1. Proposal Submission, Review and Acceptance
October 2016
Proposal Submission, Review and Acceptance
Lourana Swayne -
Office of Research Support and Operations (ORSO)
Maureen Bonnefin, CRA –
Office of Research Advancement and Partnerships (ORAP)

2. Recording date of this workshop is
October 28, 2016
Some of the rules and procedures discussed in this workshop are subject to change.
Please check university resources before relying exclusively on this recorded presentation.

3. Proposal Development *ORAP available for assistance, orap.or.wsu.edu.
6/22/2018
Proposal Development
PI Generates Idea
PI/ Dept. RA Begins Creating Proposal*
PI finds Collaborators*
PI creates a one page proposal pitch*
PI Seeks Funding for Idea*
Proposal Prepared* w/ help from Dept. RA, advisors and team
Proposal uploaded to eREX & submitted for electronic approval
(at least 2 days prior to
due date.)
Proposal Reviewed & budget approved
by Dept. RA
Proposal Denied: Improve Idea and/ or look for other funding*
eREX Approved & Routed to ORSO
ORSO reviews proposal and submits it to agency
AWARDED!
Now the fun begins.
*ORAP available for assistance, orap.or.wsu.edu.

4. Fundamentals of the Proposal Process
It starts with an Idea- Faculty member defines a problem and identifies a solution.
Funding source or opportunity is identified.
With the help of department, proposal package developed based on instructions provided from the funding agency.*
Proposal and attachments are uploaded to eREX and routed through ORSO to obtain required signatures.
ORSO reviews proposal package and submits to Sponsor
If proposal is funded, ORSO begins award negotiation and acceptance
* ORAP can help with this stage if the proposal is sufficiently large enough, or a identified as a priority by the Office of Research.
Pre-proposals don’t always have to be routed through ORSO but it is helpful. They have to be routed through ORSO if our office is required to authorize/certify/confirm the submission, if a budget is being submitted or if the agency requires anything more than a brief letter of interest on the part of the PI.
If other areas are volunteering effort as cost share, include their RAs/dean/chair on the eREX and get the approvals
If the due date falls on the weekend, submit the week prior.

5. Three Tips for a More Successful Proposal
1. Read the RFP!!! (Request for Proposal)
Also referred to as the Call, Solicitation, or Broad Agency Announcement
One of the most crucial and most often missed steps.
Why is the RFP important?
The RFP includes what programs/projects/research the agency would like to fund as well as what type of organizations they generally fund (Universities, foundations, corporations, etc).
The RFP outlines the application’s requirements (i.e. maximum funded amount, overhead and cost share limitations, mandatory attachments).
Includes instructions regarding how to submit and when to submit.
Make sure all contributors are using the same font, size and formatting for consistency and coherence

6. RFP Example: USDA SCRI

7. Project periods by project type.

8. WSU is eligible and can have subawardees that are not eligible as a prime awardee.
WSU is exempt from cost share requirements.

9. If WSU is a significant subawardee on a partner’s proposal the entire project is exempt from cost share.

10. Critical information for downloading the Grants.gov package.
Information about the Agency’s Application Guide which should be used in conjunction with the RFP to address all agency requirements.

11. Critical reminder to check formatting and use the Agency’s Application Guide in addition to the RFP.

12. Project specific information that must be included in the application.
Page limit requirements.

13. Required forms.
Written documentation of cost share required.

14. Limitation on budget amount for certain project types.

15. Required budget expense.
Critical information for filling out the last page of the Grants.gov form.
Helpful tips pertaining to this opportunity.
Submission Deadline!

16. F&A Restriction.

17. Three Tips for a More Successful Proposal
2. PI should collaborate with department staff to prepare the budget.
Identify project specifics (e.g. dates) and collaborators
Identify how items will be paid if awarded (personal service contract or subcontract)
List items that are attractive or unusual (i.e. laptops, fabricated equipment)
Cost share commitments are rare and must be approved by the department (or outside entity) making the commitment.
Example of unintentional cost share: Line item in budget charges one month summer for PI. Budget justification says that PI will devote one month summer and 25% of each academic semester.
Other items to consider…
SBCT documents at proposal stage and to check the F&A before submitting. If WSU is not getting their FNR, check to see which rate is applicable. Calculate at our FNR to see if the MTDC amount is less than the agency approved rate.
For example, if the agency happens to allow 26% but this is on campus, is it cheaper to use our FNR/MTDC or the 26% agency rate without any exclusions? Whichever rate results in the lowest F&A prevails and the budget justification should explain why our FNR/MTDC rate was used if applicable.
Is the F&A less than the FNR? Is the documentation attached to the RFP to permit this?
Did you ask for equipment, is it fabricated? Then no F&A, sub-acct if award auth. F&A on other Expenses.
Excess compensation? If so, justify and add the approvals. Excess not usually allowed on federal funds!
Reminder:
Don’t start work at proposal stage unless you are sure it will be funded, are willing to cover the expenses AND that when awarded, pre-award is authorized! Federal Contracts are date of last signature and don not allow pre-award expenditures.

18. Budgeting Assistance
ORSO Guideline #2 (Budgeting Assistance Information for Preparing Sponsored Program Proposals)
ORSO training to obtain budget certification.
Budgeting for Sponsored Projects class (Research Administration Series).
All proposal budgets must be certified before they are routed with eREX
Budget certified department administrator OR
ORSO – two weeks prior to deadline for approval
Guidelines and templates at
If you don’t have an RA and need a budget approved, send a rough budget, budget justification and rfp to the coordinator.
Guidelines and budget template can be found at

19. Three Tips for a More Successful Proposal
3. Be mindful of the submission deadline.
Recommended that faculty let you know ASAP when they know they will submit a proposal and have all supporting documents and a draft budget completed and to you 2 weeks prior to submission.
Gather support documents ahead of time (e.g., biosketches, current and pending, letters of support).
PI should have technical info written on time to allow others to contribute and review.
ORSO requests proposals to be submitted via eREX minimum 2-3 days in advance of the due date, the proposal must be in final form at the time the eREX is submitted & ORSO must be granted access to it (if required by the submission method).
Last minute submissions are often not reviewed which increases the chance of a failed submission to Sponsor.

20. What ORSO will need at Proposal Stage
Completed and electronically approved eREX Form.
Approved Budget (uploaded into the eREX, Attachment 2).
Backup documents (uploaded into the eREX), such as Subcontract budget/letter of support/scope of work, F&A Statement, Cost Share Statement as applicable.
One copy of the proposal for ORSO in the agency format uploaded into Attachment 1.
A hard copy (ies), if required by the agency, with a Request for Shipment Form for your FEDEX package.
Use the “Special Comments” section for the information a Coordinator will need to know to submit the proposal properly, e.g. if submitting by , the address and list of what needs to be sent, any uploads that need to be signed by the Director prior to sending.

21. Proposal Support and Resources

22. Office of Research Advancement & Partnerships ORSO
ORAP
Office of Research Advancement &
Partnerships
Pre-Proposal Development
Locates Funding Sources
Conducts Proposal Writing Classes
Coordinates the Office of Research funded grant competitions & Limited Submissions
Proposal Development
Provides proposal writing assistance
Large Proposal Development & Management
Strategic Partnership Development
Budget assistance in partnership with the department
ORSO
Office of Research Support & Operations
Proposal & Award Processing
Reviews/submits proposals
Drafts/negotiates contracts
Coordinate w/SPS for change requests & allocations
Certifies/assures adherence to policies and regulations
Monitors/reports certain activity
Advises faculty, staff & graduate students on any of these items
Confidentiality/Material Transfers
Obtains non-disclosure agreements
Handles material transfer agreements
No money, licensing, equipment agreements
ORA
Office of Research Assurance
Law & Regulation Compliance/Policy
Human Subjects (IRB)
Hazardous waste & shipment, radiation
Use of animals for research (IACUC)
Export controls
Biosafety (IBC)
Conflict of Interest
Pesticide Policies
Reviews possible research misconduct
Post Award Approval Review
Assists with compliance
Find out more at &

23. The EREX Form (Electronic “Request for External Support” Form)
An in depth discussion of what you need to include for proposal submission.
PI, co-i’s, Dean, Chair and dept contacts have to be listed.
If it is a simple proposal, no remodeling, no manual F&A split, no cost share, then you can auto-approve listed people, except the PI.
An from the PI specifying the specific proposal is required to allow anyone else to approve on the PIs behalf and is to be attached to the eREX. The PI is required to make certain certifications on the eREX and these certifications cannot be auto-approved.
Mobile app approvals

24. Don’t forget the trainings/updates for ethical conduct and COI
Federal Flow through is especially important to note
Subs will need to register in SAM.gov

25. Proposal Deadline: The date you need the agency to receive the proposal!
If this date differs from the sponsor’s deadline, please note this in the comments.
FFO, CFDA, PROGRAM, SAM.GOV
HARD COPIES, FED EX, REQ FOR SHIPMENT

26. COI – Disclose familial and financial ties/interests to the sponsor and to WSU

27. Multiple PIs/Areas should list corresponding RAs, Chairs, Deans etc.

28. Dept contacts for cross-collaborative areas, their alternates if out, area budgets, and area development directors or Corporate Foundation Relations (CFRs).
Foundation Relations Directors can be listed as a departmental contact but the primary RA should change their approval to “Auto-approve” status before approving the eREX for routing.

30. If your proposal references additional support with a defined percentage of effort or associated dollar amount, the entire amount, including voluntary, should be included.
Please note the amount of voluntary cost share in the comments section.
If the support is not intended to be measured and reported as a monetary amount, please include the Other Support disclaimer.
Other Amount – subs/3rd party; get authorizing letter.

31. Export Control –
for additional information.

33. Attachment 1 – The proposal in its final submission form as it will be sent to the agency
Attachment 2 – WSU’s INTERNAL budget; not typical to send this to the sponsor
Attachment 3 – All internal approvals for WSU committed resources for cost/share and match
Attachment 4 – Request for Shipment for shipping and account to charge for sending hard copies
Attachment 5 – Other Internal Approvals as required
Attachment 6 - RFP/PA/BAA/RFQ file
Attachments 7 - FCOI form
Attachment 8 - Decision Tree for Export Controls (PDF of final page of the tree.)
Other Attachments - Other documents as required, such as sub award documents, Certified/official 3rd party cost share, PI authorization to allow approval on his/her behalf.
Tip: If you want any attachment other than Attachment 1: Proposal to be sent, please confirm in the comments section which Attachments you want sent.

34. Checks before submitting the eREX
Budget(s) approved are certified; this includes cost sharing
PI credit goes to the PIs academic tenure department
ORSO 2 day review (this clock starts AFTER all approvals are in place, not when you initially submit the REX to ORSO)
Include specific submission instructions in the Special Comments box
Is the F&A correct? Attach supporting docs if requesting non standard rate.
Do the total dollar amounts match on the eREX, proposal, justfication and sponsor budget? Do the dates from the proposal match the eREX?
Foreign collaboration? Did you attach the Stanford decision tree?
Is the FINAL version of the proposal attached to the eREX?

35. MyResearch
Your proposal will be logged into MyResearch and given an ORSO Number.
It will be reviewed by a Coordinator and submitted with the Authorized Institutional Signature once the requirements of WSU and the agency have been fully met.
MyResearch is accessed through the ORSO website allowing for inquiries to be made on specific activities for each project.
PI’s, Research Administrators, and other departmental figures are given access depending on their role at WSU.
MyResearch (a.k.a ORSO database) provides the WSU Research Community with:
Tracking System
Dissemination and Communication
Reporting

36. Using MyResearch Logging onto MyResearch Function Tabs PI Dashboard
Distribution
Grants Tab
Award Reports
Proposal Reports
Use _001 on Database
If you need assistance from ORSO, please provide the ORSO number for reference. It is incredibly helpful and most appreciated.

37. If Denied… RESUBMIT!!! ORSO Processing of Denied proposals
Importance of Reviewer Comments
Preparing your proposal for resubmission
ORSO assistance for resubmission or location of other funding possibilities
If resubmitting, need to reference the previous OGRD number and reference it as a resubmission on the eREX and to the sponsor (if the same).

38. Awarded!!!

39. Are Research Compliance Protocols Needed? Work with ORA
6/22/2018
AWARDED!
Now the fun begins
Are Research Compliance Protocols Needed? Work with ORA
Subawards? Work with ORSO
ORSO receives award
ORSO has Dan Nordquist sign award & returns it to the agency for execution (if needed)
ORSO reviews award for acceptance, negotiates changes as needed
ORSO routes to Dept/RA & PI for review (if needed)
Dept/ RA returns award to ORSO with approval &/or changes to be made
ORSO sends executed copy of award to SPS
If changes to the project after award work with RA and ORSO
SPS sets up WSU account, manages invoices & financial reports

40. If Awarded…
If you received the award directly, make sure ORSO has a copy
Check the ORSO Database for updates
Be prepared for Contract Negotiation
You may be asked to include MTA’s, NDA’s and other No-Money Agreements in addition to your contract.
Subcontracts? Fill out initiation form:
It takes more than a day to review and turn around a contract. We need time to review all the T&Cs and clauses and negotiate out those that are unfavorable. This process can take weeks to months to complete.

41. ORSO Processing Receive award/contract Log information in database
Appropriate college review and coordinator review and/or negotiation
University Authorized Official signature (this is not the PI although they may be asked to sign in addition to the AO)
Does the information need to be returned to the agency for execution?

42. Full Execution/Setup
Distribution of fully executed contracts and awards.
Award docs are sent to Sponsored Programs Services for account setup
Help along the way – amendments, no cost extensions and other relevant items.
Reports, reports, reports – ours and yours
Agency Reports
WSU Award and Proposal Reports
Financial Reports (SPS)

43. This has been a WSU Training Videoconference
6/22/2018
This has been a WSU Training Videoconference
If you wish to have your attendance documented in your training history, please notify Human Resource Services within 24 hours of today's date:
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