The nuts ‘n bolts of submitting a grant proposal… Trish Lowney, Ph.D. Exe Dir, Office of Sponsored Programs osp.syr.edu | plowney@syr.edu | 113 Bowne Hallplowney@syr.edu.

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Slide 1 The nuts n bolts of submitting a grant proposal Trish Lowney, Ph.D. Exe Dir, Office of Sponsored Programs osp.syr.edu | plowney@syr.edu | 113 Bowne Hallplowney@syr.edu Slide 2 Topics Why pursue external funding How to find likely sponsors The Application Process Peer/Merit Review Characteristics of a compelling application Other important matters Key Terms Slide 3 Why pursue external funding Need more resources than have in hand to conduct or disseminate research As a grad student Establish track record of success As a post doc Enables pursuit of *your* interests Establish or build up track record As a faculty member Increase amount and pace of work can do Train next generation of researchers / investigators Tenure / promotion Slide 4 Proposal development lifecycle Idea Identify Sponsor Obtain all application materials Develop proposal Internal Feedback Internal Approvals OSP Submits Wait 6-9 months Award Do good & important Work Complete application correct format Slide 5 How to find likely sponsors Ask your advisor / colleagues whove come before you Check out the acknowledgements section of your literature Search Community of Science, Illinois Research Information Service http://osp.syr.edu/Finding%20Funding/Search% 20Engines/subscription-databases.html http://osp.syr.edu/Finding%20Funding/Search% 20Engines/subscription-databases.html Then investigate promising leads. Slide 6 Investigating promising leads. Confirm that your interests / needs align with sponsors How? Review sponsors mission, current interest, topics.. Review open FOAs Review recent awards ID who will shepherd at sponsor (program officer - PO) CONTACT PO well in advance of deadline ??s - Is program, mechanism appropriate for proposed project?? Send concept paper (see OSP website) What are common proposal weaknesses GOAL - Develop a relationship with this person Slide 7 Promising leads. Open FOAs Grants.gov the central portal for federal financial assistance Agency solicitations NIH The NIH Guide: http://grants.nih.gov/grants/guide/index.html http://grants.nih.gov/grants/guide/index.html NSF Find Funding: http://www.nsf.gov/funding/ http://www.nsf.gov/funding/ USED IES Funding Opportunities: http://ies.ed.gov/funding/ http://ies.ed.gov/funding/ Sign up for electronic notification Slide 8 Promising leads. Recent awards NIH http://projectreporter.nih.gov/reporter.cfm http://projectreporter.nih.gov/reporter.cfm Includes study section/review panel group Review who members are NSF http://www.nsf.gov/awardsearch/ http://www.nsf.gov/awardsearch/ USED IES http://ies.ed.gov/funding/grantsearch/index.asp http://ies.ed.gov/funding/grantsearch/index.asp Get copies of funded applications Awarded folks might be future collaborators or colleagues! Slide 9 Sample FOA & solicitation FOA http://www.grants.gov/search/search.do;jsessionid=3rhDM T8T98ZcFXGjCGG1MMqmdTBpBHflcWvDznWgTvL5Fy GW2p9Y!240750350?oppId=44094&mode=VIEW http://www.grants.gov/search/search.do;jsessionid=3rhDM T8T98ZcFXGjCGG1MMqmdTBpBHflcWvDznWgTvL5Fy GW2p9Y!240750350?oppId=44094&mode=VIEW Instructions Application (pdf envelope decorated with attachments) Linked Agency solicitation http://grants.nih.gov/grants/guide/pa-files/PA-08-169.html http://grants.nih.gov/grants/guide/pa-files/PA-08-169.html Agency /program-specific application instructions FOA + solicitation + application instructions together = information you need to apply Slide 10 Instructions NIH SF424 (R&R) http://grants.nih.gov/grants/funding/424/index.htm http://grants.nih.gov/grants/funding/424/index.htm NSF the Grant Proposal Guide for FASTLANE http://www.nsf.gov/pubs/policydocs/pappguide/nsf 11001/gpg_index.jsp http://www.nsf.gov/pubs/policydocs/pappguide/nsf 11001/gpg_index.jsp USED IES Not quite generic (varies with CFDA #) http://ies.ed.gov/funding/ncer_rfas/readwrite.asp http://ies.ed.gov/funding/ncer_rfas/readwrite.asp Slide 11 Instruction aids.. Does OSP have summaries or checklists for sponsors instructions? Yes NIH, NSF If not ask if can be developed Use of these summaries does not relieve you of obligation to know all information in application package. Slide 12 Proposal development lifecycle Idea Identify Sponsor Obtain all application materials Develop proposal Internal Feedback Internal Approvals OSP Submits Wait 6-9 months Award Do good & important Work Complete application correct format Slide 13 The Application Process READ FOA & instructions This will take healthy chunk of time Mechanics of submission Internal routing & review process Slide 14 Application Instructions common components Summary (NIH - narrative; other labels) Research Plan / Narrative / Description Bibliography, references cited Biographical sketches Current & Pending support (NIH JIT) Budget & justification Facilities, Resources, Equipment Other stuff required or allowed Follow instructions exactly this is not time to be creative. Questions? Ask OSP or PO. Let your narrative convey your enthusiasm, creativity, importance and innovation of your work Slide 15 Application components Research Plan / Description What you are going to do and how you will do it (among other things) Budget How much $$ you need Budget is the financial expression of work plan Understand sponsors award limits NIH direct costs NSF, IES total costs Slide 16 Sponsor award amounts Direct costs, e.g., R03 - $50k direct costs /yr for 2 years R21 max of $250k direct costs for 2 yrs NIH then add IDC to this amount for total award Total costs Direct + indirect costs $200k total costs = $137k direct costs for research POINT: Funds available dictate amount of work can do.. Slide 17 Mechanics of Submission Grants.gov (NIH, (PHS), IES, others) DO NOT REGISTER unless award to individual DO download the application package Sign up for alerts for solicitation things change and its your obligation to be aware of latest & greatest OSP submits as authorized institutional rep FASTLANE (NSF) Ask OSP to create account name, degree and year issued Other processes ProposalCentral? Paper? Specific website? Work with OSP. Slide 18 Internal Routing and Review Internal Routing and Review form osp.syr.edu Why do we care? We are certifying to the accuracy, completeness, truthfulness of all materials, assuring compliance with all applicable federal regulations, and agreeing to comply with all applicable terms and conditions for award, among other things. We need the fully signed IRR to do this (you do this too on IRR) OSP service guidelines http://osp.syr.edu/About%20Sponsored%20Programs/ OSP%20Service%20Guidelines/OSP%20Service%20G uidelines.html http://osp.syr.edu/About%20Sponsored%20Programs/ OSP%20Service%20Guidelines/OSP%20Service%20G uidelines.html Slide 19 Proposal development Plan on being finished 2 weeks before deadline Work backwards from THAT internal deadline Do you need materials from others? Collaborators, advisors, mentors, references? Inform asap, do as much prep work for them a possible OSP will not submit application that names folks from whom we dont have proper written permission Non-SU individuals: letter of collaboration Non-SU organizations: letter of commitment/consortium agreement New collaboration form coming to help with FFATA requirements Give yourself plenty of time Have others read draft narratives (including Program Officer if youve budgeted time) Your advisor and others need to sign off on IRR Slide 20 Peer/Merit Review Understand how your application will be reviewed Whats the process used Who are the reviewers Is there anything unusual about your application what requires special consideration? Suggest ad hoc reviews Select appropriate review panel (NIH CSR) Application must respond to review criteria Slide 21 Characteristics of a compelling application clearly communicates Great / Important idea! Best approaches to take Rationale for choices Alternatives presented Speed bumps identified Qualified and capable applicant All expertise needed for success is available All resources needed for success are available Slide 22 Characteristics of a compelling application SO WHAT conveyed Significance of idea Context presented and consequences / impact of outcomes achieved Significance of each aim Analysis and interpretation of results (expected & unexpected) Next steps presented Slide 23 Characteristics. Exciting, informative, importance / significance crystal clear Easy to read Avoid jargon (or clearly define) Remember the reviewer White space Judicious use of cartoons, illustrations, tables etc (a picture is worth a thousand words) Follow instructions Formatting errors return without review Slide 24 Other important matters Human Subjects Animal Subjects Financial Conflicts of Interest Environmental Health and Safety Slide 25 Summary Understand process Plan ahead (time management) Grant development not to be done in isolation Ask for input, help early & often Every institution has an OSP (may have different names) were available to help. Slide 26 Funding opps for grad students.. F31- Pre-doctoral fellowships http://grants.nih.gov/training/F_files_nrsa.htm http://grants.nih.gov/training/F_files_nrsa.htm F32 Postdoctoral fellowships http://grants.nih.gov/grants/guide/pa-files/PA-10- 110.html http://grants.nih.gov/grants/guide/pa-files/PA-10- 110.html Pathways to independence http://grants2.nih.gov/grants/guide/pa-files/PA-10- 063.html http://grants2.nih.gov/grants/guide/pa-files/PA-10- 063.html NSF- SBE Doctoral Dissertation Improvement Grants http://www.nsf.gov/funding/pgm_summ.jsp?pims_i d=13453&org=NSF&sel_org=NSF&from=fund http://www.nsf.gov/funding/pgm_summ.jsp?pims_i d=13453&org=NSF&sel_org=NSF&from=fund Slide 27 Key Terms Funding Opportunity Announcement (FOA) How the federal govt communicates to public its interest in supporting a program ordinarily through grant or cooperative agreement HOW: Find Grants.gov and agency sites NIH Types of FOAs: Program announcement (PA (and PAR / PAS)), Request for Applications (RFA) NSF - Types of FOAs: Dear Colleague Letter, Program Description, Program Announcement, Program Solicitation Financial Assistance Awards that transfer money, property, or services to a recipient so that it can accomplish a public purpose. Has a catalogue of federal domestic assistance number (CFDA no) Slide 28 Key Terms Grant Legal instrument for a type of financial assistance award to institution or individual; ordinarily incorporates provisions from OMB circulars (Office of Mngt & Budget) A-110, A-21, A-113 Cooperative Agreement Variation on grant award; has significant involvement /engagement / oversight of agency program officer Procurement Awards that transfer money to a recipient so that it can address a need or purpose for the benefit the agency. Agency presents specifications, deliverables etc Slide 29 Key Terms Contract Legal instrument for procurement; provisions governed by Federal Acquisition Regulations (FAR) Sponsored Program At SU any activity supported by a third party through any legal instrument with SU with period of performance. Managed by Office of Sponsored Programs Program officer (or manager, director) Individual at agency / sponsor who is responsible for overseeing technical aspects of award. Ordinarily is not authorized to obligate agency or funds on behalf of sponsor. Slide 30 Key Terms Grant or contract officer Individual at agency / sponsor who is responsible for administrative/contractual aspects of award. Is authorized to obligate agency or funds on behalf of sponsor. Principal investigator (or Project Director) Individual at SU who is responsible for overseeing technical aspects of award. Is not authorized to obligate SU resources. Authorized Institutional Official (Representative) Individual at SU who is responsible for administrative/contractual aspects of award. OSP Research Administrators: authorized to obligate agency or funds on behalf of sponsor. OSP Exe Director: authorized to execute contracts up to $500,000

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