Pre-Award Activities
(Applying for a Grant)
Post-Award Activities
(After Grant is Awarded)
Committee on Human Research/IRB
Pre-Award Activities (Applying for a Grant)
Those who wish to apply for grant funding should consult with
the chairperson of their Department and
the Dean of the
School
(or appropriate Vice President) before
beginning the process of preparing a
grant proposal. This consultation
will
smooth the entire process of applying for a grant and conducting
the proposed project, if and when funding is obtained. More importantly,
early consultation with
University Research Services (URS) wiill provide the applicant with valuable advice
on the proposed
project. If grant applicants
wait until the mandatory
approval process to inform their
supervisors or the
URS Office of their plans,
the entire
application is placed
in jeopardy.
Preparing the Narrative |
Preparing the Budget and Budget Narrative |
Production of the Proposal Document
Grant Application Approval Process (Review Forms) | Special Considerations
A.
Preparing the Narrative
Generally, the narrative portion of a grant proposal consists
of nine parts:
1. Abstract (or Executive Summary)
2. Problem (or Needs) Statement
3. Objectives
4. Activities (or Methodology)
5. Benefits
6. Evaluation
7. Request for Support and Future Funding
8. Budget
9. Appendices
1. Abstract or Executive Summary
Most longer grant proposals should begin with an abstract,
which is a summary of the entire proposal. Usually
the abstract
is one page or less. An abstract is mandatory on virtually all
government grant proposals, both
state and federal.
It can be useful to prepare a project summary as the first step
in the proposal process. For example, it is
often helpful to
refer to such a document during preliminary discussions with
the chairperson of the
Department, the Dean of the School
(or appropriate Vice President), and the URS Office before the
rest of the proposal
is developed.
Nevertheless, proposal writers are urged to turn their attention
to the abstract as the last step
in preparing
the proposal.
All too often when the abstract is
prepared early in the proposal development process, it does
not
reflect all the thought
and work which went into the full proposal.
Since the abstract must be a summary
of the entire
proposal and since it is the
only part of the proposal narrative
that many people will read, the
abstract is in some ways the
most important page of the
entire proposal.
2. The Problem (or Needs Statement)
This section should describe the problem or needs that the proposed
grant project will address. This
statement should be
phrased
in the broadest possible terms. Evidence to support the claim
that the
problem or needs are critical should be
presented. Current
efforts and research in the field can be
included. Also, how
does our program "fit" with the agency's
goals?
3. The Objectives
This section should describe the specific ways that the proposed
project will help to resolve the problem
or meet the
needs in
the context of Salisbury University's role in the project.
Why are we uniquely suited
to conduct the project?
Describe the
overall goals, short-term and long-term objectives, and expected
milestones.
4. The Activities or Methodology
This section should describe the methodology that will be used
to meet the objectives of the project. A
time line or other
chart
of activities showing the implementation sequence is frequently
helpful in
explaining how the problem will be solved. Describe
activities, staffing, clients, and the role of the
consultants;
give background information on collaborative
organizations. Describe
the facilities and
resources both on-hand and needed.
5. The Benefits
This section should describe what benefits will derive from using
the proposed methodology to solve the
problem or needs
that were
described in the Needs Statement.
6. Evaluation
It is very important to explain how the project will meet its
stated objectives. Methods of evaluation
vary according to
the
discipline and prospective format, but the evaluation procedures
can aid in clarifying
objectives and defining
accountability.
The evaluation has implications for grant renewal and future
funding. Remember to evaluate the process
and the project, and
to make the evaluation feasible.
7. Request for Support and Future Funding
Show why the reader or funder is the best and most logical source
of support and then illustrate your
commitment to
your project.
If the project requires activity or funding beyond the proposed
grant
period, describe plans for continuing
research or for obtaining
additional funds. This section helps justify
your budget request.
8. Budget
The budget describes the proposed project in dollar amounts of
estimated expenses and income. It
should document
sources for
all budget items. Budget development is described in more detail
in
Section B.
9. Appendices
The section can include letters of support, board membership
lists, tax status, vitae of key personnel,
annual reports,
bibliography,
evaluation forms, assurances, or whatever helps to clarify any
of the above
components. But remember that
they must be referenced
with the text. Also remember that even
appendices can be included
in the overall page count of
the document, so do not add irrelevant
materials.
It is critical that all of these specified parts of the proposal
are internally consistent - that is, that objectives
flow from
needs, activities from objectives, etc.
While the above outline provides the prospective grant writer
with a useful guide to organizing his or her
thoughts, the key
to preparing a successful proposal narrative is adherence
to the guidelines of the
funding agency.
A proposal can
range from an informal, one-page letter to a small
family foundation to
a legalistic, 200-page proposal to the United
States
Department of Transportation. The more you know
about
the funding source the easier it will be for you to shape your
ideas in a way that will appeal to them.
The URS Office can
help you with both learning about the funding source and
preparing
a narrative in
the appropriate form.
If applying for funding from a government agency, it is highly
recommended that you consult the
appropriate program
officer
within the agency before the writing process begins.
Return to Top
B. Preparing the Budget and Budget Narrative
The budget is one of the most vital sections of the project proposal.
The key to preparing a strong
budget presentation is
to adhere
to the guidelines established by the funding agency and to make
sure
the budget reflects the activities proposed.
The budget section is most commonly divided into two subsections,
the Grant Request and the
Institutional Support or
Cost Share.
In addition, a Budget Narrative or Budget Justification is
frequently
required.
1. Grant Request:
Grant applicants must make every effort to estimate project
expenses as carefully as possible. Loose
approximations will
almost always hurt, either the chances for getting the grant,
or the chances of running
the project successfully.
The following are some of the more complex budget categories and terms
encountered in preparing
grant proposals. In
almost every instance in
which the budget categories of a particular grant program
conflict with
the explanations below,
applicants should follow the agency
stipulations. For example, if
the agency specifies that indirect costs
are limited to 15
percent of the total grant budget, this must
supersede
the guideline for indirect costs outlined below.
Assigned Time - In general, payments
to personnel working for the University can be listed as
"assigned time"
only if the University has already made a commitment to hire that
person. Obviously,
this includes all tenured professors. In addition,
it
includes employees with whom the University has
entered into a
contractual agreement. Assigned time will be in
compliance with workload
expectations
discussed in the Faculty Handbook regarding the University
of Maryland System
Policies II-1.25.
Consultants - In general, consultants are expected to come from outside the proposing institution.
Evaluation Consultants - When grant
programs require an independent evaluation of a project, they
almost
universally
require that the evaluator be from outside the institution.
Honoraria - Honoraria are paid to
professionals for performing distinct, short- term tasks such as
speaking at a
conference or moderating a panel. Salaries of persons
working on a project over longer
periods of time cannot be listed
as
honoraria.
Fringe Benefits - Fringe benefits for full-time Salisbury University faculty can be obtained from URS.
Indirect/A-21 Facilities and Administration Costs - The indirect cost
category covers all the costs
associated with a grant project which, for
reasons of
practicality, cannot be directly assigned to specific
grant
activities. For example, virtually all projects require the use of
University facilities which must be
heated in the winter, cooled in the
summer and lighted at night. It is impossible to
determine exactly how
much of the University fuel and utility bills to assign to the grant
project based on this use.
Nevertheless,
these costs are real.
Similarly, all grants require the preparation of financial reports. It
is impractical to divide
and assign the cost of staff time in the Fiscal
Grants Management Office by hours spent on different
accounts. Without
indirect cost recovery, each grant project which Salisbury University
conducts
costs the University money.
The University's indirect cost rate is determined through negotiation
with a federal "lead agency." This rate
is used for
all federal, state and private foundation grants. The calculated
indirect cost rate for Salisbury
University is currently 48
percent of salaries and wages and fringe of the project. For
example, if there
are $10,000 in salary and wage costs on a
project,
the indirect costs of the project would be $4,800.
This should
be added to the grant request. Note: At this time,
this is an
externally approved federal rate.
Some funding agencies stipulate that indirect costs cannot be
recovered as part of the request for funding
or limit indirect
cost recovery to a specific percentage. In these instances the
indirect costs, or the
unrecoverable portion of these costs,
should be listed as institutional support. Obviously, handling
of indirect costs in this way simply indicates the magnitude
of the costs that the University will incur
in conducting the
proposed project. Indirect costs are never
funds which are available to Project
Directors. Please contact
University Research Services (URS) if there are questions about
indirect costs.
Travel - In general, travel
for grant projects must be by the least expensive means practical.
Travel will
be reimbursed at USM/SU established rates. It is
reasonable to request reimbursement for personal
automobile use
at the standard
University rate of $.34 per mile. Most grant
programs do not allow
international travel. In no instance may
foreign travel
be attempted without the express written permission
of the granting agency.
2. Institutional Support (Matching Funds and/or
Cost Share/In-Kind Contributions)
Most funding agencies require that the University make a substantial
contribution to the completion of
the proposed
project. The categories
of institutional support funds are essentially the same as those
for
the grant request.
Applicants must keep in mind that, with the single exception
of indirect costs, all institutional support
funds devoted to
a
grant project will have to be taken from existing, approved
University budget lines.
Therefore the source of institutional
support funds must be of primary concern to Project Directors.
Determining from which accounts institutional support
funds may
be drawn is one of the topics that
grant applicants should address
in early consultation with the Chair of their Department and
the Dean
of their School (or appropriate Vice President).
Cost share may also come from outside the University from community
based organizations or state
agencies, or as revenue
generated
by enrollment or fees. It may be calculated as an in-kind contribution
or be actual cash dollars donated to the
project. It is the Project
Director's responsibility to obtain
documentation indicating
off-campus contributions (i.e. letters of support) which clearly
indicate the
amount of cost share.
3. The Budget Narrative or Budget Justification
The budget narrative section of the proposal is designed to explain
the basis for calculating the expenses
contained on the
budget
page and the role of the expenditures in conducting the project.
We will examine a hypothetical example in which the budget requests
$10,999 to cover the salary costs
on the proposed
project. This
single number listed on the budget page provides the reviewers
with no
basis for judging whether the request
is reasonable.
The budget narrative would explain that the salary
figure includes
release time for the Project Director
calculated at $3,600 per
semester for two semesters,
and $1,400 each for two student laboratory
assistants each semester,
calculated at the rate of $8.00 per
hour for 175 hours per semester. Further, the budget narrative
would explain that the
student laboratory
assistants are necessary
to the project because they will help students using the laboratory
for assigned
homework and experiments during non-class hours.
A budget narrative is mandatory for many grant proposals. It
is a good idea to include a budget narrative
in most grant
proposals,
either as a separate section or an addendum to the budget itself.
C. Production of the Proposal Document
In general, Project Directors are responsible for producing their
own grant documents, from original
proposal to final project
report. In many instances, however, the
University Research Services (URS)
will assist
in the process
of producing
the grant proposal. This assistance will include,
but is not limited
to,
the
following:
-
budget preparation
-
word processing of the narrative
-
proof reading the entire proposal
-
production of the document in its final form
-
securing final signatures and approvals
-
duplicating
-
delivering the document to the funding agency
Final responsibility for the content of the grant proposal remains with the Director of the proposed project.
D. The Grant Application Approval Process
Any grant proposal which involves Salisbury University
personnel in any way must be approved by the
administration of the University
prior to submission to the funding agency by completing the
Internal
Review
Form for Contracts and Grant Proposals.
The Project Director is responsible for securing the signatures
of the Chair and Dean. The Director of URS
will present the project to the Provost for final approval and
signature and will
be
listed as the point of contact for
award
negotiations.
Grant proposals must be approved by the following officers of
the University:
-
Chair of the submitting department
-
Dean to which the Project Director reports
-
Director of University Research Services (URS)
-
Provost
In addition, the Project Director must sign off on the
Internal
Review Form for Contracts and Grant Proposals.
Signature
by the Project Director signifies that he/she approves submission
of the proposal in its final form, and
that he/she has
obtained the permission of his/her Department Chairperson to
submit the request.
Project Directors should be aware that signature of any of
the above parties on the Proposal Approval form (Please print out on yellow
paper if at all possible.)
Print out and fill
constitutes only
approval to submit the proposal to the funding agency. It does
not commit the University to
conducting the project if
and when the proposal is approved.
Internal Review Form
for Contracts and Grant Proposals
in the blank
Proposal writers and Project Directors are required to adhere
to all standard University policies and
procedures. In addition,
certain grant project activities may require special consideration
and arrangements
by grant writers and Project Directors. At
a
minimum, the following situations will require special
consideration
and additional time for the development of the proposal:
1. Special Space Needs
Any project which will involve a special use of University property
must receive additional attention. For
example, a project
might
involve dedicating a space to a particular use, physical renovation
to any
University facility, or purchase of equipment
which will
require installation. The Project Director must
allow for additional
time for the design and approval of the project in these exceptional
circumstances.
Additional questions can be directed to the
SU Space Utilization Committee.
2. Extraordinary Maintenance
Requirements
Any project which will impose special maintenance requirements
on the University over the years may
have to go through additional
clearances. An example would be a project which will entail obtaining
any equipment which the University will
have to make special
provisions to maintain.
3. Acquisition of Equipment
and Computers
Equipment purchase requests must
be handled through SU's Procurement Offices, progrant@salisbury.edu.
All equipment
will become part of the institution's permanent
inventory and will remain as such pending the
final disposition
agreement with
the funding agency.
Approval must be secured prior to submitting a proposal which
requests computer equipment. The
expansion of computer resources
on campus, related space limitations and maintenance requirements,
and the commitment to a campus computer network, all combine
to make this approval necessary.
Applicants who anticipate requesting
computer equipment through
a grant program should contract
University Research Services for advice in designing their proposals and securing
approval for
submission. These
requests will be reviewed by the
Chief Information Officer,
Jerry Waldron.
Salisbury University has made a commitment to standardize
the types of computer equipment used on
campus. Project
Directors
who want to order computer equipment under a grant project should
request
standard University equipment. Both
University Research Services and the Computer Center have the list
of these
standard brands,
with prices, to facilitate these choices and
the preparation
of grant budgets. If
a Project
Director feels that another type
of equipment is preferable for the purposes of a grant project,
the
rationale for this decision should be put in writing and
submitted to the Grants Office well in advance
of the proposal
deadline.
4. Acquisition of Library Materials for the
Permanent Collection
Project Directors must consult with the Library Director, Dr. Alice Bahr, ahbahr@salisbury.edu if they
plan
to acquire, through a grant project, materials to be incorporated
into the permanent collection
of the Blackwell
Library.
In general, Project Directors should be aware that purchases
of monographs for addition to the
permanent collection is appropriate.
Purchases of serials and periodicals which have a continuing
cost commitment beyond the grant period may be problematic and
should not be done without prior
consultation with the Dr. Alice Bahr,
Library Director.
It is not necessary that Project Directors inform the librarians
reflib@salisbury.edu of printed
materials
which will be
purchased with grant funds and which
are not intended to become a part of the Library
collections.
For example, materials
which will be used by the Project Director
in his or her office and
will not become a part of the Library
collections do not
pose a problem.
5. Use of Human
Subjects or Animals
Recent changes in federal regulations make it imperative that
Project Directors give special consideration
to any grant project
which will use human subjects or animals in any experiment. University
Research
Services will
provide guidance and the necessary protocol forms. Please complete the
Human Research Application Form
to have your proposal reviewed by the Committee on Human
Research (CHR).
This list is not intended to be exhaustive.
There are other circumstances which will require that faculty
members and administrators make special arrangements and take
special precautions both while writing
proposals and directing
projects.
If you suspect that this may be the case with your
project, please contact
the head of your Department and Dr. Betsey
Corby, Director, University Research Services (URS) and
allow for additional time
in developing your proposal.
Comments and questions about this page can be directed to the URS.
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