Transcript Sponsored Programs Administration at MSU

Developing and Submitting Your Proposal
Sponsored Programs Administration
2012 Research Seminar Series
Roadmap for Today’s Session
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Suggested Guidance
Proposal Components
Roles and Responsibilities
Submitting your Proposal
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Types of Proposal
Submissions
Sponsor-Specific Proposal
Systems
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Definitions and Role
Developing your Proposal
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Sponsored Programs
Overview
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Grants.gov
FastLane
Internal Submission
Process
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Policies
Timeline
Documentation
New Internal Approval
Sheet
Life Cycle of a Sponsored Project
Award Close
Out and
Preparing for
Audit
Financial Post
Award
Management
Award
Receipt,
Acceptance
and
Management
Conception
and Finding
Funding
Developing
and
Submitting
your Proposal
Regulatory
Compliance
for Sponsored
Projects
What is a Sponsored Project?
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Sponsored projects are research, training,
instructional, or outreach/public service
projects involving funds, materials, other
forms of compensation, or exchanges of inkind efforts from sources external to MSU
under awards or agreements.
What is a Sponsored Project!?
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Anytime a project is funded by an outside
entity with conditions and/or deliverables
Institutional Eligibility to Receive
Funding
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Requires compliance with a multitude of
laws, regulations, etc
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OMB
Federal laws and regulations
State laws and regulations
University policies
Sponsor policies and guidelines
SPA’s Role in the Proposal Process
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Compliance
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Regulatory hurdles
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Both institutional and project specific
Appropriate checks and balances
Consistency
Customer Service
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Information
Review
Submission
Developing Your Proposal –
What constitutes a proposal?
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Any communication with a potential funder
including both a scope of work and a budget.
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A scope of work alone is deemed a ‘pre-proposal’
and is simply communication that will potentially
lead to a proposal and sponsored project.
A ‘budget’ alone, with no scope of work, would
be deemed a gift and should be coordinated with
your development officer.
Developing Your Proposal –
Reviewing the Request for Proposal (RFP)
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Initial Cursory Review
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Check eligibility, both institutional and individual
Check the deadline
Check if it is a Limited Submission
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For more information on Limited Submissions see:
http://www.research.msstate.edu/limitedsubmissions/
Check if there are cost-share requirements
Developing Your Proposal –
Communication
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Communicate with all interested parties
(potential collaborators, departmental
administrators, sponsored programs) of your
intent to submit the proposal at this point
Provide as much information as possible
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RFP
Projected timeline
Expectations
Developing Your Proposal –
In-depth review of the RFP
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Review closely to make certain the research
goals are aligned
Is this an investigator-driven project (grant) or
a sponsor-driven project (contract)?
Are the necessary resources available for the
project?
Can the necessary expertise be assembled for
the project?
Developing Your Proposal Typical Components
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Table of Contents
Abstract
Background/Literature
Review
Personnel
Resources/Facilities
Research Plan
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Methodology/Timeline
Budget
Budget Justification
Regulatory
Requirements
Appendices
Forms/Certifications
Developing Your Proposal –
Typical Components
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These pieces should be built in concert
Oftentimes, the budget should be one of the
first pieces built
These components need to be built paying
very close attention to the RFP
Development of components should occur
well in advance of the actual deadline
Developing Your Proposal Typical Components
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Table of Contents
Abstract
Background/Literature
Review
Personnel
Resources/Facilities
Research Plan
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Methodology/Timeline
Budget
Budget Justification
Regulatory
Requirements
Appendices
Forms/Certifications
Developing Your Proposal –
Budget Development
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Should be built in line with the scope of work
Communicate with department to ensure that
neccesary resources are available.
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Space
Equipment
Personnel
Funds (Cost-share)
Developing Your Proposal –
Budget Development
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Information for budgeting
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Fringe Benefits
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http://spa.msstate.edu/budgeting/
http://spa.msstate.edu/budgeting/benefits.html
Facilities and Administrative Costs
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http://www.controller.msstate.edu/docs/FArate_f
y2008.pdf
Developing Your Proposal –
Current Rates for Proposals
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Facilities & Administrative
Costs
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44.5% MTDC – Research
50.9% MTDC –
Instruction
31.1% MTDC – Public
Service/Other
Off campus
26% MTDC – Research
and Instruction
24% MTDC – Public
Service)
Fringe Benefits
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On-campus
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33.18% Faculty/Staff *
0.76% Student (Enrolled)
21.09% Retirees
9.09% All other Intermittent
Employees /Student (not
Enrolled)
*Assumes $40,000 average
salary
Developing Your Proposal –
Budget Justification
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Detailed explanation of budgetary line items
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All line items should be justified
They should be justified in the same order that the
budget is presented
Different sponsors require different levels of
justification and there are often page limits
Developing Your Proposal –
Budget Justification
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Should be used to reinforce the programmatic
scope of work (without trying to circumvent
page limits in the project description)
Goal is to assist the reviewer
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Provide enough information so that the reviewer
can understand the budget and how it relates to
the work proposed
Developing Your Proposal –
Forms and Certifications
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These are as wide and varied as the sponsor types
They can be very time-consuming and should be
done early in the process
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May require coordination with a number of different
offices (Legal Counsel, Office of Diversity,
Procurement, etc.)
Common information for forms can be found
here: http://spa.msstate.edu/quicklinks/data.php
Developing Your Proposal –
Roles and Responsibilities
Principal Investigator/ Department
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Reads RFP and other
documentation
Notifies SPA of upcoming
proposal
Secures all departmental
resources
Prepares proposal
components
Sponsored Programs Admin
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Reviews RFP and other
documentation
Provides advice concerning
budgetary items
Provides advice concerning
unusual proposal
requirements
Provides assistance with
forms and certifications
Submitting your Proposal Types of Proposal Submission
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Hand Delivered
Paper
Electronic
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Email
Through a sponsor’s website
Through an online system
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i.e. Grants.gov. Fastlane
Submitting your Proposal Paper Submissions
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When is it due - postmark or receipt date, is
there a time deadline?
Correct mailing address
How many originals/copies?
Any other restrictions – no binders, bound,
rubber band, staple, etc.
Submitting your Proposal Electronic Submissions: Email
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Can be just an email or email followed by
paper copies.
When is it due – date and TIME.
Who needs to be copied?
What format should the attachments be in?
(Word, PDF)
Submitting your Proposal Electronic Submissions: Sponsor Websites
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Usually Industry and Foundations use this
type of submission where a PI is directed to
download a fillable proposal package and
then SPA will upload the proposal into the
sponsor's online system.
Submitting your Proposal Electronic Submission: Online Systems
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Commonly used online systems:
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Grants.Gov (federal government wide submission portal)
Fastlane (National Science Foundation)
NSPIRES (NASA)
FedConnect
eGrants (US Department of Education)
EERE (DOE)
Is use of an online system mandatory?
Is there more than one system to consider?
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NIH proposals are submitted through Grants.gov but the PI must
also be registered in NIH eRA Commons.
Submitting your Proposal Electronic Submission: Online Systems
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Registration requirements fulfilled?
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PIs do not need to register with Grants.gov, however if you are
submitting an NIH proposal through Grants.gov, you will need to be
registered in NIH Commons.
There are some systems that do require the PIs to be registered, such
as Fastlane, fedconnect, and NSPIRES. Since the required
information is different for each system, check with your SPA
administrator to see what information SPA will need to register you
with that particular system.
When is it due – date and TIME. Your guidelines
may say it is due at 5:00, but is that 5:00 local time
or sponsor time?
Submitting your Proposal Grants.gov
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Public Law 106-107 (Grants.gov)
Federal Financial Assistance Management Improvement
Act of 1999
 Grants.gov was created to provide a single website for
all federal grant opportunities. It was called for from the
President's Management Agenda and also as part of the
Public Law 106-107, which is to streamline and
simplify the way the federal government does grants. It
simplifies the grants management process by providing
a central online system to find and apply for grants
across the federal government.
Submitting your Proposal - Grants.gov
Downloading the Proposal Application & Instructions
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Go to http://www.grants.gov/search/basic.do to search for
funding opportunities.
Click on the opportunity you are interested in to open the
synopsis.
Click on the application button on the right.
Submitting your Proposal - Grants.gov
Downloading the Proposal Application & Instructions
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Under Instructions and Application, click download.
Submitting your Proposal - Grants.gov
Downloading the Proposal Application & Instructions
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Download BOTH the Application Instructions (RFP/Guidelines) and the
Application Package
Sign up to receive any updates or revisions.
Submitting your Proposal - Grants.gov
Downloading the Proposal Application & Instructions
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Adobe Reader is required to download the
Application Package, and is available from the
Grants.gov website.
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Check the Grants.gov website for Operating System
and Adobe Reader Compatibility Charts at
http://www07.grants.gov/help/download_software.jsp.
Grants.gov Grant Application Process
Investigator
identifies Grant
Opportunity in
Grants.gov.
Investigator
downloads grant
application
package.
Do you have
Adobe
Reader?
Yes
Investigator
completes Grant
application package.
No
E-mail Grant
Application
package to
departmental
budget manager
and SPA.
Download Adobe
Reader
Wait for
Award
At this point
the PI can
track the
status of their
proposal.
Agency assigns
tracking # in
some cases.
SPA AOR submits
and tracks Grant
Application at
Grants.gov
until Agency
retrieves package.
SPA reviews
proposal and
communicates
with Dept., PI as
needed.
Grants.gov NIH Grant Application
Process
Investigator
identifies Grant
Opportunity in
Grants.gov.
Investigator
downloads grant
application
package.
Yes
Do you
have Adobe
Reader?
E-mail Grant
Application
package to
departmental
budget manager
& SPA.
Investigator
completes Grant
application package.
No
SPA AOR
submits and
tracks Grant
Application
at Grants.gov
until Agency
retrieves
package.
Download Adobe
Reader
SPA rejects
application in
Commons
Wait for
Award
PI makes
Changes and
resubmits entire
application
package to SPA
for resubmission.
Grant image
available to
reviewers
Yes
No
Does
application pass
NIH Business
rules?
PI must contact SPA by noon on
2nd day after image is available in
Commons or before deadline
which ever is sooner.
Yes
No
PI and SPA can
follow progress
of application in
the Commons.
Errors and
warnings listed
Is the
application
acceptable?
eRA Commons
audits application
against NIH
Business rules.
PI may view the
image in the
Commons.
NIH notifies PI
and AOR by
email to check
eRA Commons
for results of
validations check.
Submitting your ProposalGrants.gov: Common Errors
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Attachments not saved as a PDF.
File names – some sponsors do not allow any special
characters or spaces between words.
Some RFP’s require information that isn’t
highlighted in Yellow.
Pay special attention to subcontract attachments they have their own “check for errors” button, and
also check that their file names and attachments are
correct.
Submitting your Proposal Grants.gov: Common Errors
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The number one error is not allowing enough
time for submission.
Submission of your proposal by SPA is not an
instant thing. There are multiple steps in
submission – not just hitting the button.
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save
save & submit
log in
submit
….and wait.
Submitting your Proposal Grants.gov: Common Errors
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The time required to submit a proposal can
vary depending on traffic/heavy submission
deadline dates and the time stamp for your
proposal is not generated until the end of the
submission process.
Submitting your Proposal Grants.gov: Common Errors
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Cannot stress enough the importance of having your
proposal finalized 3 working days prior to the
deadline. Other than delays with the online system
itself, there is the risk of server problems, power
outages, and weather related university closings.
Federal sponsors are not lenient with late submission
due to local server or power issues. Many times
their response would be than you shouldn’t have
waited until an hour before the deadline to try to
submit.
Submitting your Proposal NSF Fastlane
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PI finds a solicitation/funding opportunity by
searching either Grants.gov or NSF.
NSF gives the PI the option of either submitting
through Grants.gov or Fastlane.
SPA will need to register the PI in Fastlane.
PI will log into Fastlane and create their proposal,
completing all required sections/attachments.
Submitting your Proposal NSF Fastlane
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PI will grant SPA AOR Review/Submit access to
their proposal in Fastlane.
SPA admin will review the entire proposal and work
with the PI and dept. budget manager if revisions are
needed.
When the final proposal is complete, SPA admin will
check with the PI that they are ready to submit.
SPA admin will forward the confirmation notice with
the fastlane proposal number to the PI.
Submitting your Proposal NSF Fastlane
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Fastlane Helpdesk - 1-800-673-6188 available
from 8:00am - 10:00pm Monday through
Friday.
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Fastlane Help System
https://www.fastlane.nsf.gov/index.jsp
Submitting your Proposal Roles and Responsibilities
Principal Investigator/ Department
 Prepare the proposal in compliance
with the RFP/guidelines.
 Submit the final proposal to SPA 3
working days prior to the submission
due date.
Sponsored Programs Administration
 Review the non-technical portions
of the proposal for compliance with
applicable guidelines.
 Submit the proposal as directed by
RFP and/or PI.
Timeline & Documentation
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University Policy
Suggested Timeline
Signature Authority for the University
Required Documentation
New Internal Approval Sheet
MSU Policy 70.01
The originator of the proposal shall prepare an Internal
Approval Sheet (IAS) and obtain the approval
signatures of the Department Head and the
Dean/Director of the appropriate unit. A final copy of
the proposal, a completed IAS…should be forwarded to
Sponsored Programs Administration a minimum of 3
working days prior to the deadline receipt date for the
proposal.
What is your FINAL Proposal?
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All Components of your proposal in the final
format that will be submitted to the sponsor
All internal paperwork with all necessary
signatures
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Internal Approval Sheet
Cost Share Form
OMB Form
Suggested Timeline
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10 Days Prior to Submission Deadline
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5 Days Prior to Submission Deadline
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Send RFP to SPA for review
Send Budget & Budget Justification to SPA for
review
Start routing your IAS
3 days Prior to Submission Deadline
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Send FINAL Proposal to SPA for review and
submission
What is Signature Authority?
If a document commits the university resources
(people, building space, funds), then proper
signatures are required
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Sponsored Programs has authority for
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Proposal submission
Negotiation and acceptance of grants and
contracts
Signature Authority Policy
IHL Board Policy #707 (see excerpt below) makes clear that no one
other than the IHL Board, the Institutional Executive Officers, and
those MSU officials to whom contract signature authority has been
specifically granted in writing by the MSU President, are authorized to
sign any contract, of any type, on behalf of MSU.
707.02 OTHER OFFICIAL DOCUMENTS
The Institutional Executive Officer of each institution, or a designee as
evidenced in writing, is authorized to sign all other official documents
for and on behalf of the institution for which he or she is responsible.
Anyone who signs a contract without authorization is subject to
disciplinary action, up to and including termination.
If Authorized Signature Required
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Mark “signature required” clearly on proposal
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If Letter of Intent/Letter of Collaboration –
notify prior to the 3 Day Deadline
Signed Documentation
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Internal Approval Sheet
Cost Share Form
OMB Form
These are now ONE FORM!
http://spa.msstate.edu/forms/docs/IAS_v1.0.7.3.4.pdf
Internal Approval Sheet (IAS)
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Critical part of proposal submission process
Ensures proposal is sent to appropriate
sponsor and submitted on time
Allows investigator to receive credit for
proposal
Routes proposal to appropriate on-campus
personnel
Internal Approval Sheet (IAS)
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Contains pertinent budget and cost share info
Requires review of all departments involved
Explains responsibilities accepted under
signature
Internal Approval Sheet (IAS)
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MUST be filled out completely
MUST be submitted with the necessary
documentation for your devision
MUST be submitted no less than three
business days before the submission deadline
to Sponsored Programs Administration (SPA)
http://www.msstate.edu/dept/audit/7001.html
IAS – Investigator Information
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Home Department – this is for reference only
and will not be used in processing the award.
Fiscal Unit – (6 digit number) this is the
organization number of the department that
will be fiscally responsible for the project.
This is the org number that is associated with
your award when you receive your fund
number.
IAS – Proposal Information
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What does Rate Type mean?
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Indicates what Facilities and Administrative
(F&A) rate (often referred to as indirect cost or
overhead) will be applied in the budget.
Information regarding the different rates can be
found on the SPA website at
http://www.spa.msstate.edu/budgeting/
IAS – Proposal Information
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Rate Type (OMB A-21 definitions)
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Research – all research and development
activities that are separately budgeted and
accounted for
Instruction – the teaching and training activities
of an institution, except for research training
Other – programs and projects financed by
agencies and organizations which involve the
performance of work other than instruction and
organized research.
IAS – Proposal Information
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Rate Type
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Public Service – falls under OTHER according to
OMB A-21 definitions. However, because MSU
is a land-grant institution and has an Extension
Service, we include Public Service as a choice
here in order to designate the Extension projects.
IAS – Sponsor Information
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Entering the correct sponsor information is
crucial in getting the proposal submitted.
PRIME SPONSOR – entity that originates the
funding
Include ALL of the Sponsor’s contact
information and submission instructions
IAS – Special Review Checklist
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It is VERY IMPORTANT that every question
in this section is answered.
Definitions for each area are included on the
IAS Instructions
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http://training.spa.msstate.edu/docs/Instruction_IAS_
v1.0.12%20Secured.pdf
IAS - Personnel
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Key Personnel
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Include information for each key personnel and
each MSU Faculty member (no matter what role
they will be serving on the project).
Fund Type – Include for each individual listed.
The Fund type will determine the Dean/Director
approvals and fund type for the child account, if
necessary
IAS - Personnel
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If a child account is required, check YES and
attach the budget for the child account to the IAS.
Child Account - A child account is a sub account used
whenever one sponsor award must be associated with
multiple internal accounts. Child accounts may be created
to track specific spending, equipment purchases, crossdepartmental award
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Add the 6-digit org number of the individual’s
academic home department in the column Org#.
IAS - Personnel
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Credit %
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Each person key to the proposal assigns a
percentage of credit* to their academic home
department.
The total of all individuals credit equals 100%.
*When proposals are run through a center, credit
should be assigned to the individual’s academic
home department.
IAS – Budget Information
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List the funds requested from the sponsor in this
section
Total Direct Costs requested should be entered
for each year of the project.
If F&A Costs are being requested of the sponsor,
the amount requested for each year should be
entered. If F&A is not being requested of the
sponsor, the unrecovered F&A should be entered
in the Cost Share section on this form instead.
IAS – Budget Information
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Will items typically charged as indirect costs
be included as direct costs in the budget?
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U.S. Office of Management and Budget (OMB)
Circular A-21
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OMB A-21 establishes principles for determining
costs applicable to grants, contracts, and other
agreements with education institutions.
What type of expenses are these?
http://www.spa.msstate.edu/quicklinks/cost.php
IAS – Budget Information
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If you click YES, additional questions will
populate that will need to be answered.
Be as specific as possible on all answers.
This will allow SPA to better evaluate each
category of expenses.
IAS – Cost Share
What is Cost Share?
the portion of the total project that is contributed
by the university or sources other than the
sponsor
IAS- Cost Share
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Is cost share involved? Is F&A reduced? If
YES then, . . .
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Involuntary – expenses that are not allowed by
the sponsor
Voluntary – cost share that is not required by the
sponsor but the PI wants to include
Required by Sponsor – self explanatory
IAS – Cost Share
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Make sure it is clear who is responsible for
the cost share.
 Organization Number
Make sure you get the appropriate signatures
IAS – Cost Share
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Cost Share Instructions
http://training.spa.msstate.edu/view_definition.php?id=18
IAS – Administration Approval
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Electronic Signatures
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Form will auto fill the appropriate signature
blanks
If the project is running through a center or a unit
other than the academic home unit, then the fiscal
unit needs to sign.
Sponsored Programs Administration will not
sign off on a proposal until all required
documentation is received with appropriate
signatures.
IAS – Administration Approval
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Digital Signature Tutorial
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http://training.spa.msstate.edu/view_tutorial.php?id=171
IAS & Digital Signature Training
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Provided in the Library
Contact Emily Thompson, [email protected]
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Monday, October 3, 9:00 AM, ELI Classroom
Tuesday, October 11, 10:00 AM, IHL Classroom
Wednesday, October 19, 11:00 AM, ELI Classroom
Thursday, October 27, 1:00 PM, ELI Classroom
Friday, November 4, 3:00 PM, ELI Classroom
Links
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New Internal Approval Sheet
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New Internal Approval Sheet Instructions
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http://training.spa.msstate.edu/docs/Instruction_IAS_v1.0.
12%20Secured.pdf
New Cost Share Instructions
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http://spa.msstate.edu/forms/docs/IAS_v1.0.7.3.4.pdf
http://training.spa.msstate.edu/view_definition.php?id=18
IAS Training Video
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http://training.spa.msstate.edu/view_video.php?id=173
Links
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SPA Training Website
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http://training.spa.msstate.edu/
SPA Contacts
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http://www.spa.msstate.edu/staff/
Upcoming Training
Budgeting 101
October 10, 2011
2:00-4:00
CAVS Seminar Room
I Have My Award, Now What?
February 27, 2012
11:30-1:00
CAVS Seminar Room
Regulatory Compliance
October 24, 2011
11:30-1:00
CAVS Seminar Room
Myth Busters:
Tackling Your Tough Questions
March 26, 2012
11:30-1:00
CAVS Seminar Room
Award Process
January 30, 2012
11:30-1:00
CAVS Seminar Room
hhtp://www.tfaforms.com/191959