Guidelines for Proposal Development

1. Guidelines for Proposal Development Presented by Office for Sponsored Programs Pre-Award Services

2. OSP/Pre-Award—Funding Source Identification Idea Development Funding Source Identification Proposal Preparation Routing Submission to OSP OSP Award Review/ Approval Return to PI Submission Decline

3. OSP/Pre-Award—Funding Source Identification • 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

4. OSP/Pre-Award—Proposal Preparation Idea Development Funding Source Identification Proposal Preparation Routing Submission to OSP OSP Award Review/ Approval Return to PI Submission Decline

5. OSP / 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

6. OSP/Pre-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

7. OSP/Pre-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

8. OSP/Pre-Award – Proposal 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

9. OSP/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)‏

10. Direct Costs F & A Costs Cost Sharing Total Project Budget + + = OSP/Pre-Award—Budget Preparation Project Budget 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.

11. OSP / Pre-Award – OMB Circular A-21 What makes a proposed cost allowable? • 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

12. OSP/Pre-Award - OMB Circular A-21 What makes a proposed cost unallowable? 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

13. OSP/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

14. OSP/Pre-Award—Budget Preparation 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

15. OSP/Pre-Award—Components of the Budget • Salary projections and time commitment • Fringe benefits and rates • Equipment • Travel • Participant support costs • Other direct costs • F&A • Cost share or match

16. OSP/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

17. OSP/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

18. OSP/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!

19. OSP/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

20. OSP/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

21. OSP/Pre-Award—OtherDirectCosts • 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

22. OSP/Pre-Award—Facilities and Administrative • 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 rentand more than 50% of the project must be conducted in the rented facility F&A Rate Agreement (dated 05/23/07) - Sample Form #10

23. OSP/Pre-Award—Facilities and Administrative • 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)‏

24. OSP/Pre-Award—Cost Share Cost Share - What is it? Any portion of the total costs of a project or program not borne by the sponsor (A-110).

25. OSP/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

26. OSP/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

27. OSP/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?

28. OSP/Pre-Award—Resources • 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

29. OSP/Pre-Award—Routing Idea Development Funding Source Identification Proposal Preparation Routing Submission to OSP OSP Award Review/ Approval Return to PI Submission Decline

30. OSP/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.

31. OSP/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)

32. OSP/Pre-Award—Submission to OSP Idea Development Funding Source Identification Proposal Preparation Routing Submission to OSP OSP Award Review/ Approval Return to PI Submission Decline

33. OSP/Pre-Award—Submission to OSP • Proposal documents can be forwarded to our office in the following ways: • Email: preaward@uconn.edu • Fax: 860-486-3726 • OSP Dropbox: https://www.grad.uconn.edu/osp/drop/ • Drop off: Whetten Graduate Center, Room 105-B

34. OSP/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

35. OSP/Pre-Award—OSP Review and Approval Idea Development Funding Source Identification Proposal Preparation Routing Submission to OSP OSP Award Review/ Approval Return to PI Submission Decline

36. OSP/Pre-Award—OSP Review • Review sponsor policies, laws, regulations • Budget accuracy and justification • Conflict of Interest • Compliance • Subawards/Consultants • Intellectual Property • Limited Submissions • Principal Investigator Status

37. OSP/Pre-Award—Proposal Submission Idea Development Funding Source Identification Proposal Preparation Routing Submission to OSP OSP Award Review/ Approval Return to PI Submission Decline

38. 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. OSP/Pre-Award—Proposal Submission

39. Proposal 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 Idea Development FundingSource Identification Routing Proposal Preparation Submission to OSP OSP Review Award Approval Return to Faculty Submission Decline • Timeliness is critical. • Avoid excess or voluntary cost share.