You & Your Proposal101

Carly L. Cummings, PhD, CPRAAssistant to the Dean of Research

Introduction

• My background• Overview– Proposal submission policies and

procedures

• Goals– Get basic understanding of policies and

procedures– Know how A&S can help

About Me

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About Me (cont’d)

Oregon Health & Science University

PhD Student, Virology research

Castleton State College

Assistant Professor of Biology, E. coli research

About Me (cont’d)

Washington, DC

American Association for the Advancement of Science (AAAS)

Managed peer review: Proposal review, Programmatic review

National Academy of SciencesS&T Policy Fellow: Federal

policies, Consensus building, Writing, Editing

About Me (cont’d)

Mississippi State University

Assistant to the Associate Dean of Research, College of Arts & Sciences

Pre-Award Research Administration

Instructor, Department of Biological Sciences

Goals• Overview of policies and

procedures for grant proposal submission• MSU• Federal

• Know who to contact• Players

• Necessary forms

• Timing

Before we get started…• Acronyms– ORED: Office of Research and Economic

Development– SPA: Sponsored Programs Administration• Pre-award research administration

– SPAcc’ting: Sponsored Programs Accounting• Post-award research administration

– Others??

So, you need funding…

• How much $ do you need?• External Sources– Federal

• http://grants.gov/ (Register to receive emails)• Agency-specific announcements–RSS feeds, emails, etc.–Request For Proposal (RFP), RF Application

(RFA), Broad Agency Announcement (BAA), Program Solicitation, etc.

– State http://mississippi.grantwatch.com/

• Agency-specific announcements

– Foundations• Alex McIntosh – Director of Development for

A&S• Personal relationships

$$$$$$

$

So, you need funding… (cont’d)

• Internal Sources - College of Arts & Sciences*• Henry Family Research Fund (HFRF; Spring 2015)

– In the past there have been 3 programs:» Initiation: within 2 years of MSU employment»Bridge: funds between externally funded grants» Jumpstart: major shift in research focus

–Must submit an external proposal• Academic Excellence (ACADEX; FY15 DEPLETED)

– 1 trip to a professional meeting to present results/fiscal year»Dept must provide at least 50% of what is

requested from A&S»At least $500 must be requested from ORED

• Ex. $1500 of total expenses: $750 from ORED, $500 Acadex, $250 from department

Prio

rity

http://www.research.msstate.edu/funds/

So, you need funding… (cont’d)

• Internal Sources - College of Arts & Sciences (cont’d)

• Northeast Mississippi Daily Journal Undergraduate Research Awards (NEMDJ)–A&S majors– $500 maximum for project support

»Up to $250 of this can be used for travel support

– 4-5 awards–Deadline: Nov. 14, 2014

• A&S Humanities and Arts Research Program (HARP)–Research and/or scholarly activities–October announcement

So, you need funding… (cont’d)• Internal Sources - College of Arts & Sciences

(cont’d)• Graduate Student Travel Support

–New this year!–Graduate student MUST present a paper or poster

at the meeting for which travel is being supported– 1 request per graduate student per academic

year will be considered–A&S maximum contribution: $400–Department must commit to at least 50%

departmental match to College’s funds–Application form – see handout–Deadlines:

» Aug 1 – Sep 30 for travel during Nov 1 – Feb 28/29 » Dec 1 – Feb 15 for travel during March 1 – June 30» April 1 – Jun 1 for travel during July 1 – Oct 31

So, you need funding… (cont’d)

• Internal Sources - Office of Research and Economic Development (ORED)

• Cross-College Faculty Grants (http://blogs.msstate.edu/ored/)

– $2,000/award for 1 year; renewable one time– Must submit an external proposal within 12 months– Oct. 17, 2014 deadline– http://

www.research.msstate.edu/rresources/news.php?id=3623 • Southeastern Conference Visiting Faculty Travel Grant Program*

– Collaboration between SEC universities– $2,500 for transportation, room, board, etc. to travel to another

SEC campus– Stay tuned for next year (Sept. 12, 2014 deadline)– Travel between Oct. 1, 2014 and June 30, 2015– Up to 4 from MSU– http://

www.msstate.edu/web/temp/newsfiles/2014-2015%20SEC%20Travel%20Grant%20Application.pdf

So, you need funding… (cont’d)

• Other resources– Networking– Professional Organizations–Web searching

• Keywords with “funding opportunity” or “grant”

– Emails from College/University• Fuller Grant Updates (weekly)• Research Development and Grant Writing monthly

newsletters

– Grants Resource Center: http://www.aascu.org/grc/ • Grant Search option (upper right)• Login: mississippisu, password: grants• ORED seminars on Oct. 29 and 30

I found a potential source of $, now what?

• Who is involved? Me Your Business Manager? Your Department Head Your Associate Dean of Research

• Dr. Giselle Thibaudeau (Interim)Sponsored Programs Administration

• Pre-award• They will review your budget and submit

your proposal• On behalf of MSU, not as an individual

• See roster*

I found a potential source of $, now what (cont’d)?

• Read the RFP/RFA/BAA/solicitation - carefully– Key words, areas of interest, budgetary restrictions,

preparation guidelines (e.g., formatting restrictions), eligibility

– Provide this to those involved

• Contact Program Officer when prepared– Brief email summarizing project– Follow up phone conversation – be sure to listen!– Good match??

• Write the proposal– Use sponsor’s words; write to RFP

• Budget & budget justification – do this EARLY • Internal Approval Sheet (MSU)

“I’m a _____, not an accountant”: Budget Tips

• SPA’s resources: http://www.spa.msstate.edu/budgeting/

– Check back often - rates change (fringe benefits %, graduate student tuition & insurance, indirect cost %)

• Form–My template*– Or http://www.spa.msstate.edu/forms/ (other forms

here, too)• NSF style, 1 year/page

Budget Basics - Categories• MSU Personnel (collaborators are separate)– List name and amount of time devoted to project• % or person months*

–Academic year or summer months (9 mo. employees)

–Calendar months (12 mo. employees)

– Students• Grads require tuition and insurance

–Unless on wages (an option for the summer)• Hourly wages for undergrads

– Fringe rates* • Estimates • Unenrolled v. enrolled students

Budget Basics – Categories (cont’d)

• Travel – recall that these are estimates– Project-related conferences, project review

meetings, data collection, etc.– Domestic v. international – list separately– Itemized (airfare, lodging, meals, etc.) if required

by the sponsor– For budgeted project personnel (not outside folks)– Calculations

• Per diem rates vary: http://www.travel.msstate.edu/hcma/plhcma.php

• Mileage: http://www.travel.msstate.edu/mileage/announcement_2014_01_01.pdf

– Conference registration fees are NOT travel costs at MSU• Contractual costs

• Equipment– Very specific definition• Nonexpendable• Tangible• Useful life >1 year• $5,000+/ unit

– Is it, or is it not??• $2,000 computer to run a piece of lab

equipment?• $9,000 computer software?• Surgical equipment?• $10,000 of materials, each piece costing

$2,000?

Budget Basics – Categories (cont’d)

• Other Direct Costs–Materials and Supplies– Publication charges– Other• Graduate Student Tuition

– # of months of stipend support = # months of tuition– A&S uses 100% rate (tuition + fees)– Excluded from F&A/Indirect Costs calculation

• Graduate Student Insurance– Same # months as tuition– NOT excluded from F&A/Indirect Costs calculation

– Contractual charges

Budget Basics – Categories (cont’d)

• Materials and Supplies– A.K.A. commodities– Items to be used for

the project• Ex: chemicals to be

used for experimentation

• Ex: printer paper for a research survey

• Ex: computer to run a piece of lab equipment

• Contractuals– Services to be

performed by another entity for the project• Ex: 3rd party vendor

to perform DNA sequencing

• Ex: evaluator to assess effectiveness of education program

– Conference registration fees

– Travel for external folks– Subaward

Budget Basics – Categories (cont’d)

• Collaborator from another institution?– Subaward (A.K.A. subcontract)– They need to prepare a separate budget and

budget justification• A line item on your budget

– MSU paperwork to be completed prior to proposal submission• SAF-03

– Indicates approval from their institution– Includes Statement of Work (SOW), and an

approved budget and budget justification

Budget Basics – Categories (cont’d)

Mechanics of Building a Budget

• Financial picture of project– Needs to match project narrative

• What can I charge? (the rules)– All costs budgeted must be• Reasonable, allocable, consistent, allowable

(OMB)

– All costs budgeted should be viewed in relation to the project and its needs• Time, travel, supplies, etc.

– Your specific RFP may prohibit or require certain classes of expenses - Read carefully!

Costs: Direct vs. Indirect

• Direct Costs– Costs that can be identified specifically

with a particular sponsored project• Indirect Costs– A.K.A. Facilities & Administrative Costs

(F&A), Overhead– Costs that are incurred for common or

joint objectives and therefore cannot be identified readily and specifically with a particular sponsored project

Direct Costs

• Examples:– Salaries– Fringe – Travel– Supplies (Commodities)– Contractuals/Services/Subcontracts– Equipment

Indirect Costs (F&A)• Facilities– Depreciation and use allowances– Interest of debt associated with certain

buildings– Equipment and capital improvements– Operation and maintenance expenses– Library expenses

• Administrative– General administration and general expenses

• University-wide offices: President’s office, General Counsel, etc.

– Departmental administration– Sponsored programs administration

Indirect Costs (F&A) (cont’d)

• Negotiated with a federal agency• Types of rates*:– Research on campus: 45.5%– Research off campus: 26.0% ??– Instruction on campus: 50.0%– Instruction off campus: 26.0%– Other sponsored activities on campus:

27.2%– Other sponsored activities off campus:

22.8%These are REAL costs to the university – always a loss

Indirect Costs (F&A) (cont’d)

• ORED Model of F&A split (OP 80.12)• 44% of F&A to General Fund• 19% to ORED• 37% to College• If no collaborators: 32% to department, 5% stays

in A&S• If collaborators: 75% of this goes to originating unit

(PI) and 25% to collaborating unit(s) (Co-PIs)• Starting place for negotiations between unit

heads• CVM and MAFES have different models• Why it is important to think about the Fund Type and

a Child Account on your IAS as well as including language regarding F&A split when you are a co-PI

Basic Principles of Costing(a.k.a. the “Rules”)

• Reasonable • Allocable • Consistent • Allowable

What’s the big deal??

Reasonable

• Prudent person test–Whether the individuals involved acted with

due prudence– Generally recognized as necessary– Complies with Federal and State laws and

regulations– Consistent with institutional policies and

procedures– Type of airfare, car rental choice, food

choices, etc.

Allocable

• To be allocable…– Expenses are incurred solely for the

project, OR– Expenses benefit both the project and

other work in a proportion that can approximated• Split purchases are allowed

Consistent

• Costs must be given consistent treatment– Cannot charge the same type of cost

both directly and indirectly when it is incurred for the same purpose and circumstance• Example: administrative costs, office

supplies• Never ever???

Allowable• The cost must conform to any

requirements, limitations, etc. put forth by all of the following:– OMB Uniform Guidance – new policies take

effect 12/26/14– Sponsor guidelines– Award document– Institutional policies

• Allowability criteria apply to both direct and F&A costs– Ex.: Sponsored Programs expenses are not

allowable as a direct cost, but are allowable as an F&A cost

Allowability as a direct cost

• Can I charge a computer to my project?– It depends!• Yes – if being used in a programmatic

way–Needs to be connected to a scientific piece

of equipment for data collection–Computer needed to run simulations,

analyze data, etc.–No longer necessary to be used SOLELY for

a particular project

Allowability as a direct cost (cont’d)

• Can I charge office supplies to my project?– Typically no, due to lack of allocability – However, they are allowable when in

unlike circumstances• Used in a programmatic way:

conference materials, pamphlets, surveys, etc.

Allowability as a direct cost (cont’d)

• Can I charge my administrative assistant to my project?– Yes, if performing duties outside of their

regular duties (new)• Coordinating large numbers of collaborators

or participants

Cost share• Anything necessary for the completion of

the project that is not paid for by the sponsor– Departmental funds to pay for graduate student,

course release time, F&A restrictions, etc.• Cash or in-kind• Committed – must be tracked (specific dollar amounts

mentioned)– Involuntary: Required by sponsor (committed in

proposal)–Voluntary: Not required, but committed in the proposal

»Highly discouraged»No longer allowable for federal agencies

• Uncommitted – not tracked– General project support mentioned (NO dollar amounts)

Cost share (cont’d)

• As PI, do I have to charge my time to the project?– No, BUT your time will be cost shared, and some

portion of it must be committed cost share and tracked• This will also be noted on the Internal Approval Sheet

– Internal tracking – not necessarily submitted to sponsor

– 2% minimum time + associated fringe benefits and F&A on these charges

• OMB rule

• Cost share accounts are 80 funds, in parallel with the 30 fund– Same org and project #s

Allowability of Cost Share Expenses

• The sponsor does not allow me to charge F&A on the project. – Is this cost share? – Yes, needs to be noted on the IAS

• I have two related federal projects. Can I use my NSF funds as cost share for my USDA project?– Federal funds cannot be used as match

for federal projects

Internal Approval Sheet• MSU purposes only – WHY??– Necessary to complete whenever submitting a

budget to a sponsor

• Instructions and form on SPA’s website*• Walk through form– Every MSU participating faculty member must be

listed and signatures gathered (You, DH, Dean)

• Timing– SPA requires 3 days prior to submission to review

along with the budget, justification, and summary– A&S requires 2 days in advance of SPA, so 5 days

in advance of submission deadline

Internal Approval Sheet• Important considerations– Fund type

• A&S always uses a 30 account (restricted) when we are PI on a project and for child accounts– Fund-Org-Program: 303434-036300-021000

• Determine how F&A is split with collaborating unit– Include this language in the Special Instructions section of

the form

– Credit • Home unit for individuals, based on % effort in Personnel

section• Fiscal unit receives credit for entire $ amount of proposals

– Child accounts when collaborating with other MSU units• VERY important to consider• F&A will follow the child account

Other Considerations

• Financial Conflict of Interest (FCOI) regulations– Public Health Service (NIH, CDC, FDA, etc.)– Prior to submission to PHS agencies:• On-line training (good for 4 years)• Disclosure form* filed with ORC (good for 1

year)– Even if NO FCOI

Other Considerations (cont’d)

• Using animals? – Institutional Animal Care and Use

Committee (IACUC)– Protocol(s) approved prior to receiving

funding, but pending is OK for submission• Online training (good for 4 years)

• Human subjects?– Institutional Review Board (IRB)– Same as IACUC as far as protocol approval– On-line or live training (good for 3 years)

Check appropriate boxes on IAS

Other Considerations (cont’d)

• Institutional Biosafety Committee– Hazardous materials– Bloodborne pathogens, rDNA (NIH) training– Same process as IACUC and IRB– Boxes on IAS

• Responsible Conduct of Research (RCR)– Ethics– Complete on-line training before release of

NSF, NIH, and NIFA (USDA) awards (15 minutes)

• Office of Research Compliance: http://www.orc.msstate.edu/

How to Submit?• *Grants.gov

– Portal for all Federal agencies– Cayusse424 – new! (1/11/14, 2-3 pm, Giles Computer

Lab, Library)– Agencies have ‘pick up’ sites

• eRA Commons ID from SPA for NIH• NSPIRES ID for NASA

• *NSF FastLane– Portal for NSF– Need FastLane ID from SPA– Grant Preparation Guide (new one to go into effect in

Jan. 2014 – stay tuned!!)– Need to grant SRO access to proposal

• Email to specific person– Communicate with SPA re: who will submit

* SPA ALWAYS submits these!!

NSF FastLane• Lots of parts (See GPG for guidance)

Helpful Hints• NIH– All About Grants: Tutorials and Samples

• http://www.niaid.nih.gov/researchfunding/grant/pages/aag.aspx

– Strategy for NIH Funding• http://www.niaid.nih.gov/researchfunding/grant/strategy/pages/defaul

t.aspx

– Modular (versus detailed) budget when total direct costs (excluding F&A) are $250,000 or less/year

• NSF– Grant Proposal Guide

• http://www.nsf.gov/publications/pub_summ.jsp?ods_key=gpg

• Very detailed formatting of submitted components

– FAQ:• http://www.nsf.gov/pubs/gpg/faqs.pdf

Available Templates• Budget spreadsheet• Budget justification• NSF– Biographical sketch (biosketch)– Current and Pending Support (C&P)

• NIH– Biosketch– (C&P, if awarded)

Email me for electronic versions

Contact Information

Carly Cummings325-2679

ccummings@deanas.msstate.edu208 Allen Hall

If I cannot be reached, please call 325-7095