proposal and award management l.
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  1. PROPOSAL AND AWARD MANAGEMENT PRESENTERS Robert DeNight, Manager, Sponsored Projects Andrew Chilkatowsky, Manager, Research Business Management

  2. SPONSORED PROJECTS OFFICER (SPO) RESPONSIBILITIES Manage the non-financial administrative aspects of grant applications/awards Provide proactive guidance to Principal Investigators (PI) and staff in preparing proposals Review application guidelines and ensure proposal complies with them – we do not want an application returned without review due to oversight of simple rule (i.e., font size) Review sponsor’s terms and conditions and ensure compliance with them as well as CHOP’s institutional policies – mitigate risk

  3. SPONSORED PROJECTS OFFICER (SPO) RESPONSIBILITIES (CONT’D) Manage the negotiation and acceptance of awards Request lawson activity numbers for awards Manage post-award non-financial administrative matters (i.e., issuance of subcontracts) Advise PI’s and staff of changing sponsor and institutional rules Remind PI’s of closeout requirements Work closely with Grants & Contracts Specialist (GCS) to negotiate subcontract agreements

  4. SPONSORED PROJECTS OFFICEFISCAL YEAR 2008 STATISTICS CHOP Submitted 1,106 proposals requesting an annual total amount of $244,520,547 ($178,337,201 Direct, $66,183,346 F&A) 5.7% increase over FY’07 proposals submitted CHOP Received 687 awards totaling $149,462,557 ($113,046,915 Direct, $36,415,642 F&A) 2.7% increase over FY’07 number of awards CHOP receives the third largest annual amount of NIH funding for pediatric hospitals

  5. SPO/RBM ASSIGNMENT SPO’s/RBM’s are assigned to Departments and/or Divisions based on proposal volume; award amounts; complexity of proposals/awards (i.e., Training Grants, PADoH Tobacco, etc.) Currently, there are SPO I, SPO II, RBM I, and RBM II positions Distribute SPO/RBM Assignment list Distribute SPO and RBM organizational chart

  6. SPONSORED PROJECTS OFFICE PROPOSAL PROCESS PI submits Proposal Notification Form (PNF) at least 30 days prior to deadline. The PNF url is Budget - developed with RBM. Please note budget should match scope of work The application (including draft of science) should be submitted to the SPO as soon as possible but no later than 5 business days before the due date for paper applications and 10 business days for electronic submissions

  7. PROPOSAL PROCESS (CONT’D) The application should include our Internal Routing Form SPO reviews application to ensure compliance with sponsor rules and institutional policies SPO notifies PI, via email, of any required or suggested changes to the application Once the required changes have been made, SPO obtains signature of Authorized Official (AO) SPO informs PI that application has been signed and provides Federal Express label, if applicable Proposal is submitted to the sponsor and follows the sponsor’s review/award processes

  8. RESEARCH BUSINESS MANAGER (RBM) RESPONSIBILITIES Manage the financial aspects of grant applications/awards Communicate accurate and timely financial data to PI’s, sponsors, and others Provide proactive financial advice and planning Ensure compliance with sponsor rules and regulations, as well as CHOP’s policies

  9. RESEARCH BUSINESS MANAGER (RBM) RESPONSIBILITIES cont. • Act as liaison between PI and HR • Perform HR administrative functions (CHOPone job transfers, promotions, merit increases, terminations and bonuses) • Interact with Research Finance to ensure submission of Financial Status Reports • Ensure pay for research based employees is distributed accurately and timely.

  10. RESEARCH BUSINESS MANAGEMENTFISCAL YEAR 2008 STATISTICS Each RBM manages approximately: 75 activities (grants, contracts etc.) 22 Principal Investigators 70 employees 12 million in expenses annually 5 grant submissions/month - 50/year

  11. RESEARCH FINANCE RESPONSIBILITIES Institution’s official file of record for awards Issue lawson activity numbers Oversee CHOP’s financial management system Interact with RBM to ensure compliance with sponsor and institutional rules and policies Submit invoices to sponsors and prime institutions and deposit payments Drawdown on NIH letter of credit Issue payments to subcontractors and vendors Submit Financial Reports to sponsors Interact with Internal and External Auditors Assist in negotiating F&A rate agreement

  12. REGULATORY REQUIREMENTS Projects involving the use of human subjects require Institutional Review Board (IRB) approval. General questions can be sent to Projects involving the use of vertebrate animals require Institutional Animal Care and Use Committee (IACUC) approval. Melba Martinez can be reached at x4-9124 or via email: Projects involving the use of biohazardous materials require Institutional Biosafety Committee (IBC) approval. Ray Colliton can be reached at x6-2272 or via email:

  13. OFFICE OF TECHNOLOGY TRANSFER RESPONSIBILITIES Intellectual Property Management Corporate and Pharmaceutical Sponsored Research proposals and awards (i.e., Clinical Trials) Material Transfer Agreements (MTA) Confidential Disclosure Agreements (CDA)

  14. PROPOSAL INVOLVES A CLINICAL TRIAL Please contact the Clinical Trials Office (CTO) and the Clinical Trials Financial Management Office (CTFM) The CTO provides the following services: Study Feasibility; Study Placement; and Study Personnel The CTFM provides the following services: Research Registration; Patient Care Cost Management; Budget Preparation; and Sponsor Invoicing

  15. NIH R01 APPLICATION The NIH PHS 398 11/07 form url link is: Use English and avoid jargon Font size and type – Arial, Helvetica, Palatino, Linotype or Georgia typeface and a font size of 11 points or larger Type density, including characters and spaces, must be no more than 15 cpi Type may be no more than six lines per vertical inch Use black ink that can be clearly copied Print must be clear and legible Use standard (8 ½” x 11”) paper

  16. NIH R01 APPLICATION (CONT’D) Use at least one-half inch margins for all pages Application must be single-sided and single-spaced and should use only a standard, single-column format for text Consecutively number pages throughout the application - Do not use suffixes (i.e., 5a, 5b) If a paper submission, submit the original application and five exact, legible, single-sided photocopies Program Announcement (PA) Guidelines supersede the PHS 398 guidelines NIH individual Institute rules/regulations supersede the PA guidelines

  17. NIH R01 APPLICATION (CONT’D) NIH requires an eRA Commons username for each PI submitting an application. PI should contact Janet Dustman of our office (x4-3744, or via email at to obtain username Face Page is developed with assistance from RBM

  18. NIH R01 APPLICATION (CONT’D) Project Summary is a succinct and accurate description of the proposed work including the broad, long-term objectives and specific aims Relevancedescribes the relevance of this research to public health and should not use more than two or three sentences

  19. NIH R01 APPLICATION (CONT’D) Project/Performance Site(s) indicate where the work, described in the Research Plan, will be conducted

  20. SENIOR/KEY PERSONNEL Senior/key Personnel are defined as individuals who contribute to the scientific development or execution of the project in a substantive, measurable way Typically, these individuals have doctoral or other professional degrees These individuals must devote measurable effort (described in person months) to the project, whether or not salaries are requested Effort of zero person months or as needed are not acceptable levels of involvement for those designated as Senior/key Personnel We strongly suggest limiting the list of these individuals because there are additional administrative burdens associated with these personnel

  21. OTHER SIGNIFICANT CONTRIBUTORS This category identifies individuals who have committed to contribute to the scientific development or execution of the project, but are not committing any specified measurable effort (i.e., person months) to the project These individuals are typically presented at effort of zero person months or as needed Individuals with measurable effort may not be listed as Other Significant Contributors (OSC)

  22. TABLE OF CONTENTS Provide the page number for each category listed on the Table of Contents This form also serves as a useful tool to develop the application

  23. DETAILED BUDGET AND ENTIRE PROPOSED BUDGET Developed by the RBM based on information provided by PI The budget justification, which is part of the entire proposed budget is developed by the PI and should describe, the costs that will be incurred to perform the work

  24. CONSORTIUM BUDGET MATERIAL The following items are needed whenever a subcontractor will be involved in the project: Face page or Statement of Intent; Detailed budget; Entire proposed budget including budget justification; Biographical sketch for key personnel; Resources; Statement of work; and Checklist

  25. CHECKLIST Developed by the RBM based on information provided by PI It should identify Program Income, if applicable and F&A costs

  26. Factors Affecting Allowability of Costs Reasonableness and allocability Conformance to any grant or contract limitations Consistent treatment Determined in accordance with Generally Accepted Accounting Procedures (GAAP) Not included as cost or match in any other Federally-funded program Be adequately documented

  27. Reasonable Costs A cost is reasonable if, in its nature or amount, it does not exceed that which would be incurred by a prudent person under the circumstances prevailing at the time the decision was made to incur the costs.

  28. Allocable Costs – 3 circumstances When a cost is incurred directly for the purpose of a specific grant/contract. When the cost benefits a grant/contract and other cost objectives and it can be distributed among objectives in reasonable proportion to the benefits received. When a cost is necessary to the overall operation of an organization although a direct relationship to any particular cost objective cannot be shown.

  29. Composition of Total Costs The total cost of any grant program is composed of the Allowable Direct and Allowable Indirect Costs or F&A

  30. What are direct costs? Those costs that can be readily identified with a particular objective. Examples: (program specific) Salaries Fringe benefits Supplies Travel

  31. What’s included in CHOP’s Fringe Benefits Rate FICA (employer matching to social security) Disability insurance Life Insurance Tuition Remission Pension Costs Workers’ Compensation Unemployment Insurance Health Insurance

  32. CHOP Fringe Rates for use on grants, contracts and other agreements. Applicable to Effective Period Rate Pediatrics Faculty 7/01/07 to 6/30/09 22.4% Non-Peds. Fac.(CAA, CSA etc.) 7/01/07 to 6/30/09 16.1% Other staff 7/01/07 to 6/30/09 32.0%

  33. Direct vs. Indirect Costs • The decision to treat a cost as either a direct cost or an indriect cost depends upon the treatment of that cost within the grantee’s accounting system. • Cost policy statements provide documentation on how the grantee treats costs within the accounting system. • Indirect costs are those costs which are not readily identifiable with a particular cost objective.

  34. Indirect Costs (F&A) Indirect costs (F&A) are classified within two broad categories: • Facilities – buildings, equipment and capital improvement, and operations and maintenance expenses. • Administration – central offices, such as the director's office, the office of finance, business services, budget and planning, personnel, safety and risk management, general counsel, management information systems, and library costs.

  35. Allowable F&A Base Allowable: salaries and wages, fringe benefits, materials and supplies, services, travel, and subcontracts up to the first $25,000 (regardless of the period covered by the subcontract). Excluded: Equipment (> $5,000), capital expenditures, charges for patient care, rental costs and the portion of subcontracts costs in excess of $25,000.

  36. CHOP’s F&A rate F&A is expressed as a percentage of an indirect cost pool. Rate calculation = Pool/Base CHOP’s Indirect Cost Rates: Applicable to Effective Period Rate On-site 7/01/08 to 6/30/09 64.5% Off-site 7/01/06 to 6/30/09 26.0%

  37. BIOGRAPHICAL SKETCHES Required for all individuals listed as Senior/key Personnel and OSC’s May not exceed 4 pages. (See sample of a completed Biographical Sketch: Complete sections A, B, and C: A. Positions and Honors should be listed in chronological order, concluding with the present position. Include current CHOP affiliation. B. Selected peer-reviewed publications or manuscripts in press (in chronological order). Do not include manuscripts submitted or in preparation. C. Research Support should include both selected ongoing and completed research projects for the past three years that are relevant to the research proposed in the application. Do not include number of person months or direct costs. Do not confuse with Other Support. Essentially, biographical sketches are provided to indicate that the personnel involved have the experience to perform the work

  38. RESOURCES This should identify the facilities and equipment that are available to perform the work outlined in the proposal In electronic submissions, there are two separate sections: Facilities and Other Resources and Equipment

  39. RESEARCH PLAN 1. Introduction to Application – applies to resubmissions only. Responds to reviewers’ critiques. It should identify the method (i.e., margin-lined) to signal changes from previous submission. For an R01 the Introduction is limited to three pages. 2. Specific Aims - list the broad, long-term objectives and the goal of the specific research proposed. One page is recommended. 3. Background and Significance – describe the background leading to the present application. Critically evaluate existing knowledge, and specifically identify the gaps that the project is intended to fill. If the aims of the application are achieved, state how scientific knowledge or clinical practice will be advanced. Describe the effect of these studies on the concepts, methods, technologies, treatments, services or preventative interventions that drive this field. Two to three pages are recommended.

  40. RESEARCH PLAN (CONT’D) 4. Preliminary Studies/Progress Report - for new applications, use this section to provide an account of the PD/PI's preliminary studies pertinent to this application. For Renewal applications a Progress Report must be provided and should include the beginning and ending dates for the period covered since the project was last reviewed competitively. Summarize the previous application’s specific aims and the importance of the findings. Discuss any changes in the specific aims as a result of budget reductions. A list of publications, manuscripts accepted for publication, patents, and other printed materials will be included in Item 7.b; do not include that information here. Six to eight pages are recommended. 5. Research Design and Methods - describe the research design, conceptual or clinical framework, procedures, and analyses to be used to accomplish the specific aims of the project. Describe any new methodology and its advantage over existing methodologies. Describe any novel concepts, approaches, tools, or technologies for the proposed studies. Discuss the potential difficulties and limitations of the proposed procedures and alternative approaches to achieve the aims. As part of this section, provide a tentative sequence or timetable for the project. Point out any procedures, situations, or materials that may be hazardous to personnel and the precautions to be exercised. Please note that Items 2-5 may not exceed 25 pages, including all tables and figures

  41. RESEARCH PLAN (CONT’D) 6. Inclusion Enrollment Report (Renewal or Revision Applications only) - if the previous award involves clinical research, then you must report on the enrollment of research subjects and their distribution by ethnicity/race and sex/gender using the Inclusion Enrollment Report for each protocol. 7. Bibliography and References Cited/Progress Report Publication List - (a) Bibliography and References Cited - Provide a bibliography of any references cited. Each reference must include names of all authors (in the same sequence in which they appear in the publication), the article and journal title, book title, volume number, page numbers, and year of publication. The references should be limited to relevant and current literature. (b) Progress Report Publication List - for Renewal applications list the title and complete references to all appropriate publications, manuscripts accepted for publication, patents, and other printed materials that have resulted from the project since it was last reviewed competitively.

  42. RESEARCH PLAN (CONT’D) HUMAN SUBJECTS 8. Protection of Human Subjects – if the proposed research involves human subjects, refer to Part II of the PHS 398: Supplemental Instructions for Preparing the Human Subjects Section 9. Inclusion of Women and Minorities – if applicable, describe the inclusion of women and minorities. 10. Targeted/Planned Enrollment Table – if applicable, complete this table for each IRB protocol. 11. Inclusion of Children – if applicable, describe the inclusion of children.

  43. RESEARCH PLAN (CONT’D) VERTEBRATE ANIMALS 12. Vertebrate Animals - if vertebrate animals are involved in the project, address each of the following five points: 1. Provide a detailed description of the proposed use of the animals. Identify the species, strains, ages, sex, and numbers of animals to be used in the proposed work. 2. Justify the use of animals, the choice of species, and the numbers to be used. If animals are in short supply, costly, or to be used in large numbers, provide an additional rationale for their selection and numbers. 3. Provide information on the veterinary care of the animals involved.

  44. RESEARCH PLAN (CONT’D) VERTEBRATE ANIMALS 4. Describe the procedures for ensuring that discomfort, distress, pain, and injury will be limited to that which is unavoidable in the conduct of scientifically sound research. 5. Describe any method of euthanasia to be used and the reason(s) for its selection. State whether this method is consistent with the recommendations of the American Veterinary Medical Association (AVMA) Guidelines on Euthanasia. If proposed research involving vertebrate animals will take place at alternate sites (such as project/performance or collaborating sites), identify those sites and describe the activities at those locations. CHOP is an AAALAC accredited facility.

  45. RESEARCH PLAN (CONT’D) 13. Select Agent Research describes hazardous biological agents and toxins that have been identified by DHHS or USDA as having the potential to pose a severe threat to public health and safety, to animal and plant health, or to animal and plant products. The CDC maintains a list of these agents; see If any of the activities proposed in the application involve the use of Select Agents, either at the applicant organization or at any other Project/Performance Site, address the following three points for each site at which Select Agent research will take place. 1. Identify the Select Agent(s) to be used in the proposed research. 2. Provide the registration status of all entities where Select Agent(s) will be used. If the Project/Performance Site(s) is a foreign institution, provide the name(s) of the country or countries where Select Agent research will be performed. 3. Provide a description of all facilities where the Select Agent(s) will be used. Describe the procedures that will be used to monitor possession, use and transfer of Select Agent(s). Describe plans for appropriate biosafety, biocontainment, and security of the Select Agent(s).

  46. RESEARCH PLAN (CONT’D) 14. Multiple PD/PI Leadership Plan is required for applications designating multiple PD/PIs. A rationale for choosing a multiple PD/PI approach should be described. The governance and organizational structure of the leadership team and the research project should be described, including communication plans, process for making decisions on scientific direction, and procedures for resolving conflicts. The roles and administrative, technical, and scientific responsibilities for the project or program should be delineated for the PD/PIs, including responsibilities for human or live vertebrate animal subject studies as appropriate. If budget allocation is planned, the distribution of resources to specific components of the project or the individual PD/PIs should be delineated in the Leadership Plan.

  47. RESEARCH PLAN (CONT’D) 15. Consortium/Contractual Arrangements – explain the programmatic, fiscal, and administrative arrangements to be made between the applicant organization and the consortium organization(s). 16. Letters of Support – attach all appropriate letters of support, including any letters necessary to demonstrate the support of consortium participants and collaborators such as Senior/Key Personnel and Other Significant Contributors included in the grant application. Letters are not required for personnel (such as research assistants) not contributing in a substantive, measurable way to the scientific development or execution of the project. For consultants, letters should include rate/charge for consulting services.

  48. RESEARCH PLAN (CONT’D) 17. Resource Sharing Plan(s) – when resources have been developed with NIH funds and the associated research findings published or provided to NIH, it is important that they be made readily available for research purposes to qualified individuals within the scientific community. (a) Data Sharing Plan: Investigators seeking $500,000 or more in direct costs in any year are expected to include a brief 1-paragraph description of how final research data will be shared, or explain why data-sharing is not possible. (b) Sharing Model Organisms: Regardless of the amount requested, all applications where the development of model organisms is anticipated are expected to include a description of a specific plan for sharing and distributing unique model organisms or state appropriate reasons why such sharing is restricted or not possible. (c) Genome-Wide Association Studies (GWAS): Regardless of the amount requested, applicants seeking funding for a GWAS are expected to provide a plan for submission of GWAS data to the NIH-designatedGWAS data repository, or provide an appropriate explanation why submission to the repository is not possible.

  49. APPENDIX Do not use the appendix to circumvent the page limitations of the Research Plan. Graphs, diagrams, tables, and charts should be included in the body of the Research Plan unless a PDF file is necessary to show detail. When publications are allowed, a limit of 3 publications, which are not publicly available, will be considered in the initial peer review. A summary listing all of the items included in the appendix is encouraged, but not required. When including a summary, it should be the first file on the CD. Five identical CDs containing all appendix material must be submitted in the same package with the application. When preparing CDs: Use PDF format. Where possible, applicants should avoid creating PDF files from scanned documents. NIH recommends producing the documents electronically using text or work-processing software and then converting to PDF. Scanned documents are generally of poor quality and difficult to read.

  50. APPENDIX (CONT’D) Label each disk with the PD/PI name and application title. If burning CD-ROM disks on a Mac, select the ISO 9660 format. Do not use compression techniques for the electronic files. Do not use password protection, encryption, digital signature and/or digital certification in the PDF files. The following materials may be included in the appendix to New, Revision, Renewal and Resubmission applications: Up to 3 publications of the following types. In each case include the entire document: Manuscripts and/or abstracts accepted for publication but not yet published. Published manuscripts and/or abstracts where a free, online, publicly available journal link is not available. Patents directly relevant to the project. Do not include unpublished theses or abstracts/manuscripts submitted, but not yet accepted, for publication.