Grants Workshop Part I

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Grants WorkshopPart I

• Magui Cardona Marc Lennon
• Office of Sponsored Research
• www.ubalt.edu/grants

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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

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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

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Grant Life Cycle
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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

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Searching for Funding Opportunities
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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 agencys mission
• Review other proposals funded by them
• Ask yourself, Do my research interests fit with
  their mission?

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Primary Grant Search Sources

• Grants.gov
• IRIS (Illinois Researcher Information Service)
• Maryland Governors Grants Office

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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

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Grants.gov
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Grants.gov Search Options

• Basic Search
• Browse by category
• Browse by agency
• Advanced Search
• Email/RSS Subscription
• Browse New Opportunities This Week

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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)

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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

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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

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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

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Grants.gov New Opportunities This Week
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Grants.gov Sorting Search Results

• Open date (default)
• Close date
• Relevance (only for keyword searches)

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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

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Illinois Researcher Information Service (IRIS)

• IRIS Database
• IRIS Alert Service
• http//www.library.illinois.edu/iris/

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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

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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

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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

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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

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Maryland Governors Grants Office

• Website lists all open grants available from the
  State of Maryland
• http//grants.maryland.gov/Pages/find.aspx

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Reading the RFP Interpreting Agency Guidelines
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The Typical Request for Proposals

• Summary of Program Requirements
• Proposal Preparation and Submission Instructions
• Proposal Review Information Criteria
• Award Administration Information

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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

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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 500 pm local time

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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

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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

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Proposal Review Information Criteria NIH

• Significance
• Investigator(s)
• Innovation
• Approach
• Environment

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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

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Proposal Development
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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 dont understand your proposal, they
  are unlikely to recommend it for funding
• It is both about substance marketing

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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

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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

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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

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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?

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Significance

• Why is your work important?
• Intellectual Merit or Relevance
• What will be the return on investment if the
  proposal is funded?
• Broader Impacts

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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

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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

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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

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Institutional Resources

• Need to be specific, but only list relevant
  resources
• Talk about institutional environment for research
• Include letters of collaboration, if applicable

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Budget Development
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Grant Budgeting Overview

• Cost Principles inform budget decisions
• The elements of a budget
• Budgeting Tips

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OMB Circular A-21

• Part of Federal Administrative Regulations
• Establishes cost standards for all sponsored
  agreements awarded to educational institutions

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A-21 Cost Standards

• Reasonable
• Allocable
• Consistently treated
• Allowable

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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.
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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.
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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.
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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.
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Elements of a Budget

• Direct Costs
• Personnel
• Travel
• Equipment
• Consultants
• Subagreements
• Supplies and other direct costs
• Indirect Costs aka Facilities Administrative
  (FA) Costs

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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 (FA 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
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Personnel

• Personnel Types
• Faculty
• Regular Staff
• Contingent Employees
• Student Assistants
• Fringe Benefits

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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?page84
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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

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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

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Personnel Student Assistants

• Graduate Assistants
• Yearly stipend (rate set by Deans 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

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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

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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/c
  ategory/21287
• Meal per diem
• National UB Policy is to use MD rates,
  http//www.ubalt.edu/template.cfm?page1131
• International Federal Rates, http//www.gsa.gov/p
  ortal/category/21287
• Registration fees

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Equipment

• UBs threshold for property to be considered
  equipment is 500
• Items under 500 should be budgeted as project
  supplies

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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 FA 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

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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

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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

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Indirect Cost Rates FY11

• Sponsored Research Programs On-Campus Off-Campus
  
• Federal Grants/Contracts 43 SW 25 SW
• State Government General 15 MTDC 15 MTDC
• State Government - Schaefer Center 25 SW 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

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Budgeting Tips

• Build your budget in a Spreadsheet
• Templates are available
• Utilize formulas for calculations
• AutoSum
• SUM(A1B1)
• SUM(A1A20)
• Rounding
• ROUND(A1B1,0)

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Institutional Routing Approval Policies
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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

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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

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Proposal Submission
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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

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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

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Peer-Review Resubmission
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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

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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

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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

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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

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Questions?

• Magui Cardona
• mcardona_at_ubalt.edu
• 410-837-6191
• Marc Lennon
• mlennon_at_ubalt.edu
• 410-837-6199
• www.ubalt.edu/grants