Proposal Content and Budget

While there is no "one size fits all" approach for developing a perfect proposal, there are some general principles which can help you prepare an effective document that will strongly state your case in seeking extramural funding.

The format of a particular proposal document will depend on the requirements of the sponsor to whom you are applying. Most Federal agencies have application forms or very specific guidelines, while other sponsors may be less specific. Most agencies also have very specific page limits which must be adhered to.

Consider the nature of the potential funding source as you begin to write. The approach to a "general purpose" foundation will differ from that to a "discipline specific" Federal agency. In the former, you need to start with a more general needs statement to establish the importance of your whole area of interest relative to other large areas of need. In the latter, you can go directly to the specific need for your project.

Your informal proposal and/or preliminary inquiry document will serve as an outline in drafting a fuller, more complete document. Funding agency (or collegial) reactions to the informal proposal should provide assistance in developing your final proposal.

While the typical sections of a full proposal and proposal budget are provided below, the PI/PDs must review specific requirements of the funding agency.

Title Page

  • Name and address of sponsor to whom the proposal is being submitted
  • Name of the applicant or organization – University of Wisconsin-La Crosse
  • Place of performance
  • Title of proposed project
  • Total funds requested. (For multi-year proposals it is helpful to show both the total request and the request for the first year)
  • Name and title of the Principal Investigator/Project Director and Co-investigators as necessary
  • Name/Title of authorizing UW-L official – Vijendra Agarwal, Associate Vice Chancellor for Academic Affairs

Title

The title of a proposal is very important. A proposal title should describe the proposed project, express the end result of the project, and be short and easy to remember.

Abstract

While an abstract is not required by all funding agencies, it is a highly effective means of presenting a project to a reviewer or review board. Typically, an abstract is no longer than 200 to 250 words. It is a brief exposition which summarizes the objectives and significance of the project, the procedures to be followed in carrying it out and the plans for evaluating the results. Unless specifically required, facts given on the title page need not be repeated in the abstract.

Introduction

If extensive introductory remarks are appropriate to "set the stage" for the specific proposal, you should devote a separate section to them. However, if only a brief introduction is necessary, it should be included as the introductory paragraph of the next section.

Description of the Proposed Project

The description of the proposed project is an expansion of the abstract and constitutes the heart and soul of the proposal. It is a full and detailed explanation of the Principal Investigator's proposed research plan and should include:

  • A detailed description of the work to be undertaken;
  • Its relation to both the present state of knowledge in the field and to comparable work known to be in progress elsewhere; and
  • Justification that the proposed research is timely and critical. This section should include a clearly stated, detailed discussion of the methodology and goals of the research.

Bibliography

References should be selected carefully and generally only those that are discussed in the proposal should be included. A reviewer will be interested in assessing the relevance of the listed references to the proposed project.

Proposal Budget

The budget is one of the key elements in any proposal because it outlines your project in fiscal terms and is often used by reviewers to form an impression of how the project will be organized.

You are urged to arrange for early discussions on your budget with the Office of Sponsored Research, Scholarly and Creative Activities. If you submit a proposal with an unrealistic budget to an agency, it becomes very difficult to come back later with a larger budget.

* Cost Sharing

Federal agencies may require UW-L to demonstrate its participation in the total costs of any project supported by a research grant. Flexibility is allowed in determining how UW-L shares in the cost of a project; however, since the cost-sharing must be auditable, it should be limited to contributed faculty salaries and related fringe benefits. General supply and expense items, as a result, should not be included because of the difficulty in maintaining auditable records. Consultation with the Office of Sponsored Research, Scholarly and Creative Activities and/or College Dean is necessary for cost sharing commitment on behalf of UW-L.

Some agencies have established minimum cost-sharing guidelines for research grants.

* Salaries and Wages

List professional personnel first, staff personnel second and part-time workers third. Professional and staff salary figures should include a percentage of effort figure to reflect the estimated amount of time each person will devote to the proposed project. In the case of part-time, nonprofessional personnel, the number of hours may be used in the estimate. Student help should be included in this category. Consultants should not be included here, but rather in a separate category. Care should be taken to anticipate and provide for annual merit and promotional rate increases.

Generally, departmental secretarial and administrative support personnel are not included, but any individual specifically assigned to a project should be listed at the appropriate level of participation.

While it is appropriate to request summer salary support for academic year personnel, a summer salary cannot exceed two-ninths of the full time academic year salary paid an individual during the immediate previous academic year without prior approval of the appropriate Dean of Director. In all cases, summer salaries shown must be determined and approved in accordance with University policies.

Proposal funds cannot be used to augment salaries beyond UW-L approved rate.

* Fringe Benefits

Fringe benefits, expressed as a percentage of salary, include such items as Social Security, State retirement programs, health insurance, life insurance, and disability insurance. Fringe benefit rates vary according to the personnel classification. However, average rates for different categories of appointments are used for assessing the charges to the grant or contract. Rates for the University salary classification are updated annually. The Office of Sponsored Research, Scholarly and Creative Activities should be consulted for current rates.

* UW-System Extramural Fringe Benefit Rates

Listed below are the extramural fringe benefit rates to be used by the University of Wisconsin System, University Cluster institutions during fiscal year 2006-2007. These are the rates the University Cluster institutions charge extramural funds for the employer's contribution to fringe benefits.

  • Faculty and Academic Staff* - 44.50%
  • Classified Staff - 59.00%
  • LTE (Limited Term Employee) - 46.00%
  • Project, Teaching, Research Assistant - 30.00%
  • Research Associates & Interns - 34.00%
  • Ad Hoc Program Specialists & Undergraduate Assistants - 7.65%
  • Student Employee - 2.50%

* Position definitions

The specific components for each rate are detailed on the attached schedule which is also posted at http://www.uwsa.edu/fadmin/document/fringe09.html. These rates should be used in all new proposals submitted to extramural sponsors on or after the date of this memo with an anticipated beginning date of July 1, 2006 or later. Multiple year proposals should include an estimated increase for future fringe benefit costs.

* Indirect Costs/Overhead

Indirect costs are real costs associated with the completion of a funded project. Extramural proposals must request indirect costs from the agency to cover expenditures such as administrative costs, maintenance of physical facilities, and utilities that are not readily identified with a specific project. This is mandated by the UW System Board of Regents and the actual rate is negotiated for UW-L by the Federal government.

In undertaking any funded project, whether or not it is sponsored by the Federal government, UW-L must recover two components of costs--those directly attributable to the specific project and those incurred for the general support and management of the project. Indirect costs are real costs. They provide reimbursements for expenses incurred in conducting or supporting the project. Funds paid to UWL for indirect costs of a sponsored project are reimbursement to use for expenditures actually incurred.

* Indirect Cost Recovery/Overhead Rate

For non-Federal grants/contracts, the PI/PD should include 20% indirect costs of the total unless the funding organization has specific stipulations for lower indirect costs. Consult the Sponsored Research, Scholarly and Creative Activities Officer when in doubt.

For Federal grants/contracts, the basic regulations for ascertaining the costs of Federally sponsored projects at educational institutions are set forth in OMB Circular A-21. Annually the University of Wisconsin System presents its expenditures in these categories and evidence regarding the proportion of these costs incurred as a result of its total research effort. This information is audited by representatives of the DHHS Audit Agency (the cognizant audit agency for the UW System) and the allowable rates of reimbursement are then established. Currently, negotiated indirect costs for federal grants are available as follows:

* Facilities and administrative cost rates*

Predetermined: 07/01/03 to 06/30/07, Rate = 38.5% On Site, All programs

Predetermined: 07/01/03 to 06/30/07, Rate = 15.5% Off Site, All programs

Provisional: 07/01/07 UNTIL AMENDED (Use same rates & conditions as those cited for fiscal year ending June 30, 2007)

* BASE: Direct salaries and wages including all fringe benefits.

Electronic copies of the Overhead Rate Agreement can be found as follows:

NOTE: Both copies of the pdf (document 1 and 2 are required for the total agreement)

* Facilities and Equipment

If available facilities and equipment are to be utilized, they should be described and emphasized. If additional facilities and equipment are to be procured using funds to be made available under your proposal, they should be described in detail, as should any contribution UW-La Crosse is expected to make. Financial information related to facilities and equipment should be briefly noted here and detailed in the Budget section. Facilities and equipment provided by UW-L should not be used as matching or cost-sharing contributions unless specifically required by a particular agency program.

* Permanent Equipment

Permanent capital equipment is defined as non-expendable tangible equipment costing $5,000 or more per unit. The cost of shipping, installation, and fabrication should be included in the cost of the equipment. Whenever possible, the PI/PD should specify the name, model number, and manufacturer of the equipment.

Permanent equipment is broken into two categories: special purpose and general purpose. The type of equipment most often purchased under grants or contracts is designated special purpose equipment because it is necessary to the research and is generally not available within, or of general use to UW-L. Justification for such equipment should be provided in the proposal.

General purpose equipment includes items such as office furniture, typewriters, dictation/transcription machines, personal computers, word processors, etc. The purchase of general purpose equipment is allowed by some Federal agencies when it is primarily or exclusively used in the conduct of scientific research.

Generally, title to equipment purchased with grant funds is allowed to remain at UW-L. However, the specific conditions of each grant or contract will govern.

* Expendable Equipment and Supplies

Any equipment needed for your specific research project and which costs less than $5,000 should be listed under expendable equipment and supplies. Identify as specifically as possible the types of equipment or supplies needed. For example, this itemization should include laboratory supplies, office supplies, chemicals, glassware, and electronic supplies.

* Personnel

Brief biographical sketches, including publications, of the PI/PD and the senior professional personnel involved should be included. Many funding agencies now impose page limits on senior personnel CVs. If support personnel and students who will work on the project are already in the employ of UW-L, they may be listed. If not, the positions to be filled should be described along with an indication of the academic level or job classification desired. Naming a person in a grant application does not commit the institution to employment of that person and does not satisfy the requirement of open recruitment.

The following categories of personnel are often needed.

  • Program Director (or Co-Director - Principal Investigator)
  • Faculty Associates
  • Employees-in-Training
  • Research Associates,
  • Research and Project Assistants (undergraduate or graduate students engaged in research training under the proposed grant)
  • Academic Staff
  • Classified Staff (clerical, shop and laboratory helpers)
  • Student hourly wage
* Publication Costs

Costs of preparing and publishing the results of the research conducted under the grant, including costs of reports, reprints, page charges or other journal costs and necessary illustrations should be indicated. Such costs do not normally include support of book or monograph publication.

* Travel Costs

Travel costs should specify type (conducting research or attending a meeting) and category (domestic or international travel) since different types of approval may be required. Within each category, list:

  • Name of traveler, destination, and reason for trip.
  • Round-trip commercial coach airfare (allowances for air travel will not normally exceed round-trip economy airfare).
  • Number of days and per diem or estimated living expenses.
  • Other expenses such as ground transportation or conference registration fees.

The purpose of each trip should be discussed in the body of the technical proposal. Expenditures for travel must be budgeted in accordance with University and State of Wisconsin Travel Regulations.

If international travel is anticipated, the proposal should give relevant information and justification. In such instances it is preferable to budget the expenditures in accordance with per diem rates established by the Federal Government.

If no provision for foreign travel was included in the original proposal, approval must be obtained from either the funding agency or UW-L (as appropriate) prior to the commitment of grant funds for such purposes.

* Tuition, Fees and Institutional Allowances

Training grants provide for payment of tuition, segregated fees and/or institutional allowances for trainees. When such provisions exist, they must be fully utilized. Also, be sure to allow for anticipated increases in these costs. Under UW System policies, training grants must equal or exceed tuition and fee costs per student; if a given grant or contract fails to do so, the difference will be charged to the individual students. For current tuition and fee rates, consult: http://www.uwlax.edu/Admissions/html/afford.htm

* Consultants

Consultants must be identified by name and/or by their specialty; the number of person-days of consulting and their daily rate should also be specified. Federal funding agencies ask that PI/PDs:

  • Hire consultants only when the services are necessary and cannot be provided by paying direct salaries to a current employee of the proposed project;
  • Engage in an objective selection process designed to secure the most qualified individual; and
  • Ensure these persons provide a "necessary and unique contribution" to the project.

Eligibility of individuals holding local, state, or Federal positions to serve as paid consultants must be determined in advance. Employees within the University of Wisconsin System cannot serve within the System as paid consultants nor can employees of a Federal agency unless they are on leave status.

Where the costs of consultants are borne in whole or in part as direct costs by Federal projects, the consultation must be documented by an invoice from the consultant. Any of the following information not shown on the invoice must be shown in a memorandum or other document, including handwritten notations on the invoice, signed by an organizational official and retained in its files: the name of the consulting firm or individual; social security number and home address of individual consultant; the nature of the services rendered and their relevance to the grant supported activities, if not otherwise apparent from the nature of the services; the period of the service; the basis for calculating the fee paid, (e.g., rate per day or hours worked or rate per unit of service rendered); and the amount paid.

* Miscellaneous

Where supporting funding agency regulations permit, the budge should include appropriate amounts for miscellaneous costs such as computing time, telephone and fax costs, freight charges, equipment maintenance and rental, service contracts or charges, and reference books specifically related to the project.

* Subcontracts

Subcontracts should appear as a line item in the proposal budget with reference to an attached subcontractor's formal, detailed budget. Principal Investigators should document the reasons for choosing a particular subcontractor over others.

* Space and Extended Use of University Facilities

Expenditures necessary for construction, remodeling or rental of space and facilities should be explained in detail. The basis for this entry will be the estimates you receive from UW-L's space management, remodeling, or planning and construction representative. If off-campus rental facilities are approved by UW-L, the budget should include rent, utilities, custodial care and other costs which may be incurred.

* Other Support

The proposal should summarize all current extramural support and other pending applications of the Principal Investigator(s). This information should include sources of support, project titles, periods and budget amounts.