Proposal Development


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Proposal Development

  1. 1. Proposal Development CRC Grant Writing Workshop April 30, 2009 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. Request for Proposals <ul><li>There can be many synonyms </li></ul><ul><ul><ul><li>RFP, Solicitation, Bid, Application Package </li></ul></ul></ul><ul><li>These are instructions to submit a proposal to the funding agency </li></ul><ul><ul><ul><li>These instructions must be followed or you risk the proposal being rejected for non-compliance </li></ul></ul></ul><ul><li>It is important to read the RFP in it’s entirety </li></ul><ul><ul><li>Why? </li></ul></ul>
  4. 4. Request for Proposals <ul><li>Why read it all the way through? </li></ul><ul><ul><ul><li>You find out the due date </li></ul></ul></ul><ul><ul><ul><li>You find out the method of submission </li></ul></ul></ul><ul><ul><ul><ul><li>i.e. electronic or hardcopy </li></ul></ul></ul></ul><ul><ul><ul><li>You find out if you need any special registrations with the agency </li></ul></ul></ul><ul><ul><ul><li>You find out the required elements of the proposal </li></ul></ul></ul><ul><ul><ul><ul><li>Forms, appendices, and letters of commitment </li></ul></ul></ul></ul><ul><ul><ul><li>You find out the $ and length limitations </li></ul></ul></ul>
  5. 5. Request for Proposals <ul><li>Why read it all the way through? </li></ul><ul><ul><ul><li>You find out the page limitations </li></ul></ul></ul><ul><ul><ul><li>You find out the dates of funding </li></ul></ul></ul><ul><li>All of these items are important because they help you complete your proposal and insure that your proposal is properly reviewed by the funding agency </li></ul>
  6. 6. Proposal Development <ul><ul><li>Contact Sponsored Research Services </li></ul></ul><ul><ul><ul><li>You establish a working relationship with the administrator who will process your proposal </li></ul></ul></ul><ul><ul><ul><ul><li>We are organized by agencies </li></ul></ul></ul></ul><ul><ul><ul><li>The administrator will be able to provide tips based upon the funding agency </li></ul></ul></ul><ul><ul><ul><li>You will be assigned a tracking number to insure that your proposal is given the proper priority </li></ul></ul></ul><ul><ul><ul><li>Any questions about the proposal process can be answered </li></ul></ul></ul>
  7. 7. Proposal Development <ul><li>Prepare the application </li></ul><ul><ul><ul><li>Download all of the application forms from the agency or </li></ul></ul></ul><ul><ul><ul><li>You may want to contact Sponsored Research Services again to see if they will be responsible for any of the forms included in an application </li></ul></ul></ul><ul><ul><ul><ul><li>Example: Certifications or any other form that must be filled-out by the PI or Authorized Representative </li></ul></ul></ul></ul><ul><ul><ul><li>Fill-out forms in the application and attach items that must be included </li></ul></ul></ul><ul><ul><ul><ul><li>Example: Abstract, Project Narrative, Budget, Budget Narrative </li></ul></ul></ul></ul>
  8. 8. Proposal Development <ul><li>Route the Application Through Approvers </li></ul><ul><ul><ul><li>Every proposal must be approved by all PI’s, Associated Chairs and Deans, and Sponsored Research Services before submission to an agency </li></ul></ul></ul><ul><ul><ul><li>This can be done using the OMNI system or via hardcopy of the Proposal Transmittal Form </li></ul></ul></ul><ul><ul><ul><li>If you would like to submit a proposal in OMNI our office teaches the class SP-2089 every month that shows you how </li></ul></ul></ul><ul><ul><ul><ul><li>To register you can log-in to Blackboard and register via the training server </li></ul></ul></ul></ul>
  9. 9. Proposal Development <ul><li>Attach the entire agency application along with the RFP to either OMNI or the Proposal Transmittal </li></ul><ul><li>Route to all PI’s for signature or OMNI approval </li></ul><ul><li>Route to all associated Chairs and Deans for signature or approval </li></ul><ul><li>Route to Sponsored Research Services for their approval </li></ul>
  10. 10. 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>
  11. 11. 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>
  12. 12. Transmittal Form <ul><li>What information is asked of the PI? </li></ul><ul><ul><li>What PI’s and departments are involved </li></ul></ul><ul><ul><li>It shows how the indirect costs will be redistributed between the departments participating </li></ul></ul><ul><ul><li>It lets us know if there are any special commitments being made </li></ul></ul><ul><ul><li>It lets us know if there is a Financial Conflict of Interest </li></ul></ul><ul><ul><li>It lets us know if there any items that may need further review or certifications </li></ul></ul>
  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 and Start-ups </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. 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 or civil sanctions </li></ul>
  15. 15. 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>
  16. 16. Certifications <ul><li>Contacts for approvals/signatures </li></ul>
  17. 17. 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>
  18. 18. 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>
  19. 19. Submitting via OMNI <ul><li>OMNI proposal submissions include the same information as a hardcopy proposal submitted with the Proposal Transmittal Form </li></ul><ul><ul><li>Differences </li></ul></ul><ul><ul><ul><li>You attach the items electronically to OMNI </li></ul></ul></ul><ul><ul><ul><li>You can route the proposal electronically </li></ul></ul></ul><ul><ul><li>Advantages </li></ul></ul><ul><ul><ul><li>You can track approvals electronically </li></ul></ul></ul><ul><ul><ul><li>No running around </li></ul></ul></ul><ul><ul><ul><li>Electronic records are available 24/7 </li></ul></ul></ul>
  20. 20. Submitting via OMNI <ul><li>Proposal is routed through 4 levels of approvers </li></ul><ul><ul><li>PI(s) </li></ul></ul><ul><ul><li>Chair(s) </li></ul></ul><ul><ul><li>Dean(s) </li></ul></ul><ul><ul><li>Sponsored Research Services </li></ul></ul>
  21. 21. What Happens at Sponsored Research Services <ul><li>We review the RFP </li></ul><ul><li>We review the complete proposal for conformity with the RFP and FSU policies and regulations </li></ul><ul><li>We review any special commitments that are being made </li></ul><ul><li>We make sure all parties have approved the proposal </li></ul><ul><li>We check the budget </li></ul>
  22. 22. 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>
  23. 23. 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>
  24. 24. 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>
  25. 25. 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>Terminal Leave Pool </li></ul><ul><li> </li></ul>
  26. 26. 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>
  27. 27. 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>
  28. 28. 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 </li></ul>
  29. 29. 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>
  30. 30. 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>
  31. 31. 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>
  32. 32. 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>
  33. 33. 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 08-09 is $230.73/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>
  34. 34. 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>
  35. 35. 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>
  36. 36. 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>
  37. 37. 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>
  38. 38. 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>
  39. 39. 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>
  40. 40. 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>
  41. 41. 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>
  42. 42. 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>
  43. 43. Proposal Development <ul><li>Questions? </li></ul>