Types of Proposals

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 are described below.

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.

Letters of Intent, 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 (ORSP) assists faculty and staff in identifying funding sources and maintains a comprehensive electronic collection of sponsor guidelines.  They include generalized and special interest grant directories and other publications that enable clients to locate potential sponsors.

The Office of Research and 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. 

They include:

• Foundations
• Corporations
• Federal government agencies
• State government agencies
• City government offices
• County government offices
• Institutes of Higher Education

Potential proposal developers may have an idea and sometimes may have a fully developed proposal in hand but they do not have a funding source.  It is the responsibility of the Office of Research and Sponsored Programs to review the proposal and then recommend  funding sources that may best fit the concept of the proposal. 

There are various databases available to the faculty and staff at BSU, 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 with the acquisition of the needed information.

The Office of Research 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, coBSUmer safety tips, crime news, video, and audio.

Proposal Development and Submission

Requests for Proposals (RFP's) are announcements in which potential sponsors predetermine activities to be funded along with methodology and related technical matters. RFP's from government agencies will appear daily on this website. A "statement of work", guidelines and instructions, agency contact personnel and submission deadlines are also included in the RFP. Once you receive the RFP you can begin to write your proposal remembering to follow statement of work and all other guidelines/instructions in the announcement.

When responding to an RFP, RFQ, NRA, BAA or RFB with the proposed terms and conditions stated in the solicitation the investigator should notify ORSP by completing and submitting an Intent to Submit form. The investigator should also  forward a copy of the solicitation to the ORSP 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.
• If any of the above-mentioned research is applicable the necessary form should be completed.  The forms can be downloaded from the Office of Research and Sponsored Programs webpage.
• Identify potential intellectual property products. 
• 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.

Once you have addressed the above concerns and completed your proposal you should complete execution of the Application Proposal Cover Sheet (APCS), including appropriate signatures. 

The internal approval form must accompany every proposal submitted to ORSP.  The IAF provides ORSP 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 APCS and, by signing it, accept full responsibility for the project. The APCS 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 APCS 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.

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

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

Helpful Hints for Proposal Writing

Your plans or goals should be written in a clear and concise manner.

• 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

Format and Content

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.

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 ORSP 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, BSU, with ORSP'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 the quick reference guide.

Salary compensation should be based on the percent of time the employee will spend on the project.  If the project is multi-year include a 5% annual increase.  Check with ORSP for forward projections of increases.  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 32%.  Part-time staff and wage payroll personnel benefits are 8%.

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 for salaries and fringes. Facilities and administrative costs rates are proposed annually by BSU to the Department of Health & Human Services using the federal cost principles detailed in OMB Circular A-21 (Cost Principles for Educational Institutions). 
 

Cost-sharing

Under certain circumstances it may be appropriate or required for BSU 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 ORSP and department heads well in advance of the proposal deadline. A cost sharing form must be completed.

Sponsored Program Responsibilities

ORSP is available to assist as needed the investigator/director and/or unit in any phase of proposal preparation.  Proposals are by 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 a competition.  Proposals are reviewed for the following criteria:

• Proposal format and content must comply with sponsor guidelines;
• Budgets must reflect adequate resources and costing detail to accomplish the project and comply with the sponsor, University and State guidelines;
• Review of 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, ORSP then prepares a transmittal letter and forwards the proposal as appropriate.

University Policy Considerations

Consortiums/Joint Proposals/Subcontract Agreements

Research to be conducted by BSU 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 ORSP 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 BSU is the lead institution ORSP requires a statement from each participating organization that includes a full cost budget and scope of work.

Teaming Agreement

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.

Non-Disclosure Agreement

In instances where confidentiality is an issue a confidentiality agreement, also known as a non-disclosure agreement (NDA) is needed. NDAs are agreements by which one or more parties, standing in a confidential relationship to each other, promise 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 with respect to confidential information.

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. BSU 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 the ORSP 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 BSU in the event of an award.  Exceptions to a sponsor's terms and conditions are addressed by the ORSP in a transmittal letter.  For commercial sponsors ORSP will often include a copy of the standard BSU agreement.  Investigators who are aware of special sponsor requirements should discuss them with their ORSP well in advance of the proposal deadline. BSU 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 BSU may submit to a particular program.  When this situation occurs ORSP will carefully base their decision on who gets to submit a proposal on a first come, first serve basis the quality of a submission and input from the Dean of area director

SPECIAL REVIEWS

A number of internal review and approval procedures may be required before a proposal submission, or before an award can be accepted by the university.  All necessary reviews and approvals should be initiated before ORSP's proposal review process, thereby avoiding last minute delays.

Intellectual Property

Intellectual property is addressed in the terms and conditions negotiated by ORSP when accepting an award.  For most awards, BSU will retain ownership of intellectual property developed on sponsored projects in order to avoid conflicting commitments to various sponsors.  In the case of patents, the University will follow the University System of Maryland policy.

BSU prefers to retain ownership of copyrights.  In some instances BSU will allow the sponsor to own the copyright on deliverable reports, while retaining the right of use for University purposes.
 

Human Subjects

All uses of humans as subjects (including survey respondents) must be reviewed and approved by the Institutional Review Board (IRB) prior to starting the research.    

Proposal Processing Channels

Approval is evidenced by signatures on the proposal and on the University's Application Proposal Cover Sheet (APCS).  After the Principal Investigator (PI)/Project Director (PD) and any co-investigators have signed the final version and signed the APCS, the proposal must be approved by the Department Head and Dean and forwarded to ORSP.

ORSP 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 University assumes legal responsibility for funded projects and the PI is responsible for the management, activities, and technical reporting activities.

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 ORSP for appropriate approval signatures.