Proposal Preparation Basics

Definition of “Proposal”: A proposal is a detailed request for funding prepared in accordance with the sponsor’s instructions.

• A proposal must comply with university policies and sponsor requirements.
• A proposal, upon submission, becomes an official record of what ISU promised to a sponsor.

Preparing the Proposal

• The Principal Investigator (PI) is responsible for preparing the proposal but normally does so in conjunction with the Division for Sponsored Programs Support
• Review the sponsor guidelines carefully. Most sponsors require preferred formats and specific forms. In addition, each solicitation details the requirements for that particular submission.
• National Science Foundation (NSF) and National Institutes of Health (NIH) requirements mandate proposal-specific financial Conflict of Interest (COI) disclosures from PIs and senior/key personnel for new proposals, and annual disclosure updates thereafter.

Approving and submitting the proposal

The Division for Sponsored Programs Support is the central administrative office responsible for providing Institute endorsement and submitting proposals, and for accepting awards on behalf of ISU and its faculty.

PIs and departments should allow adequate time for proposal review. Proposals must reach the Division for Sponsored Programs Support at least five working days before the sponsor’s deadline to provide full and comprehensive proposal review, approval, and submission.

Proposals not meeting the Division for Sponsored Programs Support submission guidelines may be withdrawn from sponsor consideration, if subsequent review reveals that the proposal is incomplete or does not conform to the university or the sponsor requirements.

Basic Components of a Proposal

1. Cover or Title Page
2. Abstract or Project Summary

The Title Page contains the following information:

• PI’s name, address, phone number
• Title of proposal
• Sponsors name and address
• Period of Performance with start and end dates
• Amount requested
• Submission date
• Signature of PI
• Signature of AOR (Authorized Organizational Representative)

The abstract outlines the proposed research, including the objectives, methodology, and significance of the research.

1. Statement of Work/Research Plan
2. Budget

The Statement of Work provides a full and detailed explanation of the proposed research, and typically includes a project timetable. It should include general background information about how the project relates to previous and current research.

The Statement of Work describes how the work will be done, where the work will be done, and who will do the work.

Will there be any subawards?

If so, you will need scope of work, budget, and approvals from the subaward organization. Depending on the Sponsor’s requirements, you may also need a copy of the collaborating institution’s F&A rate agreement, CV and/or bio sketch for key personnel; facilities/equipment /other resources, and letter of commitment.

Will there be consultants?

Usually a letter from the consultant indicating the consultant’s role on the proposal, the consultant’s experience with the type of research and an established consultant rate is required. Check proposal guidelines to make sure any other specifications are met.

Are there special review components?

Make sure that any special review components are indicated are considered, and that you have provided as much information as possible concerning the items. Many sponsors will require additional forms if there are special review items such as humans or animals.

Below is a list of ISU’s special review categories that may need additional consideration:

• Human Subjects
• Animal Usage
• Recombinant DNA
• Biohazard Materials
• Radioactive Isotopes
• IT Needs

The budget is the financial expression of the project and must include a reasonable estimate of the resources necessary to conduct the project. Most sponsors require a detailed breakdown of the budget into certain defined budget categories and a detailed budget justification. Estimated costs for the entire project period typically are broken into “Direct” and “F&A” costs. Separate budgets are necessary for all collaborating institutions or entities (“subawardees/subrecipients”).

1. Cost Share
2. Budget Justification

If the sponsor guidelines require mandatory cost sharing, the cost sharing should be described in the budget. Otherwise ISU, prohibits offering voluntary cost sharing.

The budget justification should clearly explain what costs will be paid for by the sponsor and how the expense was calculated. It is important to compare the scope of work to the budget and justification to ensure that all costs are accounted for, and that the requested funds align with the scope of work to be performed within the project period.

1. Curriculum Vitae or Biographical Sketch
2. Bibliography

Include for all key project personnel.

Lists all references cited in proposal.

1. Additional Information

Additional information may consist of the following:

• Current and pending support. The sponsor may require a listing of the PI’s (and sometimes key personnel’s) current awards and pending proposals. The proposal being submitted will need to be included as a pending submission.
• Letters of support from non-University investigators may also be required.
• Subaward documentation: If the proposal involves collaboration with investigators at other entities, detailed information about the subrecipient should be included in the proposal. Documentation would normally include the subrecipient’s scope of work and detailed budget, and the institutional approval from the subrecipient Authorized Organizational Representative (AOR).
• Description of current facilities
• Table of Contents (if required by sponsor guidelines).
• Certifications and representations required by federal sponsors.