Office of Research & Sponsored Programs

Pre-Award - Proposal Preparation

Navigating the Pre-Award Process

• Step 1: Give notice of Intent
• Step 2: Define submission timeline
• Step 3: Create proposal in PARS
• Step 4: Develop proposal content
• Step 5: Initiate subrecipient process (if applicable)
• Step 6: Consider staffing needs
• Step 7: Address compliance
• Step 8: Prepare budget & budget justification
• Step 9: Submit budget and budget justification to ORSP for initial review
• Step 10: Review & Revise
• Step 11: Route proposal in PARS
• Step 12: Submit proposal to ORSP
• Miscellaneous

Step 1: Give notice of intent

• Provide ORSP Pre-Award Staff with notice of intent to submit a proposal & a copy of the sponsor guidelines.
• Discuss with your chair, dean or director, issues such as space requirements and cost sharing needs.

Step 2: Define submission timeline

• Timeline for ORSP proposal review (PDF)
• Limited Competitions require earlier notification of intent to submit and have earlier submission deadlines.
• Keep in mind, proposals over $2M will require additional administrative approvals, so you’ll want to allow extra time (at least a week) for ORSP to obtain the necessary signature authority (PDF).

Step 3: Create proposal in PARS

• PARS (Proposal Approval Routing System)
• Useful Application Information

Step 4: Begin to develop proposal content

• Follow all formatting and font requirements set forth by the sponsor
• Bear in mind that ORSP’s review focuses primarily on the budget and budget justification; and on completeness, not the merit, of the proposal.  Therefore, have a colleague (or two) review your proposal or consider UMAPIT.
• Grant writing guides and tips:
  • “Shared Wisdom of UMaine Faculty for Success in Grant  Funding: What Works”
  • A Guide for Proposal Writing from NSF
  • Hunter College “Grant Writing Tips” (PDF)
  • “The Art of Grantsmanship” by Jabob Kraicer

Step 5: Initiate subrecipient process (if applicable)

• Subrecipient/Vendor (Professional Services) Determination: In order to meet audit and compliance requirements and avoid problems down the road, it is important to make the proper determination in the proposal stage.
• Subrecipients are distinguished from vendors (Professional Services) by having their own key personnel, scope of work, budget and budget justification.
• For more guidance, please refer to the Budget Categories “Professional Services” and “Subrecipients” in the ORSP Guide to Budget Preparation (PDF) and/or OMB Circular A-133 (PDF) §_.210.
• If your proposal includes a subrecipient, you must submit a Subrecipient Commitment Form (PDF) to ORSP. It provides a checklist of documents and certifications required by sponsors, as well as an area for the authorized official to sign.

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Step 6: Consider staffing needs

• Determine the classification & salary/wage range of support staff and prepare documentation for any consultants so you can prepare your budget
• Pre-Award Hiring Process Flow Chart (PDF) – Key points and general information about including labor in a grant proposal
• Office of Human Resources
• Refer to our Rates page for tuition, health insurance and minimum stipend rates for graduate students
• Office of Student Employment

Step 7: Address compliance

• Refer to our Compliance pages for a comprehensive overview of compliance requirements

Step 8: Prepare budget & budget justification

• ORSP Guide to Budget Preparation (PDF)
• Project Budget Spreadsheet (Excel)
• Rates
• OMB Circulars A-21 (PDF), A-110
• UMS Administrative Practice Letters specifically, UMS APL VIII(C) Direct Charging of Expenses (PDF)
• Policy & Procedure
• ORSP’s Allowable Costs Quick Reference Guide (PDF)
• ORSP’s  Allowable Costs Flow Chart (PDF)

Step 9: Submit budget and budget justification to ORSP for initial review

• Timeline for ORSP proposal review (PDF)
• ORSP Pre-Award Staff

Step 10: Review, revise & submit draft proposal to ORSP

• Timeline for ORSP proposal review (PDF)
• ORSP Pre-Award Staff
• A solid working draft of the application package or web access to the proposal with the budget forms completed should be provided for ORSP review at least seven (7) business days in advance of deadline.

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Step 11: Route the proposal in PARS

• Timeline for ORSP proposal review (PDF)
• PARS (Proposal Approval Routing System)
• Proposals cannot be routed for approval until ORSP has approved your project budget and budget justification, and provided you a submission number.
• Know who your last approver is. Once you have received notification they have approved, you will need to log in to PARS and submit the proposal to ORSP.

Step 12:  Submit final proposal to ORSP

• Timeline for ORSP proposal review (PDF)
• PARS (Proposal Approval Routing System)
• ORSP Pre-Award Staff
• Once all approvers in PARS have approved, be sure to log in to PARS and submit the proposal to ORSP.
• Submit the final application package or inform ORSP you are ready to submit your proposal to the sponsor (provided they have web access to the proposal).
• Be available! If you will be out of town on or near a deadline, please plan to finalize your proposal before leaving and provide contact information to ORSP in case there are questions after you’ve left.

Miscellaneous

• Guides & Forms
• NSF Fastlane at UMaine
• Policy & Procedure
• ORSP Training

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