Grants Landscape II: Project, Proposal and Budget Development

1. Grants Landscape II:Project, Proposal and Budget Development Office of Sponsored Programs Raubinger Hall, Room 107 William Paterson University 973-720-2852 June 2009

2. Contact Information: • Staff: • Martin Williams, Director • TBH, Assistant Director for Pre-Award Services • Beth Ann Bates, Program Assistant • Graduate & Undergraduate Assistants • Nina Jemmott, Associate Vice President and Dean, Graduate Studies and Research • Office: • Raubinger Hall 107 • Phone: 973-720-2852, fax: 973-720-3573 • Email: williamsm@wpunj.edu • Webpage: • www.wpunj.edu/osp

3. Agenda • Grants Landscape I • The Office of Sponsored Programs • Proposal process • Proposal components • Searching for funding • WPUNJ Process, Policies and Procedures regarding grants • Grants Landscape II • Elements of a proposal • Guidelines and proposal review • Narrative components • Budget components

4. Elements of a Proposal • Cover Page, forms, signatures • Abstract • Narrative • Background and problem statement • Goals and objectives • Activity Plan • Evaluation • Budget, budget support, other forms • Appendix and support material

5. Abstract

6. Every agency has its own way of naming the sections of a proposal • Grants.Gov has reduced this some but allows for flexibility for unique agency issues and added more • Can vary by department/unit within an agency • It is up to you as the applicant to do it the right way for the agency that will receive your application • It is also up to you as the applicant to use the correct forms, correct titles/headings, correct formatting and to ask for support for appropriate projects with appropriate costs

7. Guidelines and Review Criteria

8. Guidelines First! • Read the Guidelines Thoroughly to: • Verify Eligibility for the grant program • Establish Connection to the funder’s mission, goals and the grant program’s expected outcomes • Learn the Details of the application process, format, including special information or review requirements • Get Answers to Questions: Call the Program staff! • Evaluate whether the program is right for you, your project and the University

9. Review Criteria: Content • Narrative Requirements • Their language for sections of the whole proposal • Order of sections • Information expectations for sections • Point value for sections • Evaluation Criteria • The “Grading Rubric” for proposals • Checklist MAY BE IN SEPARATE OR MULTIPLE DOCUMENTS

10. The first & most important review issue is Intellectual Quality, Merit and Significance: • How will the project advance “knowledge and understanding in its own field or across different fields?” (NSF) • Does it “address an important problem?” & “How will scientific knowledge or practice be advanced?” (NIH) • Is it “broadly conceived, based on sound scholarship, and appropriately analytical?” (NEH) • ”The extent to which the design of the proposed project reflects up-to-date knowledge from research and effective practice.” (US Dept of Education) • Other Intellectual Quality Issues: • Originality/Innovation: Does it address an innovative hypothesis or employ novel concepts, approaches, methodologies, tools or techniques? • Validity of the need, goals, objectives and supporting information as presented • Quality of participants • Realistic design and likelihood for success • Conducive facilities and environment

11. The second most important review issue is Potential Broader Impact • On project participants (you, others; direct, indirect)? • On the service/support environment/infrastructure? • Of the data or insights to be produced? • Of how others will use the outcomes? • A Key Aspect to address is dissemination: • How will you share the outcomes with others? • Other Broader Impact Issues: • How well will the project/activity: • Promote integration of service, research and education? • Broaden the participation of underrepresented groups (e.g. genders, racial/ethnic minorities, persons with disabilities)? • Benefit your community and society in general?

12. Review Criteria: Technical • Was a Letter of Intent or Preliminary Proposal Required? • Forms: Cover sheet, summaries, assurances • Format: Length, margins, font size, attachments • Organization: Specific sections in specific order • Special Requirements: Human Subjects, ADA • Letters of Commitment: Partners, Evaluators  THESE ARE EASY EXCUSES TO REJECT PROPOSALS

13. Narrative

14. Component Writing Order 1. Activity Plan AND 2. Budget 3. Goals & Objectives 4. Background, Need(s), Problem(s), Benefits 5. Introduction: Credibility of PI/PD, WPU, etc. 6. Evaluation Plan 7. Dissemination Plan 8. Future Activity 9. Summary/Final Introduction/Abstract

16. 1. Activity Plan or Methodology DETAILS! DETAILS! • Rationale: Why are you doing project this way? • Literature review, programs at other institutions • Preliminary activities, outcomes and data • Activities Plan and Accomplishments: • Tasks • Timeline • Personnel: Who will perform each task? • Resources: Facilities, Equipment, Supplies, Money?

17. 2. Budget • Budget Summary • Total expenses by category • Budget Detail or Narrative • Present as narrative or spreadsheet (or both) • Provides details on expenses by category • Provides fiscal perspective on the project and narrative • No expenses included in the budget that are not identified in the narrative • No expenses in narrative that are not in the budget

18. 3. Goals, Objectives, Outcomes • Goal: A broad statement of the ultimate result of the research or change being pursued • Objective: The narrowly defined, measurable and time-specific result you expect to accomplish • Process vs. outcome objectives; Action verbs • Interventions: To [direction of change] + [area of change] + [target population] + [degree of change] + [timeframe] • Research: To [specific research activity] then [impact of research] on [status of problem/need] + [timeframe]. • Outcomes: Short term accomplishments and long term impacts, direct and possibly indirect

19. 4. Background, Problem, Needs, Benefits • Defines what the project will address • Who, what, where, when, why? • Hard evidence and documentation • Statistics, data, evidence • From your literature search & preliminary activities • Authoritative: Census data, government reports, credible experts and publications • Anecdotal evidence gives life to statistics • Impact/outcome if problem is addressed • Link outcome to missions (You & funder) • Summary or problem statement

20. 5. Introduction: Credibility and Capacity • Concise statement of project goal, including problem/need addressed and objectives • Crucial information reader needs to know • Discuss importance, innovation, creativity • Concise statement describing project activities and key outcomes expected • Crucial information reader needs to know • How project addresses the funder’s priorities • Related organizational and staff experience • Previous successful related experience

21. Discipline, Project & Grant Program-Specific Activity Plan Components These vary significantly based on the nature of the project, your discipline, and the specifics of grant program: 6. Evaluation/Assessment: • What will success look like? • How will it be documented? External Consultant(s)? 7. Dissemination of Results: • Think realistic and attainable! Publications & Conference Presentations; Webpage? 8. Future Activities and Impact: • Sustainability: $$$/infrastructure; You & your field • If seed or start-up, this is very important

22. 9. Proposal Summary or Abstract • Stands alone at beginning • First for agency staff and reviewers • Important as public summary of project • “Professional English” as well as “Plain English” • May have special content requirements • Limited length – usually one page or less • Touches on all key details of project • Ones that define the importance, impact and scope of the project: Goal, objectives & outcome • Ones that are most important to the funder • Ones that distinguish your project from others

23. Appendices • Summary Vita/Resume or Biographical Sketch • Education and work history • Related programmatic, research, publication or professional activities and experiences • Leadership and peer-acknowledgement • Letters of support • Work or publicity samples • Agency history, background and plans • Agency tax status and financial statements

24. The Ultimate Goal of a Proposal Abstract

25. Helpful Hints: Content • Be innovative wherever possible • Based on what others are doing • Focus on key questions • Be convincing and thorough • Demonstrate knowledge of subject • State the expected contributions (outcomes) to your field of work • Convey excitement and commitment • Clearly link to the funder’s priorities

26. Helpful Hints: Structure • Clear, concise sentences • Use section- and sub-headings • Use page headings and number pages • Avoid or define jargon or technical terms • Be specific – Do not make readers assume • Objective: “To increase rate by 25% in 2 years.” • Activity: “The PI and a student will travel to North Park to collect samples on ten consecutive Saturdays. A sample will consist of . . .”

27. Budgets

28. Budget Basics • Budget Details • Budget Summary • Total expenses by category • Budget Detail or Narrative • Present as narrative or spreadsheet (or both) • Provides details on expenses by category • Provides fiscal perspective on the project and narrative • No expenses included in the budget that are not identified in the narrative • No expenses in narrative that are not in the budget

29. Process of developing the narrative and spreadsheet forces the technical review of the project methodology and overall activities • Reason for tracking expense needs while preparing narrative BUT NOT doing the details until after the first complete draft of the narrative is finished

30. Terminology • Direct Costs: Project-Specific Expenses • Personnel Costs: Salary and Wages, Taxes and Fringe benefits • Non-Personnel Costs: Equipment, supplies and materials, travel, publication charges, consultants, subcontracts, tuition, other costs • Indirect Costs • Also known as: Overhead, Indirect Cost Reimbursement, Facilities and Administration or F&A Rate, Administrative Costs, and Facilities Costs • Cost Sharing

31. Personnel Costs • Types • Full time and part time professional or support staff • Undergraduate and Graduate Students • Post-Docs, Fellows or Research Associates • Salary and Wages • Salary, hourly wage, stipends • Percent of time or effort, straight computation • Calendar or summer salary

32. To obtain your salary • WPConnect/Employee Apps; call HR • To estimate future salary • Increase by 4.0% per year or use number from HR • How to estimate a colleague’s salary? • Ask them to provide (HR, WPConnect) or call HR • Sponsored Programs can find out from HR for you • Summer salary for faculty • Two months over the summer doing research • Two tenths of your annual salary for 100% of your time or a percentage of that amount if not 100%

33. Undergraduate Students • Typical rate $10.00/hour • Academic Year, 35 weeks; Summer, 12 weeks • Hours: Academic Year, 20 hrs; Summer 30 hours • Graduate Students • Grad Assistant: $6,000 stipend; 9-credit tuition & fees as a Fringe Benefit; September 1 to June 30, 20 hrs/week • Typical rate $15.00/hour for summer or if NOT a “Graduate Assistant” during the Academic Year • Academic Year 35 to 40 weeks, Summer, 8 - 12 weeks • Hours: Academic Year, 20 hrs; Summer 30 hours • Other Staff • Percentage of time and salary • Hourly, similar to Undergrad Student but higher rate

34. Taxes & Fringe Benefits • Payroll Taxes • Federal Income Tax and Social Security (FICA) for all full and part time staff and faculty in July and August as well as faculty wages for overload or additional compensation • NJ taxes, disability, unemployment, other for full time staff and faculty during the academic year • Benefits • Pension, health insurance, other for full time staff • Rates • Federal Income Tax and Social Security: 7.65% (constant) • All items: 36.05% (changes annually – check with OSP)

35. Fringe Example • The granting agency will only support summer research salary of $7500.00 over the summer. • These funds must cover your salary and fringe during the summer. What number plus 8.9% of that number yields 7500? • 6887.05+(6887.05*0.089)=7500 • So your salary would be $6887.05 and the fringe based on that value would be $612.95.

36. Non-Personnel Costs • Travel • Domestic • In-State and Local auto (48.5 or 31.5 c), bus, van, taxi • Out-of-State estimated costs for plane/train, per diem as per city, registration costs • International • Costs estimated similar to out-of-state • Funder must approve; US Air Carrier requirement • Specific reason • Specific locations if known

37. Equipment • Single items over $5,000 • Specific items, capabilities or expectations • Best price for application; may need to attach bid/estimate • Student Support • Tuition, fees, “cost of education” • Stipends, travel, other expenses • Consultants and Contractors • Limited purpose support that could be provided by another person or company • Independent contractors • Set fee or formula

38. Subaward/Subcontract • Critical, significant, irreplaceable element of project • Usually includes a Co-PI/PD and partner institution • Costs computed as “prime” award and appropriate forms and support letter attached • Supplies & Materials • Office, lab, program, educational, books, software • Computers, small “equipment,” furniture • Publication/Dissemination Costs • Reprints, technical production costs • Other • Memberships, registrations, subscriptions, refreshments • Other expenses not covered elsewhere

39. Indirect Costs • Indirect Costs are reimbursed for common facility and administrative expenses that cannot be identified specifically with a particular sponsored project. • Facilities • Office, lab, classroom, seminar/conference rooms • Electricity, heat, water, snow plowing • Incidental photocopying, telephone, office supplies • Administration • Financial Administration (HR, Accounting, Payroll) • Academic Administration (Provost, Deans, Sponsored Programs) • Library, IRT

40. Indirect Cost at WPUNJ • Negotiated through the Department of Health and Human Services using the “Short Form” • Based on a percentage of Salary and Wages • 68.8% to June 30; 59.5 2009-2012 • Department of Education, other agencies • 8% for education and other non-research projects • “Long Form” provides the Modified Total Direct Costs (MTDC) Rate used at research-intensive institutions

41. Indirect Costs Calculation • Example • A proposal includes $50,000 in salary and $50,000 for fringe, equipment and other expenses • The indirect cost is based on the salary portion of the request or ($50,000) and is determined by the indirect rate x salaries • 50,000 x 0.688 = 34,400 • The total request would then be • $50,000 (salary) + $50,000 (all other)+ $34,400 (indirect) = $134,400

42. Matching Costs • Project funds listed on the proposal that don’t come from the funding agency. • Required or Voluntary Committed Match • Soft Costs: Already planned expenses or allocations • Hard Costs: New funds that the institution will provide • External Matching • Funds that are being applied to the project from other grants, private funds or partner institutions • In-Kind Contribution • Donated goods or services provided by a third party

43. When included? • Only when it is required or suggested for competitiveness • Always there, whether or not budgeted • Who pays? • Home Department (Chair’s approval) • Another Department (documentable cost whether or not actually charged) • College (Dean’s approval) • Provost’s Office (Provost’s Approval) • Other Funding (Internal/External) • When Agreed? • Discuss during project/proposal development • Authorized during review process

44. Use Excel / Spreadsheet Program • Excel is a spreadsheet that is relatively straightforward to use • Formulas for accurate math • Tracks year to year costs and increments • Tracks annual and cumulative total costs • Spend some time to learn the program • On campus workshops to learn the basics • Many good uses once you learn it • OSP has worksheets for NSF, USED, USDA

45. Sample Detailed Budget

46. Summary Budget • Agency form • Provides quick-view of entire cost of project in the funder’s format • Shows annual totals and/or total project cost

48. Budget Justification • A narrative description of the financial aspect of the project • The budget justification should clearly detail the costs proposed and, in some instances, explain how the cost was determined by stating the formula from the spreadsheet • Can incorporate selections (tables) from the spreadsheet

49. Compare the budget justification to the budget detail to make sure all costs are justified • Review the project narrative and the budget narrative together to insure that expenses identified for project are included in budget and that the converse is true as well • Critical are for internal review • Get costs from appropriate sources

50. How you probably feel right now ! Grant proposals are hard – but very “do-able.”