Required Documents

A solicitation (also known as a request for proposals, a funding opportunity announcement, or the proposal guidelines) provides the basis for Sponsored Research’s proposal review. It outlines: 

• The proposal deadline  

• The method of submission  

• Eligibility requirements for the PI and the institution   

• The format of the submission, including required documents and content  
• Sponsor limitations on costs and project period requirements  

A PDF of the solicitation must be provided for all proposals, even common solicitations like a parent NIH R01 submission. Including a copy of the solicitation is necessary as SR may need to refer to it in the future, and a link may no longer be valid. Documents in a foreign language must be translated.  

Sometimes Northwestern may be responding to an informal invitation for which there is no written solicitation. In these cases, it is important to provide as much information as possible, even if it comes in the form of e-mail correspondence, so that SR can see exactly what the sponsor has requested.  

If Northwestern is submitting a proposal package as a subawardee, you must include any relevant communication with the pass-through entity that assists SR in confirming required documents or forms, due dates, the project title, and the approved budget allocation. This is important and helps prevent the need to revise materials later.  

Any other unusual requirements that a department notes during review of the solicitation should be flagged in a CERES comment for the SR reviewer. This might include questions or requests for SR approval in a sponsor portal, etc. Do not submit questions via e-mail outside of CERES, as proposals are frequently reassigned. 

Budget development usually begins with an internal budget, which aligns with Northwestern’s standard cost categories and ensures that the budget is calculated using the correct fringe and indirect cost rates. This internal budget is not sent to the sponsor, but it is required for institutional use as it provides the level of detail needed for account code set up if the project is funded.  

Sponsored Research strongly recommends using a pre-established budget template provided by your school, which aligns with Northwestern’s account code structure and ensures accurate rate calculation and outyear escalation, if needed.   

Note: all items must be categorized; identification of costs as “other”, “miscellaneous” or “contingency” is not permitted. For budgets presented to the sponsor in a foreign currency, the internal budget must use U.S. dollars and confirmation of the exchange rate used must be uploaded (screenshot or printout showing the date and rate).

Even if one is not submitted to the sponsor, an internal budget justification is required to provide necessary context and justification for how the costs were determined and why they are necessary to complete the proposed work. Note: a budget justification is not required for proposals where the allowable costs are limited and do not include fringe or indirect charges, such as for NIH fellowship awards and equipment proposals.  

The budget justification is especially important to document the type of fringe and F&A rates used, the dates for which they are applicable, and any exclusions, etc. For F&A costs, it must also clearly note whether they are capped by a sponsor’s policy/guidelines, or if a voluntary waiver or reduction of F&A was approved by the University. Capturing this information clearly at proposal stage greatly streamlines award set up and supports post-award management, including future audit inquiries.  

Sponsored Research does not require a specific format, but each justification should directly align with the budget categories requested and explain any non-standard increases, decreases, caps, cost share, etc. 

The assembled proposal is the version the sponsor will see, incorporating both the technical documents as well as all other required administrative forms and budgets.  

If the final proposal will be generated via CERES for submission directly to Grants.gov, the SF424 tab includes a link to the full, assembled application. As long as the SF424 tab is fully validated and error free, the full proposal does not need to be separately uploaded to the Attachments tab, as it is easily accessible to reviewers. Technical documents such as biosketches and other support documents that are already included in the assembled application do not also need to be uploaded to the CERES Attachments tab. 

For proposals submitted outside of CERES, SR needs to see the full version of the proposal exactly how it will be viewed by the sponsor. This means that if SR does not have access to the sponsor’s proposal submission portal, a full copy of the proposal including a printout or screenshot of any web forms must be uploaded to the Attachments tab. Review cannot be completed without this.   

For proposals where Northwestern is participating as a subrecipient, a Statement of Work or Scope of Work (SOW) is required. This is a summary of the proposed work to be conducted at Northwestern and is often incorporated directly into a resulting subaward agreement. Therefore, it should provide sufficient information on the specific research activities and deliverables that Northwestern is committing to undertake. Sponsored Research does not require a copy of the final proposal submitted by the prime entity. 

These include any other documents necessary to meet sponsor requirements or internal policies, including but not limited to:  

• Forms for SR signature, such as a pre-filled LOI/SOI template, cover page, etc. These should be pre-filled to the best of the department’s ability using available institutional information.  

• Related notices that may be linked within the solicitation, such as a Notice of Special Interest or a sponsor’s FAQ page. These often provide additional, specific instructions that are critical to the proposal’s compliance.  
• Other documents or policies referenced in the solicitation, such as FAQs, terms and conditions, or intellectual property policies. 

For proposals including outgoing subawards, upload assembled subaward packages comprised of: 

• A Letter or Statement of Intent (LOI/SOI) 

• The subrecipient’s Scope of Work (SOW) 

• The subrecipients budget in the sponsor required format 

• A budget justification 
• Any other documents or certifications required by the sponsor. 

Whenever possible, but particularly for projects involving a large number of partners, subaward documents should be combined into a single assembled subrecipient package. Other documents provided by the subrecipient (for example, biosketches or facilities documents) do not need to be separately uploaded to CERES if they are already included in the full assembled proposal.   

If applicable, also upload: 

• Consultant letters outlining the scope of work and rate of pay. Note, letters from consultants employed by other universities should be clear that they are participating in an individual capacity and not utilizing their institution’s facilities or resources. Using their institutional letterhead may cause confusion; if necessary, include a completed Subrecipient versus Contractor form as documentation that the participant is correctly categorized. 

• Equipment quotes  

• Cost share approvals (via Ancillary Review)