Proposal Development


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Proposal Development

  1. 1. Proposal Development Grants: Cradle to Grave May 1, 2008 By: Brian Barton
  2. 2. Proposal Development <ul><li>Steps involved in proposal development </li></ul><ul><ul><li>Look for funding that matches your research interests/needs </li></ul></ul><ul><ul><li>Identify the funding program </li></ul></ul><ul><ul><li>Read the Request for Proposals guidelines </li></ul></ul><ul><ul><li>Prepare proposal </li></ul></ul><ul><ul><li>Obtain institutional approvals </li></ul></ul><ul><ul><li>Submit the proposal </li></ul></ul>
  3. 3. Proposal Development <ul><li>Transmittal Form – the 3 W’s </li></ul><ul><ul><li>W hat is it? </li></ul></ul><ul><ul><li>W hy is it needed? </li></ul></ul><ul><ul><li>W here can you get it? </li></ul></ul><ul><ul><ul><li> under “Forms” </li></ul></ul></ul><ul><ul><ul><li>Instructions also at address listed above </li></ul></ul></ul>
  4. 4. Proposal Development
  5. 5. Transmittal Form <ul><li>What is it? </li></ul><ul><ul><li>It is a 3 page document that accompanies proposal </li></ul></ul><ul><ul><li>It provides valuable information such as </li></ul></ul><ul><ul><ul><li>Program to which you are applying </li></ul></ul></ul><ul><ul><ul><ul><li>Request for proposal (RFP) or solicitation number </li></ul></ul></ul></ul><ul><ul><ul><li>Project Target Dates & DEADLINES </li></ul></ul></ul><ul><ul><ul><li>Business Unit (Funds Placement) </li></ul></ul></ul><ul><ul><ul><ul><li>FSU vs the FSU Research Foundation </li></ul></ul></ul></ul><ul><ul><ul><li>Contact Info for Proposal </li></ul></ul></ul><ul><ul><ul><li>Agency to which FSU is applying </li></ul></ul></ul><ul><ul><li>3 Day Rule </li></ul></ul>
  6. 6. Transmittal Form <ul><li>Insert Business Unit </li></ul><ul><li>Insert Sponsor Deadline, Type of Deadline, and Name of Sponsor </li></ul><ul><li>Insert Contact Person for the Proposal </li></ul>
  7. 7. Credit Reporting
  8. 8. Credit Reporting <ul><li>What is credit reporting? </li></ul><ul><li>Two types of credit reporting used on form </li></ul><ul><ul><li>PI/Co-PI Credit </li></ul></ul><ul><ul><li>Department Credit </li></ul></ul><ul><li>What is the difference? </li></ul><ul><ul><li>PI/Co-PI credit is only for reporting purposes (departmental use) </li></ul></ul><ul><ul><li>Department credit determines indirect cost distribution </li></ul></ul>
  9. 9. Credit Reporting <ul><li>Insert PI & Co-PI(s) Names, Employee ID #, Dept Name, and % of Credit </li></ul>Brian Barton Russ Lentz 001 001 Biology Chemistry 90 10
  10. 10. Credit Reporting <ul><li>Insert Dept Name, Department ID #, and % of Distribution </li></ul>Biology Biology 074012 Chemistry 074012 094001 90 10
  11. 11. Credit Reporting <ul><li>Why are signatures required? </li></ul><ul><ul><li>Use of university & departmental resources </li></ul></ul><ul><ul><li>Effort commitments – Why is this important? </li></ul></ul><ul><ul><li>Compliance issues </li></ul></ul><ul><ul><li>Authorization issues </li></ul></ul>
  12. 12. Indirect Costs Distribution
  13. 13. Indirect Costs Distribution <ul><li>What are indirect costs? </li></ul><ul><li>How are they collected? </li></ul><ul><li>How are they redistributed? </li></ul><ul><ul><li>Deposited in a Sponsored Research and Development Trust Fund (SRAD) account </li></ul></ul><ul><ul><ul><li>Returned to Colleges & Departments </li></ul></ul></ul><ul><ul><ul><li>Support faculty research across campus </li></ul></ul></ul><ul><ul><ul><li>Construction/renovation of facilities </li></ul></ul></ul><ul><ul><ul><li>Buy equipment </li></ul></ul></ul><ul><ul><ul><li>Research administration </li></ul></ul></ul><ul><ul><ul><li>Matching </li></ul></ul></ul>
  14. 14. Indirect Costs Distribution <ul><li>Here is what it looks like on the Transmittal Form </li></ul>47 MTDC X X
  15. 15. Budget Figures <ul><li>The Transmittal Form also states the amount of money being requested </li></ul>145,000 0 0
  16. 16. Miscellaneous Information <ul><li>Identify personnel supported by the grant </li></ul>0 1 1 1 0 0
  17. 17. Certifications
  18. 18. Certifications <ul><li>Institutional officials normally must provide certain assurances, representations, and certifications when proposals are submitted or when accepting an award </li></ul><ul><li>A certification is usually viewed as an attestation for which if false may make the individual subject to criminal sanctions </li></ul>
  19. 19. Certifications <ul><li>Here is what it looks like on the Transmittal Form </li></ul>x
  20. 20. Certifications <ul><li>In terms of the Transmittal Form, there are many special circumstances that apply to the project </li></ul><ul><ul><li>Examples: </li></ul></ul><ul><ul><ul><li>Animal subjects </li></ul></ul></ul><ul><ul><ul><li>DNA/RNA use </li></ul></ul></ul><ul><ul><ul><li>Human subjects </li></ul></ul></ul><ul><ul><ul><li>Hazardous chemicals </li></ul></ul></ul><ul><ul><ul><li>Use of the FSU Marine Lab facilities </li></ul></ul></ul><ul><li>If a certification applies, there are additional actions that need to be taken </li></ul>
  21. 21. Certifications <ul><li>Contacts for approvals/signatures </li></ul>
  22. 22. Conflict of Interests
  23. 23. Conflict of Interest <ul><li>Section 7.45 of the FSU Faculty Handbook applies to all university employees </li></ul><ul><li>No employee of the State University System shall have any interest, financial or otherwise, direct or indirect; engage in any business transaction or professional activity; or incur any obligation of any nature which is in substantial conflict with the full and competent performance of his duties in the public interest </li></ul>
  24. 24. Conflict of Interest <ul><li>Sections 41 & 42 of the Transmittal Form address compliance with this issue </li></ul><ul><li>If you answer “yes” to having a Conflict of Interest, you must disclose that conflict to your appropriate Dean or Vice President according to the regulations listed in the Faculty Handbook and Florida Statutes Chapter 112 </li></ul><ul><li>Conflict of Interest may also be regulated by Federal & State Regulations/Agencies </li></ul><ul><ul><ul><li>Examples: NIH and NSF </li></ul></ul></ul>
  25. 25. Conflict of Interest <ul><li>NIH and NSF Conflict of Interest regulations implemented in 1995 </li></ul><ul><li>The result of public concern – Series of press reports of incidents where outside activity appeared to influence research results </li></ul><ul><li>Public confidence in research </li></ul>
  26. 26. Conflict of Interest <ul><li>NOTE: Conflicting interests are not necessarily unacceptable, and many can be managed through disclosure and oversight. NIH requires that universities report every identified possible conflict of interest, while NSF requires that institutions report only those conflicts that have not been resolved. </li></ul>
  27. 27. Conflict of Interest <ul><li>Here is what it looks like on the Transmittal Form </li></ul>x
  28. 28. Waivers & Matriculation
  29. 29. Waivers & Matriculation <ul><li>In-state matriculation waivers for qualifying graduate assistants will be funded by the same source as the graduate assistant’s salary. </li></ul><ul><ul><ul><li>Source: Graduate Student Waiver Management Handbook </li></ul></ul></ul><ul><li>In proposals, if you are paying a graduate assistant, then the tuition waiver is going to be charged to that grant </li></ul>
  30. 30. Waivers & Matriculation <ul><li>We have 4 different tuition waivers to select from on the Transmittal Form </li></ul><ul><ul><li>Waiver 1 = Means charge the project all matriculation fees for grad assistants on the project and out of state tuition for Engineering majors </li></ul></ul><ul><ul><li>Waiver 2 = College or School Waiver Allocation will pay the tuition for all grad assistants being paid on this project </li></ul></ul><ul><ul><li>Waiver 3 = If an alternate source is paying the tuition </li></ul></ul><ul><ul><li>Waiver 4 = Same as # 1, except it will not pay out of state tuition for Engineering majors </li></ul></ul>
  31. 31. Waivers & Matriculation <ul><li>Here is what it looks like on the Transmittal Form </li></ul><ul><li>We must list tuition in a proposal if graduate assistants are working on the project </li></ul>x
  32. 32. Waivers & Matriculation 1 1 1
  33. 33. Proposal Development <ul><li>What should accompany the proposal? </li></ul><ul><ul><li>Transmittal Form </li></ul></ul><ul><ul><li>Final Budget </li></ul></ul><ul><ul><li>Final Budget Narrative </li></ul></ul><ul><ul><li>Full Proposal </li></ul></ul><ul><ul><li>Copy of the Request for Proposals or Solicitation </li></ul></ul><ul><li>3 Day Rule </li></ul>
  34. 34. Submission Policy <ul><li>3 Day Rule continued </li></ul><ul><ul><li>The Vice President for Research instituted a policy effective on February 1, 2006 that states that a proposal must be submitted to Sponsored Research Services (SRS) by 9am three working days prior to the Agency deadline </li></ul></ul><ul><ul><li>You may work on only the technical narrative until 9am on the day of submission </li></ul></ul><ul><ul><li>SRS needs ample time to review the proposal and the commitments the University is making </li></ul></ul><ul><ul><li>Subcontracts or collaborations are also subject to this rule </li></ul></ul>
  35. 35. Proposal Submission <ul><li>Things to consider </li></ul><ul><ul><li>Is the proposal to be submitted being sent by electronic method or by hardcopy method? </li></ul></ul><ul><ul><li>Is there a specific time the proposal has to be received or post-marked to the agency? </li></ul></ul><ul><ul><li>Do you or Sponsored Research have the appropriate registrations for a particular RFP? </li></ul></ul><ul><ul><li>Are there special terms and conditions in the RFP? </li></ul></ul><ul><ul><li>Do you have special commitments? </li></ul></ul>
  36. 36. Special Commitments <ul><li>Special Commitments can be anything in the proposal that require additional approvals </li></ul><ul><ul><li>Examples </li></ul></ul><ul><ul><ul><li>Space </li></ul></ul></ul><ul><ul><ul><li>Equipment use </li></ul></ul></ul><ul><ul><ul><li>Time commitments </li></ul></ul></ul><ul><ul><ul><li>In-kind contributions </li></ul></ul></ul><ul><ul><ul><li>Cost sharing commitments </li></ul></ul></ul>
  37. 37. Budget Development <ul><li>Direct Cost Categories </li></ul><ul><li>Calculation of Salaries & Wages </li></ul><ul><li>Calculation of Fringe Benefits </li></ul><ul><li>Calculation of Facilities & Administrative (F&A or Indirect Costs) </li></ul>
  38. 38. Budget Development <ul><li>Personnel Costs </li></ul><ul><li>Salaries & Wages </li></ul><ul><ul><li>Include faculty, technicians, post-docs, graduate students, & other personnel who are required to work on the project </li></ul></ul><ul><ul><li>Administrative & clerical personnel normally should be treated as an indirect costs except in case of “major project or activity” as defined in Exhibit C to OMB Circular A-21 </li></ul></ul>
  39. 39. Budget Development <ul><li>Fringe Benefits </li></ul><ul><li>Faculty/A&P/USPS </li></ul><ul><ul><li>Retirement </li></ul></ul><ul><ul><li>Health Insurance </li></ul></ul><ul><ul><li>Social Security & Medicare </li></ul></ul><ul><ul><li>Worker’s Comp & Unemployment </li></ul></ul><ul><li>OPS Students </li></ul><ul><ul><li>Worker’s Comp & Unemployment </li></ul></ul><ul><li>OPS Non-students </li></ul><ul><ul><li>Medicare </li></ul></ul><ul><ul><li>Worker’s Comp & Unemployment </li></ul></ul><ul><li> </li></ul>
  40. 40. Budget Development <ul><li>Consultants </li></ul><ul><li>Outside individuals with expertise and skills that will add value to project </li></ul><ul><li>Normally, faculty & other FSU staff should not be paid as consultants </li></ul><ul><li>Costs are usually listed in terms of daily rate </li></ul><ul><li>Certain sponsors may limit the daily rate </li></ul><ul><ul><li>NSF abolished limitation on daily rates in 2006 </li></ul></ul><ul><li>Consultants never listed in the salaries & wages section </li></ul><ul><li>Consultants are typically paid in the form of a subcontract </li></ul>
  41. 41. Budget Development <ul><li>Equipment </li></ul><ul><li>Items costing $1,000 or more with a useful life of 1 year or more </li></ul><ul><li>Equipment should be detailed in the budget </li></ul><ul><li>Requests should only include those items of equipment needed to complete the project </li></ul>
  42. 42. Budget Development <ul><li>Supplies </li></ul><ul><li>Items of consumable supplies and materials </li></ul><ul><li>Items of minor equipment costing < $1,000 </li></ul><ul><li>Can be listed in budget as broad categories such as “glassware” or “chemicals” </li></ul><ul><li>Routine office supplies are normally treated as an indirect costs except in case of “major project or activity” as defined in Exhibit C to OMB Circular A-21 (C.A.S items) </li></ul>
  43. 43. Budget Development <ul><li>Travel </li></ul><ul><li>May include trips necessary to collect data, to present findings at a scientific meeting, for meetings with program officers or collaborators, etc </li></ul><ul><li>Reimbursement of costs should be consistent with institutional travel policy </li></ul><ul><li>Travel may be generally described or detailed if sponsor requires more information </li></ul>
  44. 44. Budget Development <ul><li>Subawards/Subcontracts </li></ul><ul><li>Represents a collaboration of work by one or more other institutions </li></ul><ul><li>Contractual agreements for services or goods with an outside party are not included in this category </li></ul><ul><li>Costs for subawardee is presented in a separate line item and should include both the subawardee’s direct and F&A costs </li></ul><ul><li>A subaward detailed budget should be included as part of budget justification </li></ul><ul><li>Subawardee’s F&A costs are calculated in accordance with subawardee’s negotiated F&A rate agreement </li></ul>
  45. 45. Subawards / Subcontracts <ul><li>If a collaboration is proposed we will need the following from each collaborator </li></ul><ul><ul><li>Letter of commitment from authorized person </li></ul></ul><ul><ul><li>Scope of work for their activities </li></ul></ul><ul><ul><li>Budget </li></ul></ul><ul><ul><li>Budget Justification </li></ul></ul>
  46. 46. Budget Development <ul><li>Other Direct Costs </li></ul><ul><li>This category contains all other proposal costs, i.e., animal per diems, publication charges, graphic fees, matriculation, communications, shipping, etc. </li></ul><ul><li>Postage, local telephone, and memberships are normally treated as F&A costs except in case of “major project or activity” as defined in Exhibit C to OMB Circular A-21 </li></ul>
  47. 47. Budget Development <ul><li>Other Direct Costs : Matriculation </li></ul><ul><li>Matriculation costs (minimum of 9 hrs) should be included for graduate assistants working for you and are supported by this grant </li></ul><ul><li>Graduate Matriculation Rate for 07-08 is $209.76/hr </li></ul><ul><li>If matriculation costs are not included in budget, an alternate source for paying must be identified </li></ul><ul><li>FSU excludes matriculation from F&A calculations in all proposals </li></ul>
  48. 48. Budget Development <ul><li>Other Direct Costs: Matriculation continued </li></ul><ul><ul><li>Multiyear proposals should assume a 10% increase in matriculation costs annually </li></ul></ul><ul><ul><li>Out of state matriculation is not an allowable cost in most circumstances </li></ul></ul><ul><ul><ul><li>College of Engineering may apply out of state rates to their proposals </li></ul></ul></ul><ul><ul><ul><li>Certain training grants allow out of state matriculation. Check the sponsor guidelines </li></ul></ul></ul><ul><ul><li>Fees are not an allowable cost unless applying for a training grant </li></ul></ul>
  49. 49. Budget Development <ul><li>F&A Base </li></ul><ul><li>Modified Total Direct Costs (MTDC) consists of all salaries and wages, fringe benefits, materials, supplies, services, travel, and subgrants/subcontracts up to the first $25,000 of each subgrant/subcontract </li></ul><ul><li>MTDC excludes equipment, capital expenditures, charges for patient care, tuition remission, rental costs of off-site facilities, scholarships, fellowships, and the portion of each subgrant/subcontract in excess of $25,000 </li></ul><ul><li>Typically federal </li></ul>
  50. 50. Budget Development <ul><li>F&A Bases </li></ul><ul><li>Total Direct Costs (TDC) – consists of all direct costs </li></ul><ul><li>However, FSU policy is to always exclude matriculation from F&A base </li></ul><ul><li>FSU applied TDC consists of all direct costs except matriculation </li></ul><ul><li>Typically State of Florida funded projects </li></ul>
  51. 51. Budget Development <ul><li>Research </li></ul><ul><li>A systematic study directed toward fuller scientific knowledge and understanding gained of the subject studied </li></ul><ul><li>Instruction </li></ul><ul><li>The teaching and training activities of an institution </li></ul><ul><li>Other Sponsored Activity </li></ul><ul><li>This includes programs and projects which involve the performance of work other than instruction or organized research </li></ul>
  52. 52. Submission to Sponsor <ul><li>Who is responsible for submission to the agency or sponsor? </li></ul><ul><ul><li>Hardcopy proposals = PI </li></ul></ul><ul><ul><li>Electronic proposals = Sponsored Research Services </li></ul></ul>
  53. 53. Notice of Intent to Award <ul><li>The proposal has been sent off, and the funding agency has now made a funding decision </li></ul><ul><ul><li>This can be in the form of: </li></ul></ul><ul><ul><ul><li>Letter to PI and/or Sponsored Research </li></ul></ul></ul><ul><ul><ul><li>Email </li></ul></ul></ul><ul><ul><ul><li>Funding agency electronic funding mechanism </li></ul></ul></ul><ul><ul><ul><li>A grant or contract arrives in the mail </li></ul></ul></ul>
  54. 54. Notice of Intent to Award <ul><li>This intent to award typically states the following: </li></ul><ul><ul><li>That your application has been selected for funding </li></ul></ul><ul><ul><li>Next step requirements of the funding agency </li></ul></ul><ul><ul><ul><li>Revised budget </li></ul></ul></ul><ul><ul><ul><li>Scope of work </li></ul></ul></ul><ul><ul><ul><li>Animal subject protocols </li></ul></ul></ul><ul><ul><ul><li>Human subjects approvals </li></ul></ul></ul><ul><ul><ul><li>Revision of time period for project </li></ul></ul></ul><ul><ul><ul><li>Certifications </li></ul></ul></ul><ul><ul><li>Anticipated start date of the award </li></ul></ul><ul><ul><li>NOTE: A grant or contract received in the mail also requires some of the items listed above </li></ul></ul>
  55. 55. Notice of Intent to Award <ul><li>If new budget or scope of work is needed: </li></ul><ul><ul><li>This typically occurs when a funding agency reduces the amount being funded from what you requested. If you are being funded a significant amount less than requested, typically your scope of work should be reduced </li></ul></ul><ul><ul><ul><li>You will need to work with Sponsored Research Services and your department to obtain the required approvals for your new budget and time commitments to re-submit to the agency </li></ul></ul></ul>
  56. 56. Notice of Intent to Award <ul><li>Advance spending </li></ul><ul><ul><li>What is it? </li></ul></ul><ul><ul><ul><li>It is the internal set-up of a budget number from which you may begin work and start spending </li></ul></ul></ul><ul><ul><ul><ul><li>NOTE: you may not begin working on a project without an award or advance budget number in place </li></ul></ul></ul></ul><ul><ul><ul><li>A form can be found on that requests an advance </li></ul></ul></ul><ul><ul><ul><li>Sponsored Research looks at many factors </li></ul></ul></ul><ul><ul><ul><ul><li>Anticipated award date </li></ul></ul></ul></ul><ul><ul><ul><ul><li>Agency pre-award spending regulations </li></ul></ul></ul></ul><ul><ul><ul><li>Implications of an advance </li></ul></ul></ul><ul><ul><ul><ul><li>Financial </li></ul></ul></ul></ul><ul><ul><ul><ul><li>Research / Personnel </li></ul></ul></ul></ul>
  57. 57. Proposal Development <ul><li>Questions? </li></ul>