Proposal and Submission Guide for Faculty & Staff

Most grants, contracts, and other agreements from external sources are commonly referred to as sponsored projects. Projects that meet *any* of the following criteria are considered sponsored projects and are administered through the office of Research and Sponsored Programs:

• The proposed project binds the University to a specific scope of work.
• Progress, technical, final reports or other deliverables are required.
• Billing, separate accounting procedures, or report of expenditures are required.
• Unexpended funds may need to be returned to the sponsor at the end of the project period or requested and carried forward.
• The project involves disposition of property, whether tangible or intangible, that may result from the project (e.g., equipment, records, inventions, copyrights, or rights in data).
• The project has a specified performance period or completion date.

A sponsored program must have a lead responsible for the implementation and outcome of the project being proposed.

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 projects. A PI accepts Responsibilities include the intellectual conduct of the project, fiscal accountability, administration, and compliance. 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).

*National Science Foundation makes no distinction in scientific stature between the designations of PI or Co-PI on a proposal/grant.  Thus, principal investigators are equally responsible for the direction of the project, project implementation and reporting requirements.

Eligibility

PI and Co-PI status is a privilege offered to St. Cloud State University 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.).

All persons offered PI and Co-PI authority 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 Proposal Approval Form process which is require prior to the submission of a proposal to a funding agency.

Responsibilities

Principal Investigator(s) 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 the Office of Research and Sponsored Projects with the proper approvals secured through the Proposal Approval Form 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 Research and Sponsored Programs when communicating with funding agency concerning questions and project updates. 
• Complete and submit performance/annual reporting requirements as defined by the funding agency.
• Contact Research and Sponsored Programs for award modifications.
• Protecting the University from legal liability related to the research or other sponsored project.

• Discuss with your department, department chair/director and dean/vice president/supervisor* to amplify the idea and determine key concepts.
• Request feedback from colleagues and peers.
• Schedule a meeting with your contact at Research and Sponsored Programs to discuss idea/funding opportunities.

*Prior to the submission of any proposals, the internal approval process must be completed (refer to Step 6).

• Service 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 Principle Investigator).
• Research Grants fund research investigations made by individuals, universities, and other groups to build knowledge generation to a given field.
• Service Grants provide support for students and/or the community in areas of education, health, human services and the arts. Capital Grants provide funding for acquiring or development of capital assets.

St. Cloud State offers many resources to aid in the search for external funding opportunities.

GrantForward

GrantForward constantly updates their database of sponsors and funding opportunities, allowing thousands of grant opportunities to be gathered from over 9,000 US sponsors. Please sign up for a researcher profile and GrantForward will send you grant recommendations related to your field and research interests.

• Create or edit a profile
• Researcher Welcome Guide
• GrantForward Webinar for Researchers

How to create a GrantForward Account?

How to create a GrantForward Profile?

MN Grants

MN Grants provides a single entry point to Minnesota grant opportunities. Grant seekers can search for grant opportunities by state agency or by subject area through following the appropriate link.

Grants.gov

Custom Email Notifications

When you create a Grants.gov account, you can customize the type of email notifications you receive. Options are shown below.

• Subscribe to Grants.gov News
  Receive Alerts and Newsletters containing updates about system enhancements and training resources.

• Subscribe to all new grant opportunities
  Receive a daily email listing all new grant opportunities

• Subscribe to opportunities
  Receive notifications when changes are made to a specific opportunity's forecast, synopsis and/or packages

• Subscribe to saved searches for grant opportunities
  Receive notifications for new opportunities matching saved search criteria

Internal grants are available to support St. Cloud State University faculty and staff scholars.

• Familiarize yourself with the program requirements and sponsor priorities
• Thoroughly read the proposal guidelines, application instructions, agency guidance, budgetary limitations, required attachments, formatting expectations and/or other key informational resources.
• Note any elements such as required cost-share/match, IRB requirements, limitations on the use of funds, PI or participant eligibility restrictions, etc.
• Seek clarifications or additional information regarding any points of uncertainty.
• Verify the submission deadline date and time (including time zone)

Funding agencies consider the credibility and competence of the requester as they evaluate a proposal. The following are key components considered:

• Publication record in top journals,
• Demonstrated success in previous competitive grants,
• Institutional endorsement, and
• Proven collaborative experiences

Review and update your CV/Biographical Sketch in accordance with funding agency’s formatting requirements.

• To introduce yourself and provide an overview of your proposed plan, clarify any points of uncertainty, and glean any feedback or insights that the program officer can offer.
• Email is a recommended method to initially contact with program officers. Thinking about how your project aligns with the program’s objectives, provide a concise (1-2 paragraph) overview of your project and request a brief phone conversation to discuss future.

At this meeting, the PI(s) will discuss the following aspects with their RSP Contact:

• the requirements of the funding opportunity,
• steps in developing your proposal,
• budgetary needs of the proposal (using the budget template, please bring a preliminary budget to the meeting)  
• facilitating the internal approval process (see Step 6), and
• outlining plan for the submission prior to the deadline

• Build your proposal development team, enlisting additional faculty and staff members as needed.
• Contact external partners or stakeholders, if necessary based on the nature of your proposal. Identify and make a plan to secure any approvals, letters, signatures, or documents needed from external partners.

Principal Investigator (PI) is the individual(s) leading the proposed project/program, and are responsible for the preparation, execution, and administration of a grant/contract in compliance with applicable laws and regulations and institutional policy governing the conduct of sponsored research.

• Originates the idea for research or project.
• Studies sponsor guidelines and submission instructions.
• Understands institutional policies and procedures as they relate to sponsored projects.
• Develops the implementation plan for the research or project, including personnel needed for project and corresponding effort requirements.
• Authors the proposal components required by the funding opportunity based on the implementation plan.
• Develops the project/program budget in collaboration with Dean/VP/supervisors and RSP.
• Discloses potential conflict of interest to Dean/VP/Supervisor.
• Discusses participation expectations with other stakeholders/departments.
• Requests approval from Department/Dean/VP/Supervisor for resources required for the implementation/execution of a project (i.e. equipment, space and support). If resources are not available, that support must be requested in the proposal.
• Completes the Proposal Approval Form and routes proposal for internal review and approvals, allowing for a minimum of four business days for RSP to review and obtain final approvals

Principal Investigator’s Dean/VP/Supervisors

• Assesses the alignment of the proposal with the University’s mission and vision.
• Reviews and approves the proposal budget.
• Reviews and approves any cost sharing/matching commitments, and approves the source of the cost share/matching assuring necessary commitments will be in place prior to the award.
• Reviews any potential conflict of interest and must manage, eliminate or minimize any conflicts as required by Minnesota State Statue.

Research and Sponsored Programs

• Assists in identifying funding opportunities for both general University information and specific areas of interest to research faculty.
• Assists with proposal and budget development.
• Advises PIs and University staff regarding federal, state, local government and other funding agencies' rules, regulations and procedures.
• Reviews proposals prior to submission (including revisions, supplements and continuations) for accuracy, correctness and legal sufficiency considering agency requirements and University policies.
• Communicates with PI(s) about any revisions that may strengthen the proposal.
• Reviews the Proposal Approval Form and coordinates final University approvals.
• Coordinates submission plan.
• Submits proposals that are authorized by delegated representatives of the University.

Typical items required for submission include (but are not limited to):

• Application Form
• Proposal Narrative/Description
• Proposal Abstract/Summary
• Budget, and justification
• Supplementary Documents, if applicable
  • Bios/Resumes
  • Letters of Support/Commitment
  • Others, as defined by funding agency

• Have others review your draft proposal narrative.
• Work on your budget in tandem with the proposal, making sure that your budget reflects that 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.

Eligibility of St. Cloud State University faculty and staff members for grant awards is dependent upon the funding agency’s requirements. Guidelines should be followed as posted in the applicable grant notice and application. 

If a funding agency requires faculty/staff to be nominated, potential eligible candidates will be identified through the Dean’s Office of the respective college(s) with name(s) forwarded to the nominating official, which is the Associate Provost for Research, about one month prior to the application deadline. Nomination of one or more candidates will be facilitated by the nominating official in consultation with the Scholarship Research and Creative Achievement Committee (SRCA).

• Research with Human Subjects, submit IRB
• Research with Animals, submit IACUC

Congratulations, RSP will work with the funding agency on the award negotiation. Upon mutually agree upon terms, RSP will process your award.

Your award information will be available and accessible within the External Proposal and Award Portal for PIs.