Proposal Development Guide

BETWEEN SUBMISSION AND AWARD

Proposal and/or Budget Revisions

Sometimes an agency will ask for amendments/revisions to a proposal. The precise nature of the revisions required will vary from agency to agency. Some may ask for clarification by sending you a set of questions which you are to answer; others may ask for a narrative elaboration of one or more sections of your proposal. Or you may be asked to revise your budget. Adjustment in specific categories may be requested or a revision not to exceed a certain amount may be requested.

What steps you should take will depend on the agency, but you should consult with your Sponsored Research Officer before proceeding. While you can discuss project objectives and the implications of budget revisions with the funding agency at any time, you can not formally negotiate any budget or budget revisions with the funding agency. You must obtain institutional approval for all budget revisions including changes of direct and indirect costs, personnel effort or time, and cost sharing. Bear in mind that your proposal was submitted by the University on your behalf; therefore, any formal proposal or budget revisions must be submitted by Research Administration.

Please note, any budget or award negotiation should be done in concert with Research Administration.

Site Visits

A funding agency may indicate substantial interest in a project by requesting a site visit. While this is a hopeful sign, it does not guarantee that an award will be forthcoming. If a site visit is scheduled, the funding agency will indicate the type and complexity of the visit; the agency will provide you with an agenda or list of items requiring further information. Most site visits are one to three days and the funding agency will pay the cost of travel and lodging for the visitors. You should immediately notify Research Administration as soon as you learn of an impending site visit.

Contract Negotiations

Only the offices of Research Administration and Contract Administration are authorized to conduct grant or contract negotiations and to make commitments. In a few instances, negotiations may be conducted by staff from the Office of the Vice President for Financial Affairs.

Pre-Award Costs

The project start and end dates in the award document establish the period when contractual and financial commitments related to the operation of a project can be made. Ordinarily, any financial expenditure or obligation made prior to the start date stated in the award document can not be reimbursed from the grant. You must obtain specific written prior approval for payment from award funds of any pre-award expenditures. If there are to be allowable pre-award expenditures, these should be specified and approved by the sponsor during the negotiation process. These expenditures can then be specifically authorized in the award document.

Pre-Award Audits

For very large awards (usually those in excess of a million dollars, although the amount could be less) the potential sponsor may require a pre-award audit of the organization's financial record keeping system, justification of all budget items (including projections for cost-of-living or promotional increases for faculty and staff), evidence of fiscal viability, and organizational commitment to the proposed project. Although the office of Research Administration will be primarily involved in the pre-award audit, PIs may be asked to provide justification for the level of funds requested in certain budget categories. A pre-award audit is somewhat similar to a site visit except that it has as its focus the accounting and financial side of the project rather than the technical and programmatic aspects of the project.

Proposal Status Inquiry

While most sponsors will immediately acknowledge receipt of an application, the time frame for reaching a decision on whether to fund or not to fund a project can take much longer. The time frame could be as little as two months, mostly from small private sponsors, to upwards of a year, usually with most federal agencies. Plan on a minimum of six to eight months wait time.

Initiating any contact with the funding agency related to the status of a pending application should be avoided. This can be interpreted as an attempt to influence the review process. In many instances the sponsor has no real information to provide, other than that the process of review is proceeding. If you are concerned about the status of your proposal, contact your Sponsored Research Officer.