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Grant Writing for Early Childhood Educators

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Grant Writing for Early Childhood Educators Dr. Donna Satterlee and Mrs. Catherine Bolek Patents and Inventions Who owns the efforts of your work? – PowerPoint PPT presentation

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Title: Grant Writing for Early Childhood Educators


1
Grant Writing for Early Childhood Educators
  • Dr. Donna Satterlee
  • and
  • Mrs. Catherine Bolek

2
Presenters
  • Dr. Donna Satterlee, Senior Lecturer, has
    received grant awards to support the University
    of Maryland Eastern Shores Child Development
    Education Program.
  • Mrs. Catherine Bolek, Director of Sponsored
    Research and Programs at the University of
    Maryland Eastern Shore with more than 30 years of
    grant writing and administrative experience.

3
Contact Information
  • Dr. Donna Satterlee djsatterlee_at_umes.edu
  • Mrs. Catherine Bolek csbolek_at_umes.edu

4
Access to PowerPoint Slides
  • You can assess the slides at -
  • www.umes.edu/osp - right side of the screen.
  • Look for Grant Writing for Early Childhood
    Educators.

5
Raffle
  • 4 hours of free grant consulting
  • Complete raffle form, fold several times, and
    place it in the bowl.
  • NOTE We are not selling any services. This is
    a donation of time to assist a colleague who is
    new to the world of grantsmanship.

6
Relaxed Mode
  • We invite your questions and comments.
  • Please feel free to call for a break.
  • If you have additional information, please share.
  • Get comfortable.

7
Mix of Skills and Experience
  • Because the audience is made up of a mix of
    professionals including single day-care
    providers, owners of large day-care facilities,
    university faculty, etc., we have tried to cover
    a wide base of general grant writing information.
  • If we miss something, let us know.

8
Exception to the Rule!
  • We are going to speak in general terms about what
    is the most likely experience of a grant writer,
    recognizing that exceptions exist in every field.

9
Topics
  • Preparing to be a grantee.
  • Selecting a project (e.g., research, program).
  • Discussion of funding mechanisms and ramification
    of accepting an award.
  • Identifying funding sources.
  • Preparing the application.
  • Surviving peer review process.
  • Administering an award.
  • Reapplying when unsuccessful.

10
Preparing to Be a Grantee I
  • Is my organization a good candidate for a grant
    award?
  • Fiscal Health
  • Vetted cost accounting system
  • Current audit report
  • Grants management history
  • HR Policies in line with government requirements
  • Drug free work place
  • American with disabilities
  • Lobbying
  • Non-discrimination

11
Preparing to Be a Grantee II
  • Personnel with the right qualifications
  • Training
  • Experience
  • Certificated
  • Certificates and regulations in place
  • State and local government requirements
  • Professional requirements

12
Preparing to Be a GranteePart III
  • Am I the right person from my organization to be
    the program manager (Principal Investigator)?
  • Education
  • Specialized training
  • Prior directly related training
  • Do I have the time to prepare a competitive grant
    application?
  • What are my current commitments?
  • What happens if there are unexpected problems?
  • Adequate staffing?
  • Do I have the necessary resources to complete the
    application?
  • Can I do electronic submission of an application?
  • Support from external sources (e.g., high school
    volunteers)?

13
Preparing to Be a GranteePart IV
  • Program Grants
  • Education
  • Services
  • Enhancements
  • Training
  • Research
  • Survey
  • Experimental studies

14
Research Projects
  • Data driven projects (e.g., pre and post test
    assessment of cognitive skill development)
  • Requirement for human subjects protection.
  • Written informed consent.
  • Parental consent in the case of a minor.
  • Research protocol reviewed by an institution
    review board with NIH assurance.
  • Obtain courtesy review by a local university, if
    your organization lacks such a committee.
  • Responsible conduct of research training.

15
Non-Research Projects
  • Not a data driven project
  • Have fewer compliance and reporting criteria.
  • Project examples, curriculum improvement,
    after-school care, purchase of equipment and
    supplies, staff training, site visits.

16
Preparing Your Organization to be a Grant
Recipient
  • Registration with grant.gov (federal)
  • Registration with federal contractor site (CCR)
  • Registration with data university numbering
    system (DUNS)
  • Obtain an employee ID number (EIN) non-profit
  • Taxpayer ID number (TIN) for-profit
  • Learn individual state requirements

17
Eligibility
  • 501 (c ) 3, government entity, or for-profit
    status
  • Proof of financial stability (e.g., audit report)
  • Sufficiently capitalized
  • Right mix of training and experience
  • Legal status
  • Requirement for certification
  • Insurance
  • Policies and guidelines (e.g., ADA, Drug Free
    Workplace)
  • Licensing

18
Cost Accounting System and Capitalization
  • Does your organization have the ability to track
    all expenditures?
  • Does your organization have the funds to pay for
    project costs until you are reimbursed by the
    funding agency?
  • Can your organization guard against co-mingling
    of funds?

19
Indirect Cost, Cost Sharing, Matching Funds
  • Indirect Cost administrative funds awarded in
    addition to direct costs. More on this later.
  • Cost Sharing a contribution made by your
    organization to the direct cost of a project. For
    example, 10 of your labor hours.
  • Matching funds a dollar contribution made by
    your organization. For example, a 50 to 50
    match.

20
Indirect Costs
  • Does your organization have an indirect cost
    rate?
  • Indirect costs are those costs associated with
    the conduct of a project not covered by the
    direct cost. For example, janitorial services,
    purchasing and human resources departments,
    lights and air conditioning.

21
Next Level of Discussion
  • Understanding funding mechanisms.
  • Grants
  • Cooperative agreements
  • Contracts
  • Gifts and donations
  • Volunteer assistance

22
Understanding Funding Mechanisms
  • Various funding mechanisms carry different legal
    and regulatory requirements.
  • Understanding these requirements keeps us out of
    trouble with funding agencies and foundations.
  • Also, understanding the obligations up front
    reduces problems during the period of performance
    and close out.

23
What is a Grant?
  • Funds provided by an external source (e.g.,
    state government).
  • Awards come with terms and conditions.
  • Federal grants are subject to strict laws and
    regulations.
  • Grants are best level of effort mechanisms.
  • Grants are generally cost reimbursable
    mechanisms. Your organization receives the funds
    after the fact.

24
Other Funding Mechanisms
  • Cooperative Agreements a grant with more
    restrictions
  • Contracts
  • Contracts are legal, binding mechanisms requiring
    performance, timelines, and cost restrictions.
  • Use caution when entering into a contractual
    agreement.
  • Gifts and Donations usually no formal
    requirements and few restrictions on spending.

25
Other Sources of Support
  • Government Benefits
  • Rural Development Loans and Grants
  • Scholarships and Fellowships

26
What will a Grant Award Support?
  • Salaries and fringe benefits
  • Materials and supplies
  • Equipment
  • Travel
  • Consultants
  • Sub-contracts
  • Administrative costs (indirect costs)

27
Grants.gov
  • Most grants being submitted to the Federal
    government, are submitted through the internet
    site know as grants.gov.
  • Organizations must register with grants.gov.
  • You can download the electronic application and
    submit it to your authorized representative. For
    universities, the Office of Sponsored Programs
    will be the authorizing representative.

28
Since Everyone Cannot Agree
  • Several federal agencies opted out of the
    grants.gov service.
  • For Example
  • The National Science Foundation has Fastlane
  • The National Atmospheric and Space Administration
    has NSPIRES.
  • Federal Emergency Management Administration has a
    mystery system.
  • NOTE Instead of making the process simpler, the
    electronic application is more time consuming and
    can fail at the last minute.

29
Foundations are Moving to Electronic Applications
  • Foundations like the idea of electronic
    applications, saves time and improves management
    of hundreds of documents.
  • Unfortunately, there is no common format.
  • Many electronic forms cannot be opened using
    browsers such as Chrome, Foxfire, Mozilla, and in
    a few cases even, Google.
  • Several foundations ask for the files in PDF
    and/or require an acrobat writer to complete the
    application.

30
Human Subjects Protection
  • All grants involving data collection for the
    purpose of evaluating program outcomes (e.g.,
    weight loss, improved nutrition, substance about
    prevention), must be reviewed by an authorized
    Institutional Review Board to ensure the
    protection of subjects of research.
  • Check out the Belmont Report and assurance
    requirements located at www.nih.gov.

31
Internal Review and Sign-Off Process
  • Be sure that your organization is on board with
    your plans.
  • Know the internal process for approving
    applications.
  • Seek the help of those with more experience.
  • When possible, pull together a team including an
    editor and an accountant.

32
Assess Your Strengths and Weaknesses
  • What talents are you bringing to the table?
  • Are your colleagues and others involved in the
    proposed effort the correct team?
  • Identify weaknesses (e.g., lack of financial
    expertise)
  • Identify strategies to address any weaknesses.

33
The National Economy Receiving a Grant in Tight
Times
  • Most foundations rely on interest payments and
    donations as their major source of revenue.
  • Government agencies rely on congressionally
    approved budgets.
  • Private Sources, including the business sector,
    rely on employee contributions.
  • What does this mean to you?

34
What Can You do to Offset This Situation?
  • Lower expectations
  • Prepare more applications
  • Prepare more competitive applications
  • Work collaboratively with agencies and
    organizations with similar goals
  • Prepare regional application with experienced
    partners
  • Develop expertise in locating the best match for
    your organization.

35
Finding a Funding Source
  • Grants.gov (federal only)
  • Foundation Centers.com
  • Community of Science
  • Googling for Grants
  • Going to the Ivy League for help
  • State agencies
  • Professional organizations
  • Refer to Handout

36
Googling for Grants
  • www.google.com
  • Access to the World
  • Search string
  • Grants for early childhood education
  • Grants for pre-schoolers
  • Grants for preschoolers
  • Grants for nursery schools
  • Grants for day care facilities
  • Funding for early childhood training
  • Refer to handout for a list of potential funding
    sources

37
Working the Ivy League
  • www.yale.edu/researchadministration
  • http//vpf.web.harvard.edu/osp
  • http//web.princeton.edu/sites/TreasurersOfice/Bud
    get/SponsoredResearchAdministration
  • http//www.research.psu.edu/osp/index.html

38
Funding Databases
  • IRIS or SPIN commercial databases available at
    many universities search 100,000 of
    opportunities
  • MOLIS Services for minority institutions
  • Community of Science Funding opportunities for
    the sciences
  • National Library of Medicine Health related
    funding sources (mainly research-based)
  • Grants-alert Not-for-profit information

39
Other Sources of Funding Information
  • American Association of Grant Professionals found
    online at grantprofessionals.org.
  • Check with the organizations you are a member of
    such as NAEYC.
  • State, county, and local agencies.
  • Local community foundations.
  • Animal clubs (e.g., Elks, Moose), they provide a
    of the proceeds from gambling events.

40
Who to Stay Away From
  • Non-profit organizations, in general, have a URL
    address ending in org and edu government uses
    gov.
  • Commercial sources have a URL address ending in
    net and com.
  • These commercial sources are trying to sell you
    something or obtain private information on you or
    your organization.
  • Typically, you can find this information on your
    own.

41
Reading the Program Announcement
  • Print the announcement.
  • Note due date.
  • Check eligibility criteria.
  • Look for special requirements.
  • Call the funding source if you have questions.
  • Check with your administration for approvals.
  • Read the announcement a second time and make
    margin notes of actions you will need to take to
    complete the application.

42
Making the Decision to Apply
  • Does the announcement speak to your need(s) and
    expertise?
  • Do you have sufficient time and resources to
    prepare a competitive application?
  • Are all the necessary team members on board and
    do they have the time to provide assistance?
  • Should you wait until the next round?

43
Ready to Write
  • Planning
  • What do you need the grant for be very
    specific?
  • Who will work on the application?
  • Do you need external support?
  • Develop a timeline and stick to it.
  • Have you notified all partners to the project?
  • Will you need letters of support and/or
    commitment?

44
Concept Development and Content Requirements
  • Develop a clear statement of need.
  • The statement must be clear, convincing and
    compelling.
  • Collect background data on the need you are
    addressing (e.g., a community-based needs
    report).
  • In some cases, you will need references from the
    research literature.
  • In other cases you will be required to use
    evidence or research-based interventions.

45
Typical Proposal Sections
  • Abstract
  • Statement of need
  • Target population
  • Goals/objectives
  • Program Description
  • Evaluation plans
  • Timetable
  • Key personnel
  • Suitability plan
  • Reporting
  • Budget and budget justification

46
Common Attachments
  • Resumes
  • Letters of support and/or commitment
  • Audit report
  • List of board members
  • References
  • Evaluation forms

47
Pre-Proposal Activities
  • Rereading the program announcement (sometimes
    referred to as a request for proposal).
  • Is a letter of intent required?
  • Will you need letters of support or
    collaboration?
  • Will there be a need for sub-awards?
  • Are cost-share or matching funds required?
  • Are indirect costs allowed?

48
Contacting the Funding Source
  • If the source is local, arrange for a visit, it
    may save you both time and effort.
  • Bring a one page summary with goals, expected
    outcomes, and projected costs.
  • For funding sources that are not local, call or
    email your questions.

49
Attending Pre-proposal Meetings
  • Can you afford the cost of travel to the meeting?
  • Can you attend using an electronic media?
  • Prepare your questions in advance.
  • Take notes.
  • Federal agencies generally provide a transcript
    of the meeting (contracts only) for your use when
    preparing the application.

50
Letter of Intent
  • Very brief statement including working title,
    program announcement number, goals, approach and
    contact information.
  • The letter is used by peer review administrators
    to determine the number of applications they will
    need to process and not to make judgment about
    the quality of the proposed effort.

51
Understand the Rules of the Grant Game
  • Tailor each application to meet the specific
    requirements of the program announcement.
  • Make the application easy to read. Peer
    reviewers may be assigned 5 or 6 proposals at a
    time and cant take the time to figure out what
    an applicant is trying to say.
  • Be positive and optimistic in your writing style.

52
Avoid the Big No Nos
  • Failing to follow directions.
  • Applying for projects beyond the teams
    experience.
  • Asking for too much money or too little money to
    complete the project.
  • Applying blindly.
  • Not applying at all when you are well qualified.

53
Scheduling Your Time
  • Create a timeline for proposal development.
  • Read the program announcement.
  • Contact others involved in the project.
  • Agree on Writing Assignment for materials
    gathering.
  • Establish a deadline for drafts 1, 2, 3.
  • Determine the drop dead date.

54
Selecting the Editor
  • Not your mother, spouse or best friend.
  • Select someone with the skill, time and
    enthusiasm to carefully read and critique your
    manuscript for
  • Coherence and clarity
  • Missing or overlapping information
  • Inconsistencies
  • Compelling argument

55
Establishing Credentials
  • List the relevant past history of your
    organization.
  • How many years in operation?
  • How many employees?
  • What type of credentialing?
  • What type of insurance?
  • How are background checks handled?
  • Audit reports and accounting information??

56
Writing the Proposal
  • Phase 1 One strategy for creating your proposal
    content is to download the application
    instructions and save them as a word processing
    file. For example, the funding source provides
    the guidelines and format that you have
    downloaded from their site and save.
  • NOTE Saving the growing proposal on at least
    two sites (e.g., travel drive) avoids problems
    with crashes.

57
Writing Contd
  • Phase II In one sitting, use the fill in the
    blank approach maintaining the funding agencys
    headings for each section and paragraph.
  • Even if it is only one sentence, try to complete
    something in each section. Remember, you dont
    have to go in order, complete the sections that
    are easiest for you first.
  • Now go back and add questions, notes, names and
    phone number of people you need to contact to
    complete the application.
  • Save frequently.
  • Print out a hard copy when you have completed
    each writing session.

58
Writing Contd
  • Phase III Continue with completing the
    application until done.
  • Edit and then have someone else edit the
    application for typos, contradictions, missing
    information, and inaccuracies. Ask them to be
    tough!
  • Check the budget and budget justification and
    then have a second person run your numbers, just
    to be sure.

59
Writing Contd
  • Phase IV Rout the completed application for
    internal review.
  • Arrange for submission (e.g., electronic, mail,
    email attachment).
  • Confirm receipt of the application.
  • Create a file system for future reference and
    store a hard copy with all related documents.
  • Light the candles!

60
Application Content
  • Freedom of Information Requests may take 6
    weeks, cost you money, come so redacted that you
    dont benefit from the content, or come three
    days after your submission deadline.
  • Good sources for sample applications
  • http//www.imls.gov/applicants/sample.shtm
  • http//www.npguides.org/guide/sample_proposals.htm

61
Carefully Review Evaluation Criteria
  • Most program announcements contain the criteria
    to be used by the peer reviewers.
  • Technical understanding/approach -35
  • Capabilities and experience 25
  • Evaluation approach 25
  • Facilities and equipment 15
  • Have a section that uses headings and provide
    your evidence, as appropriate.

62
Writing Tips
  • Take care with your language.
  • Be kind to the reader.
  • Use headings, charts and graphs.
  • Use logical transitions.
  • Be enthusiastic.
  • Avoid ambiguous language.
  • Support your statements with facts.
  • Do not rely on self-editing.
  • Craft a good, interesting story that sells your
    ideas.
  • Dont make excuses.

63
Format
  • Always, always, always use the format provided in
    the application instructions.
  • Creating your own format is generally a bad idea,
    because the peer reviews have been trained to
    follow the application instructions.
  • Be sure to follow instruction for font type and
    size, margins, and other format instructions.

64
Two More Words on Format
  • You dont like the format, you have a better
    idea. Too bad, stick with the posted format.
  • A confused peer reviewer, is an unhappy reviewer
    and unhappy reviewers give poor scores!_at_!!!!

65
Problem Sections
  • You are very likely up-to-speed in your field and
    dont need a lot of preparation work to complete
    aims, goals, objectives, and even approaches.
  • Evaluation, sustainability, key personnel, budget
    and budget justification sections, maybe more
    problematic.

66
Evaluation
  • Focus groups (identifies trends).
  • Surveys (least effective in terms of scientific
    accuracy).
  • Formative and summative (simple and quick, gives
    you a good picture of whats happening).
  • Pre- and post-test assessment (more complicated,
    but more robust).

67
Im Only Collecting Outcome Data
  • Sorry, if you have a grant award and are
    collecting data for the purpose of publishing or
    presenting the data at a conference, you must
    obtain informed consent from the parents or
    guardians of minors.
  • Your organization may have an Institutional
    Review Board that reviews and approves research
    protocols.

68
Sustainability Language
  • The University is committed to this project and
    will continue to support these efforts using a
    mix of University funds and continuation grant
    funds. A letter of commitment can be found in
    Attachment C.

69
Key Personnel Sample Language
  • Dr. Miranda Smith, Director of the Early
    Childhood Center, will serve at 25 time to carry
    out the day-to-day management of the project.
    Dr. Smith has the requisite training and directly
    related skills to conduct the proposed effort
    having successfully managed the Center for the
    past 18 years. Dr. Smith will hire the teachers
    using established Center hiring criteria, provide
    supervision, hire a consultant to conduct the
    evaluation, prepare reports and meet with the
    foundation during the annual assessment seminar.
    In addition, as warranted by the data, she will
    prepare manuscripts for publication in the
    scholarly literature. Her resume can be found in
    Attachment B.
  • Teachers will be recruited from the local
    community to serve at 50 time during the project
    period. Teachers must be certified special needs
    educators and pass state required mandates
    including finger printing.

70
Budgets Can Be Tricky
  • Direct Costs - Those costs that are needed to
    conduct the proposed project.
  • Personnel, fringe benefits
  • Other Direct Costs Non-personnel costs.
  • Materials, supplies, consultants, travel,
    renovation
  • Indirect Costs (usually, restricted to large
    institutions doing business with the federal
    government).

71
Indirect Cost Agreements
  • Large organizations, such as a university, submit
    a cost proposal to the federal government on a
    periodic basis.
  • In turn, the federal government determines the
    cost of doing business and based on this
    determination establishes rates. For example,
    the University of Maryland Eastern Shore rates
    are 52 of salary and fringe benefits for on
    campus work, 21 for off campus work, and 9 for
    Inter-governmental Personnel Act employees.

72
Ethical Issues
  • Protection of human subjects of research
  • Confidentiality
  • Informed consent
  • Custody of data
  • Privacy Act
  • Misconduct in Science
  • Plagiarism
  • Falsification
  • Fabrication
  • Disclosure Problems
  • Negligence
  • Self-deception

73
Notes on Budgets
  • Build your budget as you prepare the application.
    Every time you write a section where costs are
    involved, make a matching note in the developing
    budget.
  • When constructing a budget, be very thoughtful
    about how you are going to spend funds requested.
    Some funding agencies do not allow for major
    re-budgeting post award.
  • Most governmental grants are cost reimbursable
    mechanisms. That means, you spend your
    organizational funds and bill the government
    agency after the fact.
  • If you are new to grantmanship, meet with your
    organizations grant accountant and become
    acquainted with the grants management process.
    Its never too early to become a knowledgeable
    consumer of grant management information.

74
Budget
  • Personnel Level of Effort Total
  • Director 25 25,000
  • Teachers (4) 50 100,000
  • Fringe Benefits (32) 40,000
  • Subtotal 165,000
  • Other Direct Costs
  • Materials and Supplies 45,000
  • Consultant 5,000
  • Subtotal 50,000
  • Indirect Costs (52 salary fringe Benefits)
    85,000
  • Total 300,800

75
Budget Justification
  • Personnel
  • Director will work 25 time on the proposed
    effort serving as the day-to-day supervisor to
    project staff, report preparation, evaluation
    analysis, and meetings with the foundation.
  • Four teachers will work 50 time on the proposed
    effort providing daily training sessions to
    children with special needs.
  • Materials and Supplies
  • Books, calculators, and other assistive
    technology will be purchased for the 50 students
    who will be participating in the program.
  • Consultant
  • An expert consultant will be hired to develop
    evaluation instruments and conduct the evaluation
    . The consultant will comply with Institutional
    Review Board requirements.

76
Budget No Nos
  • Mathematical errors.
  • No justification.
  • No clear role for personnel listed.
  • Budget exceeds allowable limit.
  • Budget is insufficient to cover proposed
    expenses.
  • Unallowable items or costs.

77
Cost Sharing and Matching Funds
  • These funds are provided by your organization and
    must be carefully monitored to ensure that the
    organization makes the correct cost or cost
    share.
  • The federal government has stiff penalties for
    failure to make the cost share or match as stated
    in the body of the proposal.
  • Cost share, generally means, a dollar to dollar
    percentage of the total cost.
  • Matching funds can be labor hours or other items
    not covered under an organizations indirect cost
    agreement.

78
Review Criteria
  • Remember most program announcements contain the
    review criteria to be used by the peer review
    committee.
  • Be sure you have amply addressed each element.
  • Failure to do so can be deadly.

79
Alternative ApplicationsOral Presentations
  • You submit a 3 5 page summary.
  • You are selected to make a 20 minute presentation
    followed by questions from the peer review panel.
  • You can bring a limited number of slides (e.g.,
    5).
  • To Prepare
  • Ask a colleague to read the summary and program
    announcement followed by questions on all review
    criteria. Then do it again.

80
Phased Application
  • Phase I
  • Brief electronic form
  • Phase II
  • Formal application

81
Site Visits
  • Reread the proposal the day before the visit.
  • Select an appropriate location.
  • Have administrators or appropriate others
    available to meet with peer reviewers.
  • Ask about special requirements or needs.
  • Ask for questions in advance.
  • Anticipate the funders needs.

82
Grants and Legal Issues
  • Non-compliance
  • Limitation of liability
  • Termination
  • Insurance
  • Dispute resolution
  • Confidentiality
  • Payment
  • Conflict of interest
  • Financial disclosure
  • Misuse of funds

83
Contracts and Legal Issues
  • All the issues that come with grant awards, plus
    the legal requirement to complete the work in a
    satisfactory manner, within cost and on time.

84
Winning Tips
  • Address all the requirements no matter how
    awkward.
  • Spell out the benefits of your approach.
  • Use simple, easy to understand language.
  • Use graphs and tables to strengthen understanding
    of your approach.
  • Give the peer reviewers a strong application to
    defend your request.

85
Peer Review
  • Most governmental agencies, have committees made
    up of outside experts, who are given the review
    criteria and review instructions.
  • Peer reviewers are assigned multiple applications
    and asked to prepare a written critique
    resulting in a score.
  • For example, many federal agencies use a scoring
    systems of 100 (the best) and (500) the worst.
  • NOTE Applications that do not meet minimal
    criteria may not reach the peer review stage,
    being rejected by staff.

86
Avoiding Fatal Flaws and Common Mistakes
  • General
  • Spelling and grammar errors
  • Sloppy or confusing presentation
  • Exceeds page limits
  • Personnel
  • No prior related experience or training
  • Unrelated experience or training
  • Old resume with no up-to-date information
  • No basis for the proposed work
  • Uncritical acceptance of the literature

87
Contd
  • Failure to make a case for the importance of the
    proposed effort.
  • No rational
  • Lack of clarity
  • Objectives and goals dont match
  • No evaluation plan
  • No letters of support
  • No proof of access to a target populaton

88
When Will You Hear About the Results of the
Review Process?
  • Federal government 9 months to a year
  • State government varies widely by agency
  • Foundations generally 60 90 days
  • NOTE With many agencies and foundations moving
    to electronic pre-submission notices, you may
    hear within 30 days about your selection to
    submit a full proposal.

89
The Award
  • Celebrate.
  • Notify appropriate authorities.
  • Obtain a discreet accounting number.
  • Review terms and conditions of award.
  • Review approved budget and enter into
    negotiations if the approved amount is less than
    requested.
  • Initiate work.

90
Award Cycle
  • Pre-award
  • Award
  • Post award
  • Spending and reporting
  • Changes (e.g., re-budget)
  • Close out
  • Possible audit (keep federal award documents for
    7 years post award

91
Scope of an Audit
  • Cost
  • Compliance
  • Performance Issues

92
What Items Does the Auditor Examine?
  • Salary distribution
  • Fringe benefit rates
  • Travel costs
  • Entertainment costs
  • Contributions and gifts
  • Income
  • Lobbying costs matching/cost share
  • Indirect costs and allocation plan
  • Equipment purchases
  • Subawards

93
Administrative Audit
  • Financial management system
  • Scope/budget revisions
  • Procurement practices
  • Property management
  • Sub-recipient management
  • Human subjects
  • Misconduct in science

94
Performance Audit
  • Complete and timely reporting
  • Meeting program objectives
  • Program management practices
  • Appropriate use of grant funds
  • Over expenditures
  • Failure to complete the project requirements

95
Audit Process
  • Interviews during the audit
  • Exit conference
  • Draft audit report
  • Response
  • Final audit report
  • Appeal
  • Audit resolution determination

96
Debarment and Suspension
  • There is no kind of dishonesty into which
    otherwise good people more easily and frequently
    fall than that of defrauding the government.
    Benjamin Franklin

97
Compliance
  • Responsible Conduct of Science Training
  • Date Management and Sharing Plans
  • Office of Management and Budget Circulars
    (instructions for spending federal dollars)
  • Protection of the subjects of research
  • Biosafety requirements
  • Ethics boards (e.g., conflicts of interest)

98
Patents and Inventions
  • Who owns the efforts of your work?
  • University generally a shared arrangement if a
    patent is granted.
  • You if the resulting effort is a book. However,
    once accepted by a publishing house, they becomes
    the owners through a contract for payment
    arrangement.
  • If the award has been made as a contract, the
    products of your labors are owned by the citizens
    of the US.

99
Establish a Discrete Account Number
  • Particularly for government grants, you will need
    to establish a separate account number for each
    award to make it possible to track expenditures.
  • This practice is a requirement for federal and
    most state grants.
  • Co-mingling of funds can lead to penalties and
    fines.

100
No Joy!
  • What happens when you do not receive an award?
  • Ask for debriefing.
  • What were the strengths and weaknesses?
  • Was anything missing or confusing?
  • Is there a list of those who received an award?
  • What is the next deadline date?

101
Questions
  • Additional comments for the good of the company.
  • Many thanks for the opportunity to talk with you
    today.

102
Thank You
  • Enjoy the conference.
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