Drake University Sponsored Programs

Acronyms and Abbreviations

List of Tables and Figures

1.0 Introduction

This manual provides an introduction to grants and contracts management at Drake University. The offices of Sponsored Programs and Grants Accounting (sometimes jointly referred to as “the Grants Office”) prepared the Grants and Contracts Manual as a guide for investigators seeking funding for creative, scholarly, service, or research endeavors and for those seeking assistance with managing awards. The manual is available online and is organized as follows:

1. Introduction—introduction to the Office of Sponsored Programs (OSP) & Grants Accounting and a brief overview of externally funded programs at Drake University
2. Proposal Development—information on identifying funding sources, writing proposals, and preparing budgets
3. Regulatory Compliance and University Review—overview of research and sponsored programs compliance issues, related University policies, and issues that require University review and approval
4. Application Process—information on using the Drake University Proposal Routing Form and obtaining signatures from the proper University authorities
5. Awards and Rejections—information on accepting awards and managing rejections and an introduction to post-award management issues that involve the Grants Office
6. Roles and Responsibilities—summary of roles and responsibilities of Principal Investigators and Project Directors, the Office of Sponsored Programs & Grants Accounting, department or unit administrators, and others in the grants and contracts management process
7. References—list of references used in preparing the manual

1.1 The Office Of Sponsored Programs (OSP) & Grants Accounting

The mission of the OSP & Grants Accounting offices at Drake University is 1) to provide members of the Drake University community with the services and resources they need to successfully obtain and manage funding for their creative, scholarly, service, and research endeavors; and 2) to protect the interests of the University, Departments, and faculty by ensuring compliance with sponsor rules and regulations. Our services and resources are aimed at assisting investigators and program directors with the following:

• Identifying funding sources
• Developing proposals
• Preparing budgets
• Coordinating institutional review and routing
• Accepting awards
• Establishing fund numbers and accounts
• Handling post-award negotiations with granting or contracting agency
• Issuing subcontracts and contractual agreements
• Invoicing grantors and completing financial reports
• Ensuring compliance with internal and external policies and regulations

The OSP and Grants Accounting staff work together to provide these services. Below is an organizational chart that distinguishes pre- and post-award responsibilities.

1.2 Research and Sponsored Programs at Drake University

Drake University's Mission is to provide an exceptional learning environment that prepares students for meaningful personal lives, professional accomplishments, and responsible global citizenship. The Drake experience is distinguished by collaborative learning among students, faculty, and staff and by the integration of the liberal arts and sciences with professional preparation. In support of Drake's mission, the Offices of Sponsored Programs & Grants Accounting are dedicated to assisting Drake faculty and staff in the preparation, submission, and fiscal management of proposals that support research and scholarly activities in accordance with sponsor and University policies.

1.2.1 Types of Funding

Research endeavors and training programs at Drake University are supported with various types of funding. A general overview of funding types is provided below.

1.2.1.1 External Funding

Sponsored Programs—Externally funded programs (e.g. research, program development, public service, and training) at Drake University are supported by grants, contracts, and cooperative agreements funded by government agencies, foundations, associations, industry, and other external sources. The Office of Sponsored Programs (OSP) is the primary office responsible for accepting grants and processing contracts and cooperative agreements on behalf of the University in support of specific projects developed by University investigators. The following are characteristics of sponsored-program funding:

• Funding is given to the University in response to a proposal submitted by an investigator.
• The University enters into an agreement with the sponsor regarding how funds are to be spent and accounted for.
• The sponsor usually requires progress reports and may require other deliverables.
• Project work is subject to guidelines and regulations of the sponsor.

1.2.1.2 Internal Funding

Internal funding is also available to support research and other scholarly activities at the University. Internal funding programs provide faculty with the opportunity to begin building a track record in their area of interest. Successful administration of internally funded projects will help new investigators establish the credibility they need to obtain funding from external sponsors. Faculty should contact the associate provost's office for more information on internal funding opportunities.

1.2.2 University Research Oversight Committees, Boards, and Offices

Several University committees, boards, and offices contribute to the administration of research and sponsored programs at Drake University, as summarized in Table 1.

1.3 Grants Information Privacy Policy

Because grant and contract proposals may contain proprietary information, such as specific salary data, it is the policy of Drake University and the Office of Sponsored Programs to treat all grant and contract proposals as confidential documents. The OSP will not share copies of grant or contract proposals with Drake personnel or with other institutions without explicit permission from the Principal Investigator or Project Director. Likewise, any person who is involved in developing or reviewing a grant or contract proposal must treat the proposal as confidential and must not distribute copies of the proposal within the Drake community or with other institutions without first obtaining explicit permission from the Principal Investigator or Project Director.

Table 1.  University Research Oversight Committees, Boards, and Offices

2.0 Proposal Development

The proposal development process includes much more than writing the project narrative. It includes developing and researching your idea, determining availability of University resources and support, identifying partners (as needed), identifying funding opportunities, writing the proposal, preparing the budget, obtaining necessary reviews, and routing, copying, and mailing the final proposal package. Detailed information about the proposal development process is provided in this section.[1] An overview of the process is presented in Figure 1.

2.1 Conducting a Preliminary Self-Assessment

Before you begin identifying funding sources or writing your proposal, you may want to conduct a preliminary self-assessment to help you get started on the right track. Use the questions below to help clarify your goals and increase your chances of developing a successful proposal.

If your proposed project will require a significant team effort, establish the team early and discuss the following questions with the whole team, encouraging brainstorming and collaboration from the beginning.

2.1.1 Assessing Your Background

• Are you ready to submit a proposal? If not, what do you need to do first?
  If your proposal idea stems from recent work, take time to compile a data packet or write a summary and submit it to a professional journal for publication, if you haven’t already done so.

  If you are planning a program that will require involvement of other University departments or community organizations and you have not yet established a planning team, make that your first priority.

• Do you have a record of publication in the subject area of your proposed project?
  Reviewers are looking for a proven track record of success. If you have not yet established a successful track record in the subject area of your proposed project, consider teaming up with a senior investigator in that field or consider partnering with another department or organization.

Proposal Development Pathway

rethink idea	Develop Idea (Section 2.1) Conduct lit search or environmental scan Discuss idea with department chair and dean Discuss idea with the OSP Identify research compliance issues that will need to be addressed (Section 2.1.4)	rethink idea
	Does your idea address a gap or need identified in the literature? Yes If your idea will require significant commitment of University resources, do you have University support and approval for committing those resources?
Yes	IDENTIFY FUNDING SOURCES (SECTION 2.2) Research funding opportunities Select appropriate sponsors and obtain sponsor guidelines	No
Does Drake have any restrictions on submitting to the selected sponsor? (Ask OSP) No Read all application guidelines thoroughly Do you and your project meet sponsor requirements and funding priorities? Yes

PREPARE BUDGET (SECTION 2.4) Follow guidelines carefully Allow time for the OSP review		WRITE PROPOSAL (SECTION 2.3) Follow guidelines carefully Allow time for internal peer review and review by the OSP
COMPLETE SPECIAL REVIEW CHECKLIST (SECTION 3.0) Identify elements that require special review and allow time for reviews Obtain necessary reviews		Review for compliance with guidelines
SUBMIT PROPOSAL (SECTION 4.0) Coordinate final copying and send proposal to sponsor, making sure to allow adequate time to meet the deadline		ROUTE PROPOSAL (SECTION 4.0) Submit completed proposal and budget with a Proposal Routing Form and other necessary paperwork to the OSP for review and routing

• Do you have convincing evidence that you are a qualified applicant?
  Again, take a look at your track record. In many cases, you may be qualified to conduct most, but not all, of the project work. In these cases, identify collaborators for that part of the research or program which is outside your area of expertise. For example, you may be well qualified to collect data on your proposed topic but may not have the expertise to perform the necessary statistical analyses of the data. In this case, you would want to identify a qualified statistician to perform statistical evaluation of the data.

• How much effort will you be able to commit to the project if it is funded?
  Reviewers are interested in knowing how much time you will be able to commit to a project.  If you are already juggling several commitments and won’t be able to commit an adequate percentage of your time to the project if it is funded, consider reducing your other commitments to accommodate the time your proposed project will require.

  If you are working with a project team, ask team members to determine what resources their organizations will be able to commit to the project, including how much staff time will be available for the project. Clarifying expectations up front is essential to successful project planning, implementation, and evaluation.

• Does the proposed project support your career goals?
  Reviewers look for continuity in an investigator’s career, and they reward expertise. Choose research projects that support your career interests and goals.

• Does the proposed project support the goals of participating organizations?
  Reviewers look for continuity and commitment in organizational programming. Choose funding opportunities that will help you and your partnering organizations reach your common goals.

2.1.2 Assessing Your Idea

• Is your idea valid and clear?
  To test the clarity of your idea, write it out in the form of one testable hypothesis or primary objective. Then write three or four clear and concise specific aims. If you have more than one idea, do this exercise for each of your ideas. Note how your ideas differ and where they overlap. Keep these differences and similarities in mind when you start looking for potential sponsors, and think about how you can frame your idea in a way that reflects a particular sponsor's objectives.

  If you are working with a team to develop ideas, brainstorm with the team and then work together to define a clear purpose. Refer to the legislative purposes or goals of the sponsor to help the team focus ideas in the initial design phases of the project.

• Do you know the literature in your area of study? Is your idea significant? Is your idea innovative?
  It is very important to take time to familiarize yourself with the most recent work being conducted in your field and to cite recent work in your proposal. Sponsors are looking for projects that will expand knowledge or use an innovative approach. To be sure your idea does not duplicate work that is already being conducted at another institution - or is already being funded by the sponsor - you must be familiar with current work in your field. Think about how your project is important and innovative in relationship to your field and in a broader context.

• Does your idea support departmental and University goals?
  Talk to your department chair or dean to see how your idea fits in with departmental and University goals. Sponsors may look for evidence of institutional support - and you will have institutional support if your idea supports ongoing goals of your department and the University.

2.1.3 Assessing Your Physical and Intellectual Environment

• What facilities will you need for your proposed project? Are the necessary facilities available?

  Once you've identified what University facilities you will need, your dean's office and department chair will help you determine availability.

  If you plan on using facilities of one of your partnering organizations, clearly communicate your needs to the organization to ensure facilities will be available as needed.

• What special advantages or resources are available for this research? Do you have experience using these resources?

  Think about what Drake University has to offer in support of your research or program. Resources may include special laboratory equipment, particular library collections, complementary programs, or the expertise of colleagues. List examples of your experience with these resources. (You may need to get University approval before you commit the University to providing certain resources to your research project; see Section 3.5 for more information).

  If your proposed program requires collaboration, explain what special advantages or resources your partners have to offer in support of the program and describe any past experience you have working with your partners.

• Who is qualified and available to collaborate on the proposed project?

  Consider who you will need to help you accomplish your proposed project. Find out if and when those personnel will be available. If you would like assistance identifying Drake personnel who may be interested in collaborating with you on a proposed project, contact the OSP. The OSP can help identify faculty who share your research interests or have complementary research interests.

  If at any time during the planning of a program your team identifies other people or organizations that should be involved in the program, contact them, determine their availability and willingness to participate, and invite them to join the planning team.

• Who is qualified and available to review the proposal?

  Identify colleagues who can provide you with constructive criticism on your proposal. Choose reviewers who are experts in your field to provide feedback on the technical aspects of your proposal, and choose reviewers who have proposal-writing experience to provide feedback on the structure of the proposal itself. The OSP is also available to review and edit your proposal and/or provide advice on writing and developing a proposal.

• What type of institutional support is available for your proposed project?

  You have already identified University facilities and resources that you will need. Think about other types of University support that may be available. For example, the University may be able to provide matching funds for your project. (University approval is required for matching funds; see Section 3.5.)

2.1.4 Addressing Research Compliance Issues

• Does your proposed research include elements that will require special review?

  If your proposed research includes human subjects, vertebrate animals, radioactive materials, radiation-generating equipment, lasers, or biohazardous materials such as recombinant DNA or infectious biological agents, special review is required (Section 3.2). You will need to allow adequate time for review. If you are unsure whether or not your proposed project will require special review, contact the appropriate regulatory office or committee (Table 1) or the Office of Sponsored Programs for assistance.

• Are relevant safety authorizations in place?

  Evaluate your idea and identify any areas that will require special safety authorizations. For example, if your proposed project includes the use of radioactive materials, you will need to ensure that you and all staff working on the project obtain appropriate training and authorization (Section 3.2.4). If you are unsure whether or not your proposed project will require special safety authorizations, contact the appropriate regulatory office or committee (Table 1) or the OSP for assistance.

2.2 Identifying Funding Sources

Once you have completed a preliminary self-assessment and decided that you are ready to prepare a proposal, you will need to identify potential funding sources. The funding sources you choose will depend on your experience, the financial scope of your proposed project, the type of project you propose, and your subject area. Select potential sponsors whose needs and priority interests match your project goals.

Grants, contracts, and cooperative agreements are available from a variety of sponsors, including government agencies, private and corporate foundations, and industrial programs. Links to sponsoring agencies and an online database of potential sponsors is available on the OSP website. In addition, you may find funding opportunities listed in newsletters and journals of your own academic discipline, and in The Chronicle of Higher Education. Drake currently subscribes to the Foundation Directory Online Platinum database. This is a comprehensive database that includes U.S. foundations, corporate giving programs and grant making public charities. This database offers extensive program details for 1,500+ leading foundations; detailed application guidelines for 7,200+ foundations; and sponsoring company information for corporate givers. This service also includes a searchable file of more than half a million grants. The Trustees, Officers, and Donors search field and its corresponding index allow users to search among over 350,000 trustees, officer and donor names. Contact the OSP if you would like a search performed on this database.

The OSP will assist in your search for appropriate funding sources and will try to keep you informed of recent developments in the funding environment. Drake faculty are encouraged to come to the office with ideas that could be matched with "potential" funding sources.

We also encourage you to conduct your own search for funding opportunities. Because you are more familiar with your research or program goals, you may find opportunities that the OSP staff - whose knowledge of your work is often limited to a few key words - may not recognize as being relevant to your research. Also, you may hear of funding opportunities through your professional connections or publications before such opportunities are published in the large funding databases. We also suggest that you review the publications in your literature searches to determine who has funded the work; these sponsors may be a good source of funding for your projects as well.

Please contact the Office of Sponsored Programs when you have identified the sponsors to whom you plan to submit proposals. Occasionally, sponsors have restrictions on the number of proposals they will consider from one institution, and it is important to make sure that they are not already considering a proposal from Drake University. In addition, the University may have established agreements with some local and national private foundations, agreements that disallow Drake faculty from submitting independent proposals to these foundations. The OSP will let you know if it is okay to proceed with submitting your proposal to the sponsors you have selected.

2.2.1 Faculty Collaboration

If you are interested in potential opportunities to collaborate with other Drake faculty, the OSP can assist you in identifying faculty who share your research interests or have complementary research interests. Again, Drake faculty are encouraged to come to the office with ideas that could be matched with "potential" funding sources.

2.2.2 Criteria to Consider when Selecting Funding Sources

In order for your proposal to be successful, you must have a good idea, a solid proposal, and a receptive sponsor. Even the best of proposals will fail if it does not meet the specific guidelines, funding capabilities, or priority interests of the potential sponsor. Thus, taking time to investigate potential sponsors is important to the ultimate success of any proposal.

2.2.2.1 Sponsor Funding Restrictions

Almost all sponsors have restrictions on how much money they will give, to whom, and where the money is distributed. For example, some sponsors limit their giving to specific regions, states, cities, neighborhoods, or populations. Some only support projects at private institutions; others support public organizations. To determine if you and your project meet the basic funding requirements of the sponsor, read sponsor guidelines carefully and seek clarification if you have any questions regarding the requirements. The OSP will help you interpret sponsor requirements.

2.2.2.3 Project Scope

Most sponsors publish information on recently funded projects. Looking at these projects will give you an indication of the size of projects typically funded and how much money is typically awarded. Determine if the scope of your proposed project matches the funding capabilities of the sponsor. For example, if most of the awards have been in the range of $10,000-$20,000 for one-year projects, it is unlikely the sponsor will award $150,000 for a three-year project.

2.2.2.4 Sponsor Priorities

Reviewing recently funded projects will also help you determine if your project goals are in keeping with the sponsor's goals. For example, a sponsor's priorities may include supporting teacher-training programs, but if your project is geared toward high school math teachers and all of the projects funded by the sponsor are for elementary school fine arts teachers, consider looking for a different sponsor.

2.2.3 Contacting Sponsors

The etiquette of contacting sponsors varies depending on the sponsor. For some, it is important and worthwhile to make personal contact during the proposal process; for others, such contact is discouraged. General advice is provided here, but it is essential that investigators identify and follow the requirements and preferences of the specific sponsors they are targeting. If you have questions on sponsor guidelines, contact the OSP for assistance, and they will help you determine what is appropriate for a particular sponsor. Before contacting any potential sponsor to solicit feedback on a proposal idea, it is important to have a clear idea of what you propose to do and what you expect from the sponsor. Prepare a brief concept paper, proposal prospectus, or preproposal as a guide and prepare a list of questions; see the OSP website for an outline of a concept paper and a list of suggested questions to ask a sponsor.

If seeking funding from industry, direct personal contact and networking at conferences and seminars may prove more fruitful than depending on funding databases for information. Continued personal contact may be part of the process of soliciting funding.

Some private foundations, on the other hand, require investigators to limit initial contact to a brief letter of intent. If the foundation is interested, they will then request a full proposal.

Many of the large government agencies encourage investigators to contact them to discuss project ideas. It is a good idea to take time to contact the appropriate agency representative and develop a good working relationship with that person, as it may increase your chances of getting funded - but you must know whom to contact and when to contact them. If you are seeking funding from the National Science Foundation (NSF), for example, it is important to contact the Program Officer, as identified on the request for proposal. The Program Officer will discuss your project idea with you and let you know if your proposed project is in keeping with the goals of the relevant NSF program. (See the OSP website for a list of suggested questions to ask the Program Officer.) The Program Officer will advise you on redirecting your project goals, if necessary, or will inform you of other opportunities within NSF that may be better suited to your idea. The OSP can assist you in identifying the appropriate contact person.

Reviewers at agencies such as NSF and the National Institutes of Health (NIH) are working professionals in the relevant field of study; they are your peers. You should not contact active agency reviewers at any time during the proposal process. If you know someone who has previously served on a review panel for the relevant program, however, it is acceptable to contact that person for advice.

2.2.4 Letters of Inquiry, Interest, or Intent

Sometimes sponsors will ask you to submit a preliminary letter - a letter of inquiry, interest, or intent - before submitting a full proposal. The content of the letter depends on the purpose the letter is intended to serve, as indicated in sponsor guidelines.

A brief letter of inquiry may be the appropriate first contact to request funding guidelines and additional information. Some sponsors will request a letter of interest, in which you briefly describe your organization and your proposed project and explain how your goals align with the sponsor's mission. Sponsors often use letters of interest to screen potential applicants, asking for full proposals only from those applicants who meet their current funding priorities. Large funding agencies often request letters of intent from applicants to help plan appropriate review of full proposals. In this case, the letter of intent lets the sponsor know approximately how many people are planning on submitting a full proposal. The content of the letter depends on sponsor guidelines, but you will usually be asked to include a brief description of your proposed project and may also be asked to include an estimate of how much funding you plan to request.

Read sponsor guidelines to determine the type of preliminary letter needed. If your letter includes a request for a specific dollar amount, a budget breakdown, proposed matching funds, or requires an official University signature, the letter must be routed with a Proposal Routing Form (Section 4.1).

2.3 Writing the Proposal

A variety of references are available on how to write a winning grant proposal. Some address proposal preparation for specific sponsors, some are written for specific academic disciplines, and others provide general advice. A list of grant writing references is provided on the OSP website.

The OSP is available to review your proposal and provide feedback regarding organization, format, and overall readability. With sufficient lead-time, the staff may be able to help write parts of the proposal and edit it to ensure consistency, readability, accuracy, and incorporation of applicable sponsor guidelines.

2.3.1 Getting Started with the Project Narrative

Once you have completed a preliminary assessment (Section 2.1) and identified your potential sponsor(s) (Section 2.2), obtain a copy of the sponsor's proposal-preparation guidelines. Review the guidelines and follow them carefully. Proposals may be returned without review if the format fails to meet requirements or if required information is missing. Some guidelines, such as page limits or required electronic submittal, may influence how you prepare your proposal, so it is important to review the guidelines before you begin writing.

If you have not already done so, prepare a concept paper for your proposed project (see OSP website) and use it as a guide as you begin writing. When planning a programmatic grant with a team, working through the conceptual process becomes especially important. Take time to brainstorm with the team and talk through the whole program before you begin writing. Develop an outline of your work plan in table form, showing how project goals relate to proposed methods and specific activities. Include who will be responsible for each activity, the anticipated timeframe for completing each activity, and how you plan to monitor progress and evaluate results. Developing a work plan in this way will force the team to think through the whole program and will provide a strong organizational structure for the proposal narrative.

The project narrative is the heart of the proposal. Use clear, concise, descriptive, and direct language. State your hypothesis or program goal, specific objectives, and the significance of the project clearly. Describe the potential interpretations and outcomes of each objective. Describe your proposed methods and relate them to the specific objectives. Although the reviewers will probably be familiar with your field of study, they may not be familiar with some of the specifics of your work or methodologies. Use plain English, avoiding discipline-specific jargon and abbreviations. Write for a technically and scientifically literate audience and define all acronyms and special terms.

You will probably need to present the project narrative within a sponsor-specified page limit. When possible, use tables, graphs, or flowcharts to clearly illustrate complex ideas in a small amount of space. Remember to review and follow sponsor guidelines regarding submission of graphics.

Many sponsors have a specific format for presenting the key elements of the project narrative. Make sure you check the sponsor's guidelines and use the structure and terminology they use. The following example is based on the requirements for an NIH proposal; these basic elements are included in most research proposals.

2.3.1.1 Hypothesis and Specific Aims

What do you intend to do? State your hypothesis or primary goal and specific aims clearly. Be realistic about the scope of your project. Limit yourself to three or four specific aims and describe the potential outcomes of each one. Reviewers will look for innovation grounded in experience. Use the specific aims to demonstrate your familiarity with current work in your field and the innovation of your proposed approach.

2.3.1.2 Background and Significance

Why is the work important? To establish the significance of your proposed project, you first need to put it into context, addressing three key areas - project background, the current literature, and gaps in the existing body of knowledge.

Describe the background leading to your proposal. Briefly explain what you have observed in your own research or in current trends of your profession that leads you to further exploration. (You will have the opportunity to provide a more detailed description of your preliminary work in the next section.)

In the literature review, provide a critical evaluation of existing knowledge. The literature review does not have to be exhaustive, but must be sufficiently thorough to convince reviewers that you are up to date on the state of the field. Demonstrate that you are familiar with your field, that you understand it, and that you have a balanced knowledge of it. Cite recent literature and, if appropriate, indicate your awareness of any discrepancies or inaccuracies in the literature. If you are familiar with important work that is not yet published, include that work in your review, if allowable. Use the literature review to demonstrate your ability to discriminate wisely by citing only recent, important, and relevant work.

Specifically identify the gaps in knowledge that your project is intended to fill. If no gaps exist that are obviously and directly related to your project, explain how your proposed research will contribute to the overall understanding of your field. For example, your project may involve developing new methods that would facilitate further research in your field.

Now that you have established the context for your proposed project, explain its significance. Describe potential impacts of your project within your field of study and in a broader context. For example, your proposed project may provide improved education for a particular group of people or lead to a new treatment for a particular disease. Clearly explain how the project is relevant to the goals of the sponsor.

2.3.1.3 Preliminary Studies/Progress Report

What have you already done? This is your opportunity to demonstrate your competence with the technologies and methods proposed in your project. Present preliminary results that support the hypothesis and feasibility of your proposed project. Use figures or charts to illustrate important points of your preliminary work. Include a critical evaluation of the results. Show reviewers you are aware of alternate interpretations and know how to think through problems. This will build reviewers' confidence in your ability to think critically and handle the challenges of future research. If you have relevant manuscripts that have been submitted for publication, include these in an appendix (if allowable according to sponsor guidelines). Be sure to differentiate between results reported by you and those reported by others.

If you are applying for a supplemental or continuation grant, this is where you present your progress report on the already funded research. Consult sponsor guidelines on what should be included in the progress report.

2.3.1.4 Research Design and Methods

How are you going to do the work? Describe the proposed research design and methods in sufficient detail. Remember that your reviewers may be familiar with the subject, but this doesn't mean you can leave out the details. Reviewers will be looking for specific information that demonstrates your thorough understanding of the subject and proposed methods.

Present the methods you plan to use for each specific aim in logical sequence. (Make sure your specific aims are presented in the same logical sequence.) Convince reviewers that you have experience with the chosen methods, that they are well established, and that they are appropriate for the specific aims of your project. If you are using an innovative method, explain how it differs from established methods and why it is advantageous. Describe the potential difficulties and limitations of the proposed methods and identify possible alternatives for achieving the specific aims. Describe the kind of results you can expect from proposed methods and the potential value and limits of those results. Demonstrate that you understand the complexity of the subject and will be able to handle the results appropriately. If applicable, describe the statistical methods you intend to use in analyzing results and include a qualified statistician as a collaborator. Provide a realistic estimate of how much time you will need for each stage of the research.

For some project types-such as social science, educational, behavioral, or training programs-it is helpful to use graphics, such as tables or flow charts, to show how project goals relate to the proposed methods and specific activities. Include who will be responsible for each activity, the anticipated timeframe for completing each activity, and how you plan to monitor progress and evaluate results. Presenting this information visually helps reviewers quickly understand the overall scope and sequencing of the proposed program.

2.3.1.5 Monitoring and Evaluation

How are you going to evaluate program results? Sponsors of social science, educational, behavioral, and training programs often require applicants to provide a clear plan for monitoring and evaluating program success. Even if the sponsor doesn't specifically ask for such a plan, providing one will demonstrate to reviewers that you understand the full scope of the project and are prepared to gather the data necessary to effectively evaluate the program. In addition, a good monitoring and evaluation plan will help you identify what is or isn't working in your program so you can make appropriate adjustments to reach your goals and improve your chances of securing additional funding in the future.

2.3.1.6 Review Criteria to Consider

Reviewers evaluate proposals based on several key issues presented in the project narrative. The specific language used by sponsors may vary, but the key criteria for evaluation are usually similar to the following (based on NIH review criteria):

• Significance

  —Does the work have intellectual merit and the potential for broader impact?

• Investigator

  —Does the investigator demonstrate sufficient understanding and have sufficient experience to manage the project?

• Approach

  —Is the proposed approach reasonable and sound? Can it be accomplished within the timeframe and budget proposed?

• Innovation

  —Does the proposal include innovative methodology or innovative application of standard methodology?

• Environment

  —Does the investigator have the appropriate facilities, staff, and institutional support to execute the project successfully?

• Monitoring and Evaluation

  —Is the proposed monitoring and evaluation plan sufficient to effectively evaluate project results?

Don’t make reviewers hunt for the important points. Some sponsors publish their review criteria. If review criteria are not included in the request for proposals, call the sponsor and find out if the review criteria are available and use the terminology of the review criteria in your proposal. For example, if “significance” is one of the criteria, clearly state in your proposal “The significance of the proposed project is...”  If the sponsor provides a breakdown of points that will be assigned to the different review criteria, keep this in mind when preparing your proposal, paying particular attention to those areas that are worth the most points. If no proposal structure or review criteria are available, use the examples here as a guide, and modify them to meet the needs of your project and academic discipline. Allow time for colleagues to review your proposal; if possible, provide them with the list of review criteria and ask them to give you feedback on those main points and the proposal as a whole. Allow time for the Office of Sponsored Programs staff to review and edit your proposal, or contact the Office of Sponsored Programs for assistance in preparing the proposal.

2.3.2 Cover Letter

The cover letter, printed on Drake University letterhead and signed by the Principal Investigator, should briefly describe the contents of the proposal package. If submitting the proposal to a large agency, include information to facilitate the appropriate assignment and review of the proposal within the agency.

2.3.3 Cover Page

If the sponsor has a designated form for the cover page, use it and make sure you fill in all the requested information. Otherwise, create your own. The cover page includes information such as the title of the project, names of investigators, contact information, Drake University identifying information, proposed project dates, amount of funding requested, record of any special approvals, and appropriate authorized signatures.

2.3.4 Title and Abstract

The title and abstract are essential to the success of your proposal and should be written after you have completed the project narrative. At large agencies, the title and abstract are used to determine which study group will review the proposal. Choose words to direct your proposal to the study group you want to have review the proposal. Write a clear, concise, and descriptive title-but don't make it too restrictive. Certain types of supplemental grant applications require you to use the same title as your initial proposal. If your research develops in unexpected directions, a title that is too restrictive may prevent you from pursuing these new directions through supplemental funding on the same grant. You may be forced to write a new proposal instead. Some agencies set a limit on the number of characters allowed in a title; check sponsor guidelines for such limits.

The abstract is a brief description of the proposed project, usually limited to one page. It will be read more often than any other piece of your proposal. When reviewers confer about which proposals to fund, they will refer often to your abstract. The abstract will be the reference source for other researchers, graduate students, and the general public. Use language that is clear, concise, and descriptive. Include information on the primary objectives, methods, and potential significance of the proposed project. Again, choose your words carefully; well-chosen key words can direct your proposal to the appropriate study group. In addition, the abstract is often made public. It should be informative to others in your field and understandable to an informed lay audience. It should not contain any personal or proprietary information.

2.3.5 Table of Contents

A table of contents may be appropriate if your project narrative is more than ten pages long. Some sponsors have specific requirements regarding what should be included in the table of contents. Read all guidelines carefully.

2.3.6 Introduction

Depending on the length and complexity of your proposal, and sponsor guidelines, you may need to include an introduction. Briefly explain the basic elements of the project and its significance. If you are submitting a revised proposal, use the introduction to explain how the project has been modified in response to comments from the initial review.

2.3.7 References Cited

Provide a list of relevant references. Be sure to follow standard scholarly practices and provide references for source material used in developing any section of the proposal. Limit your references to relevant and current work.

2.3.8 Biographical Information

Provide detailed relevant biographical information for key personnel. Use the biographical information to provide evidence that you and other key personnel are qualified to conduct the proposed work. Include information on any special training or certification required for proposed methodologies. Don't be modest, but do be concise. If you are an experienced investigator with a long list of publications, include only those publications that are relevant to the proposed work or important to establishing your credibility. Follow the sponsor's guidelines and page limitations.

2.3.9 Budget and Justification

See Section 2.4, Preparing the Budget, for detailed advice on preparing a budget and budget justification.

2.3.10 Collaborative Agreements

If your proposed project will include collaborative agreements with co-investigators from other academic institutions, consultants from outside organizations, or community partners, you will need to prepare appropriate subcontracts or obtain letters of commitment and support, as described in this section.

2.3.10.1 Consultant or Subcontractor?

Consultants are used for short-term, expert, highly focused, and often technical services on a project. Services provided by a consultant are usually project-specific, rather than ongoing, and most consultants work independently. An individual who is part of an academic institution may provide consulting services apart from the institution only if services are performed outside of his/her regular academic appointment and without the resources or facilities of the institution. If an individual uses the resources or facilities of his/her institution in providing services, or provides services as part of his/her academic appointment, you must subcontract with the institution rather than making a consulting agreement with the individual. Similarly, if you use Drake resources or facilities to provide services for a project at another institution, or provide such services as part of your academic appointment at Drake, that institution must subcontract with Drake for your services.

If you plan to use consultants on your project, request a letter of commitment from each consultant detailing the scope of services to be provided. Include consultant fees as a line item in your budget and provide appropriate justification.

If you plan to use subcontractors on your project, request a letter of commitment from each subcontractor detailing the scope of services to be provided. Include subcontractor costs as a line item in your budget and provide appropriate justification.

Subcontractors may include F & A costs in their budgets and must follow the cost accounting standards required by the sponsor and as defined in federal Cost Accounting Standards (see Cost Principles -- OMB Circulars for more information). Some sponsors, such as NIH, refer to subcontracting agreements as consortium/contractual agreements.

If you are participating in a project in which Drake will serve as a subcontractor, prepare a "Subcontract Request Form" and a detailed budget and justification. Include F & A costs in the budget and follow the cost accounting standards required by the sponsor, the primary contractor, and Drake University and as defined in federal Cost Accounting Standards (see the Cost Principles -- OMB Circulars for more information).

2.3.10.2 Other External Collaboration

Some projects require collaboration with outside organizations such as community health centers, neighborhood organizations, or churches. If any project funds will be directed to a partnering organization, treat that organization as a subcontractor, as described above. If the partnering organization will not be receiving any project funds, obtain a letter of support from the organization that describes how the organization plans to support the proposed project.

2.3.10.3 Internal Collaboration

If you are collaborating with a Drake faculty member from a different department, he/she is not considered a consultant and costs for his/her services must be included as a percent of effort, like other Drake project personnel.

2.3.11 Other

Depending on the type of proposal you are submitting and the guidelines of the sponsor, you may have other proposal elements to prepare. For example, you may be allowed to include copies of recent relevant manuscripts in an appendix or may be required to include resumes of key personnel. If the proposed research includes human subjects or animals, you will probably need to provide a separate narrative describing the use of human subjects or animals in detail. Read and follow sponsor guidelines.

2.4 Preparing the Budget

As you prepare the project narrative, begin to evaluate your budget requirements. Prepare a comprehensive budget and take into account all projected costs of the project. Remember to check the budget against the narrative to ensure consistency between the two. Also check the budget against sponsor guidelines. Be realistic; significantly over- or underestimating your financial needs may lead reviewers to think that you don't fully understand the scope of the project. Include justification for each service or expense as follows:

• Describe the service or expense and how it relates to and benefits the project.
• State the anticipated cost and, if appropriate, how this cost was determined.
• Identify the time-period in which the service or expense will be required.
• Provide any other information that will help the sponsor evaluate the need for the listed service or expense.

As you develop your budget, list all anticipated services and expenses, including those for which you are not requesting funding. Explaining how you plan to cover these costs will show reviewers that you understand the full scope of the project and associated resource requirements.

2.4.1 Allowable and Unallowable Costs

The types of costs you are allowed to include in your request for funding will depend on the sponsor. Costs allowable under a federal grant are determined by federal regulations. Costs allowable under private foundation and industry grants vary. A cost reference table of allowable costs, as determined by federal regulations, is provided on the Web on both the OSP and Grants Accounting websites. Some of the standard unallowable costs include alumni activities, commencement costs, fund raising costs, lobbying costs, public relations costs, donations, entertainment, alcoholic beverages, individual memberships, memorabilia, and advertising costs.

2.4.2 Differentiating Between Direct Costs and Facilities and Administrative Costs (Indirect Costs)

When preparing your budget, you will need to differentiate between direct costs and facilities and administrative (F & A) costs. Most sponsors have guidelines regarding the percentage of F & A costs they will allow you to include in your request for funding. Following are general definitions of direct costs and facilities and administrative costs:

• Direct costs are those costs that can be directly identified with a particular sponsored project. Items such as salaries and wages, fringe benefits, consultants, equipment, materials and supplies, travel, printing and duplicating, animal purchases and animal care costs, and contractual expenses can be identified as direct costs.

• Facilities and administrative costs are those costs that are incurred for common or joint objectives of the institution and, therefore, cannot be directly identified with a sponsored project. Such costs may include the following:

  • -General administration such as accounting, human resources, and payroll
  • -Grants administration
  • -Department administration, such as deans, department chairs, and their staffs, and general departmental expenses, such as local telephone, postage, and office supplies
  • -Facilities and maintenance, including utilities, janitorial services, routine maintenance, and repairs
  • -Libraries
  
  
  

See Section 2.4.4 for information on determining which facilities and administrative cost rate to use in your proposal budget. See the "Fact Sheet" on the OSP website for current rates.

Keep the following guidelines in mind when determining whether a cost is a direct or facilities and administrative cost:

• Identification with the sponsored project rather than the nature of the goods and services involved is the determining factor in distinguishing direct from facilities and administrative costs.
• Similar costs incurred in like circumstances must be consistently treated as either direct or facilities and administrative costs across all functions or activities of the institution, unless special or unlike circumstances exist. For example, phone services are normally considered part of facilities and administrative costs. However, if the project you propose includes long distance calls, these expenses could be identified specifically with your particular sponsored project and would fall outside standard phone services. In similar circumstances, the University treats long distance as direct costs. Therefore, long distance charges would be included in the direct costs for your project.

In the following sections, direct costs and facilities and administrative costs are discussed in more detail and examples of standard direct costs are provided.  For examples of direct costs refer to the cost reference table on the OSP website or contact Grants Accounting.

2.4.3 Determining Direct Costs

Using the budget worksheets found on the OSP website, begin to determine the direct costs of your project. Use Worksheet A to develop a detailed budget for the first year of your project and, if applicable, use Worksheet B to prepare a summary budget for subsequent years. In some cases, you may need to provide a detailed budget for each year (check sponsor guidelines). Remember to include a 4% increase each year to account for inflation and cost of living salary increases, and explain this increase in your budget justification. A sample budget and budget justification are provided on the OSP website.

2.4.3.1 Personnel Costs

Identify all Drake University personnel who will be involved in the project. If the proposed project is a multi-year project, begin with those personnel who will be involved in the initial budget period. List personnel by name and identify their role on the project. If you are uncertain of the specific personnel who will be involved, begin by identifying the project roles you will need to fill. List all participating personnel, including support staff, even if you are not requesting that their salaries be paid by the grant or contract. Once you have identified the people you would like to include on your proposal, talk to each one and verify their interest and availability.

For each person who will be involved in the project, list the type of appointment (e.g., 9-month appointment, 12-month appointment), the percent of the appointment to be spent on the project (i.e., percent effort), and the University base salary. Indicate if any appointments are part time and provide details in the associated justification. Multiply the percent effort by the base salary for each person to determine the amount of salary that will be associated specifically with the project. Multiply this adjusted salary by the appropriate fringe benefit rate (as indicated on the Fact Sheet for Preparing Grants and Contracts found on the OSP website to determine the total direct cost for each person. If the project is a multi-year project, remember to include appropriate salary increases for each year of your proposed budget. Faculty members with 9-month appointments may be eligible to receive external funding to cover their salary for work performed during the summer months. Contact Grants Accounting for information on calculating summer salaries. If your proposal includes hiring someone for a particular role, identify the role and type of appointment and estimate the associated salary and percent effort. Inform personnel whose salaries will be fully supported by grant funds that their employment may be terminated if grant funds are exhausted and no replacement funds are obtained.

2.4.3.2 Independent Contractor (Consultant) Costs

If you are unable to fulfill all of your project requirements with University personnel, you may need to hire outside consultants. (Refer to Section 2.3.10 for a discussion of the differences between consulting and subcontracting; for information on determining costs for subcontract/consortium agreements, see Section 2.4.3.8.) You will need to provide the name of the consultant or consulting firm, an estimate of time required from the consultant, the expected rate of compensation, and associated travel, per diem, and other related costs. You will need to include justification for hiring the consultant. Note: The IRS has provided a list of 20 common law questions to assist in determining if the worker is an employee or an independent contractor. These questions are posted in the Drake Business & Finance Procedures Manual on the Business and Finance website.

2.4.3.3 Equipment

This category includes capital equipment only. The Federal Government’s definition of capital equipment is any single item that costs $5,000 or more. If a sponsor has a different definition of capital equipment, the sponsor’s definition will take precedence, so check sponsor guidelines. Begin by listing all capital equipment you will need to acquire for the proposed project. Keep in mind that many sponsors are unlikely to fund equipment purchases that are disproportionate to the expense of the whole project. Sponsors want to see evidence that you have resources available to conduct the proposed project. If your equipment list is too extensive, sponsors may doubt that you have adequate University support.  Provide justification for the purchase of any equipment. Also, consider the facilities you will need to install and operate the equipment, including where you will house the equipment and whether appropriate mechanical and electrical services will be available. If the University will need to allocate additional space to you or modify existing facilities for the appropriate installation of the equipment, you will need to obtain approval from your department chair, dean, or other appropriate administration. Include costs of any necessary service or maintenance agreements under “other expenses,” as allowable.

2.4.3.4 Supplies and Materials

Supplies and materials are items used exclusively in support of the sponsored project and consumed completely within the proposed timeframe of the project. It is generally acceptable to provide a breakdown of supplies and materials by broad categories rather than a detailed listing of individual items. Include any non-capital equipment (any single item that costs less than $5,000 or does not meet the sponsor's definition of capital equipment). Provide a detailed justification for each category and/or item listed.

2.4.3.5 Travel

Identify any proposed travel expenses associated with the sponsored project, such as travel to disseminate findings at professional meetings or travel to study sites. Specify travel destinations, purpose of travel, number of travelers, and itemized costs, such as airfare or mileage, car rental, lodging, meals, and other miscellaneous travel expenses. If proposing foreign travel, check sponsor guidelines to determine if foreign travel is allowable.

2.4.3.6 Alterations and Renovations

If applicable, itemize the costs of any essential alterations or renovations, including repairs, painting, and removal or installation of partitions.

2.4.3.7 Other Expenses

Identify and justify any other anticipated expenses such as printing and duplicating, animal purchase and related supplies, research participant costs, off-campus space rental, equipment maintenance or service agreements, hazardous waste disposal, long distance telephone, and laboratory services or testing.

2.4.3.8 Subcontractor Costs (Consortium Contractual Costs)

If your proposed project includes contracting with one or more outside organizations for a substantial or significant portion of the activities of the project, include the costs of each subcontracting organization in your budget proposal. (Refer to Section 2.3.10 for a discussion of the differences between consulting and subcontracting; for information on determining costs for consulting agreements, see Section 2.4.3.2.) Request a detailed budget from each organization including the specific percent of effort from the organization's principal investigator and a categorical breakdown of costs, such as personnel, supplies, and other allowable expenses, including facilities and administrative costs.

2.4.4 Determining Facilities and Administrative Costs (Indirect Costs)

Facilities and administrative (F & A) costs are usually a percentage of all Drake salaries. If the sponsor specifies modified total direct costs, the total direct costs excludes capital equipment (items costing $5,000 or more), tuition and fees and that portion of each subcontract exceeding $25,000. The type of sponsor you are soliciting for funds will determine the facilities and administrative cost rate you use. Current negotiated rates are provided on the Fact Sheet for Preparing Grants & Contracts, available online on the OSP website. Grants Accounting will review your facilities and administrative cost calculations before your budget is submitted to the sponsor.

F & A costs must be requested at the current negotiated rate unless the sponsor has a published policy restricting the payment of F & A costs or will only pay F & A costs at a specific rate. The Provost must specifically approve all exceptions.

2.4.5 Cost Sharing/Matching Funds/In-kind

The terms cost sharing, matching funds, and in-kind are all used to describe the process by which the total costs of a project are shared by the sponsor and the University. Cost sharing/matching funds requirements vary among sponsors, but usually require the University to provide a percentage of the total costs in order to receive the sponsor's funding. The appropriate dean and/or Provost must approve all cost sharing/matching funds.

When cost sharing/matching funds are not required, it is best to avoid specifying University contributions in the budget by item or dollar amount. Care must be taken not to overstate Drake's match commitment. All cost sharing/matching fund commitments, whether required or volunteered, obligate the University to provide the specific resources named and account for their use in the performance of the project. Rather than specifying cost sharing/matching funds, include a letter of support from the University to show that you have University support for the project. This will allow you greater flexibility in managing project resources if the grant or contract is awarded. For further information on Cost Sharing/Matching Funds, refer to the Grants Accounting website.

2.4.6 Budget Review

When you have completed the first draft of your budget, including all anticipated expenses, identify which costs you will ask the sponsor to fund. Review the Cost Accounting Standards under the section Cost Principles - OMB Circulars at Cost Principles -- OMB Circulars, including sponsor guidelines and Drake guidelines on allowable costs on the Grants Accounting website. As an educational institution, Drake University must follow OMB Circular A-21 for cost principles. Identify which costs will be covered by the University and obtain appropriate approval for any cost sharing or matching funds you expect the University to contribute. If you or any of the personnel assigned to your project will require release time or reassignment of workload, obtain approval from appropriate deans and/or department chairs. Allow time for Grants Accounting to review your budget to ensure all federal, University, and sponsor guidelines are met.

2.5 Standard University Information

Sponsors commonly request identifying information about Drake, such as the University's federal identification number, and information about assurances and certifications of University compliance with federal regulations. Information about Drake University that is commonly requested by sponsors is provided on the Fact Sheet for Preparing Grants and Contracts on the OSP website.

3.0 Regulatory Compliance and
University Review

All University research projects are subject to federal regulations and University policies. Compliance with these regulations and policies is monitored through the University review process. The extent of the internal review depends on the type of research proposed. Any elements of your proposed research that require special review must be addressed before you submit a proposal to a sponsor. In this section, information is provided on the key elements of regulatory compliance, the elements of your proposed research that will require University review, and how to navigate the University review process. At the end of this section is a checklist summarizing the review process (Figure 2). Each investigator is responsible for making sure that his or her research proposal is approved by all of the appropriate individuals and institutional review committees. The Office of Sponsored Programs is available to help coordinate institutional review and routing and to answer investigators' questions about the review process.

3.1 Research Activities

If your proposed research includes human subjects, vertebrate animals, radioactive materials or biohazardous materials (e.g., recombinant DNA, infectious biological agents), special review is required, as described in this section.