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Proposal Development and Budgeting Basics
Ellen Jamieson Director, Grants and Contract BMC Research Operations
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Introduction The information presented today is designed to help you navigate the administrative requirements of proposal and budget development to improve the possibility of your application being reviewed and funded
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Complete Proposal Package Require Funding for Research
Life Cycle of Award Proposal Development Locate Funding & Complete Proposal Package Require Funding for Research Institutional Review Proposal Submission and/or Signature Approval Close out & Sponsor Reports Award Lifecycle Just in Time Requests (New) Progress Reports Tracking and Accounting Incurring Costs and Purchasing Account Set Up Others involved Principle Investigator Research Administrator Grants and Contracts Office Research Finance Subaward Processing and Negotiating Prior Approval Requests
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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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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.
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BMC Grants Administration Websites
Proposal Preparation Sponsor Guidelines Read the Program Announcement / Instructions thoroughly Sponsor’s policies and procedures Review Criteria NIH SF424 RR Guidelines and Forms BMC Grants Administration Websites Contains links to sponsor guidelines, forms, and instructions BMC Grants Administration:
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Paper or Electronic? When due?
Sponsor Instructions Paper or Electronic? When due? Required NIH Forms ( Page Limitations Budget Total 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 Project Summary/Abstract - brief description of proposed project (usually 1 page) Specific Aims/Research Strategy - detailed description of proposed project Personnel - CVs, biosketches, or paragraph-size descriptions Resources – Description of organizational resources available (Facilities, Scientific Environment 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 NIAID: sample applications
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New NIH/AHRQ Biosketch
Biosketch Sections Old Format New Format Number of pages 4 5 A. Personal Statement Description of why investigator is well-suited for their role on project Same; Plus up to 4peer reviewed publications B. Positions and Honors List in chronological order previous positions List Honors and Memberships on any Federal Government public advisory committee Same C. Publications (old) List of 15 relevant publications Not applicable Contribution to Science (new) Up to 5 of the investigator’s most significant contributions to science Reference up to 4 peer-reviewed publications per contribution Link to a full list of published work as found in a publicly available digital database such as MyBibliography or SciENcv. D. Research Support List ongoing and completed research projects for past three years (no dollars, effort, or overlap) New Biosketch format required for all applications after 5/25/2015 See NOT-OD
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BUDGETS
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Criteria of a Good Budget
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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Direct vs. Indirect Costs
Direct Costs are costs that can be identified specifically with a particular activity/project or directly assigned to such activities relatively easily with a high degree of accuracy. Examples of DC Salary Fringe Equipment Supplies Travel Patient Care Costs Subawards, etc.. Examples of IDC Utilities (lights, heat, etc) Depreciation Housekeeping Hospital Services Building Improvements Compliance All of the cost principles define direct costs and indirect costs 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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Calculation 75 – 80% of Budget is Salary and Fringe Benefits
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 $183,300 (1/11/15-9/30/15) ( Calculation Institutional Base Salary x Percent Effort = Salary Costs or Institutional Base Salary / academic appointment (i.e. 12 or 9) x person months of effort
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Direct Costs - Fringe Benefits
BMC FB Rates BU FB Rates* 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 29.2% Professional 26.5% Support Staff * BU FB Rates as of 07/01/2014; these are renegotiated each year
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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 Animal Per diem costs for animals, and purchasing costs for different species can be found at: and Patient Care Costs Inpatient/Outpatient Service Charges (Hospital services with CPT codes) - the Clinical Trial Office at
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Direct Cost – Subawards/Subrecipients
Subrecipients vs. Consultants Subrecipient – 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 Budget Considerations On subawards, only the first $25,000 is subject to the institution’s Facility and Administration (F&A) Recovery (Indirect Costs). Consultants, Vendors/Contractors and Purchase Orders are subject to full F&A Recovery (Indirect Costs). A common error on grant budgets arises from the confusion between the roles of consultant and subcontractor. This distinction must be correct for two important reasons. The applicant’s ability to recover F&A on a subcontract is limited to the first $25,000. Misclassifying a subcontractor as a consultant could result in the institution recovering more F&A than allowed. A subcontractor is subject to all the same sponsor terms and conditions as the applicant, whereas consultants are often exempt. An error in this regard could lead to serious compliance issues later in the project.
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Direct Cost – Subawards/Subrecipients
Documents required: Letter of Intent Scope of Work Budget & Budget Justification Biosketch(es) (if sponsor requires) Other Support (if sponsor requires) DUNS number DHHS Rate Agreement – if available (10% deminimus rate allowed if no rate agreement; Foreign Subrecipients, 8% rate) 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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Direct Cost – Typically Unallowable
Alcohol Entertainment Fixed Phone Charges Office Supplies Subscriptions Membership Dues Copier Charges
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Modular Grants
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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/ % on site 10/1/ % off-site Service/Programmatic: 28% service/programmatic Training: 8% training BMC calculates IDC using a “Modified Total Direct Cost” or MTDC method: Direct Costs minus subaward costs (in excess of the first $25K), equipment costs, patient care costs, tuition and fees costs = MTDC
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Modified Total Direct Costs (MTDC)
Modified total direct costs (MTDC), consisting of all salaries and wages, fringe benefits, materials, supplies, services, travel and subawards up to the first $25,000 of each subaward. (regardless of the period covered by the subaward). Modified total direct costs shall exclude equipment, capital expenditures, charges for patient care, tuition remission, rental costs of off-site facilities, stipends (non-NRSA training grants only) as well as the portion of each subaward in excess of $25,000. Indirect Cost Formula Direct Costs – Equipment ($5,000 or more) – Subcontract (in excess of $25,000) = MTDC MTDC x Indirect Cost Rate (74%) = Indirect Costs Direct Costs + Indirect Costs = Total Costs This is a definition of USA’s MTDC base from the Rate Agreement.
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Timeline: Submission to Award (NIH)
Approximately 10 months Submission Organization submits application to Sponsor by receipt timeline Federal Applications go through grants.gov then eRA Commons Review Assignment to Institute (within two weeks) Assignment to reviewers (3 months) Initial peer review (1 - 2 more months)* After Review Advisory Council recommends funding after second level review (2 - 3 more months) Notice of Award Issued about months later *Summary Statements come out about 30 days after
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Just in Time (JIT) Required Documents
Other Support Documents (Active & Pending)– All Key Personnel Sponsor Project Number and PI Project Period Person Months Effort (never 0) Sponsor Name Annual Direct Cost Project Title Overlap with other projects IACUC approval date (if Animals) IRB approval letter and date (If Human Subjects Human Subject Training Certificates Other Documents (optional) DHHS Rate Agreements Budget (only if revising) Other requests by Sponsor
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Other Helpful Links InfoEd Proposal Development (PD)
InfoEd PD is the internal mechanism to create and submit grant proposals Grants.gov (multiple Government funding sources) Grants.gov is a central storehouse for over 1000 grant programs and approximately $400 billion in annual awards. NIH eRA Commons Web interface where NIH and the grantee community are able conduct extramural research administration business electronically New department users and Investigators must contact their Grant Specialist to establish an account
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Contacts Grants and Contracts Office
Ellen Jamieson, Director Grants and Contracts Robina Folland, Associate Director Grants and Contracts
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Handouts Sample RFA (Request for Proposal) BMC “FACT SHEET” Proposal Summary Form (e-PSF) and instructions Letter of Intent or LOI (subawards) Financial Conflict of Interest Form Sample Five Page Biosketch Sample Reference Letters Sample Resources and Facilities Sample Resource Sharing NIH Page Guidelines NIH Application Due Dates
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