Claremont McKenna College Government Grants Handbook
III. Proposal Preparation
A. Proposal Submission
The Office of Sponsored Research is responsible for the submission of all grant applications to the government. All sponsored research proposals must be approved by the Dean of the Faculty-Greg Hess, Director of Sponsored Research-Winnie Wang, and Budgeting Director/Grants Administration Officer-Barbara Maxwell.
B. College Deadline
Proposals need to be submitted to the Director of Sponsored Research at least ONE WEEK prior to the funding agency's submission deadline. Proposals that need to be submitted via grants.gov need to be submitted TWO WEEKS prior to the deadline. Proposals that are not submitted in time will not be guaranteed for submission.
C. Proposal Development
The most important aspect of proposal development is for the Principal Investigator to have a phone conversation with the Program Officer of the agency. At an early stage of writing the proposal, valuable insights can be gained from the Program Officer that helps shape a winning grant proposal. A phone call initiated by the Principal Investigator is crucial to grant success.
D. Proposal Content
1. Title Page
Many funding agencies, particularly government agencies, provide title page forms. The title page usually includes the following information:
- name of the agency to which the proposal is being submitted
- name and address of the College
- name, department affiliation, address, phone number, e-mail address, and signature of the principal investigator
- title of the project
- total funds requested
- proposed starting and ending dates of the project
- name, title, address, telephone number, e-mail address, and signature of the authorized institutional official (usually the Dean of the Faculty).
Government funding agencies often request the following institutional data on application forms:
Entity Number/Employer ID/Federal ID: 95-1664101
Congressional District: 26th
DUNS: 009661893
DHHS Indirect Cost Agreement Date: 5/19/2008 (50.9%)
DHHS Representative: Stanley Huynh
Telephone (415)437-7820
Fringe Benefits Rate for Full-Time Employees: 23.9%
2. Abstract
The abstract is a one-page, 250 words description of the major objectives of the proposed research and the strategy used to meet these objectives. It should state the significance of the project, how the goals will be accomplished, and the time span of the project. Some funders will request that the abstract be written for a non-technical audience. If this is the case, the PI should write the abstract as requested.
The abstract is often used to assign the proposal to the appropriate study section for review. Reviewers use the abstract to gain initial insight as to the concept of the study and it may also be used later as a reminder of the proposal's content. Abstracts of funded research projects are often entered into national databases that can be accessed on the Internet. If the project is approved for funding, the agency will usually allow revisions to the abstract before making it public.
3. Description of Project
The narrative should include a description of the project, including its overall goal and more specific objectives. The need for the project should be well justified in terms of its impact on the field and its relationship to the current objectives of the funding agency. The description should delineate how the project objectives will be achieved, how the project will be evaluated, and how the results of the research will be disseminated.
When writing the text of the proposal, it is important to establish a theoretical framework for the research. The investigator should state very clearly what s/he intends to do. Proposals are often dismissed because of vagueness in the research questions posed or jargon that is overused or misused. In the proposal, it is important to persuade the reviewer of the project's merit and of the investigator's special ability to carry out the research. If the PI has preliminary research, s/he should make sure to include it.
4. Budget
The budget should include any costs associated with the successful completion of the project. It must be as accurate as possible, based on estimated costs. It is typical to use a 3% annual increase in costs for all goods and services. Propose a modest budget and include a line-by-line justification of major purchases and personnel. Listed below are typical components of the budget:
a. Personnel
If possible, all personnel who will participate in the research project should be identified by name, and by title or category of employment. The following are typical categories of personnel:
- Principal Investigator and Co-Principal Investigator (s)
- Research Assistants - undergraduate students
Reimbursement for faculty is usually expressed in terms of percentage of effort and is based on the 9-month academic year.
- How do I figure out percentage of effort?
Summer Compensation
Most government agencies, notably the National Science Foundation, limit summer salary reimbursement to two months. Government agencies prohibit faculty from receiving more than twelve months of salary per year and are very suspicious if a PI asks for more than two months of summer salary. Most funders assume that the PI will need a summer vacation. Thus, requesting three months summer salary can significantly decrease the PI's chances of getting funded.Responsible Conduct of Research
The National Science Foundation now requires the PI to indicate at the appropriate place on the application form whether the institution has a Responsible Conduct of Research Policy. CMC does have a policy which is available from the Office of Sponsored Research. For joint science faculty, the Policy is available from the Dean of Joint Science. NIH applications also require a statement that describes the institutional policy. Again, the policy is available from the Office of Sponsored Research for CMC faculty and from the Dean of Joint Science for the JSD policy.b. Benefits
Benefits are calculated for all salaries and wages. A rate of 23.9% should be applied to the salaries of full-time faculty members, including salaries they may receive for summer and to full-time administrative personnel. Full-time research associates must also receive 23.9% benefits on their salaries. There is not a fringe benefit rate for CMC students working during the summer. For Joint Sciences, Pitzer, Scripps, and CMC students do not have a fringe benefit rate. This rate applies only to full-time CMC employees. If non-CMC employees will be involved, then see section…..Graduate student rates
- It is the college's current standard calculation of all of the benefits such as healthcare, disability insurance, life insurance, etc. for all full time employees of the college
c. Consultants
Consultants should be used only when College personnel do not have the required qualifications, or when an outside consultant would provide a necessary and unique contribution to the project. Pay rates should be determined with the HR Manager. Consultants do not receive any fringe benefits.d. Participant Support Costs
These include stipends, travel, tuition, subsistence, and any other necessary costs.e. Travel
All travel attributable to the project should be itemized. Travel expenses should be subdivided for domestic and foreign travel. List countries to be visited and dates of travel (if known), and justification for travel. Travel rates can be estimated by contacting a travel agent. Per diem rates can be estimated by consulting the standard federal per diem rates, which are posted on the Internet at www.govexec.com.Please note that most government agencies require the use of a domestic carrier for travel both in the U.S. and abroad, except under very strict conditions. Review the NSF Grant General Conditions (GC-1) or contact Assistant Controller for more detailed information. If he is unavailable, contact Associate Controller.
f. Permanent Equipment
Permanent equipment is generally defined as an item of property that has an acquisition cost of $500 or more and an expected service life of more than two years. Special purpose equipment is used primarily for scientific or technical applications. General-purpose equipment is used for research purposes but also for nonscientific and nontechnical purposes. Examples include calculators, computers, camcorders, and cameras. Agencies are often reluctant to fund general-purpose equipment unless it is primarily used in the actual conduct of scientific research. Each item of equipment should be justified in terms of its importance to the project and its current unavailability at Claremont McKenna College.Title to equipment purchased with Federal funds rests with the College, subject to certain conditions. Equipment and supplies acquired with Federal funds may not be used to provide services to non-Federal organizations for a fee that is less than what private companies charge for equivalent services, unless specifically authorized by Federal statute, for as long as the Federal government retains an interest in the equipment. For further information about authorized uses and transfer of equipment, please contact the Treasurer's Office.
g. Supplies
Identify as specifically as possible any and all consumable supplies needed for the project. Supplies are defined as items of expendable equipment that do not meet the definition of permanent equipment. These include laboratory supplies, chemicals, books and computer supplies. Costs for commonly used supplies may be based on previous experience and can include paper, copying, staples, etc. Telephone and postage are usually separate items.h. Miscellaneous
This includes duplication, telephone, mail, equipment maintenance, etc. Items can either be added together under this single category or listed separately.i. Publication
If publication is one of the expected results of the project, a brief synopsis of the expected publication content and its costs, including subvention, should be detailed.j. Indirect Costs
Indirect Costs, or overhead, cover commonly used facilities such as heat and light, and general management by, and support of, the College. The College has a negotiated rate of 50.9% that is applied to base salaries and wages only. Fringe benefits, equipment, consultant fees, or other grant costs should not be included in this calculation. The limitation of indirect costs to salary and wages is typical of liberal arts colleges. The rate is negotiated by the Treasurer's Office.k. Cost-Sharing
Funding agencies sometimes require the institution to demonstrate its participation through the contribution of a portion of the funds required for the overall project. Faculty salary, fringe benefits, and indirect costs are often proposed for cost sharing. Any cost-sharing should be approved by the Dean of Faculty and Treasurer's Office.
5. Institutional Profile
The site of the project should be described, together with all equipment and facilities necessary to the success of the project. If funding is being requested for additional facilities and/or equipment, the need for these items should be described.
6. Bibliography
If a reference is mentioned in the text, be sure it is fully cited in the bibliography. Only those discussed in the proposal should be included. Please note that many funders now impose a strict page limit on the bibliography.
7. Appendices
Although some guidelines specifically request that no appendices be added to a proposal, when allowed, they are often necessary for a comprehensive understanding of the proposal and to convey adequate information about senior personnel. Additional materials might include letters of support from the institution and peers, copy of a publication, graphs and diagrams, etc.
Appendices should only be included if they add validity to the proposal. Applications fail when such material overwhelms rather than convinces the reviewer. In letters of recommendation, funders become cautious when the writer is clearly uninformed about the substance of the project or uses "boilerplate" language.
8. Curriculum Vitae
In most instances, funding agencies require or expect curricula vitae of all key personnel to be attached. They should be current, readable, and adhere to any specific requirements, including page limits, made by the funding agency.
