The nuts ‘n bolts of submitting a
grant proposal…
Trish Lowney, Ph.D.
Exe Dir, Office of Sponsored Programs
osp.syr.edu | plowney@syr.edu | 113 Bowne Hall
Topics
Why pursue external funding
 How to find likely sponsors
 The Application Process
 Peer/Merit Review
 Characteristics of a compelling application
 Other important matters
 Key Terms

Why pursue external funding

Need more resources than have in hand to
conduct or disseminate research

As a grad student –
◦ Establish track record of success

As a post doc
◦ Enables pursuit of *your* interests
◦ Establish or build up track record

As a faculty member
◦ Increase amount and pace of work can do
◦ Train next generation of researchers / investigators
◦ Tenure / promotion
Proposal development lifecycle
Idea
Identify
Sponsor
Develop
proposal
Internal
Feedback
OSP
Submits
Wait 6-9
months
Obtain all
application
materials
Internal
Approvals
Complete
application
– correct
format
Award
Do good &
important Work
How to find likely sponsors
Ask your advisor / colleagues who’ve
come before you
 Check out the acknowledgements section
of your literature
 Search Community of Science, Illinois
Research Information Service

◦ http://osp.syr.edu/Finding%20Funding/Search%
20Engines/subscription-databases.html

Then – investigate promising leads….
Investigating promising leads….

Confirm that your interests / needs align
with sponsor’s
◦ How?




Review sponsor’s mission, current interest, topics..
Review open FOAs
Review recent awards
ID who will shepherd at sponsor (program officer - PO)
◦ CONTACT PO well in advance of deadline
 ??s - Is program, mechanism appropriate for proposed
project??
 Send ‘concept paper’ (see OSP website)
 What are common proposal weaknesses
 GOAL - Develop a relationship with this person…
Promising leads….
Open FOAs –
Grants.gov – the central portal for federal
financial assistance
 Agency solicitations

 NIH – The NIH Guide:
http://grants.nih.gov/grants/guide/index.html
 NSF – Find Funding:
 http://www.nsf.gov/funding/
 USED IES – Funding Opportunities:
 http://ies.ed.gov/funding/

Sign up for electronic notification…
Promising leads….
Recent awards

NIH
 http://projectreporter.nih.gov/reporter.cfm
 Includes study section/review panel group
 Review who members are

NSF
 http://www.nsf.gov/awardsearch/

USED IES
 http://ies.ed.gov/funding/grantsearch/index.asp


Get copies of funded applications…
Awarded folks might be future collaborators or
colleagues!
Sample FOA & solicitation

FOA
◦ http://www.grants.gov/search/search.do;jsessionid=3rhDM
T8T98ZcFXGjCGG1MMqmdTBpBHflcWvDznWgTvL5Fy
GW2p9Y!240750350?oppId=44094&mode=VIEW
 Instructions
 Application (pdf ‘envelope’ decorated with attachments)

Linked Agency solicitation
◦ http://grants.nih.gov/grants/guide/pa-files/PA-08-169.html

Agency /program-specific application instructions

FOA + solicitation + application instructions together
= information you need to apply
Instructions

NIH – SF424 (R&R)
◦ http://grants.nih.gov/grants/funding/424/index.htm

NSF – the Grant Proposal Guide for
FASTLANE
◦ http://www.nsf.gov/pubs/policydocs/pappguide/nsf
11001/gpg_index.jsp

USED IES
◦ Not quite generic (varies with CFDA #)
◦ http://ies.ed.gov/funding/ncer_rfas/readwrite.asp
Instruction aids..

Does OSP have summaries or checklists
for sponsor’s instructions?
◦ Yes – NIH, NSF
◦ If not – ask if can be developed
◦ Use of these summaries does not relieve you of
obligation to know all information in application
package.
Proposal development lifecycle
Idea
Identify
Sponsor
Develop
proposal
Internal
Feedback
OSP
Submits
Wait 6-9
months
Obtain all
application
materials
Internal
Approvals
Complete
application
– correct
format
Award
Do good &
important Work
The Application Process

READ FOA & instructions
◦ This will take healthy chunk of time

Mechanics of submission

Internal routing & review process
Application Instructions –
common components








Summary (NIH - narrative; other ‘labels’)
Research Plan / Narrative / Description
Bibliography, references cited
Biographical sketches
Current & Pending support (NIH – JIT)
Budget & justification
Facilities, Resources, Equipment
Other stuff required or allowed
◦ Follow instructions exactly – this is not time to
be creative. Questions? Ask OSP or PO.
◦ Let your narrative convey your enthusiasm, creativity,
importance and innovation of your work
Application components

Research Plan / Description
◦ What you are going to do and how you will
do it (among other things)

Budget
◦ How much $$ you need
◦ Budget is the financial expression of work plan

Understand sponsor’s award limits
◦ NIH – direct costs
◦ NSF, IES – total costs
Sponsor award amounts

Direct costs, e.g.,
◦ R03 - $50k direct costs /yr for 2 years
◦ R21 – max of $250k direct costs for 2 yrs
 NIH then add IDC to this amount for total award

Total costs
◦ Direct + indirect costs
◦ $200k total costs = $137k direct costs for
research

POINT: Funds available dictate amount of
work can do..
Mechanics of Submission

Grants.gov (NIH, (PHS), IES, others)
 DO NOT REGISTER – unless award to individual
 DO download the ‘application package’
 Sign up for ‘alerts’ for solicitation – things change and it’s your
obligation to be aware of latest & greatest
 OSP submits as authorized institutional rep

FASTLANE (NSF)
 Ask OSP to create account – name, degree and year
issued

Other processes
 ProposalCentral? Paper? Specific website?
 Work with OSP.
Internal Routing and Review

Internal Routing and Review form
◦ osp.syr.edu
◦ Why do we care?
 We are certifying to the accuracy, completeness, truthfulness
of all materials, assuring compliance with all applicable federal
regulations, and agreeing to comply with all applicable terms
and conditions for award, among other things.
 We need the fully signed IRR to do this (you do this too on
IRR)

OSP service guidelines
◦ http://osp.syr.edu/About%20Sponsored%20Programs/
OSP%20Service%20Guidelines/OSP%20Service%20G
uidelines.html
Proposal development –

Plan on being finished 2 weeks before deadline


Work backwards from THAT internal deadline
Do you need materials from others?

Collaborators, advisors, mentors, references?





Inform asap, do as much prep work for them a possible
OSP will not submit application that names folks from whom we don’t
have proper written permission
 Non-SU individuals: letter of collaboration
 Non-SU organizations: letter of commitment/consortium agreement
 New collaboration form coming to help with FFATA requirements
Give yourself plenty of time
Have others read draft narratives (including Program
Officer if you’ve budgeted time)
Your advisor and others need to ‘sign off’ on IRR
Peer/Merit Review

Understand how your application will be
reviewed
◦ What’s the process used
◦ Who are the reviewers

Is there anything unusual about your
application what requires special
consideration?
◦ Suggest ad hoc reviews
◦ Select appropriate review panel (NIH CSR)

Application must respond to review criteria
Characteristics of a compelling
application – clearly communicates
Great / Important idea!
 Best approaches to take

◦ Rationale for choices
◦ Alternatives presented
◦ Speed bumps identified

Qualified and capable applicant
◦ All expertise needed for success is available
◦ All resources needed for success are available
Characteristics of a compelling
application

“SO WHAT” conveyed…
◦ Significance of idea
 Context presented and consequences / impact of
outcomes achieved
◦ Significance of each aim
◦ Analysis and interpretation of results
(expected & unexpected)
◦ Next steps presented
Characteristics….
Exciting, informative, importance /
significance crystal clear
 Easy to read
 Avoid jargon (or clearly define)
 Remember the reviewer

◦ White space
◦ Judicious use of cartoons, illustrations, tables etc
(a picture is worth a thousand words)

Follow instructions –
◦ Formatting errors  return without review
Other important matters
Human Subjects
 Animal Subjects
 Financial Conflicts of Interest
 Environmental Health and Safety

Summary
Understand process
 Plan ahead (time management)
 Grant development – not to be done in
isolation

◦ Ask for input, help early & often

Every institution has an OSP (may have
different names) – we’re available to help.
Funding opps for grad students..

F31- Pre-doctoral fellowships
◦ http://grants.nih.gov/training/F_files_nrsa.htm

F32 – Postdoctoral fellowships
◦ http://grants.nih.gov/grants/guide/pa-files/PA-10110.html

Pathways to independence
◦ http://grants2.nih.gov/grants/guide/pa-files/PA-10063.html

NSF- SBE Doctoral Dissertation
Improvement Grants
◦ http://www.nsf.gov/funding/pgm_summ.jsp?pims_i
d=13453&org=NSF&sel_org=NSF&from=fund
Key Terms

Funding Opportunity Announcement (FOA)
◦ How the federal gov’t communicates to public its
interest in supporting a program ordinarily through
grant or cooperative agreement
 HOW: Find Grants.gov and agency sites
 NIH – Types of FOAs: Program announcement (PA (and PAR /
PAS)), Request for Applications (RFA)
 NSF - Types of FOAs: Dear Colleague Letter, Program
Description, Program Announcement, Program Solicitation

Financial Assistance
◦ Awards that transfer money, property, or services to
a recipient so that it can accomplish a public
purpose. Has a catalogue of federal domestic
assistance number (CFDA no)
Key Terms

Grant
◦ Legal instrument for a type of financial assistance –
award to institution or individual; ordinarily
incorporates provisions from OMB circulars (Office
of Mngt & Budget) – A-110, A-21, A-113

Cooperative Agreement
◦ Variation on grant award; has significant involvement
/engagement / oversight of agency program officer

Procurement
◦ Awards that transfer money to a recipient so that it
can address a need or purpose for the benefit the agency.
– Agency presents specifications, deliverables etc
Key Terms

Contract
◦ Legal instrument for procurement; provisions
governed by Federal Acquisition Regulations (FAR)

Sponsored Program
◦ At SU – any activity supported by a third party
through any legal instrument with SU with period of
performance. Managed by Office of Sponsored
Programs

Program officer (or manager, director)
◦ Individual at agency / sponsor who is responsible for
overseeing technical aspects of award. Ordinarily is
not authorized to obligate agency or funds on behalf
of sponsor.
Key Terms

Grant or contract officer
◦ Individual at agency / sponsor who is responsible for
administrative/contractual aspects of award. Is
authorized to obligate agency or funds on behalf of
sponsor.

Principal investigator (or Project Director)
◦ Individual at SU who is responsible for overseeing
technical aspects of award. Is not authorized to
obligate SU resources.

Authorized Institutional Official (Representative)

Individual at SU who is responsible for administrative/contractual
aspects of award.


OSP Research Administrators: authorized to obligate agency or funds on
behalf of sponsor.
OSP Exe Director: authorized to execute contracts up to $500,000