1. INTRODUCTION TO SPONSORED PROJECTS FINDING THEM FINDING THEM WINNING THEM WINNING THEM SURVIVING THEM SURVIVING THEM GETTING THEM AGAIN GETTING THEM AGAIN Pamela A. Webb Sr. Director, Office of Sponsored Research (650) 724-6613 or pwebb@stanford.edu

2. Agenda What are the various funding sources (industrial, govt agencies, etc)? What is the general process of getting funding? Timeline for RFP, writing, internal review, external review, award, How does the process vary from source to source? What administrative support is usually available to help with getting funding? Funding restrictions, accounting/administration/oversight of spending during proposal and award

3. Lifecycle of a Proposal/Award Pre-AwardPost-Award DevelopmentDevelopment Agency Review (6-9 mos) Project Period 1st Budget Period 2nd Budget Period 3rd Budget Period No Cost Extension Revised Budget Submit Renewal / Competing-Continuation Closeout Final Reports Submit Proposal Pre-Award Costs Award Apply Find/Explore Administer/Monitor (Post-Award Office) Perform (Principal Investigator) Technical Close (Principal Investigator) Financial Close (Post-Award Office)

4. Funding Sources (Hundreds) NIH Rockefeller American Heart Assoc Education Homeland Security Navy Air Force State of California USDA Army LockheedNovartis Pfizer Start-Ups National Kidney Fdn HP Sloan Ford Foreign Govts NASA NSF DARPA CIA Other Universities

5. Finding Funding Opportunities Use Your Faculty Colleagues Commercial Funding Source databases (free to you through Stanford subscription) Community of Science (“COS”) www.cos.com Illinois Researcher Information Services (IRIS) http://www.library.uiuc.edu/iris/ Call Marilou Hemingway, Office of Research Administration, at 650-725-9107 for assistance

6. Governmental Funding Source Databases (Free) National Science Foundation “My NSF” Service http://www.nsf.gov/mynsf/ Grants.Gov “Find” Service http://www.grants.gov

8. Pick how you want to get and see the information

10. My NSF

11. Shows you what you have signed up for already

13. See Handout!

14. www.grants.gov

15. Grants.Gov “Find”

18. No Engineering! Use Science and Technology and Other R&D instead Pick “Private Higher Educational Institution” Or “Public or State Controlled Institutions of Higher Education

19. Sample Email Alert

20. Proposal Writing Tips

21. Proposal Writing Tips http://www.stanford.edu/dept/ORA/osr/sponsor.html

22. See Handout

23. General Timeline Proposal Development 1-6 months in advance of due date (more for highly complex projects) Proposal Doc Preparation1-2 months in advance of due date Proposal Internal Submission1-2 weeks in advance of due date (extra time if cost-sharing, special approvals for space, release time, etc. needed). (Stanford asks for a minimum of 3 days) D DayPROPOSAL SUBMITTED BY INSTITUTION!!!! Much alcohol consumed Acknowledgement by SponsorInstant (electronic submissions) – several weeks Priority Score or Other IndicationIndustry sponsors (1 day to 2 months) of SuccessFoundation sponsors (1-4 months) NSF (5-6 months) NIH (8-9 months) Award Prepared by Sponsor2 weeks – 4 weeks before start date Award Start DateAWARD ISSUED!!!! More alcohol consumed -- may need to be negotiated, reviewed, and returned -- simple awards accepted within a week or so; more complex ones can take up to several months -- some don’t arrive on time -- account setup can take 1-2 weeks

24. The Regulatory Pyramid IndividualGrant/ Contract Terms University Policies Sponsor-Specific Policies Federal Policies Research Policy Handbook NIH, NSF etc. Grants Policy A-21, A-110 Your award

25. Fiscal Fundamentals Who is responsible for: Technical Progress (PI) Financial Status (PI) Administrative Oversight (PI) Errors caught quickly can usually be fixed with minimal hassle

26. Fiscal Fundamentals – ALLOWABILITY: Allowable and unallowable costs are defined in OMB A-21 and in the terms and conditions of specific awards. ALLOCABILITY: Only those expenses which benefit a project may be charged to that project. REASONABLENESS: Costs must reflect what a “prudent person” would pay. CONSISTENCY: Costs must be handled consistently across the University.

27. Know Your Terms and Conditions Comply with terms & conditions of your award Allowability of expenses Pre-approvals Decrease in PI/key personnel effort more than 25% PI leave project for 3 months or more Change in scope Change in dollars needed Change in time needed Reporting requirements communicate….document…communicate…document

28. Proposing Effort No one has more than 100% effort Adjust levels of commitment to reflect reality Proposed versus awarded COMMITTED effort must be BUDGETED Either charge to the sponsor or cost share (salaries may not be cost shared in School of Medicine) When effort is committed, awarded and expended, salary must be directly charged or charged to a cost sharing account.

29. Managing Subawards Select appropriate subrecipients Obtain signed subrecipient proposal for inclusion in Stanford’s proposal Ensure work does not begin without a signed subaward or appropriate alternative arrangement Actively monitor technical progress Review and approve invoices based on technical progress and appropriateness of cost Assist in audit or compliance reviews

30. Early Accounts Obtain a PTA (account number) before the award arrives Department provides a “guarantee” account Useful when: Agency’s paperwork is delayed beyond the official start date You want to begin spending before the official start date (and agency approves) Benefits Charge costs to the right place the first time (avoid transfers later) Properly track expenses Avoid allocability questions Open an Early account when an award is delayed.

31. Late Expenses/ No Cost Extensions Late-in-period equipment acquisitions will invite sponsor and audit scrutiny - document carefully Expenses may NOT be charged after a project end date, unless: the cost is for something that was acquired and consumed within the project period, OR you have written permission from the sponsor You or your subrecipient need more time? If you have money left, ask for a No-Cost Time Extension (generally, 30 days before end date). Get a no-cost extension if you need more time at the end.

32. Equipment Expenditures for general- purpose equipment usually require pre-approval Look for terms concerning Equipment title Joint funding Equipment fabrication Acquire, use, track and dispose of equipment in an authorized manner

33. Project Completion and Record Retention Submit ALL required reports in a timely manner Technical Inventions Final equipment inventories Final financial reports Keep records for a minimum of 3 years from closeout (can be longer if circumstances require) Scientific Financial Submit all reports on a timely basis