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Guidelines for Proposal Development. Presented by Office for Sponsored Programs Pre-Award Services. OSP/Pre-Award—Funding Source Identification. Idea Development. Funding Source Identification. Proposal Preparation. Routing. Submission to OSP. OSP. Award. Review/ Approval. Return - PowerPoint PPT Presentation
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Guidelines for Proposal DevelopmentGuidelines for Proposal Development
Presented byPresented by
Office for Sponsored ProgramsOffice for Sponsored Programs
Pre-Award ServicesPre-Award Services
Proposal Preparation
Funding Source Identification
Idea Development
Award
Decline
Routing
Submission to OSP
Review/Approval
Return to PISubmission
OSP
OSP/Pre-Award—Funding Source OSP/Pre-Award—Funding Source IdentificationIdentification
OSP/Pre-Award—Funding Source OSP/Pre-Award—Funding Source IdentificationIdentification
• UConn website: http://www.osp.uconn.edu/extfunding.php
– Sponsored Programs Information Network (SPIN)
Instructional video available at: http://osp.uconn.edu/infoed.php#
– SMARTS
– Grant Advisor Plus
• On-line searching (e.g., Grants.gov)
• Agency announcements
• Internal competitions
Proposal Preparation
Funding Source Identification
Idea Development
Award
Decline
Routing
Submission to OSP
Review/Approval
Return to PISubmission
OSP
OSP/Pre-Award—Proposal PreparationOSP/Pre-Award—Proposal Preparation
OSP / Pre-Award—Proposal PreparationOSP / Pre-Award—Proposal Preparation
PI/Department Responsibilities:
Read and understand the sponsor policies and procedures
Prepare technical proposal
Prepare budget and justification
Prepare other required documentation
Obtain internal approvals
OSP/OSP/ Pre-Award – Proposal PreparationPre-Award – Proposal Preparation
Pre-Award Assistance:
• Provide technical assistance on policies, procedures, laws and guidelines
• Approve draft budget and justification• Assist with responding to sponsor requests for additional
information: JIT Information, revised budgets, etc.• Update proposal preparation information on OSP’s
website regularly: salaries, fringe rates, F&A rates, etc.• Set up NSF Fastlane and NIH eCommons accounts and
assign temporary passwords
OSP/OSP/ Pre-Award – Proposal PreparationPre-Award – Proposal Preparation
Account Registration:
NSF Fastlane – sample form #1
http://osp.uconn.edu/fastlane_password.php
NIH eCommons – sample form #2
https://www.grad.uconn.edu/osp/forms/
ecommons_password.php
OSP Checklists:
Proposal Checklist – sample form #3
NSF Checklist – sample form #4
OSP/OSP/ Pre-Award – Proposal Pre-Award – Proposal Preparation Preparation
Required Forms:
Internal Proposal Review Form – sample form #5
Compliance Approvals Cost Share Signatures of PI/Co-PI/Department Head/Dean
Significant Financial Disclosure Form – sample form #6
NIH Certification Form – sample form #7
Subrecipient Checklist/Consortium Statement – sample form #8
OSP/OSP/ Pre-Award – Proposal Preparation Pre-Award – Proposal Preparation
Required Items:
– Guidelines
– Internal Proposal Review Form
– Significant Financial Disclosure Form
– NIH Certification Form (if applicable)
– ARO Signature Page
– Proposal Summary/Narrative
– Budget & Justification
– Additional Items Required by Sponsor
– Subcontract Information (if applicable)
– Compliance information (if applicable)
Direct Costs
F & A Costs
Cost Sharing
Total ProjectBudget
++ =
OSP/Pre-Award—Budget PreparationOSP/Pre-Award—Budget Preparation
A categorical list of anticipated project costs that represent the Principal Investigator's best estimate of the funds needed to support
the work described in a proposal.
Project Budget
OSP / Pre-Award – OMB Circular A-21OSP / Pre-Award – OMB Circular A-21
Reasonable
Allocable to the proposed project
Treated consistently in like circumstances
Conforms to sponsor policies and guidelines, the cost principles contained in A-21 and institutional policy
What makes a proposed cost allowable?
OSP/Pre-Award - OMB Circular A-21OSP/Pre-Award - OMB Circular A-21
An unallowable cost is any cost or expense charged to a grant or contract that is prohibited by Federal or State Law, University Policy, and/or sponsor guidelines
• alcoholic beverages
• entertainment
• fund raising
• Alumni events
What makes a proposed cost unallowable?
OSP/Pre-Award—Budget PreparationOSP/Pre-Award—Budget Preparation
What are direct costs?
• Identified specifically with a particular sponsored agreement
• Incurred to advance the work under that sponsored agreement
• Assigned to that sponsored agreement with relative ease and a high degree of accuracy
What are F&A (Facilities & Administrative) costs?
• Benefit common or joint activities
• Benefit numerous projects – cannot readily be identified with a particular sponsored agreement
• Cannot be proportioned to benefit a group of sponsored agreements with relative ease or a high degree of accuracy
OSP/Pre-Award—Budget PreparationOSP/Pre-Award—Budget Preparation
OSP/Pre-Award—Components of the OSP/Pre-Award—Components of the BudgetBudget
• Salary projections and time commitment
• Fringe benefits and rates
• Equipment
• Travel
• Participant support costs
• Other direct costs
• F&A
• Cost share or match
OSP/Pre-Award—PersonnelOSP/Pre-Award—Personnel
Senior Personnel / Other Personnel
• Salary and Fringe Benefits
Current salary plus 5% projected increase
FB rates from federal cost/indirect rate agreement
• Effort detail – person months
Academic/Calendar/Summer
Person/months calculator – Sample form #9: http://www.osp.uconn.edu/calc_pm.php
NOTE: NIH has a salary cap limit of $191,300/year through 12/31/08
OSP/Pre-Award—Equipment & SuppliesOSP/Pre-Award—Equipment & Supplies
• Equipment
Federal definition (A-110): Tangible nonexpendable personal property including exempt property charged directly to the award having a useful life of more than one year and an acquisition cost of $5000 or more per unit. However, consistent with recipient policy, lower limits may be established.
$1,000 unit cost by State policy
• Supplies and Materials
consumable items having an acquisition unit cost
of less than $1,000
costs should be project-specific, reasonable
and based on actual or historical use
OSP/Pre-Award—TravelOSP/Pre-Award—Travel
Institutional (State) policy and sponsor guidelines have to be followed
Domestic and foreign travel need to be separated
Travel justification should include who is traveling, where, the purpose of the trip, the number of trips, the costs for the air fare, per diem, lodging, car rental and other costs associated with the travel
Fly America!
OSP/Pre-Award—ConsultantsOSP/Pre-Award—Consultants
• Consultants Defined as independent contractors, not employees, who
provide a service that cannot be performed satisfactorily by existing University personnel during the performance of the project
Consultant costs should include the period of service or the number of days on the project, the professional fee, travel expenses and other related expenses
Consultants must provide a letter of intent to the Office for Sponsored Programs
OSP/Pre-Award—SubawardsOSP/Pre-Award—Subawards
• Subawards
A Subrecipient Checklist/ Consortium Statement signed by an authorized representative of the subawardee's institution, is required.
Subawards must also provide a statement of work, a budget and budget justification
OSP/Pre-Award—OtherOSP/Pre-Award—Other DirectDirect CostsCosts
• Participant Support Costs Usually conference or workshop related
• Stipends• Travel• Subsistence• Other
• Publication Costs
• Animal Per Diem Should reflect the type of animal, the number of animals and the unit
cost per animal Per diem rates available at:
http://www.oars.uconn.edu/perdiem.html
OSP/Pre-Award—Facilities and OSP/Pre-Award—Facilities and AdministrativeAdministrative
• UConn’s Federally Negotiated Rates:
Research: Currently 52%; Rate increases to 53% as of July 1, 2009
Other Sponsored Activities (OSA): Currently 30.6%; Applies to projects which provide public service
(not research)
Off-Campus: Currently 26%; Budget must include rent and more than 50% of the
project must be conducted in the rented facility
F&A Rate Agreement (dated 05/23/07) - Sample Form #10
OSP/Pre-Award—Facilities and OSP/Pre-Award—Facilities and AdministrativeAdministrative
• F&A Rate Bases:
Total Direct Costs (TDC)
Any F&A rate less than the University's federally negotiated rate will be assumed on Total Direct Costs (ex., USDA – 25%, state projects – 20%, or sponsor-limited rate)
Modified Total Direct Costs (MTDC) The University's federally negotiated F&A rate(s) will be
assumed on Modified Total Direct Costs (i.e., direct costs less equipment, subcontracts > $25k, tuition remission, patient care, capital expenditures, rental costs, scholarships & fellowships)
OSP/Pre-Award—Cost ShareOSP/Pre-Award—Cost Share
Any portion of the total costs of a project or program not borne by the sponsor (A-110).
Cost Share - What is it?
OSP/Pre-Award—Cost ShareOSP/Pre-Award—Cost Share
Mandatory
• Required by the sponsor as condition of the award
Voluntary Committed
• Not required by sponsor
• Explicit, quantifiable commitment of time in proposal budget and/or justification
• Tracking required for F&A rate calculations
Voluntary Uncommitted• Effort above and beyond commitment in proposal does not need to be tracked
OSP/Pre-Award—Cost ShareOSP/Pre-Award—Cost Share
Costs proposed as COST SHARING
cannot be committed as cost sharing on any other project or program
cannot be committed from another federal award
must be directly related to the project objectives
must be incurred during the award period
must be allowable and allocable under the federal cost principles
are LEGALLY binding commitments that must be fulfilled, are subject to AUDIT and must be tracked during award period, and must be verifiable from institutional documents
OSP/Pre-Award—Budget JustificationOSP/Pre-Award—Budget Justification
OSP requires a full budget and budget justification for all applications including NIH modular budgets. All items listed in the budget must be included in the
budget justification and explained in detail.
Explains why each cost is essential to performing project
Explains how project costs were estimated Explains any special circumstances applicable to the project
Why is a budget justification important?
• OSP Website - www.osp.uconn.edu:
Quickfacts Sheet – Sample Form #11
Budget Templates
Budgeting and Costing Guide
Forms (UConn and Agency)
Electronic Submission Instructions
Account Registration NSF Fastlane NIH eCommons
OSP/Pre-Award—ResourcesOSP/Pre-Award—Resources
Proposal Preparation
Funding Source Identification
Idea Development
Award
Decline
Routing
Submission to OSP
Review/Approval
Return to PISubmission
OSP
OSP/Pre-Award—RoutingOSP/Pre-Award—Routing
OSP/Pre-Award—RoutingOSP/Pre-Award—Routing
OSP requests that every effort is made to submit your
proposal to our office no less than 5 business days
prior to the agency deadline.
This allows OSP to review the proposal thoroughly and
identify problems that need to be addressed,
as well as allow you ample time to finalize the proposal.
OSP/Pre-Award—RoutingOSP/Pre-Award—Routing
PIs are responsible for providing the following information to
OSP in order for proposals to be processed and approved:
• Internal forms
• Proposal documents Scope of work
Budget and budget justification Electronic application (if applicable)
• Consultant documents (if applicable)
• Subaward documents (if applicable)
OSP/Pre-Award—Submission to OSPOSP/Pre-Award—Submission to OSP
Proposal Preparation
Funding Source Identification
Idea Development
Award
Decline
Routing
Submission to OSP
Review/Approval
Return to PISubmission
OSP
OSP/Pre-Award—Submission to OSPOSP/Pre-Award—Submission to OSP
Proposal documents can be forwarded to our office in the
following ways:
• Email: [email protected]
• Fax: 860-486-3726
• OSP Dropbox:
https://www.grad.uconn.edu/osp/drop/
• Drop off: Whetten Graduate Center, Room 105-B
OSP/Pre-Award—Submission to OSPOSP/Pre-Award—Submission to OSP
Electronic Submissions:
NSF Fastlane
Upload required proposal documents
Allow SRO access to view, edit and submit
Grants.Gov
Download and complete application package
Email application or upload to OSP drop box
Proposal Preparation
Funding Source Identification
Idea Development
Award
Decline
Routing
Submission to OSP
Review/Approval
Return to PISubmission
OSP
OSP/Pre-Award—OSP Review and ApprovalOSP/Pre-Award—OSP Review and Approval
• Review sponsor policies, laws, regulations• Budget accuracy and justification• Conflict of Interest• Compliance• Subawards/Consultants• Intellectual Property• Limited Submissions• Principal Investigator Status
OSP/Pre-Award—OSP ReviewOSP/Pre-Award—OSP Review
Proposal Preparation
Funding Source Identification
Idea Development
Award
Decline
Routing
Submission to OSP
Review/Approval
Return to PISubmission
OSP
OSP/Pre-Award—Proposal SubmissionOSP/Pre-Award—Proposal Submission
OSP/Pre-Award—Proposal SubmissionOSP/Pre-Award—Proposal Submission
It is the PI's responsibility to mail all hard copies of approved proposals. OSP will submit all electronic applications
requiring submission by an AOR and/or sponsored program representative.
Submission of electronic applications not requiring AOR and/or sponsored program submission will be the responsibility of the PI.
– Timeliness is critical.– Avoid excess or voluntary cost share.
Proposal Preparation
Funding Source
Identification
Idea Development
Award
Decline
Routing
Submission to OSP
Review
Approval
Return to Faculty
OSP
Proposal Development and SubmissionProposal Development and Submission
How to get your proposal signed, sealed, delivered. . .
Provide all required information in
a timely manner
Read and become familiar with the
sponsor guidelines and policies
Rules, Regulations and Sponsor
Requirements are legal
commitments and must be
followed
Use the OSP Website for guidance
Call our office for technical
assistance
Submission