MSUPrInf

Processing A Proposal In The Non-Federal Section Of CGA

Page synopsis: This page contains:

    I.    Lead-time for RFP/Qs.

    II.    Who may submit a proposal.

    III-VII.    Advice, instructions, and guidance for the completion of a transmittal and proposal.

    VIII & IX.    Acceptance or rejection of the proposal.

    X.    This CGA section and federal funding.

I. The PI, or the department or college, should contact the Office of Contract and Grant Administration (CGA) if a Request for Proposal (RFP), a Request for Quotation (RFQ), an announcement providing notice that the prospective sponsor is accepting proposals, or instructions on submitting a proposal, have been obtained. It is very helpful and crucial, especially if there is a short deadline, that the proper Contract and Grant Administrator have as much lead-time as possible to review the RFP, etc., for any potential problematic issues.

II. Information regarding who may submit a proposal.

III. Section 315 of the MSU Manual of Business Procedures (Manual) contains the following guidelines for submitting a proposal.

"A. Basic Policies for Administration

1. Research projects should be developed consistent with the University's goals.

2. Sponsored research should be accepted only if appropriate time, space and facilities can be made available. Provisions should be made for continuity of support in order to stabilize required staff.

3. The University should retain the rights of first publication [see Major Guideline #8] for its scholars.

4. The complete cost of the research should be determined. If grants or contracts are accepted which do not cover all of the direct and indirect costs, the department/college may be asked to provide the additional financial support with the full recognition that it is making a contribution to the cost of the work.

5. Research projects should conform to established University patent policy * * *"

IV. The Manual also provides some basic guidelines for the development and processing of the proposal.

"B. Proposal

1. The proposal, which is generally developed in the department, should establish the terms and conditions for the provision of funds and the performance of research. Before the final draft of the proposal is completed, the budget should be reviewed by the Office of Contract and Grant Administration, for conformity with policies on such matters as allowable direct and indirect costs.

2. Direct costs involve expenditures that are directly related to a project such as salaries, supplies and services, and purchases of equipment. Indirect costs involve administrative services, maintenance and operation of physical facilities and other expenditures that cannot readily be related directly to the research project. Indirect costs are computed by multiplying a fixed percentage, which is negotiated with the federal government, times the total direct costs excluding equipment items and the portion of each subcontract which exceeds $25,000. Only the Vice President for Finance and Operations can negotiate indirect cost rates on behalf of the University. [Bold in original text.]

3. The proposal should not be submitted to an outside agency before it is approved by the unit administrator, dean, and Contract and Grant Administration."

V. Drafting the proposal is at the discretion of the researcher. There are various sources containing proposal drafting tips.

VI. In accordance with the Manual the proposal should be approved prior to its submission to the prospective sponsor. This approval is accomplished with the MSU Transmittal. Not only does the form itself contain instructions but there are also instructions in the Manual.

"B. Proposal

* * *

4. If human subjects are involved in the proposed research, approval by the University Committee on Research Involving Human Subjects is required before an account number can be assigned.

5. If animals are to be used in the proposed research, approval by the Committee on Animal Facilities and Care is required before an account number can be assigned.

[Although both human subject approval and animal use approval must be obtained prior to CGA being able to assign an account number, neither of these applications must be submitted, or the approvals obtained, in order to be able to process the transmittal.]

6. Proposals which call for use of radioactive isotopes, some forms of recombinant DNA, or hazardous organisms or chemicals require approval of the appropriate committee.

7. Proposals to do sponsored research or education projects overseas require approval by the Dean of International Studies and Programs. [517-355-2350; FAX 517-353-7254]

8. Proposals involving new space, alterations, or renovations of existing space and/or facilities require approval of the Office of Facilities Planning and Space Management. [517-355-1843; FAX 517-353-3768]

9. One copy of the proposal should be prepared for each person signing the transmittal sheet in addition to those required by the sponsoring agency.

10. A "Transmittal Sheet for Request for Contract, Grant or Gift Support" (see exhibit, 315-A) should be completed and submitted with the proposal through appropriate channels as mentioned above, reaching Contract and Grant Administration after all other approvals have been obtained.

11. Sufficient time for processing within the University should be allowed so that Contract and Grant Administration has two days to review the proposal. [Bold added]

12. Mailing of the proposal is the responsibility of the department.” [Bold added]

VII. Additional tips for processing the transmittal when applying to a sponsor within the jurisdiction of the Non-Government / State of Michigan / Local Government / Foundations / Industry / Non-Profit Section of CGA. Please refer to the transmittal form.

A. Ensure all Project Leaders (PI) are listed with their departments and colleges. The PIs must sign the transmittal. Also ensure there are signatures by authorized representatives of the department(s) and college(s). Each of the departments and colleges need to have their Common Unit Code included in the third column with the proper credit indicated and, if needed, an entry in the fourth column. Related to this is the entry for the "unit responsible for bookkeeping", which should be the five-digit Common Unit Code for the unit. (Please refer to Section VII-L-5 below for information if the project is associated with the Michigan Agricultural Experiment Station.)

B. Please ensure a departmental contact person's name and phone number are provided in case we have any questions or concerns we must address before being able to process the transmittal.

C. If applicable, the "Prime Sponsor" must be named in the space to the right of where the name of the "Sponsor" is entered. This is needed in order to ascertain if MSU will receive a subcontract rather than a prime contract. In addition, this will assist CGA to determine which Contract and Grant Administrator will be handling the transmittal, contract, and the project account. In most cases the administrator that handles the prime sponsor will administer the subcontract, with the subcontract being subject to the terms and conditions of the prime contract.

D. If the proposal is seeking more than $20,000.00 from a foundation then contact should be made with the University Development office to obtain their review and approval. They will e-mail CGA informing us of their approval. Contact can be made with the office for Corporate / Foundation Relations at: for voice 355-8257; FAX 432-1129; located at 4700 S. Hagadorn Road, Suite 220, East Lansing, MI 48823-5399.

E. Please contact us if there are any questions regarding the "Type of Project". A "revision" is used if modifications of the project result in significant revisions in the scope of work and/or budget before the prospective sponsor has formally committed to fund the proposal by sending a document, e.g., award letter; contract, to CGA.

F. Please contact us if there are any questions regarding the nature of the project.

G. Checks attached to a transmittal must be processed into the appropriate account by CGA.

H. The first year and total project budget amounts should only include the amount of support that is being requested from the prospective sponsor. Do not include in these spaces any cost sharing (match) the sponsor may require MSU to commit to the project. The match amount, if any, should be indicated in the proper space on the right side of the form above the questions that require "yes" or "no" answers. CGA may request documentation indicating the match is, or will be, available if the prospective sponsor agrees to support the project.

In addition, the dates for "first year" and "total project dates" are those dates the PI anticipates to use, i.e., their "wish dates". There is no reason to delay completing and processing the transmittal until the PI is informed of the sponsor’s decision and of the project’s period of performance. This CGA section will use the period of performance agreed upon in the contract or grant award letter for the administration of the project account.

I. Two of the common errors are to not fill in the space for "Overhead Rate" or to use an incorrect rate for the prospective sponsor. This space is to include the overhead (indirect cost) rate used in the budget. The full amount of indirect cost should be used. However, there is recognition that a sponsor may contest reimbursing MSU for the total costs incurred in the conduct of the research/creative project. General guidelines regarding categories of sponsors is provided to assist the PIs.

J. "Amount to be subcontracted". A subcontract is with a third party who "undertakes to perform some part of the work which the principal contractor [MSU] has agreed to perform under its [prime] contract". This should not be checked "Yes" if the PI will be using a third party to supply office or lab supplies or other materials that are needed by the project team to conduct the project. It should also not be marked "Yes" if the PI will use services such as copying or printing. The PI should mark this question "Yes" if a third party will actually complete a portion of the scope of work and provide MSU with the results or a progress report. Please contact us if there are any questions regarding this matter. CGA may ask that the PI obtain documentation from the subcontractor whereby the subcontractor commits to participate in the project if MSU receives the prime contract.

K. "Total cost sharing/matching/in-kind included". Please refer to item H above.

L. "Will this project require or involve":

1. "Additional space . . .? ". OPB’s Facilities Planning & Space Management Office’s numbers are: for voice 355-1843; FAX 353-3768; located at 332 Hannah Administration Building.

2. "Major alterations or renovations?" Physical Plant’s numbers are: for voice 355-3372; FAX 353-6358; located at 101 Physical Plant Building. OPB/Facilities Planning & Space Management Office’s numbers are: for voice 355-1843; FAX 353-3768; located at 332 Hannah Administration Building.

3. "Significant outreach component?" Any questions should be directed to University Outreach, whose numbers are: for voice 353-8977; FAX 432-9541; located at Kellogg Center, Garden Level, East Lansing, Michigan 48824-1022.

4. "International activities?" International Studies and Programs numbers are: for voice 355-2350; FAX 353-7254; located at 209 International Center.

5. "Is this associated with an MAES faculty appt. or project?" If checked "yes", then the CUC number in the "CUC of unit responsible for bookkeeping" should have the MAU number "57" for the college, e.g., 57114. In addition, the PI will need to obtain the review and signature of an official of the Agri. Experiment Station. The AES’s numbers are: for voice 355-0123; FAX 353-5406; located at 109 Agriculture Hall. (Back to previous location if coming from Sec. VII-A above.)

6. "For NSF . . . disclosure attached?" is not required for transmittals processed through the Non-Government / State of Michigan / Local Government / Foundations / Industry / Non-Profit Section. (You should contact the CGA section which handles the National Science Foundation if your proposal will be submitted to that prospective sponsor.)

7. "Have patent or copyright commitments been promised to the Sponsor?" If either the "Patent" or the "Copyright" boxes are checked then the PI must contact the Office of Intellectual Property regarding patents, whose numbers are: for voice 355-2186; FAX 432-3880; located at 246 Hannah Administration Building. For copyrights the PI must contact the Associate Vice President for Research and Graduate Studies, whose numbers are: for voice 432-4499; FAX 432-3880; located at 238 Hannah Administration Building.

8. "Human subjects?" and/or "Human blood/materials/fluids?" and/or "Recombinant DNA?" (for human DNA) marked "yes" will require approval by the committee prior to this office being able to assign an account number. The University Committee on Research Involving Human Subjects’ numbers are: for voice 355-2180; FAX 432-4503; located at 202 Olds Hall.

9. "Vertebrate animals?" and/or "Recombinant DNA?" (for animal DNA) marked "yes" will require approval by the committee prior to this office being able to assign an account number. The University Laboratory Animal Resources’ numbers are: for voice 353-5064; FAX 432-2766; located at C-100 Clinical Center.

10. Questions regarding "Pathogens/biohazards", "Hazardous/regulated chemicals", and "Radioisotopes" and in some instances "Recombinant DNA" should be directed to the Office of Radiation, Chemical & Biological Safety, whose numbers are: for voice 355-0153, FAX 353-4871; located at C-124 Research Complex-Engineering.

Any of the offices noted above that must review and approve the project due to one or more of the questions being marked "Yes" must have their approval obtained prior to the transmittal being presented to CGA. A signature or initials by that office on the transmittal will indicate approval. It is suggested that the signature or initials be placed near the question that requires that office’s review and approval. Please use the instructions on the transmittal itself for guidance. Also, remember that approval for the involvement of human subjects and for the use of animals need not be obtained at this point of the process although you must mark “Yes” on the transmittal if either or both are involved as part of your project.

M. The PIs should carefully read the statements above the space for their signature prior to signing the transmittal.

N. Any comments the PIs or their department or college wish to include on the transmittal can be placed in the "Remarks" area in the lower right of the form. One example is to include the account number used for earlier funding if the proposal is for a renewal, supplement, or a continuation of a present or previous project.

O. It is crucial that the PI provide one copy of the proposal, including the budget, for CGA's file when the transmittal arrives at CGA.

P. If the transmittal is mailed to CGA the PI and the department and college can obtain the APP number assigned by CGA by using the Web based database. The link "Reference Information" on CGA's main Web page can be used. If the transmittal is processed on a walk-through basis CGA will provide a copy of the completed transmittal to the person that brought the form. The original transmittal form is retained by CGA for its file.

Q. Ensure the PI obtains the required signatures on behalf of all departments and colleges involved. These signatures will confirm their review and approval of the project and budget and their agreement to the statement under "Administrative Endorsements/Approvals".

VIII. The proposal and approved transmittal constitute MSU's offer to the prospective sponsor. We then must wait to be informed of the sponsor's decision as to whether it will accept MSU's offer. If the sponsor accepts MSU's offer to conduct the research/creative project the sponsor may legally commit itself by using a document such as an award letter or a contract. Regardless of the type of sponsor, i.e., non-profit, foundation, industry, etc., there are some concerns that may be raised by the terms and conditions contained in the legally binding document.

IX. The PI should provide CGA with a copy of the notice if he/she receives notice that the prospective sponsor has declined MSU's offer to conduct the research/creative project. If the PI is informed verbally she/he should send an e-mail message to Kathi Killian in this CGA section at killian@cga.msu.edu. CGA will update the proposal database.

X. Please note that this summary for processing a transmittal is from the perspective of the Non-Government / State of Michigan / Local Government / Foundations / Industry / Non-Profit Section of CGA. This section does not administer federal funding unless the support is passed through one of this section's sponsors and the federal funds are not subject to federal rules and regulations. If the funding the PI is seeking is federal the PI should contact the CGA administrator who handles that federal agency if the PI has any questions or wishes to be informed about any application requirements for that agency.

JFS 28 Nov. 2005