Chapter 4 - Writing the Grant Proposal

There is no single accepted format for grant proposals because sponsors have specific guidelines or instructions and/or printed forms to be used in preparation of proposals. The outline below is offered as general preparation guidance.

Proposal Content

All proposals, whether prepared in accordance with sponsor-specific instructions or not, should include the following basic elements in order to provide the sponsor with information adequate for review.

Face Page

A cover page is used to summarize key elements of the proposal and to indicate that submission of the proposal has been approved by the University. The Principal Investigator's signature on the face page certifies that he/she is familiar with and will accept the conditions of the award published by the sponsor. When the sponsor provides neither a form nor format for the cover page, the following basic information should be included:

1. Sponsor Identification: The complete official name of the organization from which funds are requested. In the event of a proposal for a subcontract, the sponsor is the organization which will issue the subcontract.
   
2. The title of the proposed project. This should be a concise description of the specific project proposed.
   
3. Name and address of the organization which will act as fiscal agent for funds awarded. This will be either:
   

   The Research Foundation of State University of New York
   on behalf of
   State University of New York at Buffalo
   402 Crofts Hall
   Buffalo, NY 14260-7016
   Telephone: (716)-645-5000
   Fax: (716)-645-2760

   OR

   UB Foundation Services, Inc.
   on behalf of
   State University of New York at Buffalo
   Box 900
   Buffalo, New York 14226-0900

4. The name, academic title, address, phone number and email address of the Principal Investigator.
   
5. The proposed starting date for the project.
   
6. The proposed duration of the project.
   
7. The total amount of funds requested from the sponsor in both direct and facilities and administrative (indirect) costs for the project period.
8. The date on which the proposal is submitted.
   
9. The Principal Investigator's signature.
   
10. The signature of the cognizant Grant and Contract Administrator. This signature indicates to the sponsor that the proposal has official University endorsement and approval.

Abstract

Every proposal should include an abstract of 50-250 words on a separate page immediately following the face page. The abstract should describe the objectives of the project, the methods to be used, and the significance of the anticipated results. The abstract will be used by the sponsor to determine the relevance of the proposal to the sponsor's mission, eligibility for specific programs, and assignment for review. The abstract is an important part of the proposal and should be prepared with considerable care.

Table of Contents

A table of contents should be included for all but very brief proposals. Only major topic headings should be listed for proposals of moderate length. In lengthy proposals, subheadings as well as lists of tables and figures should be included.

Problem Statement/Needs Assessment

The proposed project should be described ; clearly stating specific objectives to be achieved. The need for the study and/or the significance of its outcomes should be presented convincingly, and realistically. A sound rationale for the project, which relates the objectives of the study to larger issues in the field, should be included.

Related Studies/Review of the Field

Frequently a proposed project will extend, correct, or improve upon work which preceded it. Therefore each project should be placed in the context of earlier, directly-related work. This part of the proposal should demonstrate the Principal Investigator's command of and ability to critically assess the field. This section takes on greater significance when the Principal Investigator does not have a body of published work in the field, as it is here that the ability to identify critical issues is established.

Study Design/Methods/Time Lines

In this section, the Principal Investigator provides evidence of ability to plan and conduct a study which will achieve the specific objectives. The material should be organized in the order the study will be conducted. Protocols, procedures, techniques, methods, data to be collected, data analysis, and anticipated outcomes and problems should be discussed. Provide sufficient detail to demonstrate that the design and methods are appropriate.

Preliminary Results

Sufficient preliminary data should be included to demonstrate the viability of the proposed methodology. The Principal Investigator should reference the mastery of the proposed method, and cite relevant publications.

Evaluation

Some proposals will require an evaluation component of the results or outcomes. Evaluation may be appropriate at critical points during the study and/or at its completion. It may be appropriate for project staff to conduct the evaluation or use outside, independent consultants. The design of the evaluation and the persons responsible should be detailed, as should the form and method for dissemination of the results of the evaluation.

Staffing/Management Plan

Personnel who will participate in the project should be identified by name (if known) and title. Refer to your sponsor’s guidelines for specific instructions as to what is required.

If the proposed project is a large one, a management plan which specifically delineates who will do what, and when it will be done, should also be included.

Facilities Available

The Principal Investigator should describe University and/or other facilities which are available to conduct the study, or which will be made available if an award is made. These should include facilities which are under the Principal Investigator's direct control, as well as school or university facilities, which will be used in the proposed project. All needed facilities should either be available, or funding should be requested to obtain them.

Subcontracts/Collaborative Projects

When a proposed project involves investigators from two or more organizations, a collaborative proposal is submitted to the funding agency. Various funding agencies use different terms for describing collaborative projects. For instance, the National Institutes of Health award "Consortium Grants" and have formulated a set of guidelines for establishing such grants which must be acknowledged by the collaborating organizations. The National Science Foundation entertains "Collaborative Proposals". The terms "subcontractor", "subrecipient", "subgrantee", and "lower tier recipient" are often used interchangeably.

When a collaborative project is contemplated, submission of the proposal to the funding agency must be coordinated by the organization designated as the lead institution. The usual method for submitting a collaborative proposal is for the lead institution to prepare one proposal that includes the collaborating organization as a subcontractor or subgrantee. If an award results from the proposal, a single grant or contract is awarded to the lead organization, and the lead organization in turn, issues a subaward agreement to the collaborator. The subaward agreement will contain terms and conditions required by the lead institution as well as relevant terms and conditions of the funding agency. Most Federal agencies prefer this method since it makes one organization solely responsible to the agency for administration of and reporting on the project.

A second method for submitting a collaborative proposal, one that is sometimes encouraged by the National Science Foundation and some private foundations and non-government funding agencies, involves simultaneous submission of proposals from the collaborating organizations. If the project is selected for funding, separate grants are awarded to each organization, and each organization is responsible for administering its own funding. It is expected that the lead institution will work with the collaborators to coordinate reports and publications.

Prior to formulating the proposal, the lead organization should contact the appropriate program official of the funding agency to discuss the options. The method chosen is generally the program official's call. Procedures for both methods described above follow.

When Submitting a Single Proposal with Subcontracts

The lead organization is responsible for formulating and submitting the complete proposal to the funding agency. A section should be included in the project narrative that describes the role(s) of the collaborator(s). The lead organization must collect the following items from the collaborator(s) for inclusion in the proposal:

• A cover sheet (usually the funding agency's cover form) signed by the collaborator's principal investigator and authorized organizational representative. Collection of the fully-signed cover sheet is important because by signing this form, the collaborator makes a number of assurances and certifications that are required of a recipient of Federal funds. In addition, the signature of the authorized organizational representative indicates that appropriate officials of the collaborator have reviewed the proposal and have committed the organization to participating in the project.
• Assurances/Certifications if the funding agency has forms containing these separate from the cover sheet
• A budget (preferably on the funding agency's budget form) for each project year and a cumulative, including the collaborator's indirect costs.
• A current biographical sketch for each of the collaborator's principal personnel.
• A list of current and pending support for each of the collaborator's principal personnel.
• A scope of work describing the role and tasks to be conducted by the collaborator. This should be included in the main project narrative. If an award results from the proposal, the collaborator's scope of work will be attached as an exhibit to the subaward agreement.

When planning a collaborative proposal, it is important to consider the nature of the collaboration and the roles that the participating organizations will play. The lead organization is ultimately responsible for managing the entire project and submitting all required reports to the sponsor. A subcontractor will assist with the design, conduct, and reporting of the project.

A subcontractor should be distinguished from a vendor or a consultant. In general, a subcontractor is an organization that:

• Has performance measured against whether the objectives of the project are met
• Makes programmatic decisions
• Assists with the preparation of reports to the sponsor
• Must comply with applicable sponsor requirements and policies

A vendor is an organization:

• Provides goods and services that are within the vendor's normal business operations
• Provides such goods and services to many different purchasers
• Operates in a competitive environment
• Is not subject to sponsor requirements and policies

A consultant is a company which, or an individual who:

• Is considered an expert advisor
• Is paid at a fixed daily or hourly rate of compensation
• Sets own hours, uses own equipment/facilities, and chooses own work methods
• Is not subject to sponsor requirements and policies

Principal Investigators should inform SPS as soon as possible if a collaborative project is contemplated. The Principal Investigator should discuss the technical aspects of the work to be subcontracted with the person who will function as the subcontractor's Principal Investigator. That person should prepare a formal proposal, containing both technical and cost information in a format which is compatible with the proposal which the University's Principal Investigator will submit to the sponsor.

Included with the subcontract proposal should be all applicable sponsor forms and a concise scope of work describing the specific tasks to be conducted by the subcontractor. The subcontract proposal should be routed through the subcontractor's approval process and be signed by the subcontractor's Principal Investigator and an official authorized to commit the subcontractor. This procedure will ensure that potential subcontractors are aware of the proposed terms and conditions of the prime award, and have an opportunity to either accept those terms and conditions or identify those which are unacceptable.

The formal proposal should be sent by the subcontractor to Sponsored Programs Administration, with a copy to the Principal Investigator. The information provided by the subcontractor is incorporated by the Principal Investigator into the University's proposal to the sponsor.

Letters of Support/Endorsement/Commitment

Whenever a proposed project will require assistance, cooperation, financial support, or collaborative effort by another individual or organization, a letter from that individual or organization identifying the contribution and their willingness to provide it should be included in the proposal.

Proposals should be prepared well before the deadline for submission. Proposals prepared hurriedly generally lack clarity and organization which are critical in the review process.

When writing the proposal, Principal Investigators may find it useful to review the most common shortcomings in grant applications, as identified by NIH review groups, which are summarized in the table below:

SHORTCOMINGS FOUND IN STUDY-SECTION REVIEW
OF 605 DISAPPROVED RESEARCH GRANT APPLICATIONS
TO THE NATIONAL INSTITUTES OF HEALTH

CLASS I: Problem (58 percent)
%
1.	The problem is of insufficient importance or is unlikely to produce any new or useful information.	30.2
2.	The proposed research is based on a hypothesis that rests on insufficient evidence, is doubtful, or is unsound.	8.1
3.	The problem is more complex than the investigator appears to realize.	7.4
4.	The problem has only local significance, or is one of production or control, or otherwise fails to fall sufficiently clearly within the general field of health-related research.	4.4
5.	The problem is scientifically premature and warrants, at most, only a pilot study.	42.8
6.	The research as proposed is overly involved, with too many elements under simultaneous investigation.	2.7
7.	The description of the nature of the research and of its significance leaves the proposal broadly stated and without a clear research aim.	2.4
CLASS II: Approach (73 percent)
%
8.	The proposal tests, or methods, or scientific procedures are unsuited to the stated objectives.	23.5
9.	The description of the approach is too nebulous, diffuse, and lacking in clarity to permit adequate evaluation.	19.5
10.	The overall design of the study has not been carefully thought out.	10.0
11.	The statistical aspects of the approach have not been given sufficient consideration.	5.5
12.	The approach lacks scientific imagination.	5.0
13.	Controls are either inadequately conceived or inadequately described.	4.6
14.	The material the investigator proposes to use is unsuited to the objectives of the study or is difficult to obtain.	2.6
15.	The number of observations is unsuitable.	1.6
16.	The equipment contemplated is outmoded or otherwise unsuitable.	0.7
CLASS III: Personnel (55 percent)
%
17.	The investigator does not have adequate experience or training, or both, for this research.	25.8
18.	The investigator appears to be unfamiliar with pertinent literature or methods, or both.	10.9
19.	The investigator's previously published work in this field does not inspire confidence.	10.0
20.	The investigator proposes to rely too heavily on insufficiently experienced associates.	4.0
21.	The investigator is being spread too thin and would be more productive by concentrating on fewer projects.	3.0
22.	The investigator needs more liaison with colleagues in this field or in collateral fields.	1.3
CLASS IV: Other (16 percent)
%
23.	The requirements for equipment or personnel, or both, are unrealistic.	9.6
24.	It appears that other responsibilities would prevent devotion of sufficient time and attention.	2.8
25.	The institutional setting is unfavorable.	2.2
26.	Research grants to the investigator, now in force, are adequate in scope and amount to cover the proposed research.	1.4

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