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Grant Proposal Writing For Graduate Students Clemson University March 14, 2011 & March 17, 2011

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Grant Proposal Writing For Graduate Students Clemson University. March 14, 2011 &  March 17, 2011. Agenda. Gerald Sonnenfeld , Vice President for Research – Introduction to Grant Writing for Graduates Karen Burg, Endowed Chair – Grant Writing: Transitioning from Graduate to Faculty - PowerPoint PPT Presentation

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Page 1: Grant Proposal Writing  For  Graduate Students Clemson University

Grant Proposal Writing For

Graduate Students

Clemson University

March 14, 2011 &

 March 17, 2011

Page 2: Grant Proposal Writing  For  Graduate Students Clemson University

1. Gerald Sonnenfeld, Vice President for Research – Introduction to Grant Writing for Graduates

2. Karen Burg, Endowed Chair – Grant Writing: Transitioning from Graduate to Faculty

3. Karen Pless, Training & Registration Manager – Writing a Successful Proposal

4. Kristin LaRoche, Grants Administrator – Developing a Proposal Budget

5. Tracy Arwood, Director of Research Compliance – Compliance in Proposal Development

Agenda

Page 3: Grant Proposal Writing  For  Graduate Students Clemson University

Introduction to Grant Writing for

Graduates

- Gerald Sonnenfeld, Ph.D.Vice President for Research

Page 4: Grant Proposal Writing  For  Graduate Students Clemson University

• Principles of Applying for Grants

• The Need for a Hypothesis

Introduction to Grant Writing for

Graduates

Page 5: Grant Proposal Writing  For  Graduate Students Clemson University

Graduate Student Grant-Writing Seminar

Karen Burg, Ph.D.Hunter Endowed Chair &

Professor of BioengineeringInterim Vice Provost for Research & Innovation

March, 2011

Page 6: Grant Proposal Writing  For  Graduate Students Clemson University

KJL Burg, Graduate Student Grant-Writing Seminar

Background• B.S., Chemical Engineering (BioChE minor)

– NC State University, 1990 • M.S., Bioengineering

– Clemson University, 1992• Ph.D., Bioengineering (ExSt minor)

– Clemson University, 1996• Postdoctorate, Tissue Engineering

– Carolinas Medical Center, 1999

Page 7: Grant Proposal Writing  For  Graduate Students Clemson University

KJL Burg, Graduate Student Grant-Writing Seminar

• Research Assistant, Clemson University• Research Associate, Poly-Med, Inc.• Postdoc Fellow, Carolinas Medical Center

– Equipment, conference, research, travel, small business partnership proposals

• Faculty Member, Clemson University– Research, equipment, small business

partnership proposals

Employment and Proposal Writing

Page 8: Grant Proposal Writing  For  Graduate Students Clemson University

Proposals are like logic puzzles….My job, as the principal

investigator (PI), is to determine how to convince a group with

diverse opinions that our proposal is valuable and

exciting…..and worth funding!KJL Burg, Graduate Student Grant-Writing Seminar

Page 9: Grant Proposal Writing  For  Graduate Students Clemson University

KJL Burg, Graduate Student Grant-Writing Seminar

My Funding Attempts• Shift application emphasis with career progression (higher probability, lower return, lower management to lower probability, higher return, higher management)…

Equipment grants, travel fellowships, meeting grants Single investigator research grants

Multi-investigator research/education programs Multi-investigator infrastructure grants Multi-institutional research programs

Page 10: Grant Proposal Writing  For  Graduate Students Clemson University

A Winning Proposal Should…• Contain good grammar, be spelling error free• Include a succinct, easily/quickly understood

summary or abstract• Adhere to guidelines• Spell out objective immediately• Define how idea is unique• Contain evidence of expertise and ability• Serve as a road map, following a logical path

KJL Burg, Graduate Student Grant-Writing Seminar

Page 11: Grant Proposal Writing  For  Graduate Students Clemson University

KJL Burg, Graduate Student Grant-Writing Seminar

Preparing for Proposal Writing• Check funding rates• Identify several mentors, including different

perspectives• Learn from successful and unsuccessful

proposals by other PIs• Learn from and adapt to reviewer criticism

Page 12: Grant Proposal Writing  For  Graduate Students Clemson University

KJL Burg, Graduate Student Grant-Writing Seminar

Preparing for Proposal Writing• Everything is an opportunity

– Cultivate contacts (invited seminar speakers, speakers at conferences, etc.)

– Prepare for conference talks– Be proactive and involved

• Persistence pays• Realize that luck involves

clever preparation and positioning!

Page 13: Grant Proposal Writing  For  Graduate Students Clemson University

KJL Burg, Graduate Student Grant-Writing Seminar

• Define broader impact or….SO WHAT??• Determine community engagement or

impact– How will your work affect society?– How will you translate your work?

• Consider what makes sense for you• Focus on quality rather than quantity• Develop connections to research

Identifying Broader Impact

Page 14: Grant Proposal Writing  For  Graduate Students Clemson University

KJL Burg, Graduate Student Grant-Writing Seminar

• First communicate with your advisor!• Look for graduate student fellowships• Look for conference travel grant

opportunities• Ask your advisor if you can help with one

of their proposals

Starting Points for You

Page 15: Grant Proposal Writing  For  Graduate Students Clemson University

KJL Burg, Graduate Student Grant-Writing Seminar

The Writing Process• AGAIN, communicate with advisor, ASK if

unclear points• Pay attention to directions and detail• Be humble, not argumentative

– Regard criticism as constructive, not personal• Solicit outside review by faculty mentors,

friends, spouse, relatives

Page 16: Grant Proposal Writing  For  Graduate Students Clemson University

KJL Burg, Graduate Student Grant-Writing Seminar

• AGAIN, everything is an opportunity• Faculty members may be your future:

– Letter of reference writers– Collaborators

• Fellow graduate students may be your future:– Letter of reference writers– Collaborators– Funders

Lessons Learned

Page 17: Grant Proposal Writing  For  Graduate Students Clemson University

KJL Burg, Graduate Student Grant-Writing Seminar

Reference Letters• Give referees your resume, specified

information about opportunity, specific contact information for letter

• Offer to draft a letter• Ask referees to tell you once their letter is

submitted• Faculty members are busy – be politely

pesky, send reminder emails

Page 18: Grant Proposal Writing  For  Graduate Students Clemson University

KJL Burg, Graduate Student Grant-Writing Seminar

Sources of Information• Web• Faculty mentors, advisors, and members• Fellow graduate students• Conference presentations• Professional organizations

Page 19: Grant Proposal Writing  For  Graduate Students Clemson University

“If opportunity doesn’t knock, build a door”

(Milton Berle)

KJL Burg, Graduate Student Grant-Writing Seminar

Page 20: Grant Proposal Writing  For  Graduate Students Clemson University

Writing a Successful Proposal

- Karen PlessTraining & Registration

Office of Sponsored Programs

Page 21: Grant Proposal Writing  For  Graduate Students Clemson University

Set Goals

• Set a Goal, Develop a Plano Life Purpose

25, 10, 5-yearo Short range

What funds do you need to meet short range goals, and ultimately meet the long range goals

o Ideas for research hypothesis, service project or instruction

Organizational tip – enter ideas on note section of your cell phone, iPhone, iPad, etc.

o Refine hypothesis, service project or instruction goal(s) Begin developing objectives to meet the goal(s)

Page 22: Grant Proposal Writing  For  Graduate Students Clemson University

Getting Ready…

• Preparation for Developing Proposal Plan(s)o Find a mentor

Faculty advisor or other faculty membero Find local reviewers

Friend, family or faculty that will give honest critique

o Make friends with your College Grant Coordinator/Administrator

Life-line to successful, timely submission Provide budget development assistance Compare your documents to university, sponsor and

federal requirements

Page 23: Grant Proposal Writing  For  Graduate Students Clemson University

Getting Set…

• Refine hypothesis, service project or instruction goal(s)o Begin developing objectives to meet the goal(s)

• Determine qualifications to be a Principal Investigator (PI) at Clemson University – see policy at http://media.clemson.edu/research/sponsored-programs/policies/pi-policy.pdf

• Take Office of Sponsored Programs’ PI Certification http://www.clemson.edu/research/sponsored/picertification.html

Page 24: Grant Proposal Writing  For  Graduate Students Clemson University

Getting Set (cont’d)…

• Finding Funding Opportunities & Collaboratorso InfoEd– ~40,000 federal, state, international government,

and foundation & corporate funding opportunitieso InfoEd SPIN searches – faculty, staff, studentso InfoEd SMARTS e-alerts for Clemson employeeso Collaborator searches – Clemson & over 500 institutions

worldwideo Training available through Office of Sponsored Programs;

upcoming dates on handout & at end of presentation• Foundation Center searches – foundations & corporations o College Development Officers point you to contact for

foundation searches & proposal assistance

Page 25: Grant Proposal Writing  For  Graduate Students Clemson University

Go…

• Funding Opportunity Found –Now What?o Contact department or College Grants Coordinator

Get on their schedule for assistance & submissiono Foundation or Corporate funder?

Contact Office of Corporate & Foundation Relations (OCFR) through the Grants Coordinator

OCFR will qualify & target your needs to organization objectives, make initial contact & introduction, assist with proposal development or guidance and review

Page 26: Grant Proposal Writing  For  Graduate Students Clemson University

Keep Going…o Read thoroughly the call for proposals (RFP, RFA, RFQ,

BAA, PA,…); sponsor policies & procedure; program guide; proposal submission guidelines, electronic submission guide…

Grants Coordinator knowledgeable about many agencies & can provide standard guidelines

o Electronic Submission required? Contact Grants Coordinator immediately to determine

Clemson’s e-registration status & requirements for PI For NSF or NIH, complete form at

http://workgroups.clemson.edu/RES_5701_LIMITED_SUBMISSIONS/eregusername

or contact [email protected]

Page 27: Grant Proposal Writing  For  Graduate Students Clemson University

Keep Going (cont’d)…o Institutional Limit, i.e., sponsor only accepts a limited

number per institution – see http://workgroups.clemson.edu/RES_5701_LIMITED_SUBMISSIONS/ or contact [email protected]

o Develop a Timeline Begin timeline with sponsor due date(s) and work

backwards Coordinate with all proposal contributors –

subawardees, collaborators, Grant Coordinators Allow adequate time for writing, reviewing, editing,

submission

Page 28: Grant Proposal Writing  For  Graduate Students Clemson University

Start Writing…Basic Components• Letter of Intent (LOI), White Paper or Concept Paper, or Pre-

proposal may be required, optional, or not needed

• Begin writing the proposal…

• Basic components of a proposalo Cover Letter (if applicable)o Title Page

Proposal title should be succinct, to the point, get reader’s attention quickly, and reflect basic purpose of project

If available, follow sponsor format, or use example on Sponsored Programs’ web site

Page 29: Grant Proposal Writing  For  Graduate Students Clemson University

Basic Components (cont’d)• Table of Contents (if more than 10 pages or if required)

• Abstract/Summary (write last, include at beginning)o Be brief – 100-500 words depending on sponsor

requirementso Give overview of project, including need, objectives,

planned activities, expected outcomes, plans for disseminating findings

o Avoid jargon, write for anyone in any field to understand Abstracts, particularly federal, become public

statements

Page 30: Grant Proposal Writing  For  Graduate Students Clemson University

Basic Components (cont’d)• Introductiono Not always required, good to includeo Explain who you are, what you’ll doo Provide your qualifications as PIo Provide organizational qualifications

Clemson University Your department Clemson financial capabilities

o Available resources – facilities, equipment, etc.

Page 31: Grant Proposal Writing  For  Graduate Students Clemson University

Basic Components (cont’d)• Statement of Problem or Needs / Significanceo Be specific

Why is project needed What will be the significant contribution to this field What is new about this project compared to others How does this project build on previous works

o Include survey & statistical informationo Literature review (unless required separately)

Describe relevant work; if research demonstrate familiarity with related research & how this project relates; training or service projects should include statistical & demographic data

Page 32: Grant Proposal Writing  For  Graduate Students Clemson University

Basic Components (cont’d)• Goals or Purpose, Objectives, Project Descriptiono Project goal

Goal – general statements about the expected project outcomes

o Project objectives Measureable Time limited Realistic Relevant Relate to problem statement

Page 33: Grant Proposal Writing  For  Graduate Students Clemson University

Basic Components (cont’d)• Approach / Procedures / Methodologyo Describe planned project in detail, chronologicallyo Should be derived logically from stated problem/needo Relate to each objective

Examples – experiment design, study population characteristics, data to be generated, statistical techniques to be used, services to be provided, training to be accomplished

o Include timeline – make it reasonable

Page 34: Grant Proposal Writing  For  Graduate Students Clemson University

Basic Components (cont’d)• Personnel – PI and key personnelo May be required here as separate description of teamo Include time percentage, qualifications, dutieso PI – include background & qualificationso Identify relations of each to projecto Consultants – explain need, credentials, qualifications

• Facilities, Equipment and Resourceso May be required here as separate descriptiono Describe existing facilities, equipment and resources to be

used as well as any being requested

Page 35: Grant Proposal Writing  For  Graduate Students Clemson University

Basic Components (cont’d)• Evaluationo Describe plan to evaluate results to determine if successful

• Disseminationo When, how, where and to whom will findings / results be

disseminated – project reports, journals, workshops, presentations, web sites, manual, handbook, etc.

• Sustainability / Continuation Plano Training and service projects should provide explanation of

how the project will continue, how it will be sustained, after the sponsor funding is gone, i.e., fundraising, fees, other grants, university funding, etc.

Page 36: Grant Proposal Writing  For  Graduate Students Clemson University

Basic Components (cont’d)• Budget & Budget Justificationo If forms provided by sponsor, enter budget in their format;

otherwise provide detailed budget and explain why each person / item is required on this project

o Kristin will explain how to develop a budget in more detail this afternoon

• References / Literature Review

• Current & pending supporto May require here or in appendixo Sometimes also require list of all past funded projects, or

past relevant funded projects

Page 37: Grant Proposal Writing  For  Graduate Students Clemson University

Basic Components (cont’d)• Vita or biosketch for PI, co-investigators, key personnelo Number pages may be limited by sponsoro If format provided, follow their guide

• Appendiceso Letters of support/endorsement (verify if sponsor accepts

these)o Others as required by sponsoro Do not circumvent required page limit by including

information hereo Do not include information not requested

Page 38: Grant Proposal Writing  For  Graduate Students Clemson University

Issues to Consider• Intellectual Property (IP) concernso Public disclosure includes:

Journal articles, presentation at public meetings, thesis or dissertation defense, poster hanging in public area, awarded research grant or contract, public use or offer to sell in the U.S.

o Impact of public disclosure Absolute bar to foreign patent rights Can retain U.S. IP rights only if patent application filed

within one year

Page 39: Grant Proposal Writing  For  Graduate Students Clemson University

Issues to Consider (cont’d)• Intellectual Property (IP) concerns (cont’d)o Third party IP issues

Creators may not have rights to use third party IP even for research without permission from place employed when developed

Creators should contact Clemson University Research Foundation (CURF) before initiating research using IP conceived or reduced to practice at another institution or company

o Additional information and contact: www.clemson.edu/research/technology/policies Phone: 864-656-4237

Page 40: Grant Proposal Writing  For  Graduate Students Clemson University

Finishing Up• Provide budget & budget justification to Grants Coordinator

as early as possibleo Let it sit a day, re-reado Let family, friend, faculty advisor, and/or mentor reado Check one more time against the guidelineso Make changes as needed

• Complete Clemson’s internal Proposal Processing Form (PPF)

o Includes review and signatures by department head, Dean, Grants Coordinator, Office of Sponsored Programs

o Ask for Grants Coordinator assistance

Page 41: Grant Proposal Writing  For  Graduate Students Clemson University

Why Should A Sponsor Fund Your Project

• Research the sponsoro Current funding priorities

Is your project within their priorities?o Current & past funded projects

Has a project similar to yours been funded by this sponsor?

How is your project different?

Page 42: Grant Proposal Writing  For  Graduate Students Clemson University

Why Should A Sponsor Fund Your Project (cont’d)

• Budget requests must:o Be within sponsor’s funding limitso Be adequate to fund your projecto Not be “padded” with additional costs outside the scope of

your project

• Sponsors don’t fund people, they fund projectso What is the goal of your project that will make your

community or world a better place? This is what they fund.

Page 43: Grant Proposal Writing  For  Graduate Students Clemson University

Three Most Important Things• Plan, then work your plan

• Do your homeworko Research your area of interesto Find potential sponsor and research their priorities &

funded projects

• Develop relationshipso Mentorso Program Officerso Grants Coordinatorso Readers

Page 44: Grant Proposal Writing  For  Graduate Students Clemson University

Developing a Proposal Budget

- Kristin LaRocheGrants Administrator

Office of Sponsored Programs

Page 45: Grant Proposal Writing  For  Graduate Students Clemson University

Proposal Budget Characteristics

• Represents to the sponsor the cost of running your project.• Budget narrative is the written description of your budgeted

costs.o Includes both requested and cost shared line items.o Level of detail varies by sponsor but most request a line-item

budget. Each expenditure is itemized under its appropriate

category.o Provide detailed formulas and documentation for your

budgeted items. Example: Include the name of the consultant you will be

using; include the name of the piece of equipment you will be purchasing.

Page 46: Grant Proposal Writing  For  Graduate Students Clemson University

Elements of a Proposal Budget

• Direct Costs

• Facilities and Administration Costs

• Cost Shared or Matching Items

Page 47: Grant Proposal Writing  For  Graduate Students Clemson University

• Three questions to ask yourself when determining a direct cost:o Is it allowable?o Is it allocable?o Is it reasonable and necessary?

• A cost normally charged as a Facilities and Administration cost cannot be considered a direct cost.

• Be specific – never use the word miscellaneous when describing your direct costs.

Direct Costs

Page 48: Grant Proposal Writing  For  Graduate Students Clemson University

• Calculations are based on an actual salary of project personnel.o Reported as a percentage of effort and not an hourly rate.

• Fringe Benefit costs must be included if salaries and wages are budgeted.

Direct Costs – Salaries and Wages

Page 49: Grant Proposal Writing  For  Graduate Students Clemson University

• Taxes and other benefits (ex. medical insurance) that the employer must pay for an employee.• Clemson University’s fringe benefit rates are federally negotiated and updated annually.

o Rates are available through the Comptroller’s Office: http://www.clemson.edu/cfo/comptroller/rates/index.html o Ask your College Grant Coordinator for assistance.

• A reasonable increase of 3% is permissible per budgeted year. o Increase takes into account the future negotiated rates.

• At the time of the expenditure, the actual fringe rate will be charged regardless of the rate included in the budget.

Direct Costs – Fringe Benefits

Page 50: Grant Proposal Writing  For  Graduate Students Clemson University

• Mileage• Airfare• Ground Transportation• Conference Registration and Fees• Lodging• Per diemo Rates are available through the Office of the Chief Financial Officer:

http://www.clemson.edu/cfo/procurement/travel/employeeguidelines.html o Ask your College Grant Coordinator for assistance.

• Foreign travel must be approved by the Sponsored Programs Accounting and Administration (SPAA) prior to travel but not prior to budget development.o Should be noted in the proposal budget if anticipated.o SPAA will not approve foreign travel if it is not in the proposal budget.

Direct Costs – Travel

Page 51: Grant Proposal Writing  For  Graduate Students Clemson University

• An item generally less than $5,000 that is needed to carry out your project.• Examples:o Lab supplieso Curriculum for a meeting or workshopo Computers specifically for a sponsored project

Must be necessary to fulfill the project’s scope of work. Described and justified in the proposed narrative and budget. Specifically identified with the project. Approved by the sponsor.

• If the item cannot be directly linked to your project, it may be unallowable.• Examples of unallowable supplies and materials:o Office supplies and furnitureo General use computers and printerso Cell phones

Direct Costs – Supplies and Materials

Page 52: Grant Proposal Writing  For  Graduate Students Clemson University

• A tangible, non-expendable item with an acquisition cost of $5,000 or more.

• Useful life of the item must be greater than one year.• Name the specific items of equipment in your proposal

budget.• Equipment purchases should be completed at least 90

days in advance of the project end date.• Sponsored Programs Accounting and Administration

approves equipment purchases.

Direct Costs – Equipment

Page 53: Grant Proposal Writing  For  Graduate Students Clemson University

• An item that directly benefits the participants of the project who are not employed by the University or paid a salary or wage by the sponsored project.o Includes individuals participating in a workshop, training,

conference, or other activity funded by the project.• Examples:o Registration feeso Travel expenseso Supplies given to the participantso Per diem

Direct Costs – Participant Support

Page 54: Grant Proposal Writing  For  Graduate Students Clemson University

• Included if salaries are proposed for Graduate Research Assistantships.o Ask your College Grant Coordinator for assistance in

calculating the GAD.• For GAD policy questions, contact the Graduate School.• GAD is budgeted as “Graduate Assistant Tuition

Remission” and included in the “Other” budget category on sponsor forms.

Direct Costs – Graduate Assistant Differential (GAD)

Page 55: Grant Proposal Writing  For  Graduate Students Clemson University

• Software or data• Postage• Rentals• Printing costs• Publishing costs• Consultantso Be sure to include a letter or scope of work outlining their

tasks and the exact dollar amount for their work.o If consultants are not specifically named but proposed, then

their services must go through procurement after the sponsored project is awarded.

Direct Costs – Other

Page 56: Grant Proposal Writing  For  Graduate Students Clemson University

• Included if another university or organization will perform a substantial amount of the work.

o Subawardee is bound by same obligations as prime awardee. • Be sure to include:

o Scope of Worko Budget

May reflect their fringe benefit rates and approved F&A rate.o Signature of the subawardee’s Authorized Organization Representative (AOR)

• Subawards are issued by the Office of Sponsored Programs after the University receives the award from the sponsor.

o Does not require a procurement certification.

Direct Costs – Subawards

Page 57: Grant Proposal Writing  For  Graduate Students Clemson University

• General Office Supplies• Administrative or Supporting Salaries• Entertainment• Food* and Alcoholic Beverages• Promotional Items*• General Maintenance Costs• Local Telephone Calls and Cellular Phones• Lobbying• Any costs that are considered Facilities and Administration Costso Items marked with an asterisk could be considered allowable if

they are necessary for project activities such as food at a workshop or advertising for employees for a sponsored project.

• If you ever have a question about an item, your first line of contact is your College Grant Coordinator.

Unallowable Direct Costs

Page 58: Grant Proposal Writing  For  Graduate Students Clemson University

• Known also as indirect costs.• Costs that cannot be identified readily and specifically

with a particular sponsored project.• F&A costs are determined using a federally negotiated

rate.• Must be included on all sponsored program proposals

unless there is a sponsor restriction.

Facilities and Administration (F&A) Costs

Page 59: Grant Proposal Writing  For  Graduate Students Clemson University

• Modified Total Direct Costs (MTDC)o Approved and agreed upon method of Clemson University.o Excludes equipment, capital expenditures, student tuition remission, rental costs of off-site facilities, scholarships, fellowships, and the portion of each subaward in excess of $25,000.

• Total Direct Costs (TDC)o Applied only when the program announcement has instructed its use.o F&A rate is applied to all direct costs.

• Total Federal Funds Awarded/Total Project Costs (TFFA/TPC)o Required by some federal agencies such as USDA.

Example: USDA allows 22% of total federal funds awarded to be F&A costs which leaves 78% of direct cost items federally funded.

• Sometimes the RFP will instruct applicants to use the lesser of their negotiated rates (MTDC full rate or TFFA/TPC).

o Budget should be calculated using the MTDC with full rate and TFFA/TPC at restricted rate to determine the lower F&A recovery.

Calculation of F&A Costs

Page 60: Grant Proposal Writing  For  Graduate Students Clemson University

• Rates are available through the Comptroller’s Office: http://www.clemson.edu/cfo/comptroller/rates/index.html• F&A Rate Information (July 1, 2010)o 48.5% On-Campus Researcho 45.0% On-Campus Instructiono 34.0% On-Campus Other Sponsored Activityo 26.0% Off-Campus (Research, Instruction, or Other Sponsored

Activity) Off-Campus is considered activities performed in facilities not

owned by the University and to which rent is directly allocated to the project. If more than 50% of the project is performed off-campus, the off-campus rate will apply to the entire project.

Clemson University Provisional F&A Rates

Page 61: Grant Proposal Writing  For  Graduate Students Clemson University

• If the Sponsor limits F&A:o Restriction must be stated on the RFP or policy

document from the sponsor.o The budget will include the restricted rate rather than

the full approved rate.• If the Sponsor does not allow F&A to be charged:o Restriction must be stated on the RFP or policy

document from the sponsor.o The budget will not include F&A.

Limits on F&A

Page 62: Grant Proposal Writing  For  Graduate Students Clemson University

• Clemson University Policy for Waiver of or Reduction in F&A Rate for Proposals:

http://media.clemson.edu/research/sponsored-programs/policies/fa-waiver.pdf

• Goal of the University to grow research and increase the effective recovery of F&A costs.

• No voluntary waivers or reductions of F&A costs will be approved.

F&A Waivers

Page 63: Grant Proposal Writing  For  Graduate Students Clemson University

• A portion of the proposed budget that is not reimbursed by the sponsor.o Represents a binding obligation once the award is accepted.

• Cost share shows institutional support for a specific project.o Should be limited to situations where it is mandatory.

• Non-mandatory or voluntary cost share will not be authorized.• Every effort should be made to provide mandatory cost share from other

internal resources or third-party contributions in accordance with federal cost principals.

• The University requires the Cost Share Agreement Form to be completed and approved at the time the proposal is submitted.o This form is available on the Office of Sponsored Programs website:

http://media.clemson.edu/research/sponsored-programs/cost-sharing.pdf o Authorized signatures are required for items to be contributed as cost

share.

Cost Share

Page 64: Grant Proposal Writing  For  Graduate Students Clemson University

• University funds such as salary and fringe benefits.• Unrecovered F&Ao F&A that was restricted or not allowed.

• Third-party contributionso Must be documented with a signed letter of

commitment outlining the resources and the specific dollar value.

o Could be services, goods, or cash donated to the project.

Cost Share Sources

Page 65: Grant Proposal Writing  For  Graduate Students Clemson University

• Must be verifiable in the University records.• Not used as match for any other sponsored programs.• Must be necessary and reasonable under federal cost

principals.• Item is not paid by federal dollars under another award.• Item is included in the approved budget when requested

by the sponsor.• Cost is incurred during the effective dates of the

sponsored program.

Cost Share Standards

Page 66: Grant Proposal Writing  For  Graduate Students Clemson University

• Budget development should not be left to the last minute.• Changes in your project will have an impact on your budget and

changes in your budget will have an impact on your project.• Very important that federal cost principals and information in

the RFP, as well as Clemson policies and procedures, be followed when developing your proposal budget.

• When it doubt, ask your College Grant Coordinator or the Office of Sponsored Programs for assistance.o Office of Sponsored Programs Policies:

http://www.clemson.edu/research/sponsored/policies.html

Budget Tips to Remember

Page 67: Grant Proposal Writing  For  Graduate Students Clemson University

Research Compliance at

Clemson University Guide for Graduate Students Submitting Research Proposals

Tracy S. ArwoodDirector, Office of Research Compliance

& Research Integrity Officer

Page 68: Grant Proposal Writing  For  Graduate Students Clemson University

Office of Research Compliance

Facilitates University research, teaching and public service programs by providing oversight and coordination of

research compliance areas

Page 69: Grant Proposal Writing  For  Graduate Students Clemson University

Regulatory areas

• Three federally mandated compliance committees:o IACUC – vertebrate animalso IRB – human subjectso IBC – rDNA and hazardous materials

• Research Misconduct Allegations• Responsible Conduct of Research (RCR) training program

Page 70: Grant Proposal Writing  For  Graduate Students Clemson University

Compliance Considerations when Preparing a Grant Proposal

• Read the Proposal Solicitation carefullyo Request for Proposal (RFP)o Program Announcement (PA)o Request for Applications (RFA)o Broad Agency Announcement (BAA)

Page 71: Grant Proposal Writing  For  Graduate Students Clemson University

Addressing Compliance Issues

• When preparing a grant application for a research project that involves the use of any of the following, applicant will need to address compliance issues.

o Human Subjectso Vertebrate Animals o Hazardous materials, recombinant DNA, select agents/toxins

Page 72: Grant Proposal Writing  For  Graduate Students Clemson University

Minimum Requirements -IRB

• Justify use of subjects• Detail study procedures including consent process• Explain how any potential risks will be minimized• Demonstrate potential benefits outweigh minimized risks

Page 73: Grant Proposal Writing  For  Graduate Students Clemson University

Minimum Requirements -IACUC

• Justify use of animals• Delineate species, age, sex, and number of animals to be used• Describe veterinary care to be provided• Detail procedures to ensure that pain and distress are minimized• Describe use of analgesic and/or anesthetic, where appropriate

Page 74: Grant Proposal Writing  For  Graduate Students Clemson University

IACUC- continued

• Address the 3 R’s (alternatives to replace, reduce and refine techniques)

• Provide a literature search for alternatives

• Describe method of euthanasia and justify selection

Page 75: Grant Proposal Writing  For  Graduate Students Clemson University

Minimum Requirements -IBC

• Justify the use of materials used• Explain laboratory safety, security and biological containment • Delineate emergency contingency plans including containment and cleanup of spills• If recombinant DNA used – specify that NIH Guidelines for recombinant DNA research will be adhered

Page 76: Grant Proposal Writing  For  Graduate Students Clemson University

Keep in mind…

• Some sponsors require submission and approval of human subjects, animal use and biosafety protocols before grant application is submitted• Others, such as NIH, allow “just-in-time” approvals• Sponsor’s solicitation should indicate when institutional approvals for compliance issues are needed

Page 77: Grant Proposal Writing  For  Graduate Students Clemson University

Other Considerations

• Allow sufficient amount of time• Be familiar with Clemson’s research policies and procedures• Ask for help• Non-compliance impacts entire campus

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Research Misconduct

Fabrication

Falsification

Plagiarism

in proposing, performing, or reviewing research, orin reporting research results

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Responsible Conduct of Research (RCR) training program

• Required for NSF and NIH funded work• 9 core areas:  

o Acquisition, Management, Sharing and Ownership of Datao  Animal Welfare o  Authorship/Plagiarism o  Collaborationo  Conflict of Interest o  Human Subject Protectionso  Mentoringo  Peer Reviewo  Research Misconduct

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NIH RCR Training Requirement

• Support through NIH training, career development award, research education grant and dissertation research grant must receive training in RCR• Information stated in the relevant funding opportunity announcements• RCR training program must be described in the proposal (see template)

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Research compliance stands for nothing less than a constant striving to meet the highest ethical standards and a dedication to achieving recognition through integrity.

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Information Sources• Standard information for proposals & forms available at:

http://www.clemson.edu/research/sponsored/proposal/

• Clemson policies & procedures for sponsored projects available at: http://www.clemson.edu/research/sponsored/policies.html

• Forms & templates available at: http://www.clemson.edu/research/sponsored/forms.html

• Compliance issues available at: http://www.clemson.edu/research/compliance

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Resources Available at Clemson• Department and/or College Grant Coordinators

• Training opportunities offered by OSP & department or college

• Office of Corporate & Foundation Relations

• Libraryo RefWorks bibliography manager

• Clemson Computing & Information Technology (CCIT)

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Other Resources

• Lerner Associates, S. Joseph Levineo Writing and Presenting Your Thesis or Dissertation

http://www.learnerassociates.net/dissthes/o Guide for Writing a Funding Proposal

• http://www.learnerassociates.net/proposal/

• Catalog of Federal Domestic Assistanceo https://www.cfda.gov

• Foundation Center’s Proposal Writing Short Courseo http://foundationcenter.org/getstarted/tutoriasl/shortcourse/index.html