Proposal Development and Submission

Proposal Preparation Checklist

(adapt to your specific needs)

FIRST STEPS
____ Read the sponsor guidelines, RFA (Request For Application), RFP (Request For Proposal) carefully—they outline the proposal for you and will help you tailor this checklist to a specific submission. Be sure you are using current guidelines and forms.
____ Does the sponsor require an electronic submission?
____ Are there special forms to be used? Defined formatting, page limits, etc.? Make sure everyone working on the proposal has noted the requirements.
____ Interview the PI (Principal Investigator) to get as much information as possible at this stage.
____ If sponsor is a foundation, check the Sensitive Foundation List
____ Establish internal deadlines (when to local divisional administrators, when to URA, when to send out to sponsor) and notify staff working on the proposal of the deadlines. University policy specifies proposals should be received by URA (University Research Administration) at least five working days prior to due date. Even if you don’t know five days in advance, any advance notice, to all involved, is helpful to workflow and timely submission.
____ E-mail to local administrators (department/LBC/school/division) and to URA contact with due date and date he/she may expect it for review. Also, forward a copy of the sponsor guidelines, RFA, or RFP to URA.

BUDGET
____ Would BSD/ORS (Office of Research Services) budget templates be useful? Or is there a sponsor-required format?
____ What is the project period? Use an escalation factor for future years.
____ Personnel and their % of effort—this may develop with the proposal. Verify salaries; if TBD (to be determined), check with Human Resources for job classification and associated salary information.
____ Fringe Benefit Rate (federal, nonfederal, students); you may wish to add .1%/year for future years for nonfederal proposals. See Fact Sheet for current appropriate rate.
____ Include cost share or matching only when required by the program guidelines. If so required, what approvals are needed?
____ Consultant(s)—need name, work scope, rate (federal sponsors may have a cap on the rate); try to tie amount(s) to be paid to specific deliverables or tasks; usually need CV or bio sketch; may need letter of commitment (even if not required, letters of commitment typically strengthen proposals)
____ Subcontract(s)—need work scope, budget, institutional sign-off, a copy of the collaborating institution's F&A rate agreement (either hard copy or web link if they have it posted on their website), CV and/or bio sketch for key personnel; may also need facilities/equipment/other resources [a.k.a. capacity or capability statement], letter of commitment. For federal proposals, the federally approved indirect cost rate agreement allows the university to charge indirect costs only on the first $25,000 of subcontract costs for each subcontract.
____ Travel costs (includes room, per diem, etc)—include purpose & destination of each meeting, rates used—see http://travelnet.uchicago.edu/knowbefore.shtml
____ Equipment (item cost is over $5,000 and has a lifespan over 1 year)—for guidance see http://adminet.uchicago.edu/admincompt/prop_manual/propmanual_toc.html
____ Expendable Supplies—properties under $5000 and/or a life expectancy of less than one year. Supplies should be broken down by specific categories of cost, such as laboratory supplies, office supplies, etc. (be as specific as possible)
____ Publication costs
____ Other Costs—communications, Xerox, postage, local travel, Human Subject fees, survey duplication and distribution, Independent Contractor costs (when Sponsored Consultant Agreement is not needed), etc. See Guideline 307B for restrictions on secretarial/clerical and other direct costs on federal research projects.
____ Facilities and administration [F&A] rate (also known as indirect costs or overhead)—Is the sponsor a federal or nonfederal entity? Does sponsor have a posted rate? See Fact Sheet for guidance on rates.
____ Budget Justification—be as specific as possible; highlight expertise of staff and their roles; address salary and non-salary escalation rates; identify significant budgetary changes in subsequent years. See Guideline 307B regarding secretarial/clerical and other direct costs on federal research projects and required justification.

SUPPORTING DOCUMENTS/INFORMATION
____ PTF and attachments (required for all new proposals and requests for additional funds)
____ Other university sign-offs (if proposal includes personnel from other departments, etc.—email or other written confirmation from Director, Dean, Department Chair is necessary)
____ Updated CVs and/or bio sketches—generally needed for all key personnel including those from other departments, consultant(s), key personnel for subcontract(s)
____ Other supporting documentation from university when needed (audit, indirect cost agreement [URA can provide these], certificate of insurance, etc.)
____ References or letters of support (if needed)—have them faxed to you for the submission if they are arriving late, and keep originals on hand once you receive them
____ Standard statement of facilities/equipment/other resources (a.k.a. institutional capacity or capability statement) if needed; may also be required of subcontractors
____ Current & Pending Support (if needed)
____ Representations & Certifications (if needed)—URA will complete and sign these
____ How many copies are needed for final submission?
____ Will there be an appendix that includes other publications (be sure you have enough copies for the submission—pay attention to agency restrictions on number allowed); are boxes necessary for shipping?
____ Be sure to have the correct address for the submission

MATERIAL TRANSFER AGREEMENTS and CLINICAL TRIALS
There are separate routing forms, procedures and boilerplate agreements for Material Transfer Agreements (MTAs) and Clinical Trial Agreements. Pharmaceutical company-sponsored clinical trials must pass through the Office of Clinical Research . Check with a local administrator, the Office of Clinical Research or call URA for guidance.
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