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 Proposal Package Institutional Review Proposal Submission and/or Signature Approval Account set up Prior Approval Requests Incurring Costs and Purchasing Tracking and Accounting Close-outs and Sponsor Reports More Money! Award Lifecycle Negotiate & Execute incoming & outgoing Subcontract & Contract agreements Just-in-Time submission Progress Report review & Submission 3

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) 4

Federal Program Types K01: Research Career Programs - Research Scientist Development Award For 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 Projects To 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 Grants To 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. 5

Proposal Development – General Sponsor Instructions Read the Program Announcement / Instructions thoroughly Sponsor’s policies and procedures – often additional links Review Criteria NIH SF424 RR Guidelines and Forms BMC Grants Administration Websites Contains links to sponsor guidelines, internal forms, sponsor forms and instructions BMC Grants Administration: 6

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 Forms Biosketch Other Support ( Page Limitations Budget Total Cost Cap? Direct Cost Cap Review Criteria 7

“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 8

Institutional Requirements - Forms Proposal Summary Form Financial Conflict of Interest Form(s) Letters of Intent (Subcontractors) Rate Agreements 9

BUDGETS 10

Translates resource needs to dollars Conforms to agency guidelines Estimates are realistic Supports the program Explains itself Plans ahead Identifies organizational concerns/issues 11 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. 12

Direct Costs – Salary 13

Direct Costs - Fringe Benefits BMC FB RatesBU FB Rates* * BU FB Rates as of 07/01/2014; these are renegotiated each year 14 FB Rates - Federal 10/01/ % BMC Staff 27.6% Professional 24.9% Support Staff N/A Consultant 9.5% Graduate Students Non-Federal FB Rates 10/01/ % BMC Staff 29.2% Professional 26.5% Support Staff N/A Consultant 9.5% 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: and at: Animal Per diem costs for animals, and purchasing costs for different species can be found at: and at: Patient Care Costs Pharmacy (Investigational Drug Service or IDS) and Inpatient/Outpatient Service chargeshttp://internal.bmc.org/grants/ClinicalTrials.html chargeshttp://internal.bmc.org/grants/ClinicalTrials.html 15

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). 16

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” 17

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 18

Modular Grants 19

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/ % 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 20

Modified total direct costs (MTDC), consisting of all salaries and wages, fringe benefits, materials, supplies, services, travel and sub-grants and subcontracts 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) 21

Indirect Costs Overview 22 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 23

Questions? 24