GRANTS WORKSHOPPART I

Magui Cardona & Marc Lennon

Office of Sponsored Research

www.ubalt.edu/grants

Workshop Outline

• Searching for funding opportunities

• Reading the RFP & interpreting agency guidelines

• Proposal development

• Budget development

• Institutional routing & approval policies

• Proposal submission

• Peer-review & resubmission

Why get grants?

• Enables your research project

• Allows you to maintain a reduced teaching load through buyouts

• May provide summer salary, student assistants & travel funds for research work

• Ultimately leads to more publications, increasing your tenure potential

Grant Life Cycle

Types of Funding Agreements

• Procurement contract – The principal purpose is the acquisition of goods & services for the direct benefit of the government

• Grant agreement – The principal purpose is the transfer of funds to recipients to carry out a public purpose (research)

• Cooperative agreement – Like a grant, but with substantial government involvement

SEARCHING FOR FUNDING OPPORTUNITIES

How to identify a funding agency?

• Search databases or agency websites (see supplemental materials for a complete list)

• Search the literature in your field for funding sources acknowledged

• Identify the agency’s mission– Review other proposals funded by them– Ask yourself, “Do my research interests fit with

their mission?”

Primary Grant Search Sources

• Grants.gov

• IRIS (Illinois Researcher Information Service)

• Maryland Governor’s Grants Office

Grants.gov

• Central web portal for all Federal government-wide grant opportunities

• Registration is not needed to search for grants on Grants.gov

• Multiple Search Options are available

• Tips for managing and understanding search results

Grants.gov

Grants.gov Search Options

• Basic Search

• Browse by category

• Browse by agency

• Advanced Search

• Email/RSS Subscription

• Browse New Opportunities This Week

Grants.gov: Basic Search

• A Keyword search alone usually results in a large list of unrelated funding opportunities

• Basic Search is useful if you have a specific :– Funding Opportunity Announcement (FOA) #

and/or – Catalogue of Federal Domestic Assistance

(CFDA) #

Grants.gov: Browse by Category or Agency

• Lists all available funding opportunities for certain research categories and funding agencies

• Usefulness varies by category and agency– Results for popular categories and larger agencies

can be voluminous

Grants.gov: Advanced Search

• Combines functions of other Grants.gov search options

• Additional Advanced Search criteria also include:– Closed & archived funding opportunities– Open Date– Eligibility of Institution

Grants.gov: Email/RSS Subscriptions

• Receive notifications of new grant opportunity postings and updates via email or RSS feed. Options include:– Grants.gov updates– All grant notices– Grant notices based on your selected criteria– Grant notices based on FOA #

Grants.gov: New Opportunities This Week

Grants.gov: Sorting Search Results

• Open date (default)

• Close date

• Relevance (only for keyword searches)

Grants.gov: Understanding the Opportunity Synopsis

• Change Notification Email• FOA#• Closing Date• Award Ceiling/Floor• Cost Sharing or Matching Requirement• Eligibility• Name of Funding Agency• Description• Link to Full Announcement

Illinois Researcher Information Service (IRIS)

• IRIS Database

• IRIS Alert Service

• http://www.library.illinois.edu/iris/

IRIS Database

• Over 9,000 active funding opportunities

• Federal, foundation, and corporate sponsors

• Opportunities in sciences, social sciences, arts & humanities

• Student fellowships & scholarships

• Multiple search criteria

IRIS: Searching the Database• Search fields include:

– Sponsor

– Title

– Deadline

– Abstract

– Keywords

• Qualifiers include: – Activities Supported

– Citizenship

– Sponsor Type

– Academic Qualifications

– Restrictions

• Start broadly and use search options to narrow results as needed

• Use quotation marks around search phrases• Keyword Thesaurus is available

IRIS Alert Service

• Email/web-based service that provides regular search results from the IRIS database according to a user profile

• Individual profiles allow customized settings that include:– Search frequency– Delivery method (e-mail or Web)– Research interest related keywords

IRIS: Tips for Selecting Keywords

• Keyword Thesaurus is arranged hierarchically

• Starts broadly and becomes more specific

• Indentation indicates specificity

• More-specific keywords cancel out less-specific keywords

Maryland Governor’s Grants Office

• Website lists all open grants available from the State of Maryland

• http://grants.maryland.gov/Pages/find.aspx

READING THE RFP & INTERPRETING AGENCY GUIDELINES

The Typical Request for Proposals

• Summary of Program Requirements

• Proposal Preparation and Submission Instructions

• Proposal Review Information & Criteria

• Award Administration Information

Summary of Program Requirements

• Program description – supports agency goals

• Contact information for questions

• Catalog of Federal Domestic Assistance (CFDA) Number

• Award information– Anticipated type of award – grant, contract, etc.– Funding availability – indicates how competitive

• Eligibility Requirements– Individual & institutional

Proposal Preparation and Submission Instructions

• Are letters of intent required or encouraged?• Are preliminary proposals allowed?• What sections should the proposal include?

– READ instructions carefully!

• Budgetary information– Is cost sharing required?– Are there any budget limitations, floor or ceiling?

• Due Dates – usually 5:00 pm local time

Proposal Review Information & Criteria – NSF

• Intellectual Merit– Relevance to the discipline

• Broader Impacts – Relevance to other disciplines and society at large

• Integration of Research & Education

• Integrating Diversity into NSF Programs, Projects & Activities

Proposal Review Information & Criteria – NEH

• Intellectual significance of the project

• Pertinence of the research question and appropriateness of methods

• Qualification of PI

• Soundness of the dissemination and access plans

• Potential for success

Proposal Review Information & Criteria – NIH

• Significance

• Investigator(s)

• Innovation

• Approach

• Environment

Award Administration Information

• Awards terms & conditions– Awards are made to the institution, not the PI– Substantial changes to the SOW or budget require

prior approval

• Reporting Requirements– Technical reports – typically once a year by PI– Financial reports – quarterly by grant accountant

PROPOSAL DEVELOPMENT

Writing your Proposal

• Write clearly and concisely– Use short, declarative sentences– Avoid complicated words, jargon & abbreviations

• Write for an informed generalist, not a specialist in your field

• Do not leave anything to interpretation– Describe how you will address any weaknesses

• If reviewers don’t understand your proposal, they are unlikely to recommend it for funding– It is both about substance & marketing

Typical Proposal Sections

• Abstract/Summary• Objectives/Specific Aims• Background/Literature Review• Significance• Research Design/Methodology• Preliminary Results, if available• Qualifications of the PI• Institutional Resources• Budget

Abstract/Summary

• No more than one page, sometimes less– Needs to be informative and brief– Most important marketing tool in your proposal

• Describe the problem or question

• Propose a solution

• List specific activities you will undertake

• Describe the expected outcomes

• Explain the significance of the work

Objectives/Specific Aims

• Briefly describe your long-term research agenda, beyond this proposal

• Enumerate the specific goals for this proposal

• Each goal should be tied to specific activities– Are they sequential or parallel?

• Describe the expected outcomes of each activity

Background/Literature Review

• What is known about your research topic?– Ensure you are aware of the most current

literature on the subject

• What is the gap your research proposal will help fill?

Significance

• Why is your work important?– Intellectual Merit or Relevance

• What will be the return on investment if the proposal is funded?– Broader Impacts

Research Design/Methodology

• Describe in detail your research design & methodology– What will you do?– How will you do it?– What could go wrong? How will you deal with it?– What results do you expect? What will they

mean?

• Include a time table and justify your approach

Preliminary Results

• Only include if you have unpublished data of your own– Describe the relevance of the data to your

research objectives– Interpret the results for the reviewers

• Preliminary results aide in showing likelihood of success

PI Qualifications

• Highlight special qualifications or expertise

• Explain how you will deal with any existing knowledge gaps– Collaborators– Additional training

• Include references to relevant publications

Institutional Resources

• Need to be specific, but only list relevant resources

• Talk about institutional environment for research

• Include letters of collaboration, if applicable

BUDGET DEVELOPMENT

Grant Budgeting Overview

• Cost Principles inform budget decisions

• The elements of a budget

• Budgeting Tips

OMB Circular A-21

• Part of Federal Administrative Regulations

• Establishes cost standards for all sponsored agreements awarded to educational institutions

A-21 Cost Standards

• Reasonable

• Allocable

• Consistently treated

• Allowable

Cost Standards: Reasonable

• Would a prudent person incur the cost based on the nature of the goods/service and the dollar amount?

• Cost must be necessary for the performance of the project

• Cost must be consistent with University policies

Source: OMB Circular A-21, Section C.3.Reasonable costs.

Cost Standards: Allocable

• Costs charged to a sponsored project must benefit that project

• Costs can be charged to multiple projects based on proportional benefit

• Costs may not be shifted to other sponsored agreements for convenience

Source: OMB Circular A-21, Section C.4.Allocable costs.

Cost Standards: Consistent Treatment

• Consistency in estimating, accumulating, and reporting costs

• Consistency in allocating costs for the same purpose

Source: OMB Circular A-21, Section C.2.Factors affecting allowability of costs.

Cost Standards: Allowable

• Costs must be reasonable, allocable, and treated consistently

• Costs must conform to the sponsored agreement

Source: OMB Circular A-21, Section C.2.Factors affecting allowability of costs.

Elements of a Budget• Direct Costs

– Personnel– Travel– Equipment– Consultants– Subagreements– Supplies and other direct costs

• Indirect Costs aka Facilities & Administrative (F&A) Costs

Direct Costs vs. Indirect Costs• Direct Costs – costs that are specifically

identified with a particular project or that can be assigned to a project relatively easily and with a high degree of accuracy (i.e. salary)

• Indirect Costs (F&A Costs) – costs that are incurred for common institutional objectives and that cannot be readily and specifically identified with a particular project (i.e. electricity usage)

Source: OMB Circular A-21, Sections D.1. and E.1

Personnel

• Personnel Types– Faculty– Regular Staff– Contingent Employees– Student Assistants

• Fringe Benefits

Personnel - Faculty• Course Buyouts

– Grant funding can be used to “buy out” teaching responsibilities for a course (with Dean and Chair approval)

– 10% of effort is budgeted

– Fringe Benefits calculated at the Faculty rate

• Overload Pay– Up to 20% of effort allowed in addition to regular faculty responsibilities

– Fringe Benefits are calculated at the Contractual Employee rate

– Generally not permitted on Federal grants

• Summer Salary– Maximum of two months at 120% of base pay permitted

– Fringe Benefits are calculated at the Contractual Employee rate

– Generally permitted for Federal grants only to the 100% level

UB Policy on Grant Sponsored Research:

http://www.ubalt.edu/policies/index.cfm?page=84

Personnel – Staff

• Regular Staff– Time calculated as a percentage of effort – Administrative staff cannot be charged to a

sponsored project unless duties are project specific

Personnel - Contingent (Contractual) Employees

• Type I– Agreement for less than 6 months

• Type II– Agreement for 6 months but no more than 12

consecutive months– Some limited benefits

Personnel – Student Assistants

• Graduate Assistants– Yearly stipend (rate set by Dean’s Office)

– Tuition reimbursement budgeted to grant (in-state rate)

– No fringe benefits budgeted

– Research-related work must make up a minimum of 70% of duties (No more than 30% clerical)

• Student assistants– Contingent I contract

– Typical rate between $10-$15 per hour

– Fringe benefits must also be budgeted

Personnel – Fringe Benefits

• Calculated as a percentage of salary charged to grant

• Rates– Faculty 27%– Managerial (Exempt Staff) 30%– Administrative/Support Staff (Non-exempt) 44%– Part-Time Employees (Contingent) 8%– % of Full-Time/Visiting Specialist 27%

Travel• Calculate based on # of people and # of days

• Items to consider– Airfare

• Fly America Act

– Ground transportation

• Current mileage rate is $0.50 per mile (State Rate)

• Taxi, train, bus, light rail, etc.

– Hotel accommodations

• Maximum Federal rates, http://www.gsa.gov/portal/category/21287

– Meal per diem

• National: UB Policy is to use MD rates, http://www.ubalt.edu/template.cfm?page=1131

• International: Federal Rates, http://www.gsa.gov/portal/category/21287

– Registration fees

Equipment

• UB’s threshold for property to be considered equipment is $500

• Items under $500 should be budgeted as project supplies

Subagreements vs. Vendors• Subagreement

– Partner provides intellectual merit

– Partner participates in programmatic decision making for a project

– Agreement negotiated by UB Office of Sponsored Research

– Portions of individual subcontracts in excess of $25,000 are excluded from F&A cost calculations on projects using an MTDC base (entire agreement excluded from Federal rate)

• Vendor– Primarily for goods and services

– Intellectual merit is not contributed

– Contract negotiated by UB Office of Procurement and Materials Management

Consultants

• Provide specialized expertise necessary to accomplish project goals

• Do not provide intellectual merit to the project• Type of vendor• Typically an individual • Typically costs are based on an hourly or daily

rate, plus expenses

Supplies and Other Direct Costs

• Must be used specifically for the performance of the specific sponsored project

• Items to consider– Project related office supplies

– Telephone

– Publication and Printing costs

– Computer Services

– Software

– Space rental (for off-campus projects only)

– Other Miscellaneous project related costs

Indirect Cost Rates – FY11

Sponsored Research Programs On-Campus Off-Campus

Federal Grants/Contracts 43% S&W 25% S&W

State Government – General 15% MTDC 15% MTDC

State Government - Schaefer Center 25% S&W 15% MTDC

Local Government 15% MTDC 15% MTDC

Private/Corporate 50% MTDC 25% MTDC

Non-Profit/Foundations 15% MTDC 15% MTDC

S & W = Salaries & Wages (does not include fringe benefits)

MTDC = Modified Total Direct Costs

Budgeting Tips

• Build your budget in a Spreadsheet– Templates are available

• Utilize formulas for calculations– AutoSum

• =SUM(A1+B1…)

• =SUM(A1:A20)

– Rounding• =ROUND(A1*B1,0)

INSTITUTIONAL ROUTING & APPROVAL POLICIES

Why Approval?

• Signatures indicate that the dean and division chair are aware that the faculty member has made this commitment of time, effort and resources, and that the salary and fringe benefits budgeted are sufficient to cover buyout or overload payments

• All proposals need to be approved by the Office of Sponsored Research prior to submission to sponsor

Approval Timeline

• The Office of Sponsored Research requests a minimum of three business days to ensure proper review and completion of any required forms– Especially important for Federal grant proposals– Proposals cannot be guaranteed to be submitted on-

time if advance notice is not given for proposal submissions

• Dean expects advance notice as soon as RFP is identified, at least 1 month prior to deadline

PROPOSAL SUBMISSION

Electronic Submission

• Grants.gov (NEH, NIH, others) requires institutional registration in CCR– Individual registration is only necessary for NEH

summer stipends

• Fastlane (NSF) requires PI affiliation to institution– OSR needs to create your account

• Allow additional time to deal with technical difficulties

Hardcopy Submission

• Some smaller agencies and most non-profits still encourage hardcopy submissions

• They usually require an institutional signature– PI is NOT an authorized signatory for UB– Only Provost or Director of Sponsored Research

can sign a proposal on behalf of UB

PEER-REVIEW & RESUBMISSION

Peer-Review Process

• Process varies among agencies– Useful to get experience as a reviewer

• Review may be individual or in a panel– Generally includes a limited number of reviewers– Panel members have to defend score to others

• Ultimate funding decisions come from program staff– Reviewers are there to offer recommendations but

they do not approve funding

Proposal Resubmission

• Be prepared to re-submit your proposal– Proposals are seldom funded the first time– Most agencies accept up to 3 re-submissions of

the same proposal; some limit the time elapsed

• Take reviewers’ comments seriously and address them directly and positively– NIH – same review panel looks at re-submission– NSF – different reviewers each time

Maximizing Opportunities

• Give yourself plenty of time for proposal preparation, routing and editing– 2-3 months at least

• Writing/editing assistance for faculty is available at the ALC (formerly ARC)– John Chapin, Coordinator of Writing Services

• Use your colleagues liberally!– They can tell you if your idea is good or not

Maximizing Opportunities (cont.)

• Follow RFP instructions– A lot of proposals are rejected without review for

not following instructions carefully

• Re-read your proposal 5-6 times to make sure you have addressed ALL the review criteria and there are no typographical errors

Questions?

• Magui Cardona– mcardona@ubalt.edu– 410-837-6191

• Marc Lennon– mlennon@ubalt.edu– 410-837-6199

• www.ubalt.edu/grants