Office of Research and Sponsored Programs (ORSP)

Proposer's Guide

• Funding sources
• Submitting a proposal
• Proposal preparation
• Budget development
• Completing the Checklist for Proposal Approval
• Award announcement
• Request for modified budget
• Project management

 

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Submitting a Proposal
Before a proposal may be forwarded to a sponsor it must receive administrative approval. Your proposal will be reviewed by appropriate academic and ORSP personnel for its compliance with various University, state and federal guidelines.

In order to expedite the administrative review process, a cover sheet, entitled the Checklist for Proposal Approval (Form RA-100), has been developed to ensure that a proposal is properly routed, documented, reviewed, and approved. The Checklist is an internal document. Five working days before the proposal is due at the funding agency, the completed/signed Checklist must be received by ORSP with, at a minimum, a scope of work, budget, and budget narrative.  This allows ORSP to begin review while the PI finalizes the remainder of the proposal.

It is the responsibility of the principal investigator to provide the specified number of copies of the proposal to the sponsor in a timely fashion.

 

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Proposal Preparation
A good proposal has at its core a good idea; it takes considerable time and effort to flesh a good idea into a solid proposal. In general, be prepared to address the following questions as you develop a proposal:

• What is the subject or problem?
• What do you want to do?
• How will you do it?
• How will you know it works?
• How will others find out about it?
• How will your project, when completed, impact others?
• What are the specific costs involved?

It is important to discuss your proposal with your colleagues, department chair, or dean as you refine it. ORSP personnel are available to review and critique your proposal as time allows.

If you anticipate a financial obligation from the University as part of your request for funding, you should contact the Vice President for Research and Development as soon as possible.

Once you have identified potential sponsors, ORSP can secure program guidelines and application materials for you. You should read carefully and follow vigorously any instructions published by a potential sponsor. If such instructions are not supplied by the agency, the following organization of a proposal can be adopted:

• Title Page - The title page should include the project title, the agency to which the proposal is being submitted, and the desired start and completion dates of the proposed project.
• Abstract - The abstract usually follows the title page in the proposal; however, it is typically written after the body of the proposal. As the reader's window to your project, it should be carefully prepared.
• Project Narrative - The main body of the proposal should describe in clear, succinct prose what you propose to do and how you will carry it out. This section may be subdivided into sections:

  1. need for the project;
  2. project objectives and rationale;
  3. project design;
  4. feasibility of the project; and,
  5. project timeline.

• In addition, many sponsors will require a plan to evaluate the project and disseminate information about it.
• Evaluation of the Available Resources - The sponsor needs to know the extent and quality of the resources available to the principal investigator. Current curriculum vitae should be included for all professional personnel critical to the completion of the proposed project. The availability and adequacy of existing equipment and facilities should also be described. A brief summary of support from other sources is also appropriate.
• Bibliography - Many sponsors prefer that you avoid literature citations in the text, but do include a current bibliography of the pertinent literature at the end of the proposal narrative.
• Budget - A detailed budget is a cost estimate for your proposal. You should also provide a budget narrative that links the line item requests with the specific activities of the proposed project. More information below.
• Appendices - Appendices may comprise abbreviated curriculum vitae for key personnel, letters of support, survey summaries or other material that support and strengthen your proposal. The restrictions on the length of a proposal set by a sponsor usually do not refer to appended material. However, appendices should not be abused, nor should they contain information central to your request.

Private foundations and corporate sponsors often request brief (2-3 page) concept papers, often in the form of a letter. Such sponsors prefer to invite applicants to submit full proposals based on the appeal of the concept paper. A good concept paper is not merely a letter of introduction or inquiry, but should reflect the form a full proposal might take.

A key factor in the development of a proposal is the creation of a credible and intelligible budget. To allow ample time for revisions, involve ORSP staff in the development of your budget sufficiently in advance of the sponsor's deadline.

 

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Budget Development
The elements of cost in a budget must be those necessary to accomplish the proposed activity. Cost estimates of individual line items should be carefully calculated so that the requested funds are adequate but not excessive. As you develop your budget, it is important to keep in mind that sponsored project costs fall into two broad categories: direct and indirect costs. Because the definitions of "direct" versus "indirect" costs vary at each institution, no blanket definitions of these two types of costs exist.

Generally speaking, direct costs are those which can be specifically identified with a single sponsored project. At UM these costs usually include salaries and wages, equipment, communication costs, materials and supplies, and project travel.

Indirect costs are those that are incurred in conducting sponsored activity at an educational institution. At UM, these costs include services provided to the principal investigator by Purchasing, Human Resource Services, and Business Services; the use of office or laboratory space, existing equipment, library services; heat, light, power and janitorial services; administrative time spent by academic units and by ORSP. Some projects require extensive use of the University's existing services and facilities; others involve minimal use. Few projects would be considered for funding by sponsors if the combined resources of the University were not at the disposal of the principal investigators.

If payment of indirect costs is not allowed by the sponsor, a copy of the sponsor's statement to that effect should be provided with the Checklist for Proposal Approval (Form RA-100). If the sponsor has an established indirect cost rate which is different from the UM federally audited rate, as is the case with agencies of state government, this too should be noted prominently on the Checklist. Since UM's indirect cost rate is negotiated with the U.S. Department of Health and Human Services, contact ORSP for the current rate before assembling your proposal budget or check the budget information.

A budget narrative should follow your itemized budget to fully identify and explain unusual items or activities. For example, the need for the use of consultant services, use of subcontractors or other collaborating organizations, or the necessity for foreign travel should be highlighted in the budget narrative. The payment of any salary as extra compensation should be detailed in a footnote at the bottom of the budget page.

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Completing the Checklist for Proposal Approval

No proposal is complete without its identifying Checklist for Proposal Approval (Form RA-100). You must secure a copy of the Checklist form and prepare it during the final stages of proposal preparation. Always download as needed to be sure you are working with lastest version. If you are submitting your proposal to more than one sponsor, you will need to complete a Checklist for each submittal.

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Award Announcement
Typically a funding agency will notify ORSP regarding its decision on a proposal. Occasionally, however, the principal investigator is contacted rather than ORSP.

If you receive an award announcement, send the original award document to ORSP immediately. Many award agreements need to be negotiated due to budget adjustments proposed by the sponsor. All awards must be processed through ORSP before award acceptance.

Likewise, if you receive notice that your project was not funded, send a copy of that notice to ORSP. If not provided, you may request reviewers' comments on your proposal. ORSP staff may be able to suggest other potential sponsors.

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Request for Modified Budget

If you receive an award announcement contingent upon a budget revision or modification, any changes made to your original budget must be routed through, and approved by, ORSP.

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Project Management
Upon receipt of an award, ORSP reviews the award agreement and assigns an organization number (Org. No.) to the project. Once you have been notified of the Org. No., you may charge project expenses against the account, in accordance with the project start date and the approved budget.

Grants and contracts are awarded to the University, and the University is administratively responsible for the successful operation of projects. Administrative authority is delegated through the deans to the academic unit in which the principal investigator holds an appointment. ORSP assists unit administrators and the principal investigator in administratively fulfilling the contract or grant requirements and is responsible for financial accounting and expenditure reporting.

The technical requirements and the day-to-day administration of the project are the responsibility of the principal investigator, under the supervision of the department chair or dean. While each sponsor may have additional reporting requirements, in general it is the responsibility of the principal investigator to:

• Conduct the project according to the approved statement of work or other terms and special conditions published in the award agreement;
• Notify ORSP of any proposed changes in the scope of the project, budget, period of performance, etc.;
• Supervise expenditures in conformity with the budget approved by the sponsor;
• Initiate the necessary forms for travel, purchasing, employment, requests for use of professional services, extra compensation, etc., in conformity with established University business policies and procedures;
• Assure that cost sharing or matching commitments made by the University for the project are fulfilled and reported to ORSP in a timely manner, if not included in the Time and Effort Reports;
• Complete Time and Effort Reports. The reporting of time and effort spent on all sponsored projects is a federal requirement. This report is generated by ORSP on a monthly basis;
• Provide care and maintenance of property procured with project funds, in accordance with the sponsor's guidelines;
• Contact the Director of Technology Transfer regarding possible patents or copyrights resulting from the sponsored activity;
• Write and submit progress reports as stipulated by the sponsor in the award agreement;
• Review the monthly financial reports provided by ORSP and closely monitor the project expenditures;
• Communicate and coordinate with ORSP for issuance of expenditure reports to the sponsor;
• Obtain approval from the appropriate committee (i.e., the Institutional Review Board or the Institutional Animal Care and Use Committee) for any planned changes in the approved research protocol if using human subjects or animals in a project;
• Complete the final technical report and submit it within the time period and manner specified by the sponsor. Failure to submit technical reports in a timely manner can result in loss of funds since the agency won't reimburse your already incurred costs, as well as penalize the institution as a whole by making us ineligible to receive new awards.

For more specific information on the role and responsibilities of the principal investigator, read the PI Roles and Responsibilities.

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