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Research Proposal and Performance Contract Management (PropC) System

Proposal Preparation Guide

Once you have created a new proposal it will stay on your PropC Proposal page in draft. Clicking on "Submit for Review" in the upper right-hand corner of your proposal will submit your proposal for review to the Research Office. Even after you submit your proposal you can view it from your PropC submission page. Proposals that are left in draft status will not be reviewed. Don't worry, you cannot accidentally delete a proposal. If you do have a proposal that you would like deleted, contact the Research Office

I. GENERAL INFORMATION

I.A. Title:

Choose a title that succinctly captures the essence of your proposal and resonates with Reclamation's mission of managing and delivering water and power to our water users.

I.B. State the question your R&D would answer:

This is your research hypothesis.  State it carefully to provide key insight into the primary question your proposal is intended to answer as it relates to and benefits Reclamation's mission of managing and delivering water and power.

The combination of the title and research question should concisely and clearly communicate what you are proposing to do and why your proposal is valuable and relevant toReclamation and its stakeholders.

If you have a list of separable hypotheses/research questions, your proposal is probably too broad. Consider spliting your proposal into distinct proposals that are each structured to address a specific research question.

I.C. R&D Focus and R&D Output Area:

Select the one R&D Output Area that is the best fit for your proposal based on your research question and how your research results will be used.  For detailed descriptions, please see the S&T Program Structure .

Note: Safety of Dams issues - The Science and Technology Program does not focus on Safety of Dams issues only because Reclamation's Dam Safety Office handles Safety of Dams research proposals. Safety of Dams related research focuses on improving safety of dams decisions by:

1. Reducing the uncertainty associated with dam behavior and dam failure potential under normal, seismic, and extreme flood events.
2. Reducing the uncertainty associated with loading events that could cause dam failure.
3. Finding new, cost-effective methods to reduce the risks of dam failure or the consequences of dam failure.

If you have difficulty selecting an R&D Output Area, call the Research Office for advice (303.445.2136)

I.D. Proposed Start and Completion Years:

Proposed Start Year: Select the fiscal year that you intend to submit this proposal for funding.

• For new starts, enter this year.  If this new start is the result of a prior year S&T Program scoping effort, please make sure this is also clearly stated and discussed in Section II.B. – Needs and Benefits.
• For draft proposals for future years, enter the appropriate out-year and leave the proposal in draft status. 

Proposed Completion Year: Select the fiscal year that you anticipate the proposed project will be completed.

I.E. Type of Proposal:

Scoping or Formulation:  The S&T Program does not fund proposal development. It is expected that most proposals are framed as a collateral professional duty associated with Reclamation project work activities involving the R&D proposal subject matter.  In unusual circumstances, however, an extraordinary effort may be required to build strong partnerships, perform literature searches, establish state-of-practice and needs, or flesh out research merit to address a uniquely complex problem.  The S&T Program anticipates these rare efforts in the $5,000 – $15,000 range with a duration of no more than one year.

For scoping proposals, proposal submitters should complete the proposal form to the extent possible. Scoping proposals will be reviewed for Reclamation mission relevancy and potential value.

Conducting research and development: If your proposal is not scoping or formulation, you'll be checking this box to indicate a proposal focusing on S&T Program research and development work activities.  These may include:

• Pursuing the unknown associated with a problem that is relevant to Reclamation's mission and authorities for managing and delivering Reclamation project water and power. The research outputs should create new applied knowledge and capability in the form of solutions and tools that decision makers can use to more effectively address the problem.
• Molding, adapting, enhancing, extending, or linking existing technology and capability into new applications (solutions and tools) that decision makers can use to better manage Reclamation project water and facilities.
• Demonstrating or proving that new or existing technologies reliably and effectively address a specific or custom application. Usually, the S&T Program is a minor funding partner in demonstrations, and resource managers or private industry partners provide significant co-funding and other resources for demonstrations.  Other technology transfer activities such as user-centered workshops, publishing and documenting your R&D finding and end products are legitimate and encouraged S&T activities.
• Confident initial usage of new technology to help solve or prevent specific problems. Capital investment in new, proven technologies for deployment purposes is the responsibility of resource managers. However, limited S&T Program funding might be considered where there is an unfunded need for researchers to provide oversight or assistance in the early stages of deployment to ensure appropriate usage, verify performance, and ensure that technical transfer is complete.
• R&D should produce results that can be transferred and used across Reclamation, or at least at more than one specific location.

Conducting research and development is not:

• Technical assistance
• Design work. 
• Data collection unless it is associated with the data that is necessary to prove or produce your R&D product.
• Update and maintenance of existing models, tools, and capabilities.  Keeping tools updated with current data, technologies, and maintained are not an R&D expense.  Developing improvements or expanded capabilities beyond original capabilities of existing tools will be considered.
• Supplementing Reclamation project work where there is no R&D value, opportunities, or necessary link to the end product of your research is not an R&D expense.  It is appropriate to partner with willing Reclamation project work, or host facilities, where there are opportunities to advance or develop new or improved capabilities that Reclamation can use beyond the specific project.  In other cases, new solutions have matured to field-testing readiness.  Although field work and testing occurs at a specific Reclamation projects, the technology and capability advancements achieved become part of Reclamation's core capability for Reclamation-wide use.

I.F. Security and Intellectual Property Information:

If you click yes, reviewers of your proposal will be briefed on confidentially requirements and required to sign a non-disclosure agreement. We will also be selective on the text in your proposal that we make available to the public.  If you click yes, all information in Sections II, III, and X will be protected.

The S&T Program seeks every opportunity to use Cooperative Research and Development Agreements (CRADA's) authorized by the Technology Transfer Act of 1986 to work in partnership with the private sector when a research output may have commercial potential. CRADAs allow Reclamation to partner with, and receive funding and other resources from the private sector and other organizations to jointly develop and commercialize innovations.  It is important that potentially patentable innovations be carefully protected from inadvertent or premature disclosure.  If you need advice on what might be considered intellectual property and if it should be protected from disclosure, call our Technical Transfer Coordinator, Samantha Zhang, at 303.445.2126.

II. PROPOSED R&D END PRODUCTS AND COMPLETION DATES

II.A. Enter the end products of your R&D proposal:

The end product of your R&D is a new or improved tangible solution, tool, device, model, best management practice, criteria, standard, method etc.  As part of Office of Management and Budget (OMB) accountability requirements, you will have to track the development and initial uses of your end product.  Therefore, be very selective and specific about describing your end products.  Ideally, each proposal will have one end product that you are proposing to develop.  (Tip:  fewer, comprehensive end products result in less work to track those end products)

Not all R&D projects will successfully develop the intended end product or produce a return on the investment.  That is the nature of research. Good ideas are sometimes found to not work or not be practical.  Collectively, the portfolio of S&T Program R&D projects have to achieve an overall return of 10:1 at the program level of funding.  The general category of tools and solutions available in the drop-down menus on the proposal form will allow the S&T Program to track goal contributions by the end product category.  This will allow us to show and understand what types of tools are providing the biggest payoff.

You will only be asked to track the initial two to five applications of your R&D end products since it becomes difficult to track and be aware of where your end product is being used after it becomes an accepted, adopted application.  However, you will be allowed to track more uses if you desire.

Some Simplified Tests to Help Define an R&D End Product

An R&D end product is:

• A new or improved tangible solution, tool, device, model, best management practice, criteria, standard, method, etc.
• An end user or stakeholder could identify and use an end product to better manage Reclamation project waters and facilities.  Who are the end users or stakeholders of your R&D?  These are the Reclamation managers and water users responsible for the management decisions and actions to optimally manage Reclamation project waters and facilities.  Your end products provide the capability and information for them to help make the decisions and help take the actions.

An R&D end product is not:

• Reports and manuals are not end products.  These are the means by which an end product is documented. An end user or stakeholder might read about how to use your end product in one of these publications.
• An end product is not a task or action that you take in the research process to develop your end product.
• An end product is not the transfer of the new capability that your end product provides to the end user.  For example, a technology transfer workshop is not an end product but it could be a task that you take to transfer and share the capability of your end product as a means top promote the use of your end product
• Meetings and briefings are not end products, but tasks that might help convey important aspects of your end products.
• A demonstration is not an end product.  But the new solution or tool that you are demonstrating is likely an end product.  A demonstration is a step, or task, in the R&D process that can help prove your application and get it used.

"New knowledge" or "better understanding" is not an R&D end product.  However, the "new knowledge" or "better understanding" can probably help solve a problem or make better decisions.  Therefore, think about how you mold that "new knowledge" or "new understanding" into a Best Management Practice, a Guideline to help make better decisions, or a Standard or Criteria, etc.  

Select the best fit for your end product from the pull down menu of broad categories of end products assembled for your R&D Output Area. Once you have chosen the broad category, use the text box to specifically describe your end product. If none of the broad category choices available describe your product, select "Other" and explain in the test box provided.  Try to select only one end product but you may enter up to three per proposal if you feel it is appropriate. Having many end products may be an indication that your proposal is too broad and should be subdivided into separate proposals.  As your research progresses, other unanticipated end products may be created.  You will be able to add these to your progress report even if it exceeds the preferred limit of three.

For each end product selected, enter the anticipated completion date and how the product will be documented. 

II.B. Need and Benefit:

This section provides an opportunity to describe and explain the need for the end products of your effort in detail. Relevancy Reviewers will concentrate on this section.

• Describe the need that Reclamation has for the end product(s). State where your end products(s) can be applied. Be sure to explain the potential for broad application across Reclamation as well as any initial site-specific need. State how your end product(s) will contribute to increasing water availability, increasing power generation, or avoiding costs.  Be as quantitative as possible in your response. The S&T Program has outlined some strategies for achieving these outcomes.
• Describe existing capabilities available to Reclamation from both external and internal sources, and explain why they are insufficient to adequately serve Reclamation's needs.  If the proposed product were unavailable, what would Reclamation use instead and what would the consequences be?
• Describe how your end product will be an improvement over existing capability.  Characterize the benefit that stands to be gained from the proposed product. 

II.C. Why is this the responsibility of Reclamation and not another government agency or the private sector?

Relevancy Reviewers will also concentrate on this section. Reclamation has the authority and responsibility to manage Reclamation project waters and facilities in a manner that delivers optimum benefit to Reclamation project water and power users.  The S&T Program will not expend funds on R&D projects that produce end products that Reclamation has no authority or responsibility to implement.

Water is a common thread that crosses local, state, and other federal agency roles and responsibilities.  As such, many of the factors that affect water availability and water quality might be the responsibility of another entity and not a Reclamation responsibility.  In these cases, other agencies might be a more appropriate lead for R&D. 

For instance, land management agencies are typically responsible for management actions and the R&D to support those land management actions that affect water quality and water availability.  In some instances, Reclamation needs to be involved in the R&D to ensure R&D results compliment and benefit Reclamation operations, or to be a catalyst to these agencies to undertake R&D that will have positive impacts on Reclamation project water. However, where other entities have the lead responsibility for taking the management actions that your proposed end product is intended to support, the lead entity(s) should be a stated partner in your R&D and be the major contributor to the effort.

Please consider the following questions in your response.

• Is the work inherently a federal government responsibility?
• Is the work inherently a Reclamation responsibility?
• Does being involved bring a benefit to Reclamation and our stakeholders that would not otherwise exist?
• Does the S&T effort add value from Reclamation's perspective to an existing external effort that falls short of Reclamation needs? 

This information is especially important when other agencies, institutions, or the private sector are also involved in the field (eg. modeling, fisheries, infrastructure, water quality) or have the lead responsibility in research, implementing solutions, and/or managing resources. 

III. PROPOSED STEPS TO PRODUCE THE R&D END PRODUCTS LISTED IN SECTION II

III.A Methods and Approaches, End Product Dissemination:

Technical Reviewer will concentrate on this section.

Briefly describe the methods and approaches you will use to answer your research question and produce your end product. 

Briefly describe how you will share your research end product with peers and stakeholders.  Proposals must have a plan for reaching out to resource/facility managers, other end users, and the private sector to expedite broad acceptance, deployment, and use of new solutions and capabilities.

III.B Proposed Steps to Produce the Research End Products:

Technical Reviewer will concentrate on this section.

List tasks that demonstrate a logical step-by-step plan to carry out the proposed R&D to produce the end products identified in Section II.  Make sure you describe each task in enough detail so a reviewer can grasp the scope and nature of the task, and be able to assess if the associated cost is appropriate. 

• For each task, identify the associated S&T Program funding request and target completion date.
• Include the costs of managing your project, reporting progress, and peer review of the final product.
• If you clicked "yes" in section I.F., include anticipated costs to file patents and commercialize your end product

Steps you enter will be sorted based on completion date. So don't worry if you forgot a step. You can enter it out of order. The steps will be resorted by completion date once the new step is entered.

The level of detail should be sufficient to demonstrate to a reviewer of this proposal that the principal investigator and team have a solid grasp on the subject matter, and understand the activities and steps that are necessary to be successful.

You will be able to update and revise your task table as the R&D effort progresses.   However justification for changes in scope, cost, and schedule must be provided. 

IV. FISCAL YEAR S&T PROGRAM FUNDING REQUEST 

In the table provided, show how the total S&T Program funding request developed in section III is divided across fiscal years.  The total from section III should match the total in this section. 

Note: Once a multiyear proposal is funded, it will be evaluated each year for the merit of continuing funding.  Key considerations will be adequate progress toward accomplishment of prior year tasks and the nature of revisions for the upcoming year(s).  Commitment of funding other than current year is subject to appropriations.

V. PARTNERS – COST-SHARING WITH OTHERS WHO HAVE A STAKE IN THIS EFFORT

This section is optional. However, cost sharing with partners is an important S&T Program goal that the Research Office is accountable for to the Office of Management and Budget. Therefore, cost sharing will be a factor in project selection. If the nature of your proposal does not attract partners, you may want to explain why in the comments section (Section X). We understand that there are some activities that are only of interest to Reclamation, or can only be done by Reclamation.

The Research Office will use the PropC database to automatically email the information you enter to your stated partners and ask for their confirmation.  Please make sure the partners you list have been informed about your proposal and that they are indeed interested in cost sharing.

• Partners bring funding or in-kind services. These partners should also be committed to Reclamation's objectives in addition to their own. Hopefully, objectives are the same or similar.
• Partners provide opportunities to learn from others, bringing science and technical expertise and other valued capabilities to Reclamation.
• Partnerships demonstrate the value that others place on your R&D effort.

List the partner's name and organization, contact information, and whether the expected contribution is Firm or Potential. Please verify that the contact information you enter is correct.

• Firm is defined as the cost-share funds or in-kind services directly associated with the proposed research effort are obligated, committed, or promised and has high likelihood of delivery. We recognize that the commitment or promise of funds may be contingent on successful appropriations by others, or contingent upon a commitment of the S&T Program dollars requested.
• Potential is defined as high likelihood of securing the funds or services indicated toward this proposed research effort based on discussions with the partner listed, but no firm commitment or agreement has yet been made.

Briefly describe the partner's contribution. Explain the activities the partner will actually conduct or fund. Select if the contribution is cash or in-kind services, the year the contribution will be made, and the dollar value of the contribution. 

For unique partnership opportunities you might need more space to describe partnership contributions. Please elaborate in Section X as appropriate.

VI.  ADVOCATES

This section is optional. However, Relevancy Reviewers and the Research Office will review this section and might contact the advocates you list.   Advocates are Reclamation internal and external stakeholders. This includes: water managers, water users, other end users that have a stake in, and can help influence the use of, the research end products.

• List up to 10 individuals.
• Do not list multiple advocates from the same area or field office or same part of a regional office

The Research Office will ask these people to periodically report on the relevance, use and impact of your research findings and the effectiveness of your communication and coordination. Please make sure the individuals you list are truly informed advocates who are knowledgeable about the objective and scope of your proposal and support your proposed effort.

VII. RESEARCH BENEFICIARIES AND R&D LOCATIONS

VII.A Primary Research Beneficiaries:

• Select the region that is the initial or primary beneficiary of your proposed R&D.  If your R&D end product benefits up to two additional regions, select them from the additional boxes. If you select multiple regions, select the primary beneficiary first, and then select the remaining regions in order of decreasing relative benefit.
• Select BOR-wide from the first pull-down menu and the specific region from the second, if the R&D is taking place in a specific region as the initial host or test facility but the end product has broad application across Reclamation.
• If four or more regions will benefit, please select BOR-Wide in the first pull-down menu and leave the others blank.   

VII.B R&D Location:

If the project is not field-based, select office-based or lab-based from the pull-down menu.  For field-based R&D, select this option from the pull-down menu, select the Reclamation Area Office whose boundaries include the area associated with your proposed field work, and list the primary contact in that office. 

VII.C NEPA Compliance

For fieldwork, you must indicate who is responsible for National Environmental Policy Act (NEPA) compliance and where NEPA compliance documents are filed.  Your Reclamation field contact can usually help you with this by consulting with their Regional or Area Office NEPA Compliance Officer.  If your proposed R&D is funded only by the S&T Program and is not covered by an existing or planned NEPA document, be sure the cost and schedule for this activity is included in Section IIIB as appropriate. A Categorical Exclusion Checklist should not take more than 1 or 2 days to complete.

See the short "NEPA Compliance Overview" for more information on what your proposed R&D may require. Most R&D is likely to be covered by a Categorical Exclusion.

VIII. PROJECT TEAM

List Principal Investigator(s) and Team Members for your project.

• List the lead PI first. 
• Then list any additional co-principal investigators, designating them "PI" as well.
• Then list team members.
• If you do not have specific team members selected at the time you submit your proposal, fill out the fields for Discipline/Specialty or Organization if you can.
• You can elaborate on the team and planned team members in Section IX.

IX. POTENTIAL TECHNICAL REVIEWERS

Enter the names and contact information for three technical reviewers outside of Reclamation that are qualified to review your research proposal. 

X. COMMENTS AND ADDITIONAL INFORMATION

This section is optional and has a 4000 character (about one page) maximum.  Failure to provide comments will not adversely influence the selection of your proposal. Tells us anything else you would like to about this proposal, add clarifying comments on any of the other sections that you filled out above. 

XI. TEAM QUALIFICATIONS

This section is optional and has a 4000 character (about one page) maximum.  Failure to provide a description of qualifications will not adversely influence the selection of your proposal. Describe the qualifications of the project team to successfully conduct/manage the research and ensure that the research outputs are practical, relevant, and get used by the water managers & water users associated with Reclamation projects.

WHAT DO I DO NOW?

Once you have completed your proposal form you have several choices.

• If you just leave it, it will stay in draft.
• You can share it with others. There are several ways to do this.
  • The easiest way is simply to click on "PDF" on the top right-hand side of the proposal submission screen, save it, and send it via email as an attachment.
  • You can also go to the "File" option on your browser and select "Save As..." This will create an html file that anyone with an internet browser can open. Place the file in a directory where you can find it and give it a name you will remember. Once saved, you can attach it to email and send it to anyone you want to share it with. Just tell them to open it with their browser.
  • You can block and copy the proposal into Microsoft Word. While you are still in the proposal, select "Edit" and then "Select All" and then once it is all highlighted select "Edit" and "Copy". You can then paste the proposal into Word and email it as an attachment.
  Yes, you have to send it to someone you want to share it with. This is the easiest way to keep your proposal secure. If they have changes or comments, you will have to make the changes directly into your form in the database. We cannot upload any html files.
• You can submit it. On your PropC proposal page, click on the proposal you want to submit in the table. This will take you to the proposal and then click "Submit for Review " in the upper right-hand corner. You will be prompted with a PropC Agreement form. If you agree, your proposal will be submitted.