Proposals Development Basics
A well-written and skillfully prepared research proposal is crucial to the success of an application for research funding. This section provides guidance for developing the various sections of a proposal, including the budget, and explains the proposal review process.
As outlined above, a successful application submission involves collaboration between investigator, grant managers, department, school and OSP, depending upon each party’s timely and cooperative contribution. OSP is available to advise and otherwise assist investigators, departments, and schools in the process. Please direct any questions to OSP at OSP@stonybrook.edu or 631-632-9949.
- Do you meet the qualifications to apply for the program as outlined by the sponsor? Many sponsors have numerous programs that are applicable to project directors at a specific point of their careers.
- If defined by the sponsor, does The Research Foundation meet the requirements to qualify?
- If the sponsor specifies only a limited number of proposals will be accepted from a single institution, have you been approved to apply? (Contact the Office of Research Development & Assessment at 2-9033 for more information about Institutional Nominations)
- Does the sponsor state a receipt date, postmark date, target date or electronic submission
date?
Receipt Dates: The last day the sponsor will accept proposals.
Target Dates: Unless otherwise stated in announcements or solicitations, proposals postmarked after these “cutoff” dates will be reviewed, although they may miss a particular panel meeting or review cycle. It is recommended that project directors contact their Program Official concerning specific target dates.
Postmark Dates: A postmark is a stamped calendar date set by the sponsor for proposals. It is important to have your proposal stamped on or before the required postmark date. To obtain a postmark, project directors need to bring their proposal package(s) to a local United States Post Office. A postmark is NOT the same as a deadline; the actual postmark is the requirement of the sponsor.
Electronic Submission Dates: Proposal must be submitted electronically by the date and time indicated in the proposal announcement. Attention should be paid to the time zone indicated.
Other Types of Submission Dates: Most programs that do not have a specific deadline or target date will accept proposals at any time of the year. If unsure, contact the sponsor for clarification.
- Are there specific agency forms that are required by the sponsor?
- Is the submission required to be submitted via grants.gov?
- Are you using the most recent issue of application forms?
- What is the sponsor policy regarding use of facsimiles--do they require original forms only?
- How is the proposal assembled for mailing or electronic submission?
- Does the PI need to be registered to use the sponsor’s electronic proposal submission site?
- What kinds of costs are permitted? What may be permitted by one sponsor may not necessarily be allowed by another.
- How do they want the budget prepared?
- Are matching funds required? Did you get approval?
- Does the sponsor explain how to present the text of the proposal?
- What are the specific areas and concerns cited by the sponsor that should be included in the text?
- Is there a limit in the type size? Page limits?
- Are there specific instructions regarding margins, copying and binding?
- Additional signatures from the PI/PD, chair, dean, or compliance?
Most sponsoring agencies have specific format guidelines for preparing proposals, including the required forms for cover page, text, biographical data and budget. IN THE ABSENCE OF SUCH GUIDELINES, the following format, including a cover/title page, abstract, table of contents, introduction/statement of need, description of proposed research, biographical sketch, current and pending, facilities and equipment, and budget, may be useful.
| Face Page or cover page | The cover page captures items such as:
If a sponsor does not provide a coversheet form, this cover sheet sample [AS9] provides a guide for preparing your own with all the basic information ordinarily included in a proposal coversheet. |
|---|---|
| Abstract | While an abstract, or project summary, is not required by all sponsors, it is a highly effective means of presenting a project to a reviewer or review board. The abstract should highlight the scope of the proposed research, including its objectives and the intended methodology, the anticipated results, a statement of potential significance, and the time span of the project. Abstracts should be approximately 200-250 words, unless otherwise noted in the application instructions.Keep in mind that many program directors and review panel members will not read much more than the abstract. Program directors also use abstracts to select appropriate reviewers. |
| Table of Contents | The table of contents should list major sections of the proposal and give the specific page location where each section begins in the narrative. It need not include all subheadings but should be detailed enough to allow reviewers to find the section or sections of interest, without having to search through the entire proposal. |
| Statement of Work or Research Plan | One of the most critical elements of a proposal or subagreement is the Statement of Work. At a minimum, it should provide a full and detailed explanation of the proposed activity, typically including project goals and Investigator responsibilities. The introduction should engage the reviewer’s attention, encouraging a full reading of the proposal. |
| Budget and Budget Justification | The budget includes a reasonable estimate of the financial support required to conduct the project, including justification of budget expenses. Detail the direct costs and indirect costs that are being requested to conduct the project (see Budget Development for additional information). It is important to substantiate your budget with an explanation or a budget justification. The budget justification is used to clarify various line items such as the percentage of inflation, fringe benefits, difference in cost shared effort vs. salary requested, the type of equipment you plan to purchase, travel, etc. |
| Additional Information | Additional information may consist of the following:
|
| Biographical Sketch | If no format is requested, the format of the NIH four page biographical sketch is recommended. In its current format it includes a personal statement as well as current and pending support. If the sponsor requests these items separately you can use the older template.The CV or Biographical Sketch is required for all key project personnel. |
| Current and Pending Support | This section should include current and pending support with the sponsor name, title of the project, your percent of effort, amount of the award and the period of support. Some sponsors may require you to note any overlap and how it will be addressed if funded (total effort cannot exceed 100%). |
| Facilities and Equipment | List the facilities where the project will take place, indicating the availability of equipment and laboratory or research space. Include separate listings for all partners or sub awardees if at different locations. |
| References | A list of all references needs to be cited in the proposal. |
| Checklist (NIH only) | The checklist shows the breakdown of the indirect cost rate calculations. |
The role of a Principal Investigator (PI) carries with it full authority for the administrative, scientific, technical, and financial management of a sponsored project awarded to The Research Foundation for The State University of New York at Stony Brook University (RF). As such, the individual associated with Stony Brook University (SBU) must be an approved representative in good standing in order to fulfill their role as an award recipient. S/he would be primarily responsible for the design, conduct and reporting of their sponsored award and is subject to the policies and procedures dictated by SBU, RF and the sponsor. Failure to comply with The Research Foundation’s and Stony Brook University’s policies and procedures may result in unfavorable review, denial of funding, request for clarification documentation, additional terms and conditions as well as other enforcement actions imposed by the sponsors.
Policy Statement: The Research Foundation for the State University of New York (RF) at Stony Brook University (SBU) is committed to ensuring compliance with sponsor requirements and applicable regulations for sponsored programs. This policy outlines the eligibility criteria and responsibilities for Principal Investigators (PIs), CoPrincipal Investigators/Co-Investigators (Co-Pis/Co-Is), and Multiple Principal Investigators (MPIs) involved in sponsored programs.
All proposals in support of sponsored programs require approval of the Chair and/or Center Director and the Dean (or their designee) before submission to the sponsor. These approvals acknowledge that the investigator has the necessary skills and authority to perform the proposed work, that appropriate facilities and effort will be made available by the department and school/college, and that project and budgetary oversight will be provided.
In addition to the requirements in this policy, eligibility to serve as PI for any specific award must be in accordance with sponsor terms and conditions.
1. Definitions
Principal Investigator (PI): An SBU employee responsible for the scientific, technical, and administrative conduct of a sponsored program. This includes managing financial matters and ensuring compliance with relevant policies. A PI leading a training or public service project may also be called a Project Director or Project Administrator.
Co-Principal Investigator/Co-Investigator (Co-PI/Co-I): A faculty or nonfaculty investigator sharing responsibility for the project with the PI. Co-Pis/Co-Is who are SBU employees must meet the same eligibility requirements as PIs.
Multiple Principal Investigators (MPIs): Multiple PIs who share equal responsibility for leadership in multidisciplinary or team sponsored programs.
Sponsored Program: Any externally funded research, public service, or training and educational activity at the University, which has a defined scope of work including specific and clearly defined programmatic objectives and deliverables, along with a budget that outlines sponsor expectations and awardee accountability. Sponsored programs are funded through grants or agreements that typically include terms and conditions governing the disposition of both tangible properties (e.g., equipment, records, technical reports, theses, or dissertations) and intangible properties (e.g., rights in data, copyrights, and inventions). Note: The terms sponsored program, sponsored project, and/or sponsored activity are often used interchangeably.
2. Eligibility Criteria
While any appointed faculty member is eligible to submit proposals, they may serve as a PI on an sponsored program only if, at the time the award is established, they hold a paid, active SBU appointment. This appointment, whether permanent, renewable or term-limited, must align with the expected duration and level of time/effort committed to the sponsored program(s). Eligibility must be documented in myResearch Grants during proposal development, review, and internal approval.
2.1 Automatically Eligible:
● Faculty members with titles such as Assistant Professor, Associate Professor, Professor, Distinguished Professor, Clinical Professor, Research Assistant Professor, Research Associate Professor, Research Professor, and Librarian (Assistant, Associate).
● University administrators in leadership roles who must identify appropriate reporting structures (e.g., Director, position classification MC3 or higher).
2.2 Eligible with Prior Approval:
● Academic appointments such as Adjunct Professor, Lecturer, Instructor, Visiting Professor (Asst., Assoc.), Toll/Emeritus Professor* require prior approval from their Department Chair, Center Director or authorized unit leader. ● Research staff and students employed by the RF or SBU, whose primary responsibility is to carry out research but who do not have a faculty appointment (e.g., postdoctoral trainee, research associate, fellow, (senior) research scientist) need prior approval from their Department Chair, Center Director, and Dean (or Dean’s designee) or the appropriate senior leadership of other University units.
● University employees without a faculty appointment who wish to serve as a PI on a sponsored program require prior approval from their respective Dean/Provost/VP, and may also require OSP approval to be granted PI role in myResearch Grants.
NOTE: Prior approval may be granted during the myResearch proposal routing by the respective Department Chair, Center Director, Dean (or Dean’s designee) or the appropriate senior leadership linked to the unit designation. This approval cannot be delegated. It is important that the appropriate PI title is selected in the application (question 2 under the myResearch Grants Proposal Description & Contacts Smartform).
Individuals who do not have a faculty appointment at the time of proposal submission, but expect to have an appointment at the time of award, are permitted to be listed as PI if there is a written statement from the appropriate Chair or Dean, prior to submission and included in the myResearch proposal, indicating that faculty appointment will be completed by the time the award is made.
* Emeritus Professors in a PI or CoPI role need to obtain an institutional appointment from their respective Chair for the period for which the award is active. This appointment can be less than 100% and as small as 1%, but has to be for the time period of the project and has to represent at least the percent of effort on the sponsored program.
3. Responsibilities of the PI
● Management: Ensure sound management of the project, including adherence to research integrity principles, professional standards, and compliance with all regulatory requirements. The PI has the full authority for the administrative, scientific, technical, and financial management of sponsored programs, including compliance with SBU, Research Foundation (RF), and sponsor policies.
● Oversight: Oversee the research or supported activities design, conduct, and submission of technical reports or deliverables, ensuring compliance with both University and sponsor policies and requirements. Submit human subjects studies for Institutional Review Board (IRB) review and approval. Sign protocolrelated forms for submission to the Institutional Animal Care and Use Committee (IACUC), ensuring that all protocols related to the use of human and animal subjects are strictly followed. Adhere to occupational and lab safety protocols to ensure a safe research environment.
● Disclosure: Conflict of Interest/Commitment: Maintain a complete and accurate Disclosure Profile by submitting an annual certification and updating within thirty (30) days of any new activity. See the External Interests and Commitments Policy and the University and Sponsor Disclosure Requirements website for additional information.
● Export Control: Ensure compliance with all relevant export control regulations, including obtaining necessary licenses for the transfer of controlled research materials or information outside the United States.
● International Activities: Comply with SBU’s International Activities Policy, which governs research and collaboration with international entities, and ensure that all international research activities, including travel, adhere to the necessary regulatory requirements and risk assessments as outlined in the policy.
4. Compliance and Non-Compliance
● Proposal Submission: PIs are not authorized to submit proposals directly to sponsors without OSP approval, or accept an award/sign agreements on behalf of the University. Any negotiations associated with an award must be conducted by OSP. Pre-proposals may not require OSP’s endorsement, but PIs are still required to share their applications or intent to submit with OSP.
● Consequences: Failure to comply with SBU, RF, or sponsor policies may result in adverse actions including, but not limited to, unfavorable reviews, denial of funding, additional documentation requests, delays, and potential negative impact on both the award and the institution’s reputation.
5. Internal Funding and Limited Submissions
● Internal Funding: University internal funding opportunities, such as Research Seed Awards, may have eligibility and conditions requirements distinct from those of sponsored programs. Specific guidelines for such opportunities are provided in each funding announcement. Applicants must consult these guidelines to ensure they meet all criteria.
● Limited Submissions: The University utilizes an internal selection process to identify and fairly judge among numerous investigators interested in submitting applications for sponsored projects that limit the number of proposals originating from the University. The Office of Proposal Development manages the identification, communication and internal selection processes for all limited submissions.
6. Special Considerations
● Graduate Students/Postdoctoral Trainees including Residents: May be granted limited PI status under the direction of a faculty advisor for the purpose of submitting funding proposals and receiving funding to support their work. Campus policy requires graduate students to apply for grants under the direction of an advisor who holds a faculty appointment. The faculty advisor is the PI/PD and the student is the co-investigator internally, even if the sponsor requires that the student be listed as PI/PD on the grant application. The title of the research will be, for example, “Fellowship Research for....(student name)...in the study of....,” or “Dissertation Improvement Grant for....”
● BNL scientists with formal SBU affiliations (e.g., adjunct or voluntary appointments): The eligibility to serve as PI, Co-PI, or key personnel on SBU proposals will be determined case by case until a formal policy is established. At a minimum:
○ Combined effort across BNL and SBU cannot exceed 100%.
○ An eligible SBU faculty member must be included as PI or Co-I.
○ BNL supervisor approval is required, confirming availability of necessary BNL resources/facilities.
● Departing Faculty: Tenure-track faculty may serve as PI for up to 24 months after leaving their position at SBU, with the appropriate approvals in place from their respective Department Chair, Center Director, and Dean, in order to allow them to engage in award closeout activities (e.g., final technical reports, approval of subcontractor invoices, disposition of property) and to mentor projectsupported graduate students. See PI Leaving SBU page for more information.
● Incoming Faculty: Faculty who are joining SBU may wish to transfer in sponsored programs. See PI Joining SBU page for more information. If the new faculty member has not yet signed their offer letter, they are ineligible to submit as an SBU PI. If the new faculty member has already signed their offer letter, the unit should obtain an SBU NetID by creating a courtesy affiliate in PeopleSoft.
● Non-U.S. Residents/Non-Immigrant Investigators: Must meet sponsor requirements and have appropriate visa status. In cases where the sponsor requires U.S. Permanent Residence (green card) or U.S. citizenship for application these requirements must be met. Contact the Office of International Academic Programs and Services for information on obtaining the appropriate non-immigrant status for participation on a particular project. Additional information on immigrant and non-immigrant statuses in the United States may be obtained by contacting Visa and Immigration Services at 631-632-4685.
● Outside Collaborators: Non-SBU personnel cannot be listed as Co-PIs but can be recognized through collaborative proposals, subawards or consultancies.
7. Faculty Leave of Absence and PI Status
A Leave of Absence/ Leave Without Pay (LWOP)/ Unpaid Time Off by a faculty member during the academic year requires approval by the Chair/Director, Dean and Provost. Details on Title F Leaves, Appointments at Other Institutions or other leaves can be obtained by contacting the Provost’s Office. Faculty members on a full leave exceeding three months may not retain Principal Investigator (PI) status during their absence. Per the Uniform Guidance—an authoritative framework for grants management for federal awards—prior approval is required if the approved project director or PI experiences “disengagement from the project for more than three months, or a 25% reduction in time devoted to the project.” Contact OSP for guidance on the impact of leave on sponsored programs.
8. Multiple PIs
In instances where funding agencies recognize only one Principal Investigator (PI), the University will align with this practice. When multiple names are listed on the proposal, the first name will be assumed by the agency to be the primus inter pares (first among equals), and the University will direct all administrative correspondence to that individual, recognizing them as the PI. This person will be responsible for overseeing the project and maintaining communication with both the funding agency and University administrative offices.
For proposed projects involving subcontracts or sub-grants, the PI for the sub-recipient institution may be listed as a Co-Principal Investigator (Co-PI) on the SBU proposal. This designation allows for collaborative oversight of the project while ensuring the primary PI maintains overall responsibility.
For collaborative research, whether within SBU or spanning multiple institutions, where funding agencies recognize Multiple PIs - such as under the National Institutes of Health (NIH) Multiple Principal Investigator/Project Director (PI/PD) model - the University requires the proposal to include a project leadership plan, as requested by the sponsor. In this model, one investigator must be designated as the Contact PI. The Contact PI holds several key responsibilities, including:
● Communication: Relaying all communications between the Multiple PIs, funding agency, and SBU administrative offices.
● Coordination: Receiving and coordinating all correspondence with both internal administrative offices and external sponsors.
● Internal Approvals: Ensuring that all required internal approvals between administrative offices and sponsors are procured in a timely manner.
● Disclosure and Compliance: Identifying investigators required to disclose financial interests and managing all internal financial and personnel matters related to the project. The Contact PI plays a pivotal role in ensuring the smooth operation and compliance of the project, while the collaborative structure allows for multiple investigators to contribute to the research effort. The NIH specifies that being named Contact PI does not imply any particular role within the leadership team beyond being responsible for communication. In the event of an apparent conflict between policies of the University and the funding agency, the more restrictive policy shall be followed.
9. Suspension of PI status
In rare instances, PI status may be suspended. Serious or recurring noncompliance with laws, policies or regulations may result in the Vice-President for Research (VPR) or their designee’s recommendations to suspend or remove PI status.. This may include, but not limited to, violations related to human research participants protection, animal research, unreported external activities, harassment, or other inappropriate behavior. Such decisions will be reported promptly to the affected PI, their department chair, their college associate dean for research and appropriate Office of the Vice President for Research units. Reinstatement may be considered upon written request by the PI or by unilateral action of the VPR or their designee.
When submitting a proposal to a federal sponsor, first review the proposal guidelines thoroughly to determine the deadline, required forms and format, and any additional information pertinent to the proposal submission. Typically all federal proposals are submitted with full Facilities and Administrative costs (F&A); however, some federal agencies such as USDA may restrict F&A. Be sure to read the guidelines carefully to identify the appropriate rates.
The information below provides proposal guidance for the federal sponsors that provide
the majority of support for federally-funded research at SBU.
Federal Sponsor Proposal Submission Portals
| Sponsor | Standard Proposal Submission |
|---|---|
| NSF | Research.gov |
| NIH | ASSIST |
| NASA | NSPIRES |
| Other Federal Agencies | grants.gov Workspace |
Federal Contracts
The Federal Acquisition Regulations (FAR) and agency-specific supplements are the regulatory foundation for federal contracts. To apply for a federal contract, you apply to a solicitation that contains specific
requirements and the anticipated terms and conditions for a resulting contract. It
is especially important to start early when preparing a federal contract proposal.
These proposals are lengthy, extremely detailed, and require additional review by OSP.
Requirements in federal contracts, such as e-verify, vendor diversity goals, small
business contracting plans, information and security requirements, will impact your
budget, therefore it's critical that you plan ahead and inform OSP as soon as you
identify an opportunity.
National Science Foundation (NSF)
The NSF uses Research.gov electronic systems for proposal submission and proposal and award management. SBU submits NSF proposals through Research.gov. Proposals should be prepared in accordance with the program guidelines and the NSF Proposal & Award Policies Procedures Guide (PAPPG).
All NSF proposals are subject to the rules and regulations of the latest NSF PAPPG. The PAPPG is updated by NSF on an annual basis. Our office offers additional guidance for any significant changes made by the new PAPPG each year.
Awards from NSF are sent directly to OSP. PIs do not need to provide a copy to OSP. Awards are also available in the sponsor system (Research.gov).
For additional proposal submission guidelines, please click here.
See Federal-Wide Research Terms & Conditions & Prior Approval Matrix, Appendix A
National Institutes of Health (NIH)
The NIH uses the ASSIST electronic systems for proposal submission and eRA Commons for award management. At SBU, you also have the option to utilize the system-to-system function in myResearch, our electronic proposal submission module, to submit all NIH proposals supported by myResearch.
NIH has recently released their latest version of application packets, known as Forms-G. Applicants must use FORMS-G application packages for due dates on or after January 25, 2022. Applications submitted
using the wrong forms for their intended due date may be withdrawn and removed from
funding consideration.
National Aeronautics and Space Administration (NASA)
NASA uses their NSPIRES electronic systems for most proposal and award management actions. Proposal submission for NASA is completed through NSPIRES.
NSPIRES performs specific error and warning checks before a proposal is submitted.
NASA proposals should be prepared in accordance with the program guidelines and the NASA Guidebook for Proposers.
Department of Energy (DOE)
The DOE utilizes Grants.gov for proposal submission. DOE proposals should be prepared in accordance
with the program guidelines.
Office of Naval Research (ONR)
ONR utilizes Grants.gov for proposal submission. ONR proposals should be prepared in accordance
with the program guidelines.
Other Agencies
The remainder of the federal agencies that provide funding, listed below, also utilize Grants.gov for proposal submission.
All proposals for the following agencies should be prepared in accordance with the program guidelines and any agency specific guidance.
- Department of Defense (DoD)
- Department of the Air Force (Air Force)
- Department of the Army (Army)
- Department of Education (DOEd)
- Department of Agriculture (USDA)
- National Institute of Food and Agriculture (NIFA)
- Department of Commerce (DOC)
- National Oceanic and Atmospheric Administration (NOAA)
- Department of the Interior (DOI)
- U.S. Geological Survey (USGS)
- U.S. Fish and Wildlife Service
- Environmental Protection Agency (EPA)
- National Endowment for the Arts (NEA)
- National Endowment for the Humanities (NEH)
Most federal grants are submitted via grants.gov. Most NSF proposals are submitted via FastLane, but some NSF Directorates are beginning to accept proposals via grants.gov.
For additional resources, visit Pivot.
Preparing a strong proposal requires a significant investment of time, ingenuity, and energy. The sections below will help you focus your efforts on specific principles helping you accomplish this goal. A host of factors impact the probability of success. It is best to use each suggestion as a guideline and not as a hard and fast rule. Knowing how to draft a good proposal and having the time to do it may be two separate things. Be sure to have a sound plan prior to putting the application together; this will help make certain you do not run out of time or get discouraged and rushed in the proposal preparation process.
“A good proposal is a good idea, well expressed, with a clear indication of the methods for pursuing the idea, evaluating the findings, and making them known to all who need to know.” – National Science Foundation
Proposals should be concise if responding to a solicitation. Contact the program officer at the sponsoring agency for details as you develop your concept and subsequent proposal. Also consider getting input from peers prior to discussing new lines of research you have developed. If your proposal is petitioning for unsolicited funding, you still need to meet some basic guidelines; your idea‟s impact on your industry or the community as a whole, expertise available and needed, the cost effectiveness of your plan, and how you will evaluate and disseminate findings.*
* This is not an all inclusive list. Refer to standard proposal guidelines from potential
sponsors or grant writing resources for specific instructions.
Check out some useful resources to help you prepare a proposal
- In the Information for Researchers and Administrators section of the RF Home page, click on Sponsored Program & Business Development Funding. (Scroll to the bottom for some self-paced resources)
- Check with SUNY Center for Professional Development on the next session of the Grants and Proposals: If You Write It, They Will Fund, a virtual (SUNY) instructor-led course
National Science Foundation
National Institutes of Health
Writing your Application NIAID
All About Grants: Tutorials and Samples
Sample R01 and R21 Applications and Summary Statements
Insider’s Guide to Peer Review for Applicants
Social Science Research Council
Foundation Center
Human Frontier Science Program
The Art of Grantsmanship, by Jack Kraicer
Other Resources
Online Evaluation Resource Library
Having a clear and concise plan of how to carry out your project will help you scale your project. Each potential funder will want to know how far along your project is in development, what your intended goals and objectives are (both short and long term), why is the idea important or revolutionary, how much will the project cost (not just in the short term), and how long might it take until progress is made. Knowing, or at least attempting to answer, a majority of these questions will help you bring attention to your project‟s potential. Creating enthusiasm for your idea helps get funders behind your work. Also, being aware of the current stage of your idea will determine which solicitations are best to pursue. So, this exercise is important to undertake prior to beginning to respond to a solicitation in earnest.
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.
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
- Annual RPPR
- Used to report scientific progress, personnel updates, significant changes, and plans for the next budget period.
- Access through the Commons Status tab.
- Final RPPR
- Submitted during the grant closeout process to summarize project outcomes.
- Available through the Closeout module once the grant is eligible for closeout.
- 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
-
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.
-
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
-
Department
- Responsible for entering information into eRA Commons and completing continuation requests.
- Routes RPPRs to OSP when ready for submission.
-
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 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.