Proposal Development Guide Table of Contents PART I FOREWORD PART II PRE-AWARD ACTIVITIES A. Sources of Funding B. Preliminary Proposals C. Writing a Proposal D. Sponsor Guidelines and Application Forms E. Deadlines F. Suggested Proposal Format G. Budget Preparation H. Typed Final Proposal I. Approval/Routing Procedures J. Human Subjects K. Animal Welfare ---------------------------------------------------------------------- PART I FOREWORD This Office of Research Procedures Manual for proposal development summarizes the services provided by the Office of Research. It is designed to assist members of the University community in (1) the location of external funding sources, (2) development, routing and transmittal of proposals, and (3) tracking proposals through the agency. The Office of Research exists to assist you in all aspects of grant acquisition and administration. If you have any questions or need more information, please contact the office at (850) 474-2824. PART II PRE-AWARD ACTIVITIES A. Sources of Funding The Office of Research assists faculty and staff in locating sources of external funding by receiving and maintaining extensive files on federal and state agencies, as well as private foundations and corporations. The information received from these agencies is searched daily and information is mailed out to departments and interested faculty. A partial list of these publications and materials follows: 1. Federal Catalog of Federal Domestic Assistance Federal Grants Management Handbook Federal Register Federal Research Report Grants Administration News Federal Notes Federal Grants and Contracts Weekly Minority Funding Report (Government Information Services) ARIS Funding Report (Academic Research Information System) News, Notes, and Deadlines U.S. Navy RFP (Request for Proposal) Mailing List Commerce Business Daily NSF Bulletin and NSF Highlights NIH GUIDE for Grants and Contracts Directory of Research Grants Handbook of Federal Assistance National Data Book Brochures from most federal agencies such as NSF, NIH, NEH, NEA, USOE, Navy, Army, Air Force, NASA, NOAA (Sea Grant), Corps of Engineers, etc. 2. State Florida Funding Florida's Environmental News Florida Council on Economic Education Newsletter Florida Endowment for the Humanities Newsletter Local/State Funding Report Florida Institute of Government - STAR Mailing lists for RFP's from HRS, DOE, DGS, DNR,Florida Arts Council, FIO and other agencies of the State of Florida 3. Foundations Foundation Center Source Book Profiles Foundation Directory Taft Foundation Reporter Corporate Foundation Profiles Foundation Grants Index Annual Register of Grant Support National Data Book Kellogg Foundation News Ford Foundation News Philanthropic Digest Foundation Grants Index Bimonthly Foundation Grants to Individuals Foundation News Foundation Profiles in the Southeast Foundations Today Computer Research Guide 4. Private Corporations How to Get Corporate Grants Taft Corporate Directory Corporate 500 Research Corporation Information Guide to Corporate Giving Corporate Philanthropy 5. Other Publications Business and Management Education FUNDING Alert Some of these sources are also available in the Reference Department of the John C. Pace Library. B. Preliminary Proposals It is often advisable to submit a statement of interest, pre-proposal or concept paper to an agency or foundation to determine if a particular type of project is supported by the funding agency. The Office of Research can provide guidance in initiating such statements of interest. At other times, a telephone call serves the same purpose. The Office of Research can assist by providing points of contact and telephone numbers. Occasionally, a preliminary proposal including a tentative budget is requested. Although preliminary proposals do not require formal University Routing/Approval forms, a copy of any pre-proposal should be sent to the Office of Research to insure a proper flow of information within the University. If a funder requests a budget with a preliminary proposal, that budget must be labeled "draft;" these budgets have not been approved within the university and should not be sent to a funding agency as other than unofficial. C. Writing a Proposal The Office of Research offers assistance in proposal writing and frequently offers seminars in proposal writing. Books and pamphlets on proposal writing are also available in the Office of Research for faculty and staff use. The four pamphlets listed below have been particularly useful and are available upon request: 1. Proposal Development Handbook (AASCU) 2. Tips for Proposal Writers (Graduate Services and Publications) 3. Direct and Indirect Costs of Research at Colleges and Universities (American Council on Education) 4. Guide to Proposal Writing (Office of Research) In addition, the following publications are available in the Office of Research for faculty and staff review: 1. The Complete Grants Sourcebook for Higher Education 2. Inside Grant and Project Writing (How to Write Projects that Get Funded) 3. How to Write and Publish a Scientific Paper 4. Art of Writing Successful R&D Proposals 5. The Funding Process 6. A Process for Development of Ideas 7. Developing Skills in Proposal Writing 8. The Funding Process: Grantsmanship and Proposal Development 9. Foundation Fundamentals (A Guide to Grant Seekers) 10. The Art of Winning Foundation Grants 11. The Grants Planner: A Systems Approach to Grantsmanship D. Sponsor Guidelines and Application Forms Most agency guidelines and application forms which are of interest to faculty are available in the Office of Research. Others will be obtained upon request. Guidelines detail agency requirements, sections to be included in the proposal, instructions on format, length of proposal, due dates, etc. These instructions should be followed closely since failure to do so may mean that funding will be denied. A suggested proposal format is included in Part II, Section F of this handbook for proposals which have no guideline format. Federal applications may require several assurances and other forms which the Office of Research complete for the faculty or staff member. State application guidelines and forms will also be provided by the Office of Research as appropriate. E. Deadlines Deadlines must be scrupulously adhered to. One of the most important aspects of the proposal process is meeting the published deadline date. Deadlines are established as either receipt by the agency or through a U.S. postmark date. It is critical that this be understood prior to working on your proposal since the potential sponsor is often required by law to refuse proposals received after the established deadline. To ensure that a proposal arrives at the agency by the established deadline, faculty should deliver the proposal to the Office of Research at least five working days before the due date to enable us to review the proposal, complete necessary forms, possibly retype sections, and finally duplicate and mail your proposal. The Office of Research will be glad to provide word processing assistance, but ample lead time should be given. F. Suggested Proposal Format 1. Cover Pages Since all agencies require an official signature of approval from the University, a letter of transmittal and cover page, signed by the Associate Vice Provost for Research must accompany each proposal that is forwarded to an outside agency. 2. Agency Forms Immediately following the transmittal letter and cover page will be the required agency cover form (if federal, use form SF 424), and is usually followed by other forms and assurances. The Office of Research will assist you in completing the required forms, and provide the necessary assurances and certifications (affirmative action, federal and Florida tax exemption, Debarment Certification, Drug-Free Workplace Certification, Lobbying Disclosure, etc.). 3. Abstract and Title The abstract should be a concise description of the project, and limited to one page. The abstract is important since it establishes the initial impression of the proposal. It should provide a clear over-all view of the project, and is ideally limited to 250-500 words. The title should clearly identify and describe the project, and should be informative to a non-specialist. Some agencies provide abstract forms which limit writing to a specific space. 4. Table of Contents A Table of Contents is normally required for most proposals. 5. Introduction The introduction should introduce the reviewer to the approach to be used in the project, and provide brief justification for its appropriateness. It should reference major points and stress the anticipated end product. 6. Needs Assessment, Problem Statement Some agencies require a needs assessment including a clear statement of the problem to be addressed and any statistical data suggesting a need for its solution. Significance, relevance, timeliness, and contribution to the field should be elucidated. 7. Objectives The proposed outcome of the project should be stated clearly and should follow logically from the needs assessment. 8. Method or Procedure Outline the methods to be employed, participants, organization, time schedule for end-product results, and general approach in data acquisition, analysis, and interpretation. 9. Facilities and Equipment List and discuss the facilities and equipment required and how they will be provided. 10. Personnel List the key personnel, their role, special background required, and methods of selection. Describe any special administrative organization or consultants to be required, including their backgrounds and justification. Particular consultants should be listed by name and institutional affiliation. 11. Dissemination Explain how the products and findings will be made available to other professionals and describe any reports to be submitted to the funding agency. 12. Evaluation Outline the type of evaluation to be used, information to be collected, and the kind of analysis to be employed to ascertain whether the objectives have been realized. 13. Budget Cost of the project is covered in the next section. 14. Reference List pertinent publications used in developing and understanding the proposal. 15. Bibliography Include a list of publications not specifically utilized in proposal preparation but which are germane to the subject and which reflect a familiarity with relevant literature. 16. Appendices Any supportive materials not needed in the body of the proposal should be included as appendices. Material in the appendix should be directly related to the proposed project or in support of the Principle Investigator - do not use them as "filler." 17. Vitae of Key Personnel Vitae for key personnel listed in the proposal should be included. Vitae should be kept short, and always should conform to agency guidelines. G. Budget Preparation The budget is one of the most important sections in a proposal. It will be reviewed for accuracy, expenditure levels, and cost effectiveness. It may be necessary to complete several budget forms, as well as a budget justification. The Office of Research recommends that the applicant prepare a draft budget for critique prior to the development of a final budget and the completion of budget forms. The proposed budget is an estimate of expenditures, but the award figure is precise. During the course of a project, some agencies will accept a request from the Office of Research for budget modification. However, it is important to anticipate budget problems to avoid a request for a budget modification. When the agency does not require a detailed budget, the less details you present in the proposed budget, the more flexibility you will have in the course of your project. Also, if appropriate, a statement could be included stating that the University can internally amend the budget as requirements of the project change. Some agencies allow 5-10% flexibility in transferring funds from one category to another. Other agencies (NSF, NIH, and ONR) leave considerable flexibility to the campus research administrator, and approval by those agencies is no longer required for budgetary modifications or no-cost extensions (the "Federal Demonstration Project"). Budget examples follow the general guidelines listed below: 1. Direct Costs a. Salaries The salary section should be listed first, including details on personnel, length of appointment, percent of time on project, and the total cost of services. Agencies understand that salary costs are only estimates, but plans for anticipated raises should be included. Salary rates for someone already on the University payroll are based on existing salary and cannot be increased when an individual is transferred to work on sponsored projects. Principal investigators who recommend raises for staff must follow University guidelines, e.g., time of year raises are to be made, magnitude of raises, justification, etc. b. Fringe Benefits Fringe Benefits for full time personnel are calculated at specified rates based on a percentage rate of salary. The current benefit chart is available in your department. When there are changes in the fringe benefit rates, revised fringe benefit charts will be mailed out to all departments. c. Consultants Consultants may be justified when the project calls for highly defined expertise which is unavailable on campus. Consultant fees are expressed at a daily rate and must be justified as the rate received by that individual in the past. The consultant line item should include the number of days and rate of pay per day. Some agencies have limits they will pay for consultant services. Example: Consultant Dr. Jane Jones (Harvard) five days at $150/day $ 750 d. Travel The UWF Official Travel Guide should be followed in calculating expenses for travel necessary to carry out the project. Currently, travel in or outside the State of Florida can be reimbursed at a specified rate per day per diem, or exact hotel costs plus a specified amount per day for meals. Automobile mileage is reimbursed at a specified rate per mile. These specified rates are subject to change and it is suggested that the Office of Research be contacted as the budget is being put together. e. Supplies Most projects require expendable supplies, therefore, an adequate amount should be provided to cover these costs. Example: Supplies Expendables (postage, paper, xerox) $25/month x 18 months= $ 450 Lab Supplies 200 TOTAL SUPPLIES $ 650 f. Publication and/or Computer Costs Publication costs and computer costs are two other categories which should be considered and budgeted if needed. g. Equipment Permanent equipment is generally defined as purchased property having an acquisition cost of $200 or more and a useful life expectancy of more than one year, hard bound books costing $25 or more, and items which can be used independently (computer programs may cost more that $100 and last over a year, but cannot be used independently). Some agencies will approve the purchase of equipment and will want to obtain title to the equipment when the project is completed. The Purchasing Department will be helpful in pricing items needed, however, anticipate the need for an item to be purchased ten months later since most agencies take 9 months to evaluate a proposal, and prices may increase. h. Other Direct Costs If there are anticipated costs that do not fall into one of the above categories, and the cost is substantial, it should be listed in a separate category called "Other Direct Costs." i. Total Direct Costs This item is the total of all direct costs (a-h above). 2. Indirect Costs Services provided by the University indirectly support the research project, including the buildings, building maintenance, electricity, equipment use, library, payroll, purchasing, accounting, departmental research administration, and other agencies and personnel at the institution. These are costs which are recognized by the federal government and will be paid by the agency. The regulations governing the calculation of indirect costs are contained in a federal publication entitled Circular A-21 of the Office of Management and Budget. This circular specifies the cost categories which go into the makeup of our indirect cost rate. When the University of West Florida's annual indirect cost rate changes, as directed by the federal authorities, the new rates will be published in the Grant Bulletin as well as an amendment to this handbook. The Office of Research will conduct any and all institutional negotiations with an agency, and will also assist authors of proposals in determining philosophy and regulations of individual sponsors. The Office of Research is the only office authorized to negotiate adjustments in the indirect cost rate with a sponsor for any proposal. When indirect costs are not recovered for any project, the University must pay these costs out of its own funds. The Associate Vice Provost for Research is, by state law, charged with the task of attempting to recover certain indirect costs. If an agency, foundation, or corporation policy is not to pay indirect costs, the University will accept their policy or choose not to seek grant support. Indirect costs are calculated by multiplying the base, modified total direct costs (total direct costs less equipment) by the appropriate federally approved pre-determined indirect cost rate. The rate varies for research or instruction and on-campus or off-campus projects. 3. Total Project Costs Total direct and indirect cost figures are added to derive the total project costs. The total and all other figures in the budget should be rounded to the nearest dollar. 4. Cost Sharing - Matching Requirements Some federal and other agencies cannot, by law, fund 100% of project costs. These agencies require a percentage (5-50%) of support from the university to fund the project - such funds are known as "cost sharing" or "match." The cost sharing requirement is usually met by one or more of the project staff who contribute a portion of their university paid time, corresponding fringe benefits, and the associated indirect costs. The cost sharing of a project is as much subject to audit scrutiny as the sponsor's cash contribution. Cost sharing requirements must be honestly anticipated and later documented. When direct costs are shared, the budget should be presented in three columns - one for the "agency request," the next for the "university match," and the last a sum of the first two or "total." The name of the individual person (if known) and percent of effort and period of time that will be devoted to the project should be shown in the budget. If the University agrees to "match" released time, the faculty members teaching load must be reduced accordingly. That is, if the principal investigator is given 50% released time which you can use as match, your departmental teaching load must be reduced to one-half. Example: Univ. Salaries and Wages Agency MatchTotal PI, Dr. Tom Jones September 1990 - May 1991 1/2 time for 9 months $35,000/9 month salary 17,500* 17,500 September 1991 - May 1992 1/2 time 17,500** 17,500 Fringe Benefits - 31% 5,425 5,425 10,850 * Grant is paying half of Dr. Jones' salary to do research. **Department is paying for Dr. Jones' other half of his salary. Thus, Dr. Jones will not teach from September-May. H. Typed Final Proposal Sufficient time should be allowed for the typing of the proposal in its final form. The Office of Research will provide typing assistance on a time-available basis, if the principal investigator believes the departmental secretaries will not complete the task on time. Please provide the Office of Research ample advance notice if typing assistance is needed. I. Approval/Routing Procedures For your convenience in obtaining internal approval of proposals, the Office of Research makes available a pre-printed internal review form. All completed proposals must be routed through the department chairperson and the college dean for signature before being transmitted to the Office of Research . A copy of the internal routing form can be obtained from the Office of Research. The approval/endorsement of the chairperson and dean signifies relevance of the project and validates responsibility for resource commitments. If there is more than one department or college involved, then all concerned department chairpersons, as well as deans, must sign the routing form indicating their approval. As mentioned in Section F.1, the Associate Vice Provost for Research is the only individual authorized to sign proposals being submitted to agencies on behalf of The University of West Florida. J. Human Subjects in Research All projects submitted to external agencies involving the use of human subjects will require eventual approval by the UWF Institutional Review Board (IRB). Prior approval by the University IRB is required on all research involving physical, sociological, and psychological impact of human beings. Any investigator who believes that his/her project might infringe in any way upon the rights of the human subjects or participants involved should consult the Associate Vice Provost for Research to see if the IRB needs to be consulted. The purposes of the IRB committee are (1) to assure the Associate Vice Provost for Research that human subjects used in the research or educational program in question are not at undue risk, and (2) to advise the Associate Vice Provost for Research if the University is in compliance with federal guidelines on the protection of subjects. The Office of Research can transmit the proposal to the agency and then consult the IRB and report the results to the agency within 30 days. If IRB approval is needed, the IRB form should be completed and submitted to the Office of Research at the same time as the proposal. K. Animal Welfare The University of West Florida Animal Care and Use Committee (ACUC) maintains oversight of all animal facilities and procedures, and reports to the Associate Vice President for Academic Affairs. The responsibilities of this committee are to ensure that the proposed use of live vertebrate animals meets the requirements of the Institutional Assurance to Federal Government; that minimum Public Health Service standards concerning the humane care and use of live vertebrate animals for use in research, training or testing are met; and to advise the Associate Vice Provost for Research if the University meets the requirements and follows the "Guide for the Care and Use of Laboratory Animals." The Office of Research will submit proposals involving live vertebrate animals submitted to any federal, state or private funding source to the ACUC for approval. To ensure that the University meets agency deadlines, the Office of Research will transmit proposals to the agency prior to recommendations from the ACUC, but the proposal will be retrieved at a later date if the ACUC does not approve.