An application for a
sponsored project award generally takes the form of a proposal. A proposal is an application for funding
that includes all information that is necessary to describe the project aims and
objectives, staff capabilities, environment, and funding requirements. There are two types of proposals
submitted by PI’s in search of sponsored funding for research:
Solicitations, Requests for Proposals (RFP) and Requests for Quotation
(RFQ), are issued by agencies or private funding sources who make requests for a
specific research project. These RFP's
are generally subject to open bidding to any qualified researcher. Deadlines are specified in the announcement
and must be adhered to. The resulting
agreement usually takes the form of a contract between the funding agency and
the University.
Unsolicited proposals are submitted to an agency that
generally funds research of the type being proposed. If the agency decides to fund the research, the funding may take the form of a grant,
contract or cooperative agreement. Most large agencies have set deadlines for submittal
of unsolicited proposals each year, and funding decisions are made once all
proposals received in that time period have been reviewed. Corporate sector funding is frequently in
the form of teaming or collaborative agreements.
Proposals are written by the PI assisted by
his or her department. BARA provides
assistance with obtaining and interpreting agency guidelines, providing all
administration data such as rates and assurance dates,
and by reviewing the completed proposal.
In general, a proposal consists of: (a) a
narrative or technical section, (b) an
administrative section or document, and (c) a budget. The narrative or technical
section should be a clear and concise explanation of the planned research
including specific goals and methodologies. The budget is the best estimate of support
needed to perform the research proposed.
It should detail and justify each item of cost.
Most federal and many private agencies provide application forms and
guidelines. Be aware that a proposal
could be eliminated even before reaching the selection committee if the
agency’s instructions are not precisely followed.
In cases where instructions are not provided, the following basic
format is suggested:
1) Cover page
2) Certifications and Representations (as required by agency)
3) Abstract containing a brief overview
(approximately 250 words) of the proposed research including goals and methods
4) Introduction which identifies the problem and
the need for the research
5) Statement of work which outlines precisely the
goals, methodologies, dissemination of information and a description of
resources.
6) Budget estimates for every item of cost and supporting detail
7)
Listing of current and pending research support
8) Appendix, including vitas for key personnel and other pertinent documents or
forms
Budgets generally contain itemized direct and
F & A costs, other cost requirements, appendices, and required forms. Budget estimates should outline all costs
for a given project. The following is a
general budget format.
Direct costs are the expenses directly
associated with a specific research project.
The sponsor is expected to provide for all
direct costs, which may include:
§
Salaries
and Wages: List
professional personnel to be involved along with a percentage of effort. Next, list staff required and the estimated
number of calendar months to be devoted to the project each year. On federally funded projects, administrative
salaries are generally unallowable. If
they are to be included, it is essential that sufficient justification for
clerical and administrative staff be
provided. Refer to the university
policy regarding administrative support for further information, the web page address is http://www.controller.jhu.edu/. Remember to deduct staff vacation charges
prior to calculating effort.
§
Fringe
Benefits: Varying fringe
benefits are associated with different personnel categories. See “Information Most Often Needed For
Proposal Preparation” for current fringe benefits
rates.
§
Materials
and Supplies: These are normally expendable items with a
useful life of less than one year. It
is generally unacceptable to include office supplies. Provide details for all materials and supplies required.
§
Capital
Equipment: Identify the
piece of equipment including the model number,
manufacturer, name of the vendor, contact person and telephone number on a
separate budget explanation page. Capital equipment must be directly related
to the proposed research, have a useful life of more than one year, and cost in
excess of $5,000. General purpose
equipment, such as desks and typewriters, is generally not allowed. Consult agency regulations or call BARA for
more specific information.
§
Travel: Describe separately domestic and foreign
travel associated with the project. Provide a breakdown of costs according to
destination, reason for travel, number of travelers, number of trips, etc. When appropriate use Federal Travel
Regulations (FTRs) as a guideline to allowable travel costs.
§
Consultants: Identify the names of consultants, specialty,
daily rate, and justification for their use.
§
Printing
and Publication Costs:
Estimate the number of pages, page charges, and
name(s) of journal(s).
§
Subcontracts: List the names and addresses for all
subcontractors. Also submit a letter of
intent from the subcontractor (signed by an authorized representative) along
with a detailed cost estimate and rate agreement. If the subcontractors' work is not described in detail in Johns
Hopkins’s proposal, have the subcontractor submit a separate statement of
work. Refer to “Subawards” for specific guidelines and procedures.
§
Alterations
and/or Renovations: Itemize the requirements and
costs. These changes must be approved
by the appropriate dean prior to submission of the proposal.
§
Other
Direct Costs: Includes direct costs not specifically
described by the general headings above, such as 20% tuition, and health
insurance fees for graduate students on research grants.
Facilities
and Administrative (F&A) Costs, previously known as
Indirect Costs, are the expenses incurred for general University operations while conducting the
research project, such as library services, administrative costs, and building use and maintenance. F & A costs are calculated as a
percentage of direct costs and are set by the Federal Government.
The Federal Government provides rules (OMB Circular
A-21) governing the
calculation of F & A cost rates and periodically audits the costs supporting the rates we
have negotiated. Some
items, such as capital equipment and tuition/stipends, are excluded from the F
& A cost calculation. Known as Modified Total Direct Costs (MTDC), this formula entails deducting the following direct cost items
prior to calculating F&A: Equipment
exceeding $5,000; Subcontracts (amounts in excess of $25,000); Tuition; Patient
Care Costs; Rental of off-site facilities; Capital Expenditures; and
Fellowships and Scholarships.
F & A cost rates may vary according to the type or location of the
research project. Consult “Information Most Often
Needed For Proposal Preparation” for current rates, and
contact BARA for updates and rates not covered by the information sheet.
Ø
Application of F&A Rates
to Sponsored Projects
F&A cost
rates are applicable to all sponsored projects (grants, contracts, cooperative
agreements, subgrants and subcontracts) funded by federal, state or private
sponsors. The application of these rates allows JHU to recover certain costs
(e.g. facilities, utilities, libraries, administration, student services, etc.)
associated with externally funded training and research activity that, although
they are true costs, cannot be identified specifically with a particular
project or activity. The Federal
Government determines the rate that is necessary to collect these costs from
sponsored awards. Therefore, any
reduction in the allowable rate is considered cost sharing, and JHU must cover
those costs from other sources.
The first step in
determining the proper F&A rate is to read the sponsor’s program
guidelines. If there is a limit on
F&A, the program guidelines or announcement will list the rate that should
be used. If the guidelines do not
mention F&A or do not indicate that something other than the applicable
Federally negotiated rate should be used, the appropriate full rate should be
used.
The next
step in determining the appropriate rate is to establish what type of project
you are proposing. OMB
Circular A-21
describes the different types of awards – Organized Research, Instruction and
Training or Other Sponsored Activities.
Ø
On vs. Off Campus
Based on the planned activity and statement of work, determine if your
project qualifies for an off campus rate.
In order for a project to be considered off campus, the following
qualifications must be met:
These qualifications are a fiscal determination based upon space
utilization and are not simply a definition of where some of the project work
is being performed.
Ø
Procedure
to Request Off-campus IDC
A letter describing the
justification for the off-campus IDC rate should be sent to the Vice Dean for
Research. This request is required for
all stages of sponsored activity, i.e., primary proposals, continuations,
etc. The request should be made prior
to the proposal’s submission to BARA for signatures. This will allow for timely review and approval of the proposal.
Off campus
rates can only be used relative to the effort of a University employee. The performance of non-university personnel
must be handled via a subcontract to another institution, which takes on campus
F&A for the first $25,000, or a consulting agreement, which takes full
F&A for the entire amount. The University
must bear a responsibility for the work being done by non-JHU personnel, and
the individual must be responsible to JHU for the integrity of the work
performed.
Once the
project type and location are determined, the proper federal negotiated rate
should be applied. Current rates can be found on the form “Standard Proposal
Information” (Link to this site). Federal
rates can be used with state and private sponsors, and must be used if JHU will
be a subcontractor on a federal prime award.
Questions may be directed to your BARA contact.
v Cost Sharing
Some agencies require that the University share a percentage of the research
costs. Cost sharing represents a financial commitment to a research
project. Whenever the full costs of a
project are not recovered (direct or F & A), the University is, in fact,
sharing a percentage of the research costs and it is considered cost sharing. University cost sharing should not be included in a proposal unless it is mandatory by statute, regulation or written policy.
No cost sharing, waiver or modification can be accepted without the approval of the KSAS
Vice Dean for
Research. The
School of Arts & Sciences generally will not approve voluntary cost
sharing, and requires that all cost sharing be approved in advance and
documented by written approval of the Vice Dean for Research.
Cost sharing may take the form of outright, in-kind or matching.
Ø
Outright cost sharing generally
constitutes a cash contribution coming from University sources.
Ø
Matching usually refers to a
third-party cash contribution through gifts or grants specifically earmarked
for participation on a project.
Ø
In-kind contributions may include
University or third-party contributions of efforts, services or goods.
To be acceptable as cost sharing, expenditure must:
q Be verifiable from the official University records;
q Not be used as cost sharing for any other sponsored program;
q Be necessary and reasonable for proper and efficient accomplishment of
the project;
q Be allowable under the University governing cost principles and policies
(OMB Circular
A-21 and Johns Hopkins University Charging of Departmental Administrative Costs Policy);
q Be incurred during the effective dates of the award; and
q Not be paid by the Federal Government under another sponsored
project.
It is important to remember that all types of cost sharing must be
accounted for, even if only mentioned in the proposal text and not specified in
the budget. See the Office of the
Controller’s Accounting for Cost Sharing
Policy for further information on
accounting and tracking cost sharing.
The University must provide sponsors with
certain assurances regarding every research
project. These assurances generally
involve areas of potential physical, psychological, financial or legal
liability that the researcher, the sponsor, and/or the University may be subject to during the course of the
research project and beyond.
In order for
the affected parties to minimize potential liability, the federal government
and the University require that certain approvals be
obtained before a proposal is actually submitted. "Approvals" in this
sense involve the conduct of an examination by unaffected, technically
qualified individuals of those specific elements of the research proposal that
pose potential risks. The examination of these risks is based, for the most
part, upon federal and/or University regulations specific to the elements being
examined.
BARA offers detailed information regarding
policies, training, and other information pertinent to the responsible conduct
of research online at: http://www.jhu.edu/ksas/website/aboutksas/policies/.
The BARA "Information
Sheet" must be attached to the front of every proposal. This form can be filled out online or
downloaded onto your local PC. In addition to requiring basic
information about the award, this sheet outlines the areas requiring institutional assurances. These generally include the
following:
Any research proposal that uses vertebrate
animals, or tissue derived therefrom, must have the animal "protocol"
approved by the University. This refers
to the specific methodologies that describe how the animals will be used and
maintained. Research involving animals
must be approved by the Institutional Animal Care and Use Committee (IACUC).
Information regarding requirements for approval of protocols can be obtained by
examining the “Use of Experimental Animals at Johns Hopkins University”
Handbook. For further information on JHU policy,
please consult the following link: http://www.jhu.edu/animalcare/committee1.html.
NIH announced a new policy regarding humane care and use of laboratory animals
in August 2002. To review this change in PHS policy in detail, consult the
following link: http://grants.nih.gov/grants/olaw/references/phspol.htm.
.
The University must approve any research project
involving the use of human subjects.
The University must give assurances regarding research which involves
both physical and psychological testing.
This includes social data collection and analysis. If the research
involves clinical trials, Homewood investigators are referred to the School of
Medicine IRB.
There are two JHU Training sites for
education and training on the protection of human research subjects for all
investigators as mandated by the Public Health Service. The Public Health Service (PHS) later
extended the requirement to all persons supported by PHS funds. The successful completion of this module is
designed to fulfill the PHS requirement.
The University must examine and approve the handling, storage and disposal of any
materials in this category. These approvals are obtained by contacting the
Biosafety Division of the Office of Health, Safety and Environment (HSE). http://www.hopkinsmedicine.org/hse/biosafety.htm
The handling, use, storage and security of these materials must be registered with the Biosafety Division of HSE.
Research involving the use or manipulation of recombinant DNA must be
registered with the Biosafety Office in order to maintain compliance with
institutional and federal regulations.
The Recombinant DNA Registration form is available online at this link. Additional information on NIH guidelines for research involving
recombinant DNA molecules can be found at http://www4.od.nih.gov/oba/rac/guidelines_02/nih_guidelines_apr_02.htm.
Any modification of laboratory or office
space must be approved by the department chairperson and the appropriate dean
before any information is conveyed to a potential sponsor. The alteration of space
involves various levels of cost and has ramifications that could affect space
allocations for an entire academic department.
First rate research often requires the
acquisition of major equipment systems. However, the University is required by the Federal
Government to avoid acquiring equipment that is duplicative or easily and
conveniently available within a department.
This inquiry, therefore, helps the University to determine equipment
needs in those instances where it is disadvantageous to utilize existing
equipment.
Conflict of Interest exists when external
commitments made by University employees threaten or impair
independent scholarly inquiry; compromise one's freedom of thought or action;
or impede an employee's ability to capably perform the duties of his/her
University position. To minimize the
likelihood of such conflicts, KSAS has developed a Policy on Conflict of Commitment and Conflict of
Interest (http://www.jhu.edu/ksas/website/aboutksas/policies/KSASCoCCoIPolicy.pdf)
of which every employee pursuing external activities with income potential
should be cognizant.
Due to Federal mandate, the University must often certify that it
conducts its activities in a manner that does not violate specific federal laws
or regulations associated with the obligations of entities that receive federal
funds. These assurances to the federal sponsors
constitute "promises" on the part of the University that it
understands the sum and substance of the regulation, and that it will do its
best to behave in accordance with such regulations. The documents which convey our assurances in these matters are
called "certifications and representations".
Most agencies have a single form which covers a
general set of certifications regarding non-discriminatory employment
practices, accuracy of cost and pricing data, employer identification number,
and other similar items of information.
The more highly visible certifications are the "special
certifications." Among these assurances are those attesting that the
University is a Drug Free Workplace; that
Johns Hopkins has not experienced Debarment or Suspension in previous federal
grants or contracts; that the University does not attempt Lobbying in order to
attract research funding; and that equipment purchases are not duplicative
(Equipment Certification). Because
certification requirements are constantly changing, BARA monitors federal
requirements in these areas. Whenever
there are questions about required certifications and representations, please
direct them to BARA.
Contract is an agreement between two or more parties, usually
for the acquisition of property or services for the direct benefit of the
sponsoring agency. A contract assumes the production and delivery
of a specific product that can be an instrument, device, or technical
report. Contract requirements are more
specific and less flexible than grants, and agency personnel tend to maintain
stricter oversight. Federal contracts
are governed by Federal Acquisition Regulations, (FARS) as well as specific
terms and conditions incorporated into each contract document.
Cooperative Agreement is a form of federal assistance that involves substantial interaction with
the sponsoring agency and the grantee during the term of the contemplated
activity. Cooperative agreements
generally stipulate the responsibilities of both parties. Federal cooperative agreements are governed
by the same regulations as Federal grants.
Fellowship
is an
amount of money that is given to postgraduates to enable them to study a
subject at an advanced level.
Gifts represent non-reciprocal
and unconditional receipts or promises to give, whereas sponsored agreements
represent exchange transactions whereby the sponsor receives some form of
consideration in return for the funding.
Gifts are not considered sponsored agreements.
Grant is a financial assistance
instrument that provides the researcher with significant flexibility to
determine spending categories and research direction. Grants are usually made in support of basic research, requiring technical
and financial reports rather than specifying definite services or product
deliverables. Unlike cooperative
agreements, grants do not require substantial programmatic involvement between
the parties. Federal grants are governed by the Office of Management and
Budget (OMB) Cost and Accounting Circulars and by each individual agency's
grants policy document.
Instruction and Training is
defined as teaching and training activities at JHU funded by grants and
contracts from Federal or non-Federal sponsors. Sponsored Instruction includes
agreements which support curriculum development as well as all types of
teaching/training activities, whether offered for credit toward a degree or
certificate, on a non-credit basis, or through regular academic departments or
by separate divisions, summer school or external division. Sponsored Instruction includes:
·
Any project for which
the purpose is to instruct any student at any location; recipients of this
instruction may be JHU students or staff, teachers or students in elementary or
secondary schools, or the general public
·
Curriculum
development projects at any level, including projects that involve evaluation
of curriculum or teaching methods. Note
that such evaluation may be considered “research” when the preponderance of
activity is data collection, evaluation and reporting
·
Projects which
involve JHU students in community service activities for which they are
receiving academic credit
·
Activities funded by
awards to departments or schools for the support of students
·
Fellowship support for
pre-doctoral and post-doctoral training activities, which may include grants to
fund dissertation work and travel in relation to a dissertation
·
General support for
the writing of textbooks or reference books, video or software to be used as
instructional materials
Non-Sponsored Accounts are accounts established
with funds such as gifts and other support of the university’s goals and
endeavors that are not received under the terms of a sponsored agreement.
Organized Research is
described as all research and development activities that are sponsored
by Federal and non-Federal agencies and organizations. This term includes
activities involving the training of individuals in research techniques
(commonly called research training) where such activities utilize the same
facilities as other research and development activities and where such
activities are not included in the Instruction function. Research activities include rigorous inquiry, experiment,
or investigation to increase the scholarly understanding of the involved
discipline. Examples of sponsored
research include:
·
Awards to JHU faculty
to support research activities
·
External funding to
maintain facilities or equipment and/or operation of a center or facility which
will be used for research
·
External support for
the writing of books, when the purpose of the writing is to publish research
results
·
Data collection,
evaluation, analysis and/or reporting
·
Travel grants
·
Support for conferences, seminars or workshops
·
Support for University public events such as
“lively arts”
·
Publications by JHU Press
·
Support for student participation in community
service projects which do not result in academic credit
·
Support for projects pertaining to library
collections, acquisitions, bibliographies or cataloging
·
Programs to enhance institutional resources,
including computer enhancements, etc.
·
Health services projects
Private
Gifts. The
classification of an agreement as either a private gift or sponsored agreement
has important accounting and tax related implications. Revenue recognition and
net asset classifications are substantially different depending upon its
classification in the University accounting system. The classification affects
the University and divisional research base impacting the allocation of
facilities and administrative (F&A) cost to government and non- government
agreements and the distribution of University and Divisional F&A
recoveries. The effort and resources consumed in the solicitation of private
gifts must be recorded and reported as fund-raising expenses. All private gifts
over $250 must be properly receipted by the University to protect the tax
deductibility of a gift for a donor.
Questions regarding the proper classification of private gifts and
sponsored agreements should be directed to BARA or the Controller’s Office.
Sponsored Agreements are contracts that require the University to provide goods and /or
services in exchange for payment and grants or cooperative agreements that
require the University to provide technical and/or financial reporting to the
sponsor on the results of research or other sponsored activity. It can be
distinguished from a private gift by any one of the following criteria, in that
the sponsor has:
Ø
Control or approval of work
scope;
Ø
A requirement for a defined
deliverable in terms of a report on results of research, or financial
accounting for the expenditure of funds;
Ø
Pre-publishing review rights; or
Ø
Licensing rights of products
resulting from the research
Agreements classified as sponsored must be reviewed, negotiated, and
accepted by
BARA.
Training Grants. The NIH will award National Research
Service Award (NRSA) Institutional Training Grants (T32s, T34s, and T35s) to
eligible institutions to develop or enhance research-training opportunities for
individuals, selected by the institution, who are training for careers in
specified areas of biomedical and behavioral research. The purpose of the NRSA program is to help
ensure that highly trained scientists are available in adequate numbers and in
the appropriate research areas and fields to carry out the Nation’s biomedical
and behavioral research agenda. The
NRSA program supports both predoctoral and postdoctoral research training as
well as limited specialized support at the prebaccalaureate level. (Reference Agency Specific section of this site.)