Proposal Development

Proposal Development

CRC Grant Writing Workshop

April 30, 2009

By: Brian Barton


Steps involved in proposal development Look for funding that matches your research

interests/needs Identify the funding program Read the Request for Proposals guidelines Prepare proposal Obtain institutional approvals Submit the proposal

Request for Proposals

There can be many synonyms RFP, Solicitation, Bid, Application Package

These are instructions to submit a proposal to the funding agency

These instructions must be followed or you risk the proposal being rejected for non-compliance

It is important to read the RFP in it’s entirety Why?


Why read it all the way through? You find out the due date You find out the method of submission

i.e. electronic or hardcopy You find out if you need any special registrations

with the agency You find out the required elements of the

proposal Forms, appendices, and letters of commitment

You find out the $ and length limitations


Why read it all the way through? You find out the page limitations You find out the dates of funding

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


Contact Sponsored Research Services You establish a working relationship with the

administrator who will process your proposal We are organized by agencies

The administrator will be able to provide tips based upon the funding agency

You will be assigned a tracking number to insure that your proposal is given the proper priority

Any questions about the proposal process can be answered


Prepare the application Download all of the application forms from the

agency or Grants.gov 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

Example: Certifications or any other form that must be filled-out by the PI or Authorized Representative

Fill-out forms in the application and attach items that must be included

Example: Abstract, Project Narrative, Budget, Budget Narrative


Route the Application Through Approvers Every proposal must be approved by all PI’s,

Associated Chairs and Deans, and Sponsored Research Services before submission to an agency

This can be done using the OMNI system or via hardcopy of the Proposal Transmittal Form

If you would like to submit a proposal in OMNI our office teaches the class SP-2089 every month that shows you how

To register you can log-in to Blackboard and register via the training server


Attach the entire agency application along with the RFP to either OMNI or the Proposal Transmittal

Route to all PI’s for signature or OMNI approval

Route to all associated Chairs and Deans for signature or approval

Route to Sponsored Research Services for their approval


Transmittal Form – the 3 W’s What is it? Why is it needed? Where can you get it?

www.research.fsu.edu under “Forms” Instructions also at address listed above

Transmittal Form

What is it? It is a 3 page document that accompanies

proposal It provides valuable information such as

Program to which you are applying Request for proposal (RFP) or solicitation number

Project Target Dates & DEADLINES Business Unit (Funds Placement)

FSU vs the FSU Research Foundation Contact Info for Proposal Agency to which FSU is applying

3 Day Rule

Transmittal Form

What information is asked of the PI? What PI’s and departments are involved It shows how the indirect costs will be

redistributed between the departments participating

It lets us know if there are any special commitments being made

It lets us know if there is a Financial Conflict of Interest

It lets us know if there any items that may need further review or certifications

Indirect Costs Distribution What are indirect costs? How are they collected? How are they redistributed?

Deposited in a Sponsored Research and Development Trust Fund (SRAD) account

Returned to Colleges & Departments Support faculty research across campus and Start-

ups Construction/renovation of facilities Buy equipment Research administration Matching

Certifications

Institutional officials normally must provide certain assurances, representations, and certifications when proposals are submitted or when accepting an award

A certification is usually viewed as an attestation for which if false may make the individual subject to criminal or civil sanctions

Certifications

In terms of the Transmittal Form, there are many special circumstances that apply to the project Examples:

Animal subjects DNA/RNA use Human subjects Hazardous chemicals Use of the FSU Marine Lab facilities

If a certification applies, there are additional actions that need to be taken

Certifications

Contacts for approvals/signatures

Conflict of Interest

Section 7.45 of the FSU Faculty Handbook applies to all university employees

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

Conflict of Interest

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.

Submitting via OMNI

OMNI proposal submissions include the same information as a hardcopy proposal submitted with the Proposal Transmittal Form Differences

You attach the items electronically to OMNI You can route the proposal electronically

Advantages You can track approvals electronically No running around Electronic records are available 24/7

Submitting via OMNI

Proposal is routed through 4 levels of approvers PI(s) Chair(s) Dean(s) Sponsored Research Services

What Happens at Sponsored Research Services We review the RFP We review the complete proposal for

conformity with the RFP and FSU policies and regulations

We review any special commitments that are being made

We make sure all parties have approved the proposal

We check the budget

Submission Policy

3 Day Rule continued 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

You may work on only the technical narrative until 9am on the day of submission

SRS needs ample time to review the proposal and the commitments the University is making

Subcontracts or collaborations are also subject to this rule

Budget Development

Direct Cost Categories

Calculation of Salaries & Wages

Calculation of Fringe Benefits

Calculation of Facilities & Administrative (F&A or Indirect Costs)

Budget Development

Personnel Costs Salaries & Wages

Include faculty, technicians, post-docs, graduate students, & other personnel who are required to work on the project

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

Budget Development

Fringe Benefits Faculty/A&P/USPS

Retirement Health Insurance Social Security & Medicare Worker’s Comp & Unemployment

OPS Students Worker’s Comp & Unemployment

OPS Non-students Medicare Worker’s Comp & Unemployment

Terminal Leave Poolhttp://www.research.fsu.edu/contractsgrants/documents/factssheet.pdf

Budget Development

Consultants

Outside individuals with expertise and skills that will add value to project

Normally, faculty & other FSU staff should not be paid as consultants

Costs are usually listed in terms of daily rate

Certain sponsors may limit the daily rate

NSF abolished limitation on daily rates in 2006

Consultants never listed in the salaries & wages section

Consultants are typically paid in the form of a subcontract

Budget Development

Equipment

Items costing $1,000 or more with a useful life of 1 year or more

Equipment should be detailed in the budget

Requests should only include those items of equipment needed to complete the project

Budget Development

Supplies

Items of consumable supplies and materials

Items of minor equipment costing < $1,000

Can be listed in budget as broad categories such as “glassware” or “chemicals”

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

Budget Development

Travel May include trips necessary to collect data, to

present findings at a scientific meeting, for meetings with program officers or collaborators, etc

Reimbursement of costs should be consistent with institutional travel policy

Travel may be generally described or detailed if sponsor requires more information

Budget Development

Subawards/Subcontracts Represents a collaboration of work by one or more other

institutions

Contractual agreements for services or goods with an outside party are not included in this category

Costs for subawardee is presented in a separate line item and should include both the subawardee’s direct and F&A costs

A subaward detailed budget should be included as part of budget justification

Subawardee’s F&A costs are calculated in accordance with subawardee’s negotiated F&A rate agreement

Subawards / Subcontracts

If a collaboration is proposed we will need the following from each collaborator Letter of commitment from authorized person Scope of work for their activities Budget Budget Justification

Budget Development

Other Direct Costs This category contains all other proposal

costs, i.e., animal per diems, publication charges, graphic fees, matriculation, communications, shipping, etc.

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

Budget Development

Other Direct Costs: Matriculation Matriculation costs (minimum of 9 hrs) should be

included for graduate assistants working for you and are supported by this grant

Graduate Matriculation Rate for 08-09 is $230.73/hr

If matriculation costs are not included in budget, an alternate source for paying must be identified

FSU excludes matriculation from F&A calculations in all proposals

Budget Development

Other Direct Costs: Matriculation continued Multiyear proposals should assume a 10% increase in

matriculation costs annually Out of state matriculation is not an allowable cost in

most circumstances College of Engineering may apply out of state

rates to their proposals Certain training grants allow out of state

matriculation. Check the sponsor guidelines Fees are not an allowable cost unless applying for a

training grant

Budget Development

F&A Base 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

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

Typically federal

Budget Development

F&A Bases Total Direct Costs (TDC) – consists of all

direct costs

However, FSU policy is to always exclude matriculation from F&A base

FSU applied TDC consists of all direct costs except matriculation

Typically State of Florida funded projects

Budget Development

Research A systematic study directed toward fuller scientific

knowledge and understanding gained of the subject studied

Instruction The teaching and training activities of an institution

Other Sponsored Activity This includes programs and projects which involve

the performance of work other than instruction or organized research

Submission to Sponsor

Who is responsible for submission to the agency or sponsor? Hardcopy proposals = PI Electronic proposals = Sponsored Research

Services

Notice of Intent to Award

The proposal has been sent off, and the funding agency has now made a funding decision This can be in the form of:

Letter to PI and/or Sponsored Research Email Funding agency electronic funding mechanism A grant or contract arrives in the mail


This intent to award typically states the following: That your application has been selected for funding Next step requirements of the funding agency

Revised budget Scope of work Animal subject protocols Human subjects approvals Revision of time period for project Certifications

Anticipated start date of the award NOTE: A grant or contract received in the mail also

requires some of the items listed above


If new budget or scope of work is needed: 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

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

Notice of Intent to Award Advance spending

What is it? It is the internal set-up of a budget number from which

you may begin work and start spending NOTE: you may not begin working on a project without an

award or advance budget number in place A form can be found on www.research.fsu.edu that

requests an advance Sponsored Research looks at many factors

Anticipated award date Agency pre-award spending regulations

Implications of an advance Financial Research / Personnel


Questions?

Proposal Development

Technology

Transcript of Proposal Development