Transcript Slide 1

Grants Landscape II:
Project, Proposal and Budget
Development
Office of Sponsored Programs
Raubinger Hall, Room 107
William Paterson University
973-720-2852
June 2009
Contact Information:
 Staff:
Martin Williams, Director
TBH, Assistant Director for Pre-Award Services
Beth Ann Bates, Program Assistant
Graduate & Undergraduate Assistants
Nina Jemmott, Associate Vice President and Dean,
Graduate Studies and Research
 Office:
Raubinger Hall 107
Phone: 973-720-2852, fax: 973-720-3573
Email: [email protected]
 Webpage:
www.wpunj.edu/osp
Agenda
I.
Grants Landscape I
a) The Office of Sponsored Programs
b) Proposal process
c) Proposal components
d) Searching for funding
e) WPUNJ Process, Policies and Procedures regarding grants
II. Grants Landscape II
a) Elements of a proposal
b) Guidelines and proposal review
c) Narrative components
d) Budget components
Elements of a Proposal
A. Cover Page, forms, signatures
B. Abstract
C. Narrative
1.
2.
3.
4.
Background and problem statement
Goals and objectives
Activity Plan
Evaluation
D. Budget, budget support, other forms
E. Appendix and support material
Abstract
• Every agency has its own way of naming the
sections of a proposal
– Grants.Gov has reduced this some but allows for
flexibility for unique agency issues and added more
– Can vary by department/unit within an agency
• It is up to you as the applicant to do it the right
way for the agency that will receive your
application
• It is also up to you as the applicant to use the
correct forms, correct titles/headings, correct
formatting and to ask for support for appropriate
projects with appropriate costs
Guidelines
and
Review Criteria
Guidelines First!
 Read the Guidelines Thoroughly to:
 Verify Eligibility for the grant program
 Establish Connection to the funder’s mission, goals and
the grant program’s expected outcomes
 Learn the Details of the application process, format,
including special information or review requirements
 Get Answers to Questions: Call the Program staff!
 Evaluate whether the program is right for you, your
project and the University
Review Criteria: Content
 Narrative Requirements

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Their language for sections of the whole proposal
Order of sections
Information expectations for sections
Point value for sections
 Evaluation Criteria
 The “Grading Rubric” for proposals
 Checklist
MAY BE IN SEPARATE OR MULTIPLE DOCUMENTS

The first & most important review issue is Intellectual Quality, Merit
and Significance:
 How will the project advance “knowledge and understanding in its own
field or across different fields?” (NSF)
 Does it “address an important problem?” & “How will scientific
knowledge or practice be advanced?” (NIH)
 Is it “broadly conceived, based on sound scholarship, and appropriately
analytical?” (NEH)
 ”The extent to which the design of the proposed project reflects up-todate knowledge from research and effective practice.” (US Dept of
Education)
 Other Intellectual Quality Issues:
 Originality/Innovation: Does it address an innovative hypothesis or
employ novel concepts, approaches, methodologies, tools or
techniques?
 Validity of the need, goals, objectives and supporting information as
presented
 Quality of participants
 Realistic design and likelihood for success
 Conducive facilities and environment
 The second most important review issue is
Potential Broader Impact
 On project participants (you, others; direct, indirect)?
 On the service/support environment/infrastructure?
 Of the data or insights to be produced?
 Of how others will use the outcomes?
• A Key Aspect to address is dissemination:
• How will you share the outcomes with others?
 Other Broader Impact Issues:
 How well will the project/activity:
• Promote integration of service, research and education?
• Broaden the participation of underrepresented groups (e.g.
genders, racial/ethnic minorities, persons with disabilities)?
• Benefit your community and society in general?
Review Criteria: Technical
 Was a Letter of Intent or Preliminary Proposal
Required?
 Forms: Cover sheet, summaries, assurances
 Format: Length, margins, font size, attachments
 Organization: Specific sections in specific order
 Special Requirements: Human Subjects, ADA
 Letters of Commitment: Partners, Evaluators
 THESE ARE EASY EXCUSES TO REJECT PROPOSALS
Narrative
Component Writing Order
1. Activity Plan
AND
2. Budget
3. Goals & Objectives
4. Background, Need(s), Problem(s), Benefits
5. Introduction: Credibility of PI/PD, WPU, etc.
6. Evaluation Plan
7. Dissemination Plan
8. Future Activity
9. Summary/Final Introduction/Abstract
Project & Proposal Development Chart
Office of Sponsored Programs, WPU
A.
Original ideas
Literature, prior
experience, other
Preliminary work
Funding guidelines
Revised,
expanded ideas
B. Completely developed project
5. Introduction: credibility
of PI/PD, WPU, partners
9. Summary, Introduction,
Abstract
4. Background, needs,
problems, benefits
3. Goals &
Objectives
1. Activity Plan
2. Budget
6. Evaluation &
Assessment
7. Dissemination
8. Future Activity
Timeline, Personnel,
Tables, Charts, Forms
A
P
P
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N
D
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C
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1. Activity Plan or Methodology
Rationale: Why are you doing project this way?
 Literature review, programs at other institutions
 Preliminary activities, outcomes and data
Activities Plan and Accomplishments:
 Tasks
 Timeline
Personnel: Who will perform each task?
Resources: Facilities, Equipment, Supplies, Money?
DETAILS! DETAILS!
2. Budget
Budget Summary
 Total expenses by category
Budget Detail or Narrative
 Present as narrative or spreadsheet (or both)
 Provides details on expenses by category
 Provides fiscal perspective on the project and narrative
 No expenses included in the budget that are not identified
in the narrative
 No expenses in narrative that are not in the budget
3. Goals, Objectives, Outcomes
 Goal: A broad statement of the ultimate result of the
research or change being pursued
 Objective: The narrowly defined, measurable and
time-specific result you expect to accomplish
Process vs. outcome objectives; Action verbs
Interventions: To [direction of change] + [area of change]
+ [target population] + [degree of change] + [timeframe]
Research: To [specific research activity] then [impact of
research] on [status of problem/need] + [timeframe].
 Outcomes: Short term accomplishments and long
term impacts, direct and possibly indirect
4. Background, Problem, Needs, Benefits
 Defines what the project will address
Who, what, where, when, why?
 Hard evidence and documentation
Statistics, data, evidence
From your literature search & preliminary activities
Authoritative: Census data, government reports,
credible experts and publications
Anecdotal evidence gives life to statistics
 Impact/outcome if problem is addressed
 Link outcome to missions (You & funder)
 Summary or problem statement
5. Introduction: Credibility and Capacity
Concise statement of project goal, including
problem/need addressed and objectives
Crucial information reader needs to know
Discuss importance, innovation, creativity
Concise statement describing project activities
and key outcomes expected
Crucial information reader needs to know
How project addresses the funder’s priorities
Related organizational and staff experience
Previous successful related experience
Discipline, Project & Grant Program-Specific
Activity Plan Components
These vary significantly based on the nature of the project,
your discipline, and the specifics of grant program:
6. Evaluation/Assessment:
 What will success look like?
 How will it be documented? External Consultant(s)?
7. Dissemination of Results:

Think realistic and attainable! Publications & Conference Presentations;
Webpage?
8. Future Activities and Impact:
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Sustainability: $$$/infrastructure; You & your field
If seed or start-up, this is very important
9.
Proposal Summary or Abstract
 Stands alone at beginning
First for agency staff and reviewers
Important as public summary of project
“Professional English” as well as “Plain English”
May have special content requirements
Limited length – usually one page or less
 Touches on all key details of project
Ones that define the importance, impact and scope of
the project: Goal, objectives & outcome
Ones that are most important to the funder
Ones that distinguish your project from others
Appendices
 Summary Vita/Resume or Biographical Sketch
Education and work history
Related programmatic, research, publication or
professional activities and experiences
Leadership and peer-acknowledgement
 Letters of support
 Work or publicity samples
 Agency history, background and plans
 Agency tax status and financial statements
The Ultimate Goal of a Proposal
Abstract
Helpful Hints: Content
 Be innovative wherever possible
 Based on what others are doing
 Focus on key questions
 Be convincing and thorough
 Demonstrate knowledge of subject
 State the expected contributions (outcomes) to your
field of work
 Convey excitement and commitment
 Clearly link to the funder’s priorities
Helpful Hints: Structure
Clear, concise sentences
Use section- and sub-headings
Use page headings and number pages
Avoid or define jargon or technical terms
Be specific – Do not make readers assume
Objective: “To increase rate by 25% in 2 years.”
Activity: “The PI and a student will travel to North Park
to collect samples on ten consecutive Saturdays. A
sample will consist of . . .”
Budgets
Budget Basics
Budget Details
Budget Summary
 Total expenses by category
Budget Detail or Narrative
 Present as narrative or spreadsheet (or both)
 Provides details on expenses by category
 Provides fiscal perspective on the project and narrative
 No expenses included in the budget that are not identified
in the narrative
 No expenses in narrative that are not in the budget
Process of developing the narrative and spreadsheet
forces the technical review of the project
methodology and overall activities
Reason for tracking expense needs while preparing
narrative BUT NOT doing the details until after the
first complete draft of the narrative is finished
Terminology
• Direct Costs: Project-Specific Expenses
– Personnel Costs: Salary and Wages, Taxes and Fringe benefits
– Non-Personnel Costs: Equipment, supplies and materials, travel,
publication charges, consultants, subcontracts, tuition, other costs
• Indirect Costs
– Also known as: Overhead, Indirect Cost Reimbursement,
Facilities and Administration or F&A Rate, Administrative
Costs, and Facilities Costs
• Cost Sharing
Personnel Costs
• Types
– Full time and part time professional or support staff
– Undergraduate and Graduate Students
– Post-Docs, Fellows or Research Associates
• Salary and Wages
– Salary, hourly wage, stipends
– Percent of time or effort, straight computation
– Calendar or summer salary
• To obtain your salary
– WPConnect/Employee Apps; call HR
• To estimate future salary
– Increase by 4.0% per year or use number from HR
• How to estimate a colleague’s salary?
– Ask them to provide (HR, WPConnect) or call HR
– Sponsored Programs can find out from HR for you
• Summer salary for faculty
– Two months over the summer doing research
• Two tenths of your annual salary for 100% of your time
or a percentage of that amount if not 100%
• Undergraduate Students
– Typical rate $10.00/hour
– Academic Year, 35 weeks; Summer, 12 weeks
– Hours: Academic Year, 20 hrs; Summer 30 hours
• Graduate Students
– Grad Assistant: $6,000 stipend; 9-credit tuition & fees as a
Fringe Benefit; September 1 to June 30, 20 hrs/week
– Typical rate $15.00/hour for summer or if NOT a “Graduate
Assistant” during the Academic Year
– Academic Year 35 to 40 weeks, Summer, 8 - 12 weeks
– Hours: Academic Year, 20 hrs; Summer 30 hours
• Other Staff
– Percentage of time and salary
– Hourly, similar to Undergrad Student but higher rate
Taxes & Fringe Benefits
• Payroll Taxes
– Federal Income Tax and Social Security (FICA) for all full
and part time staff and faculty in July and August as well as
faculty wages for overload or additional compensation
– NJ taxes, disability, unemployment, other for full time staff
and faculty during the academic year
• Benefits
– Pension, health insurance, other for full time staff
• Rates
– Federal Income Tax and Social Security: 7.65% (constant)
– All items: 36.05% (changes annually – check with OSP)
• Fringe Example
– The granting agency will only support summer
research salary of $7500.00 over the summer.
– These funds must cover your salary and fringe
during the summer. What number plus 8.9% of
that number yields 7500?
• 6887.05+(6887.05*0.089)=7500
– So your salary would be $6887.05 and the fringe
based on that value would be $612.95.
Non-Personnel Costs
• Travel
– Domestic
• In-State and Local auto (48.5 or 31.5 c), bus, van, taxi
• Out-of-State estimated costs for plane/train, per diem
as per city, registration costs
– International
• Costs estimated similar to out-of-state
• Funder must approve; US Air Carrier requirement
– Specific reason
– Specific locations if known
• Equipment
– Single items over $5,000
– Specific items, capabilities or expectations
– Best price for application; may need to attach bid/estimate
• Student Support
– Tuition, fees, “cost of education”
– Stipends, travel, other expenses
• Consultants and Contractors
– Limited purpose support that could be provided by
another person or company
– Independent contractors
– Set fee or formula
• Subaward/Subcontract
– Critical, significant, irreplaceable element of project
– Usually includes a Co-PI/PD and partner institution
– Costs computed as “prime” award and appropriate forms
and support letter attached
• Supplies & Materials
– Office, lab, program, educational, books, software
– Computers, small “equipment,” furniture
• Publication/Dissemination Costs
– Reprints, technical production costs
• Other
– Memberships, registrations, subscriptions, refreshments
– Other expenses not covered elsewhere
Indirect Costs
• Indirect Costs are reimbursed for common
facility and administrative expenses that
cannot be identified specifically with a
particular sponsored project.
– Facilities
• Office, lab, classroom, seminar/conference rooms
• Electricity, heat, water, snow plowing
• Incidental photocopying, telephone, office supplies
– Administration
• Financial Administration (HR, Accounting, Payroll)
• Academic Administration (Provost, Deans, Sponsored Programs)
• Library, IRT
• Indirect Cost at WPUNJ
– Negotiated through the Department of Health and
Human Services using the “Short Form”
– Based on a percentage of Salary and Wages
• 68.8% to June 30; 59.5 2009-2012
– Department of Education, other agencies
• 8% for education and other non-research projects
– “Long Form” provides the Modified Total Direct
Costs (MTDC) Rate used at research-intensive
institutions
Indirect Costs Calculation
• Example
– A proposal includes $50,000 in salary and $50,000
for fringe, equipment and other expenses
– The indirect cost is based on the salary portion of
the request or ($50,000) and is determined by the
indirect rate x salaries
• 50,000 x 0.688 = 34,400
– The total request would then be
• $50,000 (salary) + $50,000 (all other)+ $34,400 (indirect)
= $134,400
Matching Costs
• Project funds listed on the proposal that don’t
come from the funding agency.
– Required or Voluntary Committed Match
• Soft Costs: Already planned expenses or allocations
• Hard Costs: New funds that the institution will provide
– External Matching
• Funds that are being applied to the project from other
grants, private funds or partner institutions
– In-Kind Contribution
• Donated goods or services provided by a third party
• When included?
• Only when it is required or suggested for competitiveness
• Always there, whether or not budgeted
• Who pays?
• Home Department (Chair’s approval)
• Another Department (documentable cost whether or not
actually charged)
• College (Dean’s approval)
• Provost’s Office (Provost’s Approval)
• Other Funding (Internal/External)
• When Agreed?
• Discuss during project/proposal development
• Authorized during review process
Use Excel / Spreadsheet Program
• Excel is a spreadsheet that is relatively
straightforward to use
– Formulas for accurate math
– Tracks year to year costs and increments
– Tracks annual and cumulative total costs
• Spend some time to learn the program
– On campus workshops to learn the basics
– Many good uses once you learn it
• OSP has worksheets for NSF, USED, USDA
Sample Detailed Budget
Category
Personnel
Fringe
Supplies
Consultants
Travel
Item
Proj. Dir.
Cost Detail
Funder Matching Total
$150,000 x 15%
15,000
7,500
$22,500 x 33.15%
4,973
2,486
Ed. Materials 2000 @ $5 avg cost
10,000
Evaluation 5 days @ $500/day
2,500
To conf. In Proj Dir, round trip
250
250
Washington train @ $250 + hotel
Total Direct Expense
32,723
10,236
Indirect
68.8% Salary + Wages
10,320
5,160
Total Project Expenses
43,043
15,396
22,500
7,459
10,000
2,500
500
42,959
15,480
58,439
Summary Budget
• Agency form
• Provides quick-view of entire cost of project in
the funder’s format
• Shows annual totals and/or total project cost
Budget Justification
• A narrative description of the financial aspect
of the project
• The budget justification should clearly detail
the costs proposed and, in some instances,
explain how the cost was determined by
stating the formula from the spreadsheet
• Can incorporate selections (tables) from the
spreadsheet
• Compare the budget justification to the budget
detail to make sure all costs are justified
• Review the project narrative and the budget
narrative together to insure that expenses
identified for project are included in budget and
that the converse is true as well
• Critical are for internal review
• Get costs from appropriate sources
How you probably
feel right now !
Grant proposals
are hard – but very
“do-able.”
Workshop Evaluation
All responses are completely anonymous. Data will not be
reported in a way that could divulge the identity of any
respondents.
Grants Landscape II: Project, Proposal and Budget
Development
June 2009
Contact Information
Staff:
Martin Williams, Director
TBH, Ass’t Director, Pre-Award
Beth Ann Bates, Program Assistant
Nina Jemmott, Associate VP & Dean,
Graduate Studies and Research
Office:
Raubinger Hall 107
Fax: 973-720-3573
Webpage:
www.wpunj.edu/osp
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