Ora1120 Budget and Proposal Prep Mod1

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Sponsored research proposal components

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  • Welcome to the Proposal and Budget Preparation class, Module 1. My name is Patti McCabe and I will be your online instructor.
  • Newcomers to proposal preparation are often confused by the extensive use of acronyms and abbreviations. We will discuss and clarify these in the upcoming modules. A Research Administration Glossary can be found on the Webliography web page.
  • Grants.gov replaces paper applications with electronic forms and is in the process of requiring electronic submission of all federal grant applications. For additional information and details on submitting via Grants.gov at Stanford, please pause the training and launch the website listed on the slide.
  • There is no audio for this slide – you may need to pause the training to read through it.
  • There is no audio for this slide – you may need to pause the training to read through it.
  • The proposal presents the Principal Investigator’s ideas and methodology to a potential sponsor. It asks for the sponsor's financial support. Unless the proposal contains all the information the sponsor needs to make a decision about the significance of the work, the project may be rejected. Proposals become an official record used by Stanford, sponsors and auditors. It documents what was promised to a sponsor, and what Stanford’s commitment is. Questions about commitments may be asked years after a project is over. A good proposal will contain all the answers!
  • There is no audio for this slide, pause the training to read the material.
  • There is no audio for this slide – you may need to pause the training to read through it.
  • Sponsors often specify necessary components of the proposal. If none are specified, Stanford will require three components in order to process the proposal: Proposal Routing Sheet Statement of Work Budget and Budget Justification
  • There is no audio for this slide – you may need to pause the training to read through it.
  • It is essential to obtain a proposal application packet if the sponsor provides one. They can often be found on the web. It is critical to follow the proposal instructions exactly, as a proposal application can be rejected by the sponsor simply because it is not completed properly. Don’t assume anything! Contact OSR or your school based management team for assistance when completing a proposal.
  • There is no audio for this slide – you may need to pause the training to read through it.
  • The Proposal Routing Sheet is a form internal to Stanford. It must accompany a proposal, and contains key information about the proposal including endorsements by the PI and others. The signatures provide assurance that the proposed project will further the teaching and research objectives of the University, and that: Appropriate personnel and facilities are available to carry out the projects All costs are reasonable and allowable All compliance issues have been addressed
  • Proposals can have many components depending on the requirements of the sponsors. The 12 most common are listed on this slide. We will now go into more detail on each.
  • Many sponsors have a preprinted face or cover page, and a table of contents. For those that do not, you can prepare one yourself.
  • Although the abstract appears at the beginning of the proposal, it is usually written last. The abstract frames the proposal, and in many instances determines where it will be sent for review. Since it is a summary of major points, it must be able to stand alone. It is usually limited to 200-400 words.
  • The program description must justify the “what” and “why” of the project. This component of the proposal should give a concise description of the project, its objectives, results from prior work, and how this project will contribute new knowledge to the field. Many sponsors demand strict adherence to page limitations for the narrative. Keep the reviewer in mind; don’t assume the reader knows what you or the PI are talking about. Do not use jargon. Support the hypothesis. Show how this project relates to the sponsor’s purpose and goals.
  • Citations for literature cited should be complete.
  • The budget contains estimated costs for the entire proposal period. Project costs must be allowable, allocable, reasonable and consistent. The budget is generally divided into categories; that is, Total Direct Costs, Modified Total Direct Costs, and Indirect Costs. A separate budget must be included for any portion of the work that is to be subawarded. All expenses should be justified, and a justification is required when proposing clerical and administrative expenses.
  • A separate description may be required addressing the attributes of the facilities and available equipment that will be used to support the project.
  • All resources discussed should contain the statement “will be available for the performance of this project at no direct cost to the sponsor”.
  • Who will work on the project and what will he or she do? What are her qualifications, related background, experience and relevant publications? The vitae of all key personnel who will be involved in carrying out the project should establish competence. Rationale should also be given for any consultants or subawardee’s who will be involved in the work.
  • There is no audio for this slide – you may need to pause the training to read through it.
  • Most sponsors ask for a list of ongoing as well as pending projects and sources of support that key personnel have submitted elsewhere.
  • There is no audio for this slide – you may need to pause the training to read through it.
  • Appendix material includes supporting documents, tables, charts, photographs and/or articles that cannot be included in the narrative. It is best to consult with the potential sponsor, or follow the instructions about appendix material, as some sponsors require prior approval before allowing you to submit the material.
  • Federal assurances and certifications are required to be signed by the institutional official when submitting proposals.
  • There is no audio for this slide – you may need to pause the training to read through it.
  • Pause the training to try this activity. When you have finished the activity, close the window and return to the training.
  • This completes Module 1 of the Budget and Proposal Preparation class. If you’re ready, you may launch Module 2. Or, you may take a break and return to the next module later.
  • Ora1120 Budget and Proposal Prep Mod1

    1. 1. Proposal and Budget Preparation ORA-1120 Module 1: Introduction and Overview
    2. 2. Vocabulary <ul><li>RFP </li></ul><ul><li>A-21 and CAS </li></ul><ul><li>PI </li></ul><ul><li>RPM </li></ul><ul><li>ORA </li></ul><ul><li>OSR </li></ul><ul><li>IDC (F&A) </li></ul><ul><li>? ? ? </li></ul>Check the Webliography Page for a Research Administration Glossary.
    3. 3. Grants.gov <ul><li>Replaces paper applications with electronic forms </li></ul><ul><li>Requires electronic submission of all federal proposal applications </li></ul><ul><ul><li>All agencies must post their Funding Opportunity Announcements (FOA) </li></ul></ul><ul><ul><li>Some agencies post application packages </li></ul></ul><ul><ul><li>Submission via Grants.gov is mandatory for some sponsors and optional for others </li></ul></ul>Go to: grantsgov.stanford.edu for more information!
    4. 4. Supplementary Notes <ul><li>Preparation: </li></ul><ul><ul><li>Start working on your application early! </li></ul></ul><ul><ul><ul><li>Contact your Institutional Representative if you need assistance. </li></ul></ul></ul><ul><ul><ul><li>Administrators/PIs/Staff : do not create an account with Grants.gov – Stanford is registered as an institution. </li></ul></ul></ul><ul><ul><li>Utilize training resources well before the deadline. </li></ul></ul><ul><ul><ul><li>Take the “Grants.gov Guided Tour” training. Enroll in STARS for ORA-1215. </li></ul></ul></ul><ul><ul><ul><li>Check the Stanford Grants.gov support website . </li></ul></ul></ul><ul><ul><li>Ensure you have the compatible version of Adobe Reader! </li></ul></ul><ul><ul><ul><li>Currently 8.1.7 or 9.1.2 (9.1 or higher works best on Macs). </li></ul></ul></ul><ul><ul><ul><li>Check the Grants.gov Software Download Page for updates. </li></ul></ul></ul><ul><ul><ul><li>If you have difficulty with Internet Explorer or Safari, download Mozilla Firefox as an alternate browser for both PC and Mac platforms. </li></ul></ul></ul>
    5. 5. Supplementary Notes <ul><li>Preparation Continued </li></ul><ul><ul><li>Update your profile in NIH eRA-Commons : If not registered yet, contact your Institutional Representative at least two weeks in advance to register the PI. If your PI is already registered, make sure their profile is updated so it is an exact match to what is on the application (title, degrees, name, etc.). Any Postdocs that will be “Key Personnel” on the proposal must be given an NIH eRA Commons account also. </li></ul></ul><ul><ul><li>Your Institutional Representative submits the final application . Administrators/PIs/Staff do not submit the application directly to Grants.gov. The completed application is forwarded by your Institutional Representative via eSubmit . </li></ul></ul><ul><ul><ul><li>Time Line : Remember, you are required to submit your completed application to your Institutional Representative via eSubmit by 9:00 am, at least 5 business days before the agency’s submission deadline! Add departmental review requirements to the 5 business days needed for institutional review. </li></ul></ul></ul>
    6. 6. It All Begins With The Proposal <ul><li>A detailed request for funding, usually prepared in accordance with the sponsor’s instructions </li></ul><ul><li>An official record of what was “promised” by Stanford to a sponsor </li></ul>What is a proposal?
    7. 7. Supplementary Notes <ul><li>Once the Principal Investigator completes the proposal, she routes to all appropriate parties for review and signatures within Stanford electronically using the PDRF. The proposal is then endorsed by the Institutional Representative and submitted to the sponsor. The sponsor will review the proposal and considersit for acceptance. </li></ul>Supplementary Notes
    8. 8. Supplementary Notes <ul><li>What is an Institutional Representative? </li></ul><ul><li>The individual named by Stanford University who is authorized to act for the organization, and to assume the obligations imposed by Federal, State and local laws, regulations, requirements, and conditions, as well as University policies that apply to the proposal and award. In signing a proposal application and in accepting a corresponding award, this individual certifies that the applicant organization will comply with all applicable assurances and certifications referenced in the application. This individual's signature on the proposal application further certifies that the applicant organization will be accountable both for appropriate use of funds awarded and for the performance of the sponsored project activities resulting from the application. </li></ul><ul><li>Who is my Institutional Representative? </li></ul><ul><ul><li>School of Medicine : Research Management Group (RMG) </li></ul></ul><ul><ul><li>All Other Schools : Office of Sponsored Research (OSR) </li></ul></ul><ul><ul><ul><li>National Science Foundation (NSF) for School of Engineering : Engineering Research Administration (ERA) </li></ul></ul></ul>Supplementary Notes
    9. 9. Minimum Proposal Requirements <ul><li>Proposal Development & Routing Form (PDRF) </li></ul><ul><li>Statement of Work </li></ul><ul><li>Budget and Budget Justification </li></ul>If the sponsor does not specify, three components are required by Stanford:
    10. 10. Supplementary Notes <ul><li>Sponsors often specify necessary components for the proposal package. If NONE are specified, Stanford will require these three in order to process the proposal. At minimum a proposal requires: </li></ul><ul><ul><li>Proposal Development & Routing Form (PDRF) This form is for Stanford use only and includes: </li></ul></ul><ul><ul><ul><li>Key information about the project </li></ul></ul></ul><ul><ul><ul><li>Sponsor deadline and mailing information </li></ul></ul></ul><ul><ul><ul><li>Confirmation that the proposal has been appropriately reviewed </li></ul></ul></ul><ul><ul><ul><li>Certifications by Principal Investigator </li></ul></ul></ul><ul><ul><ul><li>Find the PDRF and instructions on the SeRA Website </li></ul></ul></ul><ul><ul><li>Statement of Work The Statement of work is the “what” and “why” of the project. Why should the work be done? It also contains the “how” and “when” of the project. What is the plan of action? How will the work be done? </li></ul></ul><ul><ul><li>Budget The budget is the financial expression of the project and must include: </li></ul></ul><ul><ul><ul><li>estimated costs for the entire project period broken into “Direct” and “Indirect” costs </li></ul></ul></ul><ul><ul><ul><li>justification for all costs, and required for all administrative charges </li></ul></ul></ul><ul><ul><ul><li>separate budgets for subawarded work </li></ul></ul></ul>Supplementary Notes
    11. 11. Proposal Application Packets <ul><li>Provided by some sponsors </li></ul><ul><li>Instructions must be followed exactly! </li></ul><ul><li>Don’t assume anything! </li></ul>Contact OSR or your school based management team for help!
    12. 12. Supplementary Notes <ul><li>Proposal application packets contain forms and information. Check with OSR or your school based management team to obtain an application package. </li></ul><ul><li>CHECK REFERENCES </li></ul><ul><li>Here are some helpful web sites: </li></ul><ul><ul><li>NIH Grants.gov Application Guide for online grant applications </li></ul></ul><ul><ul><li>Public Health Services PHS, which includes NIH, Paper Grant Application Package (PHS 398) </li></ul></ul><ul><ul><li>NSF Proposal & Award Policies & Procedures Guide Jan. 5, 2008 – Jan. 4, 2009 : This Document Applies Jan 5, 2009 – April 5, 2009: This Document Applies April 6, 2009: This Updated Document Applies (NSF combined their two policy documents: the NSF Grant Proposal Guide (GPG) and the Grant Policy Manual (GPM) into a single electronic policy framework.  This change was effective June 1, 2007.  This document supersedes all prior versions of the GPG and GPM.) </li></ul></ul><ul><li>Check the Webliography for this course </li></ul>Supplementary Notes
    13. 13. Proposal Development and Routing Form (PDRF) <ul><li>MUST accompany a proposal submission to the Institutional Representative </li></ul><ul><li>Is for Stanford use only, and includes: </li></ul><ul><ul><li>Key information about the sponsor </li></ul></ul><ul><ul><li>Confirmation that the proposal has been appropriately reviewed </li></ul></ul><ul><ul><li>Sponsor deadlines and mailing information </li></ul></ul><ul><li>Link to PDRF and User Guide </li></ul>
    14. 14. Proposal Components <ul><li>Cover sheet </li></ul><ul><li>Table of contents </li></ul><ul><li>Abstract </li></ul><ul><li>Program description </li></ul><ul><li>Bibliography </li></ul><ul><li>Budget and budget justification </li></ul><ul><li>Resources and environment </li></ul><ul><li>Key personnel </li></ul><ul><li>Current and pending support </li></ul><ul><li>Appendices </li></ul><ul><li>Assurances and Certifications </li></ul><ul><li>Checklists </li></ul>
    15. 15. Cover Sheet and Table of Contents <ul><li>Cover Sheet (Face Page): </li></ul><ul><ul><li>Summarizes key information for the sponsor </li></ul></ul><ul><ul><li>Indicates Stanford endorsement of the proposal </li></ul></ul><ul><li>Table of Contents </li></ul><ul><ul><li>Lists each section of the proposal and associated page numbers </li></ul></ul>
    16. 16. Abstract <ul><li>A Project Summary which: </li></ul><ul><ul><li>Concisely describes the aims and procedures of the proposed project </li></ul></ul><ul><ul><li>Is usually limited to 200-400 words </li></ul></ul><ul><ul><ul><li>Should be written in lay terms </li></ul></ul></ul><ul><ul><ul><li>May be used for press releases </li></ul></ul></ul><ul><ul><ul><li>Often placed in a database to indicate to taxpayers how tax dollars were used </li></ul></ul></ul>Leland Stanford Jr.
    17. 17. Program Description <ul><li>Purpose </li></ul><ul><ul><li>The “what” and “why” of the project. </li></ul></ul><ul><ul><li>Why should this work be done? </li></ul></ul><ul><li>Methodology </li></ul><ul><ul><li>The “how” and “when” of the project. </li></ul></ul><ul><ul><li>The action plan. </li></ul></ul><ul><ul><li>How will it get done? </li></ul></ul>This is sometimes referred to as a Statement of Work (SOW). SOW may have page limitations!
    18. 18. Bibliography <ul><li>Includes references for any literature cited in the proposal, including: </li></ul><ul><ul><li>Author </li></ul></ul><ul><ul><li>Title </li></ul></ul><ul><ul><li>Volume number </li></ul></ul><ul><ul><li>Page number </li></ul></ul><ul><ul><li>Year of publication </li></ul></ul>Different disciplines may have different formats.
    19. 19. Budget and Budget Justification <ul><li>Estimated costs for the entire project period </li></ul><ul><li>Justification for all costs </li></ul><ul><li>Separate budgets for subawarded work </li></ul><ul><li>Pay special attention to the justification for </li></ul><ul><ul><li>Clerical and administrative expenses </li></ul></ul><ul><ul><li>General-purpose (non-scientific) equipment </li></ul></ul>Stanford Policy requires a budget justification for all administrative expenses ( see RPH 3.6 )
    20. 20. Resources and Environment <ul><li>May be required by sponsor (NIH, NSF) </li></ul><ul><li>Opportunity to promote the research environment of the University </li></ul><ul><ul><li>Laboratories and other facilities </li></ul></ul><ul><ul><li>Equipment </li></ul></ul><ul><ul><li>Office space </li></ul></ul><ul><ul><li>Etc. </li></ul></ul>
    21. 21. Wording “Availability” <ul><li>Suggested wording for proposals: </li></ul><ul><ul><li>“… [existing specialized equipment for facilities] will be available for the performance of this project at no direct cost to the sponsor . ” </li></ul></ul><ul><li>Specifying “at no DIRECT cost” tells the sponsor that the resources will be made available, while avoiding a cost sharing commitment. If your proposal does not have a “Resources and Environment” section, put this into the Budget Justification. </li></ul>
    22. 22. Key Personnel <ul><li>Includes consultants & subrecipients </li></ul><ul><li>Attach Curriculum Vitae or Biographical Sketches of each to establish competency </li></ul><ul><li>List of relevant publications </li></ul>
    23. 23. Supplementary Notes <ul><li>Most sponsors require a list of key personnel being proposed to work on the project, as well as their roles. These individuals are vital to the technical execution of the project. The Curriculum Vitae (CV) should establish their competence. </li></ul><ul><li>Depending on the sponsor, consultants may be included among “Key Personnel.” </li></ul><ul><li>Some sponsors, e.g., NSF, limit CVs to two pages. </li></ul>
    24. 24. Current and Pending Support <ul><li>List other projects requiring a portion of PI or senior personnel time </li></ul><ul><ul><li>Project Title </li></ul></ul><ul><ul><li>Sponsor </li></ul></ul><ul><ul><li>Period of performance </li></ul></ul><ul><ul><li>Percentage of effort </li></ul></ul><ul><ul><li>Amount of award (or amount requested) </li></ul></ul>
    25. 25. Supplementary Notes <ul><li>Most sponsors ask for a list of all other sources of support for ongoing projects as well as pending support from proposals submitted elsewhere. </li></ul><ul><li>This information is available in SPIDERS, the Sponsored Projects online database. If you require access to the SPIDERS database, please submit the “ OSR Form 54: Authorization for Sponsored Projects SPIDERS/PRISM Access Form ”. </li></ul><ul><li>Do you need instructions for Setting Up SPIRES Access? Check the web . </li></ul>
    26. 26. Appendices <ul><li>May include: </li></ul><ul><li>Supporting documents </li></ul><ul><li>Tables </li></ul><ul><li>Charts </li></ul><ul><li>Photographs </li></ul><ul><li>Articles </li></ul>Some sponsors require prior approval to add appendices!
    27. 27. Federal Assurance and Certifications <ul><li>Standard federal assurances include: </li></ul><ul><ul><li>Certification regarding Lobbying </li></ul></ul><ul><ul><li>Drug-Free Workplace </li></ul></ul><ul><ul><li>Delinquency on Federal Debt </li></ul></ul><ul><ul><li>Civil Rights </li></ul></ul><ul><ul><li>Debarment and suspension </li></ul></ul>You should call OSR or your Research Administration Office for advice; they can complete the forms for you.
    28. 28. Sponsor Checklist <ul><li>Many sponsors provide proposal checklists. </li></ul><ul><li>Be sure to complete it and include it in the proposal, if required. </li></ul>
    29. 29. Instructional Activity <ul><li>“ Components of a Proposal” </li></ul><ul><li>In this activity, you will put a puzzle together based on the 12 components of a proposal. </li></ul><ul><li>Pause the training, then link to the activity . When you have completed the activity, close the window to return to the training. </li></ul><ul><ul><li>Hint: if you miss some of the components in this exercise, you can find the answers in the training. </li></ul></ul><ul><ul><li>See a completed NIH proposal showing all the components </li></ul></ul>
    30. 30. End Module I Congratulations! You have completed Module I of the Budget and Proposal Preparation course. If you are ready, you may launch Module 2 . If you want to return to the training later, you may close this window and launch another module from the Cardinal Curriculum when you’re ready.

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