Grants 101: Proposal Preparation Charmaine Robaidek Lidia Nonn Office of Grants & Research University of Wisconsin Green Bay.
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Grants 101: Proposal Preparation Charmaine Robaidek Lidia Nonn Office of Grants & Research University of Wisconsin Green Bay Topics We Will Cover Resources for the Researcher Funding guidelines Compliance Intellectual Property Budget Roles & Responsibilities Routing Web information that can help Proposal Preparation Timeline Identify Funding Opportunity •Searchable Databases •People Resources •Web Resources Develop Proposal Roles and Responsibilities Transmit Proposal to Funding Agency Funding Opportunities: Searchable Databases Sponsored Programs Information Network (SPIN) Community of Science/Scholars (COS) Grant Advisor Grants.gov Sponsor Web Sites Funding Opportunities: People Resources On UWGB Campus: ◦ ◦ ◦ ◦ Your Dean’s Office Office of Advancement Office of Grants and Research (OG&R) Your Colleagues Across Campus Funding Opportunities: Web Resources UWGB Office of Grants & Research National Council of University Research Administrators (NCURA) Society of Research Administrators (SRA) International Funding Agency Preparation Timeline Identify Funding Opportunity Develop Proposal •Compliance •Intellectual Property •Budget •Other/The Science/Everything Else •Guidelines Roles and Responsibilities Transmit Proposal to Funding Agency Sponsor Guidelines • RFP (Request for Proposals) (NSF: Grant Proposal Guide and RPF) • How to apply • Application deadline (date/time/received/postmarked) • Focus Sponsor Guidelines (cont) • Applicant Criteria • Budget: match, & amount, accepted IDC rate, • Time period (when can funds be spent) • Eligibility (PI, organization, project requirements) Sponsor Guidelines (cont) Application Instructions Number of pages Font size/style Margins Outline Submission Details (number of hardcopies and/or electronic submission) Guidelines University Requirements • Principal Investigator (PI) status • Conflict of Interest (Outside Activity Report and Financial Disclosure Form) • Time and Effort Requirements • Budget (salary, fringe benefit rates provided by UWGB Controllers Office) • Clearances • EST (Extramural Support Transmittal Form) Federal Regulations Office of Management and Budget (OMB) Circulars ◦ Cost Principles: A-21, for Educational Institutions ◦ Administrative Requirements: A-110, for grants and agreements with institutions of Higher Education, Hospitals, and Other Non-Profit Organizations ◦ Audit Requirements: A-133, States, Local Governments, and Non-Profit Organizations Code of Federal Regulations ◦ codification of the general and permanent rules published in the Federal Register by the executive departments and agencies of the Federal Government. Bayh-Dole ◦ In 1980, the Congress passed P.L. 96-517, Amendments to the Patent and Trademark Act, commonly referred to as the "Bayh-Dole Act”. Under this law, title to inventions made with government support is provided to the contractor if that contractor is a small business, a university, or other non-profit institution. The legislation is intended to use patent ownership as an incentive for private sector development and commercialization of federally funded research and development (R&D). Compliance Human Subjects Animal Use Conflict of Interest (Federal Disclosure Form and Outside Activity Report) Export Control NSF Responsible Conduct in Research NIH Responsible Conduct in Research Intellectual Property Publications Data Ownership Co-mingling Copyright Inventions & Patents Preparation Timeline Identify Funding Opportunity Develop Proposal •Guidelines •Intellectual Property •Compliance •Budget •Other/The Project/Everything Else Roles and Responsibilities Transmit Proposal to Funding Agency Proposal Development Budget ◦ ◦ ◦ ◦ ◦ Budget Building Tools Direct Costs vs. Indirect Costs Budget Narrative Subcontract vs.Vendor Cost Share/Matching Commitments Budget Building Tools Spreadsheets ◦ OG&R Budget Development Spreadsheet (available on OG&R Website) Standard Spreadsheet SF424 spreadsheet Standard Spreadsheet with NIH Modular component ◦ Sponsor provided (ex. Wisconsin Humanities Council provides its own spreadsheet on WHC website) ◦ Your own Direct Costs Salaries Fringe benefits Supplies/Materials Publications Equipment Travel Consortium/Contractual/Subcontract/Subaward Other allowable and allocable expenses directly related to the project F&A Costs Also called Facilities and Administrative Costs, Indirect Costs, or Overhead Facilities and Administrative (F & A) costs are "those [costs] that are incurred for common or joint objectives and therefore cannot be identified readily and specifically with a particular sponsored project, an instructional activity, or any other institutional activity." OMB Circular A-21 Section E.1 F&A Cost Rate is Negotiated by the University with the Federal Government Include on all grant and contract proposals (Fed and non Fed) F&A Costs (From Section F of A-21) Depreciation and Use, Interest, Operation and Maintenance Costs General and Departmental Administration Costs ◦ Central offices (Chancellor, Business Services, Risk Management, etc) ◦ Deans’ offices ◦ “Administrative and clerical staff” ◦ Office supplies, postage, local telephone costs, memberships Libraries Student Administration and Services F&A Costs May be calculated based on: Modified Total Direct Costs Total Direct Costs Salaries and Wages Other specified in the RFP F&A Costs: MTDC MTDC (Modified Total Direct Costs) is ◦ The sum of your Direct Costs Less items such as: ◦ Equipment with a useful life of more than 1 year and an acquisition cost of $5,000 or more ◦ Tuition Remission ◦ For each Subcontract, the amount of their total that exceeds $25,000 ◦ Rental and Lease ◦ Patient Care ◦ Scholarships and Fellowships See RFP for specific exclusions. F&A Costs: TDC TDC (Total Direct Costs) is ◦ The sum of your Direct Costs ◦ No exclusions applied F&A Costs: Salaries and Fringe Benefits Salaries and fringe benefit costs are: ◦ The sum of all UW System salaries and wages ◦ The sum of the associated fringe benefits Apply the current federal negotiated rate (off site or on site rate) to salaries and fringe benefits Apply current On Site rate if more than 50% of the activities* are performed on campus Apply current Off Site rate if more than 50% of the activities* are performed off campus (Activities = total project time and effort) See the OG&R website (IDC rates) for current federal negotiated rates. Budget Narrative Justification of the budgeted expenses Expenses must be allowable Show as much detail as possible ◦ % of effort for each person (what you list here is a commitment!) ◦ % fringe for each person ◦ Travel information including rates, where, how, how long and how many people and why ◦ Specific supplies (chemicals, labware etc.) ◦ Other costs (equipment rental, vendor costs) ◦ Subcontracts/Consultants (survey instruments, modeling, or evaluator) ◦ Indirect or F & A costs (include base, & applied rate) ◦ Total Cost (identified with matching funds provided) Budget Narrative Project Title Department of the University of Wisconsin-Green Bay BUDGET JUSTIFICATION Budget Period: MM/DD/YY-MM/DD/YY SENIOR PERSONNEL: Salaries and Fringe Benefits for faculty and staff. For each person contributing to the project, a short description of their roles and responsibilities should be included with the salary requested. Salary (PI) Dr. _______ is the Principal Investigator for the project. Dr. ________ will devote XX% of his/her effort during MM/DD/YY–MM/DD/YY during the project period MM/DD/YY-MM/DD/YY. The base salary for Dr. ________ is $000,000. Academic Year/Course Release Request: 1/7th of Salary/course: ($Base Salary)(0.1429)=$00,000/per course release. Summer Support Request: ($Base Salary)(0.1111)= $00,000/summer month requested. Please include the time, effort and salary requested (academic and summer months) and for each project budget year if the project period is greater than one year. Yr1 : ($ Salary Requested)= $0,000; YR2: ($ Salary Requested)(raise of 2%)=$00,000; YR3 : ($ Salary Requested)(raise of 2%)=$00,000. Total salary requested: $00,000. Fringe Benefits Fringe benefit rate (please use current rate) are per the UW System Cluster University guidelines and reflect the appropriate rates for the fiscal year July 1, 200X-June 30, 200X with a 0.5% projected increase for subsequent years. The fringe benefits applied for Yr1: ($Salary Requested)(0.445) = $0,000; YR2: ($Salary Requested)(0.45)=$00,000; YR3: ($Salary quested)(0.455)$00,000. Total Salary and Fringe benefits: YR1=$00,000 YR2=$00,000 YR3=$00,000. Total YRs1-3=$00,000. (Co-PI) Dr. _________ is the co-Investigator for the project. Dr. ________ will devote XX% of his/her effort during MM/DD/YY–MM/DD/YY during the project period MM/DD/YY-MM/DD/YY. The base salary for Dr. ________ is $000,000. Academic Year/Course Release Request: 1/7th of Salary/course: ($Base Salary)(0.1429)=$00,000/per course release. Summer Support Request: ($Base Salary)(0.1111)= $00,000/summer month requested. Please include the time, effort and salary requested (academic and summer months) for each project budget year if the project period is greater than one year. Total salary requested: $00,000. Fringe Benefits Fringe benefit rate (please use current rate) are per the UW System Cluster University guidelines and reflect the appropriate rates for the fiscal year July 1, 200X-June 30, 200X with a 0.5% projected increase for subsequent years. The fringes applied for Yr1: ($Salary Requested)(0.445) = $0,000; YR2: ($Salary Requested)(0.45)=$00,000; YR3 : ($Salary Requested)(0.455)=$00,000. Total Salary and Fringe benefits: YR1=$00,000 YR2=$00,000 YR3=$00,000. Total YRs1-3=$00,000. Unclassified (Administrative) Staff Mr/s. _______ will be assisting as__________ for the project. Mr/s. ________ will devote XX% of his/her effort during MM/DD/YY–MM/DD/YY during the project period MM/DD/YY-MM/DD/YY. The base salary for Mr/s. ________ is $000,000. ($Base Salary)(%effort= $00,000 salary requested. Please include the time, effort and salary requested for each project budget year if the project period is greater than one year. Total salary requested: $00,000. Fringe benefit rate (please use current rate) are per the UW System Cluster University guidelines and reflect the appropriate rates for the fiscal year July 1, 200X-June 30, 200X with a 0.5% projected increase for subsequent years. The fringes applied for Yr1 : ($Salary Requested) (0.445) = $0,000; YR2: ($Salary Requested)(0.45)=$00,000; YR3 : ($Salary Requested)(0.455)$00,000. Total Salary and Fringe benefits: YR1=$00,000 YR2=$00,000 YR3=$00,000. Total YRs1-3=$00,000. Total Salary and Fringe benefits: YR1=$00,000 YR2=$00,000 YR3=$00,000. Total YRs1-3=$00,000. Budget Narrative (cont) B. OTHER PERSONNEL Classified Staff Mr/s. _______ will be assisting as__________ for the project. Mr/s. ________ will devote XX% of his/her effort during MM/DD/YY–MM/DD/YY during the project period MM/DD/YYMM/DD/YY. The base salary for Mr/s. ________ is $000,000. ($Base Salary)(%effort= $00,000 salary requested. Please include the time, effort and salary requested for each project budget year if the project period is greater than one year. Total salary requested: $00,000. Fringe benefit rate (please use current rate) are per the UW System Cluster University guidelines and reflect the appropriate rates for the fiscal year July 1, 200X-June 30, 200X with a 0.5% projected increase for subsequent years. The fringes applied for Yr1 : ($Salary Requested) (0.57) = $0,000; YR2: ($Salary Requested)(0.575)=$00,000; YR3 : ($Salary Requested)(0.58)$00,000. Total Salary and Fringe benefits: YR1=$00,000 YR2=$00,000 YR3=$00,000. Total YRs1-3=$00,000. Graduate Students Mr/s. _______ will be assisting as a graduate assistant for the project. Mr/s. ________ will devote 20 hours per week during the academic year (MM/DD/YY–MM/DD/YY) during the project period MM/DD/YY-MM/DD/YY. The current graduate student stipend is $00,000. If more than one year of support is being requested, please include a 2% stipend increase for each subsequent year. Calculate stipend for each year and provide a total for the entire project period. Total Salary : YR1=$00,000 YR2=$00,000 YR3=$00,000. Total YRs1-3=$00,000. If summer work is requested for graduate students (please include # of students, hours to be worked per week and total number of weeks per summer). When calculating their salary use the student hourly rate for fringe benefits. Please include each summer calendar year separately for both salary and fringe calculations. Fringe benefit rate (please use current rate) are per the UW System Cluster University guidelines and reflect the appropriate rates for the fiscal year July 1, 200X-June 30, 200X with a 0.5% projected increase for subsequent years. The fringes applied for Yr1 : ($Salary Requested) (0.34) = $0,000; YR2: ($Salary Requested)(0.345)=$00,000; YR3 : ($Salary Requested)(0.35)$00,000. Include summer salary requests as well but keep them separate from academic year requests since the fringe rate applied is different. Total Salary and Fringe benefits: YR1=$00,000 YR2=$00,000 YR3=$00,000. Total YRs1-3=$00,000. Undergraduate Students (please include # of students, hours to be worked per week and total number of weeks per year) #X undergraduate students will provide assistance to the project. Each student will devote 10 hours per week during the academic year (MM/DD/YY–MM/DD/YY) at a rate of $0.00/hour and will work for XX weeks during the project period MM/DD/YY-MM/DD/YY. YR1=$00,000 YR2=$00,000 YR3=$00,000. Total YRs1-3=$00,000. Fringe benefit rate (2.5%) is per the UW System Cluster University guidelines and reflect the appropriate rates for the fiscal year July 1, 200X-June 30, 200X with a 0.5% projected increase for subsequent years. The fringes applied for Yr1 : ($Salary Requested) (0.025) = $0,000; YR2: ($Salary Requested)(0.03)=$00,000; YR3 : ($Salary Requested)(0.035)$00,000. Total Salary and Fringe benefits: YR1=$00,000 YR2=$00,000 YR3=$00,000. Total YRs1-3=$00,000. Total Salaries and Fringes for all UWGB Employees = $000,000. Permanent Equipment: Single items over $5,000/unit (computers are not considered equipment) must be listed. Total Equipment Costs: $00,000 Supplies and Expenses: Budget Narrative (cont) Supplies and Expenses Please list each item with quantity and total amount. Total Supplies and Expenses: $0,000. Travel: Costs used for in- and out-of-state travel. Include # of persons, # of days per trip. Include cost per RT ticket Include cost per night at hotel Include cost per day requested for meals Include cost for mtg registration Estimated total for in-state travel is $0,000 based on state allowed $.325/mile. Please include # of miles and # of trips and hotel/meals information if applicable. Total Travel: $0,000. Consultants/Contractors: Consultants and Contractors require different supporting budget documentation, please consult the Institute for Research or the Business and Finance Office for assistance. At the minimum, a statement of work and a budget is required for each consultant; in addition, a subcontractor must provide a signed letter of commitment to perform the stated work. Indirect: The University of Wisconsin (on campus) indirect cost rate is 44.5%. This rate is applied to the federally negotiated base, defined as, the total of salaries and fringes of all UWGB employees. The total salaries and fringe = $00,000. If more than 50% of the project activities you may request that an off-campus rate of 18% of total salaries and fringe benefits be used to calculate the indirect cost total. Total Indirect based on salaries and fringes – ($BASE[total salaries+fringe])(46%) = $00,000. Total Funds Requested: $000,000 Total Project Costs: $000,000 If Matching Funds are required you will need do contact the Institute for Research for assistance. All matching funds must be documented in the format above and supporting documentation of support must be included with all grants and contracts. Subcontract vs. Vendor Subcontract (usually a co-PI) ◦ Performance measured against whether the objectives of the federal program are met ◦ Has responsibility for programmatic decision making ◦ Has responsibility for adherence to applicable federal program compliance requirements ◦ Typically publishes with the PI Subcontract vs. Vendor Vendor ◦ Provides the goods and services within normal business operations ◦ Provides similar goods or services to many different purchasers ◦ Operates in a competitive environment ◦ Provides goods or services that are ancillary to the project When UWGB is a Subcontract on another institution’s proposal The following is needed for campus review and approval ◦ Extramural Support Transmittal Form (EST) ◦ RFP (terms and conditions flow down from granting agency) ◦ Letter of intent to commit ◦ Budget ◦ Budget narrative ◦ Scope of Work for your portion only ◦ Certifications and Assurances (signed by AOR) , if requested by the applicant of record for submission to the funding agency, if required. When UWGB’s proposal includes a Subcontract to another institution Must have signed paperwork from the institution/organization UWGB is subcontracting to Budget Budget narrative Agency-required forms (e.g. face page, checklist) ○ DUNS #, Institutional Address Letter of intent to commit Certification and Assurances if required by Sponsor Signature of Institutional Official (not just the other PI) Cost Share/Matching Commitments Contact your Chair and Dean informing them of your intent to submit. Time and effort match - limited to: ◦ 5% during the academic year for instructional academic staff; or Requires Chair and Dean written approval ◦ Course release(s) Requires Chair and Dean written approval Cash or in-kind ◦ requires letter(s) of commitment from budget unit director(s) AND any third party providers Cost Share Matching Commitments Any reference to “matching,” “cost share,” “leveraging,” etc. , anywhere in a proposal may become a legally binding commitment and is legally binding if dollar amount is stated. When a matching commitment is not required UWGB prefers not to provide one. Why? ◦ Facilities Costs + Admin Costs ———————————— = F& A Rate Organized Research Base (matching funds included in this Org. Res. Base) Cost Share/Matching Commitments When a matching commitment is Mandatory (per the RFP) Requirement must be documented in writing To meet the requirement, UWGB considers using ◦ UWGB and UWS Personnel (salary and fringe) ◦ UWGB and UWS unrestricted funds (gifts, startup) Federal funding is unallowable use for matching funds, private and foundation and State funds are allowable. ◦ Indirect costs on proposed match If on campus rate is applied for requested funds, on campus rate must be used for matching funds, same with off campus ◦ Un-recovered indirect costs if a rate other than our federally negotiated rate is required Cost Share Matching Commitments Third Party match commitments ◦ If necessary…. A signed letter of commitment by organization President, CEO or someone else in a position to commit facilities and resources. Letter must reference dollar amount committed. Guarantee the commitment will be met in the same time period as the grant, tracked, reported and certified as accurate If third party match does not come through, Department may be responsible for 3rd party match commitment Other documents Documents required by the Sponsor: Current and Pending documents ◦ Pay close attention to effort commitments and totals, some sponsors have restrictions; campus and UWS restrictions apply as well Facilities and Equipment ◦ As they pertain to the project, include subcontractor’s information as well. Conflict of Interest ◦ UWGB keeps on file Biosketches/CV UWGB faculty & staff and Subcontractors And of course, the PROJECT NARRATIVE Preparation Timeline Identify Funding Opportunity Develop Proposal Roles and Responsibilities •PI •Dean •Chair •OG&R Transmit Proposal to Funding Agency Roles & Responsibilities EST Form review and approval routing – AKA: pre-submission review and approval Principal Investigator Department administrator/Chair Dean Office of Grants & Research Provost Roles & Responsibilities Principal Investigator ◦ Find Funding Opportunities (w/OG&R assistance) ◦ Prepare a Proposal (w/OG&R assistance) ◦ Route & Submit (w/OG&R assistance) ◦ To be in compliance with the Proposal Submission Policy all sections of the proposal (no further revisions) except the technical narrative and cited literature must be received by the Office of Grants & Research 5 working days prior to the sponsor deadline. The technical narrative/cited literature must be received in formal form by the Office of Grants & Research 48 hours prior to the sponsor’s deadline. Timely submission of proposals will allow us to work together to promote best business practices and to ensure that all proposals are submitted properly and on time. Roles & Responsibilities Chair ◦ Verify PI eligibility/availability Overload issues, course release coverage? ◦ Verify resources & facilities Lab/equipment available for use during courses? ADA availability for post-award assistance? ◦ Assure the work fits the department’s mission Roles & Responsibilities Dean ◦ Assures compliance with campus policies and guidelines ◦ Review and approve budgets matching funds are included if IDC allowed or a reduced rate is applied Roles & Responsibilities OG&R ◦ ◦ ◦ ◦ Works with PI to complete and submit proposals Prepares budget information, upon request Initiates EST Form Assists during the pre-submission routing and approval process ◦ Completes Certifications and Assurances for the university. Program specific is PI responsibility ◦ Be the “glue” for the grant’s process!! ◦ Negotiate agreement if an award is made Roles & Responsibilities Provost ◦ Final approval for all submissions ◦ Considers requests for F & A waivers ◦ Provides Institutional support when requested Institutional signatory Chair OG&R Chair Sponsors Dean Dean PROVOST Preparation Timeline Identify Funding Opportunity Develop Proposal Roles and Responsibilities Transmit Proposal to Funding Agency •Routing •Electronic Submission •Paper Submission Routing Extramural Support Transmittal Form Paper Submission Electronic Submission Timing (why is this important?) To be in compliance with the Proposal Submission Policy all sections of the proposal (no further revisions) except the technical narrative and cited literature must be received by the Office of Grants & Research 5 working days prior to the sponsor deadline. The technical narrative/cited literature must be received in formal form by the Office of Grants & Research 48 hours prior to the sponsor’s deadline. Timely submission of proposals will allow us to work together to promote best business practices and to ensure that all proposals are submitted properly and on time. What is the purpose of the EST Form? Proposal Routing. It assists by… Tracking the approval, routing, submission status, organizes proposal data. Administration of proposal, negotiations, awards and reports. Captures data requirements for tracking, submissions, negotiations and project setup. EST Form Paper Submission EST Form assists by . . . ◦ ◦ ◦ ◦ Number of copies Airbill or US mail Paper plus electronic Contact information of sponsoring agency Electronic Submission EST Form assists by . . . Grants.gov / Cayuse NSF Fastlane NASA NSPIRES Email attachment to Sponsor Other routes Websites (SPIN) http://spin2000.infoed.org/new_spin/spinm ain.asp (COS) http://www.cos.com/ (Grants.gov) http://www.grants.gov/ (OMB) http://www.whitehouse.gov/omb/ More Websites (Code of Federal Regulations) http://www.gpoaccess.gov/cfr/index.html (Bayh-Dole) http://www.cptech.org/ip/health/bd/\ Ebling Library http://www.ebling.library.wisc.edu/ And yet more Websites (Grants.gov/cayuse at UW) http://www.rsp.wisc.edu/preaward/grantsgov.ht ml (ProposalCentral) http://proposalcentral.altum.com/ (NIH) http://www.nih.gov/ http://grants.nih.gov/grants/oer.htm (NSF) https://www.fastlane.nsf.gov/fastlane.jsp And yet more Websites If you are really interested in grants administration National Council of University Research Administrators(NCURA) http://www.ncura.edu/content/ Society of Research Administrators (SRA) International http://www.srainternational.org/sra03/index.cfm UW Research & Sponsored Programs http://www.rsp.wisc.edu/ Timing It’s a good idea to work ahead “just in case” there is a snafu along the way! Most important piece of information to take with you today: Communicate with your DEPARTMENT & CALL the RESEARCH (OGR) OFFICE early and often! Please contact the OGR [email protected] [email protected] Or give us a call, we’re in the book! Any questions?