CLARKSON UNIVERSITY
DIVISION OF RESEARCH
GUIDE TO PROPOSAL PREPARATION AND
SUBMISSION
I.
II.
INTRODUCTION ...................................................................................................... 3
SPONSORED PROJECTS ......................................................................................... 3
1. General Information on Procurement, Management and Recording of External
Funds ............................................................................................................................... 3
2. Office Division of Responsibility ........................................................................... 4
a. Division of Research .............................................................................................. 4
b. Institutional Advancement Office .......................................................................... 5
3. Resources Available................................................................................................ 5
III.
ELIGIBILITY CRITERIA...................................................................................... 6
1. Principal Investigator (PI) .................................................................................. 6
2. Co-Principal Investigator (Co-PI) .............................................................................. 6
3. Co-Investigator or Faculty Associate...................................................................... 7
IV.
AVAILABLE SERVICES ...................................................................................... 7
1. Funding Opportunities ............................................................................................ 7
2. Proposal Processing ................................................................................................ 7
3. Pre-Award Activities .............................................................................................. 7
4. Post-Award Activities ............................................................................................. 8
5. Invention Disclosure ............................................................................................... 8
6. Research Personnel ................................................................................................. 8
V. PREAWARD ACTIVITIES ....................................................................................... 8
1. OVERVIEW ........................................................................................................... 8
2. PROPOSAL DEVELOPMENT SERVICES .......................................................... 8
3. FINDING A FUNDER ........................................................................................... 8
a. Faculty Expertise Profile ........................................................................................ 8
b. Types of Sponsors .................................................................................................. 9
c. Resources Available ............................................................................................... 9

DOR Library .................................................................................................... 11

Funding Searches .............................................................................................. 11
VI.
PROPOSAL PREPARATION AND PROCESSING RESPONSIBILITIES ...... 11
1. Principal Investigator Responsibilities .................................................................... 11
2. Department/Unit Responsibilities ......................................................................... 12
3. Division of Research Responsibilities .................................................................. 12
VII. Types of Proposals ................................................................................................... 12
VIII. POLICY CONSIDERATIONS ............................................................................ 13
1. Appropriateness .................................................................................................... 13
2. Conflict of Interest ................................................................................................ 13
3. Consortiums/Joint/Collaborative Proposals .......................................................... 13
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4. Consultants............................................................................................................ 14
5. Contracts ............................................................................................................... 14
6. Intellectual Property .............................................................................................. 14
7. Limited Submission Competitions ........................................................................ 14
8. Principal Investigator Eligibility ........................................................................... 15
9. Principal Investigator Responsibility .................................................................... 15
10.
DOR Endorsement ............................................................................................ 15
11.
Subcontracts ...................................................................................................... 15
IX.
PROPOSAL AND COMPLIANCE REVIEW PROCESS................................... 15
1.
Proposal Review Process .................................................................................. 15
2. Compliance Review Process ................................................................................. 16
X. PROPOSAL PREPARATION AT A GLANCE ...................................................... 16
1. Notifying the DOR ................................................................................................ 16
2.
Contacting the Funder ....................................................................................... 17
3. How To Obtain Application Guidelines ............................................................... 17
4. Responsibility of Principal Investigator................................................................ 18
5. Types of Proposals ................................................................................................ 18
6. Proposal Guidelines .............................................................................................. 19
7. Agency Forms ....................................................................................................... 19
8. Suggested Format.................................................................................................. 19
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I.
INTRODUCTION
The Division of Research (DOR) is the central office charged to provide
service to Clarkson faculty and staff to develop and administer sponsored
programs and provide overall contract management; to support the University’s
goal to increase the level of sponsored project funding; to protect the University’s
interests and comply with the sponsored program requirements. Through these
activities, DOR promotes innovation and creativity, thereby increasing knowledge
and making the knowledge available and useful for scholarship and education. It
is the philosophy of the University that research supports and enhances its
educational mission. This guide is designed to introduce faculty and staff with
information about the available resources and services of the DOR.
The DOR is the primary office authorized to sign and submit proposals on
behalf of the University and to represent the University in the negotiations for and
administration of sponsored programs.
II.
SPONSORED PROJECTS
1.
General Information on Procurement, Management and
Recording of External Funds
The Division of Research http://www.clarkson.edu/research and the
Institutional Advancement Office
http://www.clarkson.edu/giving/corporateconnection.html at Clarkson provide
assistance to faculty members and others on campus seeking external funding. All
external funding, regardless of source, must be booked through one of these
offices in order to ensure good University accounting practices and regulatory
compliance. External funding includes money and equipment.
Although both offices share a common objective in supporting initiatives
leading to the acquisition of external funds, there is an intentional division of
responsibilities between the offices. Correct classification of funds within the
Division of Research and the Institutional Advancement Office is important to
ensure the University's compliance with any terms specified by the sponsor/donor,
proper recovery of indirect and direct costs, and compliance with Federal and
State laws. There are different overhead and cost sharing rules for each office. It is
very important to call one of these offices, particularly before contacting any
corporate representatives about funding.
Regardless of which office faculty and staff approach first, the Division of
Research http://www.clarkson.edu/research and the Institutional Advancement
Office http://www.clarkson.edu/giving/corporateconnection.html at Clarkson
provide will provide assistance. Either office will, as appropriate, call on the other to
ensure that assistance is provided in any situation.
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2.
Office Division of Responsibility
Division of responsibility between the two offices is based on several
factors. Factors considered include the type of activity for which funding is sought,
the type of approach required for success in funding (often closely related to the
type of funding agent one is approaching); and the type of award sought.
a. Division of Research
The Division of Research is involved in all requests for funds intended to
support "sponsored projects." This term refers to projects supported by contracts
involving highly detailed agreements for which deliverables are required.
Sponsored projects may also include grants carrying a significant number of
conditions. In a "sponsored project," the contractor or grantor declares an intent to
monitor the project closely and is likely to expect detailed reports for the purpose.
The budget typically may have restrictions. There are objectives identified for the
use of the funds, there is a time period of performance, and there are statements
regarding the ownership of the results. All funding requests for graduate student
support where tuition cost sharing is expected goes through the Division of
Research.
All proposals to government agencies, including government established
foundations that are Federal agencies (such as the National Endowment for the
Arts and the National Science Foundation), automatically fall within the purview of
the Division of Research. These agency funding agreements are very specific, and
require compliance with Federal laws and regulations.
There are many instances when faculty and staff seek support from
contractors or grantors in the private sector, i.e., corporations and foundations. For
example, a corporate or foundation grant proposal to support faculty research in
the sciences might generate an award containing complex requirements related to
intellectual property, insurance and indemnification provisions, or other matters
that establish a quid pro quo relationship. In such a case, the Division would be the
appropriate office to handle the proposal, the award, and account initiation.
As a rule, the Division of Research processes any award requiring specific
performance objectives, detailed budget commitments, intellectual property or
confidentiality terms.
There are numerous aspects of the fundraising process related to
corporations and foundations in which the Division will not be closely involved
and in which Institutional Advancement takes the lead.
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b. Institutional Advancement Office
The Institutional Advancement Office is expert in the raising of funds from
the non-governmental sector that are philanthropic and charitable in intent.
Specifically, donors often do not publicize funding opportunities, and they make
their decisions with a great degree of subjectivity. Funding agents in the private
sector infrequently provide application forms or written guidelines for competition,
or use peer review. Personal and institutional networking is therefore necessary to
obtain funding. Individuals, corporations and foundations are the sources of the
funds raised by the Institutional Advancement Office. Increasingly, corporate
"philanthropy" is funded by operating divisions to ensure that there is a businessrelated strategic objective to their charitable work. However this implied quid pro
quo is general, and not a deliverable, as in "sponsored projects."
Funds raised through the Institutional Advancement Office sometimes
support activities that may also be eligible for governmental grants, but which can
be supported at a higher total amount by matching public and private sources in
tandem. In many cases, however, the private sector sources address needs of the
University for which little or no government funding may be available. For example,
private funds may support the endowment, equipment, construction, specialpurpose student aid, athletics, and instruction programs in areas where
governmental grant programs are currently underfunded.
One type of private sector funding, "gifts," falls completely within the
purview of the Institutional Advancement Office. Gifts are accompanied by few or
no restrictions, even if they support a fairly specific project. Gifts come from
individuals, corporations, and foundations, and they are most always generated
through personal or institutional networking. The Division of Research is not
involved in any way in obtaining them, managing them, or reporting to donors on
the use to which the funds are made. In general, gifts are irrevocable. Contractual
requirements are not imposed, formal financial accounting is rarely required and
there is no requirement to return unexpended funds.
As a rule, the Institutional Advancement Office processes funding or
equipment awards for which there are no detailed budgets, specific deliverables, or
intellectual property or confidentiality terms.
3.
Resources Available
The Division of Research and the Institutional Advancement Office maintain
information on funding opportunities, because both offices are involved in securing
such support. The Division of Research maintains extensive files on government
and state funding opportunities, and also has access to several databases
available on the WWW. The Institutional Advancement Office is involved in
research on gift opportunities; this information may be shared with faculty and
administrators on a discretionary basis, although care is taken to respect the
privacy of donors.
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The above guidelines are intended to assist faculty and staff with the
appropriate classification criteria and in determining which office to contact for
support. However, each award must be considered in its totality, and the final
decision rests with the Division of Research and the Institutional Advancement
Office.
III.
ELIGIBILITY CRITERIA
All sponsored programs are agreements between a sponsor and the
University, hence, to fulfill the University’s responsibilities under sponsored
agreements, the following guidelines are used for an eligibility criteria. University
policy permits full-time faculty, qualified professional and scientific staff, and
postdoctoral fellows to apply for external funds. For persons who are not
members of the full-time faculty (i.e. visiting, adjunct, part-time faculty, postdoctoral fellows), the following clarifications apply:

As in the case of all research conducted by faculty, research must be
conducted within an established organizational unit of the University. The
administrator having responsibility for that unit must review and approve the
project before it can be submitted.

The administrator of that person's unit must make it clear that there is no
financial obligation on the part of the University beyond that stated in the
proposal.

Those not employed by the University or those with adjunct, part-time, or
visiting faculty status are eligible to apply for external funds only under special
circumstances and with the approval of the person's Department Chair, Dean
and Director of the Division of Research.
1.
Principal Investigator (PI)
The person responsible for the conduct of the project. This responsibility
includes the intellectual conduct of the project, fiscal accountability, administrative
aspects, and the project’s adherence to relevant policies and regulations. Also
called a “Project Director” or “Program Director.”
2. Co-Principal Investigator (Co-PI)
This designation refers to individuals who share the responsibility for the
project with the PI and therefore requires the same qualifications.
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3.
Co-Investigator or Faculty Associate
A key individual on a project, but without the oversight responsibility of a PI.
Individuals do not need to meet the qualifications of PI, but should be considered
key to performance of the project.
IV.
AVAILABLE SERVICES
The DOR is a support unit for the University to assist faculty and staff in
obtaining external funding for their creative scholarly research and teaching
endeavors. Services available from DOR are described below:
1.
Funding Opportunities
The DOR attempts to maintain and disseminate accurate and current
information on both public and private agencies which support research projects of
possible interest to Clarkson community. Materials include broad agency
announcements, specific program announcements, reports of previously funded
research projects, information on papers and reports available from agencies.
DOR currently subscribes to one electronic funding opportunity database
http://www.cos.com which alerts faculty on a weekly basis of potential funding
opportunities. This database can also be searched via keywords or topics of
interest. Individual Clarkson faculty and staff may utilize these resources or have
a personalized search done for them to identify possible funding sources for
particular project ideas. For information on special searches, complete a request
for funding search form.
2.
Proposal Processing
The DOR will assist in all phases of proposal preparation for faculty and
staff, including budget preparation, completing all pertinent forms, and
certifications required by a sponsor. DOR will also coordinate required
institutional approval by the University before a proposal is submitted. DOR
reviews all proposals and cost estimates for compliance with sponsor and
University requirements. In addition, DOR negotiates the final terms of the
contract or grant, and signs the resulting agreement. Per the PI’s request, DOR
will also provide feedback and assistance in text editing. DOR will help
coordinate institution-wide multidisciplinary projects and projects between
institutions.
3.
Pre-Award Activities
In addition to the funding opportunities and proposal processing services,
the DOR provides other activities that include proposal status inquiries, electronic
research administration, and compliance issues related to property, insurance,
intellectual property, human subjects, and conflict of interest.
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4.
Post-Award Activities
Responsible for monitoring expenditures to maintain compliance with
University Policies and Procedures, verifying and enforcing sponsors terms and
conditions, processing project reports to sponsors and administering project
modifications to existing awards.
5.
Invention Disclosure
The DOR administers all invention disclosures by Clarkson faculty, staff
and students. See xxxxxxxxxxxxxx for additional information
6.
Research Personnel
The DOR administers international visitors, supplemental pay, contractual
letters, payroll processing, account eligibility, and medical insurance for personnel
related to sponsored projects. See XXXXXXXXXXXXXX for additional information.
V.
PREAWARD ACTIVITIES
1.
OVERVIEW
The DOR’s preaward services constitute a variety of areas related to the
proposal development process, including funding opportunities, proposal
preparation, proposal submission process, interpretation of sponsor guidelines,
postaward revisions to proposals, budgetary planning, coordinating cost sharing
requirements, and assuring that all aspects of the proposal development process
comply with sponsor and University regulations. The DOR keeps abreast of new
and innovative research administration criteria, including electronic proposal and
report submission.
2.
PROPOSAL DEVELOPMENT SERVICES
The Division of Research (DOR) offers workshops to faculty/staff and
graduate students. The goal of these workshops is to introduce the skills
necessary for achieving success in identifying funding sources and proposal
development. The DOR provides individual one-on-one consultation in identifying
funding sources, reviewing proposal drafts, editing per PI request, and assisting
faculty in the revision/resubmission of previously unfunded proposals.
3.
FINDING A FUNDER
a. Faculty Expertise Profile
Clarkson faculty profiles have been compiled based on information given
directly by faculty and other sources available on campus. The faculty profiles
are available through the Community of Science (COS) database for use in the
“faculty match” software available. Faculty currently may update or add their
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profiles online with the COS. The COS forwards your profile to the Clarkson
University’s liaison for approval to place the profile directly on-line.
b. Types of Sponsors
i) U.S. Government: Most of Clarkson’s sponsored project
support is provided by the federal government. The federal government is
the largest single grantor in the world. Federal funding is mandated by an
annual legislative budget process, causing available funding to fluctuate
by fiscal year. Some foundations and corporations will fund only those
grantseekers who have exhausted the possibility of a federal grant.
The DOR’s website has links to several federal funding sources.
http://www.clarkson.edu/research/agency.html
Each of these links have specific information about the agency,
available budgets, and research interests.
ii) Non-U.S. Government: This group encompasses foundations,
corporations, state and local governments, and other non-profit
organizations. Funding interests vary significantly among these
organizations, and most opportunities are cultivated through recognition of
like interests.
c. Resources Available
 DOR Web Site http://www.clarkson.edu/research
The DOR’s website offers a variety of funding resources to assist the
Clarkson community in identifying sponsors and other research related topics.
The website provides up-to-date funding opportunities to the University
community as described above.

National Council of University Research Administrators
(NCURA): http://www.ncura.edu/
This link is made available to the Clarkson University community as a
resource for all aspects of research administration. This organization is designed
to keep research administrators abreast of new and developing topics related to
the administration of research projects.
 NSF FastLane https://www.fastlane.nsf.gov/fastlane.jsp
The purpose of FastLane is to experiment with ways to use the World
Wide Web to facilitate business transactions and the exchange of information
between the National Science Foundation and its client community including
researchers, reviewers, research administrators, and others doing business with
NSF. Access to most of the features on this website is restricted to officials and
Principal/Co-Principal Investigators (PI/Co-PIs) of registered FastLane
institutions. To use the FastLane to its fullest extent, one must have an assigned
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PIN
number
which
can
be
obtained
http://www.clarkson.edu/~davisju/research/staff.html
through
the
 Community of Science Database (COS) http://www.cos.com/
The DOR subscribes to a funding database, “COS” [Community of
Science], which provides the capacity to search sources of information about
funding opportunities worldwide from federal and regional governments,
foundations, professional societies, associations, corporations, and other
scientific organizations. A key feature of COS Funding Opportunities is “Faculty
Match” software, which permits researchers and administrators to retrieve and
disseminate funding information automatically through controlled links between
the Expertise database and funding records. Faculty research expertise files are
in place with COS for Clarkson faculty who have chosen to participate. Faculty
may update their profiles directly with the COS at anytime. Inquiries about this
service may be directed to Clarkson’s liaison through the DOR
albreclh@clarkson.edu
 FirstGov (the official U.S. government site for doing business with the
government)
FirstGov.gov, http://www.firstgov.gov/Business/Business_Gateway.shtml
Is the official U.S. gateway to all government information, is the catalyst for a
growing electronic government. FirstGov vision is global–connecting the world to
all U.S. government information and services. The powerful search engine and
ever-growing collection of topical and customer-focused links connects you to
millions of web pages–from the federal government, local and tribal governments
and to foreign nations around the world. On FirstGov.gov, you can search
millions of web pages from federal and state governments, the District of
Columbia and U.S. territories.
FirstGov.gov will help you find and do business with government online,
on the phone, by mail or in person. You may select customer gateways– citizens,
businesses and nonprofits, federal employees and government-to-government–to
find exactly what you need. For example, from your computer, you can apply for
student financial assistance, buy government publications, apply for social
security and other benefits, get a passport application, and so much more.

SSTI Weekly Digest
Delivered every Friday by e-mail, the SSTI Weekly Digest reports the
week's biggest stories for the cooperative technology program
community. For more information and to subscribe, go to
http://www.ssti.org/Digest/digform.htm
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
DOR Library
DOR maintains an up-to-date funding reference library. Materials in the
library include many publications from both the private and public sectors listing
funding sources for sponsored projects. In addition, there are a number of useful
guidebooks on how to prepare effective proposals. The library is available to all
Clarkson University faculty, staff, and students and is located in DOR Room 310
Science Center.

Funding Searches
The DOR provides funding searches for Clarkson faculty upon request.
DOR current practice includes forwarding funding opportunity announcements
directly to faculty who have research interests related to the announcement.
Faculty who wish the DOR to perform funding searches may do so by
completing an online “Funding Search Request”
VI.
PROPOSAL PREPARATION AND PROCESSING RESPONSIBILITIES
1. Principal Investigator Responsibilities
After the proposal's final text and budget are complete, the following checklist
should be reviewed to ensure that the proposed project complies with both
sponsor and University requirements:







Proposal format and content comply with sponsor guidelines;
Adequate resources are available to meet the project's needs (e.g., use of
space, cost-share commitments);
Requirements for the use of animals, human subjects, rDNA, biohazards,
and radiation safety have been met;
If a conflict or potential conflict of interest exists, the conflict has been
reviewed by the respective administrators;
If a subcontract is proposed the supporting documentation outlined in
Clarkson’s Subcontracting Policy (get from Connie) is attached to the
proposal; and
If a consultant is proposed the supporting documentation outlined in
Clarkson's Consulting Policy (get from Connie) is attached to the
proposal.
When responding to an RFP or RFQ with the proposed terms and
conditions stated in the solicitation the investigator should notify and
forward a copy of the solicitation to the DOR as far in advance of the
deadline as possible. A completed Proposal Submission Notice Form
(PRN) LINK (get form from Linda) should accompany the notification at
least five business days prior to the published agency deadline.
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2.
Department/Unit Responsibilities
Some departments have administrative staff who can offer proposal preparation
assistance in the areas of:
 Identifying accounts for matching funds or cost-share contributions;
 Providing logistical support for items such as space and personnel;
 Assisting the investigator in complying with any relevant special reviews;
 Coordinating documentation for subcontracts and/or consultants;
 Coordinating department chair/unit/Center director signature(s)
endorsements
3.
Division of Research Responsibilities
DOR is available to assist as needed by the investigator and/or unit in any phase
of proposal preparation. Proposals are carefully reviewed to ensure that they
comply with all University, federal, and/or state requirements, and are prepared
in such a way as to meet with favorable reviews during competition. Proposals
are reviewed for the following criteria:
 Proposal format and content comply with sponsor guidelines;
 Budget reflects adequate resources and costing detail to accomplish the
project and complies with federal regulations;
 Assuring all appropriate signatures are obtained and investigators are in
compliance with relevant special reviews;
 Verification of cost-share commitments and/or matching funds;
 Verification of documentation for subcontractors and/or consultants; and
 Review and signature of certifications and representations.
 DOR then prepares a transmittal letter and mails the proposal.
VII. Types of Proposals
A proposal is a request for support of sponsored research, instruction, or
extension projects, and generally consists of a cover page, brief project
summary, technical or narrative section, biographical sketches of the key
personnel, and a detailed budget. Common proposal types include:



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Solicited proposals: submitted in response to a specific
solicitation issued by a sponsor. Such solicitations, typically called
Broad Agency Announcement (BAA), Request for Proposals (RFP),
or Request for Quotations (RFQ), are usually specific in their
requirements regarding format and technical content, and may
stipulate certain award terms and conditions
Unsolicited proposals: submitted to a sponsor that has not issued
a specific solicitation but is believed by the investigator to have an
interest in the subject.
Preproposals, requested when a sponsor wishes to minimize an
applicant's effort in preparing a full proposal. Preproposals are
usually in the form of a letter of intent or brief abstract. After the
12


preproposal is reviewed, the sponsor notifies the investigator if a
full proposal is warranted.
Continuation or Non-Competing proposals confirm the original
proposal and funding requirements of a multi-year project for which
the sponsor has already provided funding for an initial period
(normally one year). Continued support is usually contingent on
satisfactory work progress and the availability of funds.
Renewal or competing proposals are requests for continued
support for an existing project that is about to terminate, and, from
the sponsor's viewpoint, generally have the same status as an
unsolicited proposal.
VIII. POLICY CONSIDERATIONS
The following considerations are those that investigators will frequently encounter
when preparing a proposal. The DOR can provide additional guidance with other
questions or concerns that may arise.
1.
Appropriateness
Proposals to sponsors whose terms and conditions allow freedom of access and
publication are acceptable to Clarkson. The University does not permit
government classified research, research projects that do not permit the free and
open publication, presentation, or discussion of the results, nor the exclusion of
hiring foreign nationals.
2.
Conflict of Interest
Conflicts are most likely to arise when a proposal is submitted to a company
where the Clarkson investigator(s) has a financial interest. The DOR PRN form
consists of information asking if the principal investigator or other key personnel
on the proposed project have current or pending obligations that could create a
conflict of interest if the proposal were funded. When such potential exists the
appropriate Administrator will review the circumstances in accordance with
Clarkson’s Conflict of Interest Policy.
http://www.clarkson.edu/hr/op_manual7.html#conflict
If the Annual Disclosure Statement distributed by the University has not been
completed, the proposal cannot be sent.
3.
Consortiums/Joint/Collaborative Proposals
Proposals for research to be conducted by Clarkson and one or more
other parties as a joint venture or partnership will occasionally raise questions
concerning the legal relationship and liability of each party. When such questions
arise DOR will review the arrangement and/or special concerns with University
Administrators, unless the arrangements are clearly intended to establish a
traditional contractor-subcontractor, consortium, or joint study relationship.
A consortium arrangement exists when two or more organizations agree to
participate in a collaborative project. It is not necessary for a consortium to be a
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formal or legal agreement. One participant will be designated as the lead
institution at the time of proposal submission and accepts full funding and
responsibility from the sponsor. Subcontracts are then used to transfer part of the
work and appropriate funds to the other participant(s). All conditions imposed by
the sponsor on Clarkson are also imposed on the subcontractor(s).
When Clarkson is the lead institution, DOR requires a statement from each
participating organization that includes a full cost budget and work scope, and is
signed by an authorized representative.
4.
Consultants
Consultants and subcontractors are independent contractors and not employees
or agents of the University. Special review and approval procedures are required
if a project anticipates using consultants. A consultant should not be confused
with a subcontractor. Both are different in their activity and relationship to the
Statement of Work (SOW). A consultant guides, aides, or provides other
technical or professional service to the principal investigator. While a consultant
may impact the results of the SOW, they do not conduct work resulting in the
satisfaction of a portion of the SOW. A subcontractor conducts a part of the SOW
and is responsible for the outcome of that work.
5.
Contracts
At the time of proposal submission a sponsor will often require an
indication of what terms and conditions will be acceptable to Clarkson in the
event of an award. Exceptions to a sponsor's terms and conditions are
addressed by the DOR in a transmittal letter. For commercial sponsors DOR will
often include a copy of the standard Clarkson agreement Investigators who are
aware of special sponsor requirements should discuss them with the DOR well in
advance of the proposal deadline.
6.
Intellectual Property
Intellectual property is addressed in the terms and conditions negotiated
by DOR when accepting an award. For most awards Clarkson will retain
ownership of intellectual property developed on sponsored projects in order to
avoid conflicting commitments to various sponsors. See Compliance Section
http://www.clarkson.edu/~davisju/research/compliance/intelectual_property.html
for additional detail.
7.
Limited Submission Competitions
Some sponsors limit the number of nominations or proposals that
Clarkson may submit to a particular program. The DOR will request an abstract
of the proposal idea and reviews the nominations or proposals and select those
that most closely match the sponsor's interests and have the best opportunity for
success.
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8.
Principal Investigator Eligibility
Full time faculty members are eligible to serve as principal investigators (PIs) or
project directors on sponsored projects. Within certain limitations other titles such
as research professor, emeritus faculty are also eligible. Exceptions may be
made with prior approval from the Vice Provost for Research.
9.
Principal Investigator Responsibility
The principal investigator or project director is responsible for the conduct of the
research or other activity being supported by a sponsored project. Responsibility
includes the technical direction of the work and other contractual obligations such
as reporting, proper cost assignment, and supervision of project personnel and
subcontractors.
10.
DOR Endorsement
The Division of Research endorses all proposals submitted for external research
funding, on behalf of the University. All proposals are subject to a full DOR
Administrative review, which includes proposal content and format, adherence to
sponsor and University terms/conditions, budgetary compliance, and special
compliance matters.
11.
Subcontracts
Awards made to Clarkson are usually conducted within the University's physical
boundaries. Occasionally a part of the effort may need to be provided by other
institutions or companies (third parties) who are held responsible for a part of the
project. When the part being performed by a third party constitutes a substantive
component of the sponsored project, the third party is required to provide the
necessary resources to conduct the work, including providing an investigator at
the work site to oversee the project activities. Costs normally associated with
third party effort could include: labor, employee benefits, materials and supplies,
travel, equipment, subcontracts, consultants, other direct costs, and indirect
costs. Once the relationship is established, DOR develops a subcontract that
legally binds the relationship and includes the third parties' responsibility to
adhere to the sponsor's regulations and requirements.
IX.
PROPOSAL AND COMPLIANCE REVIEW PROCESS
1.
Proposal Review Process
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General Rule: The Division of Research will endorse all
research proposals on behalf of the University. Any University
official has the option to request a research proposal be
withdrawn at any time. This request must be made in writing to
the Division of Research.
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2.
All Proposals: require the review of the PI and/or Co-PI(s) and
review/endorsement by the Division of Research prior to
mailing the proposal.
Standard Proposals: will be routed for signatures on an afterthe- fact basis to Deans, Department Heads, and any other
University officials requiring review/endorsement.
Special Review Proposals: will be routed for
review/signature to all necessary administrators prior to
mailing the proposal.
Compliance Review Process
A number of internal compliance review and approval procedures may be
required before proposal submission, or before an award can be accepted by the
University. All necessary reviews and approvals should be initiated prior to
DOR’s proposal review process, thereby avoiding last minute delays.
a.
Animals Subjects:
http://www.clarkson.edu/~davisju/research/compliance/
b.
Biosafety:
http://www.clarkson.edu/~davisju/research/compliance/biohazar
ds.html
c.
Conflict of Interest:
http://www.clarkson.edu/hr/op_manual7.html#conflict
d.
Human Subjects:
http://www.clarkson.edu/~davisju/research/compliance/human_s
ubjects.html
e.
Intellectual Property:
http://www.clarkson.edu/~davisju/research/compliance/intelectu
al_property.html
f.
Misconduct in Scholarly Activities:
http://www.clarkson.edu/~davisju/research/compliance/miscond
uct.html
g.
Radiation Safety: http://www.clarkson.edu/radiation/
X.
h.
Insurance and Risk Management: djilek@clarkson.edu
i.
International Agreements – babu@clarkson.edu
j.
Space Rental or Renovation – dillonb@clarkson.edu
PROPOSAL PREPARATION AT A GLANCE
1.
Notifying the DOR
The DOR requests faculty to notify the office of their intent to submit a
proposal well in advance of the proposal due date. (Minimum five working days).
To facilitate this need, faculty are requested to submit a Proposal Submission
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Notice (PSN). LINK (get form from Linda) This notice requests information
necessary to assist in the proposal preparation process, including a budget.
2.
Contacting the Funder
Funding agencies have varying requirements for making initial contacts
regarding funding of sponsored projects. DOR maintains current guidelines of
numerous public and private funding sources, as well as listings of the name,
title, address and telephone numbers for current program officers and other
representatives of funding agencies who are the initial point of contact for faculty
wishing to discuss the scope of their project. These guidelines frequently specify
the exact requirements regarding the appropriate means of initial contact (e.g.,
by letter, telephone or brief pre-proposal).
Once these guidelines are understood, faculty should feel free to contact
funding officers directly to discuss the scope of individual projects. In this way
faculty can ask potential sponsors the kind of questions that will assist them in
submitting the most competitive proposal possible. The sponsors’ officers can, in
turn, give valuable guidance and assistance to the faculty member in preparing
the proposal according to the requirements of their organizations.
Faculty who contact the funding agency directly should address the
following basic questions:
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What do you intend to do?
Why do you want to do it?
How will you do it?
What do you estimate the project will cost?
Why should they fund you?
When and Where will you do it?
Who are you and What are your qualifications?
Who will benefit from this work?
3.
How To Obtain Application Guidelines
Faculty may decide to request application guidelines directly from
sponsors. Should this be the case, the DOR asks faculty to send a copy of the
application materials to the DOR. Care should be taken to closely follow
application guidelines in preparing the proposal. Sponsors frequently spell out
the requirements for their applications in very specific terms. These organizations
can and do return proposals without a review if they do not conform to the
directions given in the application guidelines supplied by them. In particular,
faculty should pay careful attention to all of the following in preparing the
proposal:
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Page length of the proposal;
Specifications on the typeface and font size, and characters per inch;
Limitations placed on the length of resumes or other appendix
materials;
Deadline date for submission of the proposal:
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date of delivery at the agency
date by which proposal must be stamped with official U. S.
Postal Service postmark;
 Specific number of copies of proposal to be submitted;
 Certifications or assurances to be sent with proposal.
Any questions about the application process, required certifications,
budgets, and other issues related to the submission process should be referred
to DOR as soon as possible in the preparation of the proposal.
4.
Responsibility of Principal Investigator
All proposals with the exception of preliminary proposals that DO NOT
contain SPECIFIC BUDGET INFORMATION must be submitted through the
DOR. It is the responsibility of the Principal Investigator (PI) to insure that the
proposal is prepared in accordance with University policy and funding agency
guidelines. The DOR will assist the faculty in this by providing information on
funding agency guidelines and guidance on University policies as they relate to
the specific proposal.
It is recommended that the DOR be contacted even for a preliminary
proposal submission, if possible. This will insure that any budget estimates that
may be included are in accordance with University policy.
When faculty have identified appropriate funding sources, it is advised to
contact the sponsor directly to be sure that the proposed research topic is within
the current scope of the funding agency’s interests and what is an appropriate
budget. This is very important in dealing with both public and private funding
sources since direct contact with the sponsor may also help to answer questions
about the project that may not be addressed in the printed materials. This will
reduce the time and effort spent by PIs if there is no match.
The DOR provides assistance in the full proposal preparation process,
including identifying a funding source (links to all funding resource homepages),
obtaining agency guidelines, copying, mailing proposals, proofreading/editing,
and any other proposal development services required to meet agency and
University requirements.
5.
Types of Proposals
Proposals generally fall into one of six categories:
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New: request funds for a project not previously funded.
Continuation: Request the awarding of previously recommended
support. This is used in multi-year awards.
Renewal: Request additional support beyond that which was
previously recommended.
Supplemental: Request additional funds for the current operating
period of an award.
Preliminary: Proposals that describe, in a general way, the proposed
research and that may contain only estimated budget information. The
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agency then reviews and advises as to whether or not it is interested in
receiving a formal proposal. Preliminary proposals may not
necessarily lead to a decision to award.
Resubmission: Proposals that have been revised based on reviewers
comments and resubmitted to the agency.
6.
Proposal Guidelines
In preparing proposals for submission to external sponsors, PIs should
pay careful attention to the directions and information available in the program
application materials provided by the sponsor. These application packages are
often referred to by one of the following:
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RFP—Request for Proposals
RFA—Request for Application
PRDAProgram Research & Development Announcement
application booklet
program brochure or guidelines
7.
Agency Forms
The DOR maintains most agency forms (federal) electronically. Contact
the specific agency involved or DOR todd.travis@clarkson.edu for assistance. As a
general rule, the DOR will complete all required agency forms on behalf of the
PIs.
8.
Suggested Format
Please keep in mind the four C’s of a well written proposal: 1) Clear, 2)
Concise, 3) Complete, and 4) Correct.
In the absence of specific directions from the sponsoring agency, you may
use the following format to organize your proposal.
Title and Cover Page: Most sponsors require applicants to fill out an official cover
page for the proposal. Specific institutional information such as Federal ID
number,
Congressional
district,
etc.
is
available
at
http://www.clarkson.edu/~davisju/research/proposal_prep/institutional_profile.html
The cover page must be signed by an institutional officer, usually the Director of
Research.
In the absence of an official sponsor cover page, the DOR has a standard
cover page format which lists the necessary information about the University and
the Principal Investigator(s). LINK TO STANDARD SIGNATURE PAGE (get
form from Linda)
Abstract or Project Summary: Sponsors often request a brief summary or
abstract of the overall proposed project. Be sure to follow sponsor guidelines on
length of this abstract.
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In the absence of specific guidelines or forms, it is often useful to include a
brief abstract of no more than one single-spaced page summarizing the project
purpose, methodology, costs, and timetable. Be sure to include your name,
institution, and the title of the project on the abstract page.
Click
here
for
a
sample
http://www.clarkson.edu/~davisju/research/proposal_prep/
NEED
FROM RJS
abstract
TO GET
Introduction: The introduction answers the questions of why you are applying,
what you are asking for, and who you are as principal investigator. This section
should also include background (who has performed similar work, including
pros/cons), and finally how this proposal compliments or benefits the sponsor. In
writing the introduction try to show how your project interests align with the
interests of the sponsor. Read over the sponsor guidelines and follow the
directions/advice about explaining your project.
Project Goals and Objectives: Goals and objectives are not the same and should
be dealt with separately. The goal of your project is what you hope to
accomplish as a result of the entire project. Your objectives are statements of
precise outcomes that can be measured as project accomplishments. Properly
written objectives should be specific, measurable, and time bound. Unless
specifically requested by the sponsor, do not include milestone activities.
Plan of Action, Methods, Design: This section of the proposal answers three
important questions: (1) when you are going to do the project, (2) where the
project will be performed, and (3) how you will accomplish each aspect of the
work. The plan or methods section will be the longest section of the technical
narrative and will present a description of the work to be done in accomplishing
the project objectives. It should account for all activities and individuals to be
involved in the project. This section of the proposal often includes a time chart or
flow chart showing the order of activities to take place.
Bibliography: In writing the proposal, you should also show that you are familiar
with the literature on the subject you are investigating. Follow the sponsor
guidelines in providing a bibliography of materials relevant to the proposal you
are submitting. Also, check to see if the bibliography is part of the overall page
limitations or in addition to those page limits.
Curriculum Vitae: Include curriculum vitae for yourself and all key members of
the proposed project. Be sure to follow sponsor guidelines on format and length
of vitae and be sure your curriculum vitae is completely updated. Unless
otherwise specified, curriculum vitae should be included at the end of the
proposal narrative.
Required Reviews (human subjects, animals): The proposal should specifically
state procedures to be followed in the use of human subjects and animals in the
project. Adherence to Federal regulations is required. Projects which involve the
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use of human subjects must be reviewed and approved by the University’s
Institutional Review Board (IRB) prior to proposal submission. Clarkson does not
have resources for the use of animal subjects on campus.
Contact the DOR
should the need arise for this specific use so arrangements and compliance
issues can be addressed.
Current and Pending Support: Many sponsors request applicants to supply
information on both current and pending support. The Division of Research
Database Management System (CURDIMS) generates the data electronically for
all Clarkson faculty. DOR practice is to generate this statement for the PI/CO-PI
to review/editing. The final document is prepared by the DOR on behalf of the
faculty and in accordance with agency guidelines.
Appendices: Appendices in your proposal should be clearly labeled and provide
supportive information that relates directly to the proposed project. The use of
appendices and any restrictions on number of pages in proposals is specifically
limited by most sponsors. For this reason, it is essential to consult the sponsor's
proposal preparation guidelines. Be sure to note whether or not the page
limitation on the overall proposal length also includes the pages in the
appendices.
Facilities and Equipment: Information pertaining to resources available to the PI
for the conduct of the project should be described in detail. Examples of such
resources include: lab space, equipment, library resources, shop services, and
University computer systems.
Additional Proposal Sections
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Broader Impacts (sample broader impact statement.doc) get from
RJS
Assessment/Evaluation (sample assessment-evaluation.doc) get
from RJS
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