http://www.valdosta.edu/grants/coi.shtml#2.4 Annual Disclosure. The Grants and Contracts office staff will contact those persons and request annual reports. This is a federal requirement related to responsibility and accountability and VSU must provide this information or risk losing awards. Failure to maintain appropriate oversight may cost VSU financial penalties.

1.7 Scholarly Misconduct

The Scholarly Misconduct Policy applies to all faculty, staff, and students. It provides a structure for resolution of suspected inappropriate scholarly activity. This policy applies to students at VSU only when the activity occurs in the course of their employment with the University.

Scholarly Misconduct Policy - http://www.valdosta.edu/grants/misconduct.shtml

1.8 VSU Research Using Animals

If the proposal activity involves use of animals, the research plan must be reviewed and approved by the University's Institutional Animal Care and Use Committee (IACUC). Valdosta State University must comply with all applicable provisions of the Animal Welfare Act and other Federal statutes and regulations relating to the care and use of laboratory animals (PHS Policy on Humane Care and Use of Laboratory Animals (10/00), 1996 Guide for the Care and Use of Laboratory Animals, Report of the AVMA Panel on Euthanasia, 1993, and Public Law 98-158, Section 495, "Animals in Research."

Policy on Humane Care and Use of Laboratory Animals - http://www.valdosta.edu/grants/iacucpolicy.shtml

Requirements for IACUC Approval - http://www.valdosta.edu/grants/iacucrequirements.shtml

Laboratory Animal Use and Care Categories - http://www.valdosta.edu/grants/iacuccategories.shtml

Laboratory Animal Use and Care Application - http://www.valdosta.edu/grants/forms.shtml

Laboratory Animal Use and Care Annual Review - http://www.valdosta.edu/grants/forms.shtml

Laboratory Animal Use and Care Certification of Review - http://www.valdosta.edu/grants/forms.shtml

1.9 HIPAA Policy - Health Insurance Portability and Accountability Act (HIPAA) Notice of Privacy Practices

See Office of Legal Affairs - http://www.valdosta.edu/legal/hipaa/

PROPOSAL PROCEDURES AND DEVELOPMENT

2.1 Proposal Development

The procedures below are a guide for proposal writers. The steps outlined are in sequential order and take a writer from the start of the project-idea, through the application process, to a completed proposal

2.2 Steps to Follow in Proposal Development

(a) Obtain preliminary informal approval of your project from your department head and dean or director. Begin a goldenrod PROPOSAL REVIEW AND SIGN-OFF FORM, available in the Office of Grants and Contracts and at: http://www.valdosta.edu/grants/forms.shtml (Please print on goldenrod colored paper and complete both sides of form.)

(b) Discuss your proposal idea with staff in the Office of Grants and Contracts. A search for possible funding sources can begin if you do not have a source in mind.

(c) Obtain the appropriate guidelines, application forms, and other required data for your project via on-line services or from the Office of Grants and Contracts.

(d) Set your timeline working back from the deadline. Keep in mind the deadline for reception of your proposal at the sponsoring agency and the processing time within the University (5 working days) for appropriate sign-off and approval. Plan your work to accommodate the time necessary to complete the total proposal process.

(e) Write a draft of the proposal, carefully following the guidelines of the Request for Proposal (RFP). Have a colleague review and comment. The staff in the Office of Grants and Contracts is available for suggestions and draft reading.

(f) Begin work on the budget. Be sure to work with the staff in the Office of Grants and Contracts particularly if this is your first proposal.

(g) Submit a rough draft of the proposal and budget to the Office of Grants and Contracts for review with a Proposal Review and Sign-off Form - http://www.valdosta.edu/grants/forms.shtml (please complete both sides and print form on goldenrod colored paper). As principal investigator, you should ask your department head and dean to sign approval of your project at this point.

(h) Submit your final proposal with budget, the goldenrod Proposal Review and Sign-Off Form, and the program guidelines to the Office of Grants and Contracts. Your goldenrod form should have the signatures of your department head(s) and dean(s) at this point. The full proposal with goldenrod sign-off form attached will be reviewed by Grants and Contracts and then distributed for administrative approval and sign-off. At a minimum, the Office of Grants and Contracts staff should receive the budget and a detailed abstract, and any forms that must be signed by the President. The sign-off process includes review and sign-off by the Office of Grants and Contracts, the Vice President for Academic Affairs, the Grants and Contracts Accountant, the Vice President for Finance and Administration, and the President. Remember to allow 5 working days for the signoff/approval and mailing process.

The process requires approval by the Vice President for Academic Affairs for all aspects of the activity, particularly as it affects faculty assignments, release time and replacements, and any VSU contributions to the project. The Grants and Contracts Accountant, in the Financial Services Office, must review the budget for approval by the Vice President for Finance and Administration. If the budget is in accord with University policy, and all other parts of the proposal are acceptable to the University, your proposal will be approved.

Once these approvals have been obtained, the President is given the proposal for final review and approval. Remember to allow a minimum of five (5) working days for the total sign-off/approval process.

Grants and Contracts staff will make all final copies for submission to the agency and mail the proposal, or send by electronic submission (if required by the agency).

Sign-off Procedures

Sign-off is that process by which all aspects of the proposal can be reviewed and approved by the designated University administrators. The sequence of sign-off and approval is as follows:

1.) Department Head - (if more than one department is involved, each department head must sign and approve the proposal).

2.) Dean - (if more than one school is involved in the proposal, each dean must be given the opportunity to review the proposal and approve/disapprove the activity). Occasionally, based on the activity and the requirements of the funding agency, other departments and units of the institution may be asked to review and sign-off as well.

3.) Vice-President for Academic Affairs - Signature obtained by Grants and Contracts staff

4.) Grants and Contracts Accountant - Signature obtained by Grants and Contracts staff

5.) Vice President for Finance and Administration - Signature obtained by Grants and Contracts staff

6.) President - Signature obtained by Grants and Contracts Staff (Remember to include any forms that need the President's signature).

7.) When signed/approved by all of the above, the proposal returns to the Grants and Contracts office for final processing, copying, etc. for mailing or electronic submission, by the published deadline, to the indicated agency.

P.I. Responsibility

The PI is responsible for obtaining the signatures from department head(s) and dean(s).

Grants & Contracts Responsibility

Once department head(s) and dean(s) have signed the goldenrod form, the sign-off form and the proposal can be given to Grants and Contracts. Grants and Contracts will then arrange for the balance of the administrative review and approval. All signatures, as required by VSU, the Board of Regents, the University System of Georgia, and the sponsoring agency, must be obtained before a proposal can leave the VSU campus.

Note: Failure to obtain review and approval may result in refusal to accept the award by Valdosta State University.

Should your proposal not be approved for any reason, the administrator declining to sign the Sign-Off Form will inform the Office of Grants and Contracts Director. The Director will contact the proposal writer(s) and attempt to resolve the problem. If necessary the proposal will be pulled and the PI(s) will be asked to reconsider the project.

Note: All proposals require review by the Office of Grants and Contracts, Vice President for Academic Affairs, Grants and Contracts Accountant, Vice President for Finance and Administration, and the President, even in those few instances in which the sponsoring agencies may not require it.

2.3 Application Procedures

Application for financial support from sponsoring agencies is accomplished by the submission of a formal grant proposal, which has passed through the internal review process. The proposal is the document on which the University and the sponsor base their commitments of funds, facilities, and services for the performance of the research or project.

The written proposal may be the only contact that the funding agency's evaluation committee has with the project. It is essential that the proposal be technically sound and clearly written. The proposal must address the requirements listed in the guidelines or request for proposal (RFP) and describe the project in the clearest possible terms. Funding agencies review and evaluate proposals with reference to four major considerations:

(a) The significant results to be obtained from the research project,

(b) The resources required to conduct the project in terms of existing and projected commitments of the agency and the University,

(d) The competency of the investigator to undertake the proposed research.

Other criteria may also exist as set by various organizations and the PI is expected to carefully review the guidelines to determine that his/her proposal meets all funding criteria. The Grants and Contracts office will, if given sufficient time, review the proposal prior to submission to ascertain its completeness.

Most sponsors furnish standard application forms, which must be used, In the absence of specified forms and proposal formats, use the sample format which follows. During preliminary planning, the PI should consult with Grants and Contracts staff to obtain all guidelines and forms. The sample format (following), covers all the major elements identified by most grants administrators as essential to a sound proposal.

SAMPLE FORMAT

Title Page

This page should include the following information:

(a) Short title that gives a clear indication of the essential nature of the project

(b) Name and address of the agency to which the proposal is being submitted

(d) Legal name and address of the University: The Board of Regents of the University System of Georgia by and on behalf of Valdosta State University, 1500 North Patterson Street, Valdosta, GA 31698

(e) Date of project duration (the starting date being set no later than the date when the first formal commitment for equipment or personnel must be made)

(f) Total estimated cost of the project

(g) Signature of the PI, and

(h) Signature and title of the University President, who is the sole authority for approving and accepting grants at Valdosta State University

Abstract

The abstract should be written in simple straightforward language. All pertinent aspects of the sponsored activity, including a summary of the objectives and a description of the results to be expected, should be contained in the abstract. Most abstracts for grant purposes run fewer than 350 words and are limited to one double-spaced typed page or less.

Table of Contents

A separate page showing the major sections of the proposal, with referenced page numbers, is sufficient in most instances. Your proposal should be numbered sequentially and every page should be numbered. This protects you if your proposal gets 'out-of-order' somewhere along the way.

Introduction

The introduction should be a statement containing information about the region, the University, your college and your department, the objectives of the research and background information leading into the body of the proposal.

Project Description

This section includes at least the following elements:

(a) a statement of the problem and objectives,

(b) a review of the literature and related research, in terms of need for the project,

(d) research design, methodology, and evaluation, and

(e) benefit of effort (increase in knowledge, new curriculum, etc.).

Remember: The descriptions may vary considerably in design, in view of the specific intentions of the proposal or the procedures and traditions of a particular discipline.

Facilities

List such items as laboratory equipment and apparatus, laboratory space, field resources, library services, data processing capabilities, and other institutional services. Include an explanation of any equipment you propose to buy with grant funds. Include any University facilities to be utilized in conjunction with the proposed project. If appropriate, discuss handicapped access.

Personnel

Vitae and bibliographic information on the PI and other professionals are necessary in this section. Your vita should be SHORT. This means usually no more than two to three pages. Always put only what is relevant for the particular project you are working on at the moment and leave out everything else! Many agencies are getting very demanding about size of vitae.

Describe the number and academic level of any graduate and undergraduate assistants, as well as secretarial and clerical personnel who will work on the project. Frequently a short description will be appropriate here with full vitae included only for key personnel in the Appendix.

Project Period

Describe the entire length of the project, from anticipated date of award through the final reporting period. Often the entire length of the project extends beyond the period for which initial funds are requested. Time lines, PERT charts, or other means of identifying the activity schedule are valuable in this section.

Budget

The budget must be a carefully considered, accurate cost statement, which is second in importance only to the central project idea. To assure conformity with University and sponsoring agency policies, the budget should be reviewed by Grants and Contracts staff prior to finalizing the proposal. Be sure your budget numbers add up!

Budget Explanation (Budget Narrative)

Often the budget page is accompanied by additional pages (the budget narrative) explaining the distribution of salaries and wages, nature of fringe benefits, prices of equipment, categories of travel expenditures, major supply items, and computation of indirect costs. The Office of Grants and Contracts will provide assistance in development and format for the budget and budget narrative if requested. Never make your reader guess about how you arrived at a particular amount.

2.4 Deadlines

It is the responsibility of the PI to know the deadlines (postmark or receive date) for submission of the proposal and to allow adequate time for the institutional review process and for proposal preparation, printing, and mailing.

Five working days are required for the review process. In most cases, this time is sufficient for approval of a final draft, plus printing the required number of copies, packaging and mailing. Every effort will be made to expedite the local review process and help the PI obtain the necessary local approvals. Time to review is essential to the completion of a competitive proposal. Grants and Contracts staff will do everything possible to get proposals approved and meet submission deadlines.

2.5 Sponsor's Evaluation

Sponsors usually outline the criteria used to evaluate proposals sent to them. An applicant has a better probability of receiving an award when the agency's purposes and funding criteria are considered in the preparation of a proposal. In most cases, the prospective sponsor considers:

(a) Significance. The project should focus on problems of major importance. The anticipated outcome of the project should produce results of potential value to others. There should be a clear prospect of accomplishing the proposed project. The PI should be concerned with the development of new knowledge applicable to the problem or one which can be defined as a test of previous assumptions or conclusions.

(b) Design or Operational Plan. The problem should be well defined. The purpose and value of the project, its plan of development, method of approach, expected outcome, and need for implementation should be clear. The proposal should reflect a familiarity with the historical background of the problem, an awareness of similar projects that have been previously undertaken, and an adequate knowledge of other related activities. Questions to be answered and hypotheses to be tested should be well formulated and clearly stated. The proposal should fully outline the procedure to be followed and include information on applicable points such as sampling techniques, controls, types of data to be gathered, and statistical analyses to be completed. Evaluation procedures should be clearly stated and related to each stated activity goal.

(c) Personnel and Facilities. The role of all professional personnel involved in the project should be clearly stated. The applicant should have facilities available which are adequate for carrying out the project. The PI should have a history of professional experience in the project area or a clearly demonstrated competence for conducting work in that area.

(d) Economic Efficiency. The proposal should be reasonable in terms of overall costs. Emphasis should be given to the favorable relationship between probable results and total expenditures. The period of time required for efficient production should be clearly stated and a general timetable provided. Any parallel requests for support from other agencies for the same project should be indicated. Many agencies require matching funds. The ratio of requested or matching (in-kind) contributions must be addressed in the budget and budget narrative.

2.6 Proposal Rejections

It is the policy of Valdosta State University to ask each applicant to request a critique of all proposals not accepted for funding. These reviews provide valuable information for investigators and for Grants and Contracts staff to utilize in subsequent proposals which the University may submit to the same agency. Critiques are kept with non-funded proposals and are invaluable for future proposal preparation. In addition to a sponsor's lack of funds for project support, the most common reasons for proposal rejections are:

(a) guidelines were not followed,

(b) the project did not respond directly to the sponsor's priorities or mission,

(c) the research plan and objectives were not clear,

(d) the proposal contained poor methodology or research design,

(e) the applicant displayed a lack of knowledge or the proposal duplicated previous work,

(f) the applicant's qualifications and experience were not sufficient or appropriate to the planned activity,

(g) the budget request was unreasonable in terms of the projected outcomes or proposed timetable, and

(h) the project could not reasonably be completed in the time proposed.

Rejection need not be the end for a good idea -- it should be viewed as just a stop in the road, a new place to begin. Once you receive all the reviewer's comments, you can take the next step:

(a) rewrite the proposal and re-submit for the next competition

(b) find a new agency to submit the proposal to

(c) consider new ways of presentation; a joint proposal with another researcher, working through a consortium, or some other cooperative method.

Fiscal Responsibilities

3.1 Fiscal Considerations

The budget of a grant proposal is second in importance only to the description of the principal ideas of the project. While budget preparation requires special consideration to comply with the various policies of the University and the funding agency, the budget statement is a straightforward discussion of how you plan to spend grant funds. The Grants and Contracts staff can play a valuable role in this phase of your proposal preparation by offering suggestions and coordinating your efforts with the Grant and Contract's Accountant in the Financial Services Office.

If the funding agency provides a specific budget form, it must be used. In most cases, special forms will be included by the agency as part of the application package. It is always useful to prepare a detailed budget breakdown for your proposal even though the special budget page is all that is required for your application to the agency. This breakdown, or line item budget, will help you calculate the financial support required for the various components of your project; personnel time and costs for the project staff, travel, equipment, etc. as well as any allowable facilities and administrative (indirect) costs. A line item budget also allows for an easier internal review by the University administrators. A line item budget is also invaluable in determining the actual extent of any University commitment (matching or cost sharing on a cash or in-kind basis) included in the proposal.

3.2 Budget Preparation

(a) Review the rules and regulations for the budget, as provided in the agency's guidelines. Ask for help from the Grants and Contracts office staff if you need it.

(b) Calculate the amount of time that you and other professionals involved in the project will have to contribute.

(c) Calculate the time required for assistants and secretarial or clerical help, consultants, honoraria, travel, lodging, and subsistence.

(d) Estimate costs for equipment, ($500 or more for State, $1,000 or more for Federal), supplies, printing, duplication, media services, staff services, postage, telephone, data processing time, etc. Determine what items can be supplied on-campus and what will have to be purchased from off-campus vendors. Get accurate quotes on all items. Sometimes it may be necessary to obtain multiple quotes on high cost equipment.

(e) Contact the Human Resources Office (Grants and Contracts can assist, too) to determine appropriate salary and wage statements for project staff, fringe benefits (when applicable), and procedures for hiring staff, if funded. Currently (effective July 1, 2000) the fringe benefit percentage in use at VSU is 35% (approximation).

(f) Calculate the facilities and administrative costs (48.7% of direct salaries and wages only, not including fringe benefits) for the project period for facilities and administrative (F & A) costs not covered in a direct cost line item. Facilities and Administrative costs are considered general revenue for the university and, in essence, reimburse the institution for the expense of having the project on campus, and are added to the direct cost of the project to give a total project cost.

(g) Grants and Contracts staff will assist you with the preparation of the final copy of the budget, including all appropriate forms to be included in the proposal application. Most of these forms are accessible online and many can be completed online as well.

(h) The final budget is included with the narrative portion of the application and processed through institutional review.

3.3 Direct Costs

Budgets are composed of two primary categories; direct costs and facilities and administrative costs (indirect). Direct costs include all items that can be categorically identified and charged directly to the specific project. Most sponsors allow direct costs funding for the following categories:

(a) Personnel Calculate the percent of time spent on the project for each individual and prorate the salary for the proposed implementation period of the grant. All personnel decisions should be cleared with your department head and dean prior to final budget preparation.

1.) Principal investigator or project director. Cost is based on salary of the selected individual for the percentage of time devoted to the activity.

2.) Other on-campus professionals: This includes faculty replacement costs through use of part-time instructors. Cost is calculated on the cost of the replacement faculty, or other professionals, based on the time (days, months, number of classes to teach, etc.). To obtain an accurate dollar cost, check with your Department Head or the Human Resources Office for current pay range.

3.) Graduate assistants may be employed on sponsored research projects in research or faculty support positions. Pay rates should be determined prior to proposal submission, in accordance with the pay scales of University-supported Graduate Assistants. Graduate assistantships are arranged through the Dean of the Graduate School.

a) Tuition waiver expense must be included in your proposal at the full cost for in-state tuition. Graduate Assistants who are out-of-state students will have to pay the difference unless this too is included in the proposal.

b) Salary or stipend should be computed at the current rate. This rate can be obtained from the Grants and Contracts office or the Graduate School.

c) No proposal including graduate students will be approved unless both a. and b. above are included in the budget and funds are available under the grant award.

4.) Undergraduate students also may be employed through funded projects as student assistants. A Student Assistant is not a College Work Study Student. Students on the College Work-Study Program (CWSP) may not be paid from a second source of federal funds. Although the PI is responsible for the selection and hiring of all such assistants, appointment forms must be processed through the usual University channels. Pay scale should conform to that current within the University for student workers. Student Assistants are paid the current minimum wage.

5.) Technicians, statisticians, and other professionals can be employed under sponsored projects. All University personnel regulations, as well as the regulations of the funding agency, must be adhered to regarding advertising the position(s), interviewing and hiring. Valdosta State University is an equal opportunity employer and does not discriminate regarding race, sex or disability.

6.) Secretarial and all other clerical help necessary for the performance of the funded project must be hired in strict compliance with all University and funding agency regulations (see technicians, etc. above). Many Federal agencies now consider clerical support as included in the Facilities and Administrative (Indirect) Costs factor and will not pay for these as a line item charge. Be sure to check the guidelines carefully and if in doubt contact the agency to clarify this point.

7.) Personnel Hired under a Grant: Personnel hired under the auspices of a funded project are classified as temporary, soft money personnel.

a) PIs should recognize that such personnel in this category receive appropriate salary, duties, responsibilities, and benefits comparable to those for individuals in similar positions elsewhere in the University. The PI should consult with the Human Resources Office on the VSU campus concerning current or projected salaries for these positions.

b) All personnel hired under a specific award/grant must be informed by the PI that their employment period coincides with the award period, and that the University cannot assure continued employment beyond the period for which grant funds are available.

c) Annual leave accrued by personnel hired solely for a grant must be taken during the effective period of the grant. Annual increases/raises should coincide with established VSU personnel policy.

(b) Fringe Benefits Fringe benefits accompanying salaries paid by the grant must also be charged to the grant. Consultants are not eligible to receive fringe benefits. The Human Resources Office or the Office of Grants and Contracts can provide details of fringe benefits for salaried personnel. The current fringe benefit calculation is based on a 35% of 'fringable' salaries and wages for 12 month and 9 month salaried personnel except for 9-month salaried personnel covered during the summer semesters. The rate for fringe benefits for summer salaries is 17%. Always check with the Human Resources Office or the Grants and Contracts Office to be sure these rates have not changed.

(c) Consultants Outside consultants may be paid through grant funds. Valdosta State University does not have set fees and hourly rates for consultants; individual agreements are based on the nature of the consultation. However, all honoraria, consultants' fees, travel expenses, subsistence, and related expenses must conform to established University policy for reimbursement. Forms for hiring consultants can be found on the VSU Financial Services website at: http://www.valdosta.edu/finadmin/financial/forms.shtml

(d) Subcontractors If subcontracts are essential to the successful completion of a sponsored program, a contract shall be drawn between the University and the sub-contractor. Contact the Grants and Contracts office staff to begin the process of setting up a contract. There are University requirements as well as state and federal regulations that may come into play with any contract.

All contracts and agreements involving Valdosta State University as a provider or receiver of services or products must be approved and signed by the following University representatives in the order given below:

1) Department Chair or Director

2) Dean

3) Director, Grants and Contracts

4) Grants and Contracts Accountant

5) Vice President for Finance and Administration

6) Vice President for Academic Affairs

7) Legal Affairs

8) President

Contracts and agreements which do not have the appropriate signature shall not be considered valid and shall not be honored by the University.

Routing forms for contracts and agreements are available at:

http://www.valdosta.edu/grants/forms.shtml

(e) Travel All travel paid from grant funds must conform to University travel policies as stated in the Faculty Handbook. The University reimburses for expenses incurred in making approved trips, according to the following procedure:

1) Expenses must be itemized in detail on the weekly travel expense statement.

2) Original receipts for hotel bills must be attached to the request for reimbursement.

3) Travel by private automobile is currently reimbursed on a per mile basis (48.5 cents per mile). In addition, the reverse side of the weekly travel expense statement must be completed in detail regarding places visited and the actual mileage. Rental cars should be arranged at 'least cost' fees and may be, in some instances, preferable to personal auto use. The University encourages the use of a rental car whenever there is a cost saving possible.

4) Transportation by commercial transport (air, rail, and bus) will be by minimum fare service. Ticket stubs must be submitted as evidence of this expenditure.

5) Receipts for meals are not required for reimbursement but should be obtained to verify actual expenditures. Meals are reimbursable at the current rate of $28 per day, including tax and tips.

State high-cost areas - limited to metropolitan Atlanta (Cobb, Dekalb, Fulton and Gwinnett Counties, (Augusta (Richmond County), Brunswick (Glynn County) and Savannah (Chatham County) - can be reimbursed at the rate of $38.00 per day. For additional information, visit the Financial Services Travel Web Pages: http://www.valdosta.edu/finadmin/financial/travel.shtml

6) Receipts for Taxi fares, and other such out-of-pocket expenses must be presented for reimbursement.

Note: This statement of travel considerations is intended solely as a guideline for the grant proposal writer. It should not be construed as complete or authoritative. Always consult the Financial Services (Travel) Office for details of current travel policy should you have any questions.

(f) Equipment may be purchased or rented, according to the policies of the grantor under the program guidelines. The equipment budget should reflect the price of freight, installation costs, and maintenance contracts, as appropriate.

(g) Supplies and Materials Supplies and consumable materials should be itemized on the budget explanation (narrative) page.

(h) Other Direct Costs These costs are items that can be identified and related to the project and not included in the Facilities and Administrative (Indirect) costs calculations:

1) Communications - costs of telephone, electronic communications.

2) Computer time - Consult the Office of Information Technology for current rates.

3) Publication charges, graphics and printing, duplication, media services, final report costs, etc. (University regulations apply as do program guidelines).

4) Miscellaneous costs such as postage, telephone, FAX, and any other items necessary to successful project operation that can be reasonably identified as a line item.

3.4 Facilities and Administrative (F&A) Costs (Indirect Costs)

The Facilities and Administrative costs are those that have been incurred for common or joint objectives of the University and the sponsored program and which, therefore, cannot be identified specifically in reference to a particular project. Facilities and Administrative costs include items such as building operation and maintenance, laboratory space, library services, utilities, and administrative services. Facilities and Administrative costs related to the conduct of a sponsored program are just as real as the direct costs and ultimately must be provided for either by the sponsor or by the University.

All externally funded projects and research will provide for Facilities and Administrative cost recovery unless prohibited by law or state or federal regulations. The Facilities and Administrative cost rate based on an audit by a department of the federal government is assigned to the University at selected intervals. Since this rate is subject to change, the PI should contact the Office of Grants and Contracts for the current Facilities and Administrative cost percentage.

Valdosta State University has a policy of requesting and recovering the total allowable Facilities and Administrative costs for all sponsored programs, unless prohibited by a specific program's guidelines. Exceptions may be made in some instances and should be discussed with the Director of the Office of Grants and Contracts. Decisions on Facilities and Administrative costs are made on a case by case basis.

When a rate lower than the one established for the University (currently 48.7% of salaries and wages only) is accepted the difference between the two rates would be shown, if permitted by the funding agency, as a contribution by the University.

Recovered Facilities and Administrative funds are treated as revenue by the University in the fiscal year within which they are earned. These funds are distributed within the University according to an agreement made at the time the proposal is submitted for funding consideration. The Office of Grants and Contracts will assist the PI in understanding the process. The currently accepted division of recovered Facilities and Administrative costs is as follows:

15% to Principal Investigator

20% to PI Dean

20% to PI Department Head

10% to VPAA

20% to Finance and Administration

15% to Grants and Contracts

Georgia law, at present, allows for carry-over of recovered Facilities and Administrative funds from one fiscal year to the next.

3.5 VSU's Facilities and Administrative (Indirect) Cost Rate

The University's calculated Facilities and Administrative cost rate is 48.7% of base salaries and wages only (excluding all fringe benefits) for all on-campus programs. For off-campus programs, the University's Facilities and Administrative Cost rate is 25.6% of salaries and wages only (excluding all fringe benefits). These rates were negotiated with the Department of Health and Human Services, the cognizant agency for the institution, and are effective until amended.

3.6 Cost Sharing and Matching Funds

Federal research grants generally serve the objectives of both the institution and the federal government. Therefore, cost sharing is frequently required in many sponsored programs and may be accomplished through:

(a) Limitation of the proportion of Facilities and Administrative costs payable by the sponsoring agency,

(b) Continued payment by the University of part or all of the salary of faculty members or professional personnel participating in the sponsored program,

(c) In-kind matching of University expenses such as the use of buildings, computer time not charged as direct costs, secretarial and clerical help, and administrative services in support of a sponsored program, and

(d) Payment by the institution of a portion of selected direct costs, such as equipment.

Many agencies require matching funds as a form of cost sharing. To the greatest extent possible, the requirement for matching funds will be met by a statement of in-kind services. Any questions regarding commitment of VSU resources should be discussed with Grants and Contracts staff. The amount of the University's cost share is subject to federal audit and records of such cost sharing will be maintained by the VSU Grants and Contracts Accountant in Financial Services.

3.7 Reassigned Work Load (Release Time)

It is the responsibility of the principal investigator to make arrangements with the Department Head and the Dean for any reassignment of workload required by the proposed research. The reassigned workload must be clearly described, including the dollar value, on the goldenrod sign-off form prior to submission. Final approval of any release time or reassignment rests with the Vice President for Academic Affairs.

Reassigned workload may be in the form of time donated by the University on a cost-sharing basis or that which is paid for by the granting agency. The amount of required release time varies with the nature of different proposals. Normally, one-third release time is appropriate; however, special arrangements for more time may be made after consultation with the Department Head and Dean and approval by the Vice President for Academic Affairs. Such questions should be fully discussed well before the proposal is presented for final approval for submission.

3.8 Proposal Negotiation

The Office of Grants and Contracts serves as the University's coordination point for all negotiations with funding agencies. It is the intention of the Director of the Office of Grants and Contracts to coordinate University-grantor relations during pre-award and post-award negotiations in such a manner as to facilitate the award process and present a uniform University position during the negotiation process. Frequently a PI will be contacted FIRST to negotiate his/her award. The PI is encouraged to work with the Grants and Contracts staff to develop the best response in the negotiation process.

Normally, budget negotiations require simple verification of salary, fringe benefits, facilities and administrative costs, reductions/changes in some line items, or clarification of the University's cost sharing or matching funds commitments.

Whenever a budget change occurs in the pre-award negotiations, the PI must prepare a new budget reflecting all changes and reroute the revised budget for local review (from Department Head to President). Once approved by the University, the revised budget will be submitted, in writing, to the funding agency. The PI must always have full institutional review and approval before a revised budget is submitted to a funding agency. Any negotiated/revised budget must be rerouted through University review channels for sign-off and approval before the budget can be sent to the agency.

If the funding agency requires a budget reduction, the principal investigator must also be concerned with the scope of the work. Reductions in the budget may create changes in the scope of the work. To maintain credibility with the funding agency, the PI should consider a work reduction commensurate with any substantial budget reduction. Discussion with the Grants and Contracts staff can help determine how to respond to such agency requests.

Often personal and professional relationships develop between individual faculty members and agency staff personnel. The Grants and Contracts Director encourages the development and maintenance of good contacts and informal discussions with the granting agency personnel. Such informal discussions, however, should never be construed as either agency or University commitments. Written notification of all awards, negotiation activities and acceptances, even when prior word is received through other means, is necessary. No University account will be set up without full and formal notification of the award. This is a matter of University policy and any questions regarding this policy should be discussed with the Director of Grants and Contracts and the Grants and Contracts Accountant.

Post-Award Procedures

4.1 General Post-Award Procedure Management

Post-award administration is the term used for all grants management activities after an award is received. This includes the initial authority to spend the grant money through the fiscal closeout and final reports at the end of the grant period. The post-award section of this manual contains information on obtaining authority necessary to establish accounts, expend funds, and manage and document expenditures.

In the preparation of this handbook, attention was given to the general requirements of federal grants. There has been no attempt to cover all of the specific regulations for all federal and non-federal agencies and their various programs. Examples of documents relating to grant administration include: EDGAR (Education Department General Administrative Regulations) and OMB (Office of Management and Budget) Circular A-21, publications, which define activities and allowable costs and are updated by the federal government on a regular basis. Most of these publications are available on-line. The Grants and Contracts Office will assist the PI in locating relevant documents.

The principal investigator is responsible for strict adherence to the regulations governing any externally funded program. For this reason, it is imperative that every PI make an effort to gain as complete a knowledge of federal and University regulations concerning expenditures of grant money as possible. To assist the PI, the Office of Grants and Contracts has developed a procedure using an Award Management Checklist Form located at http://www.valdosta.edu/grants/forms.shtml to be completed in a meeting with the PI, Grants and Contracts Accountant, and Grants and Contracts staff.

4.2 Acceptance of Funds

The President of the University formally accepts all sponsored projects funds/awards. Normally, award notices from federal agencies are directed to the President, with a copy to the principal investigator. In some instances, the notice may go only to one or the other. However, the President of the University is always the individual authorized to accept the award by signing the appropriate forms just as the President was the authorized signature allowing submission of the proposal.

When a grant award notification is received, the PI should examine the document for possible administrative errors or omissions. The PI should send a copy of the award letter to the Office of Grants and Contracts as soon after receiving it as possible. This award letter is the key to starting the process of obtaining a VSU account, without which no funds can be spent by the PI.

At all steps in the process of acceptance, account set-up and reporting, the Grants and Contracts Office staff will assist the PI as needed. Any questions about any part of the procedure may be directed to the office staff for clarification or assistance. The Grants and Contracts Accountant will assist the PI s in account management and maintains up to date fiscal records of all awards.

4.3 Grant and Contract Administration

Within the awards received there are two major categories: grants and contracts. Grants are those awards received by the University as a direct result of a formal proposal to a specific program whether from a private, state or federal program. Contracts may be the result of a similar process or they may be received without the formal application process. Each has similarities and differences.

4.3.1 Grants Receipt and Setup

A letter of award is usually the method of indicating an award has been made to VSU. When received, the PI is required to notify the Grants and Contracts Office of the receipt of same. Occasionally the announcement comes in the form of a phone call and in that the case the PI should request something in writing. Notification of award will set in motion the initial steps to set up an active account. At this point, a meeting is set up in the Grants and Contracts Office for the PI, the Grants and Contracts Accountant, and a Grants and Contracts staff member to familiarize everyone with all the aspects of the award requirements using the Award Management Checklist at http://www.valdosta.edu/grants/forms.shtml

4.3.2 Contract Receipt and Setup

A contract requires somewhat different handling. When received, a contract should first be read by the PI to ascertain that all contractual statements of work and amounts of funding are in agreement with his/her understanding. Then the contract should be forwarded to the Grants and Contracts Office with a "Contract Routing Form" obtained online at http://www.valdosta.edu/grants/forms.shtml The Grants and Contracts Office will read the contract and identify any changes that may be necessary. Once this is accomplished, the contract (in whatever number of copies is required) is sent, along with the Contract Routing Form to the VSU Legal Affairs Office for review. Prior to reaching the Legal Affairs Office however, this routing form must be signed by the:

Principal Investigator

Department Head

Dean

Grants and Contracts Office

Grants and Contracts Accountant

Vice President for Finance and Administration

Vice President for Academic Affairs

Only at this point does the contract reach the Office of Legal Affairs for final review and approval. Once approved by Legal Affairs, the contract is sent to the President for his signature. The contract is returned to the Office of Legal Affairs. It is then picked up by the Office of Grants and Contracts for mailing to the appropriate agency for signature. There are no exceptions to this process.

When the contract is completely signed by all parties involved, a fully executed copy is sent to the PI, to the Grants and Contracts Accountant, and a copy is retained in the Office of Grants and Contracts. A meeting is then set up in the Grants and Contracts office between the PI, the Grants and Contracts Accountant, and Grants and Contracts staff to go over all aspects of the management of this award using the Award Management Checklist http://www.valdosta.edu/grants/forms.shtml. A VSU account number is then assigned for the award by Grants and Contracts Accountant.

4.3.3 Award Management Meeting and Establishing an Account

The Office of Grants and Contracts, upon receipt of the award notification and acceptance of the award, will notify the Grants and Contracts Accountant of the award. Grants and Contracts staff will set up an Award Management Meeting between the PI, Grants and Contracts Accountant, and the Director of Grants and Contracts. The accountant will assign an account number, set up the file, and arrange with the PI for a formal request for the money, following the grantor's specified procedures or the initial payment by the sponsoring agency.

The PI must have a VSU-assigned account number before committing any of the grant funds. Regardless of the funding source of any grant, all expenditures must comply with the guidelines of the sponsor and with those existing for the University, the Board of Regents, and relevant state policies. Any anticipated variances with established policy must be discussed with the Grants and Contracts Accountant in detail and must be approved by the Director of Grants and Contracts, the Vice President for Academic Affairs, and the Vice President for Finance and Administration.

4.3.4 Purchasing Card

To obtain a purchasing card for your award, please contact Purchasing Services at 333-7437.

Purchasing cards may be used for all grant expenditures related to materials and supplies. Any other expenses are to be discussed with the Grants and Contracts Office Accountant or the Purchasing Services staff. A purchasing card can never be used for travel.

4.3.5 Managing and Documenting Expenditures

The PI should maintain a close working relationship with the Grants and Contracts Accountant throughout the project. In this manner, the PI and the Accountant can monitor and manage the award money in an appropriate fashion.

Fiscal reports and requests to draw down funds are processed by the Grants and Contracts Accountant, not the Principal Investigator. This means that all expenditures, including equipment purchase requests, must be routed through the office of budget review and compliance with all purchase regulations prior to actual purchase. Expenditures for equipment over $5,000 must be approved first by the Director of Grants and Contracts who will verify that such expenditures are appropriate for the grant.

The Grants and Contracts Accountant prepares monthly statements for the PI, final statements of the account and calls to the PI's attention any unexpended funds, when applicable.

4.3.6 Responsibilities of the Principal Investigator

It is the PI's responsibility to maintain oversight of the account and to contact the Grants and Contracts Accountant and/or the Grants and Contracts staff about any questions or discrepancies regarding the account. Acceptance of a sponsored program award by the University commits the University and the PI to conduct the program in a professional manner and in accordance with the policies of the funding agency. It is the responsibility of the PI to ensure that the research effort or program is commensurate with the expectations of the grantor and with the highest ideals of professional inquiry. Although the PI is responsible to the funding agency for conducting a particular project, the normal supervisory relationship between the University and the PI is not altered. The ultimate accountability for any sponsored project rests with the University.

The PI should remember that the support of the various administrative units of the University is available during the conduct of the sponsored activity. Bypassing these units (Department Head, Dean, Grants and Contracts, Vice President for Finance and Administration, and Vice President for Academic Affairs) could result in problems or difficulties with acceptance of a grant award.

Throughout the entire implementation of the project, the Principal Investigator must take care to document all activities to ensure proper reporting of all activities and expenditures as required by the sponsor.

All interim and final reports required by the agency are the responsibility of the Principal Investigator.

4.4 Helpful Suggestions for the P.I.

(a) Do not incur fiscal obligations under new or renewed projects until authority to expend has been received and an appropriate account number has been assigned.

(b) Seek budget negotiation coordination from Grants and Contracts staff.

(d) Read the award guidelines and budget carefully to ensure proper management of the award.

(e) Do not purchase equipment during the last three months of a federal grant. The auditor may disallow the cost of the equipment purchased near the end of a grant.

(f) Under ordinary circumstances, PIs should not order supplies during the last month of a