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Types of Proposals
Researching Funding Sources
Proposal Development and Submission
Helpful Hints for Proposal Writing
Components of a Proposal

• Format and Content
• Estimating Your Budget
• Direct Costs
• Facilities and Administrative Costs (Indirect Costs)
• Cost-sharing

University Policy Considerations

• Consortiums/Joint Proposals
• Teaming Agreement
• Non-Disclosure Agreement
• Consultants
• Contracts
• Limited Proposal Submissions

SPECIAL REVIEWS

• Animals
• Biohazard / Safety
• Human Subjects
• Intellectual Property

Scientific Misconduct
Proposal Processing Channels
Investigator’s Responsibilities
Commonly Requested Facts

Types of Proposals

Solicited proposals, submitted in response to a specific solicitation issued by a sponsor.  Such solicitations, typically called Request for Proposals (RFP),  Request for Quotations (RFQ), Broad Agency Announcements (BAA), NASA Research Announcements (NRA), or Requests for Bids (RFB), are usually specific in their requirements regarding format and technical content, and may stipulate certain award terms and conditions.

Unsolicited 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, 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 confirm 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 or Noncompeting proposals are requests for 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.

Researching Funding Sources

The Office of Sponsored Programs Newsletter lists a wide range of upcoming funding opportunities and announces changes in University and sponsor policies that affect sponsored projects.  Each month the newsletter publishes a list of awards received by the University with the intent of fostering collaboration among researchers. 

The newsletter is distributed automatically to all faculty, directors, and department heads, and by request to deans, department research and administrative staff. There are several types of Funding Sources for Grants and Contracts. 

• Foundations
• Corporations
• Federal government
• State government
• City government
• Quasi-government/Local
• Institutes of Higher Education

There are various databases available to the faculty and staff at NSU, however the faculty and staff sometimes feel anxious about trying to maneuver those sources.  To make the process as easy and painless as possible for the proposal developer, we assist them in pulling the information needed.

The Office of Sponsored Programs provides links to several databases that can be used in retrieving relevant funding sources that are suited to your particular program or research interest. 

They are:

• Grantsnet lists funding opportunities for training in the medical and biological sciences.

• The Foundation Center lists funding opportunities for private and public foundations as well as community and corporate opportunities.
• The Community of Science (COS) is a network of Web sites for scholars, scientists, and R&D professionals. It offers funding sources in Agricultural and Food Sciences, Arts and Humanities, Behavioral and Social Sciences, Earth Sciences, Education, Engineering, Health and Medical Sciences, Life Sciences, Physical Sciences and Technology and Computer Science.
• The Federal Register has current funding sources and government rulings, etc. listed.  The Federal Register can be accessed from the Office of Sponsored Programs Webpage.
• SPIN+ (Sponsored Programs Information Network) is a computer database with detailed and up-to-the-minute information about thousands of Federal and Non-Federal and International funding opportunities and allows electronic proposal preparation.
• Health and Human Services Funding for Families and Children lists funding sources for the Families and Children Services, as well as, news, frequently asked questions, regulations and reference materials.
• Other items that may be needed in research proposal information can also be found on the web.  Some are:
• Catalog of Federal Domestic Assistance is a government-wide compendium of Federal programs, projects, services, and activities which provide assistance or benefits to the American public. It contains financial and non-financial assistance programs administered by departments and establishments of the Federal government.
• General Accounting Office is the investigative arm of Congress and provides financial audits, program reviews, investigations, legal support, and policy/program analyses.
• Bureau of Labor Statistics is the principal fact-finding agency for the Federal Government in the broad field of labor economics and statistics.
• Population Statistics from the U.S. Government Information.
• Copyright and Intellectual Property Laws provide the copyright laws from the Library of Congress Copyright office.
• Crime statistics provides access to online reports, consumer safety tips, crime news, video, and audio.

Proposal Development and Submission

When responding to an RFP, RFQ, NRA, BAA or RFB with the proposed terms and conditions stated in the solicitation the investigator should notify OSP by completing and submitting an Intent to Submit form. The investigator should also  forward a copy of the solicitation to the OSP as soon as possible.  Please be sure to discuss and review your proposal concept with directors, department heads and/or deans.

Develop detailed budget maintaining strict adherence to University, state and agency guidelines. The following chart shows the types of match and the signatory required.

When developing your proposal the following concerns/needs should be addressed.

• Identify the need for animal care, human subjects protection, biohazard or other relevant research issues. For further information refer to the Special Reviews section.
• If any of the above-mentioned research is applicable the necessary form should be completed.  The forms can be downloaded from the Office of Sponsored Programs webpage.
• Identify potential intellectual property products.  For further information refer to the Special Reviews section.
• If intellectual property is involved, the intellectual property form should be completed.  The intellectual property form can be downloaded from the Office of Sponsored Programs webpage.
• If the proposal is a partnership or collaborative venture, a teaming agreement should be completed.  The sample teaming agreement form can be downloaded from the Office of Sponsored Programs webpage. For further information refer to the Special Reviews section.

The internal approval form must accompany every proposal submitted to OSP.  The IAF provides OSP with information on where to submit the proposal and identifies what compliance issues exist and what institutional resources are required for the project.  Investigators are responsible for completing the IAF and, by signing it, accept full responsibility for the project. The Internal Approval Form along with your proposal should be submitted to the Office of Sponsored Programs at least ten days prior to proposal due date and ten days prior for a collaborative proposal.

In addition to the investigator’s signature, the IAF must also be signed by the department head or chair and Dean or Center Director.  Investigators requiring signatures for cross-unit or interdisciplinary proposals should take into consideration the additional time needed to obtain the cross-unit signatures. The following is a suggested timetable for proposal submission and review.
 

Occasionally a sponsor may require an institutional cover letter or letter of support from the President.  These letter requests should be received by OSP at least ten business days before the deadline.  In addition to the required internal review, additional time is necessary to obtain a signature due to the President’s extensive travel schedules.  Investigators are strongly urged to coordinate their proposal schedule with the OSP as soon as the proposal deadline is known.

All proposals should be submitted to the OSP electronically and on a CD, flash drive or other USB mass storage device.

Proposal forms and guidelines are available on the Office of Sponsored Programs web page.

Helpful Hints for Proposal Writing

• Be original and innovative.
• Explain the significance of the work to be undertaken.
• Be sure that what you propose is possible and plausible.
• Follow instructions. Reviewers notice if you use a 10 point font when the instruction requires a 12 point font, it is imperative that sponsor guides be explicitly followed.
• Stay within the page limitations.
• Be sure that your budget is well-justified and that it adds properly.
• Proofread several times for errors and be sure to execute a spell check.

COMPONENTS OF A PROPOSAL

Most federal sponsors publish guidelines that list proposal requirements and instructions on how to prepare a proposal. They also require the use of specific forms, most of which can be obtained from this website.

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.  Questions concerning proposal requirements that are not addressed in the sponsor’s guidelines can usually be answered by OSP staff.  In general, both federal and non-federal sponsors require the following:
 

Cover or Title Page: This should include the title of the proposed project, name(s) and title(s) of the principal investigator and co-investigators (if any), proposed project period, dollar amount, sponsor, the date, and any required school or department signatures.  As the legal entity submitting the proposal on behalf of the investigator, NSU, with OSP’s address, should be used for the institutional address.

Introduction:  A brief description of the proposed project’s objectives, any direct or closely related work which may be in progress, and any other pertinent background information as required by the sponsor.

Table of Contents or index with page references.

Detailed Program Description, including an explanation of the objectives in clear and concise terms, and a description of the procedures to be followed in carrying out the objectives.

Description of Current Facilities and Equipment, and the percentage of time it will be available for the proposed project.

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, nonprofessional personnel should be listed by title or function only.

Curriculum Vitae of Key Personnel: Include only professional and academic essentials and avoid personal background information.

List of Principal Investigator’s Publications: Include only those that are relevant or significant to the proposed project.  The list should include items such as publications being printed, or invited lectures.

Budget with Justifications and Supporting Documentation, where appropriate.

Concurrent submissions: When the same proposal is being submitted to other sponsors a statement should appear in each proposal indicating that it is a concurrent submission.

List of Personnel’s Current or Pending Support: Indicate a) the source of support, b) project title, c) percent of effort; d) dates of project period, e) annual costs, and f) how this project does not overlap or duplicate projects supported by other funds.  The statement “No overlap” is considered insufficient by most sponsors.

If required, include letters of collaboration,  endorsement letters subcontractor proposals, and other supporting documentation.

Special requests or justifications: These could include: a change of principal investigator on renewal or continuation proposals, use of unexpected funds from a prior budget period, or the temporary absence of the principal investigator.

Certifications and representations and other forms that may be required.  These should be prepared by the department for signature by OSP.

Estimating Your Budget

It is crucial for investigators to closely follow the sponsor’s instructions when preparing a budget.  A competitive budget is one that will provide the sponsor with a complete financial picture of the proposed project. Budget should be allowable, allocable and reasonable.

A budget is reviewed by the sponsor to verify if the costs are reasonable and necessary to carry out the proposed project, and if it conforms to the sponsor’s instructions.  During award negotiations a budget is sometimes subjected to further analysis by the sponsor’s audit staff.  Investigators and department administrators should refer questions to the OSP staff.

Direct Costs

Typical budget categories include personnel, employee benefits, equipment, travel, materials and supplies (refer to OMB Circulars A-21, A-87, A-122, A-102, A-110, and A-133).  Some budgets may need categories for publication costs, consultants, or subcontracts.  In most instances the direct costs should be reflected by major budget categories with an attached narrative detailing how the costs were calculated.  The budget narrative should contain enough detail for the sponsor to verify the appropriateness of the costs.

Certain costs are unallowable on projects.  Unallowable costs, along with allowable costs, are explained in detail in Agency Guidelines.

In addition to the greater level of budget detail that may be required prior to making an award, some sponsors will perform their own audit or request an audit by the Defense Contract Audit Agency (DCAA), NSU’s cognizant audit agency.  The purpose of the audit is to verify costs and rates, and is the basis for which budget estimates have been determined.  In some cases an audit is conducted by telephone, while others involve on-site visits by a DCAA audit team.

Salary compensation should be based on the percent of time the employee will spend on the project.  Example: (monthly salary rate) x___% of effort x  number of months.  If the project is multi-year include a 5% annual increase.  Check with OSP for forward projections of increases.  Salary requests for non-University people should be listed under the category of “Consultants”.  Consultant payments are not salary or wage payments and should be listed as a separate line item under consultants.

Hours and/or rates and/or hourly rates are occasionally a requirement for proposals.  Always include the following note when reporting hours:

Hours – The estimate of hours and/or hourly rates are furnished solely for the purpose of this proposal.  It is understood that the University will be required to maintain a record of hours of effort under any resultant award.

A similar note should be included in proposals that require a cost by task or project breakdown.

Fringe Benefits are expenses directly associated with employment and are applicable to all University salaries and wages.  All full-time salaries carry a fringe benefit rate of 39%.  Part-time staff and wage payroll personnel benefits are 7.65%.

The following budget note may be used:

Facilities and Administrative Costs (Indirect Costs) are those costs that benefit common or joint objectives and cannot be identified readily and specifically with a particular sponsored program, instructional activity or other institutional activity.

In addition to direct costs, sponsored projects are also charged facilities and administrative costs.  Facilities and administrative costs are charged to a project by applying a percentage (the facilities and administrative cost rate) to the total direct costs of the project minus certain exclusions. Facilities and administrative costs rates are proposed annually by NSU to the Department of Health & Human Services using the federal cost principles detailed in OMB Circular A-21 (Cost Principles for Educational Institutions). 

The proposed rates are then audited by the federal government and negotiated by the University Controller with the government’s representative. The calculation results in a facilities and administrative cost rate that is applied to certain direct costs, in order to arrive at the indirect costs that are charged to a project.

The fixed rate for July 01, 2005 through June 30, 2008 is as follows:

On-Campus Rate: Total Modified Direct x 37% = F & A (Indirect costs)
On-Campus Formula: All direct costs, excluding capital expenditures (buildings, individual items of equipment in excess of $5,000.00, alterations and renovations) and that portion of each subaward in excess of $25,000.00 x 37%. The resulting balance x 37% = On-campus F & A (Indirect costs).

Off-Campus Rate: Total Modified Direct x 24.8% = F & A (Indirect costs)
Off-Campus Formula: All direct costs, excluding capital expenditures (buildings, individual items of equipment in excess of $5,000.00, alterations and renovations) and that portion of each subaward in excess of $25,000.00 x 24.8%. The resulting balance x 24.8% = Off-campus F & A (Indirect costs).
 

Cost-sharing

Under certain circumstances it may be appropriate or required for NSU to share the costs of a project.  Cost-sharing under a federal program is subject to Office Management and Budget (OMB) Circular A-110 (Grants and Agreements With Institutions of Higher Education, Hospitals, and Other Nonprofit Organizations: Uniform Administrative Requirements). 

A-110 stipulates that the cost-sharing must come from non-federal sources and contribute directly to the proposed project.  Proposals listing cost-sharing should explain how the cost-sharing commitments will be met.  The actual cost-sharing is auditable and subject to verification.  Cost-share commitments should be discussed with OSP and department head well in advance of the proposal deadline.

Sponsored Program Responsibilities

OSP is available to assist as needed the investigator/director and/or unit in any phase of proposal preparation.  Proposals are carefully reviewed to ensure that they comply with all University, sponsor, 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:

• Proposal format and content must comply with sponsor guidelines;
• Budget must reflect adequate resources and costing detail to accomplish the project and complies with sponsor, University and State guidelines;
• Review of IAF for appropriate signatures and investigator compliance with relevant special reviews;
• Verification of cost-share commitments and/or matching funds;
• Verification of documentation for subcontractor and/or consultants; and
• Review and signature of certifications and representations, OSP then prepares a transmittal letter and forwards the proposal as appropriate.

University Policy Considerations

Research to be conducted by NSU and one or more other parties as a joint venture or partnership will occasionally raise questions concerning the legal relationship and liability of each party.  When such questions arise OSP will review the arrangement and/or special concerns with University Counsel, unless the arrangements are clearly intended to establish a traditional contractor-subcontractor, consortium, or joint study relationship.  Investigators/directors cannot contractually commit the University. When NSU is the lead institution OSP requires a statement from each participating organization that includes a full cost budget and scope of work.

  A sample subcontract agreement can be downloaded in word format.

In the case of consortiums/joint proposals a Teaming Agreement may be needed.  A Teaming Agreement is a document that shows whereby a prime contractor and subcontractor agree to combine resources to partner on a major opportunity. Typically, this agreement includes the actual bid of the subcontractor as an exhibit.

  A sample agreement can be viewed in Word format.
  A sample agreement can be viewed in pdf format.

Non-Disclosure Agreement

In instances where confidentiality is an issue a confidentiality agreement, also known as non-disclosure agreement (NDA) is needed. NDAs are agreements by which one or more parties, standing in a confidential relationship to each other, promises to keep secret certain information acknowledged by the parties to be confidential or trade secrets. A non-disclosure agreement shows a recipient's rights and obligations in respect to confidential information.

  A sample agreement can be viewed in Word format.
  A sample agreement can be viewed in pdf format.

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. NSU 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.  Questions concerning the use or status of an independent contractor should be directed to your OSP well in advance of the proposal deadline.

Contracts

At the time of proposal submission a sponsor will often require an indication of what terms and conditions will be acceptable to NSU in the event of an award.  Exceptions to a sponsor’s terms and conditions are addressed by the OSP in a transmittal letter.  For commercial sponsors OSP will often include a copy of the standard NSU agreement.  Investigators who are aware of special sponsor requirements should discuss them with their OSP well in advance of the proposal deadline. NSU 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; and, there are no restrictions on the dissemination of the research results except: 1) those that relate to the protection of a sponsor’s proprietary information; 2) the rights of privacy of individuals; or 3) establishing rights in patentable inventions and other intellectual property.

Limited Proposal Submissions

Some sponsors limit the number of nominations or proposals that NSU may submit to a particular program.  When this situation occurs OSP will carefully base their decision on who gets to submit on who sends in their proposal first, the quality of both submissions and input from appropriate Vice Presidents.

SPECIAL REVIEWS

Intellectual Property

Intellectual property is addressed in the terms and conditions negotiated by OSP when accepting an award.  For most awards NSU will retain ownership of intellectual property developed on sponsored projects in order to avoid conflicting commitments to various sponsors.  In the case of patents, policy requires the University to retain ownership unless a special waiver is approved.

  The Intellectual Property agreement can be pulled in Word format.
  The Intellectual Property agreement can be pulled in PDF format.

Animals

The use of animals, either for research or instruction, must be reviewed and approved by the Institutional Animal Care and Use Committee (IACUC).  Some sponsors require that approval be obtained prior to submission of a proposal, or within a specified time after submission.  If required by a sponsor, OSP will forward animal protocol to the IACUC Committee for action.  In no case may animals be purchased, utilized, or handled without formal prior IACUC approval.

  Institutional Animal Care and Use Committee Policy

Human Subjects

The Human Subjects Protection Committee, as required by Federal law, acts as the institutional review board for research on human subjects at NSU regardless of the source of funds.  All uses of humans as subjects (including survey respondents) must be reviewed and approved by the Human Subjects Protection Committee prior to starting the research.

  Guidelines for Submitting Protocols to the Institutional Review Board (IRB)

Resources & Links:

           Human Subject IRB Form Internal OSP Form 103  
           Human Subject IRB Form External OSP Form 104     

Scientific Misconduct

The Scientific Misconduct Policy can be downloaded in Word format.

OSP staff will place major importance on fostering a research environment that discourages misconduct in research efforts as outlined in (42 C.F.R. Part 50, Section 105) as well as encourage researchers in cultivating new and innovative research ideas.

Proposal Processing Channels

After Campus/Unit review and approval (as evidenced by the signatures on the IAF), proposals are submitted to the Office of Sponsored Programs.

OSP reviews the proposal and budget and the PI/PD secures the required authorized University signatures.

OSP assigns a number to the proposal for data entry and submits the proposal to the sponsor as per instructions on the RFP, RFB, RFQ, and BAA.

Principal Investigator’s/Project Director's Responsibilities

The PI/PD must maintain contact with the sponsor’s technical monitor and comply with all technical reporting requirements.  The PI/PD must also initiate correspondence with the sponsor’s administrative or contract monitor to request programmatic or budgetary changes.  All such requested revisions should be routed through OSP for appropriate approval signatures.

COMMONLY REQUESTED FACTS

Table IV