Grants Landscape II:Project, Proposal and Budget

Development

Office of Sponsored ProgramsRaubinger Hall, Room 107William Paterson University973-720-2852 June 2009

Contact Information:

Staff:Martin Williams, DirectorTBH, Assistant Director for Pre-Award ServicesBeth Ann Bates, Program AssistantGraduate & Undergraduate AssistantsNina Jemmott, Associate Vice President and Dean,

Graduate Studies and ResearchOffice:

Raubinger Hall 107Phone: 973-720-2852, fax: 973-720-3573Email: williamsm@wpunj.edu

Webpage:www.wpunj.edu/osp

Agenda

I. Grants Landscape Ia) The Office of Sponsored Programsb) Proposal processc) Proposal componentsd) Searching for fundinge) WPUNJ Process, Policies and Procedures regarding grants

II. Grants Landscape IIa) Elements of a proposalb) Guidelines and proposal reviewc) Narrative componentsd) Budget components

Elements of a Proposal

A. Cover Page, forms, signaturesB. AbstractC. Narrative

1. Background and problem statement2. Goals and objectives3. Activity Plan4. Evaluation

D. Budget, budget support, other formsE. Appendix and support material

Abstract

• Every agency has its own way of naming the sections of a proposal– Grants.Gov has reduced this some but allows for

flexibility for unique agency issues and added more– Can vary by department/unit within an agency

• It is up to you as the applicant to do it the right way for the agency that will receive your application

• It is also up to you as the applicant to use the correct forms, correct titles/headings, correct formatting and to ask for support for appropriate projects with appropriate costs

Guidelinesand

Review Criteria

Guidelines First!

Read the Guidelines Thoroughly to: Verify Eligibility for the grant program Establish Connection to the funder’s mission, goals and

the grant program’s expected outcomes Learn the Details of the application process, format,

including special information or review requirements Get Answers to Questions: Call the Program staff! Evaluate whether the program is right for you, your

project and the University

Review Criteria: Content

Narrative Requirements Their language for sections of the whole proposal Order of sections Information expectations for sections Point value for sections

Evaluation Criteria The “Grading Rubric” for proposals Checklist

MAY BE IN SEPARATE OR MULTIPLE DOCUMENTS

The first & most important review issue is Intellectual Quality, Merit and Significance:

How will the project advance “knowledge and understanding in its own field or across different fields?” (NSF)

Does it “address an important problem?” & “How will scientific knowledge or practice be advanced?” (NIH)

Is it “broadly conceived, based on sound scholarship, and appropriately analytical?” (NEH)

”The extent to which the design of the proposed project reflects up-to-date knowledge from research and effective practice.” (US Dept of Education)

Other Intellectual Quality Issues: Originality/Innovation: Does it address an innovative hypothesis or employ

novel concepts, approaches, methodologies, tools or techniques? Validity of the need, goals, objectives and supporting information as

presented Quality of participants Realistic design and likelihood for success Conducive facilities and environment

The second most important review issue isPotential Broader Impact

On project participants (you, others; direct, indirect)? On the service/support environment/infrastructure? Of the data or insights to be produced? Of how others will use the outcomes?

• A Key Aspect to address is dissemination:• How will you share the outcomes with others?

Other Broader Impact Issues: How well will the project/activity:

• Promote integration of service, research and education?• Broaden the participation of underrepresented groups (e.g. genders,

racial/ethnic minorities, persons with disabilities)?• Benefit your community and society in general?

Review Criteria: Technical

Was a Letter of Intent or Preliminary Proposal Required?

Forms: Cover sheet, summaries, assurances Format: Length, margins, font size, attachments Organization: Specific sections in specific order Special Requirements: Human Subjects, ADA Letters of Commitment: Partners, Evaluators

THESE ARE EASY EXCUSES TO REJECT PROPOSALS

Narrative

Component Writing Order

1. Activity Plan AND 2. Budget3. Goals & Objectives4. Background, Need(s), Problem(s), Benefits5. Introduction: Credibility of PI/PD, WPU, etc.6. Evaluation Plan7. Dissemination Plan8. Future Activity9. Summary/Final Introduction/Abstract

A.

APPENDICES

Preliminary work Funding guidelines

5. Introduction: credibility of PI/PD, WPU, partners 9. Summary, Introduction,

Abstract

Timeline, Personnel, Tables, Charts, Forms

8. Future Activity

6. Evaluation & Assessment

7. Dissemination

Project & Proposal Development Chart

B. Completely developed project

1. Activity Plan

Revised, expanded ideas

Office of Sponsored Programs, WPU

2. Budget

Original ideas Literature, prior experience, other

4. Background, needs, problems, benefits

3. Goals & Objectives

1. Activity Plan or Methodology

Rationale: Why are you doing project this way? Literature review, programs at other institutionsPreliminary activities, outcomes and data

Activities Plan and Accomplishments: Tasks Timeline

Personnel: Who will perform each task?Resources: Facilities, Equipment, Supplies, Money?

DETAILS! DETAILS!

2. Budget

Budget SummaryTotal expenses by category

Budget Detail or NarrativePresent as narrative or spreadsheet (or both) Provides details on expenses by categoryProvides fiscal perspective on the project and narrativeNo expenses included in the budget that are not identified

in the narrativeNo expenses in narrative that are not in the budget

3. Goals, Objectives, Outcomes

Goal: A broad statement of the ultimate result of the research or change being pursued

Objective: The narrowly defined, measurable and time-specific result you expect to accomplish

Process vs. outcome objectives; Action verbsInterventions: To [direction of change] + [area of change] +

[target population] + [degree of change] + [timeframe]Research: To [specific research activity] then [impact of

research] on [status of problem/need] + [timeframe].Outcomes: Short term accomplishments and long term

impacts, direct and possibly indirect

4. Background, Problem, Needs, Benefits

Defines what the project will addressWho, what, where, when, why?

Hard evidence and documentationStatistics, data, evidence

From your literature search & preliminary activitiesAuthoritative: Census data, government reports, credible

experts and publicationsAnecdotal evidence gives life to statistics

Impact/outcome if problem is addressed Link outcome to missions (You & funder) Summary or problem statement

5. Introduction: Credibility and Capacity

Concise statement of project goal, including problem/need addressed and objectives

Crucial information reader needs to knowDiscuss importance, innovation, creativity

Concise statement describing project activities and key outcomes expected

Crucial information reader needs to knowHow project addresses the funder’s prioritiesRelated organizational and staff experience

Previous successful related experience

Discipline, Project & Grant Program-Specific Activity Plan Components

These vary significantly based on the nature of the project, your discipline, and the specifics of grant program:

6. Evaluation/Assessment: What will success look like? How will it be documented? External Consultant(s)?

7. Dissemination of Results: Think realistic and attainable! Publications & Conference

Presentations; Webpage?

8. Future Activities and Impact: Sustainability: $$$/infrastructure; You & your field If seed or start-up, this is very important

9. Proposal Summary or Abstract

Stands alone at beginningFirst for agency staff and reviewersImportant as public summary of project

“Professional English” as well as “Plain English”May have special content requirementsLimited length – usually one page or less

Touches on all key details of projectOnes that define the importance, impact and scope of the

project: Goal, objectives & outcome Ones that are most important to the funderOnes that distinguish your project from others

Appendices

Summary Vita/Resume or Biographical SketchEducation and work historyRelated programmatic, research, publication or

professional activities and experiencesLeadership and peer-acknowledgement

Letters of support Work or publicity samples Agency history, background and plans Agency tax status and financial statements

The Ultimate Goal of a Proposal

Abstract

Helpful Hints: Content

Be innovative wherever possibleBased on what others are doing

Focus on key questions Be convincing and thorough Demonstrate knowledge of subject State the expected contributions (outcomes) to your

field of work Convey excitement and commitment Clearly link to the funder’s priorities

Helpful Hints: Structure

Clear, concise sentencesUse section- and sub-headingsUse page headings and number pagesAvoid or define jargon or technical termsBe specific – Do not make readers assume

Objective: “To increase rate by 25% in 2 years.”Activity: “The PI and a student will travel to North Park

to collect samples on ten consecutive Saturdays. A sample will consist of . . .”

Budgets

Budget Basics

Budget DetailsBudget Summary

Total expenses by categoryBudget Detail or Narrative

Present as narrative or spreadsheet (or both) Provides details on expenses by categoryProvides fiscal perspective on the project and narrativeNo expenses included in the budget that are not identified

in the narrativeNo expenses in narrative that are not in the budget

Process of developing the narrative and spreadsheet forces the technical review of the project methodology and overall activities

Reason for tracking expense needs while preparing narrative BUT NOT doing the details until after the first complete draft of the narrative is finished

Terminology

• Direct Costs: Project-Specific Expenses– Personnel Costs: Salary and Wages, Taxes and Fringe benefits

– Non-Personnel Costs: Equipment, supplies and materials, travel, publication charges, consultants, subcontracts, tuition, other costs

• Indirect Costs – Also known as: Overhead, Indirect Cost Reimbursement,

Facilities and Administration or F&A Rate, Administrative Costs, and Facilities Costs

• Cost Sharing

Personnel Costs

• Types– Full time and part time professional or support staff– Undergraduate and Graduate Students– Post-Docs, Fellows or Research Associates

• Salary and Wages– Salary, hourly wage, stipends– Percent of time or effort, straight computation– Calendar or summer salary

• To obtain your salary– WPConnect/Employee Apps; call HR

• To estimate future salary– Increase by 4.0% per year or use number from HR

• How to estimate a colleague’s salary?– Ask them to provide (HR, WPConnect) or call HR– Sponsored Programs can find out from HR for you

• Summer salary for faculty– Two months over the summer doing research

• Two tenths of your annual salary for 100% of your time or a percentage of that amount if not 100%

• Undergraduate Students– Typical rate $10.00/hour– Academic Year, 35 weeks; Summer, 12 weeks– Hours: Academic Year, 20 hrs; Summer 30 hours

• Graduate Students– Grad Assistant: $6,000 stipend; 9-credit tuition & fees as a

Fringe Benefit; September 1 to June 30, 20 hrs/week – Typical rate $15.00/hour for summer or if NOT a “Graduate

Assistant” during the Academic Year– Academic Year 35 to 40 weeks, Summer, 8 - 12 weeks– Hours: Academic Year, 20 hrs; Summer 30 hours

• Other Staff– Percentage of time and salary– Hourly, similar to Undergrad Student but higher rate

Taxes & Fringe Benefits

• Payroll Taxes– Federal Income Tax and Social Security (FICA) for all full

and part time staff and faculty in July and August as well as faculty wages for overload or additional compensation

– NJ taxes, disability, unemployment, other for full time staff and faculty during the academic year

• Benefits– Pension, health insurance, other for full time staff

• Rates– Federal Income Tax and Social Security: 7.65% (constant)– All items: 36.05% (changes annually – check with OSP)

• Fringe Example– The granting agency will only support summer

research salary of $7500.00 over the summer.– These funds must cover your salary and fringe

during the summer. What number plus 8.9% of that number yields 7500?

• 6887.05+(6887.05*0.089)=7500– So your salary would be $6887.05 and the fringe

based on that value would be $612.95.

Non-Personnel Costs

• Travel– Domestic

• In-State and Local auto (48.5 or 31.5 c), bus, van, taxi• Out-of-State estimated costs for plane/train, per diem

as per city, registration costs– International

• Costs estimated similar to out-of-state• Funder must approve; US Air Carrier requirement

– Specific reason– Specific locations if known

• Equipment– Single items over $5,000– Specific items, capabilities or expectations– Best price for application; may need to attach bid/estimate

• Student Support– Tuition, fees, “cost of education”– Stipends, travel, other expenses

• Consultants and Contractors– Limited purpose support that could be provided by

another person or company– Independent contractors– Set fee or formula

• Subaward/Subcontract– Critical, significant, irreplaceable element of project– Usually includes a Co-PI/PD and partner institution– Costs computed as “prime” award and appropriate forms

and support letter attached

• Supplies & Materials– Office, lab, program, educational, books, software– Computers, small “equipment,” furniture

• Publication/Dissemination Costs– Reprints, technical production costs

• Other– Memberships, registrations, subscriptions, refreshments– Other expenses not covered elsewhere

Indirect Costs

• Indirect Costs are reimbursed for common facility and administrative expenses that cannot be identified specifically with a particular sponsored project.– Facilities

• Office, lab, classroom, seminar/conference rooms• Electricity, heat, water, snow plowing• Incidental photocopying, telephone, office supplies

– Administration• Financial Administration (HR, Accounting, Payroll)• Academic Administration (Provost, Deans, Sponsored Programs)• Library, IRT

• Indirect Cost at WPUNJ– Negotiated through the Department of Health and

Human Services using the “Short Form”– Based on a percentage of Salary and Wages

• 68.8% to June 30; 59.5 2009-2012– Department of Education, other agencies

• 8% for education and other non-research projects– “Long Form” provides the Modified Total Direct

Costs (MTDC) Rate used at research-intensive institutions

Indirect Costs Calculation

• Example – A proposal includes $50,000 in salary and $50,000

for fringe, equipment and other expenses– The indirect cost is based on the salary portion of

the request or ($50,000) and is determined by the indirect rate x salaries

• 50,000 x 0.688 = 34,400– The total request would then be

• $50,000 (salary) + $50,000 (all other)+ $34,400 (indirect) = $134,400

Matching Costs• Project funds listed on the proposal that don’t

come from the funding agency.– Required or Voluntary Committed Match

• Soft Costs: Already planned expenses or allocations• Hard Costs: New funds that the institution will provide

– External Matching• Funds that are being applied to the project from other

grants, private funds or partner institutions– In-Kind Contribution

• Donated goods or services provided by a third party

• When included?• Only when it is required or suggested for competitiveness• Always there, whether or not budgeted

• Who pays?• Home Department (Chair’s approval)• Another Department (documentable cost whether or not

actually charged)• College (Dean’s approval)• Provost’s Office (Provost’s Approval)• Other Funding (Internal/External)

• When Agreed?• Discuss during project/proposal development• Authorized during review process

Use Excel / Spreadsheet Program

• Excel is a spreadsheet that is relatively straightforward to use– Formulas for accurate math– Tracks year to year costs and increments– Tracks annual and cumulative total costs

• Spend some time to learn the program– On campus workshops to learn the basics– Many good uses once you learn it

• OSP has worksheets for NSF, USED, USDA

Sample Detailed Budget

Category Item Cost Detail Funder Matching TotalPersonnel Proj. Dir. $150,000 x 15% 15,000 7,500 22,500Fringe $22,500 x 33.15% 4,973 2,486 7,459Supplies Ed. Materials 2000 @ $5 avg cost 10,000 10,000Consultants Evaluation 5 days @ $500/day 2,500 2,500Travel To conf. In

WashingtonProj Dir, round trip train @ $250 + hotel

250 250500

32,723 10,236 42,959Indirect 10,320 5,160 15,480

43,043 15,396 58,43968.8% Salary + Wages

Total Project Expenses

Total Direct Expense

Summary Budget

• Agency form• Provides quick-view of entire cost of project in

the funder’s format• Shows annual totals and/or total project cost

Budget Justification

• A narrative description of the financial aspect of the project

• The budget justification should clearly detail the costs proposed and, in some instances, explain how the cost was determined by stating the formula from the spreadsheet

• Can incorporate selections (tables) from the spreadsheet

• Compare the budget justification to the budget detail to make sure all costs are justified

• Review the project narrative and the budget narrative together to insure that expenses identified for project are included in budget and that the converse is true as well

• Critical are for internal review• Get costs from appropriate sources

How you probably feel right now !

Grant proposals are hard – but very “do-able.”

Workshop Evaluation

All responses are completely anonymous. Data will not be reported in a way that could divulge the identity of any respondents.

Grants Landscape II: Project, Proposal and Budget Development

June 2009

Contact Information

Staff:Martin Williams, Director EXT 3263TBH, Ass’t Director, Pre-Award EXT 3794Beth Ann Bates, Program Assistant EXT 2852Nina Jemmott, Associate VP & Dean,

Graduate Studies and Research EXT 3093Office:

Raubinger Hall 107Fax: 973-720-3573Webpage:www.wpunj.edu/osp