developing and submitting your proposal sponsored programs administration 2012 research seminar...
TRANSCRIPT
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
Funding
Developing and
Submitting your Proposal
Regulatory Compliance
for Sponsored Projects
Award Receipt,
Acceptance and
Management
Financial Post Award
Management
Award 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 Policy
IHL 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 DOCUMENTS
The 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 – 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, [email protected]
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, 2011
2:00-4:00
CAVS Seminar Room
Regulatory Compliance
October 24, 2011
11:30-1:00
CAVS Seminar Room
Award Process
January 30, 2012
11:30-1:00
CAVS Seminar Room
I Have My Award, Now What?
February 27, 2012
11:30-1:00
CAVS Seminar Room
Myth Busters:
Tackling Your Tough Questions
March 26, 2012
11:30-1:00
CAVS Seminar Room
hhtp://www.tfaforms.com/191959