Proposal Submission Procedures
Office of Research Administration
Columbia University

Proposal Preparation
Timing | Elements | Budget | Elements of the Budget | Checklist | Important Information

  1. Contact your OPG representative at extension 4-6851 to let him/her know that you plan to submit a proposal and what the agency deadline is. If you are unsure of your representative, please call OPG to request this information.

  2. Verify with your representative the correct fringe benefits rate, travel per diems, indirect costs rate(s) or administrative fee, and any other applicable rates that must be included in your budget. (See, also, Important Information for Proposal Processing, below)

  3. Let your representative know if the project will involve any of the following elements. Appropriate University approvals may need be obtained prior to or soon after the submission of the proposal:
    1. Use of human subjects or informants;

    2. Use of vertebrate animals;

    3. Use of recombinant DNA or hazardous materials;

    4. Use of the University's mainframe computer;

    5. Use of University space and/or special facilities.

    6. Subcontracting Additional required approvals are listed in Proposals for Sponsored Projects: An Information Guide for Prospective Project Directors. Copies may be obtained by calling the Office of Projects and Grants at extension 4-6851.

  4. The Office of Projects and Grants requests a draft version of your proposal at least two (2) weeks in advance of the agency deadline. OPG must review the proposal to ensure compliance with agency and University policies and guidelines. If you are unable to submit a draft copy of your proposal two weeks prior to a deadline, it is important that you contact your representative, so that he/she will be aware of the short review time. Note that if any special approvals are required (see 3, above,) additional processing time may be necessary, especially if the agency requires such approvals at the proposal stage.

  5. Include with the draft proposal any special program announcements or agency guidelines that you are required to follow in proposal preparation. This enables your representative to review and advise you of any necessary changes and also any special handling requirements.

  6. Upon review completion, your representative will contact you to advise you of any errors or omissions in your draft proposal. Your representative will then request the final version of the proposal and the appropriate number of copies. As the number of required copies varies from agency to agency, it is important that you submit the appropriate number. This number will also include two copies for OPG records. Another important point--although seemingly trivial--is that proposals should not be bound in any fashion, as this makes it difficult for your representative to make any last minute corrections. Indeed, some agencies request that proposals be submitted unbound, such as the National Institutes of Health--and in most cases photocopied on single sided sheets. Most agencies prefer that proposals be fastened with staples only. Your representative will do this for you. If you intend to submit proposals in binders, the agency should be contacted to ensure that this is permissible.

  7. A completed, finalized PropTrak form must be filed via RASCAL (https://www.rascal.columbia.edu). This tracking form must include the electronic approvals of all principal investigators, and appropriate department Chairs and Deans. OPG may not submit a proposal for you unless this form is finalized and all appropriate electronic signatures have been obtained.

  8. Your representative will sign the proposal on behalf of the University and will, if required, write a covering letter certifying the University's approval of the project if required. Please remember that a proposal submission requires the signature of your OPG representative to be official. Most agencies will not review a proposal unless it is signed by an authorized University official.

Additional Reading

The Faculty Handbook, Columbia University, 1987 (as revised)

Research Policy Handbook, Columbia University, 1992 (as revised)

Proposal Preparation - An Overview

Proposals are exercises in persuasion. We must persuade reviewers that the research is essential and the proposed principal investigator is the ideal individual to carry out the research.

Key questions to answer in any proposal:

  • What does the principal investigator or project director want to do? What is the objective of the research?
  • Why should the principal investigator or project director do the research rather than someone else?
  • How much will it cost?
  • How long will it take?
  • How does the proposed research fit within the sponsoring agency's mission? You may need to change the statement of work of your proposal to ensure it is within the agency's mission.
  • What difference will the project make to the agency, Columbia, our students, the discipline, and the country?
  • What has already been accomplished in this field? How will the research proposed extend the field's knowledge?

Timing for Submission

OPG processes over 1000 proposals a year. Many are clustered around mandated agency deadlines.

Elements of your proposal:

Each proposal has to be prepared with the sponsor in mind. Some agencies have detailed proposal preparation kits (notably NSF and NIH).

Typical proposals contain the following elements:

  • Title page
    • Agency name
    • Proposal title
    • Proposed effective dates of the project
    • Total funds requested
    • Official name of the University (The Trustees of Columbia University in the City of New York)
    • Name of the submitting unit
    • Name, address, telephone number, e-mail address and signature of the proposed principal investigator
    • Name, address, telephone number, e-mail address and signature of OPG Projects Officer who will endorse the proposal on behalf of the University.
  • Abstract
    • 200 word summary of the proposed project; generally written in layman's terms.
  • Table of Contents
  • Introduction
  • Background
  • Project Description
  • Biographical Data (c.v.)
  • Budget and Cost Justification
  • Listing of Current and Pending Support
  • Identification of Facilities available for the project
  • Documentation of Collaborative Arrangements

The Budget

Your budget is the key to translating the work to be done into dollars. It reflects your skill in planning the project and in performing the project in as cost-effective a manner as is possible. Your budget should be realistic, even though your costs may be higher or lower than the average support preffered by the agency. If you project is meritorious, the agency will contact you and try to find some way to fund at least a portion of the project.

Your budget is divided into 2 main sections:

Direct Costs
Those costs that can be directly identified with your project.

Indirect Costs
Costs that cannot be directly apportioned to your project and are recovered through negotiation with the government and the application of an indirect cost rate.

Elements of your budget:

  • Personnel
    • Salaries and Wages
    • Fringe Benefits
  • Permanent Equipment
  • Supplies
  • Travel
    • Domestic
    • Foreign
  • Consultants
  • Publications
  • Communications and Shipping
    • Telephone
    • Fax
    • Postage
    • Federal Express (i.e. courier costs)
  • Services
  • Other costs
    • Payments to human subjects
    • Animal care costs
    • Subcontracts
    • Graduate student tuition
  • Indirect Costs

Proposal submission checklist:

  • Is OPG aware of this proposal?
  • Has my OPG Projects Officer reviewed a draft? Have all necessary changes been made?
  • Does the proposal meet the program guidlines? Does it meet University guidelines?
  • Overall length of the proposal and limitations on individual sections; font size limits
  • Have all necessary departmental/school approvals been obtained?
  • Do I have the correct number of copies? (Don't forget to include 2 for OPG.)
  • Have I completed the RASCAL PropTrak form?
  • If your project involves Human Subjects, Recombinant DNA research or Vertebrate Animals have the necessary approvals been obtained via RASCAL?
  • If the proposal is being submitted in response to a specific solicitation have I attached a copy of those guidelines for OPG's use?
  • Have I included a properly formatted disk with a copy of my project's abstract, narrative & CV's of senior personnel?
  • If the proposal must be submitted via commerical carrier have I supplied the correct street address and telephone number?
  • If there is a proposed subcontract, have I included back-up information from the Subcontractor?
IMPORTANT INFORMATION FOR PROPOSAL PROCESSING

Institutional Information

Institution's Legal Name:

 The Trustees of Columbia University
in the City of New York

Name of individual to be
notified if award is made:

Medical Center:

Daniel Calto, MBA
Columbia University Medical Center
Research Administration
630 West 168th Street, Box 49
New York, New York 10032-3702
grants-office@columbia.edu

Fax: (212) 305-3697

Morningside:

Daniel Calto, MBA
Columbia University
Research Administration
1210 Amsterdam Avenue, Mail Code 2205
Room 254 Engineering Terrace
New York, NY 10027
MS-grants-office@columbia.edu

Fax: (212) 854-2738

If awarded, check
should be drawn to:

 The Trustees of Columbia University
in the City of New York

Check Mailing Address:

 The Trustees of Columbia University
CU Research Administration
P.O. Box 29789
General Post Office
New York, NY 10087-9789

Electronic Transfer of Funds:

 Bank, Routing, and
Checking Account Information

Type of Organization:

 Private, Non-Profit, 501(c)(3)

University Fiscal Officer:

 Ms. Cheryl A. Ross
Controller
Taxpayer Identification Number
(TIN):		 13-5598093
Extended Eleven Character TIN
(for NIH awards):
  • Morningside:
    • 13-5598093A1

  • Medical Center:
    • 13-5598093A7
City of New York Substitute Form W-9 Request for Taxpayer Identification Number and Certification

E-mail Address for Receipt of
Electronic Notice of Grant Awards:
  • Morningside:
    • MS-grants-office@columbia.edu

  • Medical Center:
    • grants-office@columbia.edu
Institutional Profile No.
(Box 9 on NIH grant face page):
  • Morningside:

    • 1833202

  • Medical Center:

    • 1833205

Congressional District:
  • Morningside:

    • 8

  • Medical Center:

    • 15

New York State Assembly District:

 3rd

New York State Senate District:

 30th

Human Subjects Federal-Wide Assurance:

Protection of Human Subjects Assurance Form: OMB No. 0990-0263.
Please click here to view this document in a separate window.

Laboratory Animals Animal Welfare Assurance:

  • Medical Center

    • Assurance Number: A3007-01

      • Effective 08/15/ 2005
      • Expires 08/31/ 2009

  • Morningside Campus
    • Assurance Number: A3415-01

        • Effective 12/31/2001
        • Expires 11/30/2006

Accreditation by the Association for Assessment and Accreditation of Laboratory Animal Care International (AAALAC) since:

June 16, 1989

Institutional Animal and Use Committee Certificate of Animal Experimentation
Please click here to view this document in a separate window.

Institute of Comparative Medicine's Animal Care Per Diem Rates:

 2004-05
2005-06 and 2006-07

Travel Policy:

 Columbia University's
Travel & Business Expense Policies & Procedures.

Federal Travel Per Diem Rates:
Contiguous U.S.:
Noncontiguous U.S. and Overseas Non-Foreign:
Foreign:

 U.S. General Services Administration
Department of Defense
Department of State

Misconduct in Science
Assurance Date:

 February 7, 2000

NIH Compensation Levels:
Radioisotopes NRC License: 74-2878-03

Fringe Benefits Rate 27.1% effective July 1, 2007 per June 19, 2007 DHHS IC Agreement.

Current federal Government Rate:

26.8%, (effective July 1, 2006)

7/1/05-6/30/06

 26.6%

7/1/06-6/30/07

 26.8%

7/1/07-6/30/08

 27.1%

7/1/08-6/30/09

 27.1% (until amended)

7/1/09-6/30/10

 27.1% (until amended)

Current Non-Government Agencies Rate:

30.5%, effective 1 July 2004

7/1/05-6/30/06

 30.5%

7/1/06-6/30/07

 30.8%

7/1/07-6/30/08

 31.1%

7/1/08-6/30/09

 31.3%

7/1/09-6/30/10

 31.5%

Tax Exempt Status Certification
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Charitable Organization Exempt Status Certification
Please click here to view this document in a separate window.

Dun & Bradstreet (DUNS):
  • Morningside Campus

    • 04-917-9401

  • Medical Center (CUMC)

    • 62-188-9815

Commercial and Government
Entity (CAGE) Code:
  • Morningside:

    • 1B053

  • Medical Center:

    • 3FHD3

Federal Interagency Committee on
Education (FICE) Institution Code:

 0027078

Standard Industrial Code:

 8221

Cost Accounting Standards Board
Disclosure Date:

 December 12, 1996

Cognizant Agency:

 Mr. Robert Aaronson
Director
Division of Cost Allocation
Department of Health and Human Services
26 Federal Plaza
New York, NY 10278

Indirect Costs (IC) Agreement of June 29, 2005:

Type of IC Agreement:

 Predetermined (PRED)

Base of IC Agreement:

Modified Total Direct Cost (MTDC) *

*"consisting of all salaries and wages, fringe benefits, materials, supplies, services, travel, and subgrants and subcontracts (up to the first $25,000 of each subgrant or subcontract (regardless of the period covered by the subgrant or subcontract)). Modified total direct costs shall exclude equipment, capital expenditures, charges for patient care, tuition remission, rental costs of off-site facilities, scholarships, fellowships as well as the portion of each subgrant and subcontract in excess of $25,000."

IC Rates are predetermined rates and are applicable to grants, contracts, and other agreements with the Federal Government. Rates should be calculated on a base schema of direct costs as specified by the sponsor such as the Modified Total Direct Cost rate described above.
  • 61.0% U.S. Government Sponsored On-Campus Research

  • 28.8% U.S. Government Sponsored off-campus (<50 miles) Research

  • 28.8% U.S. Government Sponsored off-campus modified with a component for library expenses

  • 26.0% U.S. Government Sponsored off-campus (>50 miles) Research

  • 51.0% U.S. Government Sponsored Lamont-Doherty Earth Observatory Research

  • 26.7% U.S. Government Sponsored Lamont-Doherty off-campus(<50 miles) Research

  • 23.9%U.S. Government Sponsored Lamont-Doherty off-campus(>50 miles) Research

  • 28.6% U.S. Government Sponsored Harlem Hospital Grants on-campus, Research

  • 25.1% U.S. Government Sponsored Harlem Hospital Grants off-campus, Research

  • 28.6% U.S. Government Sponsored Grants, On Campus, Service not Research

  • 25.1% U.S. Government Sponsored Grants, Off-Campus, Service not Research

  • 28.6% U.S. Government Sponsored Grants Harlem Hospital on-campus, Service not Research

  • 25.1% U.S. Government Sponsored Grants Harlem Hospital off-campus, Service not Research

  • 28.6 % Non-Government Sponsor Target F & A Rate
Federal Interagency Committee on Education (FICE) No. 002707
North American Industry Classification System (NAICS) 2002 611310
Maximum daily consultant rate: $537 per day effective for pay periods beginning on or after January 1, 2005
NIH Institutional Profile File (IPF) number:
  • Morningside:

    • 1833202

  • Medical Center:

    • 1833205

 

Last Update: June 2006

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