Pre-Award

The development and submission of a competitive proposal or contract involves many steps. The following information provides an overview of recommended strategies and practices and makes you aware of the requirements of submitting a proposal at Minnesota State University, Mankato. 

While the information is presented in a series of consecutive steps, depending on your timeframe, it may be necessary to execute some steps concurrently.

The earlier you engage the Office of Research and Sponsored Programs (RASP), the more help we can provide throughout the development process.

 

Step 1: Evaluate Your Idea or Project

Share your Project Idea

Obtaining feedback and support from the univeristy community will assist you in developing a competitive proposal

  • Schedule a consulation with the Center for Excellence in Scholarship and Research (CESR)
  • Discuss with Dean, Chair, or Director 
  • Inform Grants or Contracts Coordinator of your intent

Principal Investigator: Roles, Eligibility, and Resonsibilities

Roles

  • Principal Investigator (PI) is the individual responsible for the preparation, implementation, conduct, and administration of a research grant, cooperative agreement, training or public service project, contract, or other sponsored project. A PI is responsible for intellectual conduct, fiscal accountability, administration, and compliance of the project. Some funding agencies refer to the Principal Investigator as the Project Director (PD).
  • Co- Principal Investigator (Co-PI) is a senior member of the key personnel team who shares administrative, fiscal, and intellectual conduct with the PI on research projects. Some funding agencies refer to the Co-Principal Investigator as Co-Investigator (Co-I).

Eligibility

  • PIs and Co-PIs are Minnesota State University, Mankato personnel with active and continuing employment status having the appropriate level of authority and responsibility to direct a sponsored program (grant, contract, cooperative agreement, sponsored project, etc.)
  • PIs and Co-PIs must accept all of the responsibilities associated with the application for and administration of awarded sponsored projects. Each PI is required to certify with every proposal submission that all information provided is true and complete and that the proposal conforms to the University policies and procedures applicable to sponsored activities. This certification occurs via the Campus Approval for Externally Funded Projects (CAEFP) process which is required prior to the submission of a proposal to a funding agency.

Responsibilities 

PIs are responsible for intellectual conduct, fiscal accountability, administration, and compliance of a sponsored program from idea to closeout

Responsibilities include, but are not limited to:

  • Complete and accurate preparation of the proposals or applications, along with all necessary supporting documentation
  • Submission of these proposals/applications through RASP with the proper approvals secured through the CAEFP process prior to submission
  • The intellectual, ethical, and technical aspects of any research or project as a result of an award including oversight of all activities, and each site involved
  • Implementation of the project in accordance with funding agency guidelines and MinnState procedures
  • Training and education of all individuals working on the research/project in such areas as laboratory safety, scientific rigor, data collection and management, and scientific integrity, including, but not limited to, issues such as authorship, conflict of interest and commitment, and humans and animal subject issues
  • Compliance with the specific terms of the award and sponsored program requirements of the University
  • Fiscally responsible to expend project funds as awarded per award/agreement, regularly monitor and reconcile award budget throughout the life of the project (including cost-share or match, if applicable)
  • Follow all applicable University policies and procedures such as travel, purchasing, employment, contracted services, and compensation policies
  • Adherence to other Federal regulations such as those concerning proscriptions against lobbying, financial discussions with industry funding sponsors, and as specified in the Grant Terms and Conditions of the award
  • Include RASP when communicating with funding agency concerning questions and project updates
  • Complete and submit performance/annual reporting requirements as defined by the funding agency
  • Contact RASP for award modifications
  • Protecting the University from legal liability related to the research or other sponsored project

Step 2: Find Funding

RASP offers direct links to various internal and external funding sources and opportunities that support faculty, staff, and students who are engaged in research and program development. We also provide assistance in locating funding sources for your project/program and with submission process.

Types of Funding

  • Contracts are based upon a scope of work to provide expertise for a list of mutually agreed upon deliverables within a given timeline
  • Grants are competitive in nature and are non-repayable funds awarded by a funding agency often a government department, corporation, foundation or trust, to a recipient (in this case, an educational institution, team, department or Principal Investigator). They can fund projects made by individuals, universities, and other groups. They can also provide support for students and/or the community in areas of education, health, human services and the arts.

Identify External Opportunities

Verify Eligibility

Proposal development is time-consuming; therefore, it is critical to verify that your idea/project aligns with the intention of the funding opportunity you are considering

The chance of being funded increases if your proposal fits well with the funding agency’s program and priorities

 Check the funding opportunity to confirm eligibility, for example:
  • Alignment with funding priorities
  • Required expertise
  • Cost match considerations
  • Sustainability expectations

Begin To Develop Your Proposal

In the proposal development process, as the subject matter expert, the PI(s) author the proposal

  • Give yourself plenty of time in advance of deadline
    • Estimated hours to prepare proposals: 10-40 for private funding; 40-60 for state funding; 75-100 for federal funding
  • Request previously funded grants (Freedom of Information Act)
  • Talk to Program Officer
  • Read guidelines/follow instructions
  • Draft the Budget
    • Learn more at RASP website: Budgets

Step 3: Develop Your Proposal or Scope of Work

RASP supports PIs with reviewing and interpreting guidelines, developing budgets and reviewing application components

Recommendations for Successful Proposal Development

  • Have others review your draft proposal narrative
  • Work on your budget in tandem with the proposal, making sure that your budget reflects the activities and outcomes you are proposing in the narrative
  • Discuss and secure preliminary approval for items such as faculty/staff reassignment, cost-share commitments, use of institutional facilities, research involving human/animal subjects, hazardous chemicals, etc.

Define Your Project

  • Significance/need
  • Goals
  • Objectives
  • Approach
  • Outcome/impact
  • Resources available/needed

Thoroughly Read Funding Guidelines

  • Get to know funder
  • Determine how much they will invest in your project
  • Identify budget requirements
  • Identify key contacts
  • Determine whether “good fit”

Contact Funders

  • Coordinate contact with Grants or Contracts Coordinator
  • Discuss project/program with Program Officer
    • RASP can connect you with the funding agency’s Program Officer
  • Ask for assistance; draft review
  • Inquire about how decisions are made and time frame
  • Clarify budgets requirements

Identify Requirements

  • Identify critical resources needed
  • Determine equipment needs
  • Determine space needs
  • Obtain commitments from project participants (cost sharing, etc.)
  • Assign tasks (if team) to gather data, write sections, review drafts

Draft Proposal & Budgets

Key Elements:

  • Table of contents
  • Page formatting
  • Abstract/project summary
  • Projects description/program narrative
  • Evaluation
  • Timeline
  • Budget
  • Vitae
  • Appendices

Review & Edit

  • Self-review
  • Peer Review: technical experts, scientific experts, etc.
  • Grants Coordinator Review: editing, formatting, assurance that application guidelines and requirements have been met

Step 4: Submit

RASP assists with the internal review, CAEFP process and proposal submission

Depending on the elements of your project and funding agency, supplemental compliance process may be required. Please refer to Compliance Requirements.

Route for Internal Approval

  • Complete the Campus Approval for Externally Funded Projects (CAEFP) form, include the draft proposal and final budget
  • Sign form as Project Director, obtain Co-PI (when applicable), Department Chair and College Dean’s signatures
  • Send paperwork to RASP; RASP will route for remaining authorizations

Compliance Review

  • Human subjects: Institutional Review Board (IRB)
  • Animal use: Institutional Animal Care & Use Committee (IACUC)
  • Environmental health & safety
  • Conflict of interest
  • Intellectual property
  • Technology transfer

Prepare for Submission

  • Once CAEFP is fully executed, grant/contract is approved for submission
  • Verify submission process with Grants or Contracts Coordinator
  • Submit as directed by guidelines

Next Steps with Funding Agency

  • RASP assists with tracking submitted proposals
  • The response from a funding agency can take up to 6 months depending on the funding agency
  • Prompt funder approval of contracts may occur for time sensitive projects
  • Upon funding determination, request feedback
  • Consider resubmission when appropriate. Work with RASP on next potential deadline.

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