Guide to Proposal Submissions (GPS)

Guide to Proposal Submissions (GPS)

(Providing Direction for Prospective Project Directors & Principal Investigators)

Contents

Office of Grants and Sponsored Research

GRANTS & SPONSORED RESEARCH SUBMISSION PROCESS SNAPSHOT

Part 1: OVERVIEW

What does the OGSR do?

What Is a Sponsored Program?

Institutional vs. Individual Proposal Submission

Who May Submit a Sponsored Program Proposal?

Part II: PROPOSAL DEVELOPMENT

Finding an appropriate grant

Obtaining Guidelines /Application Forms

Initiating a Proposal

Proposal Content

Budget and Budget Justification

PART III. INTERNAL REVIEW & SUBMISSION

Sponsor Deadlines

University Review and Approval

Project Authorization Budget Summary Form

Cost- Share Requests

Regulatory requirements, representations, and certifications

PART IV. POST-AWARD / COMPLIANCE

New Award Documents

Budget revisions and budget modifications

Grant Reporting and Compliance

Time and Effort Reporting

University Acceptance

Declination or Rejection of Proposals

APPENDIX

Frequently Asked Questions

Budget Content

Internal Review

Office of Grants and Sponsored Research

Newman Hall – 106

GRANTS & SPONSORED RESEARCH SUBMISSION PROCESS SNAPSHOT

Part 1: OVERVIEW

The Office of Grants and Sponsored Research is a full-service sponsored programs office, dedicated to assisting University faculty and administrators with grant proposals and projects under the banner of the Provost’s Office. The office assists in: identification of appropriate funding opportunities, preparation of complete and responsive grant proposals, regulatory compliance issues, negotiation of agreements and contracts and establishing sub-contractual arrangements with other universities, labs and hospitals. We particularly encourage proposals that are in alignment with the University’s Strategic Plan. This manual is designed to assist in preparing and submitting proposals to external sources.

All information in this guide is current as of the date of publication, but is subject to change. Potential grant applicants should always contact OGSR before preparing a proposal and consult the OGSR website at .

What does the OGSR do?

OGSR is responsible for coordination of the submission of proposals on behalf of the University. This office coordinates with the Dean or appropriate administrative Director’s office to help applicants identify appropriate sponsors, interpret guidelines, develop budgets, and to ensure compliance with University and sponsor guidelines and requirements. This office also may act as liaison between investigators and sponsors in the negotiation of awards and provide guidance to investigators in managing funded projects.

OGSR works closely with the Office of Business Affairs regarding post-award items, most importantly the financial management of sponsored projects.

To keep the University community informed, the OGSR publishes upcoming deadlines, funding opportunities, and procedural changes via emails sent directly to applicable faculty, administrators, and departments. In addition key funding opportunities can be found in the Grants Bulletin on Web Digest.

What Is a Sponsored Program?

A sponsored program is a research, training, instructional, or related project supported by external funds that are received by the University on behalf of a member of the University community, and for which the University is accountable. Such funds are provided as a result of a formal communication with the sponsor such as a letter, application or other written proposal signed and submitted by an authorized University official through OGSR.

A sponsored program will normally have one or more of the following additional characteristics:

• The sponsor has published guidelines, applications, and/or procedures for requesting support.
• The use of funds awarded is restricted to support for a particular project or line of scholarly or scientific inquiry.
• The award includes specifications for project performance and/or outcome.
• The award provides for the disposition of rights in data, inventions, and/or other intellectual property.
• The sponsor requires, as a condition of the award, programmatic, technical, and/or financial reports, which are subject to external audit. The University considers compliance with these conditions to be a priority activity for all Principal Investigators (PI)/Project Directors (PD). (See Appendix for detailed information about Principal Investigators).

Institutional vs. Individual Proposal Submission

Submitting proposals to external sponsors, public or private, is generally an institutional rather than individual function. The University, rather than the PI, acts as the official applicant and legally bears responsibility for the performance and administration of the funded project. In practice, however, the PI is responsible to the University and the funding agency for the overall scientific, programmatic and administrative oversight of the project as well as appropriate conduct and fiscal management of the project.

Who May Submit a Sponsored Program Proposal?

Sponsored program proposals are submitted by the University on behalf of the individual(s) who will have primary responsibility for the project, should an award be made. The individual with primary responsibility for the project is called the Principal Investigator (PI) or Project Director (PD). A PI must have a full-time, regular appointment in a University school, college or unit.

PartII: PROPOSAL DEVELOPMENT

Finding an appropriate grant

The Grants Analyst assists faculty and others members of the university in finding appropriate funding. Possible grant opportunities are sent on a daily basis to department heads for distribution to departments, individual faculty, and administrators. In addition, individuals may meet with the Grants Analyst to discuss their potential projects and gain access to the Funding Opportunity Databases (PIVOT and SPIN). Detailed information about these databases can be found on the OGSR website:

Obtaining Guidelines /Application Forms

Many times, an applicant will have received guidelines or an announcement from a sponsor and wish to respond to these guidelines directly. Grants.gov is the primary source for open federal opportunities. All federal and many private sponsors make guidelines and application forms available on their websites. All grant submissions must be processed through OGSR. OGSR will assist the PI with reviewing necessary guidelines and application forms. In a few instances, the sponsor requires that the individual applicant request materials directly.

Initiating a Proposal

The principal investigator (PI) is responsible for initiating proposals, for preparing the proposal or application materials, and for forwarding them within the University to the appropriate administrative officers for review and submission. OGSR assists with editorial and administrative assurances associated with the proposal process, but does NOT write proposals. The OGSR does not staff grant writers. Please alert the OGSR as soon as possible, when applying for a grant, to ensure that full support can be provided, to construct a strong and competitive proposal.

Proposal Content

The structure of an application will vary with sponsor requirements. Be sure to read and reread the sponsor guidelines carefully and completely. Information on specific agency program format is generally supplied with program guidelines sometimes down to the specific print font required. OGSR staff will assist you with interpreting guidelines when necessary. The typical proposal is comprised of the following components:

Abstract

An abstract is required as part of the St. John’s internal review process. The abstract is used for distributionor public relations purposes; it should be jargon-free and comprehensible to the lay reader. The typical abstract should be no more than one page. Consult program guidelines for specific information regarding format, length, and required content.

Narrative[m1]

The main body of the proposal should be a clear statement of the work to be undertaken and should include (at minimum):

• A description of methods and procedures
• Objectives and their expected significance
• A correlation between your research andthe current state of knowledge in the field.

Consult with OGSR as early as possible in the process of proposal preparation and read agency guidelines with care before starting the process.

Fringe Benefits

Fringe benefits are charged as a percentage of salaries to cover such benefits as are provided by the University. The rate is applicable to all salaries including summer compensation of faculty and hourly and/or part-time personnel costs. The fringe benefit rate is determined annually; consult OGSR for current rate information.

Indirect Costs (Fiscal and Administrative Costs)

Indirect costs represent those expenses not readily allocable to any single research or training project, but which represent the University's costs for carrying out research or training activities. Indirect costs comprise portions of the following: operation and maintenance of facilities, including rent and depreciation/use charges on buildings and equipment; library services; research and training administration expenses; deans' and department chairpersons' office expenses, and overall University administration.

This rate must be incorporated into all budgets for research projects unless the sponsor indicates that indirect costs are not allowable. The University has three separate rates: Federal, Non-Federal/Foundations and Off-Campus. Please contact OGSR for further details.

Biographical Sketch

This section should be limited to information about the professional background, affiliations, and publications of the key personnel. Program guidelines provide information on format and other specific requirements. A template can be provided upon request.

Current and Pending Support

Most federal and some non-federal sponsors require detailed information on the current and pending support for the PI key personnel. At a minimum, this section should include the following information on currently funded projects, as well as pending and planned proposals: project title, source of support, including award number where relevant, PI, total award amount, total period covered.

Supplementary Materials

These may include Collaborator/Consortium agreement letters; material from subcontractors (budget and justification, current and pending support, letter of institutional approval). As always, consult program guidelines to determine what is allowable and/or necessary. Program guidelines are usually specific about what materials may be submitted. Read carefully. In no circumstances may an appendix be used to circumvent the page limitations of other sections in the proposal.

Budget and Budget Justification

Grant review committees use the budget as a summary of the entire proposal, so considerable thought should go into its preparation. Most sponsors provide detailed instructions and printed forms for budget preparation. Often, the budget construction process is filled with cumbersome and confusing guidelines. The OGSR will work with you through this process. We take a step-by-step approach to budget preparation and will navigate all budget requirements with you to ensure the end result is as competitive as possible.

Proposal budgets include two basic categories: direct costs of the proposed project, and indirect costs or overhead, a calculation of the cost of University facilities and services provided for all projects. The following is a list of standard budget items, a more detailed list can be found in the Appendix.

Direct Cost Categories include personnel costs. Personnel costs consists of the following:

PERSONNEL

• Faculty
• Professional Research Staff
• Graduate Assistants and Doctoral Fellows
• Undergraduate Students
• Other Project Staff

Other Direct Costs Categories (For a full list see Appendix)

• Travel
• Supplies (computer, instructional, lab)
• Consultants
• Special Events
• Printing and Publications

PART III. INTERNAL REVIEW & SUBMISSION

Sponsor Deadlines

Timing the proposal development and submission process is a crucial factor in successfully seeking external funding. Proposals that do not meet established agency deadlines may be returned by the sponsor to the Principal Investigator (PI) without review, or may be held for the next competition, seriously delaying the opportunity to carry out the proposed work.

Proposals for external grant support should be submitted to the Office of Grants and Sponsored Research for internal review six (6) working days prior to the applicable agency deadline. Sufficient lead time should be provided for institutional review and endorsement, and for the submission of your proposal (either electronically or hard copy). The OGSR will do everything possible to ensure that a proposal is submitted complete and on time; however, as the amount of processing time is reduced, so are our chances to take the appropriate actions leading to strong, competitive grant awards.

University Review and Approval

Proposal development and submission includes having responsibility for complying with internal University requirements. PIs must first verify with departmental chairs or division directors that the proposed project is in line with the unit's programmatic objectives. This is generally accomplished by discussion with the chair, director or dean well in advance of the actual submission. In addition, completed proposals must receive internal institutional approval (sign-off) prior to submission. Non-academic administrators must adhere to the same internal review process as faculty.

Project Authorization Budget Summary Form

Once your budget is finalized, the assigned OGSR Grants Coordinator will prepare and provide you with the internal Project Authorization Budget Summary (PABS) form for routing through administrative channels. It is the PI’s responsibility to forward the PABS to their applicable Chair or administrative supervisor for their review and signature. Once in place, the PABS must be sent to the attention of the PI’s Chair, Dean, or Administrative Director/Supervisor for additional signature.

Once both signatures are in place, the PABS should be returned to the OGSR to secure the Director’s approval and signature. The PABS will then be routed to the Vice President of Academic Planning and Institutional Research for final approval. Once authorization is in place, the OGSR will submit the complete proposal to the attention of the sponsor.

Please be sure to attach a copy of your detailed project budget and narrative (a draft or abstract will also suffice) to your PABS once you are ready to route it through the described internal review channels.The “Project Authorization & Budget Summary Form” is available online at

Cost- Share Requests

*All cost share requests must undergo initial vetting and secure the approval of Business Affairs, and advance time must be afforded in order to review any and all STJ contributions prior to your submission. Final proposals should be submitted 6 working days prior to the sponsor deadline. Any such proposals failing to adhere to this timeline will be considered to be in non-compliance with the internal review process, and we cannot guarantee their submission as a result.

What is Cost-sharing? [m2]

Some agencies or individual programs do not reimburse the University for the full costs of sponsored programs funded as grants. In these special cases, the University is required to share in the cost of each program, known as “cost-sharing.” As per STJ policy, cost-sharing should be requested when mandated by the sponsor. If PIs would like to contribute a certain percentage of cost-sharing in order to enhance the competitive nature of their proposal they should consult with OGSR as soon as possible. Any such cost-share should be initially requested directly through the PI’s department or school. Cost-sharing should be indicated on the basis of direct expenses, e.g., release time with associated fringe benefits, equipment purchase, computer time, and associated indirect costs etc.; cost-sharing funds may be available subject to department and/or school approval.

Deadline Obstacles

We urge you to keep us apprised of developments with your application. Consult with us about your calendar. Help us to avoid those nagging last minute problems. But, remember:

• Institutional signatories are sometimes out of town
• Electronic submission databases can experience significant server delays on the day of a deadline
• Photocopiers can -- and do -- break down
• On some days, our (small) Office may be working on more than one "rush" proposal
• Overnight courier deadlines

Working together, we can make that grant deadline! But, please make certain to keep us informed so that we can assist accordingly throughout this process.

Regulatory requirements, representations, and certifications

Regulatory Requirements

Sponsors have attached a variety of regulatory requirements to government assistance programs which must be satisfied in advance of, or during, the conduct of a funded project. These requirements usually call for special review processes to ensure compliance with applicable federal, state and/or University regulations and the health and safety of those involved in the project, as attested to by the signature of the principal investigator (PI) and/or the University's authorizing official. The PI is responsible for obtaining the appropriate approvals when submitting proposals involving any of the following:

Human Subjects

The University has an Assurance Agreement with the federal government, which describes University policies and procedures for the protection of human subjects in research. This Assurance indicates that all research involving human subjects must be reviewed and approved by the University’s Institutional Review Board for the Protection of Human Subjects in Research (IRB), whether they are faculty or student directed and whether they are funded or unfunded. Such proposals must be submitted to the IRB accompanied by a completed protocol, available at

Proposal information must be submitted to the Institutional Review Board by the dates noted on the web site in order to be reviewed at the next available meeting, which is normally held on the first Monday of each month. The IRB must approve all proposals for projects involving the use of human subjects before a funding agency will make an award. Researchers may not begin any such research project until final written approval has been received from the IRB. In addition, throughout the period of the project, it is the PI's responsibility to supervise the conduct of any students or research assistants who are also working on the project, as well as to instruct them in the importance of safeguarding the welfare of human subjects.