Grant Proposal Planning and Support Protocol (External, Pre-Award)

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Proposal Planning and Support Protocol (External, Pre-Award)

UNIVERSITY OF KENTUCKY

k r o W l a i c o S COLLEGE OF

THE UNIVERSITY OF KENTUCKY (UK) SUPPORTS AND EMPOWERS INNOVATIVE RESEARCH in all forms practiced across our diverse campus, varied disciplines and more than 70 centers and institutes. UK faculty, staff and student researchers create, discover and apply new knowledge, and explore the most complex problems facing Kentucky, the nation and the world.

Our collaborative, cross-disciplinary research environment provides a rich training ground for the next generation of thinkers, creators and leaders. The Office of the Vice President for Research (VPR) provides programs and services to support UK faculty, staff and students in grant development and submission, compliance and regulatory affairs, development of intellectual property and in highlighting their research achievements. This includes oversight and guidance of 14 multidisciplinary research centers and 6 core facilities.

FOR 85 YEARS, THE COLLEGE OF SOCIAL WORK (CoSW) has been a leader in social work. Our mission is clear: Through rigorous research, excellence in instruction, and steadfast service, the CoSW works to improve the human condition.

Always, in all ways.

As the state’s flagship university, our mission is actualized through our deeds. Our faculty are renowned academicians dedicated to fostering the development of high-quality practitioners, educators, and researchers. In addition to Lexington’s main campus, we have satellite campuses at the Center of Excellence in Rural Health in Hazard, Kentucky and Fort Sam Houston in San Antonio, Texas.

RESEARCH THAT MATTERS Our research is community-based and multidisciplinary, identifying social problems and finding solutions that promote individual and community well-being. We advance research that impacts child welfare, substance use, gerontology, inequality and social justice, poverty, well-being and health disparities, violence, and suicide. CoSW research spans basic and applied sciences and promotes translational and evidenced-based clinical, group, and community practice modalities.

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C OL L EGE OF S OCIA L WO R K

PROPOSAL PLANNING AND SUPPORT (EXTERNAL, PRE-AWARD)

BACKGROUND AND RATIONALE Indubitably, building a vibrant research enterprise can be challenging. Extant literature is replete with documented challenges and strategies for improving research activity in post-secondary educational settings. A common leitmotif in this literature is the need for structured protocols that foster accountability, clarity and transparency.

Against that backdrop, and in an effort to support faculty in generating high-quality, competitive extramural proposals, the College of Social Work (CoSW) will adhere to a strategic planning and support protocol for external, pre-award activity.

The overarching goal of this protocol is to support faculty in their pursuit of research funding. To align with actualizing that goal, this protocol seeks to do the following: Provide clarity associated with Collaborative Grant Services (CGS)/CoSW submission protocols.

Identify supports and resources for proposal development and submission.

Liaise between stakeholders involved in proposal development and submission.

Said simply, this protocol seeks to support the efficient navigation of development and submission processes, so that faculty can focus on conceptualizing impactful, well-structured projects.

EXTENUATING CONTEXTS It is vitally important that the CoSW Proposal Planning and Support Protocol be consistent with UK guidelines for proposal submission. These guidelines entail operational interaction with an array of internal stakeholders, including CGS, Research Financial Services (RFS), and others.

As it relates to proposal submission, here are several key considerations: CGS and CoSW must approve ALL grant proposals, prior to submission.

CGS must SUBMIT grant proposals .

Proposal submissions must adhere to CGS and CoSW review and submission deadlines.

TIMELINE CONSIDERATIONS As you review the process below, please consider these pertinent timeline considerations: 30 days BEFORE: Submit PIF and CoSW College Support Request Form.

15 Business Days BEFORE: Draft Budget Development and Review with CGS. 6 Business Days BEFORE by 9am*: Proposal materials DUE to CGS. 3 Business Days BEFORE, by 9am*: Routed and Approved eIAF are DUE. Day of Submission: CGS will SUBMIT proposal, unless sponsor requests PI submit. *If a 6-day or 3-day deadline is missed, all work on the project will cease. To resume work, exceptions must be requested via the Office of the Dean, which is in turn submitted to the VPR. There are rare occasions in which the funder will require submission by the PI. These submissions must still be approved by CoSW and CGS.

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PHASE ONE

EXPLORE PROPOSAL POSSIBILITIES WHAT IS IT? The overarching goal of Phase 1 is to support faculty in exploring potential funders and supports for their proposal idea.

WHAT HAPPENS? During this phase, faculty should develop ideas and search for potential funding opportunities. Faculty are encouraged to reach out to or schedule a meeting with the Research Project Manager to discuss any questions they have about navigating the sponsored project lifecycle and/or exploration resources.

WHAT DO FACULTY MEMBERS NEED TO DO? Faculty members are encouraged to utilize CoSW supports: Research Project Manager – Reach out to the Research Project Manager to ask questions and/or set up a meeting to discuss your proposed project.

Grant Support Meetings – Grant Support Meetings are an opportunity for faculty to touch base with the Research Project Manager, CoSW Business Office, and CGS simultaneously. Schedule here!

Proposal Support Accelerator Program (PSAP) – The PSAP provides faculty with expert support in research development and grant writing. Faculty will receive customized proposal review, revision, and production support, while also receiving feedback to help align strategic priorities to funding trends and opportunities across the grants landscape.

Proposal Development Office • Proposal Development Office Trainings • Funding Opportunities • Request a PDO Service Foundation & Corporate Philanthropy • Faculty & Staff Resources & Services A note on Letters of Inquiry (LOI): If a sponsor requests a LOI, the faculty member may complete and submit the LOI without completing a PIF, ONLY IF no budget is required as part of the LOI. If a budget is requested as part of the LOI, please submit a PIF and work with CGS to complete the budget and eIAF process.

WHAT WILL THE COSW PROJECT MANAGER DO? As a result of Phase 1 Initiation, the CoSW Project Manager will: •

Meet with and follow up with faculty via email regarding information and opportunities pertaining to proposal idea.

•

Connect faculty with resources, providing warm hand-offs via email whenever possible.

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PHASE TWO

PLAN PROPOSAL SUBMISSION WHAT IS IT? The overarching goal of Phase 2 is to support faculty in navigating proposal submission processes, in general, and with CGS, specifically.

WHAT HAPPENS? During this phase, faculty should schedule and attend the two meetings listed below. These meetings are REQUIRED for all grant submissions and will support faculty to ensure adherence to CoSW and UK submission guidelines: Schedule and attend the Grant Support Meeting, which covers the following topics: •

Grant restrictions/requirements that need college approval, Proposal Development. Resources, Budget, Justification, and Requirements, Project Goals, Sponsor Guidelines & Deadlines, Timeline for CGS/Office of Sponsored Projects (OSPA) submission requirements.

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The following parties will attend this meeting: Faculty, CoSW Research Project Manager, Collaborative Grant Services (CGS), CoSW Business Office Representative.

Schedule and Attend the Budget Development Meeting: •

This meeting is focused on developing the Budget and Budget Justification.

•

The following parties will attend this meeting: Faculty, CoSW Research Project Manager, CoSW Business Office Representative.

•

After this meeting, faculty should share the developed budget with the CGS Pre-Award Specialist.

WHEN DOES IT NEED TO HAPPEN? Phase 2 must be initiated such that the CoSW Grant Support Meeting occurs no less than 30 days prior to the sponsor deadline.

WHAT DO FACULTY MEMBERS NEED TO DO? To make the most of the CoSW Grant Support Meeting, faculty should do the following: Submit the UK Proposal Initiation Form (PIF) at least 30 days in advance of the submission deadline. NOTE: Please add CoSWresearch@uky.edu as an additional recipient for the PIF. Submit the College Support Request Form (if not completed during Phase 1) at least 30 days in advance of the submission deadline. 2 Draft proposal narrative and elements.

Budget Planning – Please find budget planning resources in Sponsored Projects Resources. Note: If you are planning to offer incentives, you are required to add an incentive coordinator to your budget.

WHAT WILL THE COSW PROJECT MANAGER DO? As a result of Phase 3 initiation, the CoSW Research Project Manager will: Initiate and conduct regular check-ins with CGS/OSPA to ensure that proposal activities are completed in a timely manner.

Follow up with faculty member with regular updates via email.

Conduct early notification to appropriate parties, particularly as it relates to any needed resources.

Required if requesting college resources/support due to sponsor requirements.

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P H A S E THREE

PREPARE PROPOSAL SUBMISSION WHAT IS IT? The overarching goal of Phase 3 is to support faculty in developing a final proposal draft to be submitted to CGS.

WHAT HAPPENS? During this phase faculty will be supported in developing all elements of their proposal, include narrative, budgets, justifications, and other required eIAF (Internal Approval Form) elements.

WHAT DO FACULTY MEMBERS NEED TO DO? To be best supported during this phase, faculty should initiate Phase 1 activities (see above).

However, if a faculty member chose not to initiate Phase 1, here are tasks associated with Phase 3.

Email RFP/Grant Announcement to CoSWresearch@uky.edu (if not completed during Phase 1).

Complete College Support Request Form (if not completed during Phase 1).

Finalize proposal elements (See CoSW Grant Proposal Requirements).

WHAT WILL THE COSW PROJECT MANAGER DO? As a result of Phase 3 initiation, the CoSW Research Project Manager will: Initiate approvals for necessary CoSW supports (e.g., cost-share, matches, etc.).

Confirm/affirm needed supports from Office of the Dean.

Serve as a supportive liaison between the faculty member and CGS/CoSW Office of the Dean.

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PHASE FOUR

APPROVE AND CONFIRM SUBMISSION WHAT IS IT? The overarching goal of Phase 4 is to support faculty in finalizing eIAF routes and confirming timely proposal submission.

WHAT HAPPENS? During this phase faculty will work closely with the CoSW Research Project Manager to facilitate and complete all tasks associated with finalizing, routing, and submitting their proposal.

WHEN DOES IT NEED TO HAPPEN? Phase 4 must be initiated no less than 6 business days prior to the grant submission deadline.

All completed components of the finalized proposal and support documents must be submitted to CGS no less than 6 days prior to the grant submission deadline.

Upon receiving a finalized submission, CGS will initiate the eIAF approvals process. The eIAF will be routed through all required parties and must be completed no less than 3 business days prior to the grant submission deadline.

WHAT DO FACULTY MEMBERS NEED TO DO? During this phase, faculty members need to: Provide all necessary proposal components and information to CGS and CoSW Research Project Manager.

Provide all necessary proposal components and information associated with needed CoSW supports.

WHAT WILL THE COSW PROJECT MANAGER DO? As a result of Phase 4 initiation, the CoSW Research Project Manager will: Work with CGS to ensure final proposal is moved through all proper approval channels at least 3 business days (or sooner) prior to submission deadline.

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R E S O U RC E S F O R R E S E A RC H E R S

@UKCoSW

Like the University, CoSW is committed to supporting researchers in innovative and creative ways. Be it seed funding, finding extramural opportunities, or post-award supports, we offer an array of services and initiatives that help researchers conduct impactful, cutting-edge research. Below you will find but a few examples of the resources availed to our researchers.

The Office of the VPR provides resources for all researchers on campus, including mechanisms for: Finding internal and external funding

Managing awards

Identifying collaborators

Complying with regulations

Building and submitting proposals

Protecting and commercializing inventions

INTERNAL RESEARCH SUPPORT PROGRAMS The VPR hosts a series of workshops on various topics designed to help faculty accelerate their research activities. As well, there are an array of Faculty Support Grant Programs: University Research Professors

Complex Research Grants

CURATE Research Support Program

Equipment Maintenance Program

Multidisciplinary Value Program (MVP)

John P. Wyatt, M.D., Traveling Fellowship

Igniting Research Collaborations (IRC)

UKinSPIRE (Seeding Partnerships for International Research Engagement)

Conference & Workshop Grants

ADDITIONAL VPR PROGRAMS INCLUDE: Research Leadership Academy (RLA) RLA is an immersive program focused on research leadership development, complex programmatic grant proposals, and emerging themes in research and creative work.

Research Scholars Program (RSP) RSP is an investment in the research success of junior faculty and their mentors that seeks to provide professional development curricula; provide mentorship, sponsorship, and coaching to embed the cohort in research environments committed to inclusive excellence, collegiality and productivity; and establish a networking structure.

Postdoctoral Fellowship Programs to Enhance Academic Diversity and Inclusive Excellence These fellowship programs, the Lyman T. Johnson Postdoctoral Fellowship and the University Research Postdoctoral Fellowship, have a primary goal of diversifying the pipeline of candidates qualified to become academic leaders in their fields.

Equipment Competition The Equipment Competition aims to continue to modernize our research capabilities and to assist in replacing aging research equipment.

08 College of Social Work

An Equal Opportunity University