Conducting your Scholarly Work

1. Conducting your Scholarly Work Finding Sponsors, Preparing and Submitting Proposals, Accepting and Managing Awards Office of Grant and Contract Services January 24, 2009

2. Introductions Winnie Ennenga Director of Grant and Contract Services Winnie.Ennenga@nau.edu Bobbie Ursin Senior Grant and Contract Administrator Bobbie.Ursin@nau.edu Cindy Judge Grant and Contract Administrator Cindy.Judge@nau.edu

3. Workshop Goals • Understand the context within which research and other sponsored activities are conducted at NAU. • Identify best practices and strategies for identifying sponsors and funding opportunities, preparing and submitting proposals, and managing sponsored projects.

4. What is the context for sponsored activities at NAU? How do we distinguish sponsored projects from other externally funded activities? Who are the primary individuals and offices with responsibilities for sponsored projects?

5. What is a sponsored project? • A sponsored project is any externally funded research, instruction, service, or scholarly activity binding the University to a defined scope of work or set of objectives that provides a basis for sponsor expectations. • Sponsored projects are always managed by the University.

6. What is a sponsored project? • A gift or donation is a voluntary and usually irrevocable transfer of money, services or property from a donor without any expectation of or receipt of direct economic benefit or provision of goods or services from the recipient. • All gifts to NAU are administered through the NAU Foundation.

7. Who can be a Sponsor? • Individuals, non-profit foundations or organizations, for-profit companies, and federal, state, local or tribal government entities. • Private sector entities may act as either donors or sponsors depending on how the funds are conveyed, but awards from governmental entities are ALWAYS considered sponsored projects.

8. Who are the main players and what are their responsibilities? • Principal Investigator (PI) • Chair and Dean • Vice President for Research • Office of Grant and Contract Services (OGCS) • Regulatory and fiscal compliance offices

9. Principal Investigator • Identify a potential sponsor or funding opportunity • Prepare the proposal and provide the required certifications • Conduct and complete the technical work, including required reports • With assistance from the department/unit, manage the project in accordance with sponsor, University, ABOR, and applicable local, state, and federal laws and regulations

10. Chair and Dean • Certify that each has reviewed and approves the proposal submission, and concurrence with the representations made by the PI and/or the department • Approve the proposed level of effort, and commit to provide the identified cost share or other resources • Confirm the project fits the mission and contributes to the attainment of department and college goals

11. Vice President for Research • Technology transfer/intellectual property protection • Regulatory compliance • Research support services • Internal research awards • Institutional cost share or match • Indirect cost and/or tuition waivers

12. Regulatory Compliance • Institutional Review Board (IRB) • Institutional Animal Care and Use Committee (IACUC) • Radiation Safety Committee (radioisotopes and radiation-emitting equipment) • Institutional Biosafety Committee (IBC) • Toxic chemicals • Waste management • Responsible Conduct of Research • Compliance with Import/Export Regulations

13. Office of Grant and Contract Services • OGCS is the central administrative office responsible for authorizing and submitting proposals for extramural funding. • After a proposal has been submitted, OGCS negotiates and accepts the award and provides non-financial administrative oversight of the funded project.

14. Office of Sponsored Projects Services (SPS) • The Office of Sponsored Projects Services (SPS) is responsible for financial accounting and fiscal oversight of sponsored projects, including monitoring budgets and accounting records, preparing financial reports and invoices, and award closeout, working with PIs and departmental/unit managers.

15. Best Practices and Strategies Finding Sponsors Preparing and Submitting Proposals Managing Awards

16. Finding Sponsors

17. Finding Sponsors • Subscribe to electronic funding services • Use NAU funding database • Utilize internet resources • Attend professional conferences • Serve on agency review panels • Review agency funding patterns

18. NAU Resources • SPIN – (Sponsored Programs Information Network) is a searchable funding opportunities database • SMARTS (SPIN Matching and Researcher Transmittal System) matches keywords to opportunities listed in SPIN and e-mails opportunities directly to you. SMARTS will only send opportunities that match your keywords.

19. NAU Resources • “Leveraging the Internet” http://www.research.nau.edu/OGCS • Includes links to public domain websites providing funding information, targeted funding opportunities, funding alert subscriptions • “Best practices” for using the internet to find funding opportunities

20. Public Domain Websites • Duke University, for example, publishes a Funding Alert Newsletter • http://www.ors.duke.edu/funding-newsletter (click on current weekly posting) • Arts & Humanities Community Development • Curriculum Development Environmental and Life Sciences • Graduate and Postdoctoral Funding Health Sciences • International Opportunities Multidisciplinary • Physical Sciences and Engineering Social Sciences

21. Subscription Services • My NSF, National Science Foundation • http://www.nsf.gov/mynsf/ • National Institutes of Health Listserv • http://www.grants.nih.gov/grants/guide/listserv.htm • GrantsNet: Undergraduate Science Training Education • http://www.grantsnet.org/funding_news_alert.cfm

22. Federal Opportunities • Grants.gov contains opportunities in 21 categories in excess of $400 billion in annual awards: www.grants.gov • Agency websites also list funding opportunities • The Federal Register is the official daily publication for rules, proposed rules, and notices of Federal agencies and organizations: www.gpoaccess.gov/fr

23. ARRA Funding Opportunities • American Recovery and Reinvestment Act (ARRA) of 2009 • All ARRA funding opportunities are listed on grants.gov • http://www07.grants.gov/search/search.do;jsessionid=?mode=CATSEARCH&fundActivity=RA • Agency websites also are required to list ARRA opportunities

24. Preparing Proposals

25. What is a proposal? • A proposal is a request for funding that includes all the information necessary to describe project plans, staff capabilities and funds requested. • Concept Papers, Letters of Inquiry, and Pre-proposals may not require institutional endorsement • Full Proposals are officially approved and submitted by the University on behalf of a principal investigator

26. Review the Program Announcement Avoid Surprises! • Program description • Eligibility requirements • Agency Contacts • Review process • Proposal deadline and submission requirements

27. Writing the Proposal: Pre-award issues with post-award consequences • Subrecipients: • Are proposed collaborators financially stable, able to comply with flow-down provisions, committed in writing? • Consultants • Compliance issues (IACUC, IRB, IBC) • Budget restrictions and/or cost-share/match requirements • Health or safety concerns

28. Writing the Proposal: Pre-award issues with post-award consequences • Space considerations • Continuing obligations after termination • Special restrictions or requirements involving • intellectual property – publication • proprietary information – data ownership • Faculty release time/workload issues • Foundation proposals

29. Preparing the Budget

30. Budget Development • Resources • Source for cost estimates • Proposed start date • Project duration • Sponsor requirements/restrictions • Deliverables • Format

31. Direct and Indirect Costs • Direct Costs • Costs easily identified and quantified, which related directly to the project • Indirect Costs/F&A • Costs which cannot be precisely identified and quantified to a specific project

32. Direct Costs • Salaries and Wages • Employee-Related Expenses (ERE) • Equipment • Travel • Trainee Support/Participant Support • Other Costs • Consultants • Subcontracts

33. Indirect Costs • Office Supplies • General Purpose Equipment • Administrative Support • Utility Costs • Space Usage • Other Institutional Resources

34. Salaries and Wages • NAU personnel • Actual salary/wage • Effort may be academic and/or summer • Future budget years

35. Employee-Related Expenses (ERE) • Health and Dental Insurance • Life insurance • Disability insurance • FICA and Medicare Taxes • Unemployment insurance • Retirement • Fringe benefit (ERE) rate calculator: http://www.research.nau.edu/OGCS/forms.html

36. Equipment • NAU defined equipment – unit cost of greater than $5,000 and useful life of at least one year • Special purpose equipment • General purpose equipment • Unallowable unless approved in advance by the sponsor • Use the sponsor’s definition if one is given

37. Travel • Transportation • Airfare, taxis, car rental, etc. • Lodging • Per Diem • Meals • Incidentals • AZ State Rates: http://www.gao.state.az.us/publications/SAAM/Supp_I_trvrates-012308.pdf

38. Trainee Support /Participant Support • Trainee Support – tuition, registration fees, student health insurance, student travel • Participant Support – subsistence allowances, travel allowances and registration fees paid to or on behalf of participants in connection with participation in a project or meeting

39. Other Direct Costs • Supplies and Materials • Communication Costs • Miscellaneous

40. Consultants • Experts - specialized knowledge and skills • Not AZ university employee • Advise and/or provide services • Evaluators • Presenters • Review sponsor guidelines for restrictions or maximum daily rates • Review NAU Purchasing Policy, Guide to Using Independent Contractors

41. Subcontracts • Transfer of scientific or programmatic efforts through an agreement to another organization • Subcontractor’s proposal includes statement of work, detailed budget, period of performance, key personnel • Sole Source Justification vs. Bid • Cost analysis, plan for subrecipient monitoring, etc.

42. Indirect Costs • NAU Rate Agreement • Modified Total Direct Costs (MTDC) base excludes equipment, tuition remission, scholarships and fellowships, and subcontract costs > $25,000 • Different rates for research, instruction, and “other” sponsored activity • http://www.research.nau.edu/OGCS

43. Indirect Costs • Rates Effective July 2008 MTDC: Modified Total Direct Costs • Research: On Campus: 48.5% MTDC • Instruction: On Campus: 51.2% MTDC • Other Sponsored Activities: 28.6% MTDC • Off Campus: 26.0% MTDC • MTDC excludes equipment, capital expenditures, tuition remission, rental costs of off-site facilities, scholarships and fellowships, and includes only the first $25,000 of each subcontract

44. Budget Justification • Detailed explanation of budget items • Discuss budget items including • Special administrative and/or clerical costs • Special equipment needs • Consultants and subcontractors Provide sufficient detail to justify need

45. Submitting Proposals

46. Process Overview • Early Proposal Notification Form • OGCS Number Assignment • Proposal Approval Form (PAF) • Financial Disclosure Form • OGCS Review, Approval and Mailing

47. Are you writing a proposal? • Submit Early Proposal Notification Form • OGCS Number Assignment

48. Proposal Approval Form (PAF) • Initiated by PI • PI obtains appropriate approval signatures • Incomplete PAFs may result in submission delays • PAF is required for new and continuation proposals, and revised proposals with substantial changes.

49. Proposal Approval Form (PAF) • PI is responsible for securing regulatory approvals • Some sponsors allow “just in time” submission at the award stage; others require complete documentation as part of the proposal. Check proposal guidelines and/or discuss with GCA. • Contact the appropriate NAU compliance office for guidance about necessary forms. • http://www.research.nau.edu/compliance.html • Investigators’ Financial Disclosure Form • Subcontract Documents

50. Proposal Approval Form (PAF) • Cost Sharing • Required Cost Share • Voluntary Committed Cost Share • Third Party Cost Share • Tuition and Indirect Cost Waivers