ABC’s of Proposal Processing

1. ABC’s of Proposal Processing NCURA Regional VI/VII Conference April 30, 2008

2. Dennis J. Paffrath Senior Director, Contracts & Grants Office of Research & Development University of Maryland, Baltimore Phone: 410-706-1101 dpaffrat@umaryland.edu

3. Vicki Krell Sponsored Projects Site Supervisor Arizona State University Office for Research and Sponsored Projects Administration Phone – 480-965-2171 Vicki.Krell@asu.edu

4. What Is Your Role? • Assistance to PI (support research) • Assure compliance (keep the PI out of jail) Goal: Submit on-time, high quality, appropriately costed, fully compliant proposals that have the greatest chance of being funded.

5. FIRST GOLDEN RULE IN PROPOSAL DEVELOPMENT THE ONE WITH THE GOLD RULES!

6. THE SECOND GOLDEN RULE IN PROPOSAL DEVELOPMENT • DO NOT ANNOY REVIEWERS • Itty Bitty Tiny Font Sizes • “Larry don’t forget the graphics here” • Hand written pages • Sp eling n Gramer

7. How to be effective In order to be effective at meeting your goals you must know the following: • Sponsor Rules/Policies (or where to find them) • Department/institution -specific data • Proposal application format • Institution review process • People

8. Know the Rules • Federal OMB Circulars • A-21, A-110, A-133 • Specific sponsor guidelines • NIH Guide • NSF Grant Policy Manual • Specific institution rules (policies) • Travel • Consulting • Cost Share, etc.

9. ALL PROPOSALS The Institution’s Authorized Signatory Signs ALL Proposals and Awards What to do when PIs sign on behalf of University

10. Pre-Award Content • Who May Be a Principal Investigator • Types of Applications • Types of Proposals • Sponsor Missions • Agency Forms • Electronic Versus Hardcopy • Contents of a Proposal • Preparing Critical Components • Proper Proposal Routing

11. Who May Be A Principal Investigator • Full-time Faculty ( or Staff?) Member Because of: • Overall Oversight • Overall Responsibility • Needs to be contractually tied to the receiving organization

12. Types of Applications • New • Non-Competing • Renewal • Supplemental • Revision “Grants.gov uses slightly different terms”

13. Types of Proposals • Preliminary Proposals • Concept Papers • White Paper • Letter of Inquiry or Intent • Formal Proposals • Competitive Application for External Funding • Solicited or Unsolicited • Grant proposals • Contract Proposals

14. Sponsor Missions • Government sponsors exist to fulfill legislated or mandated goals • Foundations fund projects which support initiatives identified in their Charters, e.g. National Kidney Foundation • Not-for-Profits support special purposes, e.g. American Cancer Society

15. Agency Forms • Agency Websites • Agency Request for Proposal • Grants.gov

16. Getting Started REVIEW, REVIEW, REVIEW • Institution Procedures • Agency Requirements • Agency Terms and Conditions • eRA Requirements

17. eRA Mandate? • Check Request for Announcement (RFA) or Program Announcement (PA) • Check Grants.gov for Funding Opportunity Announcement (FOA) • If NIH, check NIH eRA Timeline

18. eRA Considerations • Inform Department & Central Administration • Anticipate Advanced Timeline • Has Institutional Education Already Occurred? If not, assistance will be needed throughout submission • Have Institutional Policies/Procedures Changed in Light of eRA?

19. Contents of a Proposal • Transmittal Letter • Title page/ Face page • Abstract • Table of Contents • Project Description • Biographical Sketches • Budget and Budget Narrative • Current and Pending Support • Facilities and Equipment • Letters of Support

20. Critical Components • NEED for Project or Research • Science/Scope of Work • Budget/Budget Narrative • Cost Sharing/Matching • F&A (Indirect) Cost Rate

21. Science…. Why do you need to review the science/scope of work section?

22. Budgetary Considerations • NIH Salary Caps • Modular Grant Proposal Budgets • Equipment • Patient Care Costs • Cost Share? • F&A Limitations

23. Pre-Budget Information • Allowable Costs • Unallowable Costs (even as cost share) • Administrative/General-Purpose Costs

24. Unallowable Costs • Always Unallowable • Unallowable as Direct Costs • General-Purpose Costs

25. Clerical/Administrative Salaries (Generally) Cannot Be Paid!

26. Budget Narrative • Assists Agency in Evaluating Budget • Assists in Expediting Expenses • Documents Evidence of Allowability *Provide a DETAILED Budget Narrative*

27. Cost Sharing/Matching • Mandatory • Voluntary (=Committed) • Voluntary Uncommitted Effort

28. Facilities & Administrative (Indirect) Costs • UMB/Government Negotiated Rate • Different Rates • Research • Instruction • Other Sponsored Activities • On-Campus • Off-Campus • F&A Waivers

29. Other Components • Scope and Outside Organizations • Your Institution Faculty/Staff CANNOT be Subcontractors or Consultants on your institution grants.

30. Consultant • Individual or Company • Independent Contractor • Not Significant Portion of Work • Services • Special • Temporary • Technical in Nature

31. Subcontractors • Company or Institution • Outside Organization • Employees • Fringe Benefits • Overhead • Discrete Part of Scope

32. Proper Proposal Routing • Paper • Electronic • When do you receive the routing including draft proposal or final proposal.

33. Details, Details, Details • Begin Early • Follow the Guidelines • Use Most Current Forms • Ask Questions • Review Materials • Postmark versus Receipt Date

34. Common Pitfalls • Failure to follow directions • Neglecting to check on who must be available to approve • Failing to meet deadline-Always confirm mailing/receipt/time deadline • Fatal errors • Proposal too long • Incorrect font size

35. Any Questions????