ABC’s of Proposal Processing NCURA Regional VI/VII Conference April 30, 2008

Dennis J. Paffrath Senior Director, Contracts & Grants Office of Research & Development University of Maryland, Baltimore Phone:

Vicki Krell Sponsored Projects Site Supervisor Arizona State University Office for Research and Sponsored Projects Administration Phone –

What Is Your Role? Assistance to PI (support research) Assure compliance (keep the PI out of jail) Goal: Submit on-time, high quality, appropriately costed, fully compliant proposals that have the greatest chance of being funded.

FIRST GOLDEN RULE IN PROPOSAL DEVELOPMENT THE ONE WITH THE GOLD RULES!

THE SECOND GOLDEN RULE IN PROPOSAL DEVELOPMENT DO NOT ANNOY REVIEWERS Itty Bitty Tiny Font Sizes “Larry don’t forget the graphics here” Hand written pages Sp eling n Gramer

How to be effective In order to be effective at meeting your goals you must know the following: Sponsor Rules/Policies (or where to find them) Department/institution -specific data Proposal application format Institution review process People

Know the Rules Federal OMB Circulars A-21, A-110, A-133 A-21, A-110, A-133 Specific sponsor guidelines NIH Guide NIH Guide NSF Grant Policy Manual NSF Grant Policy Manual Specific institution rules (policies) Travel Travel Consulting Consulting Cost Share, etc. Cost Share, etc.

ALL PROPOSALS The Institution’s Authorized Signatory Signs ALL Proposals and Awards What to do when PIs sign on behalf of University

Pre-Award Content Who May Be a Principal Investigator Types of Applications Types of Proposals Sponsor Missions Agency Forms Electronic Versus Hardcopy Contents of a Proposal Preparing Critical Components Proper Proposal Routing

Who May Be A Principal Investigator Full-time Faculty ( or Staff?) Member Because of: Overall Oversight Overall Responsibility Needs to be contractually tied to the receiving organization

Types of Applications NewNon-CompetingRenewalSupplementalRevision “Grants.gov uses slightly different terms”

Types of Proposals Preliminary Proposals Concept Papers Concept Papers White Paper White Paper Letter of Inquiry or Intent Letter of Inquiry or Intent Formal Proposals Competitive Application for External Funding Competitive Application for External Funding Solicited or Unsolicited Grant proposals Grant proposals Contract Proposals Contract Proposals

Sponsor Missions Government sponsors exist to fulfill legislated or mandated goals Foundations fund projects which support initiatives identified in their Charters, e.g. National Kidney Foundation Not-for-Profits support special purposes, e.g. American Cancer Society

Agency Forms Agency Websites Agency Request for Proposal Grants.gov

Getting Started REVIEW, REVIEW, REVIEW Institution Procedures Agency Requirements Agency Terms and Conditions eRA Requirements

eRA Mandate? Check Request for Announcement (RFA) or Program Announcement (PA) Check Grants.gov for Funding Opportunity Announcement (FOA) If NIH, check NIH eRA Timeline

eRA Considerations Inform Department & Central Administration Anticipate Advanced Timeline Has Institutional Education Already Occurred? If not, assistance will be needed throughout submission Have Institutional Policies/Procedures Changed in Light of eRA?

Contents of a Proposal Transmittal Letter Title page/ Face page Abstract Table of Contents Project Description Biographical Sketches Budget and Budget Narrative Current and Pending Support Facilities and Equipment Letters of Support

Critical Components NEED for Project or Research Science/Scope of Work Budget/Budget Narrative Cost Sharing/Matching F&A (Indirect) Cost Rate

Science…. Why do you need to review the science/scope of work section?

Budgetary Considerations NIH Salary Caps Modular Grant Proposal Budgets Equipment Patient Care Costs Cost Share? F&A Limitations

Pre-Budget Information Allowable Costs Unallowable Costs (even as cost share) Administrative/General-Purpose Costs

Unallowable Costs Always Unallowable Unallowable as Direct Costs General-Purpose Costs

Clerical/AdministrativeSalaries (Generally) Cannot Be Paid!

Budget Narrative Assists Agency in Evaluating Budget Assists in Expediting Expenses Documents Evidence of Allowability *Provide a DETAILED Budget Narrative*

Cost Sharing/Matching Mandatory Voluntary (=Committed) Voluntary Uncommitted Effort

Facilities & Administrative (Indirect) Costs UMB/Government Negotiated Rate Different Rates Research Research Instruction Instruction Other Sponsored Activities Other Sponsored Activities On-Campus On-Campus Off-Campus Off-Campus F&A Waivers

Other Components Scope and Outside Organizations Your Institution Faculty/Staff CANNOT be Subcontractors or Consultants on your institution grants. Your Institution Faculty/Staff CANNOT be Subcontractors or Consultants on your institution grants.

Consultant Individual or Company Independent Contractor Not Significant Portion of Work Services Special Special Temporary Temporary Technical in Nature Technical in Nature

Subcontractors Company or Institution Outside Organization Employees Employees Fringe Benefits Fringe Benefits Overhead Overhead Discrete Part of Scope

Proper Proposal Routing PaperElectronic When do you receive the routing including draft proposal or final proposal.

Details, Details, Details Begin Early Follow the Guidelines Use Most Current Forms Ask Questions Review Materials Postmark versus Receipt Date

Common Pitfalls Failure to follow directions Neglecting to check on who must be available to approve Failing to meet deadline-Always confirm mailing/receipt/time deadline Fatal errors Proposal too long Proposal too long Incorrect font size Incorrect font size

Any Questions????