| Where Do I Start? From Idea to Proposal
Once a research idea has been developed to the point where the PI is ready to write a proposal, a number of questions should be addressed. They include:
1. To what agency will the proposal be submitted, and might the chosen agency impose undue restrictions upon the College relating to their approval for funding? This is a very important question. Occasionally, a funding agency will make requirements or place restrictions upon an institution that conflict with generally accepted or specifically stated policies of the College. An example would be if an agency had expectations relating to ownership of data, methods, or other considerations that would not routinely be appropriate. Such cases would probably qualify the proposal as a contract, not a grant proposal, and would be handled through that existing Campus mechanism and approval system.
2. Has the appropriate proposal application form been obtained from the agency?
Most agencies have a very specific format that is required for research grant proposals, and most also have their own application forms. The application will also include valuable information regarding each section of the application, including budget preparation. The PI should become familiar with the application before actually completing each section so that delays do not occur during the internal review process due to omitted information.
3. What is the agency’s postmark or receipt deadline?
Sufficient time must be allowed for appropriate review prior to submission of the proposal. On-campus review will take varying amounts of time depending upon the types of reviews required by the proposal’s content. FAILURE TO ALLOW ENOUGH TIME FOR REVIEW WILL RESULT IN POSTPONEMENT OF THE PROPOSAL SUBMISSION UNTIL PROPER REVIEW IS COMPLETED. This may seem like an unreasonable approach to this issue; however, when one considers that the institution is committing various types and levels of support to the project that are not within the control of the PI, it is essential that all affected parties be given enough time to complete their reviews. If necessary, submission of the proposal will be delayed until the next proposal deadline.
4. What special reviews will be required prior to submission and what is the required time to complete these reviews?
Some of the areas that will require special review include, but are not limited to, the use of human subjects, animal subjects, biohazards, radioisotopes, lasers, or recombinant DNA, capital improvements or renovations, subcontracts, cooperative arrangements, and purchase or lease of computing equipment, software or services. Involvement in any of these areas will require an additional amount of review time for the proposal. For example, if human or animal subjects are involved, the proposal will have to be seen and reviewed by each member of the Campus’s Institutional Review Board (IRB). This Board meets on an as-needed basis, and it is the responsibility of the PI to contact the Chair well in advance of the proposal deadline, allowing sufficient time for them to complete their review. See Special Reviews or Coordination.
5. What budgetary considerations, limitations and pricing issues need to be addressed?
The PI should have a clear idea from the start as to what personnel, if any, supplies, equipment, and other items will be needed to complete the project’s work. A carefully constructed budget that neither under- nor over-states the project’s needs is one of the strongest factors relating to approval and funding of any research project. The reason for considering this area of concern before writing a proposal has to do with limitations that may exist in how much the agency is willing to award for each project. For example, if the proposed work will require the purchase of an item of equipment that costs more than the amount of the agency’s maximum award, the proposal clearly will not be funded by that agency. The PI should work closely with the Purchasing Department on Campus to gather the necessary information required in completing the budget.
6. Does the agency require matching funds and, if so, how much?
If matching funds are required by the funding agency, the Campus must commit to those funds at the level required by the agency at the time the proposal is submitted. It is very important that this issue be addressed as early as possible since few departments on Campus have the means to satisfy this requirement. The PI should consult with the Office of Grants Management to negotiate this requirement at the earliest possible date.
7. What is the indirect cost rate?
Indirect costs are those that are not directly payable by the project but that directly benefit the project. These might include administrative assistance, electricity, heating, the cost of maintaining the space assigned to the project, and other expenses. The PI should consult with the Office of Grants Management in advance to determine if the conditions set forth by the agency are acceptable to the College and what will be the applicable rate. The College may or may not accept an award made by a funding agency unless the agency is willing to provide indirect cost recovery to the institution.
8. Where will the work be conducted and what equipment and facilities will be required?
If the project’s work will require equipment and facilities that are not already assigned to the PI and his staff, approval for additional space or use of existing equipment will be required. Likewise, if alterations to existing space or new construction are required, they will need special prior approval. The PI should consult with the Office of Grants Management in advance regarding these special conditions.
There may be additional concerns to be addressed depending upon the nature of the study and the requirements of the funding agency, and the College. It is, therefore, critical that the PI become familiar with the specific agency to which the proposal is being submitted in advance of preparing a research grant application.
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