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Proposal Development
April 2014
2
Proposal Development
After this session you will:
• Understand the award lifecycle• Have a timeline to follow when planning to
submit a proposal• Know about different types of programs you can
apply for• Know where to find and what to look for in
sponsor guidelines and instructions• Understand the typical elements of a proposal• Know the basic elements of budgets
Life Cycle of Award Proposal
Development Locate Funding &
Complete ProposalPackage
Institutional Review
Proposal Submission
and/or Signature Approval
Account set up
Prior Approval Requests
Incurring Costs and Purchasing
Tracking andAccounting
Close-outs and
Sponsor Reports
More Money!
Award Lifecycle
Post-Award
Research
Fin
ance
Contracts
Negotiate & Execute incoming &
outgoing Subcontract &
Contract agreements
Just-in-Time submission
Progress Report review &
Submission
Department
Pre-Award
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Proposal Timelines
2 – 3 Months Prior to Deadline
Review Sponsor’s proposal Requirements
Start writing – 2 to 3 months prior to deadline
Confer with Colleagues
Review RFA Review Criteria
Talk to Federal Program Officers
1 Month Prior to Deadline
Collect all Biosketches, etc..; Develop Budget & Justification; Obtain Subcontractor Documents (LOI, Budget, Scope of Work, etc.)
5 Days prior to Deadline (At least)
Submit all internal paperwork, including COI forms, and preliminary proposal to BMC Grants Administration for initial review
Submit completed proposal to BMC Grants Administration for final review-(Minimum 48 hours to ensure success)
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Federal Program Types
K01: Research Career Programs - Research Scientist Development AwardFor support of a scientist, committed to research, in need of both advanced research
training and additional experience.
K08: Research Career Programs - Clinical Investigator Award (CIA)To provide the opportunity for promising medical scientists with demonstrated aptitude to
develop into independent investigators, or for faculty members to pursue research aspects of categorical areas applicable to the awarding unit, and aid in filling the academic faculty gap in these shortage areas within health profession's institutions of the country.
R01: Research ProjectsTo support a discrete, specified, circumscribed project to be performed by the named
investigator(s) in an area representing his or her specific interest and competencies.
R03: Research Projects - Small Research GrantsTo provide research support specifically limited in time and amount for studies in categorical
program areas. Small grants provide flexibility for initiating studies which are generally for preliminary short-term projects and are non-renewable.
http://grants.nih.gov/grants/funding/ac_search_results.htm
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Proposal Development – General
Sponsor Instructions
• Read the Program Announcement / Instructions thoroughlySponsor’s policies and procedures – often additional linksReview Criteria
• NIH SF424 RR Guidelines and Forms http://grants.nih.gov/grants/funding/424/index.htm
BMC Grants Administration Websites
• Contains links to sponsor guidelines, internal forms, sponsor forms and instructions
• BMC Grants Administration:
http://internal.bmc.org/grants/pre_award.html
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Sponsor Requirements
The Sponsor’s Program Announcement (PA) or Research Funding Announcement (RFA), etc contain the following information:
• Paper or Electronic? When due?
• Required NIH FormsBiosketchOther Support(http://grants.nih.gov/grants/funding/424/index.htm)
• Page Limitations
• BudgetTotal Cost Cap?Direct Cost Cap
• Review Criteria
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“Typical” Proposal Elements
• Cover page - PI contact info, title of proposal, funds requested, project duration, and signature lines
• Abstract - brief description of proposed project (usually 1 page)
• Narrative - detailed description of proposed project
• Personnel - CVs, biosketches, or paragraph-size descriptions
• Budget - annual costs of the project, using standard categories
• Budget justification - narrative explanation of how amounts were calculated and how funds will be used
• Supporting documents - letters of support and other items showing strength of partnerships, university commitments, etc.
• Other - management, diversity, outreach, and/or evaluation plans
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Institutional Requirements - Forms
• Proposal Summary Form
• Financial Conflict of Interest Form(s)
• Letters of Intent (Subcontractors)
• Rate Agreements
http://internal.bmc.org/grants/pre_forms.html
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BUDGETS
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• Translates resource needs to dollars
• Conforms to agency guidelines
• Estimates are realistic
• Supports the program
• Explains itself
• Plans ahead
• Identifies organizational concerns/issues
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Criteria of a Good Budget
Direct Costs
Direct costs are those costs that can be easily identified specifically with a
particular sponsored project, institutional activity, or that can be assigned to such
activities relatively easily with a high degree of accuracy. Identification with the sponsored work rather than the nature of
the goods and services involved is the determining factor in distinguishing direct
costs from indirect costs.
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Direct Costs – Salary
• 75 – 80% of Budget is Salary and Fringe Benefits
• Salary Cap: Legislatively mandated limitation of direct salary charges to an NIH grant, currently $181,500 (http://grants.nih.gov/grants/guide/notice-files/NOT-OD-14-043.html)
• Calculation of Salary Cost:
or
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Direct Costs - Fringe Benefits
BMC FB Rates BU FB Rates*
* BU FB Rates as of 07/01/2014; these are renegotiated each year
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FB Rates - Federal
10/01/12 31.2% BMC Staff
27.6% Professional24.9% Support StaffN/A Consultant9.5% Graduate Students
Non-Federal FB Rates
10/01/12 31.2% BMC Staff
29.2% Professional26.5% Support StaffN/A Consultant9.5% Graduate Students
Direct Cost Budget Categories
Consultants• BU and BMC employees can not be classified as “consultants” on a BMC grant proposal
– if BU employee, they can either be part of a subcontract (primarily working in BU space), or they can be listed in the Salary/FB budget category (primarily working in BMC space).
Capital Equipment• Greater than $5,000 in acquisition cost (capitalization threshold)• Sponsor often requires quote from equipment vendor
Travel• Information about per diem costs for travel (car mileage on a federal grant can be found
at:http://www.gsa.gov/portal/content/100715; and http://internal.bmc.org/grants/policies_post/BMC-grants_travel.doc
Animal• Per diem costs for animals, and purchasing costs for different species can be found
at:http://www.bu.edu/animalcare/services/per-diem-rates/ and http://www.bu.edu/animalcare/services/animal-ordering/
Patient Care Costs• Pharmacy (Investigational Drug Service or IDS) and Inpatient/Outpatient Service
chargeshttp://internal.bmc.org/grants/ClinicalTrials.html
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Subcontractors vs. Consultants
• Subcontractor – A third-party organization that conducts a significant part of the research, assists in making programmatic decisions, and has deliverables to the final product.
• Consultant* – An individual who lends specific technical expertise and whose relationship with the project is of limited duration and scope.
* BMC employees can never be budgeted as consultants
Direct Cost – Subcontractors
Budget Considerations
• On subcontracts, only the first $25,000 is subject to the institution’s F&A Recovery (Indirect Costs).
• Consultants, Vendors and Purchase Orders are subject to full F&A Recovery (Indirect Costs).
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Direct Cost - Subcontractors
Documents required:
• Letter of Intent• Scope of Work• Budget & Budget Justification• Biosketch(es) (if sponsor requires)• Other Support (if sponsor requires)• DUNS number
For NIH Grants:
If direct cost budget is “capped”, the Indirect Costs for the subcontractor does not count toward the “direct cost cap”
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• Business Meals (non-travel)• Alcohol• Computer Supplies (paper, toner)• Copier Charges• Entertainment• Fixed Phone Charges• Maintenance of General Purpose Equipment• Membership and Dues• Office Supplies• Postage• Software (General Purpose)• Subscriptions
Direct Cost – Unallowable
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Modular Grants
http://grants.nih.gov/grants/funding/modular/modular.htm
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BMC Indirect Costs
Indirect Costs or IDC = Facility and Administrative Costs (F&A) = Overhead
Federal Indirect Cost Rates
Research: 10/1/12 69.% on site 10/1/13 71% on site 10/1/14 74% on site
10/1/12 17.8% off-site
Clinical/Service/Edu./Other: 28% clinical/service/education
Training: 8% training
BMC calculates IDC using a “Modified Total Direct Cost” or MTDC method:
Direct Costs minus subcontract costs, equipment costs, patient care costs, tuition and fees costs = MTDC
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Modified total direct costs (MTDC), consisting of all salaries and wages,fringe benefits, materials, supplies, services, travel and sub-grants andsubcontracts up to the first $25,000 of each sub-grant or subcontract(regardless of the period covered by the sub-grant or subcontract).
Modified total direct costs shall exclude equipment, capital expenditures,charges for patient care, tuition remission, rental costs of off-site facilities,as well as the portion of each sub-grant and subcontract in excess of
$25,000.
Modified Total Direct Costs (MTDC)
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Indirect Costs Overview
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Costs that can not be directly
assigned to any one program
Grants and Contracts Administration
Utilities (lights, heat, etc)
Research Finance Administration
Accounts Payable
Purchasing
Human Resources
Building and Equipment Depreciation
Finance
House Keeping
Facility and Administration Allocations (F & A)
FACILITY COST POOLS
· Building Depreciation· Land/Building
Improvements· Equipment Depreciation· Operations and
Maintenance· Utilities
ADMINISTRATIVE COST POOLS
· General Administration· Hospital Services· Grants Administration· IACUC, IBC, IRB costs· Compliance Costs
F & A Allocations
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Questions?
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