Proposal Preparation Processing

1. Proposal Preparation & Processing Office of Contracts and Grants January 8, 2009 2:00pm – 4:30pm 1

2. OBJECTIVES TO IDENTIFY RESOURCES FOR FUNDING OPPORTUNITIES AND INFORMATION TO HIGHLIGHT THE DIFFERENCES BETWEEN GRANT PROPOSALS AND CONTRACT PROPOSALS TO OUTLINE THE ROLES AND RESPONSIBILITIES OF PRINCIPAL INVESTIGATORS AND OCG TO UNDERSTAND THE KEY ELEMENTS OF BUILDING A PROPOSAL BUDGET: SPECIFICALLY, ALLOWABLE AND UNALLOWABLE COSTS TO UNDERSTAND THE ESSENTIAL INFORMATION AND APPROVALS REQUIRED TO PROCESS A PROPOSAL TO DISCUSS THE UNIQUE AGENCY REQUIREMENTS FOR SUBMITTING PROPOSALS TO NSF, NIH, NASA, AND NEA/NEH 2

3. RESOURCES FOR FUNDING OPPORTUNITIES OCG WEBSITE: FUNDING SOURCES AND GUIDE TO PROPOSAL PREPARATION www.colorado.edu/ocg www.colorado.edu/ocg/proposals/shortguide/index.html 3

4. INTERNAL SOURCES: GRADUATE SCHOOL Contact Linda Morris 2-2889 linda.s.morris@colorado.edu CHA (Center for the Humanities and the Arts) Contact Michael Zimmerman 2-1931 michael.zimmerman@colorado.edu INTERNATIONAL EDUCATION Contact Nancy Vanacore, 2-6016 nancy.vanacore@colorado.edu UGGS (United Government of Graduate Students) (Travel grants) Contact Katie Vahey 2-6058, uggsinfo@colorado.edu 4

5. EXTERNAL RESOURCES: FEDERAL AGENCIES: GRANTS.GOV WEBSITE www.grants.gov – FIND GRANT OPPORTUNITIES SEE SAMPLE LISTING OF FEDERAL AGENCIES ON OCG WEBSITE PRIVATE ORGANIZATIONS AND FOUNDATIONS: SEE SAMPLE LISTING ON NON-FEDERAL AGENCIES ON OCG WEBSITE ALL AGENCY TYPES: InfoEd SPIN: http://www.infoed.org/new_spin/spin.asp THE CHRONICLE OF HIGHER EDUCATION: http://chronicle.com/free/grants/ OCG LIBRARY (PUBLICATION CAN BE FOUND IN NORLIN AS WELL): THE FOUNDATION DIRECTORY ANNUAL REGISTER OF GRANTS SUPPPORT DIRECTORY OF GRANTS IN HUMANITIES A VARIETY OF RESOURCE MATERIALS ON FUNDING AND GRANT WRITING 5

6. PI RESPONSIBILITIES DEVELOPS AND PREPARES PROPOSALS FOR EXTRAMURAL FUNDING IN ACCORDANCE WITH SPONSOR GUIDELINES AND UNIVERSITY POLICY IDENTIFIES POTENTIAL FUNDING SOURCES READS GUIDELINES WITH SPECIAL ATTENTION TO: DUE DATE BUDGET LIMITATIONS/REQUIREMENTS TEXT REQUIREMENTS METHOD OF SUBMISSION 6

7. PI RESPONSIBILITIES ENSURE ALL PARTIES INVOLVED ARE REGISTERED IN THE SUBMISSION SYSTEM GRANTS.GOV NSF FASTLANE NASA NSPIRES NIH COMMONS (for PIs) 7

8. PI RESPONSIBILITIES VERIFY PRINCIPAL INVESTIGATOR ELIGIBILITY INTERNAL COMPETITIONS ON LIMITED SUBMISSIONS VICE CHANCELLOR FOR RESEARCH AGENCY LIMITATIONS ON RESEARCH PERSONNEL INVOLVEMENT FOR SPECIFIC SOLICITATIONS 8

9. LIMITED SUBMISSIONS SPONSORS MAY LIMIT THE NUMBER OF PROPOSALS AN INSTITUTION MAY SUBMIT FOR CONSIDERATION. THE OFFICE OF THE VICE CHANCELLOR FOR RESEARCH (DR. RUSSELL MOORE) COORDINATES INTERNAL REVIEWS. AD HOC COMMITTEES REVIEW PRELIMINARY PROPOSALS. SELECTED PROJECT PI’S ARE NOTIFIED OF THEIR ELIGIBILITY TO PREPARE FULL PROPOSALS FOR SUBMISSION TO THE SPONSORS. MORE INFORMATION AVAILABLE AT: http://www.colorado.edu/GraduateSchool/ researchcompetition.html. 9

10. PI RESPONSIBILITIES CAMPUS AND FUNDING AGENCY ISSUES TO BE AWARE OF: INTELLECTUAL PROPERTY CONFLICT OF INTEREST COMPLIANCE (HUMAN SUBJECTS, ANIMALS, BIO-SAFETY) COST SHARING WAIVER OF INDIRECT COSTS 10

11. 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 ROUTING FORM COMPLETES AND SIGNS APPLICABLE FINANCIAL DISCLOSURE FORMS ASSUMES RESPONSIBILITY FOR THE SCIENTIFIC/TECHNICAL AND ADMINISTRATIVE MANAGEMENT OF THE PROJECT 11

12. OCG RESPONSIBILITIES PROVIDE GUIDANCE TO FACULTY AND STAFF REGARDING PROPOSAL PREPARATION INTERPRETATING SPONSOR POLICIES AND GUIDELINES NON-TECHNICAL PROPOSAL CONTENT AND FORMAT COMPLETING FORMS REVIEW AND ENDORSE ALL PROPOSALS TO EXTRAMURAL SPONSORS THE OCG REVIEW FOCUSES ON COMMITMENT OF CAMPUS RESOURCES AND COMPLIANCE WITH UNIVERSITY AND SPONSOR POLICIES 12

13. OCG RESPONSIBILITIES DEVELOPS THE BUDGET USING CURRENT RATE INFORMATION ACTS AS LIAISON BETWEEN THE UNIVERSITY AND SPONSORS COORDINATES SPONSOR REQUESTS FOR ADDITIONAL INFORMATION SERVES AS THE OFFICE OF RECORD FOR ALL PROPOSALS 13

14. GRANT OR CONTRACT PROPOSAL:WHAT’S THE DIFFERENCE? GRANT = AN ASSISTANCE MECHANISM COOPERATIVE AGREEMENT = A COLLABORATION WITH THE SUBSTANTIAL INVOLVEMENT OF THE GOVERNMENT CONTRACT = A PROCUREMENT ACTION ________________ BUYER AND SELLER 14

15. PRE-PROPOSAL ACTIVITY IDENTIFY YOUR CUSTOMERS PREPARE A MARKET ASSESSMENT EVALUATE YOUR STRENGTHS AND WEAKNESSES EVALUATE COMPETITORS STRENGTHS AND WEAKNESSES REVIEW THE RFP … EVALUATE PAST PERFORMANCE WEIGH THE RISKS AND THE OPPORTUNITIES ATTEND THE PRE-BID CONFERENCE MAKE THE BID/NO BID DECISION 15

16. REQUEST FOR PROPOSAL SPECIFIC INSTRUCTIONS FOR TECHNICAL AND COST PROPOSALS INCLUDES A SAMPLE CONTRACT OR “SCHEDULE” WITH EXPECTED TERMS AND CONDITIONS INSTITUTIONAL ENDROSEMENT OF THE PROPOSAL IS CONSIDERED AN OFFICIAL OFFER, WHICH MAY NOT BE ABLE TO BE CHANGED ONCE THE PROPOSAL IS SUBMITTED IF FUNDED, WE HAVE A LEGAL OBLIGATION TO PERFORM. 16

17. FEDERAL CONTRACTS: RFP PART I SECTION A: COVER PAGE SECTION B: SUPPLIES/SERVICES & PRICES/COSTS SECTION C: DESCRIPTIONS, SPECIFICATIONS, SCOPE OF WORK SECTION D: PACKAGING AND MARKING SECTION E: INSPECTION AND ACCEPTANCE SECTION F: DELIVERIES OR PERFORMANCE SECTION G: CONTRACT ADMINISTRATION DATA SECTION H: SPECIAL CONTRACT REQUIREMENTS 17

18. PROPOSAL PREPARATION DISSECT THE SOLICITATION DOCUMENT ATTEND TO AMENDMENTS ASSIGN RESPONSIBILITIES: TECHNICAL, COST, MANAGEMENT COORDINATE WITH SUBCONTRACTORS WRITE TO THE EVALUATION CRITERIA MEET REGULARLY DURING PROPOSAL DEVELOPMENT ARRANGE FOR A PRE-SUBMISSION REVIEW DO NOT LOSE YOUR FOCUS PREPARE THE TERMS AND CONDITIONS LETTER 18

19. PROPOSAL SELECTION TECHNICAL EXPERTISE PRICE MANAGEMENT PLAN PAST PERFORMANCE IMPLEMENTATION SCHEDULE REPUTATION 19

20. WHAT IS A BUDGET? AN ESTIMATE OF COSTS REQUIRED TO PERFORM A STATEMENT OF WORK OVER A SPECIFIED PERIOD OF TIME COSTS MUST BE ALLOWABLE COSTS MUST BE ALLOCABLE COSTS MUST BE CONSISTENT COSTS MUST BE REASONABLE ESTIMATES COSTS MUST BE VERIFIABLE 20

21. WHY IS A BUDGET IMPORTANT? SECOND MOST SCRUTINIZED PART OF THE PROPOSAL A GOOD BUDGET CAN INCREASE THE CHANCES FOR FUNDING POINT VALUE DEVELOP CREDIBILITY OUTLINES/CLARIFIES THE TEXT THE UNIVERSITY IS LIABLE FOR PRICING INFORMATION THE PROPOSAL BUDGET BECOMES THE AWARD BUDGET 21

22. BUDGET QUESTIONS ARE THERE SPECIFIC BUDGET GUIDELINES? WHAT IS THE ANTICIPATED PERIOD OF PERFORMANCE? IS THERE A CEILING OR TARGET AMOUNT FOR EACH PROJECT OR FOR EACH PROJECT YEAR? ARE THERE REQUIRED COSTS OR COST BREAKDOWNS? IS COST SHARING REQUIRED? ARE THERE F&A LIMITATIONS? ARE SPECIAL FORMS REQUIRED? 22

23. Joyce’s changes: slides 23 – 24Joyce’s changes: slides 23 – 24

25. UNIVERSITY ROUTING & APPROVAL PROPOSAL PROCESSING FORM CONFLICT OF INTEREST INDIRECT COST WAIVER ADDENDUM FOR COST SHARING/COST MATCHING HUMAN SUBJECTS, ANIMAL SUBJECTS, IRB BIOHAZARDS, RADIOACTIVE MATERIALS, “SELECT AGENTS” WEBSITE AND FORMS 25

26. Processing Form Indicates who is Contributing Effort on the Proposed Project

28. PI AND CO-Is MUST INDICATE ANY SIGNIFICANT FINANCIAL INTEREST OR OTHER COMMITMENTS BEFORE THE PROPOSAL IS SUBMITTED. Disclosure of External Professional Activities (DEPA): Each investigator must have a current DEPA on file with the university If you need to complete the DEPA you can do so through CU Connect Log-in Click Academics/Research tab DEPA link found under the Faculty Reporting section 28

29. NIH Certification Form (processing form page 3) 29

30. COST SHARING THAT PORTION OF PROJECT-RELATED COSTS NOT BORNE BY THE SPONSOR (I.E. PAID BY THE UNIVERSITY) CAN BE EITHER MANDATORY (REQUIRED BY THE SPONSOR AS A CONDITION OF ACCEPTING AN AWARD) OR VOLUNTARY (RESOURCES ARE OFFERED BY UNIVERSITY WHEN THEY AREN’T A SPECIFIC REQUIREMENT) ONCE WE HAVE COMMITTED COST-SHARE AT THE PROPOSAL STAGE WE ARE OBLIGATED TO ENSURE WE HAVE FULFILLED THE COMMITMENT, WHETHER OR NOT THE SPONSOR REQUESTS A REPORT. 30 Karen’s changes slides: 30 – 31Karen’s changes slides: 30 – 31

31. TYPES OF COMMITMENTS ACADEMIC YEAR (AY) EFFORT 3RD PARTY “IN-KIND” CONTRIBUTION EQUIPMENT MATCH GRA SUPPORT FORFEITED F&A (INDIRECT COST) SPA CREATES A SEPARATE ACCOUNT FOR THE COST-SHARE, AND DOCUMENTS AND MONITORS IT AS IT DOES ANY OTHER FUNDS. THE TRACKING, REPORTING, AND CERTIFYING OF COST-SHARE IS SUBJECT TO AUDIT. 31

32. Cost Sharing/Matching Form 32 Edison’s changes slides: 32 – 41Edison’s changes slides: 32 – 41

33. GUIDELINES FOR PREPARING AN INDIRECT COST RATE WAIVER REQUEST If the Sponsor has a formal Facilities and Administrative (indirect/overhead) policy limiting the amount of F&A that can be charged to the project your OCG Proposal Analyst will need a copy of the policy or a link to the official web site where the policy can be found. You will be asked to route the IDC Addendum Form to your dept. chair for signature. If the Sponsor does not have a formal policy, or for any other IDC reduction request, you will be asked to prepare a memo that addresses the need for the request and its impact to the project. You will forward your request to Russell Moore, Associate Vice Chancellor for Research and Randy Draper, Director of Contracts and Grants. 33

34. INDIRECT COST ADDENDUM FORM FOR REDUCED IDC 34

35. IS THE SPONSOR A FOR-PROFIT OR NON-PROFT ORGANIZATION? WILL THE AWARD BE A CONTRACT OR A GRANT? IS THE PROJECT FOR RESEARCH, INSTRUCTION, OR ANOTHER PURPOSE? IS THIS AN ON-CAMPUS OR OFF-CAMPUS PROJECT? IS THERE A CAP ON SPONSOR FUNDS AVAILABLE FOR THE PROJECT? CAN THIS LIMITATIOIN ON AVAILABLE FUNDS BE DOCUMENTED BY THE SPONSOR? IS COST SHARING REQUIRED? IS A WAIVER OF F&A ELIGIBLE TO BE CONSIDERED COST SHARE? IS COST SHARING A SPECIFIC EVALUATION CRITERION? HOW WILL THE F&A COSTS TO THE PROJECT BE COVERED? SPECIFICALLY, WILL SOME OF THE INDIRECT EXPENSE BE SHIFTED TO DIRECT EXPENSE? WHY IS THIS PROJECT OF PARTICULAR IMPORTANCE TO THE UNIVERSITY, COLLEGE, DEPARTMENT, AND PI? ARE THERE ANY OTHER EXTENUATING CIRCUMSTANCES THAT WOULD SUPPORT A REQUEST FOR A REDUCTION IN THE F&A RATE? HAS THE DEAN AND/OR CHAIR AGREED TO FORGO THEIR PORTION OF THE INDIRECT COST RECOVERY? IDC Waiver Request Prepare a memo addressing the following questions:

36. 36 OTHER ASPECTS OF A PROPOSAL THAT REQUIRE DOCUMENTATION ANIMAL SUBJECTS? HUMAN SUBJECTS? BIOHAZARDS? RADIOACTIVE MATERIALS? MUST HAVE APPROVAL PRIOR TO THE ACCEPTANCE OF AWARD

37. OFFICE OF RESEARCH INTEGRITY http://www.colorado.edu/VCResearch/ORI/index.html 37

38. COMPLIANCE CONTACTS HUMAN SUBJECTS Melissa Diemer, Graduate School (735-3702) ANIMAL CARE AND USE Silvia Iorio, Graduate School (492-8187) BIO-SAFETY/RDNA Denise Donnelly, EH&S (492-7072) RADIATION SAFETY Michelle Law, EH&S (492-6523) CONFLICT OF INTEREST/FINANCIAL DISCLOSURE Jean Wylie, Graduate School (492-3024) COST SHARING/F&A WAIVERS Russ Moore, Graduate School (492-1087) IMPORT/EXPORT ISSUES Linda Morris, Graduate School (492-2889) 38

39. HOW TO FIND OCG FORMS www.colorado.edu/ocg 39

40. 40

41. BREAKOUT SESSIONS NSF NIH NASA NEA/NEH 41