ABC’s of Proposal ABC’s of Proposal Processing Processing NCURA Regional VI/VII NCURA Regional VI/VII Conference Conference April 30, 2008 April 30, 2008
Jan 01, 2016
ABC’s of Proposal ABC’s of Proposal ProcessingProcessing
NCURA Regional VI/VII NCURA Regional VI/VII ConferenceConference
April 30, 2008April 30, 2008
Dennis J. PaffrathDennis J. Paffrath
Senior Director, Contracts & GrantsSenior Director, Contracts & Grants
Office of Research & DevelopmentOffice of Research & Development
University of Maryland, BaltimoreUniversity of Maryland, Baltimore
Phone: 410-706-1101Phone: 410-706-1101
[email protected]@umaryland.edu
Vicki KrellVicki Krell
Sponsored Projects Site SupervisorSponsored Projects Site Supervisor
Arizona State UniversityArizona State University
Office for Research and Sponsored Office for Research and Sponsored Projects AdministrationProjects Administration
Phone – 480-965-2171Phone – 480-965-2171
[email protected]@asu.edu
What Is Your Role?What Is Your Role?
Assistance to PI (support research)Assistance to PI (support research)
Assure compliance (keep the PI out of jail)Assure compliance (keep the PI out of jail)
Goal: Submit on-time, high quality, Goal: Submit on-time, high quality, appropriately costed, fully compliant appropriately costed, fully compliant proposals that have the greatest chance of proposals that have the greatest chance of being funded.being funded.
FIRST GOLDEN RULE IN PROPOSAL FIRST GOLDEN RULE IN PROPOSAL DEVELOPMENTDEVELOPMENT
THE ONE WITH THE GOLD RULES!THE ONE WITH THE GOLD RULES!
THE SECOND GOLDEN RULE IN THE SECOND GOLDEN RULE IN PROPOSAL DEVELOPMENTPROPOSAL DEVELOPMENT
DO NOT ANNOY REVIEWERSDO NOT ANNOY REVIEWERSItty Bitty Tiny Font SizesItty Bitty Tiny Font Sizes
““Larry don’t forget the graphics here”Larry don’t forget the graphics here”
Hand written pagesHand written pages
Sp eling n GramerSp eling n Gramer
How to be effectiveHow to be effective
In order to be effective at meeting your goals In order to be effective at meeting your goals you must know the following:you must know the following:Sponsor Rules/Policies (or where to find Sponsor Rules/Policies (or where to find them)them)Department/institution -specific dataDepartment/institution -specific dataProposal application formatProposal application formatInstitution review processInstitution review processPeoplePeople
Know the RulesKnow the Rules
Federal OMB CircularsFederal OMB Circulars A-21, A-110, A-133A-21, A-110, A-133Specific sponsor guidelinesSpecific sponsor guidelines NIH GuideNIH Guide NSF Grant Policy ManualNSF Grant Policy ManualSpecific institution rules (policies)Specific institution rules (policies) TravelTravel ConsultingConsulting Cost Share, etc.Cost Share, etc.
ALL PROPOSALSALL PROPOSALS
The Institution’s Authorized Signatory The Institution’s Authorized Signatory Signs ALL Proposals and AwardsSigns ALL Proposals and Awards
What to do when PIs sign on behalf of What to do when PIs sign on behalf of UniversityUniversity
Pre-Award ContentPre-Award Content
Who May Be a Principal InvestigatorWho May Be a Principal InvestigatorTypes of ApplicationsTypes of ApplicationsTypes of ProposalsTypes of ProposalsSponsor MissionsSponsor MissionsAgency FormsAgency FormsElectronic Versus HardcopyElectronic Versus HardcopyContents of a ProposalContents of a ProposalPreparing Critical ComponentsPreparing Critical ComponentsProper Proposal RoutingProper Proposal Routing
Who May Be A Who May Be A Principal InvestigatorPrincipal Investigator
Full-time Faculty ( or Staff?) MemberFull-time Faculty ( or Staff?) Member
Because of:Because of:
Overall OversightOverall Oversight
Overall ResponsibilityOverall Responsibility
Needs to be contractually tied to the Needs to be contractually tied to the receiving organizationreceiving organization
Types of ApplicationsTypes of Applications
NewNew
Non-CompetingNon-Competing
RenewalRenewal
SupplementalSupplemental
RevisionRevision
““Grants.gov uses slightly different terms”Grants.gov uses slightly different terms”
Types of ProposalsTypes of Proposals
Preliminary ProposalsPreliminary Proposals Concept PapersConcept Papers White PaperWhite Paper Letter of Inquiry or IntentLetter of Inquiry or Intent
Formal ProposalsFormal Proposals Competitive Application for External FundingCompetitive Application for External Funding
Solicited or UnsolicitedSolicited or Unsolicited Grant proposalsGrant proposals Contract ProposalsContract Proposals
Sponsor MissionsSponsor Missions
Government sponsors exist to fulfill Government sponsors exist to fulfill legislated or mandated goalslegislated or mandated goals
Foundations fund projects which support Foundations fund projects which support initiatives identified in their Charters, e.g. initiatives identified in their Charters, e.g. National Kidney FoundationNational Kidney Foundation
Not-for-Profits support special purposes, Not-for-Profits support special purposes, e.g. American Cancer Societye.g. American Cancer Society
Agency FormsAgency Forms
Agency WebsitesAgency Websites
Agency Request for ProposalAgency Request for Proposal
Grants.govGrants.gov
Getting StartedGetting Started
REVIEW, REVIEW, REVIEWREVIEW, REVIEW, REVIEW
Institution ProceduresInstitution Procedures
Agency RequirementsAgency Requirements
Agency Terms and ConditionsAgency Terms and Conditions
eRA RequirementseRA Requirements
eRA Mandate?eRA Mandate?
Check Request for Announcement Check Request for Announcement (RFA) or Program Announcement (RFA) or Program Announcement (PA)(PA)
Check Grants.gov for Funding Check Grants.gov for Funding Opportunity Announcement (FOA)Opportunity Announcement (FOA)
If NIH, check NIH eRA TimelineIf NIH, check NIH eRA Timeline
eRA ConsiderationseRA Considerations
Inform Department & Central Inform Department & Central AdministrationAdministrationAnticipate Advanced TimelineAnticipate Advanced TimelineHas Institutional Education Already Has Institutional Education Already Occurred? If not, assistance will be Occurred? If not, assistance will be needed throughout submissionneeded throughout submissionHave Institutional Policies/Procedures Have Institutional Policies/Procedures Changed in Light of eRA?Changed in Light of eRA?
Contents of a ProposalContents of a Proposal
Transmittal LetterTransmittal LetterTitle page/ Face pageTitle page/ Face pageAbstractAbstractTable of ContentsTable of ContentsProject DescriptionProject DescriptionBiographical SketchesBiographical SketchesBudget and Budget NarrativeBudget and Budget NarrativeCurrent and Pending SupportCurrent and Pending SupportFacilities and EquipmentFacilities and EquipmentLetters of SupportLetters of Support
Critical ComponentsCritical Components
NEED for Project or ResearchNEED for Project or Research
Science/Scope of WorkScience/Scope of Work
Budget/Budget NarrativeBudget/Budget Narrative
Cost Sharing/MatchingCost Sharing/Matching
F&A (Indirect) Cost RateF&A (Indirect) Cost Rate
Science….Science….
Why do you need to review the Why do you need to review the science/scope of work section?science/scope of work section?
Budgetary ConsiderationsBudgetary Considerations
NIH Salary CapsNIH Salary Caps
Modular Grant Proposal BudgetsModular Grant Proposal Budgets
EquipmentEquipment
Patient Care CostsPatient Care Costs
Cost Share?Cost Share?
F&A LimitationsF&A Limitations
Pre-Budget InformationPre-Budget Information
Allowable CostsAllowable Costs
Unallowable Costs (even as cost Unallowable Costs (even as cost share)share)
Administrative/General-Purpose Administrative/General-Purpose CostsCosts
Unallowable CostsUnallowable Costs
Always UnallowableAlways Unallowable
Unallowable as Direct CostsUnallowable as Direct Costs
General-Purpose CostsGeneral-Purpose Costs
Clerical/AdministrativeClerical/Administrative
SalariesSalaries
(Generally) Cannot Be Paid!(Generally) Cannot Be Paid!
Budget NarrativeBudget Narrative
Assists Agency in Evaluating BudgetAssists Agency in Evaluating Budget
Assists in Expediting ExpensesAssists in Expediting Expenses
Documents Evidence of AllowabilityDocuments Evidence of Allowability
*Provide a *Provide a DETAILEDDETAILED Budget Budget Narrative*Narrative*
Cost Sharing/MatchingCost Sharing/Matching
MandatoryMandatory
Voluntary (=Committed)Voluntary (=Committed)
Voluntary Uncommitted EffortVoluntary Uncommitted Effort
Facilities & Administrative Facilities & Administrative (Indirect) Costs(Indirect) Costs
UMB/Government Negotiated RateUMB/Government Negotiated RateDifferent RatesDifferent Rates ResearchResearch InstructionInstruction Other Sponsored ActivitiesOther Sponsored Activities On-CampusOn-Campus Off-CampusOff-CampusF&A WaiversF&A Waivers
Other ComponentsOther Components
Scope and Outside OrganizationsScope and Outside Organizations Your Institution Faculty/Staff CANNOT Your Institution Faculty/Staff CANNOT
be Subcontractors or Consultants on be Subcontractors or Consultants on your institution grants.your institution grants.
ConsultantConsultant
Individual or CompanyIndividual or Company
Independent ContractorIndependent Contractor
Not Significant Portion of WorkNot Significant Portion of Work
ServicesServices SpecialSpecial TemporaryTemporary Technical in NatureTechnical in Nature
SubcontractorsSubcontractors
Company or InstitutionCompany or Institution
Outside OrganizationOutside Organization EmployeesEmployees Fringe BenefitsFringe Benefits OverheadOverhead
Discrete Part of ScopeDiscrete Part of Scope
Proper Proposal RoutingProper Proposal Routing
PaperPaper
ElectronicElectronic
When do you receive the routing When do you receive the routing including draft proposal or final including draft proposal or final proposal.proposal.
Details, Details, DetailsDetails, Details, Details
Begin EarlyBegin Early
Follow the GuidelinesFollow the Guidelines
Use Most Current FormsUse Most Current Forms
Ask QuestionsAsk Questions
Review MaterialsReview Materials
Postmark versus Receipt DatePostmark versus Receipt Date
Common PitfallsCommon Pitfalls
Failure to follow directionsFailure to follow directionsNeglecting to check on who must be Neglecting to check on who must be available to approveavailable to approveFailing to meet deadline-Always confirm Failing to meet deadline-Always confirm mailing/receipt/time deadlinemailing/receipt/time deadlineFatal errorsFatal errors Proposal too longProposal too long Incorrect font sizeIncorrect font size