The nuts ‘n bolts of submitting a grant proposal…
Trish Lowney, Ph.D.Exe Dir, Office of Sponsored Programs
osp.syr.edu | [email protected] | 113 Bowne Hall
TopicsWhy pursue external fundingHow to find likely sponsorsThe Application ProcessPeer/Merit ReviewCharacteristics of a compelling
applicationOther important mattersKey Terms
Why pursue external fundingNeed 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
Proposal development lifecycle
IdeaIdentify Sponsor
Obtain all applicati
on materials
Develop proposa
l
Internal Feedbac
k
Internal Approva
ls
OSP Submits
Wait 6-9 months
Award
Do good & important
Work
Complete
application –
correct format
How to find likely sponsorsAsk your advisor / colleagues
who’ve come before youCheck out the
acknowledgements section of your literature
Search Community of Science, Illinois Research Information Service◦http://osp.syr.edu/Finding%20Fundin
g/Search%20Engines/subscription-databases.html
Then – investigate promising leads….
Investigating promising leads….
Confirm that your interests / needs align with sponsor’s◦How?
Review sponsor’s 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…
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
NSF – Find Funding: http://www.nsf.gov/funding/ USED IES – Funding Opportunities: http://ies.ed.gov/funding/
Sign up for electronic notification…
Promising leads…. Recent awards
NIH http://projectreporter.nih.gov/reporter.cfm
Includes study section/review panel group Review who members are
NSF http://www.nsf.gov/awardsearch/
USED IES http://ies.ed.gov/funding/grantsearch/index.asp
Get copies of funded applications… Awarded folks might be future
collaborators or colleagues!
Sample FOA & solicitationFOA
◦ http://www.grants.gov/search/search.do;jsessionid=3rhDMT8T98ZcFXGjCGG1MMqmdTBpBHflcWvDznWgTvL5FyGW2p9Y!240750350?oppId=44094&mode=VIEW Instructions Application (pdf ‘envelope’ decorated with attachments)
Linked Agency solicitation◦ http://grants.nih.gov/grants/guide/pa-files/PA-08-16
9.html
Agency /program-specific application instructions
FOA + solicitation + application instructions together = information you need to apply
InstructionsNIH – SF424 (R&R)
◦http://grants.nih.gov/grants/funding/424/index.htm
NSF – the Grant Proposal Guide for FASTLANE◦http://www.nsf.gov/pubs/policydocs/
pappguide/nsf11001/gpg_index.jspUSED IES
◦Not quite generic (varies with CFDA #)
◦http://ies.ed.gov/funding/ncer_rfas/readwrite.asp
Instruction aids..Does OSP have summaries or
checklists for sponsor’s 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.
Proposal development lifecycle
IdeaIdentify Sponsor
Obtain all applicati
on materials
Develop proposa
l
Internal Feedbac
k
Internal Approva
ls
OSP Submits
Wait 6-9 months
Award
Do good & important
Work
Complete
application –
correct format
The Application ProcessREAD FOA & instructions
◦This will take healthy chunk of time
Mechanics of submission
Internal routing & review process
Application Instructions – common components Summary (NIH - narrative; other ‘labels’)Research Plan / Narrative / DescriptionBibliography, references citedBiographical sketchesCurrent & Pending support (NIH – JIT)Budget & justificationFacilities, Resources, EquipmentOther 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
Application componentsResearch 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 planUnderstand sponsor’s award
limits◦NIH – direct costs◦NSF, IES – total costs
Sponsor award amountsDirect 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 researchPOINT: Funds available dictate
amount of work can do..
Mechanics of SubmissionGrants.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
it’s 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.
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%20Pr
ograms/OSP%20Service%20Guidelines/OSP%20Service%20Guidelines.html
Proposal development –Plan on being finished 2 weeks before deadline
Work backwards from THAT internal deadlineDo 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 don’t
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 you’ve budgeted time)
Your advisor and others need to ‘sign off’ on IRR
Peer/Merit ReviewUnderstand how your application will
be reviewed◦What’s 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
Characteristics of a compelling application – clearly communicatesGreat / 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
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
Characteristics….Exciting, informative, importance /
significance crystal clearEasy to readAvoid 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
Other important mattersHuman SubjectsAnimal SubjectsFinancial Conflicts of InterestEnvironmental Health and Safety
SummaryUnderstand processPlan 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) – we’re available to help.
Funding opps for grad students..F31- Pre-doctoral fellowships
◦http://grants.nih.gov/training/F_files_nrsa.htmF32 – Postdoctoral fellowships
◦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
NSF- SBE Doctoral Dissertation Improvement Grants◦http://
www.nsf.gov/funding/pgm_summ.jsp?pims_id=13453&org=NSF&sel_org=NSF&from=fund
Key TermsFunding Opportunity Announcement (FOA)
◦ How the federal gov’t 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)
Key TermsGrant
◦ 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
Key TermsContract
◦ 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.
Key TermsGrant 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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