Pre Award Management
Mission
The Office of Contracts and Grants Pre-Award team includes Proposal Analysts and support staff dedicated to helping Principal Investigators understand proposal guidelines, prepare budgets, and review, package, and submit proposals.
Responsibilities
These are the responsibilities necessary to establish a good working relationship among Principal Investigators, Department Staff Members, and OCG to ensure successful proposal submissions.
Principal Investigator
- Verify Principal Investigator Eligibility
- Identify Potential Funding Sources
- Review Guidelines with Special Attention to:
- Limited Submission Requirements
- Due Date
- Budget Limitations/Requirements
- Text Requirements
- Method of Submission
- Prepare Proposals for Extramural Funding in Accordance with Sponsor Guidelines and University Policy
- Collect Subcontract/Sub-Recipient Information; Prepare Sole Source Justification
- Ensure that All Parties Involved Are Registered in the Appropriate Submission System (Grants.gov; NSF Fastlane; NASA NSPIRES; NIH COMMONS (for PIs)
- Be Aware of and Adhere to Campus and Funding Agency Requirements:
- Intellectual Property
- Conflict of Interest (Insure that DEPA is up to date)
- Regulatory Compliance (Human Subjects, Animal Use; Bio-safety; Radiation Safety)
- Cost Sharing
- Waiver of F&A (Indirect) Costs
- Reviews and Signs OCG Proposal Form
- Forwards Proposal and all Required Forms to OCG Ten Business Days Prior to Deadline (grants.gov proposals) or Five Business Days Prior to Deadline (other proposals)
Office of Contracts and Grants
- Provides Overall Guidance to Faculty and Staff Regarding Proposal Preparation and Submission
- Interprets Sponsor Policies and Guidelines
- Assists with the completion of Agency forms
- Develops the Budget Using Current Rate Information
- If Necessary, Ensures that the Principal Investigator has Coordinated the Proposal Submission with the Office of Research Integrity and Office of the Vice Chancellor for Research
- Human Subjects: Melissa Diemer, OVCR (735-3702)
- Animal Care and Use: Silvia Lorio, OVCR (492-8187)
- Bio-Safety/RDNA: Denise Donnelly, EH&S (492-7072)
- Radiation Safety: Michelle Law, EH&S (492-6523)
- Conflict of Interest/Financial Disclosure: Jean Wylie, OVCS (492-3024)
- Cost Sharing/F&A Waivers: Russ Moore, OVCR (492-1087)
- Import/Export Issues: Linda Morris, OVCR (492-2889)
- Small Business Subcontracting Plans: Amber Williams, Procurement Service Center (303-315-6356)
- Ensures that All Approvals Are Documented and Compliant with Sponsor Requirements and University Policies
- Signs the Proposal as the University's Authorized Organization Representative (OAR)
- Packages and Submits Proposals
- Coordinate Requests for "Just In Time" Information
- Acts as Liaison with Sponsors between Proposal Submission and Award Receipt
Funding Information
Internal Funding
- OVCR/Graduate School:
Contact Linda Morris 2-2889 linda.s.morris@colorado.edu
- Center for the Humanities and the Arts:
Contact Michael Zimmerman 2-1931 michael.e.zimmerman@colorado.
- International Education:
Contact Nancy Vanacore, 2-6016 nancy.vanacore@colorado.edu
- United Government of Graduate Students (Travel grants):
Contact Information 2-6058, uggsinfo@colorado.edu
External Funding
- Federal Agencies:
Grants.gov Funding Website www.grants.gov
- All Agencies, including Foundations:
InfoEd SPIN: http://www.infoed.org/new_spin
- Fellowship Opportunities:
The Chronicle of Higher Education: http://chronicle.com/free/
- Find the following Publications in the Norlin Library:
- The Foundation Directory
- Annual Register of Grant Support
- Directory of Grants in Humanities
Limited Submissions
- Sponsors May Limit the Number of Proposals an Institution May Submit for Consideration
- The Office of the Vice Chancellor for Research Coordinates the Internal Solicitation and Review of these Proposals
- An Ad Hoc Faculty Committee Reviews these Proposals
- The Principal Investigators of Projects Selected for Submission Are Notified of Their Eligibility to Prepare Full Proposals for Submission to the Sponsor
- More Information Is Available at:
Proposal Guidelines
Program Announcement:
A PA describes a funding opportunity for a topic of general interest to the Sponsor. It may identify a new program or serve as a reminder of a Sponsor's continuing interest in a particular program. Successful proposals are almost always funded through grants.
Request for Application (RFA):
An RFA describes a funding opportunity for a topic of specific interest to the Sponsor. Successful proposals are likely to be funded through grants.
Request for Proposal (RFP):
RFP's specify the Scope of Work, methods to be used, timelines for the research, and products to be delivered. Successful proposals are almost always funded through contracts.
Types of Proposals
Pre-Proposal/White Paper = Description of research plans and estimated budget submitted to determine sponsor interest and whether a formal proposal will be requested
New = first submission or a revision to a first submission
Continuation = non-competing continuation of an active project
Renewal = competing continuation of an active project
Supplement = addition to an active project (treated essentially as a new proposal)
Proposal Information
Proposal Forms
- Proposal Processing Form
- Principal Investigator Statement Regarding Compliance with Government Regulations and University Policies: Misconduct in Research and Authorship, Conflicts of Interest and Commitment (signature required)
- OCG Proposal Processing Form for Proposals to the National Institutes of Health (signature required if submitting to NIH)
- Indirect Cost Addendum Form
- Addendum for Cost Sharing/Matching
- Indirect Cost Waiver Request
Resources for Grant Seekers
Federal Per Diem Rates
Proposal Policies and Procedures
Laboratory Space
Principal Investigator Eligibility
Supplemental Pay
Proposal Process
To begin processing your proposal, the Proposal Analyst will need the following information:
- Name of the Principal Investigator(s) and Co-Investigator(s) and their Departments
- DA/ICR Split Information
- Name of Sponsoring Agency
- Program Announcement/RFP
- Deadline Date and Time
- If cost share is required, include the Cost Share Addendum Sheet.
- Instructions for mailing or electronic submission
- Budget Information:
- Project Title
- Start and end dates
- Personnel and their level of effort
- Equipment
- Travel
- Other Direct Costs
- Cost share expenses, if part of the proposal
Guide to Proposal Development
Grant Proposals versus Contract Proposals
Grants: proposals submitted under general guidelines, e.g. Funding Opportunity Announcement, Request for Application (RFA), Broad Agency Announcement (BAA)
Contracts: proposals submitted under specific Requests for Proposals (RFP) or Purchase Orders
Basic Proposal Components
Cover Page
The cover, or first page, of a proposal will vary from Sponsor to Sponsor, but will include basic information about the University, Principal Investigator, and project. In addition, it will bear the authorized University signature(s) approving the proposal for submission. Most Sponsors will not review a proposal without this official endorsement.
Abstract
The abstract is a short summary of the proposed research, typically not exceeding 200 words. It should be prepared after the proposed Scope of Work has been completed. Many reviewers rely on the abstract for a project overview and abstracts are frequently published by the Sponsor or the University and may gain wide distribution.
Project Description
The project description or scope/statement of work:
Defines the problem to be addressed;
Demonstrates the principal Investigator's familiarity with the problem, the related literature, and current work in the field;
Explains the methodology and techniques to be employed;
Specifies the treatment(s) and observations and the analysis of generated data;
Describes the available equipment, facilities, and other resources;
Outlines the project management and personnel plan;
Bibliography
The bibliography (references, literature cited, etc.) lists the related publications and demonstrates the Principal Investigator's understanding of the research field and topic. It should be current and relevant, but does not need to be exhaustive. Note that the exact format for bibliographic citations varies greatly by discipline and by Sponsor.
Biographical Sketch
The biographical sketch is a synopsis of the resume/vita of all key personnel, e.g. Principal Investigator(s), Co- Investigator(s), Post-Doctoral Associates. It is used by reviewers to evaluate the adequacy of project staff. The specific requirements for each biographical sketch will be describe in the proposal guidelines but, in general, will include: name and title, educational history, brief employment history, academic and professional honors; and major presentations and publications related to the proposed project's field and topic.
Current and Pending Support
All current and pending support should be listed for all the key personnel on a project. It is used by reviewers to evaluate the breadth of the PI's related work and the amount of time available to invest in the proposed project. Specific requirements will very by Sponsor, but the following information is typical: funding agency, award number, project title, period of performance, award amount, other key personnel, and the Principal Investigator's time commitment.
Budget
The budget is a detailed estimate of costs required to perform a specified Scope of Work (SOW) over a specific period of time.
Questions:
Are there specific budget guidelines?
Are there specific budget forms or formats?
What is the anticipated period of performance?
Is there a ceiling or target amount for each project or for each project year?
Are there required or prohibited costs?
Is cost sharing required?
Are there Facilities and Administration rate (indirect) limitations?
Cost Principles -- Cost must be:
Allowable
An allowable cost is reasonable, allocable, consistently treated, in conformance with the specific requirements of the sponsored agreement, and not specifically disallowed by OMB Circular A-21 or sponsor policy.
Allocable
Incurred solely to advance the work under the sponsored agreement;
Benefits both the sponsored agreement and other work of the institution, in proportions that can be approximated through use of reasonable methods;
Necessary to the overall operation of the institution and is deemed to be assignable in part to sponsored projects.
Reasonable
The expense passes the prudent person test.
Consistent
Like costs must be treated the same in like circumstances, as either direct or indirect (F&A).
Conforming
Expenses must conform to any limitations or exclusions set forth in the governing sponsored agreement.
Verifiable
Expenses must be sufficiently documented to support their allowability.
Remember:
The budget is the second most scrutinized part of the proposal.
A good budget can increase the chances for funding.
The University is legally liable for current and complete cost and pricing information.
The proposal budget becomes the award budget.
Budget Justification
The budget justification explains how each major item of cost will directly benefit the Scope of Work and outlines how the specific cost was estimated and/or calculated.
Attachments
(Some proposal guidelines allow attachments; some do not. Read the guidelines carefully.)
Budget Development:
Personnel (Salaries/Wages):
Salaries and wages for work performed directly on sponsored agreements and incurred within the budget period are allowable.
Include faculty, research faculty, research associates, professional research assistants, technicians, scientists, postdoctoral researchers, and others who are necessary to meet the goals of the project.
Administrative and clerical salaries are exceptions and must meet specific conditions outlined in OMB Circular A-21.
Salary expense represents the largest direct cost component on sponsored projects -- ~70%.
Fringe Benefits:
Fringe benefits are calculated as a percentage of salaries and wages and include: FICA, workers compensation, health/life/dental/
Permanent Equipment:
Permanent equipment is defined as tangible, nonexpendable personal property having a useful life of more than one year and an acquisition cost of $5000 or more per unit. For budgeting purposes, provide as much specific information as possible about the item, including manufacturer's name, model number and name, unit cost of the equipment, and the number of units to be purchased. Note this category also includes component parts with which to fabricate permanent equipment.
Materials and Supplies:
This cost category includes tangible, expendable items, including non-capital equipment, with an acquisition cost less than $5000. As with permanent equipment, provide as much detail as possible for each item to be purchased. Examples of eligible materials and supplies include chemicals and other laboratory supplies, specialized computer software, and, with justification, laptop computers.
Travel:
This cost category is subdivided into domestic and foreign travel. Domestic travel includes trips within the United States, its possessions, and, usually, Canada. Foreign travel includes travel to and from non-US destinations as well as trips beginning and ending in a foreign country. Details for each trip should be detailed, including the name of the traveler, the purpose of the trip, the destination, and the duration. Airfare, ground transportation, hotel, and room and board should be provided on separate budget lines. For more information contact the CU Travel Office or go to their website.
Other Direct Costs:
This cost category covers every item not covered by the more specific categories, such as consultant fees, shop services, tuition, equipment and facility rental. Of special not are the following items of cost.
Publication Costs
This cost category includes expenses to disseminate research results. Typically, this includes special reports, deliverables, and publication in professional journals. Most often, it does not include the cost of regular interim and final technical reports.
Participant Support Costs
In general, participants are the recipients of service or training provided at a workshop, conference, seminar, symposia, or other short-term instructional or I information sharing activity. The participants are not required to provide any deliverable to the university or third party, nor would they be disciplined or terminated for their failure to perform.
Participants may include students, national scholars and scientists, private sector representatives, agency personnel, teachers, and others who attend and participate in the conference, workshop, or training activity. Unless specifically provided for in the award document, University of Colorado faculty and staff are not eligible for participant support.
Participant support costs are defined by the National Science Foundation (NSF) as "direct costs for items such as stipends or subsistence allowances, travel allowances and registration fees paid to or on behalf of participants or trainees (but not employees) in connection with meetings, conferences, symposia or training projects."
Subcontracts/Sub-
To prepare a proposal that includes a subcontract, OCG needs the following information from the prospective Subcontractor:
- Letter of Intent/Commitment Signed by the Sub's PI and Authorized Organizational Representative
- Scope of Work (technical proposal and detailed schedules)
- Budget w/justification/cost & pricing data
- Resumes/Vitae of Key Personnel
- Current and Pending Support of Key Personnel
- Representations and Certifications
- Negotiated Facilities and Administration Cost Agreement
- Other information as required by the prime award
Facilities and Administrative Costs (Overhead/Indirect)
Indirect costs support common or joint activities, benefit numerous projects, cannot be readily or specifically identified with a particular sponsored project, and cannot be distributed between projects with relative ease and a high degree of accuracy.
Remember:
Salaries of administrative and clerical staff should normally be treated as F&A costs.
Items such as office supplies, postage, local telephone costs, and memberships should normally be treated as F&A costs.
Facilities and Administrative Rate (Indirect Costs) Waivers
If the Sponsor has a formal Facilities and Administrative rate (indirect/overhead) policy limiting the amount of F&A that can be charged to the project, then your OCG Proposal Analyst will need a copy of the policy for documentation or a link to the official web site where the policy can be confirmed. Route the IDC Addendum Form to your Department Chair for approval.
If the Sponsor does not have a formal policy (and for any other F&A waiver requests) you will need to submit a formal Indirect Cost Waiver request form to document the need for the waiver and its potential impact to the project and the University. Forward your request to the Associate Vice Chancellor for Research and the Director of Contracts and Grants.
Questions to be addressed:
- Is the Sponsor a for-profit or non-profit organization?
- Will the award be a contract or a grant?
- Is the project for research, instruction, or another purpose?
- It this an on or off-campus project?
- Is there a cap on Sponsor funds available for the project? Can this limitation on available funds be documented by the Sponsor?
- Is cost sharing required? Is a waiver of F&A eligible to be considered cost share?
- Is cost sharing a specific evaluation criterion?
- How will the F&A costs to the project be covered? Specifically, will some of the indirect expenses be shifted to direct expenses?
- Why is this project of particular importance to the University, College, Department, and Principal Investigator?
- Are there any extenuating circumstances that would support a request for a reduction in the F&A rate?
- Has the Dean and/or Chair agreed to forgo their portion of the F&A cost recovery?
Cost Sharing
Note: Unless required, it is University policy not to provide matching or cost share on research proposals and awards.
Cost sharing is the portion of project related costs not borne by the Sponsor and contributed by the University.
Cost sharing may be:
- Mandatory -- Required as a condition of eligibility to submit or receive an award
- Voluntary Committed -- Offered by the University to enhance the proposal
- Voluntary Uncommitted -- Incidental to project implementation
Note: infrastructure support is general support of the Principal Investigator's research program that benefits multiple projects, e.g. start up funding, lab renovations, multi-use equipment. Infrastructure support is an excellent substitute for cost sharing whenever cost sharing is not mandatory.
Typical cost shared expenses:
- Cash
- Academic year effort
- Graduate Research Assistant support
- Equipment
- Computer time
- In-kind services (third-party)
- Forfeited F&A
Remember:
Once committed, the University is obligated to fulfill the commitment or risk losing all or a portion of the awarded funding.
A separate account must be established for the cost share funds to enable monitoring and documentation of the expenses.
Internal cost share funds will be deposited into a general fund account (fund 10); external cost share funds will be deposited into a sponsored project account (fund 30 or 31).
Cost share is subject to audit.
Proposal Submission
Fastlane
INSPIRES
IPPS
Post Submission: Liaison with Sponsors
Proposal review takes time. Some agencies will acknowledge receipt of your proposal with a card, letter, or e-mail while others will not. A telephone call to the agency may be appropriate if you do not receive an acknowledgment within a week or so of submission. Check first with OCG because we may have received the confirmation.
Some agencies publish a specific date for announcement of awards. If not, allow at least six months for review of your proposal. Only then should you or OCG enquire about the status of the proposal. Sometimes, the Program Officer is the best source of information about the likelihood of funding.
Occasionally, the Sponsor may contact you for more information. Please involve OCG in all non-technical discussions. Negotiations are often part of the grant and contract award process. Very often the proposed budget must be trimmed and/or reapportioned. Additional materials may be required: for example, DOD agencies often request actual quotes from vendors in order to approve large equipment purchases. In rare cases, the proposal itself must be revised or even resubmitted.
Once the revised budget and other requested information is submitted, the agency will begin processing the formal paperwork to initiate the award. In general, the University cannot authorize expenditures until the contract or grant documentation is reviewed, approved, and endorsed by both the University and the sponsoring agency. This process may take a few days or a few months depending on the nature of what terms and conditions need to be negotiated. Typically, grants are transmitted, reviewed, and accounts established in a few days, but contracts can take much longer.
Because there will never be enough money to fund every worthwhile project, many proposals (even those that have been approved by the reviewers) will go unfunded. Even an unfunded grant proposal, however, can yield positive results. First, the reviewers' comments usually provide an idea of the strengths and weaknesses of the proposal. If these comments are not provided, request them. Second, you may submit a revised proposal that is stronger and more likely to be funded than the original proposal. Revised proposals typically enjoy a higher rate of success than first-time submissions.