1. The University of Texas at Dallasutdallas.edu Proposal Submission The University of Texas at Dallasutdallas.edu Brian Scott & Emily Lacy Office of Research September 13, 2012

2. The University of Texas at Dallasutdallas.edu The Office of Sponsored Projects 2 Rachell Reilly – Director Amanda Miller – Manager, Contracts Emily Lacy – Manager, Grants Dina Caplinger – Specialist III Jonathan Spencer – Specialist III Angela Fazarro – Specialist III Andrea Selmon – Specialist III Brian Scott - Specialist I Rebecca Everett – ASO III

3. The University of Texas at Dallasutdallas.edu Questions Answered What about contracts? I’ve found a funding opportunity. Now what? Who should I work with? What are the internal deadlines? Who submits and how? Different sponsors = different submission types What internal documents are needed & when?

4. The University of Texas at Dallasutdallas.edu Research Contracts and Grants What are the differences?

5. The University of Texas at Dallasutdallas.edu Grant vs. Contract PI furthers knowledge in a specific area by research PI defines the project fairly loosely Generally no restrictions on publications Annual reports required with a final report of results Final results are disseminated through reports to Sponsor, publications, presentations, etc. Payment schedule is set by agency (cost reimbursable, quarterly, monthly, etc.) 5 PI provides expertise and knowledge to solve a problem The project’s SOW is specific and jointly defined by Sponsor and PI May require prior review on publications Reports are typically more frequent than annual Deliverables are specific and clearly outlined Payment typically corresponds with deliverable schedule

6. The University of Texas at Dallasutdallas.edu Significant Differences: A contract is… a binding agreement between the parties where the recipient of the funds is expected to provide goods or services relatively inflexible significant emphasis placed on delivery of results, products, or performance Payment based on milestones and deliverables 6

7. The University of Texas at Dallasutdallas.edu Types of Contracts Non-Disclosure Agreement Subaward Material Transfer Agreement Memorandum of Understanding Sponsored Research Agreements Service Agreements Collaboration Agreements 7

8. The University of Texas at Dallasutdallas.edu What we look for Do the contract terms fit the research project Clauses that would affect: – UTD’s Fundamental Research Exemption to Export Control Regulations – Publication rights – Protection of the PI’s intellectual property – Licensing – Governing entity 8

9. The University of Texas at Dallasutdallas.edu Internal Forms 9

10. The University of Texas at Dallasutdallas.edu Internal Forms Cont. 10

11. The University of Texas at Dallasutdallas.edu Questions? 11

12. The University of Texas at Dallasutdallas.edu Finding Funding Refresher New Funding Opportunities List on the website: http://www.utdallas.edu/research/fundopps/index.html http://www.utdallas.edu/research/fundopps/index.html Grants.gov Catalog of Federal Domestic Assistance Federal Register Agency websites 12

13. The University of Texas at Dallasutdallas.edu Research Development SPINPlus (infoEd) - http://www.infoed.org/new_spin/spinmain.asp http://www.infoed.org/new_spin/spinmain.asp Contact Beth Keithly x4568 keithly@utdallas.edu * PIVOT will soon be replacing SPINPlus 13

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15. The University of Texas at Dallasutdallas.edu Getting Started Every PI has a Grants Specialist – Talk to your specialist – the more they know and the earlier they know, the more they can help – Updated List is available on the website: http://www.utdallas.edu/research/osp/document s/grant-specialist.pdf http://www.utdallas.edu/research/osp/document s/grant-specialist.pdf 15

16. The University of Texas at Dallasutdallas.edu What can the Specialist do for me? Verify all sponsor/internal guidelines are adhered to Check for budgetary compliance Upload submission materials Provide narrative feedback* *If enough time has been allotted (minimum 4 days) 16

17. The University of Texas at Dallasutdallas.edu Solicitation Specifics RFPFOAPARFABAA

18. The University of Texas at Dallasutdallas.edu RFP/Solicitation Contents Standard details such as due date, budget limits, cost share requirements, etc. Overview of program and areas of interest Review criteria Program Officer information 18

19. The University of Texas at Dallasutdallas.edu Sample NSF Solicitation http://nsf.gov/pubs/2012/nsf12567/nsf12567.htm Notice the due date Read Important Info and Revision Notes Award Info Eligibility – limited PI and/or institution? Program Description 19

20. The University of Texas at Dallasutdallas.edu Sample NSF Solicitation Proposal Preparation Instructions – program specific guidelines – may differ from GPG Merit Review Criteria – Write to the reviewers – Address all topics NSF always submitted via Fastlane 20

21. The University of Texas at Dallasutdallas.edu Sample NIH Solicitation http://grants.nih.gov/grants/guide/rfa-files/RFA-AG-13-009.html Part I: Overview – Participating Organizations/ICs – Due Date Part II: Full Text – Section I. Funding Opportunity Description – Section II. Award Info 21

22. The University of Texas at Dallasutdallas.edu Sample NIH Solicitation – Section III. Eligibility – limited PI/institution? – Section IV. App and Submission Info RFP specific guidelines trump SF424 guide NIH always submitted via grants.gov 22

23. The University of Texas at Dallasutdallas.edu Sample DARPA Solicitation http://www.darpa.mil/Opportunities/Solicitations/I2O_Solicitations.aspx Part I: Overview – Due date – Award info – Program Officer info Part II: Full Text – Section I. Program Description – Section II. Award type (contract, grant, etc.) – Section III. Eligibility and Cost Share requirements 23

24. The University of Texas at Dallasutdallas.edu Sample DARPA Solicitation Section IV. Application instructions – DoD proposals are divided into two sections Volume I: Technical & Management Proposal Volume II: Cost Proposal (very detailed) – Need even more time if subcontractors are involved – Proprietary Info Section V. Evaluation Criteria Submission via grants.gov 24

25. The University of Texas at Dallasutdallas.edu Submission Systems

26. The University of Texas at Dallasutdallas.edu NSF Fastlane If you don’t have an account, contact your Specialist Simultaneous upload and view PI initiates proposal, file update, revised budget OSP submits proposal PI submits progress reports 26

27. The University of Texas at Dallasutdallas.edu https://www.fastlane.nsf.gov/jsp/homepage/proposals.jsp 27

28. The University of Texas at Dallasutdallas.edu Fastlane Proposal Documents Cover Sheet Table of contents (autogenerated) References Budget/Justification Facilities Mentoring Plan (If post docs included) Project Summary Project Description Biosketch Current and Pending Supplementary Docs Data Management Plan Suggested Reviewers 28

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30. The University of Texas at Dallasutdallas.edu NSF Specifics Arial, Courier New, Palatino Linotype – 10 pt Times New Roman, Computer Modern – 11 pt Margins at least 1 inch in all directions Project Summary – one page; – Must address Intellectual Merit and Broader Impacts under separate headings Project Description – 15 pages – Must include Results from Prior NSF Support section 30

31. The University of Texas at Dallasutdallas.edu NSF Specifics References – list all authors; can’t say ‘et al’ Biosketch – 2 page – Must follow the format – Professional Preparation – Appointments – Publications (5 closely related to project; 5 others) – Synergistic Activities (max of 5) – Collaborators and Other Affiliations Collaborators and Co-Editors; Grad Advisor and Postdoc Sponsor; Thesis Advisor and Postgrad-Scholar Sponsor 31

32. The University of Texas at Dallasutdallas.edu NSF Specifics Budget/Justification – Senior personnel limited to 2 months of salary Current and Pending Support – List current proposal Post Doc Mentoring Plan – 1 page Data Management Plan – 2 pages – Is required for ALL proposals Supplementary Docs – Data Management, Letters of Support, Equipment Quotes, etc. 32

33. The University of Texas at Dallasutdallas.edu Fastlane Submission To begin a new proposal, click on -Proposal Functions -Proposal Preparation -Prepare Proposal -Create Blank Proposal To allow OSP submit access: -Click on Proposal Functions -Proposal Preparation -Prepare Proposal -Select the correct Temporary Proposal number, then click ‘Allow SRO Access’ -Click ‘Proceed’ -Click ‘Go’ on the Allow SRO to view, edit, and submit proposal option 33

34. The University of Texas at Dallasutdallas.edu Grants.gov Submissions Non-simultaneous view/upload Not an online portal allowing multiple access Submitted by OSP with an institutional login and password Specific agency picks up application once it passes validation phase in grants.gov Check agency site to see proposal status 34

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41. The University of Texas at Dallasutdallas.edu NIH Proposal Documents Project Summary Project Narrative References Facilities Equipment Biosketch Resource Sharing Plan Budget/Justification Cover Letter Specific Aims Research Strategy If using Human Subjects: – Protection of Human Subjects – Inclusion of Women/Minorities – Inclusion of Children – Targeted/Planned Enrollment If using Animals: – Vertebrate Animals 41

42. The University of Texas at Dallasutdallas.edu NIH Specifics Arial, Helvetica, Palatino Linotype, Georgia – 11 point Margins at least 0.5 inch in all directions Project Summary – max 30 lines Project narrative – 2-3 sentences relating the project to the public health References – list all authors; can’t say ‘et al’ 42

43. The University of Texas at Dallasutdallas.edu NIH Specifics Biosketch – 4 page – Must follow the format – Personal Statement – Positions and Honors – Peer reviewed publications (max of 15) – Research Support State overall goals and responsibilities Do not list dollar amounts or person months Budget/Justification Remember NIH Salary is capped at $179,700 43

44. The University of Texas at Dallasutdallas.edu NIH Specifics Specific Aims – 1 page Research Strategy – 6 or 12 pages – Significance, Innovation, and Approach Cover Letter – chance to influence how the project is reviewed Possible uploads: – Multiple PI Leadership Plan; Contractual Arrangements; Letters of Support; etc. 44

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46. The University of Texas at Dallasutdallas.edu DARPA Specifics 12 point font Volume I: Technical & Management Proposal – Cover Sheet – must follow the format – Table of Contents – Summary – Description broken down into specific sections – Cost Summary – Appendices Reps, Certs, IP, Humans, Animals, etc. 46

47. The University of Texas at Dallasutdallas.edu DARPA Specifics Volume II: Cost Proposal – Cover Sheet – must follow the format – Detailed Cost breakdown Option, Task, Subtask, Month, Cost Category Labor rate/hour Travel – purpose, # of trips/days/people, destination Materials – quantity, unit price, vendor, basis of estimate Equipment quotes 47

48. The University of Texas at Dallasutdallas.edu Internal Forms

49. The University of Texas at Dallasutdallas.edu Proposal Certification Form Required for ALL submissions Dean’s authorization to commit resources (effort, labs, etc.) Dean’s authorization to commit cost share MUST be received prior to submission OSP will NOT SUBMIT without a signed cert form 49

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51. The University of Texas at Dallasutdallas.edu Export Control Required for ALL proposals and contracts Monitored by the Office of Research Integrity Completed and signed by PI MUST be received prior to submission 51

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53. The University of Texas at Dallasutdallas.edu Cost Share/Matching Funds Cost share section of Cert form MUST be signed by Dean Type of cost share must be identified Matching funds must be identified Will NOT submit a proposal without authorization from the Dean approving and identifying cost share/matching 53

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55. The University of Texas at Dallasutdallas.edu Subcontracts Inform Specialist as soon as possible if there will be Subcontracts Documents needed from each subcontractor: – Letter of commitment from participating institution – Statement of Work – Detailed Budget with Justification on correct agency budget sheet 55

56. The University of Texas at Dallasutdallas.edu IDC Waiver Required if there is not a mandatory IDC limitation Not required if RFP limits IDC or sponsor has formal IDC policy (Welch Foundation) MUST be received prior to submission 56

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58. The University of Texas at Dallasutdallas.edu Things to Consider Plan ahead and start early Internal forms require multiple signatures and MUST be completed prior to submission Peruse funding opportunities often to determine due dates Obey the 4 day rule – Entire proposal to OSP 4 days prior to due date (draft of main body acceptable) 58

59. The University of Texas at Dallasutdallas.edu Don’t forget! Follow the 4 day rule! The more time a Specialist has to review, the more in depth feedback you’ll receive And Be flexible and allow for unexpected difficulties. 59

60. The University of Texas at Dallasutdallas.edu Coming Up Next Time! How do I make a budget? Pre and post award budgeting issues and pitfalls 60

61. The University of Texas at Dallasutdallas.edu Questions? 61

62. The University of Texas at Dallasutdallas.edu Contacts – Today’s Presenters Brian Scott Brian.scott@utdallas.edu x4552 Emily Lacy Emily.lacy@utdallas.edu x4572 62

63. The University of Texas at Dallasutdallas.edu Contacting OSP 63 ◦ OSP Main Office – x2313 osp@utdallas.edu ◦ Rebecca Everett – x4313 rebecca.everett@utdallas.edu ◦ Rachell Reilly – x2040 rachell.reilly@utdallas.edu ◦ Amanda Miller – x4575 amanda.miller@utdallas.edu ◦ Emily Lacy – x4572 emily.lacy@utdallas.edu ◦ Dina Caplinger – x2312 dina.caplinger@utdallas.edu ◦ Jonathan Spencer – x2041 jonathan.spencer@utdallas.edu ◦ Angela Fazarro – x4622 angela.fazarro@utdallas.edu ◦ Andrea Selmon – x2315 andrea.selmon@utdallas.edu ◦ Brian Scott – x4552 brian.scott@utdallas.edu

64. The University of Texas at Dallasutdallas.edu Websites 64 OSP (current PI lists) http://www.utdallas.edu/research/osp/index.html Researchers Guide http://www.utdallas.edu/research/guide/index.php Internal Forms http://www.utdallas.edu/research/osp/forms.html SF424 and Form Templates http://grants.nih.gov/grants/funding/424/index.htm#inst NSF GPG http://www.nsf.gov/publications/pub_summ.jsp?ods_key=gpg

65. The University of Texas at Dallasutdallas.edu NIH Tutorials/Samples http://www.nlm.nih.gov/ep/Tutorial.html http://public.csr.nih.gov/aboutcsr/contactcsr/pages/contactorvis itcsrpages/nih-grant-review-process-youtube-videos.aspx http://www.niaid.nih.gov/researchfunding/grant/pages/appsamples.aspx NSF Writing Tips http://www.cs.cmu.edu/~sfinger/advice/advice.html http://www.nsf.gov/pubs/2004/nsf04016/nsf04016_1.htm http://viceprovost.tufts.edu/grantwriting/resources/checklists- outlines-and-templates/ 65