Developing and Submitting Your Proposal

Sponsored Programs Administration2012 Research Seminar Series

Roadmap for Today’s Session

Sponsored Programs Overview Definitions and Role

Developing your Proposal Suggested Guidance Proposal Components Roles and Responsibilities

Submitting your Proposal Types of Proposal

Submissions

Sponsor-Specific Proposal Systems Grants.gov FastLane

Internal Submission Process Policies Timeline Documentation New Internal Approval

Sheet

Life Cycle of a Sponsored Project

Conception and Finding FundingDeveloping and Submitting your ProposalRegulatory Compliance for Sponsored ProjectsAward Receipt, Acceptance and ManagementFinancial Post Award ManagementAward Close Out and Preparing for Audit

What is a Sponsored Project?

Sponsored projects are research, training, instructional, or outreach/public service projects involving funds, materials, other forms of compensation, or exchanges of in-kind efforts from sources external to MSU under awards or agreements.

What is a Sponsored Project!?

Anytime a project is funded by an outside entity with conditions and/or deliverables

Institutional Eligibility to Receive Funding Requires compliance with a multitude of

laws, regulations, etc OMB Federal laws and regulations State laws and regulations University policies Sponsor policies and guidelines

SPA’s Role in the Proposal Process

Compliance Regulatory hurdles

Both institutional and project specific Appropriate checks and balances Consistency

Customer Service Information Review Submission

Developing Your Proposal –What constitutes a proposal?

Any communication with a potential funder including both a scope of work and a budget. 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)

Initial Cursory Review Check eligibility, both institutional and individual Check the deadline Check if it is a Limited Submission

For more information on Limited Submissions see: http://www.research.msstate.edu/limitedsubmissions/

Check if there are cost-share requirements

Developing Your Proposal – Communication

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 RFP Projected timeline Expectations

Developing Your Proposal –In-depth review of the RFP

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

Table of Contents Abstract Background/Literature

Review Personnel Resources/Facilities Research Plan

Methodology/Timeline Budget Budget Justification Regulatory

Requirements Appendices Forms/Certifications

Developing Your Proposal –Typical Components

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 Table of Contents Abstract Background/Literature

Review Personnel Resources/Facilities Research Plan

Methodology/Timeline Budget Budget Justification Regulatory

Requirements Appendices Forms/Certifications

Developing Your Proposal – Budget Development

Should be built in line with the scope of work Communicate with department to ensure that

neccesary resources are available. Space Equipment Personnel Funds (Cost-share)

Developing Your Proposal – Budget Development

Information for budgeting http://spa.msstate.edu/budgeting/

Fringe Benefits http://spa.msstate.edu/budgeting/benefits.html

Facilities and Administrative Costs http://www.controller.msstate.edu/docs/FArate_fy

2008.pdf

Developing Your Proposal – Current Rates for Proposals

Facilities & Administrative Costs On-campus

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 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

Detailed explanation of budgetary line items 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

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 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

These are as wide and varied as the sponsor types They can be very time-consuming and should be

done early in the process 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 Reads RFP and other

documentation Notifies SPA of upcoming

proposal Secures all departmental

resources Prepares proposal

components

Sponsored Programs Admin 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

Hand Delivered Paper Electronic

Email Through a sponsor’s website Through an online system

i.e. Grants.gov. Fastlane

Submitting your Proposal - Paper Submissions

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

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

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

Commonly used online systems: 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?

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 Registration requirements fulfilled?

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

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

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.govDownloading the Proposal Application & Instructions

Under Instructions and Application, click download.

Submitting your Proposal - Grants.govDownloading the Proposal Application & Instructions

Download BOTH the Application Instructions (RFP/Guidelines) and the Application Package

Sign up to receive any updates or revisions.

Submitting your Proposal - Grants.govDownloading the Proposal Application & Instructions

Adobe Reader is required to download the Application Package, and is available from the Grants.gov website.

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.

Download Adobe Reader

Do you have Adobe

Reader?

No

Investigator completes Grant

application package.

Yes

E-mail Grant Application package to

departmental budget manager

and SPA.

SPA reviews proposal and

communicates with Dept., PI as

needed.

SPA AOR submits and tracks Grant Application at

Grants.govuntil Agency

retrieves package.

Agency assigns tracking # in some cases.

Wait for Award

At this point the PI can track the

status of their proposal.

Grants.gov NIH Grant Application Process

Investigator identifies Grant Opportunity in

Grants.gov.

Investigator downloads grant

application package.

Download Adobe Reader

Do you have Adobe

Reader?

No

Investigator completes Grant

application package.

YesE-mail Grant Application package to

departmental budget manager

& SPA.

PI and SPA can follow progress of application in the Commons.

SPA AOR submits and tracks Grant Application

at Grants.govuntil Agency

retrieves package.

PI must contact SPA by noon on 2nd day after image is available in

Commons or before deadline which ever is sooner.

Wait for Award

SPA rejects application in

Commons

NIH notifies PI and AOR by

email to check eRA Commons

for results of validations check.

Does application pass NIH Business

rules?

eRA Commons audits application

against NIH Business rules.

Errors and warnings listed

PI makes Changes and

resubmits entire application

package to SPA for resubmission.

PI may view the image in the Commons.

Yes

Is the application acceptable?

Grant image available to reviewers

Yes

No

No

Submitting your Proposal- Grants.gov: Common Errors

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

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. save save & submit log in submit ….and wait.

Submitting your Proposal - Grants.gov: Common Errors

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 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

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 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

Fastlane Helpdesk - 1-800-673-6188 available from 8:00am - 10:00pm Monday through Friday.

Fastlane Help System https://www.fastlane.nsf.gov/index.jsp

Submitting your Proposal -Roles and Responsibilities

Principal Investigator/ Department Sponsored Programs Administration

Prepare the proposal in compliance with the RFP/guidelines.

Submit the final proposal to SPA 3 working days prior to the submission due date.

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

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?

All Components of your proposal in the final format that will be submitted to the sponsor

All internal paperwork with all necessary signatures Internal Approval Sheet Cost Share Form OMB Form

Suggested Timeline 10 Days Prior to Submission Deadline

Send RFP to SPA for review 5 Days Prior to Submission Deadline

Send Budget & Budget Justification to SPA for review

Start routing your IAS 3 days Prior to Submission Deadline

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

Sponsored Programs has authority for Proposal submission Negotiation and acceptance of grants and

contracts

Signature Authority PolicyIHL 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 DOCUMENTSThe 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

Mark “signature required” clearly on proposal If Letter of Intent/Letter of Collaboration –

notify prior to the 3 Day Deadline

Signed Documentation

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)

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)

Contains pertinent budget and cost share info Requires review of all departments involved Explains responsibilities accepted under

signature

Internal Approval Sheet (IAS)

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

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

What does Rate Type mean? 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 Rate Type (OMB A-21 definitions)

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

Rate Type 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

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

It is VERY IMPORTANT that every question in this section is answered.

Definitions for each area are included on the IAS Instructions http://training.spa.msstate.edu/docs/

Instruction_IAS_v1.0.12%20Secured.pdf

IAS - Personnel

Key Personnel 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 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, cross- departmental award Add the 6-digit org number of the individual’s

academic home department in the column Org#.

IAS - Personnel

Credit % 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 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

Will items typically charged as indirect costs be included as direct costs in the budget? U.S. Office of Management and Budget (OMB)

Circular A-21 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

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

Is cost share involved? Is F&A reduced? If YES then, . . . 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

Make sure it is clear who is responsible for the cost share. Organization Number

Make sure you get the appropriate signatures

IAS – Cost Share

Cost Share Instructions http://training.spa.msstate.edu/view_definition.php?id=18

IAS – Administration Approval Electronic Signatures

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 Digital Signature Tutorial

http://training.spa.msstate.edu/view_tutorial.php?id=171 IAS & Digital Signature Training

Provided in the Library Contact Emily Thompson, ethompson@spa.msstate.edu

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 New Internal Approval Sheet

http://spa.msstate.edu/forms/docs/IAS_v1.0.7.3.4.pdf New Internal Approval Sheet Instructions

http://training.spa.msstate.edu/docs/Instruction_IAS_v1.0.12%20Secured.pdf

New Cost Share Instructions http://training.spa.msstate.edu/view_definition.php?id=18

IAS Training Video http://training.spa.msstate.edu/view_video.php?id=173

Links

SPA Training Website http://training.spa.msstate.edu/

SPA Contacts http://www.spa.msstate.edu/staff/

Upcoming TrainingBudgeting 101

October 10, 20112:00-4:00

CAVS Seminar Room

Regulatory ComplianceOctober 24, 2011

11:30-1:00CAVS Seminar Room

Award ProcessJanuary 30, 2012

11:30-1:00CAVS Seminar Room

I Have My Award, Now What?February 27, 2012

11:30-1:00CAVS Seminar Room

Myth Busters: Tackling Your Tough Questions

March 26, 201211:30-1:00

CAVS Seminar Room

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