Guide to Proposal Preparation and Submission

CLARKSON UNIVERSITY DIVISION OF RESEARCH

GUIDE TO PROPOSAL PREPARATION AND SUBMISSION

I. INTRODUCTION...... 2 II. SPONSORED PROJECTS...... 3 1. General Information on Procurement, Management and Recording of External Funds...... 3 2. Office Division of Responsibility...... 3 a. Division of Research...... 3 b. Institutional Advancement Office...... 4 3. Resources Available...... 5 III. ELIGIBILITY CRITERIA...... 5 1. Principal Investigator (PI)...... 6 2. Co-Principal Investigator (Co-PI)...... 6 3. Co-Investigator or Faculty Associate...... 6 IV. AVAILABLE SERVICES...... 6 1. Funding Opportunities...... 6 2. Proposal Processing...... 7 3. Pre-Award Activities...... 7 4. Post-Award Activities...... 7 5. Invention Disclosure...... 7 6. Research Personnel...... 7 V. PREAWARD ACTIVITIES...... 7 1. OVERVIEW...... 7 2. PROPOSAL DEVELOPMENT SERVICES...... 8 3. FINDING A FUNDER...... 8 a. Faculty Expertise Profile...... 8 b. Types of Sponsors...... 8 c. Resources Available...... 8  DOR Library...... 10  Funding Searches...... 10 VI. PROPOSAL PREPARATION AND PROCESSING RESPONSIBILITIES...... 10 1. Principal Investigator Responsibilities...... 10 2. Department/Unit Responsibilities...... 11 3. Division of Research Responsibilities...... 11 VII. Types of Proposals...... 11 VIII. POLICY CONSIDERATIONS...... 12 1. Appropriateness...... 12 2. Conflict of Interest...... 12 3. Consortiums/Joint/Collaborative Proposals...... 13

027eb37d8f755a6c3310b5cf0f3e3677.doc 1 4. Consultants...... 13 5. Contracts...... 13 6. Intellectual Property...... 13 7. Limited Submission Competitions...... 14 8. Principal Investigator Eligibility...... 14 9. Principal Investigator Responsibility...... 14 10. DOR Endorsement...... 14 11. Subcontracts...... 14 IX. PROPOSAL AND COMPLIANCE REVIEW PROCESS...... 15 1. Proposal Review Process...... 15 2. Compliance Review Process...... 15 X. PROPOSAL PREPARATION AT A GLANCE...... 15 1. Notifying the DOR...... 15 2. Contacting the Funder...... 16 3. How To Obtain Application Guidelines...... 16 4. Responsibility of Principal Investigator...... 17 5. Types of Proposals...... 17 6. Proposal Guidelines...... 18 7. Agency Forms...... 18 8. Suggested Format...... 18

027eb37d8f755a6c3310b5cf0f3e3677.doc 2 I. INTRODUCTION

The Division of Research (DOR) is the central office charged to provide service to Clarkson faculty and staff to develop and administer sponsored programs and provide overall contract management; to support the University’s goal to increase the level of sponsored project funding; to protect the University’s interests and comply with the sponsored program requirements. Through these activities, DOR promotes innovation and creativity, thereby increasing knowledge and making the knowledge available and useful for scholarship and education. It is the philosophy of the University that research supports and enhances its educational mission. This guide is designed to introduce faculty and staff with information about the available resources and services of the DOR.

The DOR is the primary office authorized to sign and submit proposals on behalf of the University and to represent the University in the negotiations for and administration of sponsored programs.

II. SPONSORED PROJECTS

1. General Information on Procurement, Management and Recording of External Funds The Division of Research http://www.clarkson.edu/research and the Institutional Advancement Office http://www.clarkson.edu/giving/corporateconnection.html at Clarkson provide assistance to faculty members and others on campus seeking external funding. All external funding, regardless of source, must be booked through one of these offices in order to ensure good University accounting practices and regulatory compliance. External funding includes money and equipment.

Although both offices share a common objective in supporting initiatives leading to the acquisition of external funds, there is an intentional division of responsibilities between the offices. Correct classification of funds within the Division of Research and the Institutional Advancement Office is important to ensure the University's compliance with any terms specified by the sponsor/donor, proper recovery of indirect and direct costs, and compliance with Federal and State laws. There are different overhead and cost sharing rules for each office. It is very important to call one of these offices, particularly before contacting any corporate representatives about funding.

Regardless of which office faculty and staff approach first, the Division of Research http://www.clarkson.edu/research and the Institutional Advancement Office http://www.clarkson.edu/giving/corporateconnection.html at Clarkson provide will provide assistance. Either office will, as appropriate, call on the other to ensure that assistance is provided in any situation.

027eb37d8f755a6c3310b5cf0f3e3677.doc 3 2. Office Division of Responsibility Division of responsibility between the two offices is based on several factors. Factors considered include the type of activity for which funding is sought, the type of approach required for success in funding (often closely related to the type of funding agent one is approaching); and the type of award sought.

a. Division of Research

The Division of Research is involved in all requests for funds intended to support "sponsored projects." This term refers to projects supported by contracts involving highly detailed agreements for which deliverables are required. Sponsored projects may also include grants carrying a significant number of conditions. In a "sponsored project," the contractor or grantor declares an intent to monitor the project closely and is likely to expect detailed reports for the purpose. The budget typically may have restrictions. There are objectives identified for the use of the funds, there is a time period of performance, and there are statements regarding the ownership of the results. All funding requests for graduate student support where tuition cost sharing is expected goes through the Division of Research.

All proposals to government agencies, including government established foundations that are Federal agencies (such as the National Endowment for the Arts and the National Science Foundation), automatically fall within the purview of the Division of Research. These agency funding agreements are very specific, and require compliance with Federal laws and regulations.

There are many instances when faculty and staff seek support from contractors or grantors in the private sector, i.e., corporations and foundations. For example, a corporate or foundation grant proposal to support faculty research in the sciences might generate an award containing complex requirements related to intellectual property, insurance and indemnification provisions, or other matters that establish a quid pro quo relationship. In such a case, the Division would be the appropriate office to handle the proposal, the award, and account initiation.

As a rule, the Division of Research processes any award requiring specific performance objectives, detailed budget commitments, intellectual property or confidentiality terms.

There are numerous aspects of the fundraising process related to corporations and foundations in which the Division will not be closely involved and in which Institutional Advancement takes the lead.

027eb37d8f755a6c3310b5cf0f3e3677.doc 4 b. Institutional Advancement Office

The Institutional Advancement Office is expert in the raising of funds from the non-governmental sector that are philanthropic and charitable in intent. Specifically, donors often do not publicize funding opportunities, and they make their decisions with a great degree of subjectivity. Funding agents in the private sector infrequently provide application forms or written guidelines for competition, or use peer review. Personal and institutional networking is therefore necessary to obtain funding. Individuals, corporations and foundations are the sources of the funds raised by the Institutional Advancement Office. Increasingly, corporate "philanthropy" is funded by operating divisions to ensure that there is a business- related strategic objective to their charitable work. However this implied quid pro quo is general, and not a deliverable, as in "sponsored projects."

Funds raised through the Institutional Advancement Office sometimes support activities that may also be eligible for governmental grants, but which can be supported at a higher total amount by matching public and private sources in tandem. In many cases, however, the private sector sources address needs of the University for which little or no government funding may be available. For example, private funds may support the endowment, equipment, construction, special- purpose student aid, athletics, and instruction programs in areas where governmental grant programs are currently underfunded.

One type of private sector funding, "gifts," falls completely within the purview of the Institutional Advancement Office. Gifts are accompanied by few or no restrictions, even if they support a fairly specific project. Gifts come from individuals, corporations, and foundations, and they are most always generated through personal or institutional networking. The Division of Research is not involved in any way in obtaining them, managing them, or reporting to donors on the use to which the funds are made. In general, gifts are irrevocable. Contractual requirements are not imposed, formal financial accounting is rarely required and there is no requirement to return unexpended funds.

As a rule, the Institutional Advancement Office processes funding or equipment awards for which there are no detailed budgets, specific deliverables, or intellectual property or confidentiality terms.

3. Resources Available The Division of Research and the Institutional Advancement Office maintain information on funding opportunities, because both offices are involved in securing such support. The Division of Research maintains extensive files on government and state funding opportunities, and also has access to several databases available on the WWW. The Institutional Advancement Office is involved in research on gift opportunities; this information may be shared with faculty and administrators on a discretionary basis, although care is taken to respect the privacy of donors.

027eb37d8f755a6c3310b5cf0f3e3677.doc 5 The above guidelines are intended to assist faculty and staff with the appropriate classification criteria and in determining which office to contact for support. However, each award must be considered in its totality, and the final decision rests with the Division of Research and the Institutional Advancement Office.

III. ELIGIBILITY CRITERIA

All sponsored programs are agreements between a sponsor and the University, hence, to fulfill the University’s responsibilities under sponsored agreements, the following guidelines are used for an eligibility criteria. University policy permits full-time faculty, qualified professional and scientific staff, and postdoctoral fellows to apply for external funds. For persons who are not members of the full-time faculty (i.e. visiting, adjunct, part-time faculty, postdoctoral fellows), the following clarifications apply:

 As in the case of all research conducted by faculty, research must be conducted within an established organizational unit of the University. The administrator having responsibility for that unit must review and approve the project before it can be submitted.

 The administrator of that person's unit must make it clear that there is no financial obligation on the part of the University beyond that stated in the proposal.

 Those not employed by the University or those with adjunct, part-time, or visiting faculty status are eligible to apply for external funds only under special circumstances and with the approval of the person's Department Chair, Dean and Director of the Division of Research.

1. Principal Investigator (PI)

The person responsible for the conduct of the project. This responsibility includes the intellectual conduct of the project, fiscal accountability, administrative aspects, and the project’s adherence to relevant policies and regulations. Also called a “Project Director” or “Program Director.”

2. Co-Principal Investigator (Co-PI) This designation refers to individuals who share the responsibility for the project with the PI and therefore requires the same qualifications.

027eb37d8f755a6c3310b5cf0f3e3677.doc 6 3. Co-Investigator or Faculty Associate A key individual on a project, but without the oversight responsibility of a PI. Individuals do not need to meet the qualifications of PI, but should be considered key to performance of the project.

IV. AVAILABLE SERVICES

The DOR is a support unit for the University to assist faculty and staff in obtaining external funding for their creative scholarly research and teaching endeavors. Services available from DOR are described below:

1. Funding Opportunities The DOR attempts to maintain and disseminate accurate and current information on both public and private agencies which support research projects of possible interest to Clarkson community. Materials include broad agency announcements, specific program announcements, reports of previously funded research projects, information on papers and reports available from agencies.

DOR currently subscribes to one electronic funding opportunity database http://www.cos.com which alerts faculty on a weekly basis of potential funding opportunities. This database can also be searched via keywords or topics of interest. Individual Clarkson faculty and staff may utilize these resources or have a personalized search done for them to identify possible funding sources for particular project ideas. For information on special searches, complete a request for funding search form.

2. Proposal Processing The DOR will assist in all phases of proposal preparation for faculty and staff, including budget preparation, completing all pertinent forms, and certifications required by a sponsor. DOR will also coordinate required institutional approval by the University before a proposal is submitted. DOR reviews all proposals and cost estimates for compliance with sponsor and University requirements. In addition, DOR negotiates the final terms of the contract or grant, and signs the resulting agreement. Per the PI’s request, DOR will also provide feedback and assistance in text editing. DOR will help coordinate institution-wide multidisciplinary projects and projects between institutions.

3. Pre-Award Activities

In addition to the funding opportunities and proposal processing services, the DOR provides other activities that include proposal status inquiries, electronic research administration, and compliance issues related to property, insurance, intellectual property, human subjects, and conflict of interest.

027eb37d8f755a6c3310b5cf0f3e3677.doc 7 4. Post-Award Activities Responsible for monitoring expenditures to maintain compliance with University Policies and Procedures, verifying and enforcing sponsors terms and conditions, processing project reports to sponsors and administering project modifications to existing awards.

5. Invention Disclosure The DOR administers all invention disclosures by Clarkson faculty, staff and students. See xxxxxxxxxxxxxx for additional information

6. Research Personnel The DOR administers international visitors, supplemental pay, contractual letters, payroll processing, account eligibility, and medical insurance for personnel related to sponsored projects. See XXXXXXXXXXXXXX for additional information.

V. PREAWARD ACTIVITIES

1. OVERVIEW The DOR’s preaward services constitute a variety of areas related to the proposal development process, including funding opportunities, proposal preparation, proposal submission process, interpretation of sponsor guidelines, postaward revisions to proposals, budgetary planning, coordinating cost sharing requirements, and assuring that all aspects of the proposal development process comply with sponsor and University regulations. The DOR keeps abreast of new and innovative research administration criteria, including electronic proposal and report submission.

2. PROPOSAL DEVELOPMENT SERVICES

The Division of Research (DOR) offers workshops to faculty/staff and graduate students. The goal of these workshops is to introduce the skills necessary for achieving success in identifying funding sources and proposal development. The DOR provides individual one-on-one consultation in identifying funding sources, reviewing proposal drafts, editing per PI request, and assisting faculty in the revision/resubmission of previously unfunded proposals.

3. FINDING A FUNDER

a. Faculty Expertise Profile

Clarkson faculty profiles have been compiled based on information given directly by faculty and other sources available on campus. The faculty profiles are available through the Community of Science (COS) database for use in the “faculty match” software available. Faculty currently may update or add their

027eb37d8f755a6c3310b5cf0f3e3677.doc 8 profiles online with the COS. The COS forwards your profile to the Clarkson University’s liaison for approval to place the profile directly on-line.

b. Types of Sponsors

i) U.S. Government: Most of Clarkson’s sponsored project support is provided by the federal government. The federal government is the largest single grantor in the world. Federal funding is mandated by an annual legislative budget process, causing available funding to fluctuate by fiscal year. Some foundations and corporations will fund only those grantseekers who have exhausted the possibility of a federal grant. The DOR’s website has links to several federal funding sources. http://www.clarkson.edu/research/agency.html Each of these links have specific information about the agency, available budgets, and research interests. ii) Non-U.S. Government: This group encompasses foundations, corporations, state and local governments, and other non-profit organizations. Funding interests vary significantly among these organizations, and most opportunities are cultivated through recognition of like interests.

c. Resources Available

 DOR Web Site http://www.clarkson.edu/research The DOR’s website offers a variety of funding resources to assist the Clarkson community in identifying sponsors and other research related topics. The website provides up-to-date funding opportunities to the University community as described above.

 National Council of University Research Administrators (NCURA): http://www.ncura.edu/ This link is made available to the Clarkson University community as a resource for all aspects of research administration. This organization is designed to keep research administrators abreast of new and developing topics related to the administration of research projects.

 NSF FastLane https://www.fastlane.nsf.gov/fastlane.jsp The purpose of FastLane is to experiment with ways to use the World Wide Web to facilitate business transactions and the exchange of information between the National Science Foundation and its client community including researchers, reviewers, research administrators, and others doing business with NSF. Access to most of the features on this website is restricted to officials and Principal/Co-Principal Investigators (PI/Co-PIs) of registered FastLane institutions. To use the FastLane to its fullest extent, one must have an assigned

027eb37d8f755a6c3310b5cf0f3e3677.doc 9 PIN number which can be obtained through the http://www.clarkson.edu/~davisju/research/staff.html

 Community of Science Database (COS) http://www.cos.com/ The DOR subscribes to a funding database, “COS” [Community of Science], which provides the capacity to search sources of information about funding opportunities worldwide from federal and regional governments, foundations, professional societies, associations, corporations, and other scientific organizations. A key feature of COS Funding Opportunities is “Faculty Match” software, which permits researchers and administrators to retrieve and disseminate funding information automatically through controlled links between the Expertise database and funding records. Faculty research expertise files are in place with COS for Clarkson faculty who have chosen to participate. Faculty may update their profiles directly with the COS at anytime. Inquiries about this service may be directed to Clarkson’s liaison through the DOR [email protected]

 FirstGov (the official U.S. government site for doing business with the government)

FirstGov.gov, http://www.firstgov.gov/Business/Business_Gateway.shtml Is the official U.S. gateway to all government information, is the catalyst for a growing electronic government. FirstGov vision is global–connecting the world to all U.S. government information and services. The powerful search engine and ever-growing collection of topical and customer-focused links connects you to millions of web pages–from the federal government, local and tribal governments and to foreign nations around the world. On FirstGov.gov, you can search millions of web pages from federal and state governments, the District of Columbia and U.S. territories. FirstGov.gov will help you find and do business with government online, on the phone, by mail or in person. You may select customer gateways– citizens, businesses and nonprofits, federal employees and government-to-government–to find exactly what you need. For example, from your computer, you can apply for student financial assistance, buy government publications, apply for social security and other benefits, get a passport application, and so much more.

 SSTI Weekly Digest Delivered every Friday by e-mail, the SSTI Weekly Digest reports the week's biggest stories for the cooperative technology program community. For more information and to subscribe, go to http://www.ssti.org/Digest/digform.htm

027eb37d8f755a6c3310b5cf0f3e3677.doc 10  DOR Library

DOR maintains an up-to-date funding reference library. Materials in the library include many publications from both the private and public sectors listing funding sources for sponsored projects. In addition, there are a number of useful guidebooks on how to prepare effective proposals. The library is available to all Clarkson University faculty, staff, and students and is located in DOR Room 310 Science Center.

 Funding Searches

The DOR provides funding searches for Clarkson faculty upon request. DOR current practice includes forwarding funding opportunity announcements directly to faculty who have research interests related to the announcement. Faculty who wish the DOR to perform funding searches may do so by completing an online “Funding Search Request”

VI. PROPOSAL PREPARATION AND PROCESSING RESPONSIBILITIES

1. Principal Investigator Responsibilities After the proposal's final text and budget are complete, the following checklist should be reviewed to ensure that the proposed project complies with both sponsor and University requirements:

 Proposal format and content comply with sponsor guidelines;  Adequate resources are available to meet the project's needs (e.g., use of space, cost-share commitments);  Requirements for the use of animals, human subjects, rDNA, biohazards, and radiation safety have been met;  If a conflict or potential conflict of interest exists, the conflict has been reviewed by the respective administrators;  If a subcontract is proposed the supporting documentation outlined in Clarkson’s Subcontracting Policy (get from Connie) is attached to the proposal; and  If a consultant is proposed the supporting documentation outlined in Clarkson's Consulting Policy (get from Connie) is attached to the proposal.  When responding to an RFP or RFQ with the proposed terms and conditions stated in the solicitation the investigator should notify and forward a copy of the solicitation to the DOR as far in advance of the deadline as possible. A completed Proposal Submission Notice Form (PRN) LINK (get form from Linda) should accompany the notification at least five business days prior to the published agency deadline.

027eb37d8f755a6c3310b5cf0f3e3677.doc 11 2. Department/Unit Responsibilities Some departments have administrative staff who can offer proposal preparation assistance in the areas of:  Identifying accounts for matching funds or cost-share contributions;  Providing logistical support for items such as space and personnel;  Assisting the investigator in complying with any relevant special reviews;  Coordinating documentation for subcontracts and/or consultants;  Coordinating department chair/unit/Center director signature(s) endorsements

3. Division of Research Responsibilities DOR is available to assist as needed by the investigator and/or unit in any phase of proposal preparation. Proposals are carefully reviewed to ensure that they comply with all University, federal, and/or state requirements, and are prepared in such a way as to meet with favorable reviews during competition. Proposals are reviewed for the following criteria:  Proposal format and content comply with sponsor guidelines;  Budget reflects adequate resources and costing detail to accomplish the project and complies with federal regulations;  Assuring all appropriate signatures are obtained and investigators are in compliance with relevant special reviews;  Verification of cost-share commitments and/or matching funds;  Verification of documentation for subcontractors and/or consultants; and  Review and signature of certifications and representations.  DOR then prepares a transmittal letter and mails the proposal.

VII. Types of Proposals A proposal is a request for support of sponsored research, instruction, or extension projects, and generally consists of a cover page, brief project summary, technical or narrative section, biographical sketches of the key personnel, and a detailed budget. Common proposal types include:

 Solicited proposals: submitted in response to a specific solicitation issued by a sponsor. Such solicitations, typically called Broad Agency Announcement (BAA), Request for Proposals (RFP), or Request for Quotations (RFQ), are usually specific in their requirements regarding format and technical content, and may stipulate certain award terms and conditions  Unsolicited proposals: submitted to a sponsor that has not issued a specific solicitation but is believed by the investigator to have an interest in the subject.  Preproposals, requested when a sponsor wishes to minimize an applicant's effort in preparing a full proposal. Preproposals are usually in the form of a letter of intent or brief abstract. After the

027eb37d8f755a6c3310b5cf0f3e3677.doc 12 preproposal is reviewed, the sponsor notifies the investigator if a full proposal is warranted.  Continuation or Non-Competing proposals confirm the original proposal and funding requirements of a multi-year project for which the sponsor has already provided funding for an initial period (normally one year). Continued support is usually contingent on satisfactory work progress and the availability of funds.  Renewal or competing proposals are requests for continued support for an existing project that is about to terminate, and, from the sponsor's viewpoint, generally have the same status as an unsolicited proposal.

VIII.POLICY CONSIDERATIONS The following considerations are those that investigators will frequently encounter when preparing a proposal. The DOR can provide additional guidance with other questions or concerns that may arise.

1. Appropriateness Proposals to sponsors whose terms and conditions allow freedom of access and publication are acceptable to Clarkson. The University does not permit government classified research, research projects that do not permit the free and open publication, presentation, or discussion of the results, nor the exclusion of hiring foreign nationals.

2. Conflict of Interest Conflicts are most likely to arise when a proposal is submitted to a company where the Clarkson investigator(s) has a financial interest. The DOR PRN form consists of information asking if the principal investigator or other key personnel on the proposed project have current or pending obligations that could create a conflict of interest if the proposal were funded. When such potential exists the appropriate Administrator will review the circumstances in accordance with Clarkson’s Conflict of Interest Policy. http://www.clarkson.edu/hr/op_manual7.html#conflict If the Annual Disclosure Statement distributed by the University has not been completed, the proposal cannot be sent.

3. Consortiums/Joint/Collaborative Proposals Proposals for research to be conducted by Clarkson and one or more other parties as a joint venture or partnership will occasionally raise questions concerning the legal relationship and liability of each party. When such questions arise DOR will review the arrangement and/or special concerns with University Administrators, unless the arrangements are clearly intended to establish a traditional contractor-subcontractor, consortium, or joint study relationship. A consortium arrangement exists when two or more organizations agree to participate in a collaborative project. It is not necessary for a consortium to be a

027eb37d8f755a6c3310b5cf0f3e3677.doc 13 formal or legal agreement. One participant will be designated as the lead institution at the time of proposal submission and accepts full funding and responsibility from the sponsor. Subcontracts are then used to transfer part of the work and appropriate funds to the other participant(s). All conditions imposed by the sponsor on Clarkson are also imposed on the subcontractor(s). When Clarkson is the lead institution, DOR requires a statement from each participating organization that includes a full cost budget and work scope, and is signed by an authorized representative.

4. Consultants Consultants and subcontractors are independent contractors and not employees or agents of the University. Special review and approval procedures are required if a project anticipates using consultants. A consultant should not be confused with a subcontractor. Both are different in their activity and relationship to the Statement of Work (SOW). A consultant guides, aides, or provides other technical or professional service to the principal investigator. While a consultant may impact the results of the SOW, they do not conduct work resulting in the satisfaction of a portion of the SOW. A subcontractor conducts a part of the SOW and is responsible for the outcome of that work.

5. Contracts At the time of proposal submission a sponsor will often require an indication of what terms and conditions will be acceptable to Clarkson in the event of an award. Exceptions to a sponsor's terms and conditions are addressed by the DOR in a transmittal letter. For commercial sponsors DOR will often include a copy of the standard Clarkson agreement Investigators who are aware of special sponsor requirements should discuss them with the DOR well in advance of the proposal deadline.

6. Intellectual Property Intellectual property is addressed in the terms and conditions negotiated by DOR when accepting an award. For most awards Clarkson will retain ownership of intellectual property developed on sponsored projects in order to avoid conflicting commitments to various sponsors. See Compliance Section http://www.clarkson.edu/~davisju/research/compliance/intelectual_property.html for additional detail.

7. Limited Submission Competitions Some sponsors limit the number of nominations or proposals that Clarkson may submit to a particular program. The DOR will request an abstract of the proposal idea and reviews the nominations or proposals and select those that most closely match the sponsor's interests and have the best opportunity for success.

027eb37d8f755a6c3310b5cf0f3e3677.doc 14 8. Principal Investigator Eligibility Full time faculty members are eligible to serve as principal investigators (PIs) or project directors on sponsored projects. Within certain limitations other titles such as research professor, emeritus faculty are also eligible. Exceptions may be made with prior approval from the Vice Provost for Research.

9. Principal Investigator Responsibility The principal investigator or project director is responsible for the conduct of the research or other activity being supported by a sponsored project. Responsibility includes the technical direction of the work and other contractual obligations such as reporting, proper cost assignment, and supervision of project personnel and subcontractors.

10. DOR Endorsement The Division of Research endorses all proposals submitted for external research funding, on behalf of the University. All proposals are subject to a full DOR Administrative review, which includes proposal content and format, adherence to sponsor and University terms/conditions, budgetary compliance, and special compliance matters.

11. Subcontracts Awards made to Clarkson are usually conducted within the University's physical boundaries. Occasionally a part of the effort may need to be provided by other institutions or companies (third parties) who are held responsible for a part of the project. When the part being performed by a third party constitutes a substantive component of the sponsored project, the third party is required to provide the necessary resources to conduct the work, including providing an investigator at the work site to oversee the project activities. Costs normally associated with third party effort could include: labor, employee benefits, materials and supplies, travel, equipment, subcontracts, consultants, other direct costs, and indirect costs. Once the relationship is established, DOR develops a subcontract that legally binds the relationship and includes the third parties' responsibility to adhere to the sponsor's regulations and requirements.

IX. PROPOSAL AND COMPLIANCE REVIEW PROCESS

1. Proposal Review Process

 General Rule: The Division of Research will endorse all research proposals on behalf of the University. Any University official has the option to request a research proposal be withdrawn at any time. This request must be made in writing to the Division of Research.

027eb37d8f755a6c3310b5cf0f3e3677.doc 15  All Proposals: require the review of the PI and/or Co-PI(s) and review/endorsement by the Division of Research prior to mailing the proposal.  Standard Proposals: will be routed for signatures on an after- the- fact basis to Deans, Department Heads, and any other University officials requiring review/endorsement.  Special Review Proposals: will be routed for review/signature to all necessary administrators prior to mailing the proposal.

2. Compliance Review Process

A number of internal compliance review and approval procedures may be required before proposal submission, or before an award can be accepted by the University. All necessary reviews and approvals should be initiated prior to DOR’s proposal review process, thereby avoiding last minute delays. a. Animals Subjects: http://www.clarkson.edu/~davisju/research/compliance/ b. Biosafety: http://www.clarkson.edu/~davisju/research/compliance/biohazar ds.html c. Conflict of Interest: http://www.clarkson.edu/hr/op_manual7.html#conflict d. Human Subjects: http://www.clarkson.edu/~davisju/research/compliance/human_s ubjects.html e. Intellectual Property: http://www.clarkson.edu/~davisju/research/compliance/intelectu al_property.html f. Misconduct in Scholarly Activities: http://www.clarkson.edu/~davisju/research/compliance/miscond uct.html g. Radiation Safety: http://www.clarkson.edu/radiation/

h. Insurance and Risk Management: [email protected]

i. International Agreements – [email protected]

j. Space Rental or Renovation – [email protected]

X. PROPOSAL PREPARATION AT A GLANCE

1. Notifying the DOR The DOR requests faculty to notify the office of their intent to submit a proposal well in advance of the proposal due date. (Minimum five working days). To facilitate this need, faculty are requested to submit a Proposal Submission

027eb37d8f755a6c3310b5cf0f3e3677.doc 16 Notice (PSN). LINK (get form from Linda) This notice requests information necessary to assist in the proposal preparation process, including a budget.

2. Contacting the Funder Funding agencies have varying requirements for making initial contacts regarding funding of sponsored projects. DOR maintains current guidelines of numerous public and private funding sources, as well as listings of the name, title, address and telephone numbers for current program officers and other representatives of funding agencies who are the initial point of contact for faculty wishing to discuss the scope of their project. These guidelines frequently specify the exact requirements regarding the appropriate means of initial contact (e.g., by letter, telephone or brief pre-proposal). Once these guidelines are understood, faculty should feel free to contact funding officers directly to discuss the scope of individual projects. In this way faculty can ask potential sponsors the kind of questions that will assist them in submitting the most competitive proposal possible. The sponsors’ officers can, in turn, give valuable guidance and assistance to the faculty member in preparing the proposal according to the requirements of their organizations. Faculty who contact the funding agency directly should address the following basic questions:  What do you intend to do?  Why do you want to do it?  How will you do it?  What do you estimate the project will cost?  Why should they fund you?  When and Where will you do it?  Who are you and What are your qualifications?  Who will benefit from this work?

3. How To Obtain Application Guidelines Faculty may decide to request application guidelines directly from sponsors. Should this be the case, the DOR asks faculty to send a copy of the application materials to the DOR. Care should be taken to closely follow application guidelines in preparing the proposal. Sponsors frequently spell out the requirements for their applications in very specific terms. These organizations can and do return proposals without a review if they do not conform to the directions given in the application guidelines supplied by them. In particular, faculty should pay careful attention to all of the following in preparing the proposal:  Page length of the proposal;  Specifications on the typeface and font size, and characters per inch;  Limitations placed on the length of resumes or other appendix materials;  Deadline date for submission of the proposal:

027eb37d8f755a6c3310b5cf0f3e3677.doc 17  date of delivery at the agency  date by which proposal must be stamped with official U. S. Postal Service postmark;  Specific number of copies of proposal to be submitted;  Certifications or assurances to be sent with proposal. Any questions about the application process, required certifications, budgets, and other issues related to the submission process should be referred to DOR as soon as possible in the preparation of the proposal.

4. Responsibility of Principal Investigator All proposals with the exception of preliminary proposals that DO NOT contain SPECIFIC BUDGET INFORMATION must be submitted through the DOR. It is the responsibility of the Principal Investigator (PI) to insure that the proposal is prepared in accordance with University policy and funding agency guidelines. The DOR will assist the faculty in this by providing information on funding agency guidelines and guidance on University policies as they relate to the specific proposal. It is recommended that the DOR be contacted even for a preliminary proposal submission, if possible. This will insure that any budget estimates that may be included are in accordance with University policy. When faculty have identified appropriate funding sources, it is advised to contact the sponsor directly to be sure that the proposed research topic is within the current scope of the funding agency’s interests and what is an appropriate budget. This is very important in dealing with both public and private funding sources since direct contact with the sponsor may also help to answer questions about the project that may not be addressed in the printed materials. This will reduce the time and effort spent by PIs if there is no match. The DOR provides assistance in the full proposal preparation process, including identifying a funding source (links to all funding resource homepages), obtaining agency guidelines, copying, mailing proposals, proofreading/editing, and any other proposal development services required to meet agency and University requirements.

5. Types of Proposals Proposals generally fall into one of six categories:  New: request funds for a project not previously funded.  Continuation: Request the awarding of previously recommended support. This is used in multi-year awards.  Renewal: Request additional support beyond that which was previously recommended.  Supplemental: Request additional funds for the current operating period of an award.  Preliminary: Proposals that describe, in a general way, the proposed research and that may contain only estimated budget information. The

027eb37d8f755a6c3310b5cf0f3e3677.doc 18 agency then reviews and advises as to whether or not it is interested in receiving a formal proposal. Preliminary proposals may not necessarily lead to a decision to award.  Resubmission: Proposals that have been revised based on reviewers comments and resubmitted to the agency.

6. Proposal Guidelines In preparing proposals for submission to external sponsors, PIs should pay careful attention to the directions and information available in the program application materials provided by the sponsor. These application packages are often referred to by one of the following:  RFP—Request for Proposals  RFA—Request for Application  PRDAProgram Research & Development Announcement  application booklet  program brochure or guidelines

7. Agency Forms The DOR maintains most agency forms (federal) electronically. Contact the specific agency involved or DOR [email protected] for assistance. As a general rule, the DOR will complete all required agency forms on behalf of the PIs.

8. Suggested Format Please keep in mind the four C’s of a well written proposal: 1) Clear, 2) Concise, 3) Complete, and 4) Correct. In the absence of specific directions from the sponsoring agency, you may use the following format to organize your proposal.

Title and Cover Page: Most sponsors require applicants to fill out an official cover page for the proposal. Specific institutional information such as Federal ID number, Congressional district, etc. is available at http://www.clarkson.edu/~davisju/research/proposal_prep/institutional_profile. html

The cover page must be signed by an institutional officer, usually the Director of Research. In the absence of an official sponsor cover page, the DOR has a standard cover page format which lists the necessary information about the University and the Principal Investigator(s). LINK TO STANDARD SIGNATURE PAGE (get form from Linda)

Abstract or Project Summary: Sponsors often request a brief summary or abstract of the overall proposed project. Be sure to follow sponsor guidelines on length of this abstract.

027eb37d8f755a6c3310b5cf0f3e3677.doc 19 In the absence of specific guidelines or forms, it is often useful to include a brief abstract of no more than one single-spaced page summarizing the project purpose, methodology, costs, and timetable. Be sure to include your name, institution, and the title of the project on the abstract page. Click here for a sample abstract http://www.clarkson.edu/~davisju/research/proposal_prep/ NEED TO GET FROM RJS

Introduction: The introduction answers the questions of why you are applying, what you are asking for, and who you are as principal investigator. This section should also include background (who has performed similar work, including pros/cons), and finally how this proposal compliments or benefits the sponsor. In writing the introduction try to show how your project interests align with the interests of the sponsor. Read over the sponsor guidelines and follow the directions/advice about explaining your project.

Project Goals and Objectives: Goals and objectives are not the same and should be dealt with separately. The goal of your project is what you hope to accomplish as a result of the entire project. Your objectives are statements of precise outcomes that can be measured as project accomplishments. Properly written objectives should be specific, measurable, and time bound. Unless specifically requested by the sponsor, do not include milestone activities.

Plan of Action, Methods, Design: This section of the proposal answers three important questions: (1) when you are going to do the project, (2) where the project will be performed, and (3) how you will accomplish each aspect of the work. The plan or methods section will be the longest section of the technical narrative and will present a description of the work to be done in accomplishing the project objectives. It should account for all activities and individuals to be involved in the project. This section of the proposal often includes a time chart or flow chart showing the order of activities to take place.

Bibliography: In writing the proposal, you should also show that you are familiar with the literature on the subject you are investigating. Follow the sponsor guidelines in providing a bibliography of materials relevant to the proposal you are submitting. Also, check to see if the bibliography is part of the overall page limitations or in addition to those page limits.

Curriculum Vitae: Include curriculum vitae for yourself and all key members of the proposed project. Be sure to follow sponsor guidelines on format and length of vitae and be sure your curriculum vitae is completely updated. Unless otherwise specified, curriculum vitae should be included at the end of the proposal narrative.

027eb37d8f755a6c3310b5cf0f3e3677.doc 20 Required Reviews (human subjects, animals): The proposal should specifically state procedures to be followed in the use of human subjects and animals in the project. Adherence to Federal regulations is required. Projects which involve the use of human subjects must be reviewed and approved by the University’s Institutional Review Board (IRB) prior to proposal submission. Clarkson does not have resources for the use of animal subjects on campus. Contact the DOR should the need arise for this specific use so arrangements and compliance issues can be addressed.

Current and Pending Support: Many sponsors request applicants to supply information on both current and pending support. The Division of Research Database Management System (CURDIMS) generates the data electronically for all Clarkson faculty. DOR practice is to generate this statement for the PI/CO-PI to review/editing. The final document is prepared by the DOR on behalf of the faculty and in accordance with agency guidelines.

Appendices: Appendices in your proposal should be clearly labeled and provide supportive information that relates directly to the proposed project. The use of appendices and any restrictions on number of pages in proposals is specifically limited by most sponsors. For this reason, it is essential to consult the sponsor's proposal preparation guidelines. Be sure to note whether or not the page limitation on the overall proposal length also includes the pages in the appendices.

Facilities and Equipment: Information pertaining to resources available to the PI for the conduct of the project should be described in detail. Examples of such resources include: lab space, equipment, library resources, shop services, and University computer systems.

Additional Proposal Sections

 Broader Impacts (sample broader impact statement.doc) get from RJS  Assessment/Evaluation (sample assessment-evaluation.doc) get from RJS

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