Preliminary Proposals/White Papers

A pre-proposal (sometimes called a white paper, letter proposal, letter of intent, preliminary proposal, pre-application, or concept paper) is a short description of the proposed project.

Usually, the purpose of a pre-proposal is to inform and interest the potential sponsor in the project, resulting in a request for a more detailed formal proposal. If the sponsor requires an institutional official to sign or submit the pre-proposal, please contact the Office of Research Services early in the preparation process to determine if the pre-proposal should be routed through the Cayuse SP system.

Have questions about a step in this process? Find your Pre-Award and Post-Award contacts.

Proposal Checklist

Use this checklist to work with your designated proposal analyst to facilitate planning, coordination, assembling, and successful submission of proposals for sponsored projects. Download a copy to save your progress through the list.

General Considerations

• Have the PI and other investigators read and understood the guidelines of the program being applied to, including required deadline for proposal submission?
  
  
• Are the PI and other investigators eligible to apply to the funding program?
• Does the format of the proposal (page, font, order of proposal sections, etc.) conform to program guidelines?
  
  
• Are all necessary attachments included (e.g., biographical sketches, certification and assurances to be completed by ORS, etc.)?
  
  
• Is the PI familiar with the proposal submission method (sponsor electronic submission system, mailing considerations, etc.)?

Budget

• For federal, state, or non-profit sponsors, is the F&A rate mandated by the guidelines being used?
• For for-profit sponsors, is the University using the full, negotiated F&A rate?
  
  
  • If No, an F&A waiver form must be completed.
    
    
• Are sponsor budget mandates followed (e.g., salary caps, prohibitions on purchase of equipment, total request, etc.)?
  
  
• Is Cost Share required?
  
  
• Is any Voluntary Cost Share included?
  
  
• If yes to any of the previous two questions, has the cost share been reviewed and approved by University Officials?
  
  
• If there are any subcontracts, do their budgets conform with the primary sponsor limitations and requirements?
  
  
• Does the budget add up and match the budget justification?

External Collaborators

• Have all required proposal documents been provided by the external collaborator (e.g.,budget, budget justification, biosketches, facilities, other mandatory documents)?
  
  
• Have appropriate administrative approvals been obtained from external collaborators (e.g., subcontracts, third parties, etc.)?
  
  
• Is the role of each institution clearly stated in the proposal?
  
  
• Has a statement of work been provided from each institution?

Cost Sharing

• Cost Sharing commitments must be documented and tracked via Cayuse SP, email, letters, additional documentation, and/or FOP numbers. Have cost sharing commitments been endorsed by the appropriate TTU official?
  
  
• Have third party commitment letters been obtained, if applicable?

Space and Additional Funding Considerations

• Have requirements for space or specialized facilities (e.g., secure facilities) been approved by the Department Chair, Dean, or Director to accommodate the proposed project?
  
  
• Other than for cost sharing, have requirements for internal commitment of funds been cleared with the Department Chair, Dean or Director?

Research Compliance Considerations

• If the project involves the use of human or animal subjects, has the Human Research Protection Program or the Animal Care and Use Committee been contacted?
  
  
• If the sponsor follows PHS/FCOI regulations, has the required Financial Conflict of Interest training and disclosure been completed by all key personnel?
  
  
• If the proposed project involves radioactive isotopes, recombinant DNA, or other hazardous material, has the Environmental Health & Safety Office been consulted?
  
  
• If the project involves the use of export-controlled technology, have provisions been made to secure the necessary licenses?
  
  
• If the project involves classified or security sensitive research, has the TTU Facility Security Officer been consulted? If not, please email Allie Matviko.
  
  
• If the project involves proprietary research, has the TTU Office of Research Commercialization been contacted?

Proposal Format

The proposal format should always adhere to the agency guidelines. Many funding agencies have moved to electronic research administration and the submission of proposals via the Internet. In most cases, electronic submission may be mandatory.

If the agency does not have specific guidelines, the principal investigator may want to use the following as a guide to preparing the proposal.

Most government agencies and private/corporate foundations are receptive to proposals that follow a “standard" format with which their personnel are familiar. The components listed here are standard to most proposals, though not necessarily to all. Furthermore, the components may appear under different names:

Transmittal Letter — A letter printed on University letterhead, signed by the Office of Research Services indicating the contents of the proposal submission packet as well as contact information for technical (PI) and administrative questions. This is not necessary for most Federal proposals.

Cover Sheet — Typically, a form suggested by the agency. If one is not specified, use a “standardized" outline form.

Abstract — The abstract is usually a one-page summary of the proposal. It presents the essential elements of the proposal. The agency may use it to disseminate the proposal idea for comment from individuals outside the primary review group.

Table of Contents — Appropriate for proposals of more than five pages of narrative (if allowed by the agency).

Introduction — An introduction may be appropriate to lead into a more complex proposal by briefly explaining the reason for, and the basic elements of, the proposal.

Narrative (Technical Proposal) — The narrative describes the proposed project and details precisely what is being proposed:

• Background: In reference to the proposal concept: 1) what has been accomplished to date; 2) what requires attention; and 3) what requires extra attention or refocusing.
• Statement of Need: What is required to be done and why. Do not overstate the need or the problem(s). Be clear and concise.
• Project Goals: General statements regarding proposed accomplishments.
• Project Hypothesis and Objectives: Statements of precise and measurable outcomes.
• Project Implications: The preliminary results and impact of the proposed project. Two questions that should be addressed here are “why?” and “what?.”
• Methodology: How will the problem be approached and what methods will be employed to accomplish the stated objective. Provide a solution methodology for each objective. Describe specific program activity, personnel, and data compilation.
• Time Frame: A projected time frame with reasonable starting and ending dates for the proposed project.
• Evaluation/Milestones Chart: A project program flow chart indicating anticipated accomplishments at specific times. This section might also include deliverables.
• Dissemination/Utilization: How the findings or results will be disseminated and utilized. If practical, provide a plan for utilization of the findings; this component is often referred by government sponsors as “transferability."
• Literature Review: Cite familiarity with similar projects completed or in progress, as well as complementary studies that may have an impact on the proposed project. Indicate whether or not the PI has performed similar work.
• Facilities: As appropriate, provide a statement of the physical facilities available and necessary to conduct the project.
• Personnel: Describe the relationship of professional personnel to the project. Attach vitae of the principal project personnel as appendices.
• Budget (Cost Proposal or Financial Plan) — A line-item budget to support the project costs, including any cost sharing or program income. Depending on the funding agency, provide a separate explanation or justification to help the agency understand the budget. This should be an explanation of individual cost items, not a restatement of the budget. Some sponsoring agencies require use of their own printed budget form. All amounts should be rounded to the nearest whole dollar.

Also review: Policies & Procedures and Cost Sharing links

Subawards — If any of the work will be done by an entity outside of TTU, provide a scope of work (technical proposal) and budget for each subawardee. It will also be necessary to include a letter of commitment signed by the subawardee’s principal investigator and an authorized institutional official (usually from the sponsored projects office). Be sure to follow any other specific instructions including form preparation required by the sponsoring agency. In addition to the letter of commitment, each subawardee should complete the Texas Tech Subrecipient Commitment Form.

Appendices — 1) Bibliography - determine the requirement for bibliographical references. If appropriate, include a bibliography immediately preceding the other appendices; 2) Vitae - at a minimum, include vitae for the senior personnel; 3) Publication Lists - a current list of publications for each of the senior personnel should be included; 4) other current and pending support.

Note: Intellectual Property — All proprietary information in the proposal should be duly marked. For more information, see the guidelines at the Texas Tech University Office of Research Commercialization.

Data Management Plans

Budget Development

The budget is a detailed statement outlining estimated project costs to support work under a grant or contract. The preparation of a budget is an important part of the proposal preparation process and should be considered as you are developing the project itself. This is important for two reasons:

• Developing your budget alongside your narrative assures that the budget items are specifically related to activities described in the proposal.
• Reviewers often examine the budget in the context of the program narrative, evaluate whether sufficient and appropriate personnel to perform the work have been included, and match the overall budget to the work proposed.

Research expenses can be divided into direct costs, which are specific line items in a budget such as salaries and fringe benefits, equipment and travel, and indirect costs (Facilities and Administrative costs), which are broad costs incurred for common or joint objectives, such as building/equipment depreciation and general administrative costs. Indirect costs are paid as a percentage of direct costs, with the amount negotiated by the University and the sponsor.

• General Guidelines for Proposal Budgets
• Fringe Benefit Rates
• Health Insurance Rates
• TTU Graduate Tuition and Fees
• Facilities & Administrative Costs (F&A)
• Cost Sharing
• Budgeting Subcontracts
• Budget Template

Samples

• Budget Justification

Have questions about a step in this process? Find your Pre-Award and Post-Award contacts.

Disclosure of Foreign Research Support and Collaborations

Texas Tech encourages international collaborations – and it is important for Texas Tech investigators to be transparent about their relationships and activities. It is also important for all investigators to be aware of what must be included in proposals and progress reports for extramural support.

Here are some of key policy reminders:

NIH

On 10 July 2019, the National Institutes of Health issued a Notice (NOT-OD-19-114) reminding investigators that anyone who applies for or receives NIH support must disclose all resources, positions, and scientific appointments. The Notice contains the full guidance. On 11 July 2019, the NIH blog Open Mike provided the synopsis (emphasis added):

NSF

On 11 July 2019, the National Science Foundation issued a Dear Colleague Letter on "Research Protection", emphasizing that maintenance of a diverse research community and robust international collaborations requires "[a] renewed effort ... to ensure that existing requirements to disclose current and pending support information are known, understood, and followed."

DOE

On 07 June 7 2019, the Department of Energy issued a Directive mandating that federal and contractor personnel fully disclose and, as necessary, terminate affiliations with foreign government-supported talent recruitment programs.

DoD

On 20 March 2019, Michael D. Griffin, Under Secretary of Defense (Memo on Actions protecting Intellectual Property, Controlled information, Key Personnel, and Critical Technologies) directed changes in DoD Notices of Funding Opportunities, to take effect in 30 business days from the date the memo was issued. Funding Opportunities supported by grants, cooperative agreements, Technology Investment Agreements, and other non-procurement transactions will require submission of information for all key personnel working on an activity, regardless of whether the individual's efforts are funded by the DoD. The information required is outlined in the memo and mirrors that required by NIH and DOE.

Key points for PIs and key personnel:

• Disclose all of your professional appointments, whether compensated or uncompensated, in the biographical sketch, including (but not limited to) appointments that you hold at other institutions (e.g., visiting scientist, professor, adjunct) – with dates and locations.
• Disclose any planned collaborations – official or unofficial – with foreign or domestic organizations in your proposals, including dates. Collaborations include, but are not limited to, exchanges of data, materials, personnel, or confidential information.
• Disclose all of your sponsored programs in your Current and Pending Support pages for federal proposals and progress reports, per agency instructions. This includes programs sponsored by foreign governments at foreign institutions.
• When an agency asks about "other funding" for a project (Note – for NSF and many other federal agencies, you answer this question in the proposal; for NIH, you answer when asked for Just-In-Time information), disclose all key personnel's other projects and funding so that the agency can evaluate potential scientific, commitment, or budgetary overlap. That means, respectively:
  • You have identified whether any other organization, US or non-US, is supporting the research outlined in your proposal. If you are named as key personnel in a funding award from a foreign sponsor made to a foreign institution, such an award must be disclosed.
  • You have included all resources made available to your research team in support of and/or related to all of their research endeavors, regardless of whether or not the resources have monetary value and regardless of whether they are based at TTU. This includes resource and/or financial support from all foreign and domestic entities, including but not limited to, financial support for laboratory personnel, and provision of high-value materials that are not freely available (e.g., biologics, chemical, model systems, technology, etc.). See NOT-OD-19-114 for more information about necessary details.
  • You have identified all time commitments. Federal agencies do not recognize a difference between your primary appointments held at a U.S. university and other appointments held at foreign institutions. They want information about all of your formal professional commitments. The total commitment of your time, or of the time of project-supported personnel, cannot exceed 100 percent.
  • You have not requested funding for items already paid for by any other source, including items paid for in a foreign country by a foreign sponsor.

We urge you to apply these principles to all your funding proposals.

Assistance with Organizing Proposals and Collaborations Involving Foreign Institutions

We urge the TTU community to continue research that involves participation by foreign nationals and institutions in accordance with the guidelines of the sponsoring agency. The Office of Research and Innovation will provide assistance to faculty and staff researchers with questions about organizing and managing such relationships.