PRE-AWARD GRANT TRAINING
Office of Research and Sponsored Programs
February 12-14, 2013
Introduction
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ORSP Mission
Sponsored Projects Personnel (who)
Finding Funding Sources (where)
Strategies for Proposal Preparation (how)
Compliance and Institutional Integrity (why)
Internal Routing Process (when)
Mission of ORSP
The mission of the Office of Research and
Sponsored Programs is to facilitate, advocate and
coordinate support for research and sponsored
projects while ensuring institutional integrity for
compliance of project activities that align with
the University’s mission, policies, fiduciary
responsibilities, laws, and ethical conduct.
Who to Contact
ORSP/Fin. Services
Contact information
Kristy Proctor
Interim Dean Graduate Studies,
Research and Sponsored Programs
x2325
Kristina.proctor@colostate-pueblo.edu
Linda Hannafious
Grants Administrator x2559
Linda.hannafious@colostate-pueblo.edu
Valerie Pfingston
Grants Accounting Coordinator X2145
Valerie.pfingston@colostate-pueblo.edu
Why seek sponsored support
What others are doing
Peer Institution Name
IPEDS Data 2008
Augusta State University*
California State University-Stanislaus
Emporia State University
Midwestern State University*
Missouri Western State University*
The University of Tennessee-Martin
The University of Texas at Tyler
University of Colorado at Colorado Springs
University of Michigan-Flint
University of South Carolina-Upstate
Washburn University*
* offer AA/AS degrees
average
standard deviation
Colorado State University-Pueblo
research
expenditures
per FTE
14
180
64
33
72
171
634
672
94
18
15
FTE personnel
sponsored
programs and
grad studies
3.0
5.0
9.0
3.0
7.0
4.0
6.0
5.0
1.0
179
242
4.8
2.4
36
2.0
What Others are doing
Research Expenditures
(IPEDS Data)
1600000
Expenditures (US $)
1400000
1200000
1000000
800000
CSUP
600000
Peer Avg
400000
200000
0
2000
2002
2004
2006
Fiscal Year
2008
2010
2012
Types of Sponsored Projects
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Research
Instruction
Public Service
Academic Support
Student Services
Institutional Support
Scholarships/Fellowships
Building/Facilities
Equipment
Sources of Sponsored Support
• Government – fulfill legislated or mandated goals
http://www.grants.gov/search/agency.do
28 federal agencies (NSF, NIH, NEH, NEA, DOD, DOJ, etc.)
State of Colorado (e.g. CDOT)
• Foundation – fund projects aligned with initiative in
their charter
if 501 C 3 status required …
coordinate with CSU-Pueblo Foundation
(Valerie Gallegos, Finance Manager x 2140)
• Not-for-Profits – support special purposes (e.g.
American Cancer Society)
Where to Find Support?
ORSP website: databases, alerts, list-serves:
http://www.colostate-pueblo.edu/grants/Pages/default.aspx
• SPIN - searchable database
http://www.colostate-pueblo.edu/Grants/SPIN/Pages/default.aspx
• Grants Resource Center (GRC AASCU)
I:\University Common\Office of Research and Sponsored
Programs\Grants Resource Center 2012
How to build a proposal
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• Familiarize yourself with RFP,
RFA, program announcement
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• Contact ORSP and/or
program officer for
clarification
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• Budget plenty of time for
planning, re-writes, and
internal routing process
Proposal Components
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Agency information
Administrative information (DUNS, AOR, etc.)
Personnel and Sub-contractors
Facilities and Resources
Budget (justification; direct and indirect costs)
Compliance protocols (COI, IRB, human subjects,
animal care and use, biosafety, other support)
• Proposal narrative and abstract
What is College/Dept’s Role?
• Proper budget development and
management
• Ensure compliance with policies (COI, HHS FCOI,
RCR, IRB, Human Subjects, Animal Care and Use, Biosaftety)
• Provide day-to-day management of
sponsor funds
• Maintain appropriate records (6 years after close
out)
Budget (categories)
Cost Type
Specific Category
Direct Costs
• Personnel (salary, months, %effort, fringe benefits)
• Equipment
• Travel
• Participant Costs (stipends, travel, tuition, other)
• Publication/Dissemination
• Materials and Supplies
• Consultant Services
•Subawards
•Other
Indirect Costs
(Facilities and Admin)
CSU-Pueblo Distribution:
•50% Central Admin
•25% College (major unit)
•25% Dept
• Federally negotiated (HHS 48% salaries and wages
excl. benefits through 06/30/2016 14% off campus)
• Federal agency (normally pay full rate)
• State agency (normally pay reduced rates)*
• Industry (normally pay full rate)
• Foundations (normally pay reduced rates)*
*must publish rate else negotiate reduced rate
Total Costs
Direct Costs + F&A (each year) = Total for Project
Budget (personnel)
Role
Responsibilities/Definitions
Principal Investigator
Responsible for project goals, annual, final reports
(communicates with program director): effort % time
and/or months
Shared responsibility for some project initiatives
Person controls work arrangement, not CSU-Pueblo
employee (IRS definition)
Provide service beyond PI’s expertise, supply own
facilities/resources, part of organization (normal
business)
Co-Investigator(s)
Consultant
Subcontractor
Undergraduate Student
Graduate Student
Postdoctoral fellow
Sub-Award
Hourly, stipend, tuition (contact student financial
services)
Budget fringes, consult program director
Receiving institution: submit agreement; DUNS,
budget, scope work, detail agreements (from ORSP
AOR)
Research Compliance (ensuring integrity)
http://www.colostate-pueblo.edu/Grants/InternalPolicies/Pages/default.aspx
http://www.uaf.edu/ori
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Conflict of Interest (COI)
HHS Financial Conflict of Interest (FCOI)
Export Control
Responsible Conduct of Research (RCR)
Misconduct in Science (MIS)
Institutional Review Boards (IRB)
Human Subjects
Animal Care and Use (IACUC)
Biosafety
Restricted, Proprietary and Classified Research
RCR Resources and Events
• CSU-Pueblo ORSP website
Policy – Misconduct in Science; NSF RCR Policy
• Office of Research Integrity (HHS ORI)
http://www.uaf.edu/ori
• CSU Fort Collins
http://rcr.colostate.edu/index.html
Kathy.partin@colostate.edu
Marty.Welsch@colostate.edu
May 8, 2013
NIH/NSF Plagiarism Workshop
CSU, Fort Collins, CO
Agenda:
• NSF perspective on
plagiarism (Moore)
• ORI Perspective on
plagiarism (Dahlberg)
• Panel – plagiarism in
scientific journals
• Panel-RIO perspective on
plagiarism
• Panel-teaching methods
to avoid plagiarism
Internal Routing (approvals)
Timeline
Responsibilities/Definitions
Inception of idea
Contact chair/director, dean/VP and ORSP
(facilities, in-kind or matching funds, IT demand, etc.)
Obtain RFP, RFA, program announcement (contact
ORSP successful proposals etc.); arrange for IRB
review and approvals; contact program director
Complete all sub-award agreements in conjunction
with ORSP; schedule date with ORSP to submit
proposal; obtain letters of support/commitment; HHS
complete FCOI training and disclosure
2-6 months from deadline
1 month from deadline
NLT 5 working days prior
to deadline
Submit completed routing sheet with signatures to
ORSP (include letters of support/commitment for
match, in-kind etc.); include budget (all years and
total) with justification and equipment price quotes,
project narrative and abstract, COI disclosure;
consultant agreements
On-line submissions (at
least 2 days prior to
deadline)
Bring thumb drive with templates and all supporting
documentation to ORSP at scheduled appointment;
bring your patience.
Summary (pre-award)
• External grants and contracts provide opportunities to enhance
excellence in programs, teaching, research, service and
institutional infrastructure for student support and public service
• ORSP personnel are available: find sources, develop and submit
proposals, and execute funded projects
• Projects must comply with policies and laws: familiarize yourself
with policies, ask questions
• Successful Grants: result from a good idea, planning, time
management, and excellent communication with ORSP and
program officer
Prepare a good proposal and you might not need good luck!!!!
RESOURCES
Univ of Colorado at Colorado Springs – Sponsored Programs
http://www.uccs.edu/~osp/
Colorado State University – Office of Sponsored Programs
http://web.research.colostate.edu/osp/
Wayne State University – Sponsored Programs Administration
QUESTIONS?