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Proposal Preparation

Grant proposals and applications typically require assembly and submission of a variety of information detailing the proposed project or initiative. The application may include various administrative sections, completion of different forms, either in a paper-based or electronic submission system, upload/inclusion of various narrative and other project-specific sections and file attachments, and development of a project-specific budget. Generally, assembling and preparing the grant proposal or application is the responsibility of the Principal Investigator, their departmental administrative support staff, the assigned Research Administration Services (RAS) Center pre-award staff, or some combination thereof.

Central OSP pre-award staff is responsible for reviewing all grant proposals or applications for adherence to all sponsor and institutional policies and requirements, and providing institutional endorsement for submission to external funders. Central OSP staff is available to answer questions and provide general guidance regarding submissions, but is not responsible for overall preparation of application documentation. Please review individual topics below, related to proposal preparation and other pre-award staff areas of responsibility. For direct assistance with application preparation, please contact the Research Administration Service (RAS) Center pre-award contact assigned to the submitting department via the Service Provider Directory.

  • Proposal Review Process

    Policy:

    All proposals for external funding that require either a signature by a UT Health SA Authorized Official or a budget must be reviewed by OSP. OSP requires that you allow three (3) business days for review of your proposal, not including the deadline day, regardless of whether it is paper or electronic submission. OSP reviews proposals in the order they are received.

    Once the proposal is submitted to the sponsor, a complete copy of the proposal submission must be received by OSP within 5 days of application submission, if the submission is not available to OSP within the sponsor’s system.

    Proposal Review Requirements:

    • Signed Certificate of Proposal (COP)
    • Budget
    • Budget justification
    • Key personnel listing
    • Copy or web link to instructions, Funding Opportunity Announcement, or RFA, PA etc.
    • If applicable, required documents for any subaward/consortium listed on your proposal (refer to Subawards tab)
    • Any document/form that requires institutional information, such as legal name, address, person to notify regarding proposal, financial or fiscal officer information, and/or any document that requires a signature by a UT Health SA Authorized Official


    Submission Methods

    Paper/Adobe submission: email required proposal review items to OSP reviewer.

    Electronic:

    • Cayuse:
      • Notify the OSP reviewer via email that the proposal is ready for review.
      • Also use the Cayuse “routing” feature to route proposal to OSP (Chris Green) for review and approval.  Please note, COP and all proposal form pages must be complete, and budget justification file must be uploaded.  All form pages plus budget justification will be “locked down” once the routing chain is activated.  You can continue to work on all other files required for upload prior to submission.  Upload the signed COP into the “documents” section of your Cayuse proposal.
    • Other Electronic Systems:
      • Note that other systems might require UT Health SA Authorized Signatory to click submit, or might allow the PI to click submit.  In either case, PRIOR TO SUBMISSION, notify the OSP reviewer via email for review by providing required proposal review items.

     

    Please note, UT Health SA is registered on grants.gov and most other electronic proposal submissions systems.  Individuals should not register in grants.gov.  Please contact OSP if you encounter a sponsor/system where UT Health SA is not currently registered, or for assistance if you are unsure.

  • Preparation of Proposals with Subawards

    This tab contains information for those instances when: 1) UT Health SA is the prime submitter and has subawards to other institutions, or 2) when another institution is the prime submitter and UT Health SA will be a subaward on the project.

    UT Health SA is part of the FDP Expanded Clearinghouse, which reduces the paperwork burden for subawards with fellow Participants (which includes a number of regular collaborators) by providing a central repository of information to eliminate lengthy subrecipient forms. This is applicable both when UT Health SA is the prime submitter, and the subawardee.  When planning for a subaward in either scenario, please determine whether the collaborating institution is also a Participant.

    When UT Health SA is the Prime Submitting Institution:

    OSP requires certain documentation from the subawardee at the time of proposal submission.

    • Statement of Intent to Establish a Subaward Agreement
    • Budget and budget justification for all years of the project (in sponsor-required format)
    • Statement of Work.  There is no specific format required for this, nor a minimum or maximum length.  This document should be a brief narrative description of the subawardee’s role/responsibilities on the project.
    • Copy of current F&A rate agreement, if applicable.  This is required if the subawardee is not a FDP Participant and is requesting F&A based on their rate agreement.  This is not required from FDP Participants, nor from any subawardees if the sponsor prohibits F&A recovery or otherwise limits F&A to a set amount. 

    Procedures for submitting a proposal with subawards (.pdf)
    Sample letter encouraging subawardee to use subawards.com (.doc)

     

    When UT Health SA is the Subawardee:

    Procedures for submitting a proposal as the subawardee (.pdf)

    All subaward proposals must be reviewed and approved by OSP prior to submission to the prime institution. OSP requires the following documentation when processing a subaward proposal:

    • Certificate of Proposal (COP)
    • Statement of Work to briefly describe UT Health SA’s role on the overall project
    • Any documentation requested by the prime institution, such as a face page to be signed by our office, budget/budget justification, etc.

     

    Be sure to find out the prime institution’s deadline for receipt of UT Health SA’s documentation. Internal deadlines vary by institution with the majority requiring at least 5-10 business days prior to their main proposal deadline. 

  • Cayuse424 to Submit Federal Grant Proposals (through grants.gov)

    Cayuse424 is a web-based software system used to prepare and submit grant proposals to federal agency sponsors through the grants.gov portal.

  • Calculating Facilities & Administrative (F&A) Costs on Grant Budgets

    The current facilities and administrative (F&A) rate agreement for federal grants and contracts has a negotiation agreement date of February 12,2024. This agreement is effective until modified.

    The current F&A rates are calculated from MTDC (modified total direct costs) and are as follows:

    Current F&A Rates

    Percent  Location  Type of Project  Effective Dates 
    57.5% On Campus Organized Research 09/01/23 – 08/31/26
    26.0% Off Campus All Programs 09/01/22 – 08/31/26
    50.0% On Campus Instructional 09/01/23 – 08/31/26
    16.0% On Campus IPA 09/01/23 – 08/31/26
    44.0% On Campus Other Sponsored Activities 09/01/23 – 08/31/26

     

    Modified Total Direct Costs – MTDC consists of all projected costs minus the following exclusions:

    • equipment over $5,000
    • capital expenditures
    • charges for patient care
    • tuition remission
    • rental costs of offsite facilities
    • scholarships
    • fellowships
    • the portion of each subgrant and subcontract in excess of $25,000

     

    Sample budget:

    $132,500 Salaries
    $31,500 Fringe Benefits
    $68,000 Materials and Supplies
    $10,000 Equipment
    $2,000 Travel
    $6,000 Tuition
    $250,000 Total Direct Cost (TDC) (for NIH – item 7a on PHS 398 face page)

     

    Definitions:

    TDC = Total Direct Cost
    MTDC = Modified Total Direct Cost
    F&A = Facilities and Administrative Costs

    Sample F&A calculations

    When a single rate applies for the entire budget period:

    TDC

    –

    Exclusions

    =

    MTDC

    $250,000

    –

    16,000 (equipment & tuition)

    =

    $234,000
             

    MTDC

    x

    F&A rate

    =

    F&A (for NIH – item 3a on checklist page)

    $234,000

    x

    .575

    =

    $134,550
             

    TDC

    +

    F&A

    =

    Total Cost (for NIH – item 7b on face page)

    $250,000

    +

    $134,550

    =

    $384,550

     

    When the rate changes in the middle of a budget period:

    Budget Period = 7/1/23 – 6/30/24. The F&A rate is 55% for the first two months (7/1/23 – 8/31/23) and 57.5% for the last ten months (9/1/23 – 6/30/24). Calculate average monthly costs, and apply the correct F&A rate as follows:

    TDC

    –

    Exclusions

    =

    MTDC

    $250,000

    –

    16,000 (equipment & tuition)

    =

    $234,000

    $234,000 MTDC

    /

    12 months per year

    =

    $19,500 average monthly costs
             

    7/1/23 – 8/31/23

    =

    $19,500 x 2 months

    =

    $39,000 MTDC (at 55% F&A)

    9/1/23 – 6/30/24

    =

    $19,500 x 10 months

    =

    $195,000 MTDC (at 57.5% F&A)
             

    MTDC

    x

    F&A rate

    =

    F&A (for NIH – item 3a on checklist page)

    $39,000

    x

    .55

    =

    $21,450 (F&A 7/1/23 – 8/31/23)

    $195,000

    x

    .575

    =

    $112,125 (F&A 9/1/23 – 6/30/24)

    Total F&A = $21,450 + $112,125 = $133,575
             

    TDC

    +

    F&A

    =

    Total Cost (for NIH – item 7b on face page)

    $250,000

    +

    $133,575

    =

    $383,575

     

    F&A Sample Checklist

  • Frequently Used Forms/Application Resources

  • NIH Just-in-Time (JIT) Process

    After proposal submission and the review committee meeting, a PI may be requested to submit Just-in-Time (JIT) Information.  This process decreases the administrative burden for applicants that will not receive funding and provides NIH with the most current information “just in time” for award.  This request does not guarantee anything about the ultimate funding status of the application.  Typically, JIT will include the following requests:

    Other Support: Information on other active and pending support may be requested to ensure there is no scientific, budgetary, or commitment overlap.  “Other Support” is sometimes referred to as “current and pending support” or “active and pending support.”  Other Support information is requested for all individuals designated in an application as Senior/Key Personnel, except:

    • Program Directors, training faculty, and other individuals involved in the oversight of training grants
    • Individuals categorized as Other Significant Contributors

    Sample format and instructions are provided on NIH’s Other Support Format Page.

    IACUC Approval (if applicable)

    IRB Approval (if applicable)

    Human Subjects Education Certification (if applicable): Please provide a copy of the CITI training document showing completion of the training for all personnel involved in human subjects research.  A letter signed by both PI and OSP will be submitted, documenting completion of the training: Human Subjects Education – Template Letter to NIH.

  • NIH Research Performance Progress Reports (RPPR) Process

    More information coming soon.

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