Pre-Award SessionMUHAS, Dartmouth, UCSF

Commons Challenges and Solutions for Proposal Preparation

Monday October 20, 2014

AgendaO MUHAS Office of Sponsored ProjectsO Funding Opportunity SearchesO Proposal Planning and PreparationO Components of a Grant ApplicationO Time ManagementO Budget Development

MUHASOffice of Sponsored Projects

O OFFICE OF SPONSORED PROJECTS SUMMARYO The Directorate of Research and Publication is

pleased to inform you that the Office of Sponsored Projects is now in force under DRP. The Office is going to be supportive in areas such as:

O Searching for Funding OpportunitiesO Grants application and follow upO Negotiation of contractsO Reviewing and ensuring complianceO Research administration training.O It is essential to make use of this unit for the

development of research

Finding Sources of Funding

Funding Opportunity Resources

O NIH Guide for Grants and Contracts,  official publication for NIH medical and behavioral research grant policies, guidelines and funding opportunities. Sign up for a weekly email

O NIH Global Health Funding News http://www.fic.nih.gov/Funding/News/Pages/funding-news-101314.aspx

O Fogarty Center, NIHO Pivot http://pivot.cos.com/ O Scangrants http://www.scangrants.com/ O Foundation Center

http://www.fic.nih.gov/Funding/NonNIH/Pages/default.aspx

DiscussionO What funding opportunity

services/sites do you currently use?O What has proven the most successful

method of identifying funding opportunities?

Proposal planningProposal Challenges

Avoid Common Proposal Mistakes

O Read the funding announcement and associated application instructions

O Allow time for obtaining approvals, letters and supporting documentation

O Don’t wait until the last minuteO Allow time to send drafts to colleaguesO Contact sponsor to ask questions or discuss

research

Proposal Preparation: Initial Questions to Discuss

O Settle the basic logisticsO Who is going to be the Principal

InvestigatorO What type of application/funding

opportunityO Where will the project take place?O When will the project start and its

duration?O Why is the activity being proposed,

and does it fit within the mission of the organization?

Proposals: Components

Specific Aims Research Narrative

Human Subjects/Anim

al Welfare

Biographical Sketches

Budget and Budget

Justification

Letters of Support

Subcontractor Budgets, Letters

Resources Data Sharing Plans

Proposal Preparation: Who Is Involved?

O Principal InvestigatorO MentorO CollaboratorsO Department AdministratorsO Support StaffO DeanO Grants Office

Discussion: Proposal Experiences at MUHAS, Dartmouth, UCSF

O For a given grant deadline, how many proposals go through the grants office?

O What support staff is available to assist in proposal development?

O Are there senior investigators who can provide guidance or critiques?

O How much time is needed to:O Review forms and application requirements?O Register on new submission systems?O Request and collect letters from collaborators?

Proposal Preparation Steps

O Start accumulating results and information that will add weight to your proposal and demonstrate competence.

O Ask for letters of reference and collaboration at least several weeks in advance (6 to 8 weeks) of the deadline date. Remind your reference providers.

O Be aware of what's going on in your field so that you can include relevant material in the proposal.

O Do your homework to see if you can request that your proposal be sent to a specific review panel.

O Obtain all the relevant application forms and read and reread the instructions so that you understand the submission details clearly.

O Don't hesitate to contact your institution's grant office and/or the program officer at the funding agency in question.

Proposal Preparation: Reviewing the Funding Announcement

Start with eligibility O Is the institution eligible?O Is the PI eligible?O Is the application limited to only one

proposal?

Reviewing the Funding Announcement

O Space and Resource NeedsO Additional space required?O Need to rent or use off-site space?

O CollaborationsO Are other departments involved?O Are other institutions involved?

O Budgetary RequirementsO What is the maximum funding level?O What is the range of amounts of awards to be

made?O Is cost sharing required?O Are there any restrictions on budget categories?

90 - 61 day

s

• Review announcement, guidelines• Prepare outline and develop and draft specific aims• Identify collaborators, share aims, schedule a

conference call• Establish deliverables & deadlines with collaborators• Notify administrative staff of your intent to apply

60 - 31 day

s

• Continue to draft research strategy and refine aims• Contact administrative staff and meet to review RFA• Discuss effort, cost sharing, and matching funds with

chair, academic dean, or area administrators.• Request draft budgets from subcontractors (if

applicable)• Share draft of proposal with colleagues/research

committee

Sample Proposal Preparation Timeline

30-20 day

s

• Obtain subcontract budgets and materials from external collaborators• Finalize budget with department• Finalize additional components of grant and provide to departmental

contact• Budget Justification• Biosketches• Resources• Equipment• Narrative and Summary• Human Subjects/Animal Welfare• Data Sharing Plans• Letters of Support

19-8

days

• Complete draft of research strategy• Meet with OSP staff for consultation and coordination of proposal,

as needed.• Finalize cost-sharing and matching funds with chair, dean or other

administrator

7-2 day

s

• PI forwards proposal, routing form, and any needed attachments to Office of Sponsored Projects for review. (or uploads into system)

• Review and respond to comments from OSP• PI completes final edits and reviews entire proposal prior to

submission

Sample Proposal Preparation Timeline

2 Day

s

• PI reviews final proposal and indicates “ready for submission”

• OSP submits application to sponsor• PI review application in sponsor system (if applicable)• Assure all parts have been received successfully. If

not, make corrections

Post-

Submission

• Monitor sponsor systems and emails for information on review process

• Monitor systems for “just in time” requests• Receive sponsor critique and carefully review

Proposal Preparation

Budget Development

Recent Changes: US Government Rules Change

O Office of Management and Budget issues new guidance on grants called “Uniform Guidance”

O Federal agencies may apply requirements to foreign organizations

O Uniform Guidance revises:O Acronyms and Definitions (Subpart A)O General Provisions (Subpart B)O Pre-Award Requirements (Subpart C)O Post-Awart Requirements (Subpart D)O Cost Principles (Subpart E)O Audit Requirements (Subpart F)

New “Uniform Guidance”: What Does This Mean for MUHAS?

O New terminologyO New rules referenced in awards and

subawardsO Increased emphasis on internal

controls and subrecipient monitoringO Everyone is reviewing the new

requirements to understand the impact. It will take time and will evolve over time

Budget Development

Typical Costs for BudgetsO Salaries and wagesO Fringe benefitsO EquipmentO Expendable supplies and materialsO TravelO SubcontractsO ConsultantsO External Interdepartmental

Budget DevelopmentO Read the funding announcement. Is there a cap on

indirect costs? A percent of effort required for the PI?

O Meet with the PI (several times to review and correct the budget)

O Identify direct costs. Refer to sponsor policies on acceptable direct costs

O Apply institutional fringe rateO Identify equipment that will be requested and obtain

quotes if necessaryO Obtain salary information for personnel in budgetO Identify subcontractors, obtain their budgets and

develop a composite budget

Budget DevelopmentOther Common Costs

O Service centers or recharge centers are common shared services that charge individual projects according to specified rates. A commonly budgeted service center is the animal care facility.

O Other Direct Costs:O CommunicationsO PublicationsO Animal Care CostsO Human Subject CostsO Shop ChargesO Maintenance / Service ContractsO Computer CostsO Graphic Arts / Photographic ServicesO Rental / Lease of FacilitiesO Construction / Renovation / Remodeling Costs

Budget DevelopmentO Here are some examples of costs that

should normally be treated as F&A and NOT budgeted or charged to a grant:O General purpose equipment, furnitureO Administrative costsO Administrative staff salariesO Office suppliesO Cell phones, pagers, PDA’sO MembershipsO Subscriptions

Budget DevelopmentO Travel

O Adhere to institutional policy and agency guidelines

O Distinguish between domestic and foreign travel

O If foreign travel is sponsored by the federal government, use federal international per diem rates

Proposal Development: Subcontracts

O What is the difference between a subcontractor, consultant or vendor/contractor?O Subcontractor: Entity is responsible for

performing a substantive portion of the “work”, involved in programmatic decisions

O Vendor(Contractor): Performs services only as part of their normal business, not a co-Investigator, not involved in publications

O Consultant: May perform some research but does so sporadically throughout the project

Budget JustificationO Narrative written description of the basis

for the requested budget items and how the amounts were calculated.

O Modular budgetsO Provide brief descriptions of duties for all

positions listed in the budget, with the number of person months requested each year and any anticipated fluctuations. 

O Explain any year-to-year fluctuations in the budget

Proposal Development: Internal Review

O The Authorized Official (AO) of the grantee institution certifies the application prior to submission to the sponsor. In the case of grants.gov submissions, the AO approval is electronic.

O As part of the certification process, most institutions have an internal review process to address both sponsor and institutional issues. Typically, the Department Chair may sign to signify agreement and support with the proposed science. Some review processes involve approval for hiring new staff or expanding space. Other considerations for internal review:

O Limit on the number of applicantsO Large program involving cost sharingO Unusual circumstances for the faculty appointment of the

PI

Proposal Review: Compliance Considerations

O The sponsor and your institution will need to know if the project involvesO Human subjectsO Animal SubjectsO Environmental health and safety

issues

Discussion O What is the review process in your

organization? O Are proposals submitted last minute? O Is there a deadline policy?

What is the Institution Signing?

O Representations and CertificationsO Institution’s policiesO Compliance with laws and public policy

concernsO Agreement with sponsor’s terms and

conditionsO Contracts: If you have concerns with

contract terms, you can attach a cover letter and reserve the right to negotiate terms

Grant Application Systems

O Electronic submission of grant applications is required for most NIH application types. Applicants from foreign institutions and international organizations must fulfill some additional requirements to register for electronic submission of grant applications.

O NIH eSubmission Tips for International Applicantshttp://grants.nih.gov/grants/ElectronicReceipt/files/Tips_for_International_Applicants.pdf

O Webinars Electronic Submission of Grant Applications for Foreign Institutions http://grants.nih.gov/grants/webinar_docs/webinar_20120927.htm

O Changes to Foreign Awards for FY13: Training for NIH Program and Grants Management Staff (10/24/2012) http://grants.nih.gov/grants/foreign/

ResourcesO NIH Peer Review Revealed, NIH Peer

Review Revealed provides a front-row seat to a NIH peer review meeting. Real scientists from the scientific community review fictional but realistic grant applications for scientific merit. http://www.youtube.com/watch?feature=player_embedded&v=fBDxI6l4dOA

Proposal ResourcesO Time Management 101 for Grant

Applicants, Science Careers, http://sciencecareers.sciencemag.org/career_magazine/previous_issues/articles/1999_10_08/nodoi.14917315972206947987