1. Best Practices Proposal Preparation University Research Center Administrators Ellen Feldman June, 2010

2. Overview for Preparing and Submitting Proposals Research Administrator role in proposal prep: – Coordinator – Processor – Communicator

3. Steps for Smooth Proposal Prep 1.Read the funding opportunity 2.Contact OSR GCO 3.Meet with PI 4.Prepare the Proposal 5.Process the Proposal

4. 1. Reading the Funding Opportunity Familiarize yourself with RFA (=research funding announcement) Locate the RFA on funder’s website Identify: – Key Dates (due date/time, earliest start date) – Requirements for submission Documents, form sets, signatures – Download “packet” if available Budget restrictions: – Is cost share allowed? – F&A rate/restrictions – Effort- requested in % or person months

5. 2. Contact OSR GCO Your GCO is your partner with you and your PI to navigate and submit the proposal Notify GCO of anticipated submission Provide RFA and clarify any questions

6. OSR GCO is your BFF

7. 3. Meet with PI Set up meeting between yourself & PI Critical to smooth process for submission Schedule 3-4 weeks before due date Use Checklist: guide for questions to discuss with PI

8. 3. Meet with PI (cont.) Non-Budgetary questions: – Title (critical- including spelling!) – Funder – Dates: #years/start and end dates – Project Team: Key contributors – Cost sharing: If so, refer to ORD policy and discuss role of PI http://www.research.northwestern.edu/ord/?src=or-hdr http://www.research.northwestern.edu/ord/?src=or-hdr – Human/animal subjects – Anticipated Attachments: CV Subcontracts Consultant letters of support Other anticipated attachments

9. 3. Meet with PI Budget Details – Critical to creating draft budget for discussion – Use suggested “checklist” spreadsheet to capture information Dates: Start date, stop date, #years Target Budget: Direct and Indirect costs by year and total

10. 3. Meet with PI –Budget (cont.) Personnel: – Key Personnel: » PI’s and effort : AY and Summer (convert % to Person Months if needed) » Research staff (post docs, research faculty)- number and effort – Non-Key Personnel » Graduate students-Number » Allowable non-key personnel and effort » Undergraduates/temps

11. 3. Meet with PI –Budget (cont.) Travel- Ask the following – How many trips? To where? Which years: Domestic or International? – Who will be travelling (PI’s, post docs, etc) – For your estimates: » If Domestic, use reasonable rates based on NU Policies http://www.northwestern.edu/finsys/ps/policies/travel.pdf http://www.northwestern.edu/finsys/ps/policies/travel.pdf » If international and allowed, you may refer to State Department published rates http://aoprals.state.gov/web920/per_diem.asphttp://aoprals.state.gov/web920/per_diem.asp Supplies – Types and estimate expenditures of allowable supplies for each year to be included (back-up calculations will help in long run) – Caution: Refer to the policy on treatment of computer purchases on grants at http://www.research.northwestern.edu/osr/computers.htmlhttp://www.research.northwestern.edu/osr/computers.html

12. 3. Meet with PI –Budget (cont.) Equipment – Is capital equipment (>$5000) included? Subcontracts – Identify entity (university, other institution), PI, contact person – Does PI have a target DC plus IDC for subcontract budgets to be communicated to PI/contact admin? – Subcontract materials » Scope of work, CV’s for key personnel, budget, signed letter of support Consultants – Discuss anticipated effort (#days/year) – Per diem rate, if known

13. Creating the path to a successful Proposal

14. 4. Prepare the Proposal Prepare budget & budget justification – Draft budget using budget template Options available include: – McCormick Research (http://ra.mccormick.northwestern.edu/Proposal.html)http://ra.mccormick.northwestern.edu/Proposal.html – Attached IPR template or others from PI’s home department Include correct fringe rates, pre-set F&A calculations Work with PI to nail down the budget – Draft budget justification McCormick budget templates include suggested language for budget justification at (http://ra.mccormick.northwestern.edu/Proposal.html)http://ra.mccormick.northwestern.edu/Proposal.html – Send to OSR for pre-review via email

15. 4. Prepare the Proposal(cont.) Complete Other Forms: – Refer to OSR website for useful information for forms: http://www.research.northwestern.edu/osr/useful.html http://www.research.northwestern.edu/osr/useful.html Contact Outside entities (subcontractors, consultants) – Communicate exact details & expectations (dates) of required signed documents and budget – Scope of work, CV’s for key personnel, budget, letter of support Initiate cost sharing process if needed

16. 5. Processing the Proposal Routing/Approval/Submission: – Enter and submit proposal in eProposal to OSR for routing – OSR requests receipt 5 days prior to sponsor due date – Monitor approvals/status within OSR If PI is still working on science or any other pieces, ensure close communication with OSR when final version is available- DO NOT LET YOUR PI WAIT UNTIL THE FINAL 10 MINUTES!! If not electronic submission, ensure that you have all proper documentation signed from OSR (cover letter if needed) and work with PI to submit based on funding requirements (Fedex, other electronic systems, etc).