INTRODUCTION TO SPONSORED PROJECTS

FINDING THEM

FINDING THEM WINNING

THEMWINNING

THEMSURVIVING

THEMSURVIVING

THEM GETTING THEM AGAIN

GETTING THEM AGAIN

Pamela A. WebbSr. Director, Office of Sponsored Research(650) 724-6613 or pwebb@stanford.edu

Agenda

What are the various funding sources (industrial, govt agencies, etc)?

What is the general process of getting funding? Timeline for RFP, writing, internal review, external review,

award, How does the process vary from source to source?

What administrative support is usually available to help with getting funding?

Funding restrictions, accounting/administration/oversight of spending during proposal and award

Lifecycle of a Proposal/Award

Pre-Award Post-AwardDevelopment

Agency

Review

(6-9 mos)

Project Period

1stBudgetPeriod

2ndBudgetPeriod

3rdBudgetPeriod

NoCost

Extension

Revised Budget

Submit Renewal /

Competing-Contin

uation

Closeout

Final Reports

Submit Proposal

Pre-Award CostsAward

Award

Apply

Find/ExploreAdminister/Monitor(Post-Award Office)

Perform(Principal Investigator)

Technical Close(Principal Investigator)

Financial Close(Post-Award Office)

Funding Sources (Hundreds)

NIH

Rockefeller

AmericanHeart Assoc

Education

HomelandSecurity

Navy

Air Force

State ofCalifornia

USDA

Army

Lockheed Novartis

Pfizer

Start-Ups

NationalKidney Fdn HP

Sloan

Ford

Foreign Govts

NASA

NSF

DARPACIA

OtherUniversities

Finding Funding Opportunities

Use Your Faculty ColleaguesCommercial Funding Source databases

(free to you through Stanford subscription) Community of Science (“COS”)

www.cos.com Illinois Researcher Information Services (IRIS)

http://www.library.uiuc.edu/iris/

Call Marilou Hemingway, Office of Research Administration, at650-725-9107  for assistance

Governmental Funding Source Databases (Free)

National Science Foundation “My NSF” Servicehttp://www.nsf.gov/mynsf/

Grants.Gov “Find” Servicehttp://www.grants.gov

Pick how youwant to get and see the information

My NSF

Shows you what you

have signedup for already

See Handout!

www.grants.gov

Grants.Gov “Find”

No Engineering!Use Science and Technology

and Other R&D instead

Pick “Private Higher Educational Institution” Or “Public or State Controlled Institutions of Higher Education

Sample Email Alert

Proposal Writing Tips

Proposal Writing Tipshttp://www.stanford.edu/dept/ORA/osr/sponsor.html

146

Characteristics Of Funded Proposals

Innovation Relevance Uniqueness Demonstrated Competence Adequate Resources Complete Literature Search Absence of Jargon Realistic Budget and Justification Time Schedule Enthusiasm

See Handout

General Timeline

Proposal Development 1-6 months in advance of due date(more for highly complex projects)

Proposal Doc Preparation 1-2 months in advance of due date

Proposal Internal Submission 1-2 weeks in advance of due date(extra time if cost-sharing, special approvals for space, release time, etc. needed). (Stanford asks for a minimum of 3 days)

D Day PROPOSAL SUBMITTED BY INSTITUTION!!!! Much alcohol consumed

Acknowledgement by Sponsor Instant (electronic submissions) – several weeks

Priority Score or Other Indication Industry sponsors (1 day to 2 months) of Success Foundation sponsors (1-4 months) NSF (5-6 months)

NIH (8-9 months)

Award Prepared by Sponsor 2 weeks – 4 weeks before start date

Award Start Date AWARD ISSUED!!!! More alcohol consumed-- may need to be negotiated, reviewed, and returned-- simple awards accepted within a week or so; more complex ones can take up to several months-- some don’t arrive on time-- account setup can take 1-2 weeks

The Regulatory Pyramid

IndividualGrant/Contract Terms

University Policies

Sponsor-Specific Policies

Federal Policies

Research Policy Handbook

NIH, NSF etc. Grants Policy

A-21, A-110

Your award

Fiscal Fundamentals

Who is responsible for:

Technical Progress(PI)

Financial Status(PI)

Administrative Oversight(PI)

Errors caught quickly can usually be fixed with minimal hassle

Fiscal Fundamentals

– ALLOWABILITY: Allowable and unallowable costs are defined in OMB A-21 and in the terms and conditions of specific awards.

ALLOCABILITY: Only those expenses which benefit a project may be charged to that project.

REASONABLENESS: Costs must reflect what a “prudent

person” would pay.

CONSISTENCY: Costs must be handled consistently

across the University.

Know Your Terms and Conditions

Comply withterms & conditions

of your award

•Allowability of expenses

•Pre-approvals•Decrease in PI/key personnel effort more than 25%

•PI leave project for 3 months or more

•Change in scope

•Change in dollars needed

•Change in time needed

•Reporting requirements

communicate….document…communicate…document

Proposing Effort

No one has more than 100% effortAdjust levels of commitment to reflect realityProposed versus awarded

COMMITTED effort must be BUDGETEDEither charge to the sponsor or cost share (salaries may not be cost shared in School of Medicine)

When effort is committed, awarded and expended, salary must be

directly charged or charged to a cost sharing account.

Managing Subawards

Select appropriate subrecipients Obtain signed subrecipient proposal for

inclusion in Stanford’s proposal Ensure work does not begin without a signed

subaward or appropriate alternative arrangement

Actively monitor technical progress Review and approve invoices based on

technical progress and appropriateness of cost

Assist in audit or compliance reviews

Early Accounts

Obtain a PTA (account number) before the award arrives Department provides a “guarantee” account

Useful when: Agency’s paperwork is delayed beyond the official start date You want to begin spending before the official start date (and

agency approves) Benefits

Charge costs to the right place the first time (avoid transfers later)

Properly track expenses Avoid allocability questions

Open anEarly account

when an award is delayed.

Late Expenses/No Cost Extensions

Late-in-period equipment acquisitions will invite sponsor and audit scrutiny - document carefully

Expenses may NOT be charged after a project end date, unless: the cost is for something that was acquired and consumed

within the project period, OR you have written permission from the sponsor

You or your subrecipient need more time? If you have money left, ask for a No-Cost Time Extension

(generally, 30 days before end date).

Get a no-cost

extension if you need more time at

the end.

Equipment

Expenditures for general-purpose equipment usually require pre-approval

Look for terms concerning Equipment title Joint funding Equipment fabrication

Acquire, use, track and dispose of equipment

in an authorized manner

Project Completion and Record Retention

Submit ALL required reports in a timely manner

• Technical • Inventions

• Final equipment inventories

• Final financial reports

Keep records for a minimum of 3 years from closeout (can be longer if circumstances require)

• Scientific • Financial

Submit all reports

on a timelybasis