Proposal Preparation Processing

1. Proposal Preparation & Processing Office of Contracts and Grants January 6, 2011 2:00pm – 4:30pm 1

2. www.colorado.edu/VCResearch/research/index.html 2

3. OBJECTIVES Identify resources to search for funding opportunities Highlight differences between grants and contracts Outline responsibilities Investigators [PI and Co-PI and Senior Personnel] Office of Contracts and Grants (OCG) Develop a budget: allowable and unallowable costs Identify common documents need for proposal submission Breakout sessions: major government sponsor types 3

4. RESOURCES FOR FUNDING OPPORTUNITIES www.colorado.edu/VCResearch/funding 4

5. INTERNAL FUNDING In addition to visiting the Vice Chancellor for Research’s website: CHA (Center for the Humanities and the Arts) Contact Prof Helmut Muller-Sievers, 2-1931 helmut.muller-sievers@colorado.edu, International Education Contact Nancy Vanacore, 2-6016 nancy.vanacore@colorado.edu 5

6. EXTERNAL FUNDING Federal Agencies: Grants.gov website www.grants.gov – Find grant opportunities-See sample listing of federal agencies on OCG web page Private organizations and Foundations: See sample listing on non-federal agencies on OCG web page All agency types: InfoEd SPIN: http://www.infoed.org/new_spin/spin.asp The Chronicle of Higher Education: http://chronicle.com/free/grants/ The Foundation Directory [Norlin Library] Annual Register of Grants Support [Norlin Library] Directory of Grants in Humanities [Norlin Library] A variety of resource materials on funding and grant writing [Norlin library] 6

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8. PI RESPONSIBILITIES Develops and Prepares proposals for extramural funding in accordance with sponsor guidelines and University policies IDENTIFIES potential funding sources READS guidelines with special attention to: Due Date Budget Limitations/Requirements Text Requirements Equipment Requirements Method of Submission Export Law Application Insurance / Indemnification requirements Restrictions on publications/ Use of foreign nationals Security requirements (Access requirements to agency secure websites Personal Identity Verification Background checks/ Required forms 8

9. PI RESPONSIBILITIES Ensures all parties are registered in the submission system NSF FastLane (for Investigators and Sr Personnel) NASA NSPIRES (for Investigators and Sr Personnel) NIH Commons (for Investigators and Sr Personnel) Grants.gov (for institutions) FedConnect (for institutions) 9

10. PI RESPONSIBILITIES Verifies Principal Investigator Eligibility Tenure-track faculty; Non-tenure track faculty such as Sr. Instructor, Instructor; Research Faculty such as Research Asst/Assoc Professor; Sr. Research Associate, Research Associate [long-term post-doc], Adjoint appointments, Attendant Rank, and Emeritus. All others need to have the approval of the Chair and/or the Dean. AVCR’s Office hrs: Jan 14, 10-12. Feb 15, 1:30-2:30. Mar 10, 2-4. Apr 18, 9:30 -11:30 10

11. PI RESPONSIBILITIES Competes in the internal competitions on limited submissions: Administered by the Office of the VICE CHANCELLOR FOR RESEARCH Ad hoc committees review submissions. Successful Investigators are notified of their eligibility by the VCR http://www.colorado.edu/VCResearch/funding/researchcompetition.html 11

12. PI RESPONSIBILITIES Campus and funding agency Issues to beware of: Restricted Research Intellectual Property Requirements Export Responsible Conduct of Research Conflict of Interest Compliance (Human Subjects, Animals, Bio-safety) Cost Sharing Waiver of Indirect Costs Access requirements to agency IT Systems Risk Management 12

13. PI RESPONSIBILITIES Forwards the proposal and all required university forms to OCG in a timely manner for institutional review and endorsement Secures required cost share commitments Reviews and signs the OCG certification form (s) Completes and signs the applicable financial disclosure forms Assumes responsibility for the scientific/technical and administrative management of the project 13

14. OCG RESPONSIBILITIES Provide guidance to faculty and staff regarding proposal preparation Interpreting sponsor policies and guidelines Review and endorse all proposals to extramural sponsors The OCG review focuses on commitment of campus resources, compliance with University and Sponsor policies, compliance issues, and legal issues 14

15. OCG RESPONSIBILITIES Develop the budget using current rate information Act as liaison between the University and Sponsors Respond to noted terms and conditions in the solicitations as required Coordinate sponsor requests for additional information Serve as the office of record for all proposals Negotiate terms 15

16. GRANT OR CONTRACT PROPOSAL:WHAT’S THE DIFFERENCE? Grant – a Financial Assistance tool The purpose is to transfer money, property, services, or anything of value to recipient in order to accomplish a public purpose. The project is implemented independently of the Sponsor . Proposal is based on the PI’s body of work – PI defines the Objectives. No substantial involvement is anticipated between sponsor and recipient during performance of activity. Not a gift!!! 16

17. GRANT OR CONTRACT PROPOSAL:WHAT’S THE DIFFERENCE? Cooperative Agreement – a Financial Assistance tool The principal purpose is to transfer funds to recipient to accomplish a public purpose. Substantial involvement is anticipated between Sponsor and recipient during performance of activity. Based on a PI’s body of work – PI determines the Objectives. (Reference: Federal Grant and Cooperative Agreement Act, 31 USC 6304 and 6305) 17

18. GRANT OR CONTRACT PROPOSAL:WHAT’S THE DIFFERENCE? Contract – a procurement mechanism The principal purpose is to acquire property or services for direct benefit or use of the Sponsor for a specific purpose. The Sponsor determines that a procurement contract is appropriate. The Sponsor prepares the Scope of Work and objectives. By FAR definition, a contract is not a grant or cooperative agreement. 18

19. PRE-PROPOSAL ACTIVITIES Identify / Know your Sponsor Prepare a Market Assessment Evaluate your Strengths and Weaknesses Evaluate your competitor’s strengths and weaknesses Review the Solicitation (BAA, AO, RFP…) thoroughly and follow the instructions to the letter Evaluate your Past Performance Weigh the risks and the Attend the Bidder’s Conference MAKE THE BID / NO BID DECISION 19

20. REQUEST FOR PROPOSAL Contains specific instructions for the preparation of Technical, Cost, Management, and Past Performance information. Typically includes a sample contract or schedule with expected terms and conditions. Institutional endorsement of the proposal is considered an “OFFICIAL OFFER” which may not be subject to negotiation once the proposal is submitted. If a proposal is funded without negotiation, a contract may be formed for which the University has a legal obligation to perform. 20

21. FEDERAL CONTRACT ORGANIZATION PART I – THE SCHEDULE SECTION A: COVER PAGE (SF 33) SECTION B: SUPPLIES/SERVICES AND PRICES/ESTIMATED COSTS SECTION C: DESCRIPTIONS, SCOPE OF WORK, SPECIFICATIONS SECTION D: PACKAGING AND MARKING SECTION E: INSPECTION AND ACCEPTANCE SECTION F: DELIVERIES AND PERFORMANCE SECTION G: CONTRACT ADMINISTRATION DATA SECTION H: SPECIAL CONTRACT REQUIREMENTS 21

22. FEDERAL CONTRACT ORGANIZATION PART II SECTION I: CONTRACT CLAUSES (FAR TERMS) PART III SECTION J: EXHIBITS AND ATTACHMENTS PART IV SECTION K: REPRESENTATIONS AND CERTIFICATIONS SECTION L: PROPOSAL INSTRUCTIONS SECTION M: EVALUATION CRITERIA 22

23. PROPOSAL SELECTION CRITERIA Technical expertise and approach Organizational and Project Management capability Price / Estimated Costs - Realism Management plan Infrastructure and capability Past Performance and Reputation Risk Identification and mitigation plan Implementation schedule and Critical Path identification Potential for Success / Best Value 23

24. BUDGET Allowable Costs Significance Starting a Budget OCG Format 24

25. BUDGET: ALLOWABLE COSTS Reasonable “A cost may be considered reasonable if the nature of the goods or services acquired or applied, and the amount involved therefore, reflect the action that a prudent person would have taken under the circumstances prevailing at the time the decision to incur the cost was made.” Allocable “A cost is allocable to a particular cost objective (i.e., a specific function, project, sponsored agreement, department, or the like) if the goods or services involved are chargeable or assignable to such cost objective in accordance with relative benefits received or other equitable relationship.” Consistent The University employs Cost Accounting Standards (CAS) Other Examples: Federal Per Diem Rates, State Mileage Rate, Travelocity/Expedia, etc. Conform with Limitations/Exclusions “Sponsored agreements may be subject to statutory requirements that limit the allowance of costs. When the maximum amount allowable under a limitation is less than the total amount determined in accordance with the principles in this Circular, the amount not recoverable under a sponsored agreement may not be charged to other sponsored agreements.” Defined in 2 CFR 220, Cost Principles for Universities (formerly OMB Circular A-21) 25

26. BUDGET: SIGNIFICANCE Second most scrutinized portion of the proposal A good budget can increase the chances for funding Point Value Develop Credibility Outlines/Clarifies the text The University is responsible for the accuracy of the cost and pricing data provided to the sponsor The proposal budget becomes the award budget 26

27. STARTING A BUDGET Project title: Proposed Start/End Dates: Submission Deadline date: Sponsoring Agency: Specific Program/Announcement/guidelines, URL address Are you utilizing Subcontracts or Consultants/Collaborator (indicate which category and include contact info)?: Are you (or any CU personnel) contributing any effort to this project that will not be charged to the grant? Budget information: provide figures and explanation either in text or spreadsheet Personnel with employment type (ex. Assistant Professor, Graduate Research Associate, etc.) and % of effort Details and dollar amounts for any supplies, travel, or other costs Please finalize the budget with OCG soon as possible before continuing with proposal preparation. 27

28. Budget part 1 Salaries and Wages usually form the major part of the budget: Why? 28

29. Budget part 2 Are fringe benefits required? What is permanent equipment? Who owns this? Is Travel allowed? When? Where? 29

30. Budget part 3 ALLOWABLE ALLOCABLE REASONABLE CONSISTENT 30

31. Budget part 4 Why are Indirect costs assessed? How is the rate set? What happens when a sponsor does not allow Indirect Costs? Who gets these funds? 31

32. COMPLIANCE CONTACTS HUMAN SUBJECTS Claire Dunne, Office of Research Integrity (735-3702) ANIMAL CARE AND USE Richard Hussar, Office of Research Integrity(492-8187) BIO-SAFETY / RDNA Denise Donnelly, EH&S (492-7072) RADIATION SAFETY Michelle Law, EH&S (492-6523) CONFLICT OF INTEREST-COMMITMENT / FINANCIAL DISCLOSURE Jean Wylie, Office of Research Integrity (492-3024) COST SHARING/F&A WAIVERS Patricia Rankin, Associate Vice Chancellor for Research (492-1449) EXPORT / IMPORT Linda Morris, Office of Research Integrity (492-2889) 32

33. DISCLOSURE OF EXTERNAL PROFESSIONAL ACTIVITIES 33

34. STANDARD OCG FORMS OCG certification Page [aka “signature page”] Additional Proposal Detail Questions NIH Certification (if applicable) Indirect Costs Addendum (if applicable) Indirect Costs Waiver (if applicable) Cost Accounting Standards (CAS) Exception Form (if applicable) Cost Sharing Policy and Form (if applicable) Forms can be found online: http://www.colorado.edu/VCResearch/research/forms/index.html 34

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42. SUBRECIPIENT/SUBCONTRACT OCG FORMS Sole Source (completed by UCB PI) Subrecipient Commitment Form (completed by subrecipient organization administration) Statement of work Forms can be found online: http://www.colorado.edu/VCResearch/research/forms/index.html 42

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45. BREAKOUT SESSIONS NSF--National Science Foundation: Joyce Kroll NIH--National Institutes of Health: Joan Eaton and Brian Rogers NASA--National Aeronautics and Space Administration: Anselmo Serralheiro and Steve Sheldon NEA, NEH--National Endowment of the Arts and National Endowment of the Humanities: Stefan Reiss Contracts and Subcontracts with Federal and Industrial Partners: Randy Draper and Kathy Lorenzi 45