Submitting a Proposal

  1. How does a Principal Investigator (PI) begin the proposal process?
  2. Who prepares a proposal?
  3. When does a Principal Investigator contact OSP?
  4. What does a proposal typically contain?
  5. What does a budget typically contain and where is a template?
  6. What is the difference between a contract, stipend, and salary?
  7. When do I include indirect costs?
  8. What if a sponsor requires cost sharing?
  9. What if a proposal contains intellectual property?
  10. What if a PI would like to include a relative as part of a proposal?
  11. What general approvals are needed before submitting a proposal?
  12. Under what circumstances are special approvals needed?

1. How does a Principal Investigator (PI) begin the proposal process?

Once a Principal Investigator identifies a funding opportunity and would like to submit a proposal, the next question is often, “where do I begin?” Understanding the proposal process is a great way to start.

The following resources can help:

Please also contact the appropriate OSP Grant and Contract Administrator staff representative for an overview of the proposal process and for answers to questions.

2. Who prepares a proposal?

Preparing a proposal is a step-by-step process where the Office of Sponsored Projects and the Principal Investigator work together to ensure that a complete application, consistent with both sponsor and Smithsonian policies and procedures, is submitted to the sponsor. All proposals submitted to external sponsors are required to be submitted through the Office of Sponsored Projects.

In preparing a proposal, the Principal Investigator and OSP have responsibilities they must each uphold:

Responsibilities of Principal Investigator

The Principal Investigator must:

  • Read proposal guidelines
  • Contact his/her supervisor to obtain informal approval and support for the project. Issues of constraints on staff time and availability of adequate space and facilities are resolved at this time.
  • Contact OSP at early stages of project conceptualization.
  • Write the technical narrative.
  • Draft a budget that lists all costs for the project, including both direct and indirect costs, and place costs in Smithsonian accounting categories (with guidance from OSP staff and/or unit Fund Managers).
  • Allow sufficient time for institutional review and approval.
  • Secure approval of relevant compliance committees (for example, for use of animals) with assistance of OSP staff.
  • Notify OSP of involvement with hazardous/radioactive materials, recombinant DNA, or other items requiring internal review and approval, as listed in chapter six of the PI Guide.
  • Notify OSP of any subcontracts that are included as part of the proposal.

Responsibilities of Office of Sponsored Projects

Additionally, the Office of Sponsored Projects must:

  • Finalize budgets within appropriate guidelines.
  • Coordinate with other financial and administrative offices, as necessary.
  • Assist with the completion of proposal forms required by the Smithsonian and sponsor.
  • Coordinate Smithsonian proposal review process, securing necessary approvals and signatures.
  • Confirm the proposal is within Smithsonian and sponsor guidelines and policies

For more information, please see chapter five, “Proposal Preparation,” of the PI Guide, SD 321, “Review and Submission of Proposals for Sponsored Projects,” and the OSP Checklist for Developing a Proposal (under the Forms page).

3. When does a Principal Investigator contact OSP?

Contact OSPs pre award staff representative as soon as possible. This will allow the Principal Investigator and OSP to build a strong proposal together, finalize budgets, coordinate with other financial and administrative offices, complete required forms, and get the necessary approvals.

Note: when submitting to a non-government sponsor, the PI must also contact the Office of Development for approval.
For more information, please see chapter six, “Proposal Approval and Submission,” of the PI Guide.

4. What does a proposal typically contain?

Sponsor guidelines describe what is expected in a proposal. OSP Grant and Contract Administrators work with Principal Investigators to ensure that all instructions for duplication, presentation, and submission of the proposal are followed.

Generally, proposals contain the following elements:

  • Cover Page
  • Abstract
  • Project Description
  • Budget (see Forms page)
  • Budget Justification
  • Compliance Information
  • Facilities, Equipment, and Other Resources
  • Curriculum Vitae
  • Current and Pending Support
  • Sub-contracts
  • Letters of Support

Please see chapter five, “Proposal Preparation,” of the PI Guide for a detailed explanation of general categories and budget items, and OSPs “Checklist for Developing a Proposal,” (under the Forms page) to assist throughout the process.

5. What does a budget typically contain and where is a template?

Budgets typically contain:

  • Personnel (salaries and wages)
  • Fringe Benefits
  • Travel
  • Supplies and Materials
  • Equipment
  • Subcontracts
  • Consultants
  • Indirect Costs

For a budget template, please see our Forms page and Appendix G, “Sample Budget,” of the PI Guide. Note that this budget template does not substitute for the approval by your unit pre-award staff representative.

For more information on budget indirect costs, please see our Policies page and SD 304, “Guidelines for Administering Indirect Cost (Overhead) Rates and Charges.”

6. What is the difference between a contract, stipend, and salary?

There are three ways to compensate/support an individual on a project:

  • Salary
  • Contract - used for compensating for services for specified deliverables within a specified time
  • Stipend – used for educational purposes and offer support for living expenses and may include allowances for relocation travel, research expenses, and medical insurance. (please see paragraph below)

When trying to decide whether or not to grant a stipend, the Office of Fellowships should be contacted, as they have the responsibility within the Smithsonian to administer these appointments. Principal Investigators should also review SD 701, “Smithsonian Institution Academic Appointments with Stipend” and SD 205, “Research Associates.”

7. When do I include indirect costs?

A Principal Investigator must always include indirect costs as part of their proposal budget. When a sponsor limits indirect costs, contact the appropriate OSP preaward staff representative to discuss the requirements.

In addition, a Principal Investigator is encouraged to read the indirect cost waiver section of the PI Guide, under chapter five, “Proposal Preparation,” and review the Flow Chart under, “Smithsonian’s Private Proposal/Award Indirect Cost (AS/PO) Policy” (under Policies) when submitting a proposal to a private sponsor.

8. What if a sponsor requires cost sharing?

When a sponsor requires cost sharing, contact your OSP preaward staff representative to discuss the requirements. In addition, a Principal Investigator is encouraged to read the cost sharing section of the PI Guide, under chapter five, “Proposal Preparation,” read SD 320 entitled, “Cost-Sharing on U.S. Government-Funded Sponsored Projects,” and review the Cost Sharing Forms under the Forms page.

9. What if a proposal contains intellectual property?

If your proposal contains intellectual property, please see chapter seven of the PI Guide, entitled, “Protection of Intellectual Property” and contact your OSP preaward staff representative to discuss applicable Smithsonian policies.

10. What if a PI would like to include a relative as part of a proposal?

Contracts with relatives of Smithsonian staff (including spouses) are subject to restrictions and review (see SD 103, “Standards of Conduct”). If a Principal Investigator wishes to employ a relative of any Smithsonian staff member as a consultant, OSP must be contacted for assistance and guidance.

11. What general approvals are needed before submitting a proposal?

A Proposal Brief, signed by the Principal Investigator, Supervisor, Unit Director, and OSP Director, is required before the submission of every proposal (“ZD 245” for the National Zoo). The Proposal Brief summarizes key information about the proposal, establishes that the proposal has been reviewed and approved, provides sponsor deadline dates, and indicates direct and indirect costs.

OSP provides a Proposal Brief, the Principal Investigator signs the form, and the Principal Investigator circulates the Proposal Brief for the remaining signatures with a copy of the draft proposal attached. Once the Proposal Brief is fully executed, it is returned to OSP. A fully executed Proposal Brief confirms that the unit is supporting the submission of the proposal.

Note: when submitting to a non-government sponsor, the PI must also contact the Office of Development for approval.
For more information on approval of proposals and the Proposal Brief, please see chapter six, “Proposal Approval and Submission,” of the PI Guide.

12. Under what circumstances are special approvals needed?

A proposal that contains invertebrate animals, human subjects, radiation/radioisotopes, infectious agents, human blood or extreme toxins, hazardous/radioactive materials, recombinant DNA, or other compliance issues may need special approvals. This approval process begins by first contacting your OSP Grant and Contract staff representative. OSP will then assist in gaining the appropriate approvals.
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