Proposal Development Process - PowerPoint PPT Presentation


PPT – Proposal Development Process PowerPoint presentation | free to view - id: 40d97-YzVkN


The Adobe Flash plugin is needed to view this content

Get the plugin now

View by Category
About This Presentation

Proposal Development Process


Face page and forms (personnel, resources) Budget. Idea (Specific Aims Section) ... Need to check with hospital as to charges ... Federal Contract Budget Development ... – PowerPoint PPT presentation

Number of Views:582
Avg rating:3.0/5.0
Slides: 84
Provided by: EricMCot


Write a Comment
User Comments (0)
Transcript and Presenter's Notes

Title: Proposal Development Process

Proposal Development Process
  • Develop an irresistible, fundable idea
  • Identify the funding source
  • Write the proposal
  • Submit proposal through institutional offices
    obtain regulatory committee review as necessary
  • Submit proposal to sponsor

Develop an irresistible, fundable idea
  • It is completely thought out
  • It is innovative
  • It is significant and will have an impact on the
  • It is compelling
  • It catches the reviewers attention

Developing a Research Idea
  • An irresistible research idea doesnt develop by
    accident, but rather through
  • Hard work
  • Commitment
  • Planning
  • Preparation (e.g., participating in existing

Developing a Research Idea
  • Identify your long-term goal(s)
  • Get to know your field - the people and the
    funding sources
  • Begin networking - professionally and socially.
    Success rarely develops out of shyness!
  • Be mentally prepared for rejection
  • Stick to the goal that you have chosen dont
    jump around

Identifying a Funding Source
  • Find the agency that fits the idea
  • Search the Internet
  • Stay aware of Requests for Applications (RFAs),
    Requests for Proposals (RFPs), and Program
    Announcements (PAs)

Find the agency that fits the idea
  • Know what an agency can fund
  • Ideally, funding your proposal should help the
    agency achieve its goals
  • Contact or visit the program officer and listen
  • Encourage ORA to invite representatives of key
    funding agencies to your campus

Federal Sources of Research Funding
  • Department of Commerce
  • Department of Defense
  • Department of Education
  • Department of Energy
  • Department of Health and Human Services
  • Department of Veteran Affairs
  • National Endowment for the Arts
  • National Endowment for the Humanities
  • National Science Foundation

Selected NIH Extramural Programs
  • National Cancer Institute
  • National Eye Institute
  • National Heart, Lung, and Blood Institute
  • National Institute on Aging
  • National Institute of Allergy and Infectious
  • National Institute of Nursing Research
  • National Library of Medicine

Selected NIH Research Grant Categories
  • R01 Research Project Grants
  • R03 Small Grants
  • R15 Academic Research Enhancement Award
  • R21 Exploratory/Development Grants
  • R41, R42 Small Business Technology Transfer
    (STTR) Grants
  • R43, R44 Small Business Innovation Research
    (SBIR) Grants
  • P01 Program Project Grants
  • P30, P50, P60 Center Grants
  • T32 Institutional Training Grants
  • F-series Fellowships
  • K-series Research Career Awards

Private/Philanthropic Sources of Research Funding
  • Industry
  • National Associations/Societies
  • American Cancer Society
  • American Heart Association
  • American Psychological Association
  • Foundations
  • Robert Wood Johnson
  • Ford Foundation
  • Whitaker Foundation

Write the Grant Application
  • Plan, e.g., allow enough time
  • Prepare, e.g., read instructions
  • Persist, e.g., revise and resubmit
  • Perspire

Write the Grant Application
  • Make you application attractive, easy to read,
    and comprehensible
  • Use simple declarative sentences
  • Avoid weak words
  • Use eye-catching headlines that convey your point
  • Put the most important material up front
  • Use new paragraphs to emphasize concepts and
    specific points
  • Use interesting, easily understood illustrations

Write the Grant Application
  • Face page and forms (personnel, resources)
  • Budget
  • Idea (Specific Aims Section)
  • Supporting Idea, Concepts (Significance and
    Preliminary Studies Sections)
  • Details of the Plan (Methods Section)
  • Appendices

Specific Aims Section
  • One of the two most important sections in the
    grant application
  • One of the only two sections that will be read by
    all of the reviewers
  • It must quickly engender enthusiasm for your idea
  • The flow of logic must be compelling

Characteristics of Specific Aims
  • Two-to-Five, at most
  • Brief, focused, and limited in scope
  • Each must be an eye-catching headline
  • Each must flow logically into the next
  • None should be absolutely dependent on the
    outcome of another

Specific Aims Example
  • Specific Aims
  • Interferon-gamma has been referred to as the
    master cytokine because of its many effects…..
  • To accomplish the objectives of this
    application, we will pursue three specific aims
  • 1.Narrow focus to DNA segments that most likely
    regulate constitutive and stimulated
    transcription of the human ? chains gene
  • 2.Identify the constellation of DNA response
    elements and transcription factors that regulate
    constitutive transcription of the ? chains gene
  • 3. Determine how transcription of the ?
    chains gene is up-regulated after stimulation by
    two widely differing proinflammatory mediators,
    TNF-? and PGE2

Scope of Significance Section
  • Describe what is known
  • Describe what is not known
  • Describe what needs to be done
  • Emphasize how your results will meet the stated

Writing the Significance Section
  • Write this section as one of the last
  • Cite review articles sparingly
  • Ensure that citations are fully up-to-date
  • Cite your reviewers (if not contrived)
  • Be critical of earlier work in this field
  • Logically build toward what you expect your
    contributions will be

Writing the Preliminary Studies Section
  • Inadvisable to submit without some preliminary
  • You must be able to convince the reviewer that
    you are not relying exclusively on the work of
  • Describe published studies first, include limited
    technical data (one or two figures/tables)
  • Describe unpublished studies, include more detail

Scope of the Methods Section
  • What do you propose to do
  • How do you propose to do it
  • What results you expect and what they will mean
    in terms of the overall project
  • What might go wrong
  • What alternative approaches will be used to cope
    with potential problems

Writing the Methods Section
  • Organize the narrative according to the specific
    aims, with one section for each
  • Devote an equal number of pages to each aim
  • Use an organized presentation format
  • Never exceed the page limits specified in the
  • Use appendices sparingly (if at all)

Writing the Abstract or Summary Section
  • The other of the two most important sections it
    will be read by all reviewers
  • Must convey all the applications essential
  • Must be written in plain English
  • It must convey infectious enthusiasm for the
  • This section should not be written until the
    application is complete
  • Extract all essential information from the grant
    verbatim and then edit to fit the space allowed

Budget Realities
  • Budget should never drive the proposal
  • Reviewers will invariably cut something
  • Most cuts are the fault of the applicant, not the
  • Reviewers - your peers - know how much things
  • Your request must be credible
  • Once credibility is lost, the budgetary ax will
    cut even deeper

Typical Budget Categories
  • Personnel
  • Consultants
  • Equipment
  • Supplies
  • Travel
  • Tuition/Fees

Typical Budget Categories
  • Patient Care
  • Alterations/Renovations
  • Other Costs
  • Consortium Costs
  • Indirect Costs

Personnel Budget
  • Expect personnel costs to be your highest
  • Ensure that you justify each person with respect
    to both effort and expertise
  • Percentage effort/salary can vary during the
    budget period
  • TBA positions are the most vulnerable
  • Credibility can be lost, either by over- or
    underestimating needs (number effort)

Consultants Budget
  • Consultation fee
  • Travel and per diem expenses
  • Letter of commitment
  • Biographical sketch
  • Justification

Equipment Budget
  • One of the most vulnerable categories usually
    because of poor justification
  • The equipment request must be congruent with your
    resources statement
  • Dont ask for a Cadillac if a Ford will do
  • Justify any dedicated need exhaustively can not
    be general purpose
  • Replacement items are also vulnerable unless
    thoroughly justified

Supplies Budget
  • Know the difference between equipment and small
    items that qualify as supplies
  • Lump supplies into logical categories
  • If possible, cost account each request dont use
    round numbers
  • Justify all requests
  • Be certain that your supply budget matches your

Travel Budget
  • Be realistic
  • Travel must tangibly contribute justify who will
    travel and why
  • Itemize which meetings will be attended and
    cost-account accordingly
  • International vs. domestic travel

  • Bona fide employer-employee relationship between
    student and organization
  • Reasonable compensation for work performed
  • Organizations practice is to compensate students
    similarly in non-sponsored activities as well
  • May be charged on an average rate basis

Patient Care Budget
  • Includes costs of routine and ancillary services
  • Routine services include regular room and dietary
    and nursing services
  • Ancillary services include x-ray, OR,
    laboratory,pharmacy, pathology
  • Patient stipends and other direct payments are
    classified as Other Expenses

Alteration and Renovation
  • Must be essential to the purpose of the
    grant-supported project
  • Does not include routine maintenance and repair
  • Can sometimes be considered Equipment Costs if
    renovation needed to install equipment or for its
    safe use

Other Costs
  • Include animal maintenance, patient travel, donor
    fees, publications costs, computer charges,
    rentals, leases, service contracts
  • Justify each request
  • Make sure that the budget matches the narrative
  • Service center charges must be consistently
    charged regardless of sponsor

Consortium Budget
  • Each participating consortium/contractual
    organization should submit a detailed budget,
    checklist, face page, budget justification
  • These budgets should include direct and indirect
  • Prime organization may calculate indirects on the
    first 25,000 of consortium budget

Budget for subsequent years
  • Be realistic with respect to duration
  • Provide a timetable, even if one is not required
  • If any subsequent year is increased by an amount
    greater than the rate of inflation, justify

Budget Examples
  • NIH Modular Grant Applications
  • Clinical Trials
  • Federal Contracts

NIH Modular Grant Applications
  • Up to 250,000 direct costs per year
  • Request in modules of 25,000
  • NIH does not require detailed budget
  • Budget narrative for personnel, equipment, and
    consortium arrangements
  • Other support requested Just-in-time
  • 25 rebudgeting requirement eliminated

Modular Budget Development
  • Calculate total direct costs over all project
    years including one-time costs and escalation
  • Divide by number of years
  • Select the number of modules closest to that
    dollar level
  • Typically request same number of modules in each

Modular Budget Page
  • Initial Budget Second Year Third Year
    Fourth Year
  • Period of Support of Support
    of Support
  • 150,000 150,000 150,000 150,000
  • Personnel
  • Sandy Smith, MD, Principal Investigator, (30
    effort) will be responsible for morphological and
    immunohistochemical characterization of eye,
    brain, and other tumors…
  • Alan Jones, PHD, Co-investigator, (10 effort)
    will develop the HPV E6 and E7 models of
    transgenic retinoblastoma mice…
  • Consortium
  • Approximately 15,000 Total costs for all years
  • Consortium with University of Texas x Domestic
  • George Poole, PhD (5 effort) will be responsible
    for production...

Modular Budget Page
  • Initial Budget Second Year Third Year
    Fourth Year
  • Period of Support of Support
    of Support
  • 200,000 175,000 175,000 175,000
  • Personnel
  • Sandy Smith, MD, Principal Investigator, (30
    effort) will be responsible for morphological and
    immunohistochemical characterization of eye,
    brain, and other tumors…
  • Equipment
  • Purchase of a Silicon Graphics Octane System is
    requested in the first year increasing requested
    budget in first year by one module
  • Consortium
  • Approximately 15,000 Total costs for all years
  • Consortium with University of Texas x Domestic
  • George Poole, PhD (5 effort) will be responsible
    for production...

Clinical Trial Budget Development
  • Sponsor often sets fixed price per subject that
    includes direct and indirect costs
  • Need to develop internal budget to confirm that
    study can be done for fixed price
  • Need to check with hospital as to charges
  • Need to identify all costs associated with trial
    including direct, indirect, and one-time charges

Federal Contract Budget Development
  • Part of the business plan
  • Need to provide supporting documentation for
    costs (i.e., cost data and judgmental factors)
  • Contract undergoes a price analysis
  • May need to develop small business subcontracting
    plan (if contract to exceed 500,000)

Types of Proposals
  • Solicited proposals
  • Unsolicited proposals
  • Pre-proposals
  • Continuation or Non-Competing proposals
  • Renewal or Competing proposals

Policy Considerations
  • Appropriateness
  • Principal Investigator Eligibility
  • Principal Investigator Responsibility
  • Conflicts of Interest
  • Consortiums
  • Consultants

Policy Considerations
  • Contracts
  • Intellectual Property
  • Limited Proposal Submissions
  • Subcontracts
  • Certifications Representations

Special Reviews/ Internal Approvals
  • University Review Form
  • Animal Subject Approval
  • Hazardous Materials/ Chemicals
  • Human Subject Approval (IRB)
  • Training Education

Principal Investigators Responsibility
  • Proposal format content
  • Adequate resources (space, cost share)
  • Special reviews and/or approvals
  • Conflict of interest
  • Subcontract documentation
  • Consultant documentation
  • University Proposal Review Form

Department Administrators Responsibility
  • Proposal Editing
  • Budget Preparation Costing
  • Identifying sources for matching and/or cost
  • Collecting documentation to support costs
  • Preparing certifications representations
  • Coordinating the routing of proposal for review
  • Copying Mailing the proposal

Division Director/Department Chair Responsibility
  • Approve scientific integrity
  • Provide assurances
  • Determine appropriateness of time commitment
  • Availability of space
  • Cost share or matching fund

College or Management Center Responsibility
  • Ensure major commitments of resources
  • Confirm administrative components
  • Check for all required forms
  • Check for appropriate rates

ORA Responsibility
  • Proposal format content
  • Budget costing
  • Verification of cost share/matching funds
  • Verification of documentation for subcontractors
    and/or consultants
  • Review sign certs. reps.
  • Review sign proposal review form

(No Transcript)
  • Office of Research Administration-Staff
  • Controllers Office- Grants and Contracts
  • Management Centers- Staff
  • Commonly Requested Information
  • University Review Form
  • Foundation Relations Approval Form

The Award Notice
  • Sponsor Name and Award Number
  • Amount of the Award
  • Period of the Award
  • Method of Payment or Reimbursement
  • Reporting Requirements
  • Terms and Conditions

(No Transcript)
(No Transcript)
(No Transcript)
(No Transcript)
Required Documentation
Budget Types
  • 2 Research
  • 3 Special Programs
  • 5 Training Fellowships
  • 8 Discretionary Funds

(No Transcript)
Account Numbers
  • University Account Number
  • Parent Subaccounts
  • Cost Share Accounts
  • Preliminary Numbers

(No Transcript)
(No Transcript)
Internal Notice of Award Section 1
Internal Notice of Award Section 2
Location Codes
  • 10 On Campus (CWRU, Triangle, BRB)
  • 40 University Hospitals of Cleveland (UHC)
  • 50 MetroHealth Medical Center (MHMC)
  • 70 Veterans Admin. Medical Center (VAMC)
  • 90 Off Campus

F A Base
  • 1 Salaries Wages
  • 2 Salaries, Wages Benefits
  • 3 Total Direct Costs
  • 4 Total Direct Costs less Tuition Fees
  • 5 Modified Total Direct Cost (MTDC)
  • excludes patient care cost, renovations
  • 6 Modified Total Direct Cost (excludes
    subcontract amounts over 25k)

Internal Notice of Award Section 3
(No Transcript)
Internal Notice of Award Section 4
Project Types
  • 01 Research
  • 02 Training
  • 03 Career Awards
  • 04 Equipment
  • 05 Fellowships
  • 06 Clinical Trails
  • 07 Program Projects
  • 09 Other/Discretionary

Award Mechanism
  • 1 Grant
  • 2 Contract
  • 3 Subcontract
  • 4 Purchase Order
  • 5 Cooperative Agreement
  • 6 Other

Billing Code
  • 1 Letter of Credit (e.g. NSF, NIH)
  • 2 Bill- Cost Reimbursement
  • 3 No Bill- Automatic Payments
  • 4 Bill- Fixed Price/ Periodic
  • 5 CWRU Discretionary Funds
  • 6 Scholarships Fellowships
  • 5 6 automatic budget increase with deposits

Letter of Credit Codes
  • 1207 NASA- Ames
  • 1208 EPA
  • 1209 NASA-Goddard
  • 1211 USAID
  • 1212 DeptED
  • 1213 NASA- Marshall
  • 1201 NSF
  • 1202 NIH
  • 1203 NASA-Glenn
  • 1205 DOE
  • 1206 NASA- Washington

Post Award Administration Project Directors
  • Plan and Manage
  • Adhere to Terms Conditions
  • Technical and Fiscal Management
  • Adhere to CWRUs Policies Procedures
  • Review and Monitor Account Status
  • Comply with Report Requirements

Controllers Office Responsibilities
  • Maintain expenditure records
  • Provide monthly expense reports
  • Review expenditure transfers
  • Prepare and Submit Expenditure Reports
  • Transfer overdrafts and Unallowable expenses
  • Coordinate responses to audit reports

End of Budget Period
  • Non-Competing Continuation
  • Competing Renewals
  • Program Projects
  • Overexpended Accounts
  • Annual Financial Report

(No Transcript)
(No Transcript)
(No Transcript)
Final Year of Project
  • Relinquished Grants
  • Final Financial Report
  • Final Invention Statement
  • Final Technical Report
  • Equipment Inventory