Grants 101:
Proposal Preparation
Charmaine Robaidek
Lidia Nonn
Office of Grants & Research
University of Wisconsin
Green Bay
Topics We Will Cover
Resources for the Researcher
 Funding guidelines
 Compliance
 Intellectual Property
 Budget
 Roles & Responsibilities
 Routing
 Web information that can help

Proposal Preparation Timeline
Identify Funding Opportunity
•Searchable Databases
•People Resources
•Web Resources
Develop Proposal
Roles and Responsibilities
Transmit Proposal to Funding Agency
Funding Opportunities:
Searchable Databases
Sponsored Programs Information
Network (SPIN)
 Community of Science/Scholars (COS)
 Grant Advisor
 Grants.gov
 Sponsor Web Sites

Funding Opportunities:
People Resources

On UWGB Campus:
◦
◦
◦
◦
Your Dean’s Office
Office of Advancement
Office of Grants and Research (OG&R)
Your Colleagues Across Campus
Funding Opportunities:
Web Resources
UWGB Office of Grants & Research
 National Council of University Research
Administrators (NCURA)
 Society of Research Administrators (SRA)
International
 Funding Agency

Preparation Timeline
Identify Funding Opportunity
Develop Proposal
•Compliance
•Intellectual Property •Budget
•Other/The Science/Everything Else
•Guidelines
Roles and Responsibilities
Transmit Proposal to Funding Agency
Sponsor Guidelines
• RFP (Request for Proposals)
(NSF: Grant Proposal Guide and RPF)
• How to apply
• Application deadline
(date/time/received/postmarked)
• Focus
Sponsor Guidelines (cont)
• Applicant Criteria
• Budget: match, & amount,
accepted IDC rate,
• Time period (when can funds be spent)
• Eligibility (PI, organization, project
requirements)
Sponsor Guidelines (cont)
Application Instructions
Number of pages
 Font size/style
 Margins
 Outline
 Submission Details

(number of hardcopies and/or electronic
submission)
Guidelines
University Requirements
• Principal Investigator (PI) status
• Conflict of Interest (Outside Activity Report and
Financial Disclosure Form)
• Time and Effort Requirements
• Budget (salary, fringe benefit rates provided by
UWGB Controllers Office)
• Clearances
• EST (Extramural Support Transmittal Form)
Federal Regulations

Office of Management and Budget (OMB)
Circulars
◦ Cost Principles: A-21, for Educational Institutions
◦ Administrative Requirements: A-110, for grants and agreements with institutions of
Higher Education, Hospitals, and Other Non-Profit Organizations
◦ Audit Requirements: A-133, States, Local Governments, and Non-Profit Organizations

Code of Federal Regulations
◦ codification of the general and permanent rules published in the Federal Register by the
executive departments and agencies of the Federal Government.

Bayh-Dole
◦ In 1980, the Congress passed P.L. 96-517, Amendments to the Patent and Trademark
Act, commonly referred to as the "Bayh-Dole Act”. Under this law, title to inventions made
with government support is provided to the contractor if that contractor is a small
business, a university, or other non-profit institution. The legislation is intended to use
patent ownership as an incentive for private sector development and commercialization of
federally funded research and development (R&D).
Compliance
Human Subjects
Animal Use
Conflict of Interest (Federal Disclosure
Form and Outside Activity Report)
 Export Control
 NSF Responsible Conduct in Research
 NIH Responsible Conduct in Research



Intellectual Property
Publications
 Data Ownership
 Co-mingling
 Copyright
 Inventions & Patents

Preparation Timeline
Identify Funding Opportunity
Develop Proposal
•Guidelines
•Intellectual Property
•Compliance
•Budget
•Other/The Project/Everything Else
Roles and Responsibilities
Transmit Proposal to Funding Agency
Proposal Development

Budget
◦
◦
◦
◦
◦
Budget Building Tools
Direct Costs vs. Indirect Costs
Budget Narrative
Subcontract vs.Vendor
Cost Share/Matching Commitments
Budget Building Tools

Spreadsheets
◦ OG&R
 Budget Development Spreadsheet (available on OG&R
Website)
 Standard Spreadsheet
 SF424 spreadsheet
 Standard Spreadsheet with NIH Modular component
◦ Sponsor provided (ex. Wisconsin Humanities Council
provides its own spreadsheet on WHC website)
◦ Your own
Direct Costs








Salaries
Fringe benefits
Supplies/Materials
Publications
Equipment
Travel
Consortium/Contractual/Subcontract/Subaward
Other allowable and allocable expenses directly
related to the project
F&A Costs
Also called Facilities and Administrative Costs, Indirect
Costs, or Overhead
 Facilities and Administrative (F & A) costs are
"those [costs] that are incurred for common or joint
objectives and therefore cannot be identified readily
and specifically with a particular sponsored project, an
instructional activity, or any other institutional activity."
OMB Circular A-21 Section E.1
 F&A Cost Rate is Negotiated by the University with
the Federal Government
 Include on all grant and contract proposals (Fed and
non Fed)

F&A Costs
(From Section F of A-21)
Depreciation and Use, Interest, Operation and
Maintenance Costs
 General and Departmental Administration Costs

◦ Central offices (Chancellor, Business Services, Risk Management,
etc)
◦ Deans’ offices
◦ “Administrative and clerical staff”
◦ Office supplies, postage, local telephone costs, memberships


Libraries
Student Administration and Services
F&A Costs
May be calculated based on:
 Modified Total Direct Costs
 Total Direct Costs
 Salaries and Wages
 Other specified in the RFP
F&A Costs: MTDC

MTDC (Modified Total Direct Costs) is
◦ The sum of your Direct Costs
Less items such as:
◦ Equipment with a useful life of more than 1 year and an
acquisition cost of $5,000 or more
◦ Tuition Remission
◦ For each Subcontract, the amount of their total that exceeds
$25,000
◦ Rental and Lease
◦ Patient Care
◦ Scholarships and Fellowships
See RFP for specific exclusions.
F&A Costs: TDC

TDC (Total Direct Costs) is
◦ The sum of your Direct Costs
◦ No exclusions applied
F&A Costs:
Salaries and Fringe Benefits

Salaries and fringe benefit costs are:
◦ The sum of all UW System salaries and wages
◦ The sum of the associated fringe benefits

Apply the current federal negotiated rate (off site or on site
rate) to salaries and fringe benefits
 Apply current On Site rate if more than 50% of the activities* are
performed on campus
 Apply current Off Site rate if more than 50% of the activities* are
performed off campus
(Activities = total project time and effort)
See the OG&R website (IDC rates) for
current federal negotiated rates.
Budget Narrative
Justification of the budgeted expenses
 Expenses must be allowable
 Show as much detail as possible
◦ % of effort for each person (what you list here is a commitment!)
◦ % fringe for each person
◦ Travel information including rates, where, how, how long
and how many people and why
◦ Specific supplies (chemicals, labware etc.)
◦ Other costs (equipment rental, vendor costs)
◦ Subcontracts/Consultants (survey instruments, modeling,
or evaluator)
◦ Indirect or F & A costs (include base, & applied rate)
◦ Total Cost (identified with matching funds provided)

Budget Narrative
Project Title Department of the University of Wisconsin-Green Bay
BUDGET JUSTIFICATION Budget Period: MM/DD/YY-MM/DD/YY
SENIOR PERSONNEL: Salaries and Fringe Benefits for faculty and staff. For each person contributing to the project, a short description of their roles and responsibilities should be included with the
salary requested.
Salary
(PI) Dr. _______ is the Principal Investigator for the project. Dr. ________ will devote XX% of his/her effort during MM/DD/YY–MM/DD/YY during the project period MM/DD/YY-MM/DD/YY. The
base salary for Dr. ________ is $000,000. Academic Year/Course Release Request: 1/7th of Salary/course: ($Base Salary)(0.1429)=$00,000/per course release. Summer Support Request: ($Base
Salary)(0.1111)= $00,000/summer month requested.
Please include the time, effort and salary requested (academic and summer months) and for each project budget year if the project period is greater than one year. Yr1 : ($ Salary Requested)= $0,000;
YR2: ($ Salary Requested)(raise of 2%)=$00,000; YR3 : ($ Salary Requested)(raise of 2%)=$00,000. Total salary requested: $00,000. Fringe Benefits
Fringe benefit rate (please use current rate) are per the UW System Cluster University guidelines and reflect the appropriate rates for the fiscal year July 1, 200X-June 30, 200X with a 0.5% projected
increase for subsequent years. The fringe benefits applied for Yr1: ($Salary Requested)(0.445) = $0,000; YR2: ($Salary Requested)(0.45)=$00,000; YR3: ($Salary quested)(0.455)$00,000.
Total Salary and Fringe benefits: YR1=$00,000 YR2=$00,000 YR3=$00,000. Total YRs1-3=$00,000.
(Co-PI) Dr. _________ is the co-Investigator for the project. Dr. ________ will devote XX% of his/her effort during MM/DD/YY–MM/DD/YY during the project period MM/DD/YY-MM/DD/YY. The
base salary for Dr. ________ is $000,000.
Academic Year/Course Release Request: 1/7th of Salary/course: ($Base Salary)(0.1429)=$00,000/per course release.
Summer Support Request: ($Base Salary)(0.1111)= $00,000/summer month requested.
Please include the time, effort and salary requested (academic and summer months) for each project budget year if the project period is greater than one year. Total salary requested: $00,000.
Fringe Benefits
Fringe benefit rate (please use current rate) are per the UW System Cluster University guidelines and reflect the appropriate rates for the fiscal year July 1, 200X-June 30, 200X with a 0.5% projected
increase for subsequent years. The fringes applied for Yr1: ($Salary Requested)(0.445) = $0,000; YR2: ($Salary Requested)(0.45)=$00,000; YR3 : ($Salary Requested)(0.455)=$00,000. Total Salary
and Fringe benefits: YR1=$00,000 YR2=$00,000 YR3=$00,000. Total YRs1-3=$00,000.
Unclassified (Administrative) Staff
Mr/s. _______ will be assisting as__________ for the project. Mr/s. ________ will devote XX% of his/her effort during MM/DD/YY–MM/DD/YY during the project period MM/DD/YY-MM/DD/YY.
The base salary for Mr/s. ________ is $000,000. ($Base Salary)(%effort= $00,000 salary requested. Please include the time, effort and salary requested for each project budget year if the project
period is greater than one year.
Total salary requested: $00,000.
Fringe benefit rate (please use current rate) are per the UW System Cluster University guidelines and reflect the appropriate rates for the fiscal year July 1, 200X-June 30, 200X with a 0.5% projected
increase for subsequent years. The fringes applied for Yr1 : ($Salary Requested) (0.445) = $0,000; YR2: ($Salary Requested)(0.45)=$00,000; YR3 : ($Salary Requested)(0.455)$00,000.
Total Salary and Fringe benefits: YR1=$00,000 YR2=$00,000 YR3=$00,000. Total YRs1-3=$00,000.
Total Salary and Fringe benefits: YR1=$00,000 YR2=$00,000 YR3=$00,000. Total YRs1-3=$00,000.
Budget Narrative (cont)
B. OTHER PERSONNEL
Classified Staff
Mr/s. _______ will be assisting as__________ for the project. Mr/s. ________ will devote XX% of his/her effort during MM/DD/YY–MM/DD/YY during the project period MM/DD/YYMM/DD/YY. The base salary for Mr/s. ________ is $000,000. ($Base Salary)(%effort= $00,000 salary requested. Please include the time, effort and salary requested for each project
budget year if the project period is greater than one year. Total salary requested: $00,000.
Fringe benefit rate (please use current rate) are per the UW System Cluster University guidelines and reflect the appropriate rates for the fiscal year July 1, 200X-June 30, 200X with a
0.5% projected increase for subsequent years. The fringes applied for Yr1 : ($Salary Requested) (0.57) = $0,000; YR2: ($Salary Requested)(0.575)=$00,000; YR3 : ($Salary
Requested)(0.58)$00,000. Total Salary and Fringe benefits: YR1=$00,000 YR2=$00,000 YR3=$00,000. Total YRs1-3=$00,000.
Graduate Students
Mr/s. _______ will be assisting as a graduate assistant for the project. Mr/s. ________ will devote 20 hours per week during the academic year (MM/DD/YY–MM/DD/YY) during the
project period MM/DD/YY-MM/DD/YY. The current graduate student stipend is $00,000.
If more than one year of support is being requested, please include a 2% stipend increase for each subsequent year. Calculate stipend for each year and provide a total for the entire
project period. Total Salary : YR1=$00,000 YR2=$00,000 YR3=$00,000. Total YRs1-3=$00,000.
If summer work is requested for graduate students (please include # of students, hours to be worked per week and total number of weeks per summer). When calculating their salary use
the student hourly rate for fringe benefits. Please include each summer calendar year separately for both salary and fringe calculations.
Fringe benefit rate (please use current rate) are per the UW System Cluster University guidelines and reflect the appropriate rates for the fiscal year July 1, 200X-June 30, 200X with a
0.5% projected increase for subsequent years. The fringes applied for Yr1 : ($Salary Requested) (0.34) = $0,000; YR2: ($Salary Requested)(0.345)=$00,000; YR3 : ($Salary
Requested)(0.35)$00,000. Include summer salary requests as well but keep them separate from academic year requests since the fringe rate applied is different.
Total Salary and Fringe benefits: YR1=$00,000 YR2=$00,000 YR3=$00,000. Total YRs1-3=$00,000.
Undergraduate Students
(please include # of students, hours to be worked per week and total number of weeks per year)
#X undergraduate students will provide assistance to the project. Each student will devote 10 hours per week during the academic year (MM/DD/YY–MM/DD/YY) at a rate of $0.00/hour
and will work for XX weeks during the project period MM/DD/YY-MM/DD/YY. YR1=$00,000 YR2=$00,000 YR3=$00,000. Total YRs1-3=$00,000.
Fringe benefit rate (2.5%) is per the UW System Cluster University guidelines and reflect the appropriate rates for the fiscal year July 1, 200X-June 30, 200X with a 0.5% projected
increase for subsequent years. The fringes applied for Yr1 : ($Salary Requested) (0.025) = $0,000; YR2: ($Salary Requested)(0.03)=$00,000; YR3 : ($Salary Requested)(0.035)$00,000.
Total Salary and Fringe benefits: YR1=$00,000 YR2=$00,000 YR3=$00,000. Total YRs1-3=$00,000.
Total Salaries and Fringes for all UWGB Employees = $000,000.
Permanent Equipment:
Single items over $5,000/unit (computers are not considered equipment) must be listed.
Total Equipment Costs: $00,000
Supplies and Expenses:
Budget Narrative (cont)
Supplies and Expenses
Please list each item with quantity and total amount.
Total Supplies and Expenses: $0,000.
Travel:
Costs used for in- and out-of-state travel.
Include # of persons, # of days per trip.
Include cost per RT ticket
Include cost per night at hotel
Include cost per day requested for meals
Include cost for mtg registration
Estimated total for in-state travel is $0,000 based on state allowed $.325/mile. Please include # of miles and # of trips and hotel/meals information if applicable.
Total Travel: $0,000.
Consultants/Contractors:
Consultants and Contractors require different supporting budget documentation, please consult the Institute for Research or the Business and Finance Office for assistance. At the
minimum, a statement of work and a budget is required for each consultant; in addition, a subcontractor must provide a signed letter of commitment to perform the stated work.
Indirect:
The University of Wisconsin (on campus) indirect cost rate is 44.5%. This rate is applied to the federally negotiated base, defined as, the total of salaries and fringes of all UWGB
employees. The total salaries and fringe = $00,000. If more than 50% of the project activities you may request that an off-campus rate of 18% of total salaries and fringe benefits be
used to calculate the indirect cost total.
Total Indirect based on salaries and fringes – ($BASE[total salaries+fringe])(46%) = $00,000.
Total Funds Requested: $000,000
Total Project Costs: $000,000
If Matching Funds are required you will need do contact the Institute for Research for assistance. All matching funds must be documented in the format above and
supporting documentation of support must be included with all grants and contracts.
Subcontract vs. Vendor

Subcontract (usually a co-PI)
◦ Performance measured against whether the objectives
of the federal program are met
◦ Has responsibility for programmatic decision making
◦ Has responsibility for adherence to applicable federal
program compliance requirements
◦ Typically publishes with the PI
Subcontract vs. Vendor

Vendor
◦ Provides the goods and services within normal
business operations
◦ Provides similar goods or services to many different
purchasers
◦ Operates in a competitive environment
◦ Provides goods or services that are ancillary to the
project
When UWGB is a Subcontract on another
institution’s proposal

The following is needed for campus review and approval
◦ Extramural Support Transmittal Form (EST)
◦ RFP (terms and conditions flow down from granting
agency)
◦ Letter of intent to commit
◦ Budget
◦ Budget narrative
◦ Scope of Work for your portion only
◦ Certifications and Assurances (signed by AOR) , if
requested by the applicant of record for submission to
the funding agency, if required.
When UWGB’s proposal includes a
Subcontract to another institution

Must have signed paperwork from the
institution/organization UWGB is
subcontracting to
 Budget
 Budget narrative
 Agency-required forms (e.g. face page, checklist)
○ DUNS #, Institutional Address
 Letter of intent to commit
 Certification and Assurances if required by Sponsor
 Signature of Institutional Official (not just the other PI)
Cost Share/Matching Commitments
Contact your Chair and Dean informing
them of your intent to submit.

Time and effort match - limited to:
◦ 5% during the academic year for instructional
academic staff; or
 Requires Chair and Dean written approval
◦ Course release(s)
 Requires Chair and Dean written approval

Cash or in-kind
◦ requires letter(s) of commitment from budget
unit director(s) AND any third party providers
Cost Share Matching Commitments

Any reference to “matching,” “cost
share,” “leveraging,” etc. , anywhere in a
proposal may become a legally binding
commitment and is legally binding if
dollar amount is stated.

When a matching commitment is not required
UWGB prefers not to provide one. Why?
◦
Facilities Costs + Admin Costs
————————————
= F& A Rate
Organized Research Base
(matching funds included in this Org. Res. Base)
Cost Share/Matching Commitments
When a matching commitment is
Mandatory (per the RFP)


Requirement must be documented in writing
To meet the requirement, UWGB considers
using
◦ UWGB and UWS Personnel (salary and fringe)
◦ UWGB and UWS unrestricted funds (gifts, startup)
 Federal funding is unallowable use for matching funds, private
and foundation and State funds are allowable.
◦ Indirect costs on proposed match
 If on campus rate is applied for requested funds, on campus
rate must be used for matching funds, same with off campus
◦ Un-recovered indirect costs
 if a rate other than our federally negotiated rate is required
Cost Share Matching Commitments

Third Party match commitments
◦ If necessary….
 A signed letter of commitment by organization
President, CEO or someone else in a position to
commit facilities and resources. Letter must
reference dollar amount committed.
 Guarantee the commitment will be met in the
same time period as the grant, tracked,
reported and certified as accurate
 If third party match does not come through,
Department may be responsible for 3rd
party match commitment
Other documents
Documents required by the Sponsor:
 Current and Pending documents
◦ Pay close attention to effort commitments and totals,
some sponsors have restrictions; campus and UWS
restrictions apply as well

Facilities and Equipment
◦ As they pertain to the project, include
subcontractor’s information as well.

Conflict of Interest
◦ UWGB keeps on file
 Biosketches/CV


UWGB faculty & staff and Subcontractors
And of course, the PROJECT NARRATIVE
Preparation Timeline
Identify Funding Opportunity
Develop Proposal
Roles and Responsibilities
•PI
•Dean
•Chair
•OG&R
Transmit Proposal to Funding Agency
Roles & Responsibilities
EST Form review and approval routing –
AKA: pre-submission review and approval
Principal Investigator
 Department administrator/Chair
 Dean
 Office of Grants & Research
 Provost

Roles & Responsibilities

Principal Investigator
◦ Find Funding Opportunities (w/OG&R
assistance)
◦ Prepare a Proposal (w/OG&R assistance)
◦ Route & Submit (w/OG&R assistance)
◦ To be in compliance with the Proposal Submission Policy all sections of
the proposal (no further revisions) except the technical narrative and
cited literature must be received by the Office of Grants & Research 5
working days prior to the sponsor deadline. The technical narrative/cited
literature must be received in formal form by the Office of Grants &
Research 48 hours prior to the sponsor’s deadline. Timely submission
of proposals will allow us to work together to promote best
business practices and to ensure that all proposals are submitted
properly and on time.
Roles & Responsibilities

Chair
◦ Verify PI eligibility/availability
 Overload issues, course release coverage?
◦ Verify resources & facilities
 Lab/equipment available for use during courses?
 ADA availability for post-award assistance?
◦ Assure the work fits the department’s mission
Roles & Responsibilities

Dean
◦ Assures compliance with campus policies and
guidelines
◦ Review and approve budgets
 matching funds are included
 if IDC allowed or a reduced rate is applied
Roles & Responsibilities

OG&R
◦
◦
◦
◦
Works with PI to complete and submit proposals
Prepares budget information, upon request
Initiates EST Form
Assists during the pre-submission routing and
approval process
◦ Completes Certifications and Assurances for the
university. Program specific is PI responsibility
◦ Be the “glue” for the grant’s process!!
◦ Negotiate agreement if an award is made
Roles & Responsibilities
 Provost
◦ Final approval for all submissions
◦ Considers requests for F & A waivers
◦ Provides Institutional support when requested
Institutional
signatory
Chair
OG&R
Chair
Sponsors
Dean
Dean
PROVOST
Preparation Timeline
Identify Funding Opportunity
Develop Proposal
Roles and Responsibilities
Transmit Proposal to Funding Agency
•Routing
•Electronic Submission
•Paper Submission
Routing
Extramural Support Transmittal Form
 Paper Submission
 Electronic Submission
 Timing (why is this important?)


To be in compliance with the Proposal Submission Policy all sections of the
proposal (no further revisions) except the technical narrative and cited
literature must be received by the Office of Grants & Research 5 working
days prior to the sponsor deadline. The technical narrative/cited literature
must be received in formal form by the Office of Grants & Research
48 hours prior to the sponsor’s deadline. Timely submission of
proposals will allow us to work together to promote best
business practices and to ensure that all proposals are submitted
properly and on time.
What is the purpose of the EST Form?
Proposal Routing. It assists by…
 Tracking the approval, routing, submission status,
organizes proposal data.
 Administration of proposal, negotiations, awards
and reports.
 Captures data requirements for tracking,
submissions, negotiations and project setup.

EST Form
Paper Submission

EST Form assists by . . .
◦
◦
◦
◦
Number of copies
Airbill or US mail
Paper plus electronic
Contact information of sponsoring agency
Electronic Submission
EST Form assists by . . .
 Grants.gov / Cayuse
 NSF Fastlane
 NASA NSPIRES
 Email attachment to Sponsor
 Other routes
Websites
(SPIN)
http://spin2000.infoed.org/new_spin/spinm
ain.asp
 (COS) http://www.cos.com/
 (Grants.gov) http://www.grants.gov/
 (OMB) http://www.whitehouse.gov/omb/

More Websites
(Code of Federal Regulations)
http://www.gpoaccess.gov/cfr/index.html
 (Bayh-Dole) http://www.cptech.org/ip/health/bd/\
 Ebling Library http://www.ebling.library.wisc.edu/

And yet more Websites
(Grants.gov/cayuse at UW)
http://www.rsp.wisc.edu/preaward/grantsgov.ht
ml
 (ProposalCentral)
http://proposalcentral.altum.com/
 (NIH)
http://www.nih.gov/
http://grants.nih.gov/grants/oer.htm
 (NSF) https://www.fastlane.nsf.gov/fastlane.jsp

And yet more Websites
If you are really interested in grants administration
 National Council of University Research
Administrators(NCURA)
http://www.ncura.edu/content/
 Society of Research Administrators (SRA)
International
http://www.srainternational.org/sra03/index.cfm
 UW Research & Sponsored Programs
http://www.rsp.wisc.edu/
Timing
It’s a good idea to work ahead
“just in case” there is a snafu
along the way!
Most important piece of information to
take with you today:
Communicate with your DEPARTMENT
&
CALL the RESEARCH (OGR) OFFICE
early and often!
Please contact the OGR
robaidec@uwgb.edu
nonnl@uwgb.edu
Or give us a call,
we’re in the book!
Any
questions?