Proposal Preparation, Processing and Review

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Proposal Preparation, Processing and Review

• Judy Harris

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Contact Information

• Judy Harris Division of Sponsored Research,
  Proposal Processing
• 392-9267 jaharris_at_ufl.edu

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Learning Outcomes

• Participants will be prepared to assist faculty
  in completing the proposal package, be
  knowledgeable in reading and interpreting
  guidelines, and will be cognizant of the
  university's processing requirements. They will
  be able to use the web to access current
  information regarding changes in preparation and
  submission processes.

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Roles

• Division of Sponsored Research
• College Level
• Full Service
• Office of Engineering Research
• IFAS Office of Sponsored Programs
• Standard College Service
• Departments

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Role of Research
Administration

• Estimated over 100,000 research
  administrators/sponsored programs personnel in
  the US
• Fastest growing sector is Departmental
  Administration
• Professional Development NCURA Teleconference
  Series NCURA Region III SRA Southern Section

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In competitive times, quality applications and
great ideas are essential for fundingSponsors
are funding projects which evidence significant
potential for success. They are also very
reluctant to continue to fund individuals or
organizations who do not conduct projects in
accordance with their stated rules or to meet
their expectations of a successful project.
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What is a Proposal?

• A proposal is a document that describes
  (according to the sponsors specified format and
  requirements) what will be done, who will do it,
  how much it will cost, and other details
• Proposal formats vary. Some may be very short,
  others may provide significant documentation and
  back-up data. The sponsor dictates the format
  and required content
• The purpose of the proposal is to persuade the
  sponsor that the applicant has the knowledge, the
  capacity/resources, the skill, and the qualified
  personnel to accomplish the work proposed.
  Sponsors also use proposals to justify why and
  how they have made awards.

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How are Proposals Reviewed

• Proposals are reviewed in a variety of different
  ways most federal agencies use the peer review
  process experts from backgrounds similar to the
  applicants evaluate proposals based on a set
  criteria
• Proposals may also be reviewed by the sponsors
  own personnel, and judgment may be made based on
  personal interviews or knowledge of the
  applicants strengths. Certain foundation and
  corporate grants may be reviewed in this manner
• At times the review process may not be used at
  all. Procurements issued to a specific entity
  may be used based on prior work done by the
  applicant or by the need for a quick turn-around.
  Usually the sponsor is required to have back-up
  for their decision to use this type of sole
  source awarding. Some sponsors issue a master
  agreement, order agreement or open contract to
  create a long-term relationship with an
  organization to facilitate procurement for
  specific tasks

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KNOW YOUR SPONSORS

• Federal, State, local government, industry
• or commercial?
• Foundation or Association
• Local or international
• What are they interested in?
• Who have they funded in the past?
• What are their funding guidelines?

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Federal Sponsors

• Federal
• Must be responsive to legislative mandate
• Must be accountable to Congress for outcome and
  performance
• Must fund projects of global, national or
  specific program significance
• Must review in accordance
• with their stated criteria (impartial
  review process)
• Some RFPs may request non-research services
  usually in specific locations, deliverables of a
  specific nature. i.e., cleaning services on a
  military base
• GUIDELINES ARE USUALLY VERY SPECIFIC AND
  SUBMISISONS MUST FOLLOW THE GUIDELINES EXACTLY
  Awards are usually in the form of grants, with a
  grant notice serving as the award some Defense
  agencies utilize contracts as award mechanisms

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State Sponsors

• State
• Must fund projects with utility for the state
• May identify areas of need and request projects
  to meet specific needs
• May target specific geographic areas
• Competition is usually only from in-state
  organizations
• Will fund projects that match their state
  mandates (e.g., Department of Agricultural and
  Consumer Services, Department of Transportation,
  Department of Education)
• GUIDELINES ARE SOMETIMES AVAILABLE AS REQUESTS
  FOR PROPOSALS OR MAY ONLY REQUIRE A PROPOSED
  SCOPE OF WORK
• State funds are usually awarded through contracts

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Private Foundations

• Private Foundations
• Different types of foundations corporate
  affiliated, family, etc.
• Must make awards according to their IRS
  determination
• Review process is often very fluid personal
  contact is important
• Unless they are national in scope, tend to fund
  in their own backyard
• Generally will use grants with flexible budget as
  mechanism of award
• Guidelines are sometimes available, but smaller
  foundations may not have web sites, etc.

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Getting Started in Research at the University of
Florida
Basic Information
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• THREE SEARCHABLE DATABASES
• Community of Science Funding Opportunity Database
• Grants Database (Courtesy of HSC Library)
• Grants Net (Training-Biological Medical
  Services)
• LINKS TO FUNDING AGENCIES
• NIH Guide to Grants Contracts
• NSF Guide to Programs
• Federal Register CBD

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For More Information..

• Check out Carole Oglesbys sessions on Finding
  Funding
• Researcher Resources Grant Funding Info, Agency
  Updates, Internal Funding Opportunities

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Types of Calls for Proposals

• RFP
• RFA
• Program announcements
• BAA
• RFB/RFQ
• Whitepapers
• Letter of Intent
• Pre-proposals

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Types of Submissions

• New, Revised, Continuation, Renewal, Supplemental
• Internal
• Multiple Submissions to Different Sponsors
• Multiple Submissions with Partial Budgets
• Not Received in Time for Review
• Electronic (more)

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Guidelines

• A Quick Review of Guidelines
• Required Elements
• Format Page Restrictions, appendices, of
  Copies
• Budget Allowable Costs, IDC, Cost-sharing
• Award Language (May need exceptions)
• When and How - Deadlines
• Forms
• Other?

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Packaging and Submission

• The proposal format
• Appendices
• Binding
• Cover letters
• Deadline Receipt/Proof of Postage

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University of Florida
Submission Guidance

• The next few slides will cover
• Who is eligible to submit?
• What forms must be used to approve a submission?
• Who has to sign the proposal?
• What special conditions do I need to know about?
• http//rgp.ufl.edu/research/handbook/researcher_ha
  ndbook/

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Who May Submit a Proposal?

• The award is made to the University, not to the
  individual
• The University is responsible for the appropriate
  management of the funds
• The Principal Investigator (PI) is responsible
  for the successful conduct of the project
• http//rgp.ufl.edu/research/handbook/researcher_ha
  ndbook/section2.html
• Exceptions Must be approved in writing.written
  request for approval of the ineligible individual
  to serve as Co-PI. Must include statement from
  eligible applicant which states he/she is willing
  to serve as Co-PI and willing to take
  responsibility for the project, should it be
  funded. Letter should be sent in advance of
  routing the proposal for review.

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What Forms Are Used?

• DSR1 Provides the University with a means of
  documenting approval and commitment
• Cost-sharing Provides documentation of the
  Universitys commitment to provide funds/time to
  the project
• Financial Conflict of Interest Identifies
  potential conflict between the PI and the work
  he/she is proposing to do (Required for NSF, PHS,
  and American Heart proposals)

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Who Has to Sign the
Proposal

• Single Authorizing Official!!!!!
• No application should be submitted without
  processing through DSR
• The Principal Investigator (PI) responsible for
  the project
• Any Co-PIs who are contributing effort to the
  project
• Supervisors (unit head) of all participating
  faculty (if they are contributing or being
  compensated for effort to the project)
• Deans of all above
• Appropriate Vice President

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Other Signatures?

• Centers Center Director if Center
  faculty/facilities are involved
• Intercollegiate Signatures of all applicable
  individuals from previous slide (may be possible
  to start DSR1 pages in separate colleges)
• Third Party/Collaborators Letter documenting
  their contribution and participation
• Subcontractors Should have appropriate form
  signed by authorizing official, plus scope of
  work and separate budget

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What Special Conditions Do I need to
Know About?

• Animal Care IACUC Some sponsors require review
  before submission others before award can be
  made review guidelines
• Research with Human Subjects IRB - Some sponsors
  require review before submission others before
  award can be made review guidelines
• Recombinant DNA
• Intellectual Property Checklist to determine if
  there is a potential product that will be
  developed out of the funded project
• Biohazards
• Required special approvals http//rgp.ufl.edu/res
  earch/handbook/researcher_handbook/section5.html

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Examining the Budget

• Critical Items Salary and Fringe Benefits,
  Possible CAS issues, Tuition, IDC, Allowable
  Costs
• Calculations
• Cost-Sharing
• Budget Narrative
• The Proposal in Review
• Compare all forms for consistency

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CAS

• Be aware that there are certain unallowable
  charges to federal projects, including
  flow-through awards
• Basically, administrative and clerical support,
  office supplies, postage and telephones, etc.

http//fa.ufl.edu/cg/capolicy/default.html
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Cost-Sharing

• Be aware that there are three types of
  cost-sharing
• Mandatory the sponsor requires the applicant to
  cover a portion of the total project costs
• Voluntary Committed the sponsor doesnt require
  cost-sharing but the University offers it at the
  time the proposal is submitted
• Voluntary Uncommitted after the award is
  received,
• the University/PI provides more cost-sharing
  than is
• promised or required
• Proposals and/or other applications containing
  cost-sharing must be accompanied by a
  cost-sharing form

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Contracts and Subcontracts

• How subcontracts are handled

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What DSR/COE/IFAS Look for in
Their Review and How Do I Know Where My Proposal
is in the Process?

• Checklists
• On-Line Information
• Division of Sponsored Research Search Proposals
  Administration Mail Log

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Review and Submission

• DSR/PP
• Requirements
• Timeframe
• Services
• IFAS
• Services
• Buck Slips
• Engineering
• Services

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ERA (and all that jazz!)

• Fast lane
• Grants.gov
• IIPS
• NIH Commons
• Others American Heart, NASA, etc.

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Post-Submission Follow-Up

• What Sponsors May Need From You
• Further budget detail
• Explanation of Fringe/IDC
• Additional Forms
• Revised Budget
• Revised Scope
• Additional Signatures
• Proof of collaboration

• What Can You Send to a Sponsor
• Abstract of published work
• Additional Support Letters
• Always ASK

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For Further Information

• http//rgp.ufl.edu/research/training/
• CAS
• Budget Development
• Proposal Writing
• IRB/IACUC
• Finding Funding
• NCURA Series

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In summary.

• Reading and Interpreting Guidelines
• Sample guidelines
• Web sites for additional program information
• Completing the Proposal Package
• Instructions and forms
• Submission guidance
• University Processing Requirements
• Eligibility, forms required, who signs, special
  items to include
• Web sites for University processes
• Researchers manual, check lists, updates

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Good Luck!