Sponsored Programs Office is often referred to as SPO and that the Office for Innovation and Industry Engagement is referred to as IIE.
These are the two Michigan Tech groups that principal investigators and their colleagues will work with in developing and submitting research project proposals.
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Who is ready to start the proposal submission process? *show of hands*
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Questions to ask yourself
Am I eligible to submit
The Principal Investigator (PI) is eligible to submit a proposal. The following employee types can act as PI:
Tenure Track
Term Appointments
Adjunct, Retired, or Emeriti
Co‐ Investigator (Co‐PI) ‐ All employee types mentioned in PI category
Did I start early enough Am I responding to a solicitation or RFP/RFQ
What are my budget needs
Will there be Co Investigators
Proposal Considerations
Limited Submission – sponsor restricts the number of proposals that can be submitted, proposals are pre‐screened by Michigan Tech
‐ Internal submission deadline of 4 to 6 weeks prior to sponsor deadline to allow for review time
Pre‐proposals may be submitted without University review only if there is no itemized budget, no commitment of resources (people, funds, space, etc.), and it does not require a University authorized signature. When it doubt, review the policy on the Research website and/or call SPO/IIE
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Sponsored Programs Office (SPO)
Innovation and Industry Engagement (IIE)
Sponsored Programs Enhancement (SPE)
Compliance, Integrity and Safety (CIS)
Sponsored Programs Accounting (SPA)
Don’t get bogged down with deadlines ‐ check with us early in the process, we can help:
‐determine when your proposal is due to SPO or IIE
‐review materials for completeness
‐remember that SPO/IIE must process the final submission on all proposals on behalf of Michigan Tech
Ask your colleagues – they are a valuable resource for faculty that are new to this process
‐ Talk to your peers who have previously submitted proposals
‐ Talk to your Chair/Dean
‐ Talk to your Department Coordinators
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Key items to consider when developing your proposal ideas to help make your proposal stand out:
‐ Is there a “fit” between your research interests and the funding agencies interests?
‐ Have you researched potential sponsors’ funding criteria?
‐ Have you had conversations with program officers and other successfully funded researchers?
‐ Have you reviewed previously funded proposals?
‐ Thinking creatively; making connections
‐ Marketing your ideas for research
‐ Utilize Sponsored Programs Enhancement’s services
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To reach the forms page, select “forms” in the left section called “references” from the Research home page www.mtu.edu/research
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‐ Always use the transmittal sheet found on the webpage, do not copy or download it ‐ Single discipline/task budget worksheet and multi‐discipline/task worksheet available
‐ Always use the cost share/matching support authorization form found on the webpage, do not copy or download it ‐ Always use the subrecipient commitment form found on the webpage, do not copy or download it ‐ Contact the compliance office for any questions on the use or need for compliance forms
‐ The “frequently requested proposal/award data” contains a weath of information used for proposals/awards such as addresses, sales tax exemption number, DUNS number, NSF Institutional Code, ect.
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THIS FORM IS REQUIRED FOR EVERY PROPOSAL
The transmittal sheet is the internal routing document that summarizes the pertinent information of a proposal.
The transmittal captures basic proposal information such as project title, start & end dates, sponsor information, including the deadline, and type of submission. It also includes:
‐ Budget information including cost share and F&A rate, along with sponsor limitations
‐ Other project requirements including space and technology needs
‐ Compliance requirements including IRB, IACUC, IBC reviews along with National Security and OHSA requirements
‐ Signatures are required and by signing the form the PI and Co PI’s certify to they understand multiple internal policies including
Policy on Misconduct
Conflict of Interest Policy
Sponsored Projects Responsibilities
NIH PubMed Policy
The named individuals are not debarred or suspended by any federal department or agency
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THIS FORM IS REQUIRED FOR EVERY PROPOSAL
The budget spreadsheet includes typical budget categories:
‐ Personnel‐PI, Co PI, Senior Personnel, students
‐ Fringe Benefits‐ set by the federal government
‐ Equipment & Travel
‐ Other Direct Costs (supplies, services, consultants, tuition, publications, sub agreements)
‐ Facilities & Administrative (F&A) Costs ‐ set by the federal government (SPO/IIE to advise which rate is applicable
All budgets should be supported with a budget justification‐ which explains your budget in words to help document the amounts requested in each category
It is recommended to have the final budget ready 2 weeks prior to the sponsors deadline. Note: The final budget will be incorporated into the complete proposal package. By finalizing the budget early this will allow you to work on the technical portion of the proposal rather than working on budget figures and completing the agency specific budget forms.
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Definition‐ Portion of the budget not requested of the sponsor and born by other sources. Aka match
Michigan Tech’s guidelines only allow disclosure of cost share in the budget or budget justification when cost share is required per the sponsor solicitation or RFP. If the sponsor guidelines do not require the cost share we will not quantify the cost share in the proposal.
The cost share matching support form is the internal routing document that outlines the required cost share amount(s). This form requires signatures from the individual who has budgetary control to commit to the cost share (Dean, Chair, PI IRAD, Center/Institute Director, VPR).
Note: If there is no cost share this form is not needed.
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When money is leaving the University for work that is being done at another institution or entity, they are considered a sub‐recipient.
Definition ‐ External entity performing investigator level work. They are responsible for a substantial portion of the project including programmatic decision making
Its is important to discuss with collaborators the scope of work, budget constraints, and timeline of submission.
Start communications early with your technical point of contact.
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Sub‐recipient commitment form is used to obtain:
‐ the necessary information to include the entity as sub‐recipient
‐ confirms the entity’s commitment and approval to include them in our proposal along with their willingness and ability to conform to the applicable regulations that may govern the proposal if it is awarded
‐ Clear & specific definition of deliverables
‐ Statement of Work (SOW)
‐ Identify authorized contact
‐ We recommend giving the sub‐recipient a deadline 1 week earlier than your internal submission deadline.
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The Independent Contractor (AKA named consultant) questionnaire. Information is used to determine whether the named individual will employed as a University employee or an independent contractor.
‐ A University employee will have fringe benefit costs associated with them
‐ An independent contractor may require sponsor approval
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Proposals that include the use of animals, human subjects and/or recombinant DNA require an additional application and approval.
Application forms are located on the research website.
When in doubt, show your love and contact the Compliance, Integrity and Safety Office!
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SPO/IEE have an established internal deadline for the complete proposal package of 48 hours before sponsor’s deadline
The complete proposal package includes:
‐Signed transmittal sheet
‐Finalized budget
‐Final technical proposal
‐If your proposal includes cost share or sub‐recipients those forms are to be included
When sponsor’s deadline is after 4 PM the proposal is due by 7 AM the prior day to provide the faculty member evening work time.
If sponsor requires hard copy submissions, the proposal is due in SPO/IIE one day earlier than indicated on the chart.
‐ SPO/IIE will cover mailing costs unless there is a need for 2nd day or overnight delivery
High‐volume submissions have earlier deadlines:
‐ NSF Career proposals have an internal submission deadline one week before the sponsor deadline
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Grants.gov (Submission portal for 26 federal agencies) http://www.grants.gov/index.jsp
FastLane (NSF’s on‐line submission portal) https://www.fastlane.nsf.gov/index.jsp
The frequently requested proposal data and information website will provide you with information needed to complete required forms.
Other governmental units and foundations increasingly have on‐line submission processes
Final “submit” is always done by the SPO/IIE for any electronic submission
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It is important that all areas work together to complete the proposal submission process.
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The PI will
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Review solicitation requirements.
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Develop initial budget and the technical proposal.
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Manage & disclose conflicts of interest.
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Satisfy compliance and safety requirements.
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Identify subrecipients. Negotiate terms/set timelines. •
Complete independent contractor questionnaire.
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Communicate re mandatory cost share. Obtain signatures.
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Prepare & route transmittal sheet for signatures.
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Submit complete proposal and accompanying materials to SPO/IIE
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The Deans and Chairs will
• Review & authorize proposal and transmittal form.
• Approve departmental cost‐share.
• Facilitate space/facilities requirements.
• Oversee faculty/staff effort.
• Support staff during proposal development process:
‐ share experiences and connect with resources.
‐ link with successfully funded researchers.
‐ serve as sounding board and assist with brainstorming.
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Review
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Solicitation/RFP review – Note: PI should also review
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Determine internal deadline
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compliance
Budget Preparation –we will assist with FB rates, F&A rates, Graduate Student support estimates
Guidelines for the final review include:
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Solicitation/RFP guidelines – includes page limitations, type size limitation, all elements of the proposal are included, correct rates used, budget is correct, submission method
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Internal guidelines
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General Agency or a federal guidelines – certifications and assurances
Signature
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Obtain authorized representative signatures
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Only an authorized representative is authorized to endorse a proposal per BOC policy
Submission of the official authorized proposal to the sponsor is to be done by our offices
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Know your deadlines
‐ Review the Solicitation/RFP carefully
‐ Review the internal submission deadline chart to verify when your proposal needs to be completed
Start Early
‐ Talk to your colleagues, they are a valuable resource for helping you through the proposal process for the first time (or event the second!)
‐ If needed, contact SPE to make your proposal sparkle
‐ Contact SPO/IIE well in advance of the deadline, they are happy to help with the process
‐ Work on your budget, and especially work with SPO/IIE EARLY on your budget – don’t forget the cost share form if applicable
‐ Complete the transmittal sheet
‐ Identify if there are compliance needs, sub‐recipients, or independent contractors – again, begin paperwork early
Understand the roles & responsibilities
‐Teamwork and communication are the keys to a successful proposal
Call SPO/IIE
‐ When in doubt & when you need help
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