Transcript Proposal Submission - University of Texas at Dallas

Proposal Submission
Brian Scott & Emily Lacy
Office of Research
September 13, 2012
The University of Texas at Dallas
utdallas.edu
The Office of Sponsored Projects
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Rachell Reilly – Director
Amanda Miller – Manager, Contracts
Emily Lacy – Manager, Grants
Dina Caplinger – Specialist III
Jonathan Spencer – Specialist III
Angela Fazarro – Specialist III
Andrea Selmon – Specialist III
Brian Scott - Specialist I
Rebecca Everett – ASO III
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The University of Texas at Dallas
utdallas.edu
Questions Answered
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What about contracts?
I’ve found a funding opportunity. Now what?
Who should I work with?
What are the internal deadlines?
Who submits and how?
Different sponsors = different submission types
What internal documents are needed & when?
The University of Texas at Dallas
utdallas.edu
Research Contracts and Grants
What are the differences?
The University of Texas at Dallas
utdallas.edu
Grant vs. Contract
• PI furthers knowledge in a
specific area by research
• PI defines the project fairly
loosely
• Generally no restrictions on
publications
• Annual reports required with a
final report of results
• Final results are disseminated
through reports to Sponsor,
publications, presentations,
etc.
• Payment schedule is set by
agency (cost reimbursable,
quarterly, monthly, etc.)
• PI provides expertise and
knowledge to solve a problem
• The project’s SOW is specific
and jointly defined by Sponsor
and PI
• May require prior review on
publications
• Reports are typically more
frequent than annual
• Deliverables are specific and
clearly outlined
• Payment typically corresponds
with deliverable schedule
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utdallas.edu
Significant Differences:
A contract is…
• a binding agreement between the parties
where the recipient of the funds is expected
to provide goods or services
• relatively inflexible
• significant emphasis placed on delivery of
results, products, or performance
• Payment based on milestones and
deliverables
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utdallas.edu
Types of Contracts
• Non-Disclosure
Agreement
• Subaward
• Material Transfer
Agreement
• Memorandum of
Understanding
• Sponsored Research
Agreements
• Service Agreements
• Collaboration Agreements
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The University of Texas at Dallas
utdallas.edu
What we look for
• Do the contract terms fit the research project
• Clauses that would affect:
– UTD’s Fundamental Research Exemption to Export
Control Regulations
– Publication rights
– Protection of the PI’s intellectual property
– Licensing
– Governing entity
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The University of Texas at Dallas
utdallas.edu
Internal Forms
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The University of Texas at Dallas
utdallas.edu
Internal Forms Cont.
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The University of Texas at Dallas
utdallas.edu
Questions?
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The University of Texas at Dallas
utdallas.edu
Finding Funding Refresher
• New Funding Opportunities List on the
website:
http://www.utdallas.edu/research/fundopps/index.html
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Grants.gov
Catalog of Federal Domestic Assistance
Federal Register
Agency websites
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The University of Texas at Dallas
utdallas.edu
Research Development
• SPINPlus (infoEd) http://www.infoed.org/new_spin/spinmain.asp
• Contact Beth Keithly x4568
[email protected]
* PIVOT will soon be replacing SPINPlus
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The University of Texas at Dallas
utdallas.edu
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The University of Texas at Dallas
utdallas.edu
Getting Started
• Every PI has a Grants Specialist
– Talk to your specialist – the more they know and
the earlier they know, the more they can help
– Updated List is available on the website:
http://www.utdallas.edu/research/osp/document
s/grant-specialist.pdf
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The University of Texas at Dallas
utdallas.edu
What can the Specialist do for me?
• Verify all sponsor/internal guidelines are
adhered to
• Check for budgetary compliance
• Upload submission materials
• Provide narrative feedback*
*If enough time has been allotted
(minimum 4 days)
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The University of Texas at Dallas
utdallas.edu
Solicitation Specifics
RFP
BAA
RFA
The University of Texas at Dallas
FOA
PA
utdallas.edu
RFP/Solicitation Contents
• Standard details such as due date, budget
limits, cost share requirements, etc.
• Overview of program and areas of interest
• Review criteria
• Program Officer information
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utdallas.edu
Sample NSF Solicitation
http://nsf.gov/pubs/2012/nsf12567/nsf12567.htm
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Notice the due date
Read Important Info and Revision Notes
Award Info
Eligibility – limited PI and/or institution?
Program Description
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The University of Texas at Dallas
utdallas.edu
Sample NSF Solicitation
• Proposal Preparation Instructions
– program specific guidelines – may differ from GPG
• Merit Review Criteria
– Write to the reviewers
– Address all topics
• NSF always submitted via Fastlane
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utdallas.edu
Sample NIH Solicitation
http://grants.nih.gov/grants/guide/rfa-files/RFA-AG-13-009.html
• Part I: Overview
– Participating Organizations/ICs
– Due Date
• Part II: Full Text
– Section I. Funding Opportunity Description
– Section II. Award Info
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utdallas.edu
Sample NIH Solicitation
– Section III. Eligibility – limited PI/institution?
– Section IV. App and Submission Info
• RFP specific guidelines trump SF424 guide
• NIH always submitted via grants.gov
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utdallas.edu
Sample DARPA Solicitation
http://www.darpa.mil/Opportunities/Solicitations/I2O_Solicitations.aspx
• Part I: Overview
– Due date
– Award info
– Program Officer info
• Part II: Full Text
– Section I. Program Description
– Section II. Award type (contract, grant, etc.)
– Section III. Eligibility and Cost Share requirements
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The University of Texas at Dallas
utdallas.edu
Sample DARPA Solicitation
• Section IV. Application instructions
– DoD proposals are divided into two sections
• Volume I: Technical & Management Proposal
• Volume II: Cost Proposal (very detailed)
– Need even more time if subcontractors are involved
– Proprietary Info
• Section V. Evaluation Criteria
• Submission via grants.gov
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utdallas.edu
Submission Systems
The University of Texas at Dallas
utdallas.edu
NSF Fastlane
• If you don’t have an account, contact your
Specialist
• Simultaneous upload and view
• PI initiates proposal, file update, revised
budget
• OSP submits proposal
• PI submits progress reports
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utdallas.edu
https://www.fastlane.nsf.gov/jsp/homepage/proposals.jsp
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The University of Texas at Dallas
utdallas.edu
Fastlane Proposal Documents
• Cover Sheet
• Table of contents
(autogenerated)
• References
• Budget/Justification
• Facilities
• Mentoring Plan (If post
docs included)
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Project Summary
Project Description
Biosketch
Current and Pending
Supplementary Docs
Data Management Plan
Suggested Reviewers
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utdallas.edu
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The University of Texas at Dallas
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NSF Specifics
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Arial, Courier New, Palatino Linotype – 10 pt
Times New Roman, Computer Modern – 11 pt
Margins at least 1 inch in all directions
Project Summary – one page;
– Must address Intellectual Merit and Broader
Impacts under separate headings
• Project Description – 15 pages
– Must include Results from Prior NSF Support
section
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The University of Texas at Dallas
utdallas.edu
NSF Specifics
• References – list all authors; can’t say ‘et al’
• Biosketch – 2 page – Must follow the format
– Professional Preparation
– Appointments
– Publications (5 closely related to project; 5 others)
– Synergistic Activities (max of 5)
– Collaborators and Other Affiliations
• Collaborators and Co-Editors; Grad Advisor and Postdoc
Sponsor; Thesis Advisor and Postgrad-Scholar Sponsor
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utdallas.edu
NSF Specifics
• Budget/Justification
– Senior personnel limited to 2 months of salary
• Current and Pending Support
– List current proposal
• Post Doc Mentoring Plan – 1 page
• Data Management Plan – 2 pages
– Is required for ALL proposals
• Supplementary Docs
– Data Management, Letters of Support, Equipment
Quotes, etc.
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The University of Texas at Dallas
utdallas.edu
Fastlane Submission
• To begin a new proposal,
click on
-Proposal Functions
-Proposal Preparation
-Prepare Proposal
-Create Blank Proposal
• To allow OSP submit access:
-Click on Proposal
Functions
-Proposal Preparation
-Prepare Proposal
-Select the correct
Temporary Proposal
number, then click
‘Allow SRO Access’
-Click ‘Proceed’
-Click ‘Go’ on the Allow
SRO to view, edit, and
submit proposal option
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The University of Texas at Dallas
utdallas.edu
Grants.gov Submissions
• Non-simultaneous view/upload
• Not an online portal allowing multiple access
• Submitted by OSP with an institutional login
and password
• Specific agency picks up application once it
passes validation phase in grants.gov
• Check agency site to see proposal status
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utdallas.edu
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The University of Texas at Dallas
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The University of Texas at Dallas
utdallas.edu
NIH Proposal Documents
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Project Summary
Project Narrative
References
Facilities
Equipment
Biosketch
Resource Sharing Plan
Budget/Justification
Cover Letter
• Specific Aims
• Research Strategy
• If using Human Subjects:
– Protection of Human
Subjects
– Inclusion of
Women/Minorities
– Inclusion of Children
– Targeted/Planned
Enrollment
• If using Animals:
– Vertebrate Animals
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The University of Texas at Dallas
utdallas.edu
NIH Specifics
• Arial, Helvetica, Palatino Linotype, Georgia –
11 point
• Margins at least 0.5 inch in all directions
• Project Summary – max 30 lines
• Project narrative – 2-3 sentences relating the
project to the public health
• References – list all authors; can’t say ‘et al’
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The University of Texas at Dallas
utdallas.edu
NIH Specifics
• Biosketch – 4 page – Must follow the format
– Personal Statement
– Positions and Honors
– Peer reviewed publications (max of 15)
– Research Support
• State overall goals and responsibilities
• Do not list dollar amounts or person months
• Budget/Justification
• Remember NIH Salary is capped at $179,700
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The University of Texas at Dallas
utdallas.edu
NIH Specifics
• Specific Aims – 1 page
• Research Strategy – 6 or 12 pages
– Significance, Innovation, and Approach
• Cover Letter – chance to influence how the
project is reviewed
• Possible uploads:
– Multiple PI Leadership Plan; Contractual
Arrangements; Letters of Support; etc.
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utdallas.edu
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The University of Texas at Dallas
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DARPA Specifics
• 12 point font
• Volume I: Technical & Management Proposal
– Cover Sheet – must follow the format
– Table of Contents
– Summary
– Description broken down into specific sections
– Cost Summary
– Appendices
• Reps, Certs, IP, Humans, Animals, etc.
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The University of Texas at Dallas
utdallas.edu
DARPA Specifics
• Volume II: Cost Proposal
– Cover Sheet – must follow the format
– Detailed Cost breakdown
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Option, Task, Subtask, Month, Cost Category
Labor rate/hour
Travel – purpose, # of trips/days/people, destination
Materials – quantity, unit price, vendor, basis of
estimate
• Equipment quotes
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The University of Texas at Dallas
utdallas.edu
Internal Forms
The University of Texas at Dallas
utdallas.edu
Proposal Certification Form
• Required for ALL submissions
• Dean’s authorization to commit resources
(effort, labs, etc.)
• Dean’s authorization to commit cost share
• MUST be received prior to submission
• OSP will NOT SUBMIT without a signed cert
form
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The University of Texas at Dallas
utdallas.edu
Proj ID No:
UTD Proposal No.:
PI Info
PI Name:
Co-PI(s):
School:
John Smith
Phone:
Email:
Mailstop:
ECS
Proposal/Sponsor Information
Proposal Title:
Sponsor:
CFDA #:
47.074
Start Date:
6/1/2013
End Date:
5/31/2016
123456
5555
[email protected]
AD15
How to Submit a Proposal
NSF
Sponsor Link: http://nsf.gov/pubs/2012/nsf12567/nsf1256
(Website for sponsor RFP/Guidelines)
Proposal Deadline:
9/10/2012
Sponsor Type:
Federal
State/Local
Industrial/Corporation
Foundation
Other
Is the Sponsor a foreign entity?
Compliance (check all that apply)
Office of Research Compliance (x4577)
Human subjects
Animal subjects
Environmental Health and Safety (x4111)
Biohazards
Recombinant DNA
Lasers/Radiation
Effort/Cost Share
How much effort have the PI and/or Co-PI(s) committed to this program?*
PI
Co-PI1
Co-PI2
PI Name
Commitment (% or weeks or $) 1 mon
Is any effort cost shared**? (Y or N)
Y
N
Y
N
Y
N
If "Yes", how much?
Y
N
Is there additional cost share?
If "Yes", how much?
No
Select agents
Controlled subst.
Toxins/Haz. chem.
* Committed effort should only
include effort that is documented in
the proposal submitted to the
Sponsor.
Co-PI3
Y
Yes
N
4,819.50
** Cost shared effort includes any
committed effort that is not paid for
by the sponsor.
Signature of Dean or Dean's desgnee to acknowledge cost share commitment -->
Budget Summary
Salary/Wages
Fringe Benefits
Travel
Supplies/M&O
Subcontract < $25,000
Subcontract > $25,000
Tuition/Scholarships
Capital Equipment
Total Direct Costs
Indirect Costs
TOT PROJ COSTS
$
$
$
$
$
$
$
$
First Year
5,000.00
1,000.00
2,000.00
2,500.00
$
$
$
$
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Total Project
15,000.00
3,000.00
6,000.00
7,500.00
$
10,500.00
5,565.00
16,065.00
$
$
$
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IDC Applies
IDC does not
apply
31,500.00
16,695.00
48,195.00
IDC Rate
53%
UNIVERSITY ENDORSEMENT: The attached proposal has been examined by the officials whose signatures appear below. The principal
academic review of the proposal is the responsibility of the Program/Center and School. The research or program is in keeping w ith the
University of Texas at Dallas' educational objectives and is w ithin the established role and scope of this institution. It is in full compliance
w ith the Board of Regent's Rules and Regulations.
Principal Investigator
Date
Dean
Date
Co-PI
Date
Office of Sponsored Projects
Date
Date
Office of the Vice President for Research
Date
The University of Texas at Dallas
Program Head/Center Director
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utdallas.edu
Export Control
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Required for ALL proposals and contracts
Monitored by the Office of Research Integrity
Completed and signed by PI
MUST be received prior to submission
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utdallas.edu
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The University of Texas at Dallas
utdallas.edu
Cost Share/Matching Funds
• Cost share section of Cert form MUST be
signed by Dean
• Type of cost share must be identified
• Matching funds must be identified
• Will NOT submit a proposal without
authorization from the Dean approving and
identifying cost share/matching
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utdallas.edu
Proj ID No:
UTD Proposal No.:
PI Info
PI Name:
Co-PI(s):
School:
John Smith
Phone:
Email:
Mailstop:
ECS
Proposal/Sponsor Information
Proposal Title:
Sponsor:
CFDA #:
47.074
Start Date:
6/1/2013
End Date:
5/31/2016
123456
5555
[email protected]
AD15
How to Submit a Proposal
NSF
Sponsor Link: http://nsf.gov/pubs/2012/nsf12567/nsf1256
(Website for sponsor RFP/Guidelines)
Proposal Deadline:
9/10/2012
Sponsor Type:
Federal
State/Local
Industrial/Corporation
Foundation
Other
Is the Sponsor a foreign entity?
Compliance (check all that apply)
Office of Research Compliance (x4577)
Human subjects
Animal subjects
Environmental Health and Safety (x4111)
Biohazards
Recombinant DNA
Lasers/Radiation
Effort/Cost Share
How much effort have the PI and/or Co-PI(s) committed to this program?*
PI
Co-PI1
Co-PI2
PI Name
Commitment (% or weeks or $) 1 mon
Is any effort cost shared**? (Y or N)
Y
N
Y
N
Y
N
If "Yes", how much?
Y
N
Is there additional cost share?
If "Yes", how much?
No
Select agents
Controlled subst.
Toxins/Haz. chem.
* Committed effort should only
include effort that is documented in
the proposal submitted to the
Sponsor.
Co-PI3
Y
Yes
N
4,819.50
** Cost shared effort includes any
committed effort that is not paid for
by the sponsor.
Signature of Dean or Dean's desgnee to acknowledge cost share commitment -->
Budget Summary
First Year
5,000.00
1,000.00
2,000.00
2,500.00
$
$
$
$
$
$
10,500.00
5,565.00
$
$
31,500.00
16,695.00
TOT PROJ COSTS
$
16,065.00
$
48,195.00
$
$
$
$
$
Total Project
15,000.00
3,000.00
6,000.00
7,500.00
Salary/Wages
Fringe Benefits
Travel
Supplies/M&O
Subcontract < $25,000
Subcontract > $25,000
Tuition/Scholarships
Capital Equipment
Total Direct Costs
Indirect Costs
-
$
-
IDC Applies
IDC does not
apply
IDC Rate
53%
UNIVERSITY ENDORSEMENT: The attached proposal has been examined by the officials whose signatures appear below. The principal
academic review of the proposal is the responsibility of the Program/Center and School. The research or program is in keeping w ith the
University of Texas at Dallas' educational objectives and is w ithin the established role and scope of this institution. It is in full compliance
w ith the Board of Regent's Rules and Regulations.
Principal Investigator
Date
Dean
Date
Co-PI
Date
Office of Sponsored Projects
Date
Date
Office of the Vice President for Research
Date
The University of Texas at Dallas
Program Head/Center Director
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utdallas.edu
Subcontracts
• Inform Specialist as soon as possible if there
will be Subcontracts
• Documents needed from each subcontractor:
– Letter of commitment from participating
institution
– Statement of Work
– Detailed Budget with Justification on correct
agency budget sheet
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utdallas.edu
IDC Waiver
• Required if there is not a mandatory IDC
limitation
• Not required if RFP limits IDC or sponsor has
formal IDC policy (Welch Foundation)
• MUST be received prior to submission
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OSP ID#
Sponsor
Date:
Principal Investigator:
Co-PI:
Co-PI:
Co-PI:
School:
School:
School:
School:
Award
Salary/Wages
Fringe Benefits
Travel
Supplies/M &O
Subcontract < $25,000
Subcontract > $25,000
Tuition/Scholarships
Capital Equipment > $5,000
Total Direct Costs
Indirect Costs
Full Budget
9100
IDC Rate Base
$
53% $
Yes
No
Waived Amount
-
50% $
$
-
$
$
$
Difference
-
MTDC
$
Total Costs
Distribution of Reduced
Indirect Costs
Reduced Indirect Costs
1200
2000
4100
4200
6312
6303
6890
6900
Group Receiving
PI
Dean
VP for Research
Usual Split
10% $
50% $
40% $
MTDC
-
-
$
Proposed Split
10% $
50% $
40% $
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-
This sponsor is a non-profit and has a formally indirect cost cap policy (attached)
Please explain the grounds on which the waiver might be justified to other faculty whose projects carry full overhead.
What is the benefit to conducting the program without receiving the specified indirect cost rate?
PI
Dennis Kratz, Ph.D.
Dean
Date:
co_PI
co_PI
The University of Texas at Dallas
co_PI
Office of Vice President for Research
Date:
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utdallas.edu
Things to Consider
• Plan ahead and start early
• Internal forms require multiple signatures and
MUST be completed prior to submission
• Peruse funding opportunities often to
determine due dates
• Obey the 4 day rule – Entire proposal to OSP 4
days prior to due date (draft of main body
acceptable)
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Don’t forget!
Follow the 4 day rule!
The more time a Specialist has to review, the
more in depth feedback you’ll receive
And
Be flexible and allow for unexpected difficulties.
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Coming Up Next Time!
• How do I make a budget?
• Pre and post award budgeting issues and
pitfalls
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Questions?
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Contacts – Today’s Presenters
• Brian Scott
[email protected]
x4552
• Emily Lacy
[email protected]
x4572
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Contacting OSP
◦ OSP Main Office – x2313
[email protected]
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◦
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◦
[email protected]
[email protected]
[email protected]
[email protected]
[email protected]
[email protected]
[email protected]
[email protected]
[email protected]
Rebecca Everett – x4313
Rachell Reilly – x2040
Amanda Miller – x4575
Emily Lacy – x4572
Dina Caplinger – x2312
Jonathan Spencer – x2041
Angela Fazarro – x4622
Andrea Selmon – x2315
Brian Scott – x4552
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Websites
• OSP (current PI lists)
http://www.utdallas.edu/research/osp/index.html
• Researchers Guide
http://www.utdallas.edu/research/guide/index.php
• Internal Forms
http://www.utdallas.edu/research/osp/forms.html
• SF424 and Form Templates
http://grants.nih.gov/grants/funding/424/index.htm#inst
• NSF GPG
http://www.nsf.gov/publications/pub_summ.jsp?ods_key=gpg
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• NIH Tutorials/Samples
http://www.nlm.nih.gov/ep/Tutorial.html
http://public.csr.nih.gov/aboutcsr/contactcsr/pages/contactorvis
itcsrpages/nih-grant-review-process-youtube-videos.aspx
http://www.niaid.nih.gov/researchfunding/grant/pages/appsamples.aspx
• NSF Writing Tips
http://www.cs.cmu.edu/~sfinger/advice/advice.html
http://www.nsf.gov/pubs/2004/nsf04016/nsf04016_1.htm
http://viceprovost.tufts.edu/grantwriting/resources/checklistsoutlines-and-templates/
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