Proposal Development and Budgeting Basics
Designed to navigate administrative requirements of proposal and budget development for improved application review and funding chances. Explore award lifecycle, proposal timelines, and program types.
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Proposal Development and Budgeting Basics Ellen Jamieson Director, Grants and Contract BMC Research Operations
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 2
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) Tracking and Accounting Progress Reports Incurring Costs and Purchasing Account Set Up Others involved Subaward Processing and Negotiating Prior Approval Requests Principle Investigator Research Administrator Grants and Contracts Office Research Finance 3
Proposal Timelines 2 3 Months Prior to Deadline 1 Month 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 5 Days prior to Deadline (At least) Collect all Biosketches, etc..; Develop Budget & Justification; Obtain Subcontractor Documents (LOI, Budget, Scope of Work, etc.) 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
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. http://grants.nih.gov/grants/funding/ac_search_results.htm 5
Proposal Preparation Sponsor Guidelines Read the Program Announcement / Instructions thoroughly Sponsor s policies and procedures Review Criteria NIH SF424 RR Guidelines and Forms http://grants.nih.gov/grants/funding/424/index.htm BMC Grants Administration Websites Contains links to sponsor guidelines, forms, and instructions BMC Grants Administration: http://internal.bmc.org/grants/pre_award.html 6
Sponsor Instructions Paper or Electronic? When due? Required NIH Forms (http://grants.nih.gov/grants/funding/424/index.htm) 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 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 http://www.niaid.nih.gov/researchfunding/grant/pages/appsamples.aspx#r01 8
New NIH/AHRQ Biosketch Biosketch Sections Old Format New Format Number of pages 4 5 Description of why investigator is well-suited for their role on project Same; Plus up to 4peer reviewed publications A. Personal Statement List in chronological order previous positions List Honors and Memberships on any Federal Government public advisory committee Same B. Positions and Honors List of 15 relevant publications Not applicable C. Publications (old) Not applicable 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. Same C. (new) Contribution to Science List ongoing and completed research projects for past three years (no dollars, effort, or overlap) D. Research Support New Biosketch format required for all applications after 5/25/2015 See NOT-OD-15-032 9
BUDGETS 10
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 11
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 Examples of IDC Utilities (lights, heat, etc) Fringe Depreciation Equipment Supplies Travel Patient Care Costs Subawards, etc.. Housekeeping Hospital Services Building Improvements Compliance 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 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) (http://grants.nih.gov/grants/guide/notice-files/NOT- OD-14-043.html) 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 13
Direct Costs - Fringe Benefits BMC FB Rates 10/01/12 31.2% BMC Staff BU FB Rates* 27.6% Professional 24.9% Support Staff N/A Consultant 9.5% Graduate Students 29.2% Professional 26.5% Support Staff N/A Consultant 9.5% Graduate Students FB Rates - Federal Non-Federal FB Rates 10/01/12 31.2% BMC Staff * BU FB Rates as of 07/01/2014; these are renegotiated each year 14
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:http://www.gsa.gov/portal/content/100715; and http://internal.bmc.org/policy/pdf/HospitalWide/39_04_519_Travel_082014.pdf Animal Per diem costs for animals, and purchasing costs for different species can be found at:http://www.bu.edu/animalcare/services/per-diem-rates/ and http://www.bu.edu/animalcare/services/animal-ordering/ Patient Care Costs Inpatient/Outpatient Service Charges (Hospital services with CPT codes) - E-mail the Clinical Trial Office at CTO@bmc.org 15
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). 16
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 17
Direct Cost Typically Unallowable Alcohol Entertainment Fixed Phone Charges Office Supplies Subscriptions Membership Dues Copier Charges 18
Modular Grants http://grants.nih.gov/grants/funding/modular/modular.htm 19
BMC Indirect Costs Indirect Costs or IDC = Facility and Administrative Costs (F&A) = Overhead Federal Indirect Cost Rates Research: 10/1/14 74% on site 10/1/12 17.8% 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 20
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 21
Timeline: Submission to Award (NIH) Approximately 10 months After Review Submission Review Organization submits application to Sponsor by receipt timeline Assignment to Institute (within two weeks) Advisory Council recommends funding after second level review (2 - 3 more months) Assignment to reviewers (3 months) Federal Applications go through grants.gov then eRA Commons Notice of Award Issued about 1 - 2 months later Initial peer review (1 - 2 more months)* *Summary Statements come out about 30 days after 22
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 23
Other Helpful Links InfoEd Proposal Development (PD) InfoEd PD is the internal mechanism to create and submit grant proposals http://www.infoed.partners.org Grants.gov (multiple Government funding sources) Grants.gov is a central storehouse for over 1000 grant programs and approximately $400 billion in annual awards. http://www.grants.gov/index.jsp 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 https://commons.era.nih.gov 24
Contacts Grants and Contracts Office Ellen Jamieson, Director Grants and Contracts 617-414-5646 Ellen.Jamieson@bmc.org Robina Folland, Associate Director Grants and Contracts 617-638-7536 Robina.Folland@bmc.org 25
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 26
