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Proposal and Budget Preparation

ORA-1120Module 1: Introduction and Overview

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Vocabulary

• RFP• A-21 and CAS• PI• RPM• ORA• OSR• IDC (F&A)• ? ? ?

Check the Webliography Page for a Research Administration Glossary.Check the Webliography Page for a Research Administration Glossary.

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Grants.gov

• Replaces paper applications with electronic forms

• Requires electronic submission of all federal proposal applications– All agencies must post their Funding

Opportunity Announcements (FOA)– Some agencies post application packages – Submission via Grants.gov is mandatory for

some sponsors and optional for others

Go to: grantsgov.stanford.edu for more information!Go to: grantsgov.stanford.edu for more information!

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Supplementary Notes

Preparation:

1. Start working on your application early!

• Contact your Institutional Representative if you need assistance.

• Administrators/PIs/Staff: do not create an account with Grants.gov – Stanford is registered as an institution.

2. Utilize training resources well before the deadline.

• Take the “Grants.gov Guided Tour” training. Enroll in STARS for ORA-1215.

• Check the Stanford Grants.gov support website.

3. Ensure you have the compatible version of Adobe Reader!

• Currently 8.1.7 or 9.1.2 (9.1 or higher works best on Macs).

• Check the Grants.gov Software Download Page for updates.

• If you have difficulty with Internet Explorer or Safari, download Mozilla Firefox as an alternate browser for both PC and Mac platforms.

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Supplementary Notes

Preparation Continued

4. Update your profile in NIH eRA-Commons: If not registered yet, contact your Institutional Representative at least two weeks in advance to register the PI. If your PI is already registered, make sure their profile is updated so it is an exact match to what is on the application (title, degrees, name, etc.). Any Postdocs that will be “Key Personnel” on the proposal must be given an NIH eRA Commons account also.

5. Your Institutional Representative submits the final application. Administrators/PIs/Staff do not submit the application directly to Grants.gov. The completed application is forwarded by your Institutional Representative via eSubmit.

• Time Line: Remember, you are required to submit your completed application to your Institutional Representative via eSubmit by 9:00 am, at least 5 business days before the agency’s submission deadline! Add departmental review requirements to the 5 business days needed for institutional review.

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It All Begins With The Proposal

• A detailed request for funding, usually prepared in accordance with the sponsor’s instructions

• An official record of what was“promised” by Stanford to a sponsor

What is a proposal?

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Supplementary NotesSupplementary Notes

Once the Principal Investigator completes the proposal, she routes to all appropriate parties for review and signatures within Stanford electronically using the PDRF. The proposal is then endorsed by the Institutional Representative and submitted to the sponsor. The sponsor will review the proposal and considersit for acceptance.

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Supplementary NotesSupplementary Notes

What is an Institutional Representative?The individual named by Stanford University who is authorized to act for the organization, and to assume the obligations imposed by Federal, State and local laws, regulations, requirements, and conditions, as well as University policies that apply to the proposal and award. In signing a proposal application and in accepting a corresponding award, this individual certifies that the applicant organization will comply with all applicable assurances and certifications referenced in the application. This individual's signature on the proposal application further certifies that the applicant organization will be accountable both for appropriate use of funds awarded and for the performance of the sponsored project activities resulting from the application.

Who is my Institutional Representative?– School of Medicine: Research Management Group (RMG)– All Other Schools: Office of Sponsored Research (OSR)

• National Science Foundation (NSF) for School of Engineering: Engineering Research Administration (ERA)

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Minimum Proposal Requirements

1. Proposal Development & Routing Form (PDRF)

2. Statement of Work

3. Budget and Budget Justification

If the sponsor does not specify, three components are required by Stanford:

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Supplementary NotesSupplementary Notes

Sponsors often specify necessary components for the proposal package. If NONE are specified, Stanford will require these three in order to process the proposal. At minimum a proposal requires:

1. Proposal Development & Routing Form (PDRF)

This form is for Stanford use only and includes:• Key information about the project• Sponsor deadline and mailing information• Confirmation that the proposal has been appropriately reviewed• Certifications by Principal Investigator • Find the PDRF and instructions on the SeRA Website

2. Statement of Work

The Statement of work is the “what” and “why” of the project. Why should the work be done? It also contains the “how” and “when” of the project. What is the plan of action? How will the work be done?

3. Budget

The budget is the financial expression of the project and must include:• estimated costs for the entire project period broken into “Direct” and “Indirect” costs• justification for all costs, and required for all administrative charges• separate budgets for subawarded work

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Proposal Application Packets

• Provided by some sponsors• Instructions must be followed exactly!• Don’t assume anything!

Contact OSR or your school based management team for help!

Contact OSR or your school based management team for help!

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Supplementary NotesSupplementary Notes

Proposal application packets contain forms and information. Check with OSR or your school based management team to obtain an application package.

CHECK REFERENCES

Here are some helpful web sites:

• NIH Grants.gov Application Guide for online grant applications

• Public Health Services PHS, which includes NIH, Paper Grant Application Package (PHS 398)

• NSF Proposal & Award Policies & Procedures GuideJan. 5, 2008 – Jan. 4, 2009: This Document AppliesJan 5, 2009 – April 5, 2009: This Document Applies April 6, 2009: This Updated Document Applies (NSF combined their two policy documents: the NSF Grant Proposal Guide (GPG) and the Grant Policy Manual (GPM) into a single electronic policy framework.  This change was effective June 1, 2007.  This document supersedes all prior versions of the GPG and GPM.)

Check the Webliography for this course

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Proposal Development and Routing Form (PDRF)

• MUST accompany a proposal submission to the Institutional Representative

• Is for Stanford use only, and includes:– Key information about the sponsor– Confirmation that the proposal has been

appropriately reviewed– Sponsor deadlines and mailing information

• Link to PDRF and User Guide

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Proposal Components

1. Cover sheet

2. Table of contents

3. Abstract

4. Program description

5. Bibliography

6. Budget and budget justification

7. Resources and environment

8. Key personnel9. Current and pending

support10. Appendices11. Assurances and

Certifications12. Checklists

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Cover Sheet andTable of Contents

• Cover Sheet (Face Page):– Summarizes key information for the sponsor– Indicates Stanford endorsement of the

proposal

• Table of Contents– Lists each section of the proposal and

associated page numbers

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Abstract

A Project Summary which:– Concisely describes the aims and procedures of

the proposed project– Is usually limited to 200-400 words

Should be written in lay termsMay be used for press releasesOften placed in a database to indicate to taxpayers how

tax dollars were used

Leland Stanford Jr.

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Program Description

• Purpose– The “what” and “why” of the project.– Why should this work be done?

• Methodology– The “how” and “when” of the project. – The action plan. – How will it get done?

This is sometimes referred to as a Statement of Work (SOW).SOW may have page limitations!

This is sometimes referred to as a Statement of Work (SOW).SOW may have page limitations!

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Bibliography

Includes references for any literature cited in the proposal, including:

– Author– Title– Volume number– Page number– Year of publication

Different disciplines may have different formats.Different disciplines may have different formats.

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Budget and Budget Justification

• Estimated costs for the entire project period

• Justification for all costs• Separate budgets for subawarded work• Pay special attention to the justification for

– Clerical and administrative expenses– General-purpose (non-scientific) equipment

Stanford Policy requires a budget justification for all administrative expenses (see RPH 3.6)

Stanford Policy requires a budget justification for all administrative expenses (see RPH 3.6)

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Resources and Environment

• May be required by sponsor (NIH, NSF)• Opportunity to promote the research

environment of the University– Laboratories and other facilities– Equipment– Office space– Etc.

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Wording “Availability”

Suggested wording for proposals:

“…[existing specialized equipment for facilities] will be available for the performance of this project at no direct cost to the sponsor.”

Specifying “at no DIRECT cost” tells the sponsor that the resources will be made available, while avoiding a cost sharing commitment. If your proposal does not have a “Resources and Environment” section, put this into the Budget Justification.

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Key Personnel

• Includes consultants & subrecipients

• Attach Curriculum Vitae or Biographical Sketches of each to establish competency

• List of relevant publications

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Supplementary Notes

Most sponsors require a list of key personnel being proposed to work on the project, as well as their roles. These individuals are vital to the technical execution of the project. The Curriculum Vitae (CV) should establish their competence.

Depending on the sponsor, consultants may be included among “Key Personnel.”

Some sponsors, e.g., NSF, limit CVs to two pages.

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Current and Pending Support

List other projects requiring a portion of PI or senior personnel time

– Project Title– Sponsor – Period of performance– Percentage of effort – Amount of award (or amount requested)

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Supplementary Notes

Most sponsors ask for a list of all other sources of support for ongoing projects as well as pending support from proposals submitted elsewhere.

This information is available in SPIDERS, the Sponsored Projects online database. If you require access to the SPIDERS database, please submit the “OSR Form 54: Authorization for Sponsored Projects SPIDERS/PRISM Access Form”.

Do you need instructions for Setting Up SPIRES Access? Check the web.

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Appendices

May include:• Supporting documents• Tables• Charts• Photographs• Articles

Some sponsors require prior approval to add appendices!Some sponsors require prior approval to add appendices!

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Federal Assurance and Certifications

Standard federal assurances include:– Certification regarding Lobbying– Drug-Free Workplace– Delinquency on Federal Debt– Civil Rights– Debarment and suspension

You should call OSR or your Research Administration Office for advice; they can complete the forms for you.

You should call OSR or your Research Administration Office for advice; they can complete the forms for you.

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Sponsor Checklist

• Many sponsors provide proposal checklists.

• Be sure to complete it and include it in the proposal, if required.

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Instructional Activity

“Components of a Proposal”

In this activity, you will put a puzzle together based on the 12 components of a proposal.

Pause the training, then link to the activity. When you have completed the activity, close the window to return to the training.

• Hint: if you miss some of the components in this exercise, you can find the answers in the training.

• See a completed NIH proposal showing all the components

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End Module I

Congratulations! You have completed Module I of the Budget and Proposal Preparation course. If you are ready, you may launch Module 2. If you want to return to the training later, you may close this window and launch another module from the Cardinal Curriculum when you’re ready.