Penn State Proposal Preparation Process

The following is a general overview of the Penn State proposal preparation process. See the main proposal preparation page.

In September 1996, the Vice President for Research established a delegated process to assist select colleges and institutes in the facilitation of proposal submissions. Two steps were taken. First, select individual Research Administrators (RA) with demonstrated proposal submission experience were granted Penn State Submission Rights under a Memorandum of Understanding (MOU) signed by the select RA, their affiliated Dean or Director, and the Office of Sponsored Programs (OSP). The MOU authorized the RA to submit proposals on behalf of Penn State as long as such proposals do not bind the University to terms outside the standard federal terms and conditions. If a college or research unit does not have an RA with an established MOU in place, then the final proposal is submitted through OSP. Secondly, the Vice President for Research allocated several new positions to the various research intensive colleges and institutes to assist with the responsibility of proposal submissions. What follows is a generic description of the Penn State proposal submission process.

1.    Faculty members find funding opportunities by searching on various websites or by talking to colleagues in their field. In special cases, the Associate Vice President for Research and Director of Strategic Initiatives (AVPR/DSI) will try to assemble teams of faculty members to pursue targeted opportunities. The lead faculty member on a proposal is referred to as the Principal Investigator (PI).

2.    Most colleges and research institutes have a designated Research Administrator who is responsible for assisting faculty members prepare proposals. Some smaller academic units who lack adequate support staff will work directly with the Office of Sponsored Programs (OSP) for proposal submission support.

3.    The PI is encouraged to contact his or her RA well in advance of the proposal deadline. The RA will confirm the deadline with the PI, review the proposal guidelines, and work with the PI to ensure completion of all sponsor forms as well as soliciting required Penn State approvals. If the guidelines require cost-sharing or matching funding, the RA will work with the PI to secure documentation of such commitments. If the proposal guidelines include any contractual terms and conditions, the RA is required to forward those terms and conditions to OSP for review. OSP will review any non-standard terms and if exceptions are warranted, such exceptions will be communicated in the proposal transmittal letter.

4.    After reviewing the proposal guidelines, the RA will work in collaboration with the PI in reviewing the steps to complete the proposal. The PI assumes full responsibility for writing the technical portion of the proposal. Depending upon the particular RA, assistance may be provided to the PI in completing the various sponsor forms. If assistance is provided, the RA will rely on the PI for providing investigator and project specific information.

5.    The PI and the RA generally work together to draft the budget and budget justification. The PI typically begins the process by providing a draft list of personnel, materials, and other items needed to perform the proposed scope of work. The RA will generally complete the budget development process by applying university fringe and F&A (facilities and administrative) rates (sometimes known as "overhead" or "indirect costs"), and validating that costs are consistent with applicable cost principles. This process may involve multiple iterations.

6.    Prior to submitting the proposal, the Penn State Proposal Internal Approval Form (PIAF) must be completed and signed by all participating investigators and their respective academic or institute administrators. The form prompts the investigator(s) to disclose project demographics, and project related compliance requirements. In signing the PIAF, all investigators must indicate their awareness of Penn State's conflict of interest policies and whether their involvement in the project constitutes a Significant Financial or Business Interest (SFBID). The investigators also must concur that the proposal being submitted:

(i)    Is complete in its technical content
(ii)    Adheres to the rules of proper scholarship, including specifically the proper attribution and citation for all text and
         graphics
(iii)   Complies with federal standards for the integrity of research (e.g., NSF Misconduct in Science Policy, Penn State
         Policy RA10 and IAF-P08 Instructions)
(iv)    Is in accordance with specifications established by the sponsoring agency.

7.    While the PIAF is internal to Penn State, many sponsors require actual proposal submission via their proprietary electronic systems (e.g., NSF FastLane, DOE’s FedConnect, etc.). For the federal sponsors, it is extremely rare for a proposal to ever be submitted via hard copy. Depending on the access requirements, the PI and/or the RA will upload all finished proposal materials into the applicable sponsor submission system. If authorized, the RA will submit the proposal package via the proprietary electronic system. If not authorized, OSP will review and submit the proposal via the electronic system.

Additional information regarding the Penn State proposal submission process can be found here.

You may proceed to the main proposal preparation page.