Grants 101: Proposal Preparation Charmaine Robaidek Lidia Nonn Office of Grants & Research University of Wisconsin Green Bay

Grants 101:Grants 101:Proposal PreparationProposal Preparation

Charmaine RobaidekLidia Nonn

Office of Grants & Research

University of Wisconsin

Green Bay

Topics We Will CoverTopics We Will Cover

Resources for the ResearcherFunding guidelinesCompliance Intellectual PropertyBudget Roles & ResponsibilitiesRoutingWeb information that can help

Proposal Preparation Proposal Preparation TimelineTimeline

Identify Funding Opportunity

Develop Proposal

Roles and Responsibilities

Transmit Proposal to Funding Agency

•Searchable Databases •People Resources

•Web Resources

Funding Opportunities: Funding Opportunities:

Searchable DatabasesSearchable Databases

Sponsored Programs Information Network (SPIN)

Community of Science/Scholars (COS)

Grant AdvisorGrants.gov Sponsor Web Sites

People ResourcesPeople Resources

On UWGB Campus:◦Your Dean’s Office◦Office of Advancement◦Office of Grants and Research

(OG&R)◦Your Colleagues Across Campus


Web ResourcesWeb Resources

UWGB Office of Grants & ResearchNational Council of University

Research Administrators (NCURA)Society of Research Administrators

(SRA) InternationalFunding Agency


Preparation TimelinePreparation Timeline


Develop Proposal



•Guidelines •Compliance

•Intellectual Property •Budget

•Other/The Science/Everything Else

Sponsor GuidelinesSponsor Guidelines

• RFP (Request for Proposals) (NSF: Grant Proposal Guide and RPF)

• How to apply

• Application deadline (date/time/received/postmarked)

• Focus

SponsorSponsor GuidelinesGuidelines (cont) (cont)

• Applicant Criteria

• Budget: match, & amount, accepted IDC rate,

• Time period (when can funds be spent)

• Eligibility (PI, organization, project requirements)

Sponsor Guidelines Sponsor Guidelines (cont) (cont)

Application Instructions Application Instructions

Number of pagesFont size/styleMarginsOutlineSubmission Details

(number of hardcopies and/or electronic submission)

Guidelines Guidelines University RequirementsUniversity Requirements

• Principal Investigator (PI) status

• Conflict of Interest (Outside Activity Report and Financial Disclosure Form)

• Time and Effort Requirements

• Budget (salary, fringe benefit rates provided by UWGB Controllers Office)

• Clearances

• EST (Extramural Support Transmittal Form)

Federal RegulationsFederal RegulationsOffice of Management and Budget

(OMB) Circulars ◦ Cost Principles: A-21, for Educational Institutions◦ Administrative Requirements: A-110, for grants and agreements with

institutions of Higher Education, Hospitals, and Other Non-Profit Organizations ◦ Audit Requirements: A-133, States, Local Governments, and Non-Profit

Organizations

Code of Federal Regulations◦ codification of the general and permanent rules published in the Federal

Register by the executive departments and agencies of the Federal Government.

Bayh-Dole ◦ In 1980, the Congress passed P.L. 96-517, Amendments to the Patent and

Trademark Act, commonly referred to as the "Bayh-Dole Act”. Under this law, title to inventions made with government support is provided to the contractor if that contractor is a small business, a university, or other non-profit institution. The legislation is intended to use patent ownership as an incentive for private sector development and commercialization of federally funded research and development (R&D).

ComplianceCompliance

Human SubjectsAnimal UseConflict of Interest (Federal

Disclosure Form and Outside Activity Report)

Export ControlNSF Responsible Conduct in

ResearchNIH Responsible Conduct in

Research

Intellectual PropertyIntellectual PropertyPublicationsData OwnershipCo-minglingCopyrightInventions & Patents



Develop Proposal



•Guidelines •Compliance

•Intellectual Property •Budget

•Other/The Project/Everything Else

Proposal DevelopmentProposal Development

Budget◦Budget Building Tools◦Direct Costs vs. Indirect Costs◦Budget Narrative◦Subcontract vs. Vendor◦Cost Share/Matching Commitments

Budget Building ToolsBudget Building ToolsSpreadsheets

◦ OG&R Budget Development Spreadsheet (available on

OG&R Website) Standard Spreadsheet SF424 spreadsheet Standard Spreadsheet with NIH Modular

component

◦ Sponsor provided (ex. Wisconsin Humanities Council provides its own spreadsheet on WHC website)

◦ Your own

Direct CostsDirect CostsSalariesFringe benefitsSupplies/MaterialsPublicationsEquipmentTravelConsortium/Contractual/Subcontract/

SubawardOther allowable and allocable expenses

directly related to the project

F&A CostsF&A Costs

Also called Facilities and Administrative Costs, Indirect Costs, or Overhead

Facilities and Administrative (F & A) costs are "those [costs] that are incurred for common or joint objectives and therefore cannot be identified readily and specifically with a particular sponsored project, an instructional activity, or any other institutional activity." OMB Circular A-21 Section E.1

F&A Cost Rate is Negotiated by the University with the Federal Government

Include on all grant and contract proposals (Fed and non Fed)

F&A Costs F&A Costs (From Section F of A-21)(From Section F of A-21)Depreciation and Use, Interest, Operation

and Maintenance CostsGeneral and Departmental Administration

Costs◦ Central offices (Chancellor, Business Services, Risk

Management, etc)◦ Deans’ offices◦ “Administrative and clerical staff”◦ Office supplies, postage, local telephone costs,

membershipsLibrariesStudent Administration and Services

F&A CostsF&A Costs

May be calculated based on:Modified Total Direct CostsTotal Direct CostsSalaries and WagesOther specified in the RFP

F&A Costs: F&A Costs: MTDCMTDCMTDC (Modified Total Direct Costs) is

◦ The sum of your Direct CostsLess items such as:

◦ Equipment with a useful life of more than 1 year and an acquisition cost of $5,000 or more

◦ Tuition Remission◦ For each Subcontract, the amount of their total that

exceeds $25,000◦ Rental and Lease◦ Patient Care◦ Scholarships and Fellowships

See RFP for specific exclusions.

F&A Costs: F&A Costs: TDCTDCTDC (Total Direct Costs) is

◦The sum of your Direct Costs◦No exclusions applied

F&A Costs: F&A Costs:

Salaries and Fringe BenefitsSalaries and Fringe BenefitsSalaries and fringe benefit costs are:

◦ The sum of all UW System salaries and wages◦ The sum of the associated fringe benefits

Apply the current federal negotiated rate (off site or on site rate) to salaries and fringe benefits

Apply current On Site rate if more than 50% of the activities* are performed on campus

Apply current Off Site rate if more than 50% of the activities* are performed off campus

(Activities = total project time and effort)

See the OG&R website (IDC rates) for current federal negotiated rates.

Budget NarrativeBudget Narrative Justification of the budgeted expensesExpenses must be allowableShow as much detail as possible

◦ % of effort for each person (what you list here is a commitment!)

◦ % fringe for each person◦ Travel information including rates, where, how, how

long and how many people and why◦ Specific supplies (chemicals, labware etc.) ◦ Other costs (equipment rental, vendor costs) ◦ Subcontracts/Consultants (survey instruments,

modeling, or evaluator) ◦ Indirect or F & A costs (include base, & applied rate) ◦ Total Cost (identified with matching funds provided)

Budget NarrativeBudget NarrativeProject Title Department of the University of Wisconsin-Green Bay

BUDGET JUSTIFICATION Budget Period: MM/DD/YY-MM/DD/YY

SENIOR PERSONNEL: Salaries and Fringe Benefits for faculty and staff. For each person contributing to the project, a short description of their roles and responsibilities should be included with the salary requested.

Salary

(PI) Dr. _______ is the Principal Investigator for the project. Dr. ________ will devote XX% of his/her effort during MM/DD/YY–MM/DD/YY during the project period MM/DD/YY-MM/DD/YY. The base salary for Dr. ________ is $000,000. Academic Year/Course Release Request: 1/7th of Salary/course: ($Base Salary)(0.1429)=$00,000/per course release. Summer Support Request: ($Base Salary)(0.1111)= $00,000/summer month requested.

Please include the time, effort and salary requested (academic and summer months) and for each project budget year if the project period is greater than one year. Yr1 : ($ Salary Requested)= $0,000; YR2: ($ Salary Requested)(raise of 2%)=$00,000; YR3 : ($ Salary Requested)(raise of 2%)=$00,000. Total salary requested: $00,000. Fringe Benefits

Fringe benefit rate (please use current rate) are per the UW System Cluster University guidelines and reflect the appropriate rates for the fiscal year July 1, 200X-June 30, 200X with a 0.5% projected increase for subsequent years. The fringe benefits applied for Yr1: ($Salary Requested)(0.445) = $0,000; YR2: ($Salary Requested)(0.45)=$00,000; YR3: ($Salary quested)(0.455)$00,000.

Total Salary and Fringe benefits: YR1=$00,000 YR2=$00,000 YR3=$00,000. Total YRs1-3=$00,000.

(Co-PI) Dr. _________ is the co-Investigator for the project. Dr. ________ will devote XX% of his/her effort during MM/DD/YY–MM/DD/YY during the project period MM/DD/YY-MM/DD/YY. The base salary for Dr. ________ is $000,000.

Academic Year/Course Release Request: 1/7th of Salary/course: ($Base Salary)(0.1429)=$00,000/per course release.

Summer Support Request: ($Base Salary)(0.1111)= $00,000/summer month requested.

Please include the time, effort and salary requested (academic and summer months) for each project budget year if the project period is greater than one year. Total salary requested: $00,000.

Fringe Benefits

Fringe benefit rate (please use current rate) are per the UW System Cluster University guidelines and reflect the appropriate rates for the fiscal year July 1, 200X-June 30, 200X with a 0.5% projected increase for subsequent years. The fringes applied for Yr1: ($Salary Requested)(0.445) = $0,000; YR2: ($Salary Requested)(0.45)=$00,000; YR3 : ($Salary Requested)(0.455)=$00,000. Total Salary and Fringe benefits: YR1=$00,000 YR2=$00,000 YR3=$00,000. Total YRs1-3=$00,000.

Unclassified (Administrative) Staff

Mr/s. _______ will be assisting as__________ for the project. Mr/s. ________ will devote XX% of his/her effort during MM/DD/YY–MM/DD/YY during the project period MM/DD/YY-MM/DD/YY. The base salary for Mr/s. ________ is $000,000. ($Base Salary)(%effort= $00,000 salary requested. Please include the time, effort and salary requested for each project budget year if the project period is greater than one year.

Total salary requested: $00,000.

Fringe benefit rate (please use current rate) are per the UW System Cluster University guidelines and reflect the appropriate rates for the fiscal year July 1, 200X-June 30, 200X with a 0.5% projected increase for subsequent years. The fringes applied for Yr1 : ($Salary Requested) (0.445) = $0,000; YR2: ($Salary Requested)(0.45)=$00,000; YR3 : ($Salary Requested)(0.455)$00,000.



Budget Narrative Budget Narrative (cont)(cont)B. OTHER PERSONNEL Classified Staff Mr/s. _______ will be assisting as__________ for the project. Mr/s. ________ will devote XX% of his/her effort during MM/DD/YY–MM/DD/YY during the project period MM/DD/YY-MM/DD/YY. The base salary for Mr/s. ________ is $000,000. ($Base Salary)(%effort= $00,000 salary requested. Please include the time, effort and salary requested for each project budget year if the project period is greater than one year. Total salary requested: $00,000.Fringe benefit rate (please use current rate) are per the UW System Cluster University guidelines and reflect the appropriate rates for the fiscal year July 1, 200X-June 30, 200X with a 0.5% projected increase for subsequent years. The fringes applied for Yr1 : ($Salary Requested) (0.57) = $0,000; YR2: ($Salary Requested)(0.575)=$00,000; YR3 : ($Salary Requested)(0.58)$00,000. Total Salary and Fringe benefits: YR1=$00,000 YR2=$00,000 YR3=$00,000. Total YRs1-3=$00,000. Graduate StudentsMr/s. _______ will be assisting as a graduate assistant for the project. Mr/s. ________ will devote 20 hours per week during the academic year (MM/DD/YY–MM/DD/YY) during the project period MM/DD/YY-MM/DD/YY. The current graduate student stipend is $00,000. If more than one year of support is being requested, please include a 2% stipend increase for each subsequent year. Calculate stipend for each year and provide a total for the entire project period. Total Salary : YR1=$00,000 YR2=$00,000 YR3=$00,000. Total YRs1-3=$00,000. If summer work is requested for graduate students (please include # of students, hours to be worked per week and total number of weeks per summer). When calculating their salary use the student hourly rate for fringe benefits. Please include each summer calendar year separately for both salary and fringe calculations. Fringe benefit rate (please use current rate) are per the UW System Cluster University guidelines and reflect the appropriate rates for the fiscal year July 1, 200X-June 30, 200X with a 0.5% projected increase for subsequent years. The fringes applied for Yr1 : ($Salary Requested) (0.34) = $0,000; YR2: ($Salary Requested)(0.345)=$00,000; YR3 : ($Salary Requested)(0.35)$00,000. Include summer salary requests as well but keep them separate from academic year requests since the fringe rate applied is different.Total Salary and Fringe benefits: YR1=$00,000 YR2=$00,000 YR3=$00,000. Total YRs1-3=$00,000. Undergraduate Students (please include # of students, hours to be worked per week and total number of weeks per year)#X undergraduate students will provide assistance to the project. Each student will devote 10 hours per week during the academic year (MM/DD/YY–MM/DD/YY) at a rate of $0.00/hour and will work for XX weeks during the project period MM/DD/YY-MM/DD/YY. YR1=$00,000 YR2=$00,000 YR3=$00,000. Total YRs1-3=$00,000. Fringe benefit rate (2.5%) is per the UW System Cluster University guidelines and reflect the appropriate rates for the fiscal year July 1, 200X-June 30, 200X with a 0.5% projected increase for subsequent years. The fringes applied for Yr1 : ($Salary Requested) (0.025) = $0,000; YR2: ($Salary Requested)(0.03)=$00,000; YR3 : ($Salary Requested)(0.035)$00,000.Total Salary and Fringe benefits: YR1=$00,000 YR2=$00,000 YR3=$00,000. Total YRs1-3=$00,000. Total Salaries and Fringes for all UWGB Employees = $000,000. Permanent Equipment:Single items over $5,000/unit (computers are not considered equipment) must be listed.Total Equipment Costs: $00,000

Supplies and Expenses:

Budget Narrative Budget Narrative (cont)(cont)Supplies and ExpensesPlease list each item with quantity and total amount.Total Supplies and Expenses: $0,000. Travel:Costs used for in- and out-of-state travel. Include # of persons, # of days per trip.Include cost per RT ticketInclude cost per night at hotelInclude cost per day requested for mealsInclude cost for mtg registration Estimated total for in-state travel is $0,000 based on state allowed $.325/mile. Please include # of miles and # of trips and hotel/meals information if applicable. Total Travel: $0,000. Consultants/Contractors:Consultants and Contractors require different supporting budget documentation, please consult the Institute for Research or the Business and Finance Office for assistance. At the minimum, a statement of work and a budget is required for each consultant; in addition, a subcontractor must provide a signed letter of commitment to perform the stated work. Indirect:The University of Wisconsin (on campus) indirect cost rate is 44.5%. This rate is applied to the federally negotiated base, defined as, the total of salaries and fringes of all UWGB employees. The total salaries and fringe = $00,000. If more than 50% of the project activities you may request that an off-campus rate of 18% of total salaries and fringe benefits be used to calculate the indirect cost total. Total Indirect based on salaries and fringes – ($BASE[total salaries+fringe])(46%) = $00,000. Total Funds Requested: $000,000Total Project Costs: $000,000 If Matching Funds are required you will need do contact the Institute for Research for assistance. All matching funds must be documented in the format above and supporting documentation of support must be included with all grants and contracts.

SubcontractSubcontract vs. Vendor vs. VendorSubcontract (usually a co-PI)

◦ Performance measured against whether the objectives of the federal program are met

◦ Has responsibility for programmatic decision making

◦ Has responsibility for adherence to applicable federal program compliance requirements

◦ Typically publishes with the PI

Subcontract vs. Subcontract vs. VendorVendorVendor

◦ Provides the goods and services within normal business operations

◦ Provides similar goods or services to many different purchasers

◦ Operates in a competitive environment

◦ Provides goods or services that are ancillary to the project

When UWGB is a Subcontract on When UWGB is a Subcontract on another institution’s proposalanother institution’s proposal

The following is needed for campus review and approval◦ Extramural Support Transmittal Form (EST)◦ RFP (terms and conditions flow down from

granting agency)◦ Letter of intent to commit◦ Budget◦ Budget narrative◦ Scope of Work for your portion only◦ Certifications and Assurances (signed by AOR)

, if requested by the applicant of record for submission to the funding agency, if required.

When UWGB’s proposal includes a When UWGB’s proposal includes a Subcontract to another institutionSubcontract to another institution

Must have signed paperwork from the institution/organization UWGB is subcontracting toBudgetBudget narrativeAgency-required forms (e.g. face page, checklist)

○ DUNS #, Institutional Address

Letter of intent to commitCertification and Assurances if required by

SponsorSignature of Institutional Official (not just the

other PI)

Cost Share/Matching Cost Share/Matching CommitmentsCommitments

Contact your Chair and Dean informing them of your intent to

submit.Time and effort match - limited to:

◦ 5% during the academic year for instructional academic staff; or Requires Chair and Dean written approval

◦Course release(s) Requires Chair and Dean written approval

Cash or in-kind ◦ requires letter(s) of commitment from

budget unit director(s) AND any third party providers

Cost Share Matching Cost Share Matching CommitmentsCommitments Any reference to “matching,”

“cost share,” “leveraging,” etc. , anywhere in a proposal may become a legally binding commitment and is legally binding if dollar amount is stated.

When a matching commitment is not requiredUWGB prefers not to provide one. Why?◦ Facilities Costs + Admin Costs

———————————— = F& A Rate Organized Research Base

(matching funds included in this Org. Res. Base)

Cost Share/Matching Cost Share/Matching CommitmentsCommitments

When a matching commitment is Mandatory (per the RFP)

Requirement must be documented in writing

To meet the requirement, UWGB considers using◦ UWGB and UWS Personnel (salary and fringe)◦ UWGB and UWS unrestricted funds (gifts,

startup) Federal funding is unallowable use for matching funds,

private and foundation and State funds are allowable.◦ Indirect costs on proposed match

If on campus rate is applied for requested funds, on campus rate must be used for matching funds, same with off campus

◦ Un-recovered indirect costs if a rate other than our federally negotiated rate is

required

Cost Share Matching Cost Share Matching CommitmentsCommitmentsThird Party match commitments

◦If necessary…. A signed letter of commitment by

organization President, CEO or someone else in a position to commit facilities and resources. Letter must reference dollar amount committed.

Guarantee the commitment will be met in the same time period as the grant, tracked, reported and certified as accurate

If third party match does not come through, Department may be responsible for 3rd party match commitment

Other documentsOther documentsDocuments required by the Sponsor:Current and Pending documents

◦ Pay close attention to effort commitments and totals, some sponsors have restrictions; campus and UWS restrictions apply as well

Facilities and Equipment◦ As they pertain to the project, include

subcontractor’s information as well.Conflict of Interest

◦ UWGB keeps on fileBiosketches/CVUWGB faculty & staff and Subcontractors

And of course, the PROJECT NARRATIVE



Develop Proposal



•PI •Chair

•Dean •OG&R

Roles & ResponsibilitiesRoles & Responsibilities

Principal InvestigatorDepartment administrator/ChairDeanOffice of Grants & Research Provost

EST Form review and approval routing – AKA: pre-submission review and approval

Roles & ResponsibilitiesRoles & ResponsibilitiesPrincipal Investigator

◦Find Funding Opportunities (w/OG&R assistance)

◦Prepare a Proposal (w/OG&R assistance)◦Route & Submit (w/OG&R assistance)◦ To be in compliance with the Proposal Submission Policy all

sections of the proposal (no further revisions) except the technical narrative and cited literature must be received by the Office of Grants & Research 5 working days prior to the sponsor deadline. The technical narrative/cited literature must be received in formal form by the Office of Grants & Research 48 hours prior to the sponsor’s deadline. Timely submission of proposals will allow us to work together to promote best business practices and to ensure that all proposals are submitted properly and on time.

Roles & ResponsibilitiesRoles & ResponsibilitiesChair

◦Verify PI eligibility/availability Overload issues, course release

coverage?

◦Verify resources & facilities Lab/equipment available for use during

courses? ADA availability for post-award

assistance?

◦Assure the work fits the department’s mission

Roles & ResponsibilitiesRoles & ResponsibilitiesDean

◦Assures compliance with campus policies and guidelines

◦Review and approve budgets matching funds are included if IDC allowed or a reduced rate is applied

Roles & ResponsibilitiesRoles & ResponsibilitiesOG&R

◦Works with PI to complete and submit proposals

◦Prepares budget information, upon request◦Initiates EST Form◦Assists during the pre-submission routing

and approval process◦Completes Certifications and Assurances

for the university. Program specific is PI responsibility

◦Be the “glue” for the grant’s process!!◦Negotiate agreement if an award is made

Roles & ResponsibilitiesRoles & Responsibilities

Provost◦Final approval for all submissions◦Considers requests for F & A waivers ◦Provides Institutional support when

requestedInstitutional signatory

Chair

Dean

PROVOST

SponsorsChair

Dean

OG&R



Develop Proposal



•Routing

•Electronic Submission •Paper Submission

RoutingRoutingExtramural Support Transmittal FormPaper SubmissionElectronic SubmissionTiming (why is this important?) To be in compliance with the Proposal Submission Policy all

sections of the proposal (no further revisions) except the technical narrative and cited literature must be received by the Office of Grants & Research 5 working days prior to the sponsor deadline. The technical narrative/cited literature must be received in formal form by the Office of Grants & Research 48 hours prior to the sponsor’s deadline. Timely submission of proposals will allow us to work together to promote best business practices and to ensure that all proposals are submitted properly and on time.

What is the purpose of the EST What is the purpose of the EST Form?Form?Proposal Routing. It assists by…Tracking the approval, routing,

submission status, organizes proposal data.

Administration of proposal, negotiations, awards and reports.

Captures data requirements for tracking, submissions, negotiations and project setup.

EST EST FormForm

Paper SubmissionPaper SubmissionEST Form assists by . . .

◦Number of copies◦Airbill or US mail◦Paper plus electronic◦Contact information of sponsoring

agency

Electronic SubmissionElectronic SubmissionEST Form assists by . . . Grants.gov / CayuseNSF FastlaneNASA NSPIRESEmail attachment to SponsorOther routes

WebsitesWebsites

(SPIN) http://spin2000.infoed.org/new_spin/spinmain.asp

(COS) http://www.cos.com/(Grants.gov)

http://www.grants.gov/(OMB)

http://www.whitehouse.gov/omb/

More WebsitesMore Websites(Code of Federal Regulations)

http://www.gpoaccess.gov/cfr/index.html(Bayh-Dole)

http://www.cptech.org/ip/health/bd/\Ebling Library

http://www.ebling.library.wisc.edu/

And yet more WebsitesAnd yet more Websites(Grants.gov/cayuse at UW)

http://www.rsp.wisc.edu/preaward/grantsgov.html

(ProposalCentral) http://proposalcentral.altum.com/

(NIH)http://www.nih.gov/http://grants.nih.gov/grants/oer.htm

(NSF) https://www.fastlane.nsf.gov/fastlane.jsp

And yet more WebsitesAnd yet more Websites

If you are really interested in grants administration

National Council of University Research Administrators(NCURA) http://www.ncura.edu/content/

Society of Research Administrators (SRA) International http://www.srainternational.org/sra03/index.cfm

UW Research & Sponsored Programs http://www.rsp.wisc.edu/

It’s a good idea to work It’s a good idea to work ahead “just in case” there ahead “just in case” there is a snafu along the way!is a snafu along the way!

Timing

Most important piece of Most important piece of information to take with you information to take with you

today:today:

Communicate with your Communicate with your DEPARTMENT & DEPARTMENT &

CALL the RESEARCH (OGR) CALL the RESEARCH (OGR) OFFICE early and often!OFFICE early and often!

Please contact the OGR Please contact the OGR [email protected]@uwgb.eduOr give us a call, we’re in the book!

Any questions?