Sponsored Projects Handbook: Proposal Activities

Eligibility Determination

If you are unsure whether are not you are eligible to submit proposals on behalf of WPI, please read the policy entitled, Eligibility Criteria for the Submission of Proposals for External Sponsorship.

Proposal Preparation - Components of a Proposal

Some or all of the proposal components that follow are commonly used when a sponsor does not require a specific proposal format. Please use the appropriate sections indicated below for these situations. Templates for use in preparing each section are available in electronic format on the Research Administration homepage on the Proposal Toolkits page. If you are unsure which sections are necessary, contact ORA at extension 5359.

  1. Cover Page (also called Title Page)
    The cover page of a proposal should include the following minimum information:
    1. Title of the project
    2. Sponsor name and address
    3. Proposed project duration with start and end dates
    4. Amount Requested
    5. Submission Date
    6. Name(s), rank(s), and address(es) of the investigator(s)
    7. Signature of the investigator(s)
    8. Name, title, and contact information for the authorized WPI official
    9. Signature of the authorized WPI official
  2. Abstract or Project Summary
    The Abstract or Project Summary is used to describe the objectives, methodology, and significance of the project. It should be able to stand alone and not include references to other sections of the proposal.
  3. Introduction
    The introduction is used to reinforce the connection between sponsor and applicant interests. It should be interesting and brief and offer statistics and/or statements that support the credibility of the project area, lead logically into the problem statement, and emphasize anything unusual or unique about the research.
  4. Project Description
    The project description describes the approach to be used in the performance of the project and should convince reviewers that the methodology has been thoughtfully worked out and that success will result. A project timetable with reasonable expectations for completion of the project can also be included to support the idea that the proposal has been carefully planned.
  5. Bibliography
    A listing of references cited in the body of the proposal should be provided at the end of the narrative.
  6. Curriculum Vitae
    Curriculum Vitae for all key personnel should be included with every proposal to highlight their background, professional interests, research capabilities, and publications to date.
  7. Budget and Justification
    The budget included with a proposal should represent a reasonable estimate of what the costs will be during the life of the project. An annual budget should be included for each year of the project and should be supported by a budget justification that explains the need for the amounts requested. Multiple year budgets should include realistic increases for inflation of recurring expenses with the exception of fringe benefits and indirect costs. The elements of cost generally accepted in the submission of proposal budgets are indicated below. Please contact ORA for assistance in preparing budgets.
    1. Direct Costs

      1. Salaries - Under this category should be shown only University personnel. For key personnel (individuals who will play a role in overseeing the project), list project roles and names. If an individual is not employed at WPI at the time the proposal is submitted, list the project role and TBN (to be named). Note that, if it is necessary to name an individual who is not yet a WPI employee, the budget must include a footnote that all appropriate Equal Employment Opportunity/Affirmative Action (EEO/AA) procedures will be followed if/when this person is hired.

        For faculty with regular nine month appointments, it should be stated whether the request for salary support is for the academic year or summer. Based upon 100% effort, WPI employees cannot be compensated at an amount which exceeds their currently authorized salary, plus the value of any increases during future years.

        Graduate students (Masters and Ph.D. candidates who will be devoting effort to the project as research assistants) are normally budgeted in accordance with the University's current salary ranges. Undergraduate students are compensated on an hourly basis. For the latest graduate student salary ranges, please refer to the current Proposal Preparation Reference Sheet (formerly Budget Notes). Hard copies of this document are still available in ORA.

        For proposals to the Federal government, secretarial/clerical/administrative support may only be requested under certain circumstances. Please contact ORA if you wish to include any of these salaries in a proposal budget or if there are any other questions regarding the inclusion of salaries in proposal budgets.

      2. Fringe Benefits - Again, proposers should refer to the current Information Sheet to determine the rate to use in calculating fringe benefits on the salaries of WPI faculty and staff only (fringe benefits are not charged on student salaries).
      3. Materials and Supplies - This category can be defined as any consumable item, regardless of cost or any item having an acquisition costs per unit of less than $1,000 or any item with an estimated life expectancy of less than one (1) year. Examples include chemicals, gases, cryogenic liquids, piezo tubes, etc. that can be specifically identified with the project. Normal office supplies, such as paper, pencils, and the like should not be included as supplies in proposals to the Federal government.
      4. Equipment - This category can be defined as any item with an estimated useful life of more than one (1) year and an acquisition cost of at least $500. Any equipment included in proposals should normally be research-specific (i.e., not general purpose equipment, such as office equipment and furnishings, refrigerators, computers, etc.

      5. Travel - Only the cost of travel for University personnelshould be included as travel under this category. Identify foreign and domestic travel separately and include total estimated travel costs (e.g., airfare, registration fee, hotel, meals, etc.). Current Federal Per Diem Rates, available via the Research Administration homepage, may be used to estimate lodging, meals and other incidental expense amounts.

        Note: Registration fees for conferences and other meetings should be coded separately from other travel expenses as these are not normally allowable as a direct charge to Federal awards.

      6. Consultants (Independent Contractors) - list each consultant to be engaged and the related service to be performed. Indicate the rate of reimbursement, which may include fee, travel, lodging, and other related expenses. Consultants must submit a letter of intent, which should be included in proposal submissions. A WPI Independent Contractor Policy is being developed and will soon be available via the Research Administration homepage.
      7. Subawards - Identify any organization that will be participating in the project and the amount of estimated cost. All prospective subawardees must submit a letter of intent, scope of work, budget, and a copy of the institutions' current indirect cost agreement. The letter of intent must be signed by an authorized official and indicate the willingness of the institution to participate in the program and negotiate an agreement with WPI. Normally, the letter of intent, scope of work, and budget will be appended to WPI's proposal.
      8. Other Expenses - Any other expenses not included above should be identified in this section as necessary for the completion of the project, including tuition and health fees of graduate students, postage, publication costs, specialized service facility costs, copying, etc.
      9. Indirect Costs - WPI's policy for the submission of proposals to external sponsors provides for full reimbursement of indirect costs (now called Facilities and Administrative Costs) using current rates as approved by the Federal government. Unless a sponsor limits or disallows reimbursement of indirect costs, all proposal budgets should include this item. Under WPI's Negotiation Agreement with the Office of Naval Research (ONR), indirect costs can be calculated by multiplying the total of salaries and wages (not fringe benefits) by the current indirect cost rate. The current indirect cost rate is included on the Proposal Preparation Reference Sheet (formerly called Budget Notes), which is also available in hard copy from ORA.

      10. Cost Sharing or Matching - When cost sharing or matching is required by a sponsor, commitments of expenses by WPI must normally be approved by the Provost's Office. ORA can approve reductions or waivers of indirect costs when the need us justified and the amount of consideration is no more than the greater of 10% of the total proposed amount or $20,000. Proposers should review the Policy and Procedures for Sponsored Programs Cost Sharing if there are any questions about committing cost sharing by WPI in budgets.

        Amounts of approved cost sharing should be indicated in the budget, if space is provided on the sponsor form, or in the budget justification section. Statements regarding cost sharing (approved or not) should not be included in the proposal Project Description where it may not be obvious to the ORA reviewer. Even if the ORA reviewer does not discover this cost sharing, the sponsor may require it if an award is made.

  8. Current and Pending Support
    Some sponsors require that investigators provide a listing for all key personnel of current (active) awards and pending support (proposals), showing the estimated level of effort devoted to each project. When this is a requirement, contact ORA for any assistance needed in preparing this page of the proposal.
  9. Facilities and Equipment (also called Resources and Environment)
    The WPI Computer Center, Gordon library, individual investigator laboratories, and specific equipment available for a project are examples of qualified facilities and equipment that should be listed in this section when required by a sponsor.
  10. Appendices
    Each sponsor may have different policies on the inclusion of appendices with proposals. Review sponsor requirements to determine whether or not appendices are allowed, if necessary, for your proposal.

Proposal Submission Procedure

All proposals to be submitted to external sponsors require the prior approval of an authorized WPI official. The procedures below should always be followed to ensure adequate time for the complete review of all proposals submitted through the Office of Research Administration and to avoid the possibility of missed deadlines. For proposals to be submitted to corporations and/or foundations, contact the Corporate and Foundation Relations (C&FR) office first to determine whether a proposal should be submitted through ORA or C&FR.

  1. Timing - To ensure that your proposal is given a careful review for accuracy, completeness, and compliance with sponsor guidelines and University policies, a minimum of three (3) days lead time is required for all hard copy proposals and a minimum of five (5) days lead time is required for all electronically submitted proposals. Observing these lead time requirements will help ensure that your proposal can be reviewed and that any required modifications may be made in sufficient time to meet deadline dates (this is especially true for complex and/or electronically submitted proposals).
  2. Completeness - The more complete a proposal is before it is delivered to ORA for review, the quicker the review will be. Investigators should attempt to deliver proposals in a "ready to go" format to minimize the possibility that changes and/or additions to the proposal may need to be made. Faculty are encouraged to liaison with ORA prior to submitting proposals for review to discuss the proposal and bring any potential problems in completing it to light.
  3. Documentation - All proposals should be delivered with a completed and approved Proposal Coordination Form (PCF) attached. This form is required so that ORA reviewers can verify departmental and other approvals, review for exceptional needs in connection with the project (e.g., hazardous wastes, use of animals or humans, support for a graduate student, etc.), and have a consistent format from which to enter required data into the University's proposal database.
    Additional documentation (e.g., proposal cover letters/pages, conflict of interest forms for NIH and NSF proposals, institutional approval of cost sharing or matching, letters of support, subcontractor letter of intent, scope of work, and budget, etc.) should also be provided at time of proposal review to avoid any further delays in the process.
  4. Copies - An original and one copy for ORA should be provided for review purposes. Often, as part of the review process, ORA staff will need to annotate various parts of the proposal. Providing a copy of the proposal facilitates the review without having to add time to the review process making copies. If the submitting department wants to receive a copy of the approved proposal, a second extra copy should be provided along with the original. When sufficient lead time in accordance with A. above has been provided and the sponsor to which a proposal is being submitted requires an original and three or less copies, ORA will offer the option of mailing the proposal and charging back the cost to the submitting department.
  5. Proposal Cover Letters - Because proposals are submitted by investigators with the approval of the University, cover letters should be created using department letterhead. If a cover or title page is not included with a proposal, the cover letter should also include a line on which the authorized official can indicate approval of the proposal on behalf of the University.
  6. Exceptions - Occasionally, situations will arise where the above procedures cannot be followed, usually because an initial contact with a sponsor has resulted in a request to the investigator for quick turnaround of a proposal. ORA will modify its procedures and provide the best and fastest service possible given the situation and approve a proposal provided it is complete and materially correct. Additional documentation may be required, though, after the proposal has been approved.

Required Reviews

Federal regulations and University policies require that certain proposed activitiesreceive the approval of University committees established for this purpose. If anyof the following activities are planned, contact the appropriate University office todiscuss the activity and complete the approval process:

  1. Use of Animals - Proposals involving the use of live vertebrate animals must be reviewed and approved by the Institutional Animal Care and Use Committee (IACUC). Contact with the Chair of this committee should be made prior to the submission of any proposals that include animal use.
  2. Use of Human Subjects - Proposals that include the use of human subjects must be reviewed and approved by the WPI Institutional Review Board (IRB). The approval process includes submission of a protocol to the IRB. Protocol approvals must be obtained by the earlier of 1.) the proposal submission date or 2.) the deadline date required by the sponsor. The requirement for protocol approves exists regardless of the source of funding (sponsored research, gifts, University funds, etc.). Contact should be made with the IRB Chair to review the process prior to completion and/or submission of a proposal. For more information on the use of human subjects at WPI, visit the Human Subjects website.
  3. Bio-Safety - The Bio-Safety Committee must review all proposal and laboratory teaching efforts involving the use of recombinant DNA (which are not exempt from NIH guidelines), infectious agents, teratogens, mutagens, carcinogens, biohazards, hazardous waste, and radioactive material. Contact the Environment and Occupational Safety Manager in Plant Operations regarding the proposed use of any of these materials. For more information regarding bio-safety issues, also visit the Environmental & Occupational Safety website.
  4. Radiation Safety - Any proposals involving the purchase, use, and /or disposal of radioactive material and other sources of ionizing radiation or that involve the use of lasers and other non- ionizing sources of radiation must be reviewed by the Radiation Safety Committee. Contact the Environment and Occupational Safety Manager in Plant Operations regarding any proposed activities involving radiation. For more information regarding radiation safety issues, also visit the Environmental & Occupational Safety website.

Sponsor Review

Proposals submitted to potential sponsors that do not conform with required submission guidelines (e.g., page limitations, font characteristics, etc.) may not get past the initial sponsor screening process. It must be emphasized that sponsors are serious in their attempts to standardize the "look" of proposal submissions and a common cause of rejections is for non-compliance with these requirements.

Once a proposal is deemed eligible for programmatic review by a sponsor, it will proceed through one of the following processes, depending upon the sponsor and the individual program review requirements. ORA staff can assist in determining the current status of a proposal during the review process.

  1. Peer Review - This type of review involves experts, generally faculty members from other the size of the program, proposals may be sent to individual reviewers or the reviewers may gather to form a panel to review all proposals at the same time.
  2. Internal Review - The review process usually involves only program staff who work for a sponsor. Such reviews are most common in foundations and private industry.
  3. Other Reviews - Reviews may sometimes consist of site visits, administrative reviews and/or fiscal reviews, which are performed in addition to regular programmatic reviews. Such reviews can involve investigators and administrative staff of the proposing institution and contracting or program officers of the sponsor.

Negotiation and Acceptance

Not all awards received by WPI are completely acceptable, as issued by sponsors. Frequently, it is necessary to enter into negotiations with sponsors, the purpose of which is to ensure that the University's interests are addressed. This process of negotiation commonly includes resolution of conflicts in award terms and conditions, scope of work, and budgets with the expected result being an award that is mutually acceptable to both the sponsor and WPI.

If a sponsor contacts an investigator directly to discuss the project scope of work, the budget, or any other component of the project, ORA should be contacted and made aware of the discussions and any changes that need to be made. A primary negotiation point is the award amount. Should a sponsor wish to fund a project but insist that the amount of the award be reduced, consideration by the investigator needs to be given to whether or not the original scope of work can be completed with such a reduced funding level. Additionally, if a proposal included cost sharing and a sponsor recommends funding at a lower dollar amount than proposed, cost sharing should normally be reduced also.

Once a negotiation is completed and an acceptable award document is received, ORA will sign the award on behalf of WPI and process it in accordance with sponsor instructions. Investigators are reminded that they are not authorized to sign agreements (contracts, grants, or cooperative agreements) of any kind on behalf of the University.

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Last modified: September 10, 2007 11:28:30