Transcript Document
Module 3
Proposal Preparation, Submission and Processing
Sponsored Programs Office Contact Information
OSP Director
Jeanne Wicks 472-1825 [email protected]
Associate Director
Suzan Lund 472-1930 [email protected]
Assistant Directors
Deb Arent Mike Behne 472-6327 472-6323 [email protected]
Sponsored Programs Office Contact Information
Grants Coordinators
Shelly Hardies 472-2247 Nancy Becker 472-3601 [email protected]
Currently looking for 2 additional pre-award staff
Sponsored Programs Office Contact Information
312 N 14 th Street Alexander Bldg West Lincoln, NE 68588-0430 Ph 402-472-3171 Fax 402-472-9323 Official Applicant/Recipient Entity:
The Board of Regents of the University of Nebraska for the University of Nebraska-Lincoln
use same address as above
Responsibilities of OSP
• Review Proposals – abstracts for compliance with program solicitation – narrative • page limits • font & font size • margins – references – biosketches – meet guidelines – budget & budget justifications • accuracy of calculations • allowable, reasonable, allocable • F&A allowed and calculated correctly • budget and budget justification match – appendix – allowable?
– all other parts for page limits and agreement with guidelines
Responsibilities of OSP
• Sign proposals • Submit proposals • Negotiate terms and conditions of contracts and awards • Manage financial reporting and audit
Responsibilities of PI/Department
• Prepare proposal according to guidelines • Complete all sponsor forms • Route proposal through NUgrant • Notify your Pre-award Coordinator early • Make required copies • Have proposal to OSP 2 business days prior to the deadline Note: DHL picks up at OSP at 3:30 pm daily (paper submissions)
Responsibilities of Dean/Director
• Review and approve or disapprove proposal in NUgrant • Sign for cost share, if required, and provide cost object • Help coordinate collaborative proposals and encourage interdisciplinary proposals
Signature Authority
•
Sponsored Programs has authority for
–
proposal submission
–
negotiation and acceptance of grants and contracts
Note
:
IANR has signature authority for USDA projects it submits
• Technology Development has authority for – negotiation and acceptance of licensing, confidentiality and material transfer agreements • Signature authority is delegated by the Board of Regents ( http://bf.unl.edu/bfpolicy/SignatureAuthority.pdf
) • If a document commits university resources (people, building space, funds), proper signatures are required
Note: PIs, deans, chairs and others are
not authorized
proposals, agreements, or any other legal document on behalf of the Board of Regents of the University of Nebraska.
to sign any
Purpose of Projects
• Research – Basic – Developmental – Applied • Training/Fellowships • Equipment acquisitions • Instruction • Construction • Other
• • • •
Funding Mechanisms
Grants
: Financial assistance for a project that will benefit the public. Involves no participation by the sponsor except to provide funds in exchange for some deliverable. Federal grants are governed by Office of Management and Budget (OMB) circulars and Code of Federal Regulations (CFR).
Cooperative Agreements:
A grant in which the sponsor is involved in shaping the activities. Federal cooperative agreements are governed by OMB and CFR regulations.
Contracts
: Funding provided in exchange for a particular product (service, report or material) required by the sponsor. Federal contracts are governed by Federal Acquisition Regulations (FAR).
Incoming Subawards
Special Notes on Gifts/Donations
• Large dollar amounts are normally processed through the NU Foundation because of various tax implications • Donations or small gifts are normally processed on the Industry Income/Foundation Transfer Form • NOT made to sponsor a research project • Little or no obligation to sponsor • Not tied to specific start and end dates • Irrevocable • No reporting requirements
If a report or other deliverable is due, it is not a gift.
Internal Processing of Proposals
•
All proposals
must be internally routed through NUgrant to the department, college and OSP for review prior to submission to the sponsor • Routing ensures institutional approval for the project, cost share, and other concerns Note: Pre-proposals do not require routing unless a detailed budget or cost share is required
NUgrant
• All faculty and staff can use NUgrant • Complete all required (*) information on the following tabs – Forms – Investigators – Files (units can require documents necessary to review and approve the proposal) – Comments – Please provide guidance for OSP on your expectations for the submission – Routing • NUgrant training sessions will be offered again in mid October
Agency Electronic Submission Systems
• NSF – FastLane • NASA – NSPIRES • • DTRA Grants.gov
– UNL is registered – IBM Forms (PureEdge) – Adobe – download the package & instructions – follow instructions carefully – email .xfd package to OSP upon completion – is a submission portal not final destination site – no data remains at www.grants.gov – training sessions will be available the end of October
Meeting the Sponsor Deadline
• When you determine that you are going to submit a proposal, start the routing form in NUgrant – don’t need to start actual route – provides information to OSP • Notify your OSP Pre-award Coordinator – allows time to review the funding announcement to better advise you on your proposal – puts your name on the submission date and reserves time for your proposal • Build in time for internal reviews by department, dean’s office and OSP prior to submission deadline
Meeting the Sponsor Deadline
• Routing form must be completed and signed off prior to submission of proposal to sponsor • Provide proposal to OSP for complete review
2 days prior to deadline
• Proposals received with less than 2 days for review are submitted with conditional approval. If subsequent review reveals that the proposal does not conform to institutional requirements, the proposal may be withdrawn • Many electronic systems in use – no forgiveness of tardiness • Keep in mind ‘acts of God’ – snow days, system problems, etc.
– Not all agencies will grant extensions for system problems
Types of Proposals
• Letter of intent (often optional and no OSP involvement required) • Preliminary • Solicited • Unsolicited • Competing renewal or continuation • Non-competing renewal or continuation • Supplemental • Limited submission • Government contract
Preliminary Proposal
• A preliminary proposal (sometimes called a white or concept paper) is a short description of the proposed project • Usually does not involve a commitment of university resources and does not include a budget • It is not expected to result directly in an award • Contact OSP if an authorized signature is required, if it includes funding amounts or a budget is included
Solicited Proposal
• A sponsor may solicit formal proposals to address a specific area. This is normally done through a program announcement (PA), Request for Application (RFA) or a Request for Proposal (RFP) • Typically have a specific deadline for submission • Often expect a response to a specific work statement • Typically for a one-time opportunity and are not expected to recur
Unsolicited Proposal
• Unsolicited proposals are submitted in response to a general area of interest expressed by the sponsor (can be in a Program Announcement) • Sponsors publicize areas of interest • Sponsors have procedures and requirements for submitting proposals • Typically, unsolicited proposals don’t have a single deadline date – may have open windows or multiple standing receipt dates
Competing Renewal or Continuation Proposals
• A request for continued funding for a project where funding is about to terminate • Routed and handled the same as a new proposal
Non-Competing Renewal or Continuation Proposals
• A request for the next year’s funding within a multi-year grant • Typically this request includes – progress report – mainly changes to original plans are the relevant questions to address • change in key personnel or support (including other support) • budget issues – particularly rebudgeting needs • change in status of conflict of interest or commitment • change in scope or direction of project – budget – biosketch/vitae for any
new
personnel • Usually require institutional signature (OSP)
Supplemental Proposals
• Request to add funds to an existing project period • Usually results in amendment to existing award • Often less formal process for requesting
Limited Submission Proposals
• Occasionally, sponsors limit the number of proposals one institution may submit • Internal competitions are handled by the Associate Vice Chancellor for Research – generally require a short description of the proposed project – VCR committee will select which proposal(s) from UNL may be submitted to the sponsor – will be publicized in eNews, Research News and on the Office of Research website
Proposal for Government Contracts
• Contracts are governed by FARs – more restrictive rules!
• Critical that OSP be notified at least 14 days prior to submission – RFP is typically written with an industry responder in mind – contains FARs clauses not appropriate to a University – often negotiation issues are submitted with the proposal – may have IP or publication issues to resolve – may have export control issues (EAR and ITAR) • can restrict foreign nationals working in labs
Who May Serve as PI and Co-PI?
• Primarily faculty • Post docs • Graduate students – mainly on fellowship proposals and UNL encourages a sponsor/mentor if graduate student is PI PI status must be approved by the department and college prior to submission
Key Personnel
• Principal Investigator (PI) – Responsible for the design, scientific and administrative conduct and reporting of a research, training or public service project – Must personally participate in the project to a significant degree • Co-Investigator (Co-I or Co-PI) – Is responsible for a portion of the design, scientific and administrative conduct and reporting of a research, training or public service project
Preparing a Proposal
• • Contact the Program Officer, if appropriate – start early – discuss whether your proposed project fits within their guidelines – discuss the success rate
Read and follow ALL guidelines!
• Check the sponsor site periodically for updates to the guidelines • Notify OSP early – we can help decipher guidelines and requirements
Your proposal may be
returned without review
from sponsor guidelines
.
if you deviate
Good Grant Proposals Answer These Questions
• What?
• Why?
• When?
• Where?
• Outcome?
• Benefit? • Who? • How?
• Cost?
Contents of a Typical Proposal
• Cover letter • Cover page • Abstract/Summary • Table of contents • Response to funding Agency’s questions and concerns (Revisions only) • Proposal narrative • References/Literature cited • Biographical sketches • Budget • Budget narrative/justification • Other/Pending support • Facilities and resources • Human/Animal subjects • Letters of support/collaboration • Appendix
Abstract/Summary
• Lay language • Usually limited number words • Provide good overall picture of project
Proposal Narrative
• Specific aims/goals of the project • Background and significance • Preliminary studies • Research design and methods • References/Literature cited
Biographical Sketches
• Usually more limited than a full curriculum vitae • Each sponsor may have different guidelines for what they want – follow the sponsor instructions explicitly!
• If no sponsor guidelines, NIH or NSF format is commonly recognized and accepted
Budget and Budget Narrative/Justification
• Be sure to follow sponsor format/guidelines • If none provided, standard format to use: – personnel – benefits – equipment – travel – materials and supplies – other – subcontracts, if applicable – F&A (aka indirects, indirect costs or overhead) – cost share, when required • Budget narrative critical to understanding budget – should briefly describe each category/line of costs shown in budget
Subaward Information
• At proposal time required documents from subrecipient – work plan (statement of work) for sub only – budget and budget justification for sub only – letter of commitment from sub institution • At award time information required from subrecipient – contact information of their sponsored projects office – contact information of sub PI
You can help speed up the subaward process by providing this information early!
Facilities and Administrative (F&A) Costs
• Previously known as overhead or indirect costs • F&A costs are those that are incurred for common or joint objectives and which cannot be readily and specifically identified with a single sponsored project • Real costs to the university to maintain resources and infrastructure to do research – Heating and air conditioning – Building maintenance – Administrative salaries – Snow removal • UNL has a federally negotiated rate agreement through our cognizant agency - DHHS
F&A Policy
• Request full negotiated rates on all proposals • If sponsor has a not allow F&A costs, UNL will accept (usually foundations)
published standard
limited rate or does • • The difference between UNL’s full F&A rate and sponsor’s limited rate should be shown as cost share on UNL's routing form and in the proposal, when appropriate • If sponsors request use of a less than full F&A rate, PI must route a request well in advance of deadline • Requests for F&A reductions must be thoroughly justified and signed by the cognizant department chair and dean then submitted to OSP for review and consideration.
Requests should not be directed to the Vice Chancellor for Research.
Waivers of F&A costs are not generally allowed.
Cost Share
• Project costs not borne by the sponsor • Cannot be met through federal sources • Two types – mandatory and voluntary • Voluntary cost share becomes mandatory if the proposal is awarded • Cost sharing has to be tracked and reported • Don’t quantify unless needed • Examples of acceptable wording to avoid quantifying – The PI will devote the necessary time to complete the project – The department of X will provide the necessary equipment to accomplish the proposed research.
– Computer support for the project will be provided by the College of X.
• • You cannot cost share an item more than once
As a general rule, avoid it, if possible!
Other/Pending Support
• Shows sponsor what other funding key personnel have or potentially could have • Must be updated regularly as proposal submissions and new funding occurs • Usually includes time committed to each of the projects • Critical to ensure key personnel are not overcommitted (most faculty have less than 100% of their time available for research)
Proposals to Industry Partners
• Usually, more informal discussions between PI and industry lead to project plan • Industry priority (make business money) not the same as university or other sponsor priority • Full F&A rate applies to budget • Almost always result in contract (UNL prefers to start by using our standard Research Agreement template) • Often have publication and intellectual property issues to resolve • Contracts can take several weeks or more to negotiate
Proposals to Foundations
• Often F&A is limited • Must document what F&A is allowed by providing OSP with foundation guidelines along with proposal • When F&A funding is limited, items normally covered by F&A may be charged to the project
SBIR/STTR Proposals
• Small Business Innovation Research (SBIR) • Small Business Technology Transfer (STTR) • Must always be submitted by the small business concern • Significant difference between SBIR and STTR is that STTR requires researchers at universities and other research institutions to play a significant intellectual role in the conduct of each STTR project. These university-based researchers, by joining forces with a small company, can spin-off their commercially promising ideas while they remain primarily employed at the research institution.
Conflicts of Interest/Disclosure of Interest (DOI)
• Conflicts can exist with sponsor and subawardees or vendors - Conflicts happen!
• Disclosure is critical and required • DOI forms on NUgrant • DOI forms required annually for federal sponsors • DOI forms required for every industry sponsor • UNL is responsible for reducing, eliminating or managing conflicts – Start early if a significant conflict exists – Conflicts of Interest in Research Committee must determine how to proceed and develop a management plan, if required – requires dialogue with PI and others to develop
Important Information
• • OSP website http://www.unl.edu/research/sp1/
Legal Applicant: The Board of Regents of the University of Nebraska for the University of Nebraska-Lincoln
• All contracts and agreements must be made between the funding agency and the Board of Regents; it is the legal applicant, not the individual, department or college • EIN/FEIN: 47-0049123 • DUNS Number: 55-545-6995 • F&A Rates: http://www.unl.edu/research/sp1/farates.shtml
• Fringe Rates: www.unl.edu/research/sp1/fringerates.shtml
Reminders
• OSP hours are 8 – 5 Monday through Friday • OSP cannot be responsible for proposals arriving at OSP after 5 pm • OSP must review documents prior to signing – allow plenty of time, minimum 2 working days • Deadline includes a review by OSP prior to submission • Snow days happen. Burst steam pipes happen. Plan ahead.
http://www.unl.edu/research/sp1/ ©2007 The Board of Regents of the University of Nebraska. All rights reserved.
http://research.unl.edu/nuramp