Proposal Checklist

Once funding is identified and eligibility is verified, the following are points to consider before submitting a proposal for sponsored research funding. Links for additional information provided where applicable.

PI Eligibility:

PI Eligible If not eligible to serve as PI according to the terms of the policy, a Form 5, Application to Serve as Principal Investigator, must be submitted to and approved by Charlie Fay, Vice Provost for Research Administration in advance of proposal submission. Form 5s for CALS Departments must be submitted to Lisa Warner and approved by Sr. Associate Dean, Bill Fry.

Form 5 submitted for approval on ______

Proposal Development:

Sponsor Guidelines:(Solicitations, Request for Proposal (RFP), Request for Quotations (RFQ))

Read thoroughly for sponsor requirements

Provide a copy to Grant & Contract Officer,as soon as funding opportunity is identified.


Follow required formatting rules (font, type, spacing, etc.)

Adhere to page limits

Determine # of copies required


Follow sponsor outline for information to include

Use required, current sponsor forms


Use correct budget format(if NIH modular budget used – provide detailed budget for internal review)

F&A rate – use allowable, correct rate(documentation required if full rate not used.)

Employee benefit rate – use correct rate

Cost sharing

Specify whether: Voluntary Committed, Voluntary Uncommitted or Mandatory?

Identify source of cost share (required on Form 10)

Obtain appropriate approvals

Justify direct charging of normally considered indirect costs

Provide Modified Total Direct Costs detail



Institutionally-approved Letter of Intent

Statement of Work


Additional Documentation: Additional institutional documents may require time to secure, plan ahead.

University Rate Agreement

Annual Financial Report

Environmental Review

A-133 Audit Report


The Internal Process:

Form 10:

Details Complete

Sponsor Information

Shipping Information

Project Information

Budget Information

F&A Costs

Cost Share

Other Resources

Conflict of Interest




Human Subjects:

Hazardous Materials, Radiation, and Biological Materials EH&S:

Foreign Travel


*Proposals for CALS, Vet Med and Human Ecology are reviewed by designated representatives of these Colleges before being directed to Sponsored Program Services (formerly OSP). Also, remember signatures required for Co-PI and associated Department Chairs.

Form 10 Addendum (required for College of Arts & Sciences, Library and College of Engineeringproposals)

Sponsored Program Services:When the proposal is complete send to Sponsored Program Services.

To allow adequate time for review and modification if necessary completed proposals need to be provided to SPS fivebusiness days prior to the submission time. On major deadline days more time may be necessary. Proposals received less than two days prior to the submission time, if submitted without a complete review, will be reviewed after the submission date. Cornell must reserve the right to withdraw from consideration any proposal found to be non-compliant after review.


Completed original proposal

Required number of copies (+1 for SPS)

Completed Form 10

For electronic submissions, a hard copy for review and proper electronic format for submission.

SPS reviews the following for accuracy and completeness:

Form 10 is complete & signed

Cost-sharingidentified and commitment approved

Format and Content


Subawardee commitments

Required Certifications & Representations

SPS submits the proposal and includesa transmittal letter as necessary.

You are encouraged to consult yourGrant & Contract Officer (GCO) at any time during proposal development. Assistance provided at an early stage can help avoid problems that might result in a sponsor's rejection of a proposal or resolve issues that could delay or prevent acceptance of an award. It is particularly important to notify your GCO as early as possible when responding to detailed proposal solicitations.

V. 06/15/05