SUU Frequntly Asked Questions (rates, DUNS and EIN
Numbers...)
SUU
Intellectual Property Policy (PDF)
IRB
Proposal Guidelines (PDF)
IRB
Instructions (PDF)
Protection
of Human Subjects form (PDF)
SUU IRB Policy
Proposal
Routing Form (MS Word)
SUU Policy on
Supplemental and Overload Compensation and Consultation (PDF)
Institutional
"Boilerplate"
Education
Department Forms
EDGAR
(Education Department General Administrative Guidelines - March 5, 2001
edition)
OMB
Circular A-21 (08/08/2000) (Cost Principles for Educational
Institutions)
NSF Grant
Policy Manual (July 2002)
NSF
Grant Proposal Guide (Effective after July 1, 2003)
Chapter 1
Proposal
Development Handbook
I. INTRODUCTION
• Purpose
of this Handbook
• Mission
of the Office of Research and Sponsored Projects
• Services
provided by the Office of Research and Sponsored Projects
• What is a
Sponsored Project?
o The
Principal Investigator
o The Sponsor
I. INTRODUCTION
Purpose
of this Handbook
The Proposal Development Handbook, prepared by the Office of Research
and Sponsored Projects, is designed to assist members of the Southern
Utah University community in the preparation and submission of sponsored
projects to agencies outside the campus. Specifically, the Handbook
covers the following areas: the role of the Research and Sponsored
Projects unit, types of proposals, sources of information, the role of
the Principal Investigator, proposal preparation and transmittal, as
well as required University review and approval. A brief note is made of
the review process and of post-award activity.
The Appendices contain sample forms. University policy statements
affecting sponsored projects are found in a series of attachments. Also
included in the attachments are several federal circulars relating to
sponsored projects.
The process of putting together a proposal for research, scholarly and
creative activity, training, public service or professional development
projects has become increasingly complicated. In large part, this is due
to a rapidly expanding body of state and federal rules and regulations.
Accordingly, we have prepared a brief, comprehensive but simple-to-use
guide to assist Principal Investigators (PI)/Project Directors (PD) to
understand the proposal process and to prepare a competitive proposal.
We have organized the Handbook in loose-leaf form so that the sections
and appendices can be added to, revised and/or changed as needed. The
Handbook will be periodically updated and suggestions for its
improvement are always welcome. Send suggestions and comments to Bill
O’Neill, Research and Sponsored Projects, or e-mail to oneill@suu.edu.
Purpose of The Office of Research and
Sponsored Projects
Faculty and staff members are encouraged to seek financial support for
research, demonstration, curriculum development, training, and
community service activities from extramural sources. Such sources of
funding include federal, state, and local governmental agencies,
private foundations, corporations, non-profit organizations, and
professional societies. The purpose of this policy is to describe the
procedures that a Southern Utah University employee should follow in
seeking extramural support and in administering grants and contracts.
Services of the Office Research and
Sponsored Projects
Office of Research and Sponsored Programs Services
The Office of Research and Sponsored Programs (ORSP) promotes
externally funded research, training, and demonstration projects at
Southern Utah University. ORSP is a central source of information on
major government agencies, foundations, and corporations which support
research and scholarship. Staff will provide a wide range of services
to faculty members, administrators, and students, including:
- Assisting in the conceptualization and planning of
research, training, and demonstration projects
- Assisting in the identification of potential
extramural funding sources
- Assisting in the development of proposal narratives
and project budgets
- Assisting in preparation of standardized application
forms
- Assisting in the electronic submission of proposals
and electronic administration of funded projects
- Assuring compliance with federal and state
regulations and university policies and procedures
- Assisting in the completion of internal
requirements for proposal submission, including coordination of review
of research protocols involving humans and vertebrate animals
- Reviewing and approving proposals for submission to
sponsors Negotiating grant awards and contracts
- Providing technical assistance in administration of
grants and contracts
- Managing effort reporting system for faculty and
staff participating in sponsored projects
- Coordinating activities with the Grants Accounting Office
as required
- Maintaining a central file and database of all
proposals submitted and awards received and generating reports of
sponsored project activity.
What is a Sponsored Project?
Sponsored projects include research, applied research, training,
instructional, community service, and other projects involving funds,
materials, or other compensation from outside sources under agreements
which contain the following:
1. The agreement binds the University to a line of
scholarly or scientific inquiry or the performance of a set of
activities specified to a substantial level of detail. Such specificity
may be indicated by a plan, by the stipulation of requirements for
orderly testing or validation of particular approaches, or by the
designation of performance targets.
2. A line-item budget is normally involved. A
line-item budget details expenses by activity, function, or project
period. The designation of overhead (or indirect costs) qualifies a
budget as "line item." In some cases specific tasks to be completed are
budgeted for a fixed price dollar amount.
3. Financial reports are required.
4. The award is subject to external audit.
5. Unless specified as "fixed-price," unexpended
funds must be returned to the sponsor at the conclusion of the project.
6. The agreement provides for the disposition of
either tangible or intangible properties which may result from the
activity. Tangible properties include equipment, records, technical
reports, etc. Intangible properties include rights in data, copyrights,
or inventions.
Certain university officers have been delegated the authority to sign,
on behalf of the President, documents relating to proposals and awards.
It is important to note that when you, an employee of SUU, submit a
proposal, it is SUU that submits the proposal and when you, a SUU
employee, receive the grant, it is SUU that receives the grant. SUU
requires that any application for funding prepared by any University
employee, which presumes use of University facilities or even the SUU
name, must be submitted by SUU (see policy on patent and copyright).
• The Principal Investigator: The terms
"principal investigator" and "project director" are used to designate
the individual who has the responsibility for seeing that a sponsored
project is carried out in compliance with the terms, conditions and
policies of both the sponsor, the University including the submission of
all required narrative or technical reports. The terms "principal
investigator" and "project director" are often used interchangeably; in
this Handbook we will use the term principal investigator, or PI for
short.
A funded project is usually conceived and carried out by the PI, who
knows best how to manage the funds in order to meet the project's goals.
As the individual primarily responsible for the day-to-day management of
a project, the PI should be constantly alert to sponsor requirements
relating to the project, and must strive to meet those requirements. In
addition to sponsor requirements, SUU has established policies with
respect to sponsored activities to which all PI's must adhere.
PI's are full-time faculty or staff at SUU. Normally part-time faculty
or staff are not eligible to be PI's on a sponsored project. Questions
on eligibility for designation as "Principal Investigator" should be
referred to the Office of Research and Sponsored Projects.
• The Sponsor: A sponsor may be a
government agency, a foundation, a private corporation, or a
not-for-profit organization. Sponsors differ in the type of proposals
solicited, the type of awards made (grant, contract, cooperative
agreement, etc.), methods of payment, the terms of the award, and the
types of costs they will support.
Some typical differences among the various federal sponsors are:
1. Some agencies accept both solicited or unsolicited
proposals, whereas others will accept only solicited proposals.
2. Some agencies subject proposals to peer review
(examples are the National Science Foundation and the Department of
Education); others may conduct internal programmatic review.
3. While the governing cost principles ( A-21) are
the same for each federal agency, each agency issues guidelines with its
own terms and conditions. Requirements may, therefore, vary from sponsor
to sponsor.
Foundations also differ from one another:
4. Large foundations normally have a paid staff to
distribute literature about funding priorities and interests, review and
evaluate proposals, and perform post-grant evaluations. Small
foundations are generally run by a voluntary board of trustees, have
less public accessibility, and probably offer less competition for
awards than larger foundations.
5. Smaller foundations are frequently more interested
in funding a wide range of activities within their own region. Larger
foundations often have funding priorities in several areas and have
fewer geographic restrictions.
6. In general, foundations are less willing to
reimburse the University for full indirect costs.
Corporations fund research either through a company foundation or
directly from within their organization. Information on company
foundations is easily available in any foundation directory, but it is
more difficult to obtain information on companies that operate direct
corporate giving programs. PI's should be aware that proposals to
certain companies may require approval from the Development Office prior
to submission.
Chapter 2
TYPES
OF PROPOSALS
• Grant Proposals
o New Proposal
o Continuation Proposal
o Renewal Proposal
o Supplemental Proposal
• Contract Proposals
• Cooperative
Agreements/Cooperative Research and Demonstration Agreements
II. TYPES
OF PROPOSALS
In simplest terms, a proposal is a request for funding of a sponsored
project. In general, it consists of several parts: a technical or
narrative section, a budget, and various assurances and forms.
Appendices and attachments may or may not be required. A good technical
proposal is a concise and coherent explanation of a project plan that
has specific and reasonable goals. It should clearly state both the
goals of the project and the methods to be used in reaching those goals.
Finally, it should comply with sponsor limitations on length and should
include only those supporting materials that are relevant. The budget is
the PI's best estimate of the funds needed to carry out the project. It
should be as detailed as is reasonably possible; the PI should be able
to justify each budget item.
When a sponsor has its own application form or instructions for
submission, it is important that the PI use these forms and format, and
follows the guidelines. PI's should remember that the lead time for
review of proposals is six to nine months.
A proposal can describe a new, renewal, supplemental, or continuing
project for which funds are sought from a potential sponsor in the form
of a grant, contract, cooperative agreement or other instrument.
Proposals may be in response to a solicitation (often a RFP, RFA or
program announcement) from a sponsor or may be unsolicited.
Generally, proposals for research, applied research, training,
professional development or community service are categorized either by
purpose (e.g., conducting a research project, offering a training
program, providing a public service, etc.) or by the type of award.
Grant
Proposals
A grant is "an award of financial assistance to an eligible recipient
in support of a proposed program." The term "grant" is commonly used to
describe nearly all awards of extramural support for projects submitted
by faculty or staff. In a legal sense, a grant is a "validly binding
agreement in which the grantor provides funds to a grantee on the basis
of a review and approval of a written proposal prepared by the
applicant." The grantor offers a grant award via a Notice of Grant Award
or a letter indicating the amount to be awarded as well as the
conditions which must be met.
The requirements associated with a grant award vary widely from sponsor
to sponsor. Generally, however, awards are made for a particular period
of time, with definite start and end dates; awards usually include
restrictions on the use of funds and on the reallocation of funds from
one budget category to another. Most sponsors require progress and
annual technical reports, an annual financial report, as well as final
technical and financial reports at the end of a project.
Some grants are made in response to the solicited proposal, but the
most frequent types of grants are for unsolicited proposals. If an
agency wishes to award grants for research, training, or public service
in a particular area it will announce the availability of funds and
invite interested parties to submit proposals. The following terminology
describes different kinds of grant proposals:
• New Proposal: A new proposal is one
which is submitted for funding of a project that has not previously been
funded. In almost every instance, new proposals are subject to
competitive review. Proposals will be evaluated and ranked according to
criteria established by the funding agency.
• Continuation Proposal: Most agencies
award grants for a specified project period (usually one, three, or five
years). Regardless of project length, however, the grantor generally
makes funds available for only one year at a time. In order to obtain
funds for additional periods of time within the grant period, a
"continuation application" must be submitted. Continuation applications
usually are not subject to competitive review.
• Renewal Proposal: In a "renewal
proposal" the PI requests support beyond the initially approved project
period. Generally, a proposal for renewal is submitted at some time
prior (usually six months) to the conclusion of the last continuation
year of an approved project period. In most cases, renewal proposals are
subject to the same competitive review as new proposals.
• Supplemental Proposal: Seeking
additional funds for a project during an already funded project period
requires the submission of a supplemental proposal. Depending on the
nature of the additional funding required and on the policies of the
particular agency to which the supplemental proposal is submitted, the
proposal may or may not be subject to competitive review.
Contract
Proposals
A contract is "an exchange of promises that gives rise to legally
enforceable rights and duties." Contracts are agreements signed by each
party which stipulate that the sponsor will provide funding to a
recipient in support of a specific set of activities in return for which
the recipient will furnish a particular product, service(s), analysis,
report(s) or other materials. A number of federal agencies use contracts
to fund research, development, training, and public service programs.
Most state awards are made in the form of contracts. The same is true
for agreements between SUU and many private companies.
There are many different types of contracts. In sponsored projects,
however, contracts are usually of two types, either fixed-price or cost-
reimbursement. Under a fixed-price contract, the parties agree in
advance on the price to be paid for a particular product or service.
Once the agreement has been executed, the awardee is obligated to
perform the work set forth in the contract and to deliver any and all
products or "deliverables" specified in the contract. This requirement
must be fulfilled, regardless of the cost to the awardee. If the cost of
performing the contract is less than the amount set forth in the
contract, SUU may retain the excess funds.
Under a cost-reimbursement contract, the sponsoring agency and SUU
agree on the work to be performed and on an estimate of the total cost
for performing the work. The sponsoring agency is obliged to reimburse
the awardee for actual costs (up to the contract total) incurred in the
performance of the work specified in the contract.
Contracts may be awarded for either unsolicited or solicited projects.
When the sponsor solicits a proposal for a project, it describes in
detail the particular study, analysis, training or experiment to be
performed, including the approach or methodologies to be used. The
availability of such contracts is usually published as a Request for
Proposals (RFP). Agencies make contracts generally on the basis of both
the scientific or technical merit of the proposal and the sponsor's
estimate of the cost for doing the work. The sponsor does not
necessarily award the contract to the lowest bidder although cost
estimates play a more significant role in the letting of contracts than
in grant awards.
The source of an unsolicited proposal is the initiative and imagination
of the PI. The Principal Investigator may locate potential sponsors and
ascertain, primarily through telephone or personal contact with sponsor
program officers, the degree of interest these sponsors have in
supporting the proposed work and the extent of available funding. The
most appropriate format for an unsolicited contract proposal may involve
consultation with and between the sponsor and Research and Sponsored
Projects.
Cooperative Agreements/Cooperative Research
and Demonstration Agreements
Cooperative Agreements and Cooperative Research and Demonstration
Agreements involve the active participation and collaboration of the
sponsor in all aspects of the project. In these types of agreements, the
sponsor participates (to some extent) in all decisions about what work
is to be done, when it is to be done and who is to do it. The sponsor
thus becomes a true and genuine partner in the project. The US
Department of Agriculture has traditionally used the Cooperative
Agreement as its funding mechanism.
Chapter 3
III. PROGRAMS AND ACTIVITIES SUPPORTED BY
EXTRAMURAL FUNDS
• Research/Applied
Research
• Training/Instruction
• Travel and
Conferences
• Community Service
• Equipment
• Individual
Projects/Awards
PROGRAMS
AND ACTIVITIES
Extramural funding can be sought (and found) for many different types
of programs and activities. SUU faculty, staff, and students can find
assistance from staff in Research and Sponsored Projects in locating
potential funding sources for various types of programs and activities.
Research/Applied
Research
A very common activity for which external funds are sought is research.
On the SUU campus, "research" is broadly defined to include scholarly
and creative activities as well as the more traditionally-defined basic,
applied, and developmental research.
Basic research is directed toward a more complete knowledge of a
particular subject without regard for the practical applications of such
knowledge. Many National Science Foundation, Department of Energy, and
Public Health Service grants are primarily in support of basic research.
Applied research is research in which the PI applies scientific
discoveries or improvements in technology, materials, processes,
methods, or techniques to the solution of a defined problem.
Developmental research is concerned with the systematic use of
scientific and technical knowledge in the design, development, testing,
or evaluation of a potential new product or service. Many contracts are
awarded for applied or developmental research projects.
Training/Instruction
Training projects instruct individuals in the techniques or practices
pertinent to a particular academic discipline, profession or occupation.
Such awards are usually made to support the training of students, the
in-service training of professionals, or the retraining of professionals.
Instruction projects often involve curriculum development activities,
the development of new courses, the hiring of additional instructors,
and/or the design and initial implementation of entire new programs.
Travel
and Conferences
In addition to the more general categories of research and training,
support is sometimes sought for faculty to attend national and
international professional meetings. In addition, funds are occasionally
solicited to provide support for conferences or symposia on topics of
interest to a particular funding agency.
Community
Service
Community service programs/activities provide support for the purpose
of organizing, establishing, providing or enhancing the delivery of
services to a particular community or non-university audience.
Equipment
A common concern of many faculty and University departments is the lack
of up-to-date, state-of-the-art equipment for research and instruction.
Upon request, many companies donate equipment to the University. The
Department of Energy maintains an excess equipment inventory. Many
federal and foundation programs support the acquisition of new equipment
for classroom and research use. The NSF Course, Curriculum Laboratory
Improvement (CCLI) Program is one example. It should be noted that many
programs for the purchase of equipment require a match, often a dollar
for dollar match.
Individual Projects/Awards
Most grants and contracts are awarded to organizations rather than to
individuals. universities, schools, legally recognized not-for-profit
organizations and for-profit partnerships and corporations are the usual
recipients. Some program awards, however, are made directly to
individuals. The National Endowment for the Humanities Summer Stipends
program is one example. A significant number of foundations also make
awards to individuals. Provisions of the Internal Revenue Code establish
some special requirements that certain foundation individual grant
programs must meet. Grantees should have a general familiarity with
these rules, as they affect both the grantor and the grantee.
Chapter 4
IV. SOURCES OF
INFORMATION ON EXTRAMURAL FUNDING
SPIN
Grants Advisor
Plus
Grants Net
Utah sources
Foundation Center
Undergraduate
Funding Opportunities
Fellowships
International
Funding Opportunites
SPIN
http://www.infoed.org/new_spin/spinmain.asp
SPIN, the
Sponsored Programs Information Network, is a computer database of
funding opportunities (federal, nonfederal, and corporate) designed to
assist faculty, staff, and administrators in the identification of
external support. SPIN not only tells of research funding opportunities,
but also gives information about fellowships, postdoctoral
opportunities, development and educational curriculum projects,
sabbatical and publication support, and more. Information collected for
SPIN is largely aimed at institutions of higher education,
teaching/research hospitals, and university libraries. However, the
information is also useful to governmental agencies and private,
non-profit organizations both individually and in the production of
collaborative efforts with university sponsors.
The profiles of sponsor funding interests are updated at least annually
(updates are based on frequency of new information available from
sponsoring agencies/organizations) and the information used comes
directly from the sponsor.
At SUU, SPIN is available on the Office
of Research and Sponsored Projects website. SPIN is relatively easy
to use. Basically, a menu driven system responds to keyword searches in
identifying potential sponsors.
Grant Advisor Plus:
http://www.grantadvisor.com/tgaplus/
While not as comprehensive as SPIN, the Grant Advisor Plus provides
concise, up-to-date information about upcoming competitions in a
user-friendly format. You can browse their monthly newsletter, review
funding opportunities by discipline, or perform targeted searches of
their database.
Grants Net
http://www.grantsnet.org/
GrantsNet is a searchable, continuously updated, database of funding
opportunities in biomedical research and science education. It contains
programs that offer training and research funding for graduate and
medical students, postdoctoral fellows, and junior faculty, as well as
programs in science, math, engineering, and technology for undergraduate
faculty and students.
Utah
Sources
A brief list of sources available in Utah.
Foundation
Center
Also, the Foundation Center
(www.fdncenter.org) in San Francisco is a comprehensive repository of
funding sources.
Undergraduate
Funding Opportunities
Although this is not a financial aid resource, there are links provided
here for student research opportunities.
Fellowships
A list of fellowship opportunities from Cornell, U. of Iowa and other
university websites. Some of these are searchable by subject matter.
International
Funding Opportunities
An excellent source from the U. of Iowa.
Chapter 5
V. PRINCIPAL
INVESTIGATOR/PROJECT DIRECTOR
• Role
of the Principal Investigator/Project Director
• Who Can
Serve as a PI/PD at SUU
Role
of the Chair and Dean
• Replacement
of a PI/PD at SUU
Role of the Principal Investigator/Project
Director
The principal investigator/project director has primary responsibility
for the following tasks:
- Conceptualizing the project
- Selecting an appropriate sponsor for the
proposed project
- Developing the proposal narrative and project
budget
- Identifying the source(s) of any required matching funds
and securing approval for that match from the department chair/unit
director, dean/vice president, the Office of Research and Grants
Administration, and or other external funding sources.
- Completing a Pre-Award Proposal Routing Sheet
to accompany the proposal for the internal review process
- Securing all necessary institutional approvals
prior to submission of the proposal to the funding agency
- Participating in negotiation of the grant
award or contract with the Office of Research and Grants Administration
- Maintaining satisfactory progress in the
technical conduct of the project
- Complying with Office of Research and Grants
Administration policies and procedures including conflict of interest;
misconduct in research and scholarship; the use of human subjects in
research; the care and use of animals used in research; and
intellectual property
- Complying with state regulations and
institutional policies and procedures including those related to human
resource management, procurement, travel, and research safety
- Responsibly managing project funds, including
expending funds within the project period and within designated budget
categories
- Requesting budget modifications and no-cost
extensions through the Office of Research and Sponsored Projects
- Completing and submitting technical reports
according to established time schedules
- Providing documentation of grant/contract
expenditures and matching contributions to the Grants Accounting Office
in a timely manner, including certification of time and effort
Who Can Serve as a PI/PD at SUU
At SUU the Principal Investigator/Project Director must be a full-time,
tenure track member of the faculty or a full-time SUU manager/
administrator. Generally, the Principal Investigator and the Project
Director are the same individual. However, some non-faculty colleagues
at SUU are active in the sponsored projects process. They may serve as
Principal Investigator on a project as long as another faculty member, a
department chair, a program director, school dean or other University
official serves as the Project Director.
Any exceptions to these rules are made upon recommendation by Research
and Sponsored Projects, with the concurrence of the Provost the
appropriate department chairperson and the school dean.
RESPONSIBILITIES OF THE DEPARTMENT
CHAIR/UNIT DIRECTOR
The department chair/unit director has primary responsibility for the
following tasks:
- Encouraging faculty and staff to seek
external funding for research, curriculum development, training, and
community service projects
- Serving as a mentor for junior faculty and faculty
and staff members who have not had extensive experience in seeking and
managing external funds
- Assisting the principal investigator/project director as
necessary in preparing the proposal, with particular emphasis on
technical aspects of the project and with special attention to proposed
protocols involving human subjects or the use of animals in research
- Assessing departmental personnel needs in light of
grant and contract activity and approving faculty and staff effort
proposed for the project
- Assisting the principal investigator/project
director in identifying source(s) of matching funds (cash and in-kind)
if required by the sponsor and certifying the availability of such
matching funds via signature on the Pre-Award Proposal Routing Sheet
- Approving the principal investigator's/project director’s
request to the sponsoring agency via signature on the Pre-Award
Proposal Routing Sheet
- Consulting with the principal
investigator/project director as necessary to ensure that work on the
sponsored project is progressing satisfactorily
- For sponsored projects involving human
subjects, the use of animals in research, or the use of biohazards,
providing sufficient oversight to ensure compliance with governmental
regulations and institutional and professional standards
- To the extent necessary, assisting the principal
investigator/project director in completing and submitting technical
reports on time
- In the event of audit exceptions,
disallowances, or over-expenditures, providing funds from departmental
sources (or securing them from some other source) to correct negative
sponsored project account balances
RESPONSIBILITIES OF THE
DEAN
The dean has general sponsored project oversight responsibilities.
His/her signature on the Pre-Award Proposal
Routing Sheet indicates that the sponsored project will aid in the
transmission of new knowledge to society, will train individuals for
participating in complex technologies, will provide support for
building and expansion of specialized facilities and equipment, or will
otherwise provide some benefit to the institution in keeping with its
mission. The dean’s signature also indicates approval of time
commitments and institutional in-kind and cash match. In the event of
audit exceptions, disallowances, or over-expenditures, that cannot be
covered with departmental/unit funds, the dean is responsible for
identifying funds to corrective to correct negative sponsored project
account balances.
Replacement of a PI/PD at SUU
An occasion may arise when a replacement will need to be found for the
original Principal Investigator/Project Director. In such a situation
the new Principal Investigator/Project Director must be a full-time,
tenure track member of the faculty or a full-time SUU
manager/administrator . Any individual selected as a replacement for a
Principal Investigator/Project Director must receive the approval of the
appropriate department chairperson and college dean. In addition the
concurrence of the funding agency may be required. At the very least the
sponsor will need to be notified of the change.
Any exception to these rules can only be made upon recommendation of
the Director, Research and Sponsored Projects, with the concurrence of
the Provost and the appropriate department chairperson and the school
dean.
Chapter 6
VI. THE PROPOSAL
Proposal Writing Guides
• Format
• Content
• Cover/Title/Face
Page
• Abstract
• Program Narrative
o Program Objectives
o Literature Review
o Project Activities
o Project
Methodology
o Findings/Conclusions
o Personnel
o Facilities
o Other Information
• Budget
• Resume
• Other Materials
Proposal
Writting Guides from several private and government sources
Format
Funding agencies generally provide guidelines and application forms for
the submission of proposals. These agency guidelines should be
scrupulously followed.
When specific guidelines or application forms have not been issued, it
is important that you prepare your proposal in as simple (but complete)
a manner as possible. Use plain English; it is not necessary to impress
people with your knowledge of jargon. In fact, the use of too much
jargon often leaves a decidedly negative impression on the reviewer.
Content
In the absence of program guidelines, your proposal should include a
Cover/Title/Face Page, an abstract, a program narrative, budget and
budget justification, a bibliography and/or selected references, resumes
for all key personnel and, perhaps, some judiciously chosen appendix
materials. Attachments should be kept to a bare minimum (if included at
all).
Cover/Title/Face
Page
• Name and address of the sponsor to whom the
proposal is being submitted
• Name of the applicant organization: SUU, 351 W.
Center St. Cedar City, Utah 84720
• Place of performance or component of SUU from which
proposal is being sent--e.g., Department of Biology, Student Services,…
• Title of proposed project
• Proposed period of performance
• Total requested support: In multi-year proposals,
it is helpful to show both the total request and the request for the
first year.
• Name and title of Project Director/Principal
Investigator
• Signatures of authorizing officials: The signatures
of the PD/PI and of an official authorized to sign on behalf of the
University are required on each proposal. At the present time only the
President, Vice-President for Finance and in some circumstances the
Director of Purchasing have authority to sign. No one may sign on behalf
of SUU unless he or she has received such authorization.
Abstract
While an abstract is not required by all sponsors, it is a highly
effective means of presenting a project to a reviewer or review
committee. The abstract should be approximately 250-300 words and should
outline the proposed project, including its objectives and the methods
of meeting them.
Special care and attention should be given to the construction of the
abstract, for it can be a very important element in an application. Many
agencies appreciate a project abstract since it facilitates the initial
review of the proposal. Also abstracts often help a sponsor in
developing statistical profiles of their programs. Best advice - write
it last.
Program
Narrative
The program narrative, the body of the proposal, should have the
following information, written in layman's language:
• Project Objectives: Start with a
discussion of the need for the project; state the questions which the
proposed project is designed to answer. Provide information that
convinces reviewers that the questions are important and worth
answering, and that your approach is sound. Prepare a statement of the
problem, purposes (goals), objectives, specific activities, and present
status of work related to your project.
• Literature Review: This should not be
an annotated bibliography, but rather a concise and scholarly critique.
This demonstrates that the proposer is aware of the overall significant
and current research in the field. It also shows how the proposed
project will extend the state of knowledge about the field.
• Project Activities: Indicate what
activities will be undertaken, who will do them, when they will be done,
how these activities will assist in meeting program objectives, and how
you will know that program objectives have been met. Give precise
information on project arrangements and materials which are to be
developed. It is very important that you include a timeline and discuss
evaluation procedures.
• Project Methodology: The precise
methods you will use to carry out the study should be detailed. This
section is probably the one the reviewers will study most carefully.
Your writing should assure reviewers that you are conversant with the
methodology in your field and that you have the expertise and skill
necessary to successfully complete the project.
• Findings/Conclusions: Here you
should discuss the contributions the successful project will make to
knowledge in the discipline. If applicable, you should note how the
results can be replicated and disseminated.
• Personnel: Key personnel who will be
involved in the project should be identified by name, and their role in
the project should be explained. Emphasize the particular skills,
background, training and expertise that make them valuable to the
project. Although the resumes of key individuals may be included in the
appendix, it is good to include pertinent information on key personnel
in this section.
• Facilities: Facilities are important
for determining whether or not your proposed project can be capably
carried out. Describe the available facilities, their appropriateness,
and the extent to which their use has been assured. Remember that a
successful proposal depends on an innovative idea, qualified personnel
and institutional capacity.
• Other Information: Here you can make
brief statements about other items pertinent to your proposal. You
should include the source(s) and amount of other support for this
project; whether you are submitting this or a similar proposal to
another sponsor; whether this proposal is an extension of, addition to,
or related to previous or current projects.
Budget
The budget is a very critical element for your proposal. At best it is
an estimate of resources needed to successfully complete the project,
but it should be as reasonable and as accurate as possible. It should
show that the costs are clearly related to the goals of the project.
There should be no surprises in the budget. The better this is done, the
stronger the proposal. Include only as much specific information as you
need to justify your request. However, it is important to maintain all
the documentation and justification you can assemble for each element
and category, in case the sponsor questions items and estimates.
A budget normally has a numerical section with dollar amounts for each
category, followed by a thorough and cogent narrative section in which
you justify the need for and cost of each item. A complete and realistic
budget justification demonstrates that your project is well conceived.
It also tends to minimize the chances that sponsors will arbitrarily
reduce or eliminate budget categories. Sponsors have a good idea of what
a project should cost, and generally know when you are over budgeting
or under budgeting.
The next chapter will discuss the various categories for budgets in
greater detail.
Resume
Curricula vitae should be included for all professional personnel
considered essential to the successful completion of the proposed
project. They should be tailored to fit the requirements of the project.
Overly long or extended vitae should not be included. Many sponsors now
limit the length of a resume to no more than two pages.
Other
Materials
Bibliographies, appendices, charts, reprints, and other supplementary
materials should be included when they are clearly relevant to a
complete presentation of the proposed project plan. If any item is not
clearly relevant, it should not be included. Proposals are not weighed
to establish merit; they are peer reviewed for merit.
Chapter 7
Vll. BUDGETING
• Importance
of Accurate Budget Preparation
o Direct
Costs
o Indirect
Costs
o Total
Costs
• Allowable
vs Unallowable Costs (A21)
• Major
Elements in a Budget
Importance of Accurate Budget Preparation
An accurate and comprehensive budget is absolutely necessary to the
success of your proposal. A budget which lacks sufficient detail may
indicate to the sponsor that you have not completely anticipated the
resources needed for your project. Accurately and realistically list the
funds which you will need. Many sponsors will be able to judge your
probable needs from reading your narrative. If your budget is above
their anticipation, they may conclude that you are trying to secure more
funding (for some unspecified purpose) than you actually need. This may
lead them to a negative conclusion. On the other hand, if you
significantly underestimate your needs, the sponsor may conclude that
you really don't understand the dimensions of your project and, thus,
also may come to a negative conclusion. So be as accurate, complete,
reasonable and detailed as possible.
A budget for a sponsored project generally has three elements: direct
costs, indirect costs, and total costs.
• Direct Costs: Direct costs are those
which can be easily ascribed to a particular project. Salaries, wages,
and appropriate fringe benefits of those who will work on, and be paid
from, the grant are examples of direct costs. Project supplies and
materials; project travel; equipment; consultants and evaluators; and
other items that directly relate to the project are other examples.
• F & A : Facilities and
Administration (F & A) costs, commonly called "overhead" or
"indirect" are those that the University incurs for common or joint
objectives that cannot be identified easily with a particular project.
Such costs are for University facilities and services as a whole.
Examples of F & A costs are: maintaining and operating a physical
plant; utilities; general administration; library; use of capital
assets; and staff services such as purchasing, payroll, and accounting.
These costs typically are expressed as a percentage of components of the
direct costs, e.g., X% of modified total direct costs (MTDC), or Y% of
salaries and wages (S&W), etc. Most sponsors expect that the budget
will include these costs. For federal grants and contracts the rate and
base is established by agreement between the University and its
cognizant agency. For SUU the cognizant agency is the Department of
Health and Human Services (DHHS). Currently, the rate is 37% of salary,
wages and benefits. The majority of these funds will get to the
college, department and eventually to the PI. At the federal level,
there are often different rates for research, training, and other kinds
of projects. It is University policy to request full indirect costs on
all projects unless there are specific written agency exceptions.
Exceptions to established rates can be made only upon the approval of
the provost or president..
• Total Costs: Direct costs plus F
& A costs equals total costs. General University policy is that
researchers should conduct sponsored projects on a no gain, no loss
basis. In preparing your budget you should attempt to recover all
costs--both direct and F & A--for your proposed project.
Allowable vs Unallowable Costs (A-21)
Office of Management and Budget Circular A-21, Cost Principles for
Educational Institutions, is the basic document dealing with the
allowability of costs on a federal grant. Costs are not considered
allowable under a federal grant unless they: (1) are necessary,
reasonable and allocatable to the grant program; (2) are in compliance
with the limitations of a grant agreement; (3) are allocated to the
grant on a basis consistent with policies that apply to all activities
of the grantee; (4) are accounted for consistently and in accordance
with generally accepted accounting principles; and (5) have not been
allocated to or included in the cost of any other federally funded
program.
Some federal agencies (perhaps because of provisions in statutes
governing agency activity) have issued more restrictive requirements.
Further, additional restrictions for allowability of costs may be
included in the grant agreement. The rule of precedence is that the most
restrictive cost provisions applicable to the grant agreement prevail.
Because Circular A-21 does not identify every potential allowable cost,
considerable interpretation may be necessary. However certain types of
costs are clearly unallowable. These include advertising (except for
recruitment or procurement), bad debts, contingencies, entertainment,
fines and penalties, interest, and losses on agreements.
Major Elements in a Budget
Many agencies provide specific formats to use in preparing a proposal
budget. If a format is provided, you should follow it as precisely as
possible. If the agency does not propose a format, the following
categories are useful in developing a budget for your project. These
categories will allow you to closely analyze estimated expenses and
understand fiscal responsibilities.
• Personnel Costs: List each
individual (preferably by name) who will receive salary support from the
project.
o Faculty: Identify faculty by name,
title, University salary scale rate, percent of time devoted to the
project, and the amount requested from the sponsor. You may not exceed
your 12 month contract. If a faculty member is paid on a nine-month
contract, divide the base salary by ine to arrive at the base monthly
salary. Except for the NSF, you may earn the remaining three months
salary. SUU policy states that 22% is the maximum that can be earned
over the base salary (7.33% for summer, fall and spring semesters). The
National Science Foundation allows for two months summer employment.
Note: SUU policy is to request reimbursement at full rate not
replacement rate.
o Other Professionals: A named
individual must be a University employee in the position listed;
otherwise, you must have a competitive recruitment for unfilled
positions. If you request salary for an unfilled key position, use the
terms "to be appointed," "to be hired," or equivalent. In that case, the
position should be described by its University payroll title and the
salary calculated at mid-range of that title.
o Students: It is not necessary (or
even possible) to list undergraduate and graduate students by name.
Students, however, are treated as project employees. List the number of
student assistants, rate of pay, number of hours per week, number of
weeks, and total amount for each category. Individuals employed
half-time or less will receive FICA (7.65%) which PI’s should consider
in the creation of a budget.
o Technicians and Clerical: These
should be listed in the same manner as faculty. List by title or job
classification, salary scale rate (or hourly rate), percent of time (or
number of hours per week/month) on the project, and total amount
requested.
o Other Temporaries: Interviewers,
programmers, and other temporary personnel should be listed by hourly
rate, number of hours and total amount requested.
Identify regular academic year salary provisions, sabbatical
supplements, and summer pay separately. Include the percentage of time
or number of months the PD(s) plan(s) to spend on the project, whether
or not salary is requested. In multi-year projects, be sure to provide
for expected step or cost-of-living adjustments.
You should indicate in a separate narrative any discrepancies, such as
a difference between the amount of salary support requested and the
amount of time to be spent on a project.
• Fringe Benefits: List the employee
benefits for each person who will receive salary support. Employee
benefit provisions vary from time to time, therefore, estimate them
using an overall, composite rate. Remember, different classes of
personnel may have different composite rates. Faculty employed on
an “overload” contract should figure an additional 22% for benefits
while students are paid FICA (7.65%). If a full time employee is
to be paid by grant funds, allow for 40% in benefits. Your budget
justification should also list the rates used for the various classes of
employees and include a description of the components of each rate.
Guidelines, current rates, and rate projections will be provided by
staff from Human Resources.
• Trainee (Student) Costs: Training
programs may include provisions for trainee stipends, required tuition,
fees, and trainee travel. Identify the costs (by semester or month) and
number of trainees to justify the dollar amount you request. Check
agency guidelines for maximum allowable charges.
o Stipends and Allowances: List the
number of students, the monthly (or semester) amount, and the total
amount requested. Indicate the purpose of any allowance payment, e.g.,
moving expenses, living expenses, etc. Distinguish between academic year
and summer amounts.
o Tuition and Fees: Indicate the number
of students to receive these fees, the amount per student, the number of
semesters, and the total amount requested. Include amounts, if any, for
summer courses. In multi-year projects, provide an estimate for any
potential increase.
o Travel: If student travel funds are
requested, indicate the amount and purpose. Check the sponsor's
guidelines before including funds for student travel in your trainee
cost request.
o Project Supplies : Specify the number
of students who will receive this support, the amount (usually per
semester), and the total amount requested. In your budget narrative,
clearly justify the need for this request.
• Consultants: Be sure to follow campus
policies when the services of an independent consultant are required.
List estimated daily rate, the number of days, and the total cost for
each consultant. If travel, per diem, or other compensation is to be
provided, be sure to detail it in the budget. In the budget narrative
give reasons why you will hire particular consultants and what they will
do in the project. Check agency guidelines since many agencies
stipulate a maximum daily fee.
Note that current SUU employees cannot be listed as consultants; all
SUU personnel are to be paid a percentage of base salary, not an
honorarium or fee.
• Equipment: Capital equipment is
tangible property (other than real estate) having an acquisition value
of $500 or more and a normal life expectancy of two or more years. You
should list separately each item costing more than $500 and describe
each item as completely as possible. Make certain that you include
state, federal, and other taxes, duty on foreign goods, and delivery and
installation costs, as applicable. Justify the need for each item as
fully as possible. Check sponsor guidelines on this category. While a
minimum cost of $500 and an anticipated shelf life of two years is a
generally accepted definition of equipment, some sponsors apply
different standards. In the narrative indicate the source of information
concerning equipment and, observing competitive purchasing procedures,
note, if possible, the manufacturer, model number, and other
identifying information, with the caveat that the manufacturer's name
and model number is given to establish the approximate cost of an item
and to describe the specific type of equipment you need. Whenever
possible, obtain written quotations (three, if possible) from the
vendors.
• Construction, Alteration, or Renovation
Costs: Although rarely necessary, or allowable, if you will
require construction, alteration to, or renovation of facilities in the
project, you should include that cost in the budget. If sponsor
guidelines allow for the inclusion of these costs and you need to
undertake such activities, consult with Plant Operations prior to
incorporating such items into your budget. If these items are included
in your budget, be sure to include supporting documentation showing how
you arrived at your estimate.
• Travel: For each trip you propose,
identify the destination, duration of stay, and relevance to the
project. All approved travel will be reimbursed at established,
allowable University rates. Note that normally local travel (mileage and
parking fees) are not included in this section of your budget; local
travel is usually included in a final "other" category.
o Transportation: Indicate the number
of individuals on each trip. Give the mode of travel and itemize
airfares, surface fares, mileage rates and an estimated number of miles
when you propose to use a personal vehicle and/or charges for rental
vehicles.
o Per Diem: Indicate the number of
individuals, estimate the number of days of per diem per individual, and
the appropriate per diem rate. Check with Office of Research &
Sponsored Projects on current University travel policy and rates.
o Registration: Include the cost of
registration and any other special workshop or other fees.
• Subcontracts/Subagreements:
In some projects it may be necessary to contract out to other, non-SUU
organizations certain project tasks or services. Estimate, as accurately
as possible, the cost of these agreements. This process will often
involve direct discussions with potential subcontractors. It may be
necessary to obtain estimates and approvals from them for their
services.
The ORSP will assist you in developing these agreements once an award
has been made. It is a good idea, however, to notify the ORSP at the
time that you are preparing a proposal that, should an award be made,
some subagreements may be needed.
• Communication Services: This
category includes telephone, postage and other communication services
such as FAX, express mail and courier services. If new phone lines and
instruments need to be installed or purchased, include these costs in
your budget. In addition, estimate--on an average monthly basis--the
cost of these services.
• Supplies and Materials: Make
adequate allowance for project supplies, services, materials and, in
general, expendable items. Itemize briefly large requests. List in your
budget each of the major subcategories within the general category of
supplies and materials. In the narrative note the basis on which you
made the estimates for each of these categories. Frequently, you can
make estimates based on the previous year's expenditures.
o Office Supplies: Include a request
for all consumable supplies you will need including letterhead,
envelopes, folders, mailers, pencils, staples, notepads, etc. Usually
you will average your anticipated needs by requesting a certain amount
per month over the life of the grant.
o Small Equipment: Small equipment
items, usually those having a value of less than $500, are included in
your budget under the materials and supplies category. Be sure to check
the sponsor's definition of small equipment. While most federal agencies
use the "under $500 cost" as the definition for small equipment, other
sponsors may have a different (perhaps lower) definition.
o Software, Chemical Compounds, Replacement
Parts, etc: These are generally considered to be supply items
and should be listed in this portion of your budget. Specify the
specific software as well as the various chemical compounds, glassware,
and/or replacement parts, etc. you are likely to need to complete your
project. Indicate the quantity and cost for each item. In your budget
narrative be sure to justify the need for these items.
o Instructional Materials, Questionnaires,
Test Materials: List the quantity, unit cost, and total cost for
these items.
• Other Direct Costs: Include items
that do not readily fit into any of the above categories. Other direct
costs might include duplication; rental of space or equipment; human
subject, or information fees; book or periodical purchases; costs for
maintenance of project equipment; page charges or other publication
costs; charges for communication services; conferences; charge backs,
and such.
o Copying and Duplicating: If you
anticipate a significant amount of copying and/or duplicating, you might
estimate a monthly charge, say $15/mo x 12 mos. On the other hand, if
you can accurately estimate the total amount of duplicating, you might
list a total number of pages and a per page charge, say 6,000 pages @
.05 per page. In developing this portion of your budget, remember you
will need to reproduce (often with multiple copies) various interim and
final technical reports.
o Local Travel: Local travel includes
mileage, parking fees, tolls and, in some instances, partial per diem.
Check with ORSP on the current allowable rate for mileage. Mileage
should be indicated as the average number of miles per trip, per week,
or per month depending on the nature of your project. The narrative
should contain a detailed explanation and justification for all local
travel.
o Publication
Charges/Page Charges: Dissemination often is expected (even
required) by many grant agreements. You should estimate your publication
charges. This is usually done by including a page charge for expected
publication in professional journals. Express it as a per page amount,
for example "15 pages @ $125/page."
o Copying and Printing: The cost of
non-routine reproduction of materials developed during the project or
required by terms of the grant agreement needs to be included in the
budget. If you are expected to produce multiple copies (more than ten)
of reports, manuals, or other deliverables, a charge for printing these
items should be included in your budget.
o Equipment Maintenance/Service
Contracts: If equipment you purchase or use is (or should be) covered by
a service agreement, include the cost of that agreement (or your
portion of the cost) in the budget.
o Space and Equipment Rental: If you
rent equipment, indicate the type, model number, and manufacturer. Give
the current rental rate of each item, supported by vendors' catalogues
or written quotes. Do the same for any space which is rented.
o Human Subjects Charges: If your
project includes the use of human subjects and these subjects are to be
paid for their participation, include (and explain) the amount of
payment as a budget item.
o Machine Shop Charges, Lab Rental
Fees, Computer Charges: There are charges associated with the use of the
University's various technical shops. Include the cost for use of these
services in your budget. In addition, there may be charges for the use
of specific laboratories, especially computer lab use on Saturdays or
during the summer. Also, there may be a charge for CPU time on the
campus computer. Include these charges, as appropriate.
• F & A Costs: After totaling all
the anticipated direct charges, apply the applicable indirect cost rate
to the appropriate categories to obtain the total cost request for your
project.
o Federal Negotiated Rate: The
current SUU federal negotiated rate is 37% salary, wages, and benefits
for on-campus projects. This rate should be applied to projects covered
by our rate agreement with DHHS.
o Training Rate: EDGAR, the (US)
Education Department General Administrative Regulations, specifies an 8%
MTDC (modified total direct costs) rate for certain training projects
such as Student Support Services, Talent Search and Upward Bound. This
rate should be applied only to those projects covered by the provisions
in EDGAR.
o Special Rates: Some programs such as
Head Start specify a rate different than the institution's negotiated
rate. In these instances, the rate specified in the written program
guidelines should be used.
Waiver
of F&A Costs: The principal investigator/project
director should include in the project budget the maximum amount of
indirect costs that the sponsoring agency will pay according to the
agency’s written policies and procedures as indicated in program
announcements or federal register. The principal investigator/project
director is not authorized to negotiate indirect costs with sponsoring
agencies without prior approval of the Office of Research and Sponsored
Projects. Should need for negotiation be anticipated, the principal
investigator/project director should contact ORSP well in advance of
budget development and proposal submission so that the matter may be
addressed. Procedures for requesting a reduction or waiver of indirect
costs are detailed in the Indirect Costs
Waiver Form which may be signed only by the university
president. In consideration of requests for reduction in or
waiver of indirect costs, ORSP will ensure compliance with the Utah Regents Policy
R-532-5 and R 535.
• Cost Sharing: Some sponsors require
the University to contribute to the cost of a particular project, i.e.,
"cost sharing." Cost sharing means that the grantee institution shares
in the cost of the project. This is required by certain federal programs
or agencies. It is also often required by non-federal agencies. Cost
sharing can be cash, in-kind, or both.
o In-kind: In-kind or third-party
contributions when allowed by the funding agency means such
contributions as University space, personnel time, equipment, etc. which
the sponsor will not be paying for either as a direct or indirect cost.
Examples of "in-kind" are: waiver of a consultant's fee; free use of a
facility; contribution of supplies, which would otherwise have to be
purchased with grant funds. If you indicate "in-kind," obtain and keep
documentation in the form of a statement or receipt from the
contributor. A letter from the department chair and/or dean may be
required for in-kind costs, especially personnel (e.g., release time,
etc.) or space related costs. In-kind contributions should be documented
in the same way that direct costs are documented.
o Matching: Matching is a special type
of cost sharing. This requirement is for grants rather than for
contracts. The terms of a match are that the sponsor awards funds in
direct ratio proportion to the funds which the grantee contributes to
the project. This is usually identified in the program guidelines as a
specific percent or fraction of the total project budget. You can
usually make the match by contributing portions of salaries, fringe
benefits, indirect costs directly applicable to that portion of the
contributed salaries, and direct cost items such as supplies, printing,
duplicating, or travel. If you use these items for matching, maintain
appropriate documentation.
• Problem Areas: In developing your
budget, a number of problem areas are likely to surface. Common problem
areas include estimating salary increases, travel rates, estimating
student fees, the use of (and cost for) space, anticipated new hires,
the use of release time or overload, intersession and summer
compensation, etc..
Chapter 8
VIII. REVIEW, APPROVAL, AND SUBMISSION
• Routing Form
o Who
Must Sign
o Understanding the Commitments
• Protocol Approval
Forms
o Human
Subjects Protocol
o Animal
Subjects Protocol
• Proposal Checklist
• Project
Director's Commitment Statement
• Other
• WHO is the authorized
institutional signature for your grant or contract?
Proposal Submission
REVIEW,
APPROVAL, AND SUBMISSION
When completed, your proposal will be forwarded to the sponsor by the
Office of Research and Sponsored Projects. Before submitting your
proposal, staff in ORSP will review it for compliance with University
policy and agency guidelines. In addition, certain internal approvals
are needed. The internal routing sheet must be completed and signed by
(at least) you, your department chair, your dean and the provost.
In certain instances other signatures may be needed. These required
signatures must be secured BEFORE a
proposal is sent to the sponsor. It is your responsibility to obtain
these signatures. This review and approval process is necessary to
protect all parties.
Routing Form
The Proposal Approval Form, usually referred to as the "routing sheet,"
properly completed, provides a succinct summary of information about the
proposal needed at various levels of review. By their signatures,
appropriate University officials responsible for the overall conduct and
results of the project show their approval.
• Who Must Sign: At SUU the Project
Director, appropriate department chair and college dean and Provost (for
faculty proposals) must sign a routing sheet before a proposal can be
submitted to a sponsor for potential funding. If additional space is
needed for the project, if extended education credit is anticipated, if
facilities are to be remodeled or renovated, additional signatures may
be required.
• Understanding the Commitments: When
the Project Director, the department chair, and the school dean sign the
routing sheet, each accepts certain responsibilities. The Project
Director accepts responsibility to carry out commitments as outlined in
the proposal within the time limits and budgetary resources provided and
to comply with SUU policies and procedures regarding the administration
of funds; if cost-sharing or in-kind match is required, s/he attests
that approval for such resources has been secured. The department chair
certifies that the proposal is consistent with departmental goals, is
not in conflict with assigned duties of the Project Director, and
commits departmental resources as outlined in the proposal. The school
dean certifies that the proposal is consistent with school goals, and
commits school resources as outlined in the proposal.
Protocol
Approval Forms
An important element in the review/approval process is University
compliance with federal assurances. The federal government requires any
entity that wishes to be eligible to receive federal funds to file
various assurances of agreement with the federal government. A proposal
may not be submitted to a sponsor until these required protocols have
been signed.
• Human Subjects Protocol: You are
required to complete a Protection of Human
Subjects Protocol Form if your project involves the use of human
subjects. You must file this form with the campus Institutional Review
Board prior to final submission of your proposal. While some sponsors
will accept your assurance that human subjects approval is "pending,"
most agencies now require that you include your approved protocol number
from your campus IRB with your proposal. Instructions for completing the
form have been provided by the IRB. Please read IRB proposal guidelines.
• Animal Subjects Protocol: You are
required to contact the UACUC, the University Animal Care and Use
Committee, if your project involves the use of vertebrate animals. Call
RSP for the appropriate person to contact; your department chair has the
necessary protocol forms.
Proposal
Checklist
Before submitting your proposal, check to see that all of the following
items have been completed.
• ( ) Is your proposal prepared according to the
agency's guidelines?
• ( ) Have you talked with your department chair and
school dean about contemplated changes in your teaching assignment?
• ( ) Does your project involve human subjects,
laboratory animals or a patentable product? If so, have you obtained the
necessary institutional clearances?
• ( ) Is the document well organized and easy to
read? Is it free from misspellings and typographical errors? Are the
copies clean and legible?
• ( ) Is the document within the page limitations?
the type size limitations? Are all elements of the proposal included?
• ( ) Are all required institutional approval
signatures present?
• ( ) Have you reviewed the budget to make sure that
you have requested enough money in each expense category so the project
can be properly executed?
• ( ) Have you itemized each category of expenditures
and justified it in the narrative? Have you explained how you arrived at
your totals for each category?
• ( ) Does your budget reflect the institutional
contribution to the project?
• ( ) Have you checked to make sure that you are
using the most recent indirect cost figure for your institution, and the
current rates for employee benefits?
• ( ) Do all of your budget figures balance?
• ( ) Have you made arrangements to meet the
deadline?
Project Director's Commitment Statement
The Project Director must commit him/herself to complete the project
should it be funded and to follow all appropriate University, Foundation
and sponsor policies and requirements. This is done by reading and
signing the routing sheet.
Other
Some agencies require you to submit a form 501(c)(3) that confirms the
non-profit, tax exempt status of SUU; others may require certain
accounting or audit information. ORSP will provide these documents or
this information. However, there may be additional information you will
need to provide or forms that you will need to complete. Included are
such items as the number of majors, the number of graduates who have
gone on to graduate school, the employment or education status of
graduates, a listing of equipment in your department, the availability
of department laboratory space, etc. Normally you will need to provide
this information.
Authorized
Institutional Official Signature
The Authorized Institutional Official for all grant and contract
proposal submissions is the President of the University and the
Director of the ORSP for electronic submissions. Faculty and staff are
not authorized to sign for the institution for any grant or contract
proposal submission. The Director of ORSP will not approve
proposals for submission until the department chair/unit director and
the dean have signed the Pre-Award Proposal
Routing Sheet.
Proposal
Submission
Following approval by the Director of Research and Sponsored Projects
or designee, the ORSP submits the proposal to the funding agency.
Photocopying and mailing are generally the responsibility of the ORSP.
Chapter 9
IX. BETWEEN
SUBMISSION AND AWARD
• Proposal
and/or Budget Revisions
• Site Visits
• Contract
Negotiations
o Who
is Authorized to Conduct Negotiations
o What
to do if You Receive Notice of Intent to Contract
• Pre-Award Costs
• Proposal Status
Inquiry
BETWEEN
SUBMISSION AND AWARD
The major steps you take in securing funding for a project is the
conceptualizing, developing, preparing, and submitting of a proposal to
a potential sponsor. Sometimes, however, actions taken between
submission of your proposal and receipt of an award can be critical.
These could include the submission of additional information, proposal
and/or budget revisions, site visits, the preparation of a "best and
final" offer, budget negotiations, contract negotiations and University
commitments, pre-award commitments, and review panel assignment. A note
of caution, however: whatever you do between the submission of a
proposal and the negotiation of an award should be done in concert with
the Office of Research and Sponsored Projects. What is important is that
any action taken should facilitate the eventual receipt of an award,
not hinder it.
Proposal and/or Budget Revisions
Sometimes an agency will require amendments/revisions to a proposal.
The precise nature of the revisions required will vary from agency to
agency. Some will ask for clarification by sending you a set of
questions which you are to answer; others will ask for a narrative
elaboration of one or more sections of your proposal. Or you may be
asked to revise your budget (most often downward). Adjustment in
specific categories may be requested or a revision "not to exceed" a
certain amount may be requested.
What steps you should take will depend on the agency, but you should
consult with the Office of Research and Sponsored Projects before you do
anything. While you can discuss project objectives and the implications
of budget revisions with the funding agency at any time, you can not
formally negotiate any budget or budget revisions with the funding
agency. You must obtain institutional approval for all budget revisions
including changes of direct and indirect costs, personnel effort or
time, and cost sharing. Bear in mind that your proposal was submitted
by the University on your behalf; therefore, any formal proposal or
budget revisions must be submitted by SUU.
Site Visits
A funding agency will indicate substantial interest in a project by
requiring a site visit. While this is a hopeful sign, it does not
guarantee (or even imply) that an award will be forthcoming. If a site
visit is scheduled, the funding agency will indicate the type and
complexity of the visit; the agency will provide you with an agenda or
list of items requiring further information. Most site visits are one to
three days and the funding agency will pay the cost of travel and
lodging for the visitors. You should immediately notify ORSP as soon as
you learn of an impending site visit.
Contract
Negotiations
Even though you may be the most knowledgeable in the technical aspects
of your proposal, you are not authorized to conduct formal negotiations.
Only the president of SUU is authorized to conduct grant or contract
negotiations and to make commitments.
• Who is Authorized to Conduct Negotiations:
In the overwhelming majority of cases, Research and Sponsored Projects
is the authorized unit to conduct negotiations on the funding of
sponsored projects. In a few instances, negotiations may be conducted by
staff from the Office of the Vice President for Financial Affairs.
• What to do if You Receive Notice of Intent
to Contract: If you receive a letter, phone call from the sponsor
that they are interested in making an award for your project,
immediately contact Research and Sponsored Projects at x8175. Call
Research and Sponsored Projects!
Pre-Award
Costs
The project start and end dates in the award document establish the
period when contractual and financial commitments related to the
operation of a project can be made. Ordinarily, any financial
expenditure or obligation made prior to the start date stated in the
award document can not be reimbursed from the grant. You must obtain
specific written prior approval for payment from award funds of any
pre-award expenditures. If there are to be allowable pre-award
expenditures, these should be specified and approved by the sponsor
during the negotiation process. These expenditures can then be
specifically authorized in the award document. Matching expenditures or
in-kind also may not have occurred before the award date.
Proposal
Status Inquiry
While most sponsors will immediately acknowledge receipt of an
application, the time frame for reaching a decision on funding or not
funding a project can take much longer. The time frame could be as
little as two months, mostly from small private sponsors, to upwards of
a year, usually with most federal agencies. To avoid disappointment,
plan on a minimum of six to eight months wait time. Your mind set should
be that you are applying today for a project that would begin no sooner
than six months from today.
Chapter 10
X. THE REVIEW PROCESS
• General
Introduction
• Receipt and Initial Processing
• Program Evaluation
• Internal vs
External Review
• Assignment
to a Review Panel
• Business Evaluation
• Approval and
Negotiation
• Unsuccessful
Applications
General
Introduction
While there are few widely accepted rules and procedures for reviewing
and approving grant proposals, there are some common features of the
review and approval process. You should always bear in mind that the
decision to award a project grant is a discretionary one and usually is
not subject to an appeals process. Simply put, you have no
"rightÓ to a grant. This chapter contains a brief overview of the
review process. Agencies will usually provide more complete, detailed
information on their review process.
Discretionary grants compete against one another for funding.
Competition for discretionary grants differs from procurement (contract)
competition. Contracts are awarded to satisfy a requirement of an
agency. Once the requirement has been defined, contract competition
occurs to determine who can best satisfy the requirement. Grants,
however, are awarded to assist organizations in meeting organizational
requirements, needs and objectives that are consistent with those of
the sponsor's grant program. The purpose of the competition is to
determine which projects are most worthy of support.
Receipt and
Initial Processing
Sponsors often designate an "intake" or "reviewing" official who is
responsible for receiving and processing applications. Applications are
stamped to record the date of receipt, assigned a unique numerical or
alphanumeric code, and entered into the sponsor's log and control
system. Often a notice will be sent to the applicant acknowledging
receipt of the application. The initial processing involves examining
the application for: (1) Iegal and applicant eligibility; (2) original
authorized signatures; (3) required clearances and assurances; (4)
completeness; and (5) compliance with sponsor administrative
requirements.
Some sponsors and programs receive applications on a continuous basis
and do not have application deadlines. Applications for these programs
are reviewed when they are received. Other programs establish a closing
date for receipt of applications for a given year or specific funding
cycle. Also, grantor agencies sometimes receive applications outside the
scope of the announced competition. Such applications must be screened
to determine if they can be legally funded or if they are of such
outstanding merit that an award outside the normal competition is
justified.
Program
Evaluation
Each application is reviewed on technical merit using the criteria
specified in the program announcement or regulations. Technical
evaluations of grant applications are performed to determine whether:
(1) there is a need for the project; (2) the project's objectives meet
the sponsor's program objectives; (3) the proposed procedures or methods
are capable of achieving the project's objectives; (4) the facilities
and resources are adequate; (5) the qualifications of staff are
acceptable; and (6) the value or the cost-to-benefit ratio warrant a
grant award.
The actual review process differs among agencies. Many applications
compete and are considered on individual merit. A fairly rigorous and
disciplined system of evaluation by program officials and independent
reviewers is used. These reviews are thorough evaluations of the
technical merit of the application by persons knowledgeable in the field
for which support is requested.
One form of agency review of discretionary grants is the so-called
"peer review" system. Used most often for research grants, peer review
is a system which uses reviewers who are the professional equals of the
applicants. At the federal level, peer review is often required by
statute, and reviewers (panel members) are generally not federal
employees. In the case of NIH, there are two levels of review conducted
under this process--a study section review and a national advisory
council review.
Internal
vs. External Review
Some sponsors review applications "in-house," that is, the review is
conducted by full-time staff of the funding agency; others select
"outsiders" to evaluate applications. Major foundations often will use a
process which combines internal and external reviews. The initial
screening and review is done internally but the opinion of outside
experts is also sought.
Assignment
to a Review Panel
Federal agencies (and some non-federal sponsors) select panels
(normally three or more individuals) of qualified reviewers or arrange
with a group of field readers to review applications based on the
specific criteria. Each reviewer on a panel is given copies of the
applicable statute, regulations, program announcement, priorities and
criteria. Written scoring instructions and forms are also provided.
Panel members may meet as a group to discuss the merits of individual
proposals. Field readers function just as panels do, with the only
difference being that they are physically dispersed and, therefore,
unable to discuss the applications. Based on the scores, the agency
evaluates each application and prepares a list ranking the applications.
Rankings are combined if more than one panel or group of field readers
is used.
Some agencies, such as NIH, keep a membership list of review groups
available for faculty reference. You can recommend assignment of your
proposal to a particular NIH group, if you wish. You can also challenge
an assignment by NIH if you think it is inappropriate. Some other
federal agencies (NSF, for one) permit the applicant to suggest possible
appropriate (and competent) reviewers as well as to suggest possible
inappropriate reviewers. You should contact Research and Sponsored
Projects for advice on matters pertaining to proposal review.
Business
Evaluation
In addition to review for technical merit, grant applications generally
receive some form of cost analysis. Whether this review is extensive or
merely an arithmetic check of the accuracy of budget figures depends on
the judgment of the grants management and/or financial staff. A cost
analysis may result in an award amount that is different from that
requested or in special terms or conditions being placed on the grant.
In addition to conducting a cost analysis, the sponsor may survey
(audit) a grantee's financial strength and management capability for
such things as past performance, facilities, cost controls, accounting
policies and procedures, audit practices, etc..
Approval
and Negotiation
Applications with the highest priority and evaluation scores normally
are approved for a grant award. Sometimes, however, program staff are
not bound by a reviewer's decision. Though the priority scores guide the
program staff in funding decisions, they are not bound by these
recommendations. While the reviewers must evaluate applications based on
published criteria (e.g., merit, need, etc.), program staff frequently
consider more subjective criteria such as "program relevance,"
geographic distribution, conformance to sponsor needs, objectives, and
policies, etc.. Based on all information, the agency makes its decision
to issue (or not issue) an award.
Meetings (often telephone conversations) may be held to negotiate
individual budget items or the scope of activities and to establish any
necessary special terms and conditions. Except when stipulated by
statute or regulation, the sponsor also will negotiate any required
cost-sharing or matching.
Unsuccessful
Applications
Unsuccessful applicants are entitled to full explanations of the
reasons why their applications were disapproved for funding. The
explanation may include information on the score or ranking of the
application. Unsuccessful applicants can also ask to review the
evaluation forms, summary statements, etc.. However, to preclude
inappropriate pressure or influence on reviewers, the materials will
exclude the name of the reviewer. Some agencies simply provide a
summary, usually prepared by the Program Officer, of the evaluations,
indicating the strengths and weaknesses of a proposal.
You should always request reviewer comments, whether your proposal has
been funded or rejected. Studying these reviewer comments (and taking
them seriously) is one way to significantly improve your next submission.
Chapter 11
XI. THE AWARD AND
POST-AWARD ACTIVITY
• The Award
• Administering
Your Award
o Award
Regulations
o Award
Documentation
o Closing Out Your Award
The Award
With few exceptions, funding agencies make awards only to
organizations, not to individuals. Once you receive information that a
sponsor intends to fund the project you submitted, you should
immediately contact RGS's Research and Sponsored Projects division, the
SUU office authorized to conduct negotiations on award terms for your
project. You, of course, will be involved in all aspects of the
negotiation process. Only you know the answers to any technical
questions about your project which may arise.
An award is the sponsoring agency's official document by which it
obligates funds for a project. Your award may be issued as a grant,
contract, or cooperative agreement, but always is addressed to the
university which serves as contractor and fiscal agent for awards made
to members of the SUU community. The form in which the award is issued
can be an award letter, a notice of award form, a contract, a letter, a
check accompanied by a letter of transmittal, a standard agreement, a
purchase order, or any similar document. Research and Sponsored
Projects, in consultation with the SUU ORSP, reviews your award for
accuracy, consistency with University policies, acceptability of
language, terms, and conditions, and conformity with your proposal. Some
awards require a local signature, usually that of the President of SUU,
while others are "fully executed" as received.
The grant award document serves the following purposes: (1) notifies
the grantee and others that a grant is awarded; (2) specifies the grant
terms and conditions; and (3) provides a legal basis for the obligation
of sponsor funds. The notice will usually include: the amount and date
of the grant; accounting classification numbers; certifying official's
signature; and terms and conditions of the grant. The terms and
conditions for federal (and most state) grants usually incorporate by
reference: (1) the legislative authority and regulations; (2) the grant
application and any amendments; (3) applicable policy statements,
manuals and handbooks; and (4) any special conditions applicable to the
award.
Administering
Your Award
When an award document has been received and reviewed, it is forwarded
by Research and Sponsored Projects to the Accounting Office at
SUU. A Grants and Contracts accountant is assigned to work with you
throughout the duration of your project. The accountant ensures fiscal
requirements are met and fiscal reports are prepared and submitted on
time. The accountant serves as the administrative liaison between your
project needs and the university.
The accountant or the ORSP will contact you within a few days of
receipt of your award in order to give you an account number. The
ORSP will assist you in maintaining a budget and will provide you with
spreadsheets on a monthly basis. Record of all fiscal transactions must
be kept in the ORSP for auditing purposes.
• Award Regulations: The award
document will specify the terms and conditions governing your grant,
either by incorporation or by reference to other governing documents.
Review these rules with the ORSP in advance of any expenditures. You
should also consult with the ORSP on prior approval requirements, budget
transfers, hiring policy, purchasing procedures, travel regulations,
etc..
Most awards indicate a project and budget period. The total duration of
the project as defined by the terms of the award is called the project
period or period of performance. The time period for which monies are
allocated is called the budget period. The budget period may or may not
be the same as the project period. For multi-year projects, you will
usually be awarded funds in twelve-month budget installments.
An award has a beginning and an ending date. You can not incur costs
prior to the beginning date or after the expiration date unless they are
specifically allowed under the terms of the award or other authorities
delegated by the sponsor. Grant agreements require that unexpended
funds are returned to the funding agency after the close of the
contract.
• Award Documentation: Adequate
documentation for all accounting actions including expenditures,
rebudgeting authorization, and cost transfers will be required. Such
information will be kept in the ORSP. You should forward to the ORSP all
supporting documents for any expenditure in all categories including
payroll, supplies and expenses, travel, and equipment. A primary cause
of disallowance in sponsor audits is inadequate documentation. As
fiscal agent for your project, the SUU ORSP is responsible for
maintenance of all financial records, and is audited annually in
compliance with SUU policies as well as federal regulations.
• Closing Out Your Award: Just as the
ORSP is responsible for all details on the financial and contractual
administration of your grant, the same office also is responsible for
assisting you with all close-out requirements. Each sponsor and each
award has specific close-out reporting requirements. Sponsoring agencies
routinely require a final Financial Statement, a final Technical
Report, and a final Inventory Report. More specialized reports (such as
a Cost-Sharing Report) may also be required. The ORSP is responsible
for, and will submit, all financial reports as required.
You will be expected to provide all technical reports to the sponsor
(us
