An Introduction to Finding Funding Opportunities, Writing and Submitting Proposals, and Managing Awards at Stony Brook University

Stony Brook University is a public research university.  Conducting research at Stony Brook University involves a number of interdependent steps from finding funding, through proposal development and submission, to grant management, and reporting. Some research outcomes may have commercial value. In such cases, the University will seek to protect the intellectual property and promote its commercialization. While conducting research at or under the auspices of Stony Brook, faculty researchers must comply with all applicable health and safety regulations, regardless of whether research funds are obtained or sought. The involvement of human subjects, laboratory animals, biological materials involving recombinant DNA, radioactive materials or ionizing radiation, controlled substances and hazardous materials is subject to mandated review and approval by campus committees. Normally, such approval must be obtained before a proposal can be submitted to a sponsor. Participation in research involving human subjects requires certification of completion of a campus training program.

In support of its research enterprise, Stony Brook has developed several policies, procedures, and offices. It is important for faculty engaged in research at Stony Brook to understand the pertinent policies, procedures, and the role of the various offices at Stony Brook. While it is recognized that research can be conducted without funding, most research conducted at Stony Brook is funded research involving the submission of a proposal and the management of an award.  This introduction is organized around the life cycle of an award.  The major steps are shown below.       

Finding Funding

Stony Brook’s Research Resources Center has been establish to help Faculty find funding to support their research effort.  The office, directed by Peter Saal (peter.saal@sunysb.edu ;  631-632-9033), monitors the publication of new funding opportunities.  

Most faculty develop a research proposal on the basis of a funding announcement. The Research Resources Center distributes announcements throughout campus and publishes a Funding Bulletin. The Bulletin provides short descriptions of current and new opportunities. The Research Resources Center also assists in finding funding for faculty-initiated research projects. The office also coordinates the campus' participation in the Community of Science which contains information about scholarly activities of faculty at numerous institutions.  It can also provide custom-tailored lists of sponsored research opportunities.

Developing and Preparing a Proposal

The development and preparation of a proposal is a multi-step process.  The key steps are: 

• Define concept
• Define a work plan (scope of proposed research) that meets criteria given by sponsor.
• Review literature and conduct preliminary study if necessary
• Write the proposal
• Develop a realistic budget
• Obtain all necessary permits, authorizations, and meet all sponsor requirements  (including deadline) (see next section)
• Collect the necessary data required on face pages of proposal  (e.g., Congressional District, DUNS number) (click here for a list of commonly required data)

The Office of the Vice President for Research organizes grant writing workshops on a regular basis throughout the academic year. For a schedule of upcoming events click here.  Click here to see a PowerPoint presentation used during a recent grant writing workshop.     

Submitting a Proposal 

It is the role of the Office of Sponsored programs to manage the submission of proposals. The Office of Sponsored Programs will determine whether the Research Foundation of SUNY (RF) will manage the award or the Stony Brook Foundation (SBF). Questionable cases will be referred to a campus-wide committee to determine which foundation (i.e., RF or SBF) will manage the award. For a list of criteria used to determine whether RF or SBF will manage an award click here. Most research projects at Stony Brook are managed by RF. Each organized unit on campus works with a specific Sponsored Program liaison. It is important to contact your liaison well before the deadline. Your liaison can help you with more complex issues such as subcontracts to other institutions and budgets. 

No application for funded research can be submitted without the approval of RF (or SBF). Endorsement of a submission often requires certifications and assurances. It is the responsibility of RF (or SBF) to provide the required certifications and assurances to a sponsor. It is the responsibility of the faculty member to obtain the necessary internal endorsements by University administrators, such as Chairs and Deans. These endorsements as well as certifications regarding compliance issues and matching commitments are recorded on the Proposal Cover Form (aka Form 299 or 4-page form). To obtain endorsement by University Administrators, it is often necessary to provide the budget associated with the project, a summary of the project, and a statement of the human and physical resources to be committed to the project. The form is also used to record the reported allocations of expenditures when more than one campus unit is involved

If an application is successful, RF (or SBF) serves as trustee and fiscal administrator for all funds awarded in support of the project.   

Proposal Budget

Proposals submitted with an application for funded research must be prepared in compliance with sponsor and University regulations. The sponsor’s funding announcement may contain specific guidance on the type of allowable cost and required matching commitments. In addition, the proposed budget must use the current F&A (overhead) and fringe benefit rates. These rates are periodically updated and available by clicking here. Click here for a spreadsheet that can be used to develop a budget.  This spreadsheet uses the current rates. Note that many agencies use their own budget forms and/or electronic budget sheets.

Click here for more details on the regulations regarding F&A and fringe benefit rates. It is also often useful to consult your Sponsored Program liaison before you draft a budget. 

Establishing and Managing an Award

Acceptance of a proposal for funding leads to a number of actions. Often the sponsor will request changes to the budget. All such changes need to be approved by RF (or SBF). Only RF (or SBF) are empowered to negotiate, approve and execute contracts and agreements between the University and a sponsor for funded research. Throughout the negotiations RF (or SBF) will consult with PI of the project.

Once an agreement has been reached, an account will be established and managed by OVPR’s Office of Grants Management. This office reviews transactions (employment, purchases, travel, etc.) for consistency with sponsor and institutional policy. Acceptable transactions are sent to the appropriate fiscal Office in the Vice President for Administration area (Human Resources, Purchasing, Travel, etc.) for implementation.  The management of awards by the Research Foundation is accomplished through an Oracle Enterprise Management System maintained by the RF Central Office. That system permits investigators and their staff to access financial information about their accounts through the Principal Investigator Award Interface. Grants Management is also responsible for providing financial reports and closing out the account. 

Technology Transfer

Some research will lead to inventions and other intellectual property. The Office of Technology Transfer at Stony Brook is responsible for the management and commercialization of Stony Brook intellectual property. Technology Transfer evaluates inventions for patentability, commercial potential, and marketability. It develops and implements strategies to protect inventions and to market them to industry. It prepares, negotiates, monitors, and enforces license, option, and other agreements. And it advises University inventors and creators regarding patents, copyrights, and other intellectual property issues. http://www.stonybrook.edu/research/ottl/index.html