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HomeProposals: Preparation & SubmissionProposal Development BasicsTypes of Proposals

Types of Proposals

 

At Stony Brook University (SBU), we recognize that proposals come in various forms depending on the stage of the research, the nature of the funding, and the sponsor’s requirements. Understanding the distinctions between these types ensures efficient preparation and compliance with sponsor guidelines.

Letters of intent, white papers, and other forms of preliminary proposals 

They provide at most an overview of the proposed work. Many sponsors do not require detailed budgets or workplans at this stage, but may use these initial descriptions as the basis for decisions on whether to solicit a full proposal. Principal Investigators need to discuss these submissions with the Office of Sponsored Programs prior to sending them to the sponsors. 

New Applications

A new proposal is submitted for funding for the first time to support a project that has not previously been funded.

  • It typically includes a detailed description of the research objectives, detailed budget and project plans, budget justification, and appendices if required.
  • Requires compliance with sponsor-specific guidelines and institutional policies.
  • Submitted as either a solicited or unsolicited proposal.
Simultaneous Submissions of a New Application

Some federal agencies will not review a proposal submitted simultaneously to another federal sponsor. Others will allow simultaneous submissions but each agency must be informed of the other agency or agencies looking at the proposal either with a cover letter or on the cover page of the proposal. Each submission to a different agency must be submitted to OSP through myResearch Grants and must undergo the same reviews as did the original proposal.

When applying to multiple sponsors for the same project:

  • Ensure all submissions comply with sponsors' policies regarding duplicate submissions.
  • Clearly disclose simultaneous submissions to avoid conflicts.
Award Transfers 

Award transfers occur when a Principal Investigator (PI) moves to or from SBU and wishes to transfer an active award.

There are two basic mechanisms for transferring a new faculty member's funded projects to RFSUNY/SBU. The entire award may be reissued to RFSUNY/SBU or portions of the award may be transferred to RFSUNY/SBU through a subcontract. For further information, see the section on PI Designations.

Note that award transfers involve coordination with the sponsor, the outgoing institution, and SBU’s Office of Sponsored Programs, and require careful review of project progress and budget.

Revisions (AKA: Resubmissions)

If a sponsor rejects a proposal, the PI may use the feedback received from the reviewers to revise and resubmit the proposal. The resubmission is processed as if it were a new proposal. It must be submitted to OSP through myResearch Grants and must undergo the same reviews as did the original proposal.

Continuation and Non-competitive Renewals

Many sponsors fund multiple-year projects. Funds will usually be awarded one year at a time, based on availability, with the expectation that the entire project will be supported. Some sponsors require that the PIsubmit a new proposal for each year of the project, even though all years were included in the original proposal. These continuation proposals are not subject to competitive review as was the initial proposal.

Continuation proposals are submitted to secure ongoing funding for multi-year projects.

  • Often non-competitive, provided progress and outcomes meet expectations.
  • May require submission of annual reports or justifications.

The internal review process for continuation proposals is a streamlined version of the original review. The proposal must be approved by OSP and must be submitted through myResearch Awards/Award Modification Request application. Institutional issues addressed at the time of the original proposal will not necessarily be revisited. For example, if cost sharing commitments for each year were already made and documented, and if there are no changes in the resources committed, the original approval process for cost sharing will not need to be duplicated.

Non-competitive renewals require the submission of progress reports, such as the NIH’s Research Performance Progress Report (RPPR).

  • Replaces the earlier eSNAP process for annual progress reports.
  • Demonstrates accomplishments and outlines plans for the upcoming period.
NIH Research Performance Progress Report (RPPR) 

The Research Performance Progress Report (RPPR) is the required form for grantees to submit progress reports to the National Institutes of Health (NIH). It documents a recipient's accomplishments and compliance with the terms of their award. NIH requires use of the RPPR module to submit progress reports for the non-competing award process, fellowships and multi-year funded awards.

       Types of RPPRs

  1. Annual RPPR
    • Used to report scientific progress, personnel updates, significant changes, and plans for the next budget period.
    • Access through the Commons Status tab.
  2. Final RPPR
    • Submitted during the grant closeout process to summarize project outcomes.
    • Available through the Closeout module once the grant is eligible for closeout.
  3. Interim RPPR
    • Required when a competing renewal (Type 2 application) is submitted.
    • Access through the Commons Status tab.
    • If the renewal is not funded, the Interim RPPR serves as the Final RPPR.
    • If funded, it serves as the Annual RPPR for the final year of the previous segment.

In order to use RPPR, a PI must be a registered NIH Commons User.

       Detailed Instructions

  • The PI will logon to Commons and select the RPPR tab on the menu bar. The screen that appears next is Manage RPPR and has a list of all awarded grants for the PI. The grants eligible for RPPR submission are displayed as a hypertext link.
  • Click on the grant you want to submit and complete the six (6) report sections: Upload Science, Organization Information, Performance Sites, Key Personnel, Research Subject, SNAP Questions, and Inclusion Enrollment.
  • When all the information is entered, the PI can check for errors by using the Validate button and make any necessary changes.
  • When the Progress Report is complete, click on the Submit button to send the Progress Report electronically to OSP for final review.
  • OSP will send the approved Progress Report electronically to NIH.
  • The non-competing proposal - or progress report - must be routed by the PI using  myResearch Awards/Award Modification Request to OSP (this does not need to meet the 5 business day deadline).

         Due Dates

  1. Annual RPPR

    • SNAP RPPRs: Due 45 days before the next budget period starts.
    • Non-SNAP RPPRs: Due 60 days before the next budget period starts.
    • Multi-Year Funded (MYF) RPPRs: Due annually on or before the award anniversary.

  2. Interim and Final RPPRs

    • Due 120 days after the competitive segment’s period of performance ends.

        Required Information

Every RPPR submission must include:

  • Due date to the sponsor.
  • eRA Commons credentials for the project director/principal investigator (PD/PI).
  • Accomplishments: A concise summary (up to two pages, excluding charts/graphs).
  • Participants: Names and effort of all personnel with at least one person-month effort on the project, including eRA Commons usernames.
  • Changes in Other Support: Updates on Senior/Key personnel funding status.
  • Level of Effort Changes: Reductions of 25% or more must be reported.
  • Unobligated Balance: Anticipated carryover exceeding 25% of the current budget.
  • Publications and Inventions: Compliance with NIH Public Access Policy and listing of outputs (e.g., patents, presentations).
  • Training and Professional Development: Details on opportunities provided.
  • New Senior/Key Personnel: Include biosketches for new individuals.
  • Changes in compliance-related areas: Updates on research involving human subjects, animals, biohazards, or foreign components.

          Roles and Responsibilities

  1. Department

    • Responsible for entering information into eRA Commons and completing continuation requests.
    • Routes RPPRs to OSP when ready for submission.

  2. Office of Sponsored Programs (OSP)

    • Reviews and ensures compliance with all NIH and institutional requirements.
    • Submits the RPPR as the Signing Official on behalf of the PD/PI.

For detailed guidance, consult the NIH RPPR Instruction Guide or contact the Office of Sponsored Programs for support.

Competitive Renewals

Federal agencies may fund a project for an extended period of time, dividing the project into discrete multiple-year blocks, each of which is subject to peer review. Proposals for competitive renewals must be approved by OSP and must be submitted through myResearch Grants in the same manner as new proposals.

Supplements

There are a number of federal programs which provide supplements to successful research projects in order to fund auxiliary programs, such as research experiences for undergraduates. Occasionally, a sponsor may have funds available to add to the budget of an already funded project. Proposals for supplements must be approved by OSP and must be submitted through myResearch Grants in the same manner as new proposals.

Collaborative Proposals

A collaborative proposal should be used when investigators at two or more universities wish to work together on a project, but wish to receive separate funding directly from the sponsor. Each collaborator must submit a separate proposal.

  • The proposals, which must have the same title, are linked by a cover letter which accompanies each proposal and asks that they be reviewed as a unit.
  • Usually, the project description is the same in each proposal but the budgets, biosketches, other support pages, and resources are specific to each participating institution.

Federal agencies that allow the submission of collaborative proposals will provide guidelines.

Subaward Proposals

When SBU investigators/RFSUNY participates as a subrecipient or subcontractor on another institution’s proposal, a subaward proposal must be prepared and submitted for inclusion in the lead institution’s application to the prime sponsor.

Subaward proposals undergo the same myResearch Grants submission and review process as any other proposal at SBU. These proposals must:

  • Include a detailed scope of work, budget, and budget justification to clearly define SBU’s role in the project.
  • Align with the lead institution’s submission requirements and the prime sponsor’s guidelines.

Our team ensures that all subaward proposals meet institutional standards and facilitate seamless collaboration with the lead institution. For assistance with preparing a subaward proposal, contact the Office of Sponsored Programs.

Solicited Proposals

Solicited proposals are submitted in response to specific funding opportunities such as a Request for Proposals (RFP), Funding Opportunity Announcement (FOA), or Broad Agency Announcement (BAA). These opportunities are issued by sponsors seeking innovative solutions that align with their goals and priorities.

Key Characteristics:

  • Defined Objectives: Align closely with a sponsor's identified goals or problems.
  • Detailed Guidelines: Provide clear instructions regarding formatting, content, deadlines, and submission requirements.
  • Competitive Process: Multiple investigators may compete for the same funding opportunity.

Examples at SBU:

  • Submitting grant proposals in response to NIH, NSF, or DOE funding calls.
  • Responding to New York State initiatives for economic development.
  • Proposals to industry partners through established agreements at SBU.

 

Unsolicited Proposals

Unsolicited proposals are investigator-initiated and submitted without a formal request from a sponsor. These proposals showcase the researcher’s vision, addressing pressing issues or exploring transformative ideas that resonate with the sponsor’s mission.

Key Characteristics:

  • Innovator-Led: Driven by the researcher’s creativity and expertise.
  • Flexible Format: Typically less structured but must clearly align with the sponsor’s priorities.
  • Relationship Building: May involve preliminary discussions with potential sponsors.

Examples at SBU:

  • Submitting proposals to private foundations.
  • Partnering with industry sponsors for innovative research initiatives.
  • Introducing novel ideas to philanthropic organizations supporting higher education.
Proposal Development Basics
Proposal Development Basics