Office of Research Administration - Office of Research Administration

PREPARING YOUR PROPOSAL

Thoroughly read the program announcement and agency guidelines. The program announcement contains valuable information about format and timing of submissions. When reading the guidelines, pay careful attention to additional requirements for cost sharing, special approvals, letters of support/commitment, and special restrictions on the program.

The requirements for content and format of proposals differ markedly among the various sponsoring agencies. Some require the use of preprinted agency forms, while others will accept a proposal in any format that presents all of the required information. The proposal document represents a plan of work that will be evaluated by the sponsor for its merit and potential funding. The principal investigator is responsible for the technical content of the proposal, proposal budget, and for compatibility of the proposed research with other professional duties. It is important to remember that if a project is funded the sponsor will expect the work to be carried out substantially as proposed.

Prior to submission of your proposal, you will need to obtain the review and approval of your departmental Chair and college Dean. Completion of the Electronic Grant Application (EGA) is required as the routing mechanism for proposal approvals. You will need to attach all documents required and route them with the EGA electronically to the Grants Officer assigned for your sponsor. The Vice Provost for Research has institutional authorization to submit proposals on behalf of Oakland University.

The Office of Research Administration has put together a report to assist researchers in the grant application process regarding facilities and resources available at OU. If you would like to review this information, contact Sue Willner at (248) 370-4111 or willner@oakland.edu.

Generally, every proposal should include the following:

1. Title Page
2. Technical Abstract
3. Table of Contents
4. Introduction
5. Objectives
6. Methods and Procedures
7. Dissemination of Findings
8. Evaluation Plan
9. Equipment and Facilities
10. Budget and Budget Justification
11. Biographical Data or Curriculum Vitae
12. References
13. Appendices or Supplementary Documentation
14. Institutional Approvals and Other Required Certifications

Title page

Unless a specific format is supplied by a sponsor, the following information should be included:
The name of the entity to which the proposal is being submitted
The name of Oakland University
The title of the proposed project
The name of the principal investigator and any co-investigators, with the school and departmental affiliation of each with Oakland University
A place for the principal investigator's signature, a place for the signature of the Vice Provost for Research
The date of submission and the proposed project period

Certain standard information about Oakland University, e.g., legal address, taxpayer identification number, DUNs number, can be found on the GCSR website www.oakland.edu/research under General Information.

2. Technical abstract

Depending on the scope and complexity of a project, an abstract may be of assistance to a prospective sponsor. The technical abstract should be a condensed version of the project, usually no more than 250 words. State concisely the significance of the project, what is expected to be accomplished and how, and the period of performance of the project.

3. Table of Contents

Including a table of contents, list of tables and figures may assist the proposal reviewer.

4. Introduction

The introduction (statement of need) emphasizes the importance of the project. The relationship of the project to the interests of the funding agency may be stressed here and should emphasize related research.

5. Objectives

6. Methods and Procedures

This section details how the research will be carried out. The procedures may be written in several different ways, i.e., by activities tied to specific procedures, by functional categories such as planning, development, and implementation, or by major time blocks or activity phases.

The problem should be stated as specifically as possible. The importance and rationale of the proposed research should be well specified. It is important that the objectives, both general and specific, are well conceived based on related research. If the objectives are ill-defined, it may be due to an inadequate timeline or budget.This section details how the research will be carried out. The procedures may be written in several different ways, i.e., by activities tied to specific procedures, by functional categories such as planning, development, and implementation, or by major time blocks or activity phases.

If the sponsor limits the number of narrative pages, consider the use of tables or graphs in the appendix to conserve space. Some sponsors have limitations on use of appendices and what they may contain. Additional justification for unusually expensive or specialized equipment can be cross-referenced in this section to reinforce the budget request.

7. Dissemination of Findings

While research projects generally result in published papers in professional journals, many agencies require additional means of disseminating results. A statement of how this is to be done should be included.

8. Evaluation Plan (if required by sponsor)

Some projects may require inclusion of a plan for evaluation of the success or progress of the project.

9. Equipment and Facilities

Most proposals should include a section on equipment and facilities available to the research project. Major items of equipment which are being requested are need to be clearly identified and their need described. The Office of Research Administration has put together a report to assist researchers in the grant application process regarding facilities and resources available at OU. If you would like to review this information, contact Sue Willner at (248) 370-4111 or willner@oakland.edu.

10. Budget and Budget Justification (Refer to detail on preparing budgets by clicking on the link below)

For modular budgets, a budget justification is required that includes effort commitment of key personnel, anticipated supply items restricted under A-21, equipment, and subawards. A-21 restricted items that do not accompany the original budget with adequate justification will not be approved after the award.

Preparing your budget

11. Biographical Data or Curriculum Vitae

Biographical information should be submitted with every proposal to indicate the background, areas of interest, research capabilities, and publications of the principal investigator and other professional investigators. Federal sponsors may require a specific format for preparation of biographical data.

12. References

Proposals should include a list of references to pertinent literature in the field. The list should be as current as possible at the time the proposal is prepared, and should cite the most recent advances in the field.

13. Appendices or Supplementary Documentation

Appendices may be used to indicate data of peripheral benefit to the research, e.g., reprints of articles, subaward data, letters of support, tabular data, and graphs. Sponsors often limit the length and type of information that may be included within the appendix. As of April 7, 2008, NIH funded peer-reviewed articles accepted for publication must be made available on PubMed Central within 1 year of publication. For NIH submissions of renewals or new applications after May 25, 2008, you will need to provide the PubMed Central ID number for publications funded by NIH.

14. Institutional Approvals and Other Required Certifications

All proposals submitted to external funding agencies require the review and approval of Oakland University. The Vice Provost for Research is the institutional official recognized with authority to submit proposals on behalf of Oakland University. Federal agencies require a number of representations and certifications which also must accompany each proposal. Some agencies such as NIH and NSF have incorporated these in their forms while others such as DOD, NASA, DOE and EPA have separate certification forms which must be completed by the Office of Research Administration. Principal Investigators are not authorized to sign proposals or contracts binding the university to a commitment of resources or performance. As part of the university's internal application process and as required by many sponsoring agencies, the principal investigator, must certify that the information submitted within the application is true, complete and accurate to the best of his/her knowledge; that any false, fictitious, or fraudulent statements or claims may subject him/her to criminal, civil, or administrative penalties; and agree to accept responsibility for the scientific conduct of the project and to provide the required progress reports if a grant is awarded as a result of the application.

PREPARING A REASONABLE BUDGET ESTIMATE

The principal investigator must estimate the costs of performing the research and provide adequate justification of those costs. Oakland University Grant Officers are available to assist the principal investigator and business administrators in preparing a realistic budget. Contact the GCSR Office at (248) 370-2762 with proposal preparation questions.

Personnel Wages and Benefits

To determine total salaries and wages, list the percentage of effort to be spent by each person who will work directly on the project. Effort should be shown in terms of percentage of full-time effort, person-months, hourly rate, or other basis as required by the sponsor. The proposed effort must reconcile as a proportionate share of base salary and cannot exceed this amount. For individuals paid on an academic year basis, show a breakdown between academic year and summer effort.

Some cautionary notes on personnel budgeting:

Clerical or administrative personnel are generally unallowable as direct charges to a federally sponsored project.
Sponsor funded activities will not result in any Oakland University employee receiving compensation at a rate in excess of authorized salary.
You must use the fringe benefit rate for the applicable employee class as authorized under Oakland’s federally negotiated rate agreement OU Rate Agreement.
Graduate research assistants receive tuition and may be eligible for tuition incentives funded by the Vice Provost for Research. Tuition assistanceship is considered cost sharing and will be counted towards fulfillment of a sponsor-mandated match commitment. If a match is not required by the sponsor, tuition should be proposed as sponsor funded. Tuition assistance is provided based on funds availability. You will be notified by the Grant Officer to apply for available tuition assistance if the proposal is awarded.

Materials & Supplies

A research project will usually consume expendable supplies and minor equipment such as laboratory items, instructional materials, animals, laboratory notebooks, etc. A reasonable amount should be budgeted for these items. Office supplies are normally unallowable under federal awards unless specifically requested and justified as a programmatic need, i.e., a survey would require paper and envelopes. The purchase of computers for research purposes must also be justified in the proposal as directly related to the project and used exclusively for research purposes. Purchase of computers subsequent to the proposal without original justification will not be allowed as a direct charge. Refer to the Oakland University Guidelines on A-21 restricted expenditures for additional guidance.

Travel

Reimbursement for travel expenses is subject to sponsor requirements and Oakland University Administrative Policy and Procedure #1210. Many sponsors request specific data on each proposed trip, including destination, transportation costs, number of days of travel, and purpose of each trip. Domestic travel within the U.S. and Canada should be separately budgeted from foreign travel. All foreign travel on federally funded projects must utilize US flag air-carriers whenever possible regardless of cost or convenience. Refer to the Oakland University Guidelines on Travel Regulations for additional information on this topic.

Equipment (excluded from indirect costs for MTDC)

Capitalized equipment is university-owned equipment with a cost of $5,000 or greater and a useful life of more than two years. All equipment purchases must be reported to the Property Office upon acquisition or prior to disposal (248) 370-4220. Proposals outlining equipment purchases must be supported with a justification of the need and how the amount was derived. Equipment purchases proposed in excess of $50,000 require a vendor quote to substantiate the amount proposed.

Consultants

By definition, consultants are not employees of the University. Consultants should be budgeted only for tasks where on-campus expertise does not exist or is not readily available. Normally, consultants are paid a fee plus travel and other expenses. If travel is included in the fee, you will need to indicate this. In all cases, consultants should be contracted at a reasonable rate. In rare circumstances consultants are employees, when this occurs, consultants must be across academic disciplines and should be incorporated as personnel with applicable fringe benefits in the budget. A Personal Services Agreement should be completed for consultant costs. Refer to Oakland University Policy #262 for guidelines on consultants.

Participant Support Costs (excluded from indirect costs for MTDC)

Support for participants to attend conference/workshop program is provided for some sponsored programs. Participant support is defined in the funding announcement and does not include the personnel or travel costs associated with University personnel.

Subawards (Greater than $25,000 is excluded from indirect costs for MTDC)

Subawards are issued to complete a substantive portion of research or other programmatic activity. Subawardees must provide the statement or scope of work, budget, period of performance, negotiated F&A agreement to verify the indirect costs proposed, and the signature of a representative authorized to contractually commit the institution that can be in the form of a letter of intent. A subaward should be justified in the proposal as a necessary substantive portion of the research or other programmatic activity.

Other Direct Costs

Animal housing per diem, publication charges, reprints and page charges, postage (allowable as a direct charge ONLY when the scope of work includes recruitment of participants or surveys), equipment maintenance, long distance phone charges, campus services, etc. These charges should be anticipated and described as part of the budget narrative.

Facilities and Administrative Costs (F&A)

Facilities and Administrative (F&A) costs, also called overhead or indirect costs, reimburse the Oakland University for laboratory and office space, utilities, administrative services, library services, building, grounds, street and parking lot maintenance. In other words, it includes those things essential to support sponsored activities which are difficult to identify as a direct charged to a specific research grant or contract.

F&A cost percentages are determined periodically from actual cost records through a detailed cost accounting procedure and are audited and approved by the federal government. Full F&A costs should be charged on all projects, the only exceptions being for those sponsors that have a published policy that limits indirect cost recovery. Any exceptions to full F&A cost recovery must be approved by the Vice Provost for Research. The most recently negotiated on-campus rate is 48.0% for modified total direct costs (MTDC) or 26% off-campus MTDC. Other bases may be used for non-federal sponsors, i.e., total direct cost. MTDC excludes F&A on tuition, NIH trainee stipends, rent, equipment, participant support, and the portion of any subaward that exceeds $25,000.

Cost Sharing

Some sponsors require a contribution to the total cost of the project as mandatory cost sharing. In addition to mandatory cost sharing, any contribution to a project included in the proposal, either in the budget as university funded effort or within the proposal narrative will be considered voluntary committed cost-sharing which Oakland University must document. After-the-fact cost share (voluntary uncommitted) to a project that is not proposed is not required to be documented. At the proposal stage, the fund to which mandatory or voluntary committed cost sharing will be charged must be identified and approved by the Department Chair and the Vice Provost for Research.Cost shared direct costs should also include the associated F&A costs when determining the total amount of cost sharing committed in the proposal. Federal sponsors must pre-approve waived F&A as cost sharing. Oakland University discourages cost sharing unless mandated by the sponsor.