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Preparing Proposals

2. Scope of this session. Principal Investigator responsibilities for proposal developmentRouting and approvalsPI Eligibility and other general considerationsBudget developmentBudget justifications. Principal Investigator Responsibilities. Develop proposals with sufficient time for review and ap

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Preparing Proposals

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    1. 1 Preparing Proposals Janet Simons, Director, Research Policy University of Maryland Baltimore Office of Research and Development 5/27/2010

    2. 2 Scope of this session Principal Investigator responsibilities for proposal development Routing and approvals PI Eligibility and other general considerations Budget development Budget justifications

    3. Principal Investigator Responsibilities Develop proposals with sufficient time for review and approval Meet unit, school and sponsor due dates Determine that the level of effort required for a proposed project can be met relative to other effort commitments Sign the proposal to accept responsibility for project performance and reports if the award is made Disclose any conflict of interest (COI) and pursue review and management of the COI 3

    4. Principal Investigator Responsibilities Ultimately responsible for all aspects of the sponsored project Program work and scholarly activity Stewardship of the funds Compliance issues such as Research involving human subjects Safe use of toxins or pathogens in research Protection of personal health information and other private information 4

    5. Routing and approvals at UMB Sponsors usually require that proposals be submitted under the signature of the “institutional official” or “authorized organizational official” UMB has a requirement that all proposals must be routed through the Office of Research and Development, even if the sponsor does not require institutional signoff. At UMB, the official signature is provided by staff of the Office of Research and Development 5

    6. Routing and approvals at UMB Before the authorized official can sign a proposal, it must be routed for approvals through Institute (IHV) School (Medicine) Routing is accomplished electronically using Coeus. 6

    7. Internal Approvals - 1 Principal Investigator (PI) promises To perform the project and to oversee performance by other project personnel To provide any required reports, data or other deliverables to the Sponsor That the information provided in the proposal is true and accurate That the project will be performed ethically and with integrity PI does not have the authority to commit his/her own time or UMB resources to a project, even if a Sponsor does not require institutional signature PI may need approvals or licenses to perform the project, such as for use of human subjects 7

    8. Internal Approvals - 2 Chief, Chair, Director Reviews and authorizes time/effort commitments of faculty Agrees to commit resources of their unit, including administrative oversight of the award Collaborating Department Approval Authorizes commitment to the project of personnel from units other than that of the PI 8

    9. Internal Approvals - 3 Dean Authorizes commitment of School resources Approves requests for certain UMB policy waivers, such as cost-sharing commitments, eligibility to be a PI, reduction to UMB’s overhead (“F&A”) rate. 9

    10. Proposed Subrecipients, Consultants Assure UMB that their personnel and other resources will be made available for the project if it is funded 10

    11. UMB Commitments Without internal approvals and external sign-offs and assurances, the authorized officials for UMB (Office of Research and Development) would not be able to sign the proposal to commit resources to the project, or to obligate outside entities to commit their resources Similarly, those approvals allow UMB to accept an award or sign a contract, obligating UMB and its personnel and collaborators to perform a project 11

    12. 12 Pre-proposals and Letters of Intent Give the sponsor an idea of how many applications to expect Enable the sponsor to plan for review of the applications, to avoid conflict of interest on the part of the reviewers Usually do not require institutional signature Need to be routed ONLY IF a budget is required as part of the pre-proposal

    13. PI Eligibility UMB policy http://www.ord.umaryland.edu/policies_procedures/external_grants_funds.html SOM policy http://medschool.umaryland.edu/research/eligibility.asp Sponsor requirements review proposal instructions 13

    14. Reviewing application requirements Submission due date? Forms? Page restrictions? Budget restrictions? Minimum or maximum years of support? Requirements for letters of support or other documentation? 14

    15. 15 Proposal activities to do well before the deadline: Contact proposed collaborators for required documents Update biosketch For large NIH applications where budget for any project year is $500,000 or more for direct costs: Obtain prior approval from NIH for submission (takes several weeks)

    16. Budget Development General Guidelines Cost Categories 16

    17. Direct Costs Costs that directly support a project or program Easily identified with a project (“allocable”) 17

    18. Indirect costs Expenses such as UMB’s procurement office or library provide services generally to sponsored projects, but cannot be associated specifically with a single project Also known as: Overhead Facilities & administrative costs (F&A) 18

    19. 19 Allowable Costs OMB Circular A-21 - Cost Principles for Educational Institutions Allowable, unallowable costs Allowable costs must also be Reasonable Allocable Consistently treated Necessary Compliant with any award restrictions Incurred during the project period (OMB Circular A-110)

    20. 20 Sponsor requirements Limit on total budget request? Cap on salary costs? Restrictions on other cost elements? Requirement to include certain costs (e.g., travel to a program meeting)? F&A costs - allowed? At what rate?

    21. Budget Preparation Science, budget and budget justification must be in harmony Understand the sponsors restrictions and rules Don’t guess Ask for the amount of money you need to perform the project work -- no more, no less. Create your budget after you write your specific aims and project plan and know what those needs are 21

    22. Any budget form will do…??? Be sure to understand what budget form is required for your application If UMB will be the subrecipient, find out from the other organization the form or format for the budget 22

    23. Federal form – example #1 23

    24. Federal form – example #2 24

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