Policies & Compliance

Proposal Development

The format, content, and submission method for a proposal are determined by the requirements of the sponsoring organization. Most sponsors publish specific application guidelines and require proposals to be submitted using designated forms or electronic submission systems. Principal Investigators (PIs) are responsible for obtaining and following the most current sponsor guidelines and ensuring that proposals conform to all required formats and instructions.

Sponsor guidelines should be provided to the Office of Sponsored Projects (OSP) during proposal development and routing. OSP reviews proposals for compliance with sponsor requirements and University policies and serves as the authorized institutional official for proposal submission. The University reserves the right to withdraw a proposal if the sponsor's terms and conditions are inconsistent with University policies or applicable laws.

5.1 Types of Proposals

The University supports multiple types of proposal submissions, depending on sponsor requirements and project stage.

5.1.1 Preliminary Proposals

A preliminary proposal (also referred to as a pre-proposal, concept paper, white paper, or letter of inquiry) is typically an expanded summary of the proposed work. Preliminary proposals may not require a detailed budget or institutional certifications, although some sponsors request estimated costs.

Any preliminary submission that requires institutional endorsement or submission by an authorized official must be coordinated through OSP and include a Document Summary Sheet (DSS). Investigators should consult OSP early to determine appropriate routing and submission requirements.

5.1.2 New Proposals

A New proposal is an application submitted to a sponsor for the first time for a specific project.

5.1.2.1 Requests for Proposals (RFP's)

A solicited proposal is submitted in response to a sponsor's formal or informal request for research, training, or services on a specified topic. Solicitations are commonly issued as Notices of Funding Opportunity (NOFOs), Requests for Proposals (RFPs), or Requests for Quotations (RFQs) and may be competitive or sole-source.

Solicited proposals typically include detailed guidance regarding format, technical content, budget, and submission requirements, making adherence to instructions especially important.

5.1.2.2 Unsolicited Proposals

An unsolicited proposal is initiated by the investigator and submitted to the sponsor without a formal solicitation. Investigators are encouraged to assess sponsor interest through preliminary communication and to verify submission deadlines, required formats, and review criteria prior to proposal development.

5.1.3 Competing Proposals

A Competing continuation or renewal requests additional funding for a project that is nearing the end of its current funding period. These applications are typically reviewed competitively and generally follow the same format as new proposals.

5.1.4 Revised Proposals

A revised proposal is submitted in response to sponsor feedback, requests for modification, or resubmission after a prior review.

5.1.5 Supplemental Proposals

A supplemental proposal requests additional funding to support an existing award, often to expand scope, support unanticipated costs, or address sponsor-approved project modifications.

5.1.6 Collaborative, Consortium, and Joint Proposals

Collaborative proposals involve two or more institutions working together on a shared project. Sponsors use varying terminology, including collaborative proposals, consortium agreements, or subawards.

One institution is typically designated as the lead, responsible for proposal submission and primary administration. The lead institution may include collaborating organizations as subrecipients, or - in certain sponsor programs - institutions may submit linked proposals simultaneously.

OSP should be contacted early in the proposal development process for collaborative projects due to the additional coordination, documentation, and compliance requirements involved.

Proposals involving international collaborators or foreign subrecipients may require additional review and coordination due to sponsor policies, regulatory requirements, or institutional risk considerations. Investigators should consult OSP early when foreign institutions are involved to allow sufficient time for compliance review and sponsor approval, where required.

The collaborative proposal requires that one institution be designated as the "lead" for the purpose of submitting the lead proposal. It's important to determine which institution will be the lead and which will be the non-leads. Lead institutions are typically those whose faculty are doing the bulk of the work in terms of writing the proposal and/or those who will manage the largest portion of the funds should the proposal be awarded.

5.1.6.1 Single Proposal with Subawards

The one institution submits the proposal on behalf of the collaboration, the lead institution is responsible for assembling the complete application, including documentation from subrecipients (e.g., budget, scope of work, assurances, and key personnel information). Subaward terms must align with both sponsor and institutional requirements.

5.1.6.2 Simultaneous Submissions (e.g., NSF Collaborative Research)

Certain sponsors, such as the National Science Foundation, permit or require simultaneous submission of linked proposals by collaborating institutions. Each institution submits its own proposal while coordinating shared project descriptions, titles, and technical narratives. OSP works directly with counterpart offices at collaborating institutions to ensure proper linkage and timely submission.

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