Navigating the Sea of Proposal Development and Submission

Transcription

1 Proposal Navigating the Sea of Proposal Development and Submission Jessica Maass, Senior Proposal Analyst Alexa Van Dalsem, Senior Manager Proposal Development Introductions

2 Topics Covered Proposal Preparation Budget Development Submission Final Review Topics Covered Searching for Buried Treasure

3 Proposal Preparation Sponsors Common Programs Funding Opportunities Guidelines Proposal Preparation Sponsors Federal Other Universities Industry International, Nonprofits, and other State of Colorado National Aeronautics Science Administration (NASA) National Science Foundation (NSF) Dept. Commerce National Institutes of Health (NIH) Dept. of Defense Dept. of Energy Other Federal Agencies Dept. of Education Subcontract Federal Flow Through Lockheed Martin Northrup Grumman Ball Aerospace Fellowships Foreign Companies and Institutions Department of Transportation Office of Economic Development Reference: Sources of Research Awards

4 Proposal Preparation Grants Assistance Basic Research Cooperative Agreements Substantial Sponsor Involvement Working together for research outcome Funding Mechanisms Contract Purchase Applied Research Gifts No sponsor expectations General Support Proposal Preparation Grants NIH NSF NASA Private Foundations & Nonprofit companies State Sponsor Objectives Cooperative Agreements NASA National Labs Commercial & Industry State of Colorado Contract Department of Defense Commercial & Industry State of Colorado Gifts Private Foundations & Nonprofit companies

5 Proposal Preparation Is it Sponsored Research? YES! for: Most Federally sponsored programs Some foundation programs Sponsor requires any or combination of the following: An authorized organizational representative (AOR) signature An approved budget Accounting requirements under 2 CFR 200, Uniform Guidance Documentation of audit Need IRB, IACUC, EH&S approvals Proposal Preparation Is it Sponsored Research? MAYBE for: Awards that can be made to CU or the PI None of the YES items OCG recommends going through OCG if there s a choice Tax reasons Liability reasons OCG assist with reviewing award terms and conditions SPA assist with accounting Proposals a PI can submit OCG recommends proposal be reviewed by OCG Avoid budgeting errors, other problems that delay an award

6 Proposal Preparation Is it Sponsored Research? NO for: NSF Graduate Research Fellowship Program (GRFP) Fellow applies, award through OCG Fulbright U.S. Scholar Program Apply through Office of International Education Not sure if OCG needs to be involved? Just want help with a budget? Contact your Proposal Analyst See also CCO s Revenue Decision Matrix Proposal Preparation Common Programs Research Topics Early Career Equipment Fellowships SBIR/STTR NSF: Directorates NSF: Career ONR: DURIP NIH: National Research Service Awards Department of Defense NIH: Activity Codes ONR/AFOSR: Young Investigator Program NSF: Major Research Instrumentation NASA: NESSF & NSTRF Department of Energy NASA: ROSES NIH: (K) Awards NSF: GRFP NSF DoE: Sub agencies and offices NIH DoD: Military branches and sub agencies

7 Solicited Proposal Preparation Funding Opportunities Broad Agency Announcement (BAA) Program Funding Opportunity Description (PD) Announcement (FOA) Program Request for Applications Announcement (RFA) (PA) Request for Proposal (RFP) Request for Quote (RFQ) Unsolicited Proposal Preparation Guidelines Why do I need to read these? Program Requirements Submission Method and Deadline Eligibility and Budget Information Limited submissions Required Elements and Formatting Standard Sponsor Specific Requirements NSF Grant Proposal Guide (GPG) NIH SF 424 Application Guide NASA Guidebook for Proposers

8 Proposal Preparation Funding Opportunity and Guideline Review NSF Solicitation Grant Proposal Guide Checklist Proposal Preparation Role of Proposal Analyst Your FRIEND or your ENEMY? Proposal Development Assistance Knowledgeable of Federal, Sponsor, and Institutional Policies and Practices Authorized Officials to Submit

9 Proposal Preparation Institutional Approvals Conflict of Interest Disclosure of External Professional Activities (DEPA) Budget Approvals Cost Share (Cost Share Addendum) Course Buy Out Reduced Indirect Rate (IDC Addendum) Project Safety and Compliance IRB, IACUC, and EH&S Additional Consideration for Award Terms Export Control Intellectual Property Proposal Preparation Technical Proposal Development Statement of Work (SOW) Background/Purpose Objectives Explanation of Performance Schedule Deliverables Investigator s Qualifications and Commitment Bio-Sketch/CV Current and Pending Supplemental Information Letters of Collaboration/Support List of Potential Conflict of Interests

10 Proposal Preparation Formatting Requirements Font, Margins, Spacing Page Limitations Sponsor Required Elements Order of Information Not following these rules = Return Without Review Budget Development What is the purpose of a proposal budget? Why does the budget matter?

11 Budget Development Role of the Budget Program officers reviewing proposals can tell when a budget makes sense and when it s unrealistic, and they don t want to give awards to projects that will not be funded properly. Budgets are not just numbers; agencies need to know why you have all of these costs.... Budgets are stories. -Grant Proposal Budgeting 101, Rachel Bernstein, Science Careers Budget Development Role of the Budget AT PROPOSAL Budgets that don t follow program guidelines proposal returned without review Budgets are revealing of a PI s preparation to do a project Prior approval requirements Decisions about indirect costs Cost share commitments Internal processes and recordkeeping Detailed budgets needed for all projects

12 Budget Development Role of the Budget AT AWARD The financial expression of the approved project Budgets are used at award and for the life of a project An accurate budget makes project setup and the actual project easier... as well as project closeout Budget Development - Policies ORDER OF PRECEDENCE INSTITUTIONAL Policies AWARD Terms & Conditions SPONSOR Terms & Conditions 2 CFR (Catalog of Federal Regulations) 200 Federal Acquisition Regulations (FAR) Defense Federal Acquisition Regulations (DFAR) FEDERAL Regulations

13 Budget Development - Policies 2 CFR 200, Uniform Guidance (The UG) Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards; Final Rule ("Uniform Guidance"), 2 CFR Chapter I, Chapter II, Part 200, Office of Management and Budget Budget items must be: Allowable Allocable Reasonable Consistent Budget Development - Policies Allowable Costs that are not specifically prohibited by federal regulations or the specific grant/contract Reasonable Costs that reflect what a prudent person would pay Allocable Costs are charged to sponsored projects in proportion to the relative benefit received Treated Consistently Like costs in similar circumstances should be treated the same

14 Budget Development - Policies UG SUBPART E: COST PRINCIPLES POLICY & PROCEDURES CU Cost Principles Policy Statements Administrative salaries Computing devices Conferences Entertainment costs Equipment Like/Unlike Memberships, subscriptions, and professional activity costs Personnel recruitment costs Research-related relocation costs Research-related visa costs Stipends Travel Budget Development - Policies WHAT TO BUDGET Not too much, not too little (aka the Baby Bear Budget) Request actual costs to do the work within sponsor and solicitation limitations Best estimate for future work Budgets may change when a project starts and that s OK

15 Budget Development - Policies WHEN IN DOUBT... ASK How does the cost benefit the grant? Does paying this cost benefit the work that is being done on the project? Does the cost directly tie to any work being done? Can the work be done without needing to cover this cost? Budget Development What s in a Budget? DIRECT COSTS Costs specific to a project that can be identified relatively easily with a high degree of accuracy Budgeted based on estimated, actual cost Subject to allowability according to federal, sponsor, institution, program policies (order of precedence) INDIRECT COSTS (IDC) The real cost of facilities and administration (F&A) related to doing research (utilities, buildings, office supplies, staff, etc.) NOT a tax, a fee, or a punishment Budgeted according to negotiated rate or sponsor limit

16 Budget Development Direct Costs SALARY AND WAGES (UG Subpart E ) All institution employees directly working on project Key/senior project personnel Administrative personnel Graduate and undergraduate students Basis: institutional base salary, consistent with that paid for similar work in other activities Budget Development Direct Costs SALARY AND WAGES Salary and effort requirements/limitations NIH salary cap NIH effort requirement NSF 2-month effort rule Institutional policies FLSA

17 Budget Development Direct Costs FRINGE BENEFITS (UG Subpart E ) Institutional policy on when to include Institutional policy on how to budget (i.e. negotiated rates based on job category or actual cost) Covers cost of insurance (health, dental, life, disability, workers compensation), FICA, Medicare, retirement plans, unemployment Budget Development Direct Costs EQUIPMENT (UG Subpart A and Subpart E ) Tangible personal property (including information technology) Per-unit acquisition costs of $5,000 or more Useful life of more than one year

18 Budget Development Direct Costs PARTICIPANT SUPPORT (UG Subpart A and Subpart E ) Stipends or subsistence allowances, travel allowances, and registration fees paid to or on behalf of participants or trainees In connection with conferences or training projects Not for institution employees Not for research subjects Require prior approval Budget Development Direct Costs TRAVEL (UG Subpart E ) Airfare, per diem, lodging, ground transportation, parking, conference fees Basis for costs: Institutional policy (i.e. actual costs, GSA and Department of State rates) Conference fees may also be included as other direct costs Fly America Act

19 Budget Development Direct Costs OTHER (TYPICAL) DIRECT COSTS Materials and supplies Computers and tablets Publication costs Subawards Consultants Animal costs Human subject costs Tuition Other project related items Budget Development Direct Costs CAN WE BUDGET A YAK? A PI plans to do research in Tibet. For part of her project, she ll need a yak to reach the research site. She wants to budget yak travel in the proposal.

20 Budget Development Direct Costs CAN WE BUDGET OFFICE SUPPLIES AND FURNITURE? On an NSF proposal, the PI has requested to budget $1,000 for office supplies and a filing cabinet each year. On a foundation proposal with no indirect costs allowed, the PI wants to request $1,000 for office supplies and a filing cabinet. Budget Development Direct Costs CAN WE BUDGET A BIKE? A PI will be doing research in China and requests to budget a bike for general transportation. It will save money! A PI s project will study the health effects of cycling. She requests to budget five bikes.

21 Budget Development Indirect Costs INDIRECT COSTS BASED ON: Rate Base - Modified Total Direct Costs (MTDC), UG Subpart A = Direct Costs EXCLUDING: equipment, capital expenditures, charges for patient care, participant support costs, tuition, subaward costs after first $25,000, rental costs of off-site facilities - Total Direct Costs (TDC) - Other Fixed amount (i.e. institutional allowance, administrative allowance) Budget Development Indirect Costs RATES: FEDERALLY NEGOTIATED IDC/F&A RATE (UG Subpart E ) Negotiated with and approved by a federal cognizant agency every four years MTDC Base

22 Budget Development Indirect Costs OTHER RATES Federally negotiated off-campus rate: 26% MTDC - Cost of administration only - No facilities costs Federally reduced rates (i.e. training programs, 8% MTDC) Non-profit sponsors reduced rates Industry sponsors may be different than federally negotiated rate Budget Development Indirect Costs OTHER BUDGET CONCEPTS Start date and project period Stipends Inflation Cost share

23 Budget Development Build a Budget NSF Budget Budget Development Build a Budget NIH Budget What would you change if this was an NIH R01 proposal budget?

24 Submission Common Submission Methods and Portals NSF FASTLANE NASA NSPIRES NIH ASSIST/Grants.Gov/eRA Commons Department of Defense & Energy Grants.gov Sub-Agency specific portals: EERE-Exchange, PAMS, ebrap, BAA.DARPA.Mil Submission FastLane

25 Submission NSPIRES Submission Grants.Gov

26 Submission Grants.Gov Mandatory and Optional Forms SF 424 (R&R) [a.k.a: Cover Page] Institutional, PI & Project information Project Performance Site Locations R&R Key Person Profile Information Research and Related (R&R) Budget Project (and Subaward) Budget per project period SF 424-A Budget by Summary per program (sometimes used as per year) R&R Other Project Information Project details, Abstract, Narrative, and misc. documents Attachments Attach required documents and/or additional documents Disclosure of Lobby Activities Typically Optional and not applicable Submission ASSIST

27 Submission era Commons Submission Validation and Errors FastLane NSPIRES ASSIST Grants.gov Required Documents, Page Limits Required Elements, Project Dates, Relationship Confirmed Required Uploads and Responses Required Uploads and Responses highlighted Error: Project Summary Warning: Project Dates, Program Specific Questions Budget over 500K, Investigator Effort DUNS #, Subaward Budget Form

28 Final Review 5 BUSINESS DAYS = BETTER PROPOSALS! Final Review PROPOSAL ANALYSTS REVIEW PROPOSALS FOR Minimum proposal documents: PSR form, statement of work, budget, budget justification AND/OR Documents that don t follow guidelines or policies Anything that prevents submission (first gate) Anything that prevents first review (second gate)

29 Final Review PROPOSAL ANALYSTS REVIEW All documents for Page limits Margins Font Nothing extra Circumventing page limits Final Review PROPOSAL ANALYSTS REVIEW Sponsor forms Complete, accurate, match internal documents Project summary/abstract Page limit or number of lines, content, special program requirements Project narrative Required content

30 Final Review PROPOSAL ANALYSTS REVIEW: Biographical sketch(es) Format, required content Budget Meets sponsor cap and other limits Matches internal budget Budget narrative Matches budget Follows sponsor budget form No unintended cost share Final Review PROPOSAL ANALYSTS REVIEW Bibliography/references Facilities, equipment and other resources Data management plan For NSF, current and pending support Format requirements Letters of reference and/or collaboration No letters of support for NSF Other specific sponsor or program requirements

31 Final Review AFTER PROPOSAL ANALYST REVIEWS PA makes recommendations for changes PI revises documents Who has the last say in what gets submitted? Post Submission Requests Budget Negotiations Reduced Support Reallocation of Costs Further Justification and/or Verification Pre-award Assurances Certifications and Representations Letters of Support IRB/IACUC Approvals Additional Proposal Documentation Updates to SOW or other proposal documentation NIH: Just in Time (JIT)

32 Treasure! Award Resources OCG Collection of Sponsor Resources (NSF, NIH, NASA) OCG Proposal Document and Budget Templates OCG Glossary (includes acronyms) Libraries DMPTool for Data Management Plans Research & Innovation Office, including finding funding resources

33 Questions Alexa Van Dalsem Senior Manager Proposal Development Jessica Maass Senior Proposal Analyst