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Session 1
Introduction
Now, more than ever, the escalating cost of academic programs and limited availability of University funds makes it necessary for WSU faculty and research staff to apply to public and private organizations to support sponsored project work. At the same time, shrinking federal and other agency funding resources have created a highly competitive arena for dollars for research efforts. Not only must WSU submit more proposals, each request must represent the best our institution has to offer.
This Booklet was written and designed to provide faculty and staff of Weber State University with the information necessary to prepare and submit a sponsored project proposal through the Office of Sponsored Projects, with the endorsement and support of the Office of the Provost.
Research Services
Provost
The Weber State University (WSU) Provost formulates and implements issues of policy and strategic planning for the University related to research administration and scholarly pursuits.
Office of Sponsored Projects
The Office of Sponsored Projects oversees WSU's efforts to attract external research funding, managing the University's external funding enterprises and assisting faculty in all stages of the grant process, from identifying a potential sponsor to closing out a project.
Staff provide assistance to Principal Investigators (PI) in identifying appropriate funding sources, designing budgets and completing agency forms, contract negotiation, invention disclosures, and assistance with all forms of post-award administrative requirements.
At your request, a specific search can be done with keywords from your field of interest, providing sources with likely matches for your expertise, enhancing the likelihood of success. Faculty are invited to review the source documents available in the Office of Contract and Grants.
The Office of Sponsored Projects provides application forms and handles inquiries regarding federal and non-federal funding sources, program content, application guidelines and submission deadlines. The Office of Sponsored Projects maintains a file of faculty research interests and alerts faculty to contract and grant opportunities announced through the Commerce Business Daily, Federal Register, etc. through regular email communications.
Services by the Office of Sponsored Projects include pre-award and proposal processing, assistance with budget preparation, completion of agency forms, interpreting agency guidelines, duplication and mailing of proposals to meet sponsor's submission deadline. Pre-award functions also include reviewing and negotiating research agreements or contracts, modifications and amendments, monitoring human subject and animal approvals, submission of assurances, and serving as liaison with the funding agency.
When an award is made, the Office of Sponsored Projects reviews the agency terms and conditions, then authorizes the establishment of an account with WSU Accounting. Other post-award assistance includes re-budgeting, no-cost extensions, counter-signatures, travel, equipment purchases, miscellaneous donors accounts, temporary accounts, and any other transaction requiring institutional prior approval. The staff also assists faculty with closeout procedures upon expiration of a grant or contract.
Technology Commercialization and Patents
The Grants and Contracts Office has on staff an attorney who reviews proposals to ensure appropriate consideration of Technology Commercialization, with the goal of enhancing the economic value of applied research at the University if possible. Grants and Contracts manages the commercialization of inventions and discoveries arising from university research; contributes to economic development locally and in the state of Utah; builds corporate relationships that support research efforts; and promotes an entrepreneurial spirit on the WSU campus. In order to ensure appropriate management of technology commercialization and patents, the Office of Sponsored Projects works closely with University Counsel and the Office of the Provost.
WSU Accounting
The WSU Accounting Office is responsible for the financial accounting of the project. They establish the organizational code (account number), input the allotted budget at the request of the Office of Sponsored Projects, transmit monthly expenditure reports, review cost transfers, and prepare the required financial billings and/or reports. This office is also responsible for the cost sharing records, and time and effort reporting.
WSU Accounting is responsible for invoicing, revenue collection, budget transactions and the financial aspects of project closeouts.
Important Definitions
A Proposal
A proposal is a request for support of sponsored research, instruction, or extension projects, and generally consists of a cover page, brief project summary, technical or narrative section, biographical sketches of the key personnel, and a detailed budget. Common proposal types include:
Solicited proposals: proposals submitted in response to a specific solicitation issued by a sponsor. Such solicitations, typically called Request for Proposals (RFP), or Request for Quotations (RFQ), are usually specific in their requirements regarding format and technical content, and may stipulate certain award terms and conditions
Unsolicited proposals: proposals submitted to a sponsor that has not issued a specific solicitation but is believed by the investigator to have an interest in the subject.
Pre-proposals: proposals requested when a sponsor wishes to minimize an applicant's effort in preparing a full proposal. Pre-proposals are usually in the form of a letter of intent or brief abstract. After the pre-proposal is reviewed, the sponsor notifies the investigator if a full proposal is warranted.
Continuation or Non-Competing: proposals confirming the original proposal and funding requirements of a multi-year project for which the sponsor has already provided funding for an initial period (normally one year). Continued support is usually contingent on satisfactory work progress and the availability of funds.
Renewal: proposals requesting continued support for an existing project that is about to terminate, and, from the sponsor's viewpoint, generally have the same status as an unsolicited proposal.
Sponsored Projects
A sponsored project is a signed award (grant, contract, or cooperative agreement) under which the University agrees to perform a certain scope of work, according to specific terms and conditions, for a specific budgeted financial compensation.
Sponsors
The United States (US) Government agencies such as: Department of Defense, Department of Energy, Department of Health and Human Services, National Science Foundation, National Aeronautics and Space Administration. These agencies announce funding opportunities through a variety of print and electronic media.
Non-U.S. Government entities such as: foundations, corporations, state and local governments, and other non-profit organizations. Funding interests vary significantly among these organizations, and most opportunities are cultivated through recognition of like interests.
Authorizations
Before a proposal can be processed by the Office of Sponsored Projects, and submitted to a funding agency, the PI (PI) must obtain the required endorsement of the Department Chair, and Dean. Grants and Contracts will secure the signature of the Associate Provost or the Provost as required.
The Office of Sponsored Projects staff will review the proposal for fiscal accuracy, compliance with University policy and agency guidelines, and completeness of all required sections. The final step before submission is the endorsement by the Office of the Provost. This endorsement signature must be obtained before the proposal is submitted to a sponsor and is required for all projects, regardless of the source of funds (e.g., federal, state, local, private).
Preliminary proposals, which differ from verbal inquiries because they have a developed work statement and a budget broken down into general cost groupings, also require the coordination of the Office of Sponsored Projects.
Note: National Science Foundation (NSF) proposals require the Disclosure of Significant Financial Conflict of Interest form (available at the Office of Sponsored Projects) be submitted along with the proposal.
WSU Development Office
The Development Office has extensive experience in soliciting support from the individuals, foundations, and corporations that have a special gift-giving relationship with WSU. The Development Office has formed strong relationships with some specific foundations, and must coordinate the submission of proposals to those entities. The Office of Sponsored Projects is willing to provide technical assistance in writing any proposal, but all requests for gifts must be submitted through the Development Office.
Representations and Certifications
To obtain funding from the federal government or other sponsoring agencies, the University will make assurances to the sponsor that it is in compliance with a number of regulations. Each sponsor, or even program, will have its own set of requirements. These assurances, compliances, representations and certifications apply to the institution, not the PI. They are often complex, difficult to apply, and frequently change. The PI is not required to comprehend or interpret these many intricacies. The Office of Sponsored Projects serves the PI, providing this technical assistance.
For example, the funding agency may require:
· Facilities are properly accredited and authorized.
· The University is not on the Federal Debarment and Suspension List.
· The University is an Equal Opportunity, Affirmative Action Employer.
· Military services are not barred from recruitment at WSU sites
· Compliance with Federal Discrimination Regulations
· Compliance with Federal Lobbying Regulations
· Federal Regulations Regarding Promoting Objectivity in Research
· Compliance with Federal Regulations Regarding Research Misconduct
· Compliance with Title VI of the Civil Rights Act
· Compliance with Title IX of the Education Amendments
· Compliance with Section 504 of the Rehabilitation Act
· Compliance with National Occupational Safety and Health Act
· Compliance with FDA Good Laboratory Practices Act
· Compliance with Drug-Free Workplace Act
· Compliance with Smoke-Free Workplace Act
On a project-specific basis, the University must indicate when the following special circumstances apply:
· Hazardous materials are involved.
· Historical sites are affected.
· Proprietary or privileged information will be generated by the project.
· Project is in violation of any environmental compliance regulation.
· Lobbying activities have been conducted regarding the proposal.
The State of Utah has established an Office of Planning and Budgeting, within the Executive Office of the Governor, to act as the clearinghouse on programs needing coordination with other initiatives planned or ongoing in the state. When a federal program mandates State Clearinghouse Review, the standard budget and technical abstract must be submitted to the State Clearinghouse for comment.
The Office of Sponsored Projects is the official conduit for this coordination. You, as the PI, will not be required to complete or manage these many and complex forms!
Exercise to Define a Problem for Investigation
1. Below, briefly define a problem(s) or question(s) in your field of expertise.
2. What ideas do you have that would provide a solution?
3. Who are the colleagues who might collaborate?
4. What agency might have funding opportunities to address this need?
Prior to Session 2, please review the provided opportunities for funding. Select one with a funding history appearing to be consistent with your interests and expertise. At the conclusion of the 5th session of this Seminar, you will have a completed proposal, ready to submit for consideration by the funding agency.
Session 2
Why Write a Proposal?
The Benefits of Writing a Proposal
The benefits to the faculty and WSU from successful grant and contract development work can include the following:
1. Strengthen teaching and classroom experiences.
2. Enhance scholarship and provide opportunities to publish.
3. Create opportunities to collaborate with colleagues, expanding your scholarly engagement
4. Gain student assistance, either undergraduate or graduate.
5. Provide travel money to participate in professional meetings, nationally and internationally.
6. Specialized materials and supplies.
7. Provide clerical and administrative assistance.
8. Occasionally provide additional income, including overload or summer salary.
9. Create opportunities for consulting support.
10. Possible release time from the classroom, committee, or other assignments to pursue scholarly interests.
11. Services such as computing or media production support.
How can writing a proposal enhance faculty professional development and improve the overall instructional mission of the University? Grants provide faculty with opportunities to:
1. Remain active in their fields.
2. Pursue research and scholarly activities (can be combined with s students and/or colleagues from our campus as well as other institutions.
3. Make and maintain academic contacts outside their home institution.
4. Provide experiences for students otherwise not available.
5. Be in contact with practitioners in real-world settings.
These are tangible rewards. The intangible rewards are also significant. In addition to those benefits listed above, proposal writing by its very nature – successful or not – provides faculty with the opportunity to become more deeply involved and current in their fields. Whether the project involves research, training model/demonstration development, or direct service, the process is the same. The benefits faculty derive from the proposal writing process itself compels them to think through, then articulate on paper, the questions to be resolved.
The quest for grant support itself is a stimulating enterprise. When faculty are successful and receive a competitive award, there is a very real sense of accomplishment. Most importantly, grant activity enables faculty to invigorate their teaching. With greater currency in the field, the grant activity itself can become the basis of improved teaching. Indeed, remaining active and current in your field is essential to good teaching.
Undergraduates are encouraged to participate in the sponsored project process. Often students become fascinated by both the process and the results of grant and contract supported work. The enriched examples, models, and materials derived from projects can help to recharge one’s batteries and become the basis of future courses and teaching. Also, the results and products of grant supported work often become the basis for the publication of articles, reports and books.
Work with colleagues. Have them read your first drafts. Read and follow application forms and guidelines. Carefully define the problem, focusing on the need and solution. Write with clarity, with a sense of purpose, and be succinct: fewer words are better.
Establish contact with the funding agency. Work with them in developing your proposal. Budget carefully, asking for enough to accomplish your objectives, without inflating the costs.
Never give up! Persistence pays. Your chances increase significantly during the second round of submissions.
Exercise to Begin Writing
1. Write your selected title for the Project.
2. Write a brief description of the project (1-2 paragraphs), using layman's terms if possible. This will become your abstract.
3. A list of keywords or phrases that relate to the project. A word bank can be built from the text of the RFP.
4. Your name, campus address, campus phone number and fax number.
5. Other facts that might be relevant: previous research experience if any, membership in a group for which there may be special programs (women, disabled, ethnic minority); citizenship, if you are not a U.S. citizenship; any special or immediate objectives of your research project (training, career change, publication, etc.).
6. Referring to the RFP you have selected, write several paragraphs illustrating the definition of the problem or need.
7. Write several paragraphs describing the significance of the problem or need.
8. Write several paragraphs outlining your solutions to the problem or need.
9. Describe how, when and with what resources the solutions will take place.
Prior to Session 3, draft a beginning narrative according to the guidelines of the RFP you have selected as your working project. The Office of Sponsored Projects will be available for technical assistance if needed. Please bring this narrative to Session 3.
Session 3
Planning and Writing the Proposal
Process of Proposal Planning
(Requests for Proposals) are very specific in their guidelines. If you are responding to an RFP, please maintain a copy of the RFP guidelines with the proposal.
All supplies, materials, computer and publication costs must be itemized. Travel must be justified by per diem, number of trips, place and purpose.
If a project requires Human Subjects or Animal Approval, IRB procedures must be followed. Grants and Contracts will assist with this process. If your project involves human or animal subjects, it must be identified at this point and coordination with the appropriate committee must begin.
If duplication and mailing of proposals are to be provided, Office of Sponsored Projects requires two full working days. Faculty must clearly specify the mailing address as well as the mailing deadline on the Office of Sponsored Projects signature page when the proposal is submitted.
Your department will provide an account number to which the shipping will be charged.
The Concept, Idea, or Product
Successful proposals present the need, the solution, and the methodology of accomplishing the goals in a realistic time frame and within a realistic budget.
A good idea is one that breaks new ground in the field. Ideas come from conducting research, classroom/lab examination of a problem, and consulting with peers at WSU and other institutions. Networking increases a PI’s visibility in the field. Expanding contacts with colleagues will provide opportunities for peer review, as well as strategies for successful funding.
Your idea must include a design of method to accomplish the goals. No matter how brilliant the idea is, it will not be funded if the review committee does not see that the approach will produce concrete results. The methodology should include logical, practical steps that are rational and reasonable. Moreover, they must lead to a conclusion that will fulfill the agency’s objectives.
Writing a Proposal Narrative
Careful development and rigorous writing of a detailed research proposal are necessary for success in the highly competitive research funding environment at most sponsoring agencies. Members of national review panels state repeatedly that it is no longer good enough to write a solid proposal. It has to be a great proposal.
Applicants must be prepared to sell their ideas with professional finesse.
Careful Targeting
While it is possible, and sometimes advisable, to submit one proposal simultaneously to various agencies, applicants should carefully review individual agency program objectives and submit a proposal only if these objectives are in accord with their own research direction. The Office of Sponsored Projects maintains extensive files to aid applicants in the careful identification of appropriate funding agencies.
If, after reading agency funding materials, the applicant is uncertain if the proposal is appropriate for the agency, it is important to contact agency staff directly to discuss the project and application requirements. Historically, successful proposals are those where the PI has developed a relationship with the agency’s program officer.
Exercise to Check Narrative
Review your draft narrative. Ask yourself the following:
a) Is your idea logical?
b) Is the idea innovative?
c) Will the approach produce concrete results?
d) Does the conclusion meet the agency’s objectives?
Budget
At this point it is important to pause, and begin assembling basic data to support your budget. Once this basic information is completed, the Office of Sponsored Projects will create a draft in spreadsheet form for your review. Because budget considerations include different computations of benefits, indirect costs, and other institutional considerations, you, as the PI are not expected to calculate this information.
Exercise to Create Budget Information for Grants and Contracts
1. The Office of Sponsored Projects will draft a budget for your review. You should provide the following:
a) Names of individuals who will be paid from award funds.
b) Percentage of time each individual will spend on project tasks.
Name % time
_________________________________ _______
_________________________________ _______
_________________________________ _______
_________________________________ _______
c) Indication if summer salary and/or supplemental pay will be involved.
Name Months Supplemental
Summer Sal. Pay (%)
_________________________________ _______ ________
_________________________________ _______ ________
_________________________________ _______ ________
_________________________________ _______ ________
d) Number of student assistants for the project; number of student hours.
Number of Students ________________ Number Hours ____________
e) Travel anticipated for the project; number of travelers; number of trips, location of trips; purpose of trips.
f) Equipment to be purchased for project (if allowed under the RFP).
g) Anticipated supplies and materials.
h) Anticipated contract expenses.
i) Other costs.
Integrating Your Narrative With Other Elements of a Proposal
The first and most important rule is to follow the Request for Proposal with accuracy and complete adherence. Funding agencies sometimes receive several hundred proposals for each funding opportunity. First review is conducted by administrative staff who may not have any technical expertise whatsoever in the field, but are assigned to eliminate any proposal that does not follow the prescribed format. Many technically superior proposals are disqualified before they ever are seen by the selection committee because they do not follow the requested framework.
Most proposals contain the following elements.
1. Cover or title page: This will include the title of the proposed project, name(s) and title(s) of the PI and Co-Investigators (if any), proposed project period, dollar amount, sponsor, the date, and any required College or department signatures. As the legal entity submitting the proposal on behalf of the investigator, WSU University. The WSU Office of Sponsored Projects address should be used for the institutional address. If this page is displayed as a government form (usually Form 424), the Office of Sponsored Projects will complete this with other forms.
2. The Abstract: A good abstract will strike a good balance between simple and technical language, and highlight key concepts for which the reviewers should look in the main body of the proposal.
3. Table of contents or index with page references.
4. Project Narrative: a detailed program description, including need statement, an explanation of the objectives in clear and concise terms, and a description of the methodology to be followed in carrying out the objectives.
5. Description of current WSU facilities and equipment, and the percentage of time they will be available for the proposed project.
6. Occasionally the agency will require a related Studies/Review of the Field. A discussion of previous work in the field demonstrates an investigator's knowledge and provides an evaluation of the “state of the art'” in his/her specialization. It also shows the extent of preparation for the proposed study, and the novelty and individuality of the approach
7. Time Frame: In this section, the investigator will describe the proposed research methodology, organizing the material logically according to progressive steps of inquiry. Investigators must make a careful decision about how much detail will be needed to assure clear understanding by the reviewers without going to excessive lengths. It is equally important to describe how potential problems will be addressed. Frequently the agency will require a time line.
8. Format: Because most proposals limit the number of pages (including the font size), clarity of thought and presentation is essential.
9. Evaluation Design and Statistical Analysis: Most projects require an evaluation of results. Evaluation may be planned both at critical points during the project period and/or after its conclusion. It may be designed to be carried out by participant staff or by outside consultants. The description of the evaluation design should be detailed and the applicant should make it clear how it is to be administered and how the resulting data will be analyzed. It is also important to indicate how the evaluation results will be used and/or how they will be disseminated. In biological, behavioral, chemical and physical sciences, research faculty should state their test evaluation and statistical methods.
It is important to note that realistic, measurable outcomes indicate research integrity, a point not lost on the selection committee.
10. List of personnel: Include the names and titles of all professional personnel. Since named personnel might be used within key personnel clauses in an agreement, non-professional personnel should be listed by title or function only.
A CV, or curriculum vita (resume) is required for each of the major researchers. However, it is advisable to highlight specific research experience, related publications and other important biographical information with regard to professional personnel. This information should be presented in the text of the proposal or as part of the budget explanation. Reviewers have indicated that it is helpful to have specific research capabilities of the major researchers stated in the text, although these qualifications may also be listed on the CV.
11. List of PI's publications: Include only those that are relevant or significant to the proposed project. The list should not include items such as publications being printed, or invited lectures.
12. Budget with justifications and supporting documentation, where appropriate. The Office of Sponsored Projects will prepare these documents for you.
13. If required, include letters of support from Department Chairs, Deans, other faculty with expertise, letters of collaboration, subcontractor proposals, and others.
14. Special requests or justifications: These could include: a change of PI on renewal or continuation proposals, use of unexpended funds from a prior budget period, or the temporary absence of the PI.
15. Certifications and representations and other forms that may be required. These will be prepared by the department for signature by the Office of Sponsored Projects.
Additional Items of Consideration
Facilities and Special Resources
Applicants will need to describe the facilities and resources that will be used in the proposed research. If unique facilities exist with regard to the proposed research it is important to emphasize this in the proposal. The application may require data on the size of the University, a profile of faculty and students, or details on university-wide facilities such as the library, computer centers, or specialized centers.
Collaborators
A very common criticism from review panels is the use of procedures for which investigators have little or no experience according to their curriculum vitae or publication list. With the collaboration of experienced colleagues within the University, or with the assistance of outside consultants, the success of such studies is more realistic and reviewers will approve them more readily.
Review by Colleagues
Experienced research faculty on campus may also be helpful in providing an unofficial peer review for an applicant and should be drawn in to provide advice when their research expertise permits. Also, many established faculty assist agency staff as "field readers" and thus have experience as reviewers. Their reading of a draft proposal may well assist applicants to gain necessary perspective and help to test the clarity, completeness and persuasive power of the draft copy.
Consultants
Consultants are independent contractors and not employees or agents of the University. Special review and approval procedures are required if a project anticipates using consultants. Designation of independent contractor status is governed by the Internal Revenue's Code of Common Law. WSU may be subjected to significant institutional tax penalties should the individual be incorrectly classified as an independent contractor. In addition, contracting with an independent contractor may expose the University to significant financial risk if the consultant has limited net worth or inadequate insurance coverage. Please note that you, as an employee, cannot also serve as a consultant on your project.
Questions concerning the use or status of an independent contractor should be directed to the Office of Sponsored Projects well in advance of the proposal deadline.
Proposals to Foundations
The Office of Sponsored Projects has background information on foundations, their giving patterns, their assets and currently active staff.
Foundations may not use specific application forms and their instructions to prospective applicants are sometimes vague. Faculty are advised to open the dialogue with a brief letter of inquiry clearly stating their project area. If the foundation is interested, they may respond by instructing a faculty member to submit a more detailed, formal proposal. Initial proposals should be written in lay language and usually be no more than 4-5 pages in length. The following issues should be addressed: significance of project, statement of problem, proposed solution and method of approach, expected outcome, relationship of the project to the sponsor's interests, proposed staff, and the length of time during which support is needed. The Office of Sponsored Projects will prepare the budget and budget justification. Submission procedures are followed through the Office of Sponsored Projects.
Foundations may fund projects as a gift. If the award can be defined as a gift, it will be submitted and handled through the Development Office. The Office of Sponsored Projects and the Development Office will provide assistance in defining the appropriate path to receive an award.
Proposal Checklist
The following checklist is intended as a guide to assist in the first stages of preparation of a proposal. As the author is writing the narrative, he/she should use this list to assure that all aspects of preliminary proposal preparation and processing have been taken into account.
1. Is the proposed project consistent with the objectives of the department, college, and University?
2. Does the proposal involve a commitment of University funds beyond the proposed project period? If yes, has the necessary internal funding been secured to meet this commitment?
3. If the proposal contains privileged or proprietary data, has that data been properly marked?
4. If the proposal involves the use of human subjects, laboratory animals, biohazards or recombinant DNA/RNA, was it indicated; and have IRB procedures been followed?
5. If the proposal requires subcontracting or other collaborative activities, has a letter of written concurrence been obtained from the respective institutional official?
6. Have subcontracting costs been included in the budget (if required)?
7. Have all appropriate research personnel working on this project signed the University's Patent and Copyright Agreement if required?
8. Do the percent effort and personnel salaries conform to WSU and agency policies?
9. Are the required space and facilities available without detriment to departmental activities?
10. Are equipment prices in the budget current, and does it include delivery and installation charges? Departmental endorsement confirms that the equipment item is unavailable within the department or college for shared use.
11. Are all costs fully detailed, including allowable indirect costs, the fringe benefits, health insurance, and any cost sharing? Remember that the cost sharing must be validated. Increases for salary, equipment and travel costs for multiple-year projects should be anticipated and included (Grants and Contracts provides assistance with the budget).
Exercise Using Checklist
Prior to Session 4, review your proposal with the above checklist, identifying areas for further work.
Session 4
Submitting the Proposal
Hints for Submission
Submit the proposal to the Office of Sponsored Projects at least three full business days in advance of the sponsor's deadline. The mailing address and mailing deadline should be clearly specified. Do not staple the original proposal or any copies submitted to the Office of Sponsored Projects.
NSF and NIH cover pages must have the PI's original signature. NSF and PHS proposals must include a signed Disclosure of Significant Financial Conflict of Interest form. For NSF proposals, the PI and Co-PI must sign the Conflict of Interest form while for PHS proposals, the PI and all key personnel must sign.
Permanent equipment under federal guidelines is any item exceeding $500 and a two-year useful life. Items of less than $500 should be itemized in the “other” category.
If a project requires Human Subjects Approval or Animal Approval and the approval has been obtained from the IRB or IACUC, submit a copy of the approval with the proposal. The title of the proposal must match the title identified on the approval.
How Proposals are Evaluated
Criteria Reviewers Use to Evaluate Proposals
The criteria used by one government agency to evaluate training proposals may serve as a useful guide in general. The criteria are:
1. The degree to which the proposed program delineates an important need in the field;
2. Evidence of a well-coordinated program which has promise of meeting identified needs;
3. The degree to which participants will be exposed to new approaches, techniques and new instructional materials;
4. The extent to which the participants will actually be involved in innovative and creative experiences;
5. The program's focus on a discipline or a group of related disciplines.
6. The consistency and clarity of statement or procedure for selecting participants consistent with the purposes of the program;
7. The level of professional competence and leadership of the program director and of the professional staff who will assist with the program;
8. The time available to the professional staff to prepare for and to conduct the program;
9. The extent to which the institution will make available adequate classrooms, laboratories, library, instructional materials and equipment;
10. Prediction that the program will result in the improvement of instruction; and
11. Completeness of proposal and budget.
Common Shortcomings Found by Reviewers
1. The program does not meet the requirements of the government program from which funds are sought or does not advance the goals of that program.
2. The cost of the program is unreasonable in terms of comparable programs.
3. The institution appears to lack the necessary resources in either faculty personnel or physical equipment, or both, to conduct the program.
4. The proposal lacks clearness, coherence, or completeness.
5. No solid basis for pre-selection of participants.
6. No description of program staff or personnel.
7. Unrealistic time estimates.
8. No arrangements made for follow-through to make the investment beneficial for the institution to justify its selection for a grant.
9. The technique proposed not judged to be the best method.
10. No provision for self-evaluation of the program.
Contracts, Grants, and Cooperative Agreements
A proposal may be funded by three different means: a contract, a grant, or a cooperative agreement. Which of these funding instruments is appropriate is determined by the source of the idea for the project, the level of involvement between the sponsor and the recipient, and the degree of flexibility in carrying out the project. Both grants and cooperative agreements tend to fund investigator-initiated projects, but the latter anticipates substantial involvement of the sponsor while the former does not. Unlike contracts, grants and cooperative agreements typically have short, standardized award documents.
Contracts can be thought of as a negotiated procurement. They generally originate from specific goals of a sponsoring agency as identified in a formal announcement. In the case of federal government agencies, the issuance of a formal contract is usually preceded by the advertisement of a Request for Proposal (RFP), Request for Application (RFA), or Request for Quotation (RFQ).
Federal contracts use detailed award instruments that are subject to Federal Acquisition Regulations (FAR). The Office of Sponsored Projects will advise the PI about contract specifications including contract type (fixed price versus cost reimbursable) throughout the planning and writing stages. Some industry contracts may have FAR clauses as the industry partner may be flowing federal funds down through a contracting document. Also, industry contracts may incorporate complex intellectual property language needing to be reviewed and negotiated to protect faculty and University interests.
Format and Content
Sponsors frequently revise proposal guidelines and other requirements (e.g., page limits, font sizes, margins, number of copies). Guidelines can vary not only between sponsors, but also among programs within an agency. The Office of Sponsored Projects can usually answer questions concerning proposal requirements not addressed in the sponsor’s guidelines.
Responsibilities
PI Responsibilities
The PI or Project Director is responsible for the conduct of the research or other activity being supported by a sponsored project. Responsibilities include the technical direction of the work and other contractual obligations such as reporting, proper cost assignment, and supervision of project personnel and subcontractors.
After the proposal’s final text and budget are complete, the following checklist is reviewed by Grants and Contracts to ensure that the proposed project complies with both sponsor and University requirements:
1. Proposal format and content comply with sponsor guidelines;
2. Adequate resources are available to meet the project's needs (e.g., use of space, cost-share commitments);
3. Requirements for the use of animals, human subjects, DNA, biohazards, and radiation safety have been met;
4. If a conflict or potential conflict of interest exists, the conflict has been reviewed by the respective Dean or Provost;
5. If a subcontract is proposed the supporting documentation should be attached to the proposal.
6. If a consultant is proposed the supporting documentation outlined in and attached to the proposal.
Occasionally a sponsor may require an institutional cover letter or letter of support from the President or Provost. These proposals should be received by the Office of the Provost at least 5 business days before the deadline. In addition to the required internal review, extra time is necessary to obtain a signature due to the President’s and Provost’s extensive travel schedules. PIs are strongly urged to coordinate their proposal schedule with Office of Sponsored Projects as soon as the proposal deadline is known.
Department Responsibilities
Some departments have administrative staff who can offer proposal preparation assistance in the areas of:
1. Identifying accounts for matching funds or cost-share contributions;
2. Providing logistical support for items such as space and personnel;
3. Assisting the investigator in complying with any relevant special reviews;
4. Photocopying the final proposal; and
5. Coordinating Department Chair/Unit/Center director signature(s).
Office of Sponsored Projects Responsibilities
Office of Sponsored Projects is available to assist the investigator as needed in any phase of proposal preparation. Proposals are carefully reviewed to ensure that they comply with all University, federal, and/or state requirements, and are prepared in such a way as to meet with favorable reviews during competition. Proposals are reviewed for the following criteria:
1. Proposal format and content comply with sponsor guidelines;
2. Development of a budget reflecting adequate resources and costing detail to accomplish the project and ensuring compliance with federal and WSU regulations;
3. Review of Forms for appropriate signatures and investigator compliance with relevant special reviews;
4. Verification of cost-share commitments and/or matching funds;
5. Verification of documentation for subcontractors and/or consultants; and
6. Review and signature of certifications and representations.
7. Office of Sponsored Projects will then prepare a transmittal letter and mail the proposal.
Proposal Processing
Pre-Award and Proposal Processing
Pre-award functions include reviewing and negotiating research agreements/contracts, modifications and amendments, monitoring human subject and lab animal approvals, submission of assurances, and serving as a liaison with funding agencies.
Required Signatures on Proposals
Certain WSU administrators have been authorized by the University President to enter into research and training agreements on behalf of the University. Before a research proposal can be submitted by the University for review by a funding agency, the proposal must have received the support of the appropriate University officials: Department Chairperson, Dean or Director, Vice President (if necessary) and the Office of Provost.
The proposal must be signed by the Office of Sponsored Projects. Letters to agencies requesting changes in budget categories, no-cost extensions and other changes on awarded grants also require the endorsement of the authorized institutional official.
Any contact between the funding agency and the PI after submission of the proposal must include the Office of Sponsored Projects in order to maintain the master file for management and audit purposes. The Office of Sponsored Projects officials are responsible for negotiating prime and subcontracts between the WSU and funding sources. Subcontracts are developed in Office of Sponsored Projects according to standard WSU policy.
Agency Correspondence
Occasionally, notification of an award or a proposal receipt acknowledgment card is sent directly to the PI by the grantor. In these instances, faculty should notify the Office of Sponsored Projects immediately by sending a copy of the correspondence to Office of Sponsored Projects. These notification documents contain information essential to the maintenance of complete proposal and award files in Office of Sponsored Projects, and expedite the authorization of grant accounts by Office of Sponsored Projects when an award is made.
Proposal Submission Deadlines
Proposals should be submitted as early as possible in advance of the sponsor’s receipt deadline. When exceptional circumstances cause a delay in your proposal submission to Office of Sponsored Projects, they will review and bring the proposal to a point of readiness as expeditiously as possible. However, for a given deadline date, proposals received late in Office of Sponsored Projects will necessarily take their place behind proposals received earlier. Every effort will be made to assure that all proposals are mailed/expressed on time.
Session 5
After the Proposal is Funded
When an award is issued to Weber State University, the Office of Sponsored Projects reviews the funding agency’s terms and conditions. When all contractual issues are solved, the award is accepted by the Office of Sponsored Projects in behalf of WSU, who will immediately notify the Investigator.
Contracts
At the time of proposal submission a sponsor will often require an indication of what terms and conditions will be acceptable to WSU in the event of an award. Exceptions to a sponsor's terms and conditions are addressed by the Office of Sponsored Projects in a transmittal letter. For commercial sponsors, the Office of Sponsored Projects will often include a copy of the acceptable WSU clauses. Investigators who are aware of special sponsor requirements should discuss them with the Office of Sponsored Projects well in advance of the proposal deadline.
It is important to note that while the PI may participate in some negotiation during the proposal stage, all negotiation at the contract stage is conducted by the Office of the Provost or its designee, usually the Office of Sponsored Projects. There are many variables and highly technical details for which a PI cannot and should not be held responsible. It is in the best interest of the PI to become invisible at this point.
WSU will normally only enter into agreements that adhere to the following principles: the research is conducted on a best efforts basis without guarantee of success and without financial risk or liability to the University; costs are fully reimbursed unless cost sharing has been approved.
Accounts
The Office of Sponsored Projects completes the Buck Sheet according to the negotiated budget as it appears in the award (see appendix). The Buck Sheet is forwarded to WSU Accounting where an account number is assigned—63-xxxx. When the account number is assigned, the Office of Sponsored Projects will forward a copy of the Buck Sheet to the Investigator.
Project Management
The PI has responsibility to ensure the funds are spent according to the budget. The Accounting Office will send a monthly report of expenditures (see appendix for sample). The PI or the designee will review expenditures, verifying that each is in accordance with the approved budget.
Funds for salaries and benefits will be obligated by the Buck Sheet. A Personnel Action Request (PAR) must be completed for every individual to be paid from the project funds (see appendix for example). The Office of Sponsored Projects will provide technical assistance in order to complete the PAR if desired by the PI.
If, during the course of the project, budget changes are required, the PI (or designee) will complete the Organizational Prior Approval System (OPAS) Form (see appendix). Once signatures are in place, the form is forwarded to the Office of Sponsored Projects. Typically, authorization to make the change must come from the funding agency. Once authorization is secured, the Office of Sponsored Projects executes a new Buck Sheet to be forwarded to Accounting to make the change in the accounting system. A copy of the new Buck Sheet is sent to the PI to confirm the change.
The PI must provide the account numbers for matching funds (if match is required by the funding agency). Grants and Contracts will provide technical assistance in tracking the match in a form that can be successfully audited.
The PI approves all purchases. Typically, a purchase is made through a Purchase Requisition (see appendix). However, on occasion, a P Card may be issued for the project. When a P Card is used, the burden of spending appropriately rests entirely with the purchaser. In the event an expenditure is not allowable, the expense must be moved to another account, usually the Dean’s account. Therefore, prior to issuance of a P Card for a project, the Dean must accept responsibility for those expenses. It is recommended that project purchases be made with Purchase Requisitions.
The PI is responsible for the narrative portion of all reports submitted to the funding agency. These reports are submitted through the Office of Sponsored Projects in order meet the requirement contractually and be available for audit.
The Office of Sponsored Projects is always available to provide assistance in the area of project management.
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