Chapter 3: Getting Ready to Write the Grant Proposal
Grants differ from contracts in that they do not involve the sponsor in the conception or implementation of the proposed activities. Grants tend to be more flexible than contracts, with far fewer restrictions and conditions. The sponsor is more concerned with achievement of project objectives than with strict adherence to methodology or time frames.
Purpose of Grant Proposal
The proposal must convince the sponsor that the proposed project is consistent with the sponsor’s interests and priorities; the Principal Investigator has the training and expertise necessary to achieve the project’s objectives; the proposed project is feasible, and the investment of the sponsor’s limited resources will yield significant results.
Most grant proposals undergo peer review. The proposal must be direct, complete, convincing, and concise. Proposals most consistently funded by sponsors are those which address an issue or problem of significance to the sponsor andoffer the prospect of significantly advancing the field of study.
The form and content of proposals are dependent upon both the type of program proposed and the prospective sponsor’s priorities. To learn more about proposal fundamentals please visit http://www.research.buffalo.edu/sps/learn/default.cfm
Back to Table of ContentsPreliminaries to Preparing the Proposal
Appropriateness
Read the information published by the sponsor regarding the areas of its interest and the types of activities it actually supports. It is recommended you contact the cognizant program officer and outline the intended proposal These informal contacts with the program officer can yield useful information about the sponsor’s current priorities.
Letters of Inquiry to Private Foundations
Most private foundations prefer or require initial contact be made by brief letter of inquiry.. In general, The letter of inquiryis addressed to the staff person responsible for the program area, explains the purpose of the projectand how it relates to the foundation’s interests. For specific guidelines refer to the foundation’s website.
Private foundations receive more requests for support than can possibly be funded. Except for large national foundations, it is usually a small non-technical staff who make funding decisions. A carefully crafted letter of inquiry is essential to eliciting an invitation to submit a full proposal.
Grant Proposal Guidelines
A sponsor’s proposal preparation guidelines can be obtained directly from the sponsor. Read the guidelines carefully and completely. Plan the proposal so that all of the information requested by the sponsor will be provided in the format specified by the sponsor. If established application forms are called for, they should be used. special instructions (e.g., page limitations, font size and density, characters per inch, lines per inch, margin), should be observed.
Most guidelines will include the criteria which will be used when reviewing and evaluating proposals. The criteria should be reviewed before beginning to write the proposal. The proposal should include information which explicitly addresses each of the review criteria.
Special Considerations
If performance of the proposed activities will include unusual components (i.e., commitment of substantial effort by the Principal Investigator, space and/or facilities not currently available, installation of major items of equipment, renovation of University space, effort by state employees, use of hazardous materials, etc.), discussions with the department chair and other university officials are necessary and, will expedite the campus review process.
Back to Table of ContentsRequest for Waiver of Facilities and Administrative (F&A) or Indirect Costs
The total cost of any sponsored program includes direct costs plus Facilities and Administrative (F&A) costs (also known as indirect costs or overhead). (For more information on Direct and F&A Costs, please see Chapter 5). F&A costs are those costs incurred by the University to maintain and provide facilities and support services to many or all of the University’s sponsored programs.
All proposals to external sponsors must include F&A costs at the full, allowable rate. The University recognizes, however, that there will be very limited occasions when the University's interest will be best served by proposing a budget to a sponsor which does not include full F&A costs. When a Principal Investigator believes that those circumstances apply, she or he may apply for a waiver of F&A costs.
Requests for F&A cost waivers are made using the Request for F&A Cost Waiver form. Requests for waivers of F&A cost must be endorsed by the cognizant Department Chair and Dean and are subject to final approval by the Vice President for Research.
Keep in mind: no faculty or staff member, Chair, or Dean has the authority to commit the University to less than full cost recovery. Principal Investigators and project staff should never suggest to a sponsor that a project might be performed with less than full recovery unless a requested waiver has been approved.
Back to Table of ContentsInstitutional Approvals
All sponsored program proposals submitted on behalf of the University and its faculty and staff must comply with all applicable federal, state, and University policies and regulations before they are approved for submission. The following is a brief discussion of several policies and regulations that must be taken into consideration during proposal preparation.
Use of Human Subjects
It is the policy of the University that, prior to initiation, all research activities which involve the use of human subjects (i.e., individuals about whom data or information is obtained) either be reviewed and approved by the appropriate Human Subjects Review Board (HSRB) or be certified as exempt from review.
If human subjects will be involved in a sponsored program, early in the proposal preparation process the Principal Investigator should contact the chairperson of the appropriate HSRB to obtain information concerning procedures for review and approval of the proposed program. A list of the HSRBs, their chairpersons, and the areas represented is provided on the Vice President for Research's home page.
Use of Animal Subjects
University policy, state and federal law, and sponsor regulations require that the use of animals in research and training programs be approved before the program is initiated. Approval of the proposed use of animal subjects should be obtained prior to submission of the proposal to the external sponsor, as most sponsors will administratively withdraw the proposal if approval of the proposed use of animal subjects has not been received from the University within sixty (60) days following receipt of the proposal.
When animal subjects will be used in a sponsored program, the Principal Investigator should obtain and complete an application for Use of Laboratory Animals in Research, Teaching, or Demonstration http://www.research.buffalo.edu/iacuc/default.asp. Applications may be obtained from, and the completed application submitted to, the Institutional Animal Care and Use Committee (IACUC), 131 CFS Addition, South Campus, prior to the first day of the month in which the application is to be reviewed. The IACUC meets once each month, and applications received after the first of the month will be held until the next month.
Projects Involving Recombinant DNA, Infectious and Oncogenic Agents
All experiments involving recombinant DNA and infectious and oncogenic agents are to be reported to the University Biosafety Committee (UBC) using the forms and procedures established by the UBC. Information and forms may be obtained from the Secretary of the Biosafety Committee, Office of Environmental Health and Safety, 307 Michael Hall, South Campus, 829-3301. http://www.research.buffalo.edu/policies/healthsafety.asp
The University requires that all experiments involving the use of recombinant DNA be conducted in accordance with the current "Guidelines for Research Involving Recombinant DNA Molecules" (NIH Guidelines). The Guidelines, which should be read by all Principal Investigators working with recombinant DNA, define those experiments which must be reviewed and approved by the UBC and/or by the National Recombinant DNA Advisory Committee (RAC). The University requires registration of all recombinant DNA research with the UBC, even if the work is exempt, and does not require full UBC approval under NIH guidelines.
Acknowledgments of notifications and documentation of review and approval by the UBC will be sent to both the Principal Investigator and SPS so that sponsor requirements for evidence of appropriate Biosafety Committee notification or approval may be met.
Projects Conducted in Foreign Countries or Native American Territories
It is expected that all University faculty and staff will secure the appropriate reviews and approvals before conducting University-related research and other scholarly and creative activities in foreign countries, as they do when conducting University-related research and other scholarly and creative activities in the United States.
In addition, in the United States, special status is accorded Native Americans under federal, state and Native American nation laws that recognize the sovereignty of Native American societies and Native American nation territories. Consequently, relationships between most Native American nations and agencies of state and federal government have government-to-government characteristics and Native American nation territories are regarded as extraterritorial. It is essential, therefore, that as with any University activity conducted on the territory of a foreign nation, the Principal Investigator secure all necessary and appropriate reviews and approvals by the cognizant Native American governing authorities prior to initiating any University activity on any Native American nation territory. Such review and approval by Native American authorities is in addition to all other prior reviews and approvals required by University policies which govern research and other scholarly and creative activities conducted under the direction of members of the University faculty and staff.
Assistance in identifying the appropriate governing authorities or documenting the appropriate reviews and approvals is provided by the Office of Vice President for Research. For further information regarding review and approvals, contact the Assistant Vice President for Sponsored Projects Services at 645-2977, ext. 101 or by email at info@research.buffalo.edu.