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

dpaffrat@umaryland.edudpaffrat@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

Vicki.Krell@asu.eduVicki.Krell@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

Any Questions????Any Questions????