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Research and Training Initiatives Office |RTI|

Proposal Preparation & Submission

This is a generic flow scheme for run of the mill proposals only. If you are planning to submit to a funding agency ORSPA and/or SoLS may not have much experience with, or if your proposal will include subcontracts with other institutions, please contact Marci Welton as early as you can so we can have the appropriate procedures in place in a timely manner. If institutional matches are required by the sponsor, please provide the RTI associate director with the documentation, the amount needed, etc. If institutional matches are not specifically required by the sponsor, please see the Infrastructure Support Guidelines that outline SoLS policy in this respect.

I. NEW and COMPETITIVE RENEWAL PROPOSALS

Two weeks before you submit your proposal:

1. Send a note to Marci Welton indicating your intent; mention funding agency, program, and deadline. If a competitive renewal, indicate the area/org. If you have a copy of the program announcement (or just the program announcement number) or have other information about the program that Marci should be aware of, please send this info along as well.
2. CV: If there are any changes in your CV since the last time the RTI office asked for an update, send changes (publication references etc.) to Barb Tucker. Barb will send you a copy of the CV as it is in the RTI office, in the format needed for a proposal to the funding agency selected, for your approval.
3. Send the Budget Justification of your proposal (including information regarding the duration of the proposed research and if the funds requested change from year to year- the breakdown for each year) to Marci Welton, so that she can start deriving the budget pages and send you a first draft of the budget a few days later. If you do not have the justification prepared you can fill out the budget preparation sheet preparation sheet and send that to Marci instead. It is important to get either the justification or the preparation sheet to Marci so that she ensures the final budget is compliant with the Sponsor and ASU policy & guidelines.

One week before you submit your proposal:

1. Provide Marci with the proposal title, additional PIs/Co-PIs (if any), and she will send you cover pages and internal routing forms with much of the information already in place. You will complete the remaining parts of the form and sign.

Three working days before you submit your proposal:

1. Provide Marci with a copy of your project summary.
2. Assuming the internal routing forms, the budget pages, the cover page, and the project summary are all there in time, please see Marci to sign the appropriate pages and the RTI office will take care of the routing of the proposal. If not, it is up to the PI to gather signatures etc. and to get the appropriately signed materials to Marci in time.

The day of submission (ideally a day or so before the day the proposal must go to meet the deadline; however, we will do our best to accommodate procrastinators as much as possible):

If the proposal is submitted via the web:

1. Have the material to Marci in submission-ready (or otherwise appropriate) form preferably at least a day before the deadline. Marci will upload, check with you to proof as needed, and Candyce (and/or others at ORSPA) will approve and send.

If the proposal is submitted as hard copy only:

1. In the morning, provide Barb with a complete package and with an indication of the number of copies needed (total). Barb does black-and-white copying only, so if you have pages with color you will need to give her as many color prints of a page as you need copies. Add one hard copy for SoLS and one for ORSPA.
2. Try to not get it to us at the very last minute. Your proposal needs to be processed by ORSPA and sent out.

II. BUDGET ADJUSTMENTS

The long-awaited phone call from the program director announcing that the grant will be funded sometimes will be accompanied by the announcement that you will need to cut the budget a little bit. If so, please provide Marci with the details and a revised budget justification, and she will prepare adjusted budget sheets for you. After proofing, please provide Marci with the revised materials that need to be submitted. Marci will prepare the package, provide it to Candyce for approval, and it will be sent out.

III. GRANT INCREMENTS

The sponsor will usually request a progress report and a description of plans in the coming year, which forms the basis of the request for next years grant increment. The PI generally will be informed by the sponsor regarding the deadline and format of the non-competitive renewal.

NSF: NSFs progress report and request for an additional year of funding is sent in by the PI via FastLane. Candyce and Marci are notified of the submission. No further action is needed.

Other agencies: Inform Marci three working days in advance on what needs to be submitted, whether the budget has changed relative to the adjusted budget at the time the grant was approved, etc., and she will prepare an internal routing form (which you need to sign) and collect signatures. A day before the increment request needs to go out, you will provide Marci with the other materials requested by the sponsor.