Grants Landscape II: Project, Proposal and Budget Development Office of Sponsored Programs Raubinger Hall, Room 107 William Paterson University June 2009

Contact Information:  Staff:  Martin Williams, Director  TBH, Assistant Director for Pre-Award Services  Beth Ann Bates, Program Assistant  Graduate & Undergraduate Assistants  Nina Jemmott, Associate Vice President and Dean, Graduate Studies and Research  Office:  Raubinger Hall 107  Phone: , fax:   Webpage: 

Agenda I.Grants Landscape I a)The Office of Sponsored Programs b)Proposal process c)Proposal components d)Searching for funding e)WPUNJ Process, Policies and Procedures regarding grants II.Grants Landscape II a)Elements of a proposal b)Guidelines and proposal review c)Narrative components d)Budget components

Elements of a Proposal A.Cover Page, forms, signatures B.Abstract C.Narrative 1.Background and problem statement 2.Goals and objectives 3.Activity Plan 4.Evaluation D.Budget, budget support, other forms E.Appendix and support material

Abstract

Every agency has its own way of naming the sections of a proposal – Grants.Gov has reduced this some but allows for flexibility for unique agency issues and added more – Can vary by department/unit within an agency It is up to you as the applicant to do it the right way for the agency that will receive your application It is also up to you as the applicant to use the correct forms, correct titles/headings, correct formatting and to ask for support for appropriate projects with appropriate costs

Guidelines and Review Criteria

Guidelines First!  Read the Guidelines Thoroughly to:  Verify Eligibility for the grant program  Establish Connection to the funder’s mission, goals and the grant program’s expected outcomes  Learn the Details of the application process, format, including special information or review requirements  Get Answers to Questions: Call the Program staff!  Evaluate whether the program is right for you, your project and the University

Review Criteria: Content  Narrative Requirements  Their language for sections of the whole proposal  Order of sections  Information expectations for sections  Point value for sections  Evaluation Criteria  The “Grading Rubric” for proposals  Checklist MAY BE IN SEPARATE OR MULTIPLE DOCUMENTS

 The first & most important review issue is Intellectual Quality, Merit and Significance:  How will the project advance “knowledge and understanding in its own field or across different fields?” (NSF)  Does it “address an important problem?” & “How will scientific knowledge or practice be advanced?” (NIH)  Is it “broadly conceived, based on sound scholarship, and appropriately analytical?” (NEH)  ”The extent to which the design of the proposed project reflects up-to- date knowledge from research and effective practice.” (US Dept of Education)  Other Intellectual Quality Issues:  Originality/Innovation: Does it address an innovative hypothesis or employ novel concepts, approaches, methodologies, tools or techniques?  Validity of the need, goals, objectives and supporting information as presented  Quality of participants  Realistic design and likelihood for success  Conducive facilities and environment

 The second most important review issue is Potential Broader Impact  On project participants (you, others; direct, indirect)?  On the service/support environment/infrastructure?  Of the data or insights to be produced?  Of how others will use the outcomes? A Key Aspect to address is dissemination: How will you share the outcomes with others?  Other Broader Impact Issues:  How well will the project/activity: Promote integration of service, research and education? Broaden the participation of underrepresented groups (e.g. genders, racial/ethnic minorities, persons with disabilities)? Benefit your community and society in general?

Review Criteria: Technical  Was a Letter of Intent or Preliminary Proposal Required?  Forms: Cover sheet, summaries, assurances  Format: Length, margins, font size, attachments  Organization: Specific sections in specific order  Special Requirements: Human Subjects, ADA  Letters of Commitment: Partners, Evaluators  THESE ARE EASY EXCUSES TO REJECT PROPOSALS

Narrative

Component Writing Order 1. Activity Plan AND 2. Budget 3. Goals & Objectives 4. Background, Need(s), Problem(s), Benefits 5. Introduction: Credibility of PI/PD, WPU, etc. 6. Evaluation Plan 7. Dissemination Plan 8. Future Activity 9. Summary/Final Introduction/Abstract

1. Activity Plan or Methodology  Rationale: Why are you doing project this way?  Literature review, programs at other institutions  Preliminary activities, outcomes and data  Activities Plan and Accomplishments:  Tasks  Timeline  Personnel: Who will perform each task?  Resources: Facilities, Equipment, Supplies, Money? DETAILS!

2. Budget  Budget Summary  Total expenses by category  Budget Detail or Narrative  Present as narrative or spreadsheet (or both)  Provides details on expenses by category  Provides fiscal perspective on the project and narrative  No expenses included in the budget that are not identified in the narrative  No expenses in narrative that are not in the budget

3. Goals, Objectives, Outcomes  Goal: A broad statement of the ultimate result of the research or change being pursued  Objective: The narrowly defined, measurable and time-specific result you expect to accomplish  Process vs. outcome objectives; Action verbs  Interventions: To [direction of change] + [area of change] + [target population] + [degree of change] + [timeframe]  Research: To [specific research activity] then [impact of research] on [status of problem/need] + [timeframe].  Outcomes: Short term accomplishments and long term impacts, direct and possibly indirect

4. Background, Problem, Needs, Benefits  Defines what the project will address  Who, what, where, when, why?  Hard evidence and documentation  Statistics, data, evidence  From your literature search & preliminary activities  Authoritative: Census data, government reports, credible experts and publications  Anecdotal evidence gives life to statistics  Impact/outcome if problem is addressed  Link outcome to missions (You & funder)  Summary or problem statement

5. Introduction: Credibility and Capacity  Concise statement of project goal, including problem/need addressed and objectives  Crucial information reader needs to know  Discuss importance, innovation, creativity  Concise statement describing project activities and key outcomes expected  Crucial information reader needs to know  How project addresses the funder’s priorities  Related organizational and staff experience  Previous successful related experience

Discipline, Project & Grant Program-Specific Activity Plan Components These vary significantly based on the nature of the project, your discipline, and the specifics of grant program: 6. Evaluation/Assessment:  What will success look like?  How will it be documented? External Consultant(s)? 7. Dissemination of Results:  Think realistic and attainable! Publications & Conference Presentations; Webpage? 8. Future Activities and Impact:  Sustainability: $$$/infrastructure; You & your field  If seed or start-up, this is very important

9.Proposal Summary or Abstract  Stands alone at beginning  First for agency staff and reviewers  Important as public summary of project  “Professional English” as well as “Plain English”  May have special content requirements  Limited length – usually one page or less  Touches on all key details of project  Ones that define the importance, impact and scope of the project: Goal, objectives & outcome  Ones that are most important to the funder  Ones that distinguish your project from others

Appendices  Summary Vita/Resume or Biographical Sketch  Education and work history  Related programmatic, research, publication or professional activities and experiences  Leadership and peer-acknowledgement  Letters of support  Work or publicity samples  Agency history, background and plans  Agency tax status and financial statements

The Ultimate Goal of a Proposal Abstract

Helpful Hints: Content  Be innovative wherever possible  Based on what others are doing  Focus on key questions  Be convincing and thorough  Demonstrate knowledge of subject  State the expected contributions (outcomes) to your field of work  Convey excitement and commitment  Clearly link to the funder’s priorities

Helpful Hints: Structure  Clear, concise sentences  Use section- and sub-headings  Use page headings and number pages  Avoid or define jargon or technical terms  Be specific – Do not make readers assume  Objective: “To increase rate by 25% in 2 years.”  Activity: “The PI and a student will travel to North Park to collect samples on ten consecutive Saturdays. A sample will consist of...”

Budgets

Budget Basics  Budget Details  Budget Summary  Total expenses by category  Budget Detail or Narrative  Present as narrative or spreadsheet (or both)  Provides details on expenses by category  Provides fiscal perspective on the project and narrative  No expenses included in the budget that are not identified in the narrative  No expenses in narrative that are not in the budget

 Process of developing the narrative and spreadsheet forces the technical review of the project methodology and overall activities  Reason for tracking expense needs while preparing narrative BUT NOT doing the details until after the first complete draft of the narrative is finished

Terminology Direct Costs: Project-Specific Expenses – Personnel Costs: Salary and Wages, Taxes and Fringe benefits – Non-Personnel Costs: Equipment, supplies and materials, travel, publication charges, consultants, subcontracts, tuition, other costs Indirect Costs – Also known as: Overhead, Indirect Cost Reimbursement, Facilities and Administration or F&A Rate, Administrative Costs, and Facilities Costs Cost Sharing

Personnel Costs Types – Full time and part time professional or support staff – Undergraduate and Graduate Students – Post-Docs, Fellows or Research Associates Salary and Wages – Salary, hourly wage, stipends – Percent of time or effort, straight computation – Calendar or summer salary

To obtain your salary – WPConnect/Employee Apps; call HR To estimate future salary – Increase by 4.0% per year or use number from HR How to estimate a colleague’s salary? – Ask them to provide (HR, WPConnect) or call HR – Sponsored Programs can find out from HR for you Summer salary for faculty – Two months over the summer doing research Two tenths of your annual salary for 100% of your time or a percentage of that amount if not 100%

Undergraduate Students – Typical rate $10.00/hour – Academic Year, 35 weeks; Summer, 12 weeks – Hours: Academic Year, 20 hrs; Summer 30 hours Graduate Students – Grad Assistant: $6,000 stipend; 9-credit tuition & fees as a Fringe Benefit; September 1 to June 30, 20 hrs/week – Typical rate $15.00/hour for summer or if NOT a “Graduate Assistant” during the Academic Year – Academic Year 35 to 40 weeks, Summer, weeks – Hours: Academic Year, 20 hrs; Summer 30 hours Other Staff – Percentage of time and salary – Hourly, similar to Undergrad Student but higher rate

Taxes & Fringe Benefits Payroll Taxes – Federal Income Tax and Social Security (FICA) for all full and part time staff and faculty in July and August as well as faculty wages for overload or additional compensation – NJ taxes, disability, unemployment, other for full time staff and faculty during the academic year Benefits – Pension, health insurance, other for full time staff Rates – Federal Income Tax and Social Security: 7.65% (constant) – All items: 36.05% (changes annually – check with OSP)

Fringe Example – The granting agency will only support summer research salary of $ over the summer. – These funds must cover your salary and fringe during the summer. What number plus 8.9% of that number yields 7500? ( *0.089)=7500 – So your salary would be $ and the fringe based on that value would be $

Non-Personnel Costs Travel – Domestic In-State and Local auto (48.5 or 31.5 c), bus, van, taxi Out-of-State estimated costs for plane/train, per diem as per city, registration costs – International Costs estimated similar to out-of-state Funder must approve; US Air Carrier requirement – Specific reason – Specific locations if known

Equipment – Single items over $5,000 – Specific items, capabilities or expectations – Best price for application; may need to attach bid/estimate Student Support – Tuition, fees, “cost of education” – Stipends, travel, other expenses Consultants and Contractors – Limited purpose support that could be provided by another person or company – Independent contractors – Set fee or formula

Subaward/Subcontract – Critical, significant, irreplaceable element of project – Usually includes a Co-PI/PD and partner institution – Costs computed as “prime” award and appropriate forms and support letter attached Supplies & Materials – Office, lab, program, educational, books, software – Computers, small “equipment,” furniture Publication/Dissemination Costs – Reprints, technical production costs Other – Memberships, registrations, subscriptions, refreshments – Other expenses not covered elsewhere

Indirect Costs Indirect Costs are reimbursed for common facility and administrative expenses that cannot be identified specifically with a particular sponsored project. – Facilities Office, lab, classroom, seminar/conference rooms Electricity, heat, water, snow plowing Incidental photocopying, telephone, office supplies – Administration Financial Administration (HR, Accounting, Payroll) Academic Administration (Provost, Deans, Sponsored Programs) Library, IRT

Indirect Cost at WPUNJ – Negotiated through the Department of Health and Human Services using the “Short Form” – Based on a percentage of Salary and Wages 68.8% to June 30; – Department of Education, other agencies 8% for education and other non-research projects – “Long Form” provides the Modified Total Direct Costs (MTDC) Rate used at research-intensive institutions

Indirect Costs Calculation Example – A proposal includes $50,000 in salary and $50,000 for fringe, equipment and other expenses – The indirect cost is based on the salary portion of the request or ($50,000) and is determined by the indirect rate x salaries 50,000 x = 34,400 – The total request would then be $50,000 (salary) + $50,000 (all other)+ $34,400 (indirect) = $134,400

Matching Costs Project funds listed on the proposal that don’t come from the funding agency. – Required or Voluntary Committed Match Soft Costs: Already planned expenses or allocations Hard Costs: New funds that the institution will provide – External Matching Funds that are being applied to the project from other grants, private funds or partner institutions – In-Kind Contribution Donated goods or services provided by a third party

When included? Only when it is required or suggested for competitiveness Always there, whether or not budgeted Who pays? Home Department (Chair’s approval) Another Department (documentable cost whether or not actually charged) College (Dean’s approval) Provost’s Office (Provost’s Approval) Other Funding (Internal/External) When Agreed? Discuss during project/proposal development Authorized during review process

Use Excel / Spreadsheet Program Excel is a spreadsheet that is relatively straightforward to use – Formulas for accurate math – Tracks year to year costs and increments – Tracks annual and cumulative total costs Spend some time to learn the program – On campus workshops to learn the basics – Many good uses once you learn it OSP has worksheets for NSF, USED, USDA

Sample Detailed Budget

Summary Budget Agency form Provides quick-view of entire cost of project in the funder’s format Shows annual totals and/or total project cost

Budget Justification A narrative description of the financial aspect of the project The budget justification should clearly detail the costs proposed and, in some instances, explain how the cost was determined by stating the formula from the spreadsheet Can incorporate selections (tables) from the spreadsheet

Compare the budget justification to the budget detail to make sure all costs are justified Review the project narrative and the budget narrative together to insure that expenses identified for project are included in budget and that the converse is true as well Critical are for internal review Get costs from appropriate sources

How you probably feel right now ! Grant proposals are hard – but very “do-able.”

Workshop Evaluation All responses are completely anonymous. Data will not be reported in a way that could divulge the identity of any respondents. Grants Landscape II: Project, Proposal and Budget Development June 2009

Contact Information Staff:  Martin Williams, DirectorEXT 3263  TBH, Ass’t Director, Pre-AwardEXT 3794  Beth Ann Bates, Program AssistantEXT 2852  Nina Jemmott, Associate VP & Dean, Graduate Studies and ResearchEXT 3093 Office:  Raubinger Hall 107  Fax: Webpage: 