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PRE-AWARD PROCESS
The pre-award process is a 2-step process:
Step 1: proposal/grant preparation
Step 2: proposal/grant submission
Guidelines for Paper Submission to the Division of Sponsored Research (DSR)
A complete proposal (all forms, narratives, appendices) is submitted to DSR with a signed and fully completed Internal Form. The Internal Form (formerly named the USF Proposal Review and Certification Form) is completed and "signed" online via the Research& Innovation web site. The Internal Form is the University's mechanism for communicating approvals for the proposals, and the DSR mechanism for collecting proposal data. The Internal form must accompany all proposals submitted to DSR, including all continuation, renewal and supplemental proposals.
The Internal Form verifies that the appropriate university officials have reviewed the proposal. The proposal and budget must accompany the Internal form where it is routed for signature(s). The form must be signed by the PI and the PI's department chairperson, dean or director, and regional vice chancellor (if applicable).
When a proposal involves participation by more than one college, the Pi must acquire signatures from respective officials in the collaborating department/college.
A proposal submitted through University research centers requires the additional signatures of the center director and the appropriate dean or vice chancellor.
It is the investigator's responsibility to obtain the approval signatures.
One-time registration is required for use of the Internal form. Registration information includes:
- University Information
- Personal Information
- Account Information
- Research Information
- Project Information/Type/Title
- Research Type: Research, Training, community-Based Project
- Principal Investigator (PI) Information
- Co-Principal Investigator (Maximum of 6 - USF Only)
- Senior Staff (Maximum of 2)
- Sponsor Information:Name, Program, Contact Information, Funding Source
- Export Control - If the project has an international component through foreign purchases/expenditures, shipping, travel/conferences, subcontracts/consultants, employees/students/participants, transfer of information or equipment, and/or performance site(s), the answer is yes.
- University Commitment - USF Office of Research & Innovation requires tuition be included as a direct cost in any proposal budget submitted with Graduate assistant appointments, if allowed by sponsor.
- Additional Compensation/Overload - PIs and Co-PIs are not permitted to earn extra compensation on federal grants. Review guidelines, policy, and procedures by visiting the USF Research & Innovation web site:
- Guidelines for Faculty Extra Compensation Guidelines for Research
- Faculty Extra Compensation Policy
- Faculty Extra State Compensation Procedures
- Form: www.usf.edu/usfpers/Formal/Appointments/dualcomp.doc
- Will this Project Generate Subcontracts? - If the answer is yes, double check the budget for the indirect calculations. If the name of the Subcontractor entity is known at the time of the proposal, state the entity's name in this block.
- Additional Space and/or Facility Recommendations for this Project - If yes, additional information is required.
- Project Budget Periods
- Project Period
- Full Federal Indirect Cost
- USF Cost-Sharing/In-Kind/match
- Compliance Approvals:
- Biosafety Program
- Diving Safety Program
- HIPAA Program
- IACUC _ Institutional Animal Care and Use Committee - comparative Medicine
- USF Radiation Safety Program
- IRB - Institutional Review Board
- Conflicts of Interests (COI) Certification - if yes, a Financial Disclosure Interest Form must be provided for each participant with a financial interest. The FRDF must be approved/signature by the chairperson or dean. The form is sent to DSR for disposition.
- Outside Activity - If yes. a copy of the completed Outside Activities Form needs to be attached to the Internal form. DSR reviews the OAF for completeness and required signatures.
- Nepotism - If yes, the Pi submits to DSR a memo signed by the Regional Vice Chancellor (RVC) for Academic Affairs determing how the nepotism has been mitigated (refer to USF Regulation 6C4-10.107(11).
- Principal Investigator Signature - By signing the Pi certifies that he/she:
- Is not delinquent in any federal debt.
- Is not presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded from current transactions by any federal department or agency.
- Is not and will not lobby any federal agency on behalf of the award.
- Is aware and agree to abide by the USF Drug Free Workplace policy.
- Is familiar with and will adhere to USF policies, including, but not limited to, human and animal research, conflict of interest, misconduct in research, and patents and technology transfer.
- Agrees to be bound by the terms and conditions of the outside grant or contract that supports this proposal activity and , in consideration of the information and facilities made available to me by USF or the outside sponsor, to assist copyright and patent rights to USF in accordance with the terms and conditions stated in my employment contract.
- Co-PI/Chairperson/Dean Signatures
- University Endorsement, thee signatures indicate that the signers are familiar with the project and are satisfied with and responsibilities for all commitments in the project as they relate to their areas (space/personnel/financial/etc).
- Note: If a project is interdisciplinary, all affected department Chairpersons and/or Deans must endorse the proposal.
- Timeline
Hard Copy (Paper) Proposals are due 3 working days prior to agency written submission deadline.
Guidelines for Electronic submission to DSR
A fully completed Internal Form with all necessary approval signatures must be received by DSR prior to the submission of the proposal. The "type" of submission does not change the internal controls necessary to ensure the proposal is accurate. The Internal form is completed and "signed" online via the Research & Innovation web site. The Internal Form is the University's mechanism for communicating approvals for the proposals, and the DSR mechanism for collecting proposal data. The Internal Form must accompany all proposals submitted to DSR, including all continuation, renewal and supplemental proposals.
Electronic Proposals must be received in DSR (Division of Sponsored Research) in final form no later than five (5) business days prior to the proposal/electronic submission deadline. Electronic submission deadlines are strictly adhered to by the Agency. They do not grant reprieves for "operator" or "technical" errors, nor will they accept proposals one minute after the deadline time. It is imperative to allow sufficient time for "glitches".
Contracts are due up to 2 weeks of the deadline.
Some agencies require a copy of the signed face page be faxed to them after the proposal is submitted (for example, US Department of Education). Others may require a hard copy be mailed. Again, please review the individual agency guidelines for specifics.
Review and Submission Guidelines for DSR
Upon receipt of the proposal, DSR will place the proposal in a folder, specifically notates as "Urgent", "Please review ASAP". This folder serves as an alert to all staff members that a proposal is contained inside and should be handled with care.
DSR will immediately check the guidelines for the submission deadline date, differentiating between receipt and postmark dates, and assign the proposal its proper disposition priority.
- Sponsor/Program Guidelines
If the proposal is in response to a Request for Proposal (RFP), Request for Application (RFA), etc. secure a copy of the guidelines and read thoroughly prior to the review of the proposal. Whether the proposal is in response to a specific solicitation, the sponsor's guidelines should always be referenced when reviewing a proposal. Many sponsors update their guidelines yearly and DSR should always be on top of any revisions.
- Proposal Component Review
DSR will review the proposal to make sure it conforms to agency, state, university and federal guidelines, and ensure the budget is complete and accurate.
The following serves as a checklist for some of the more common precautions. Not all possibilities are listed below. It is up to DSR to perform a complete and accurate review of each proposal.
- Title or Cover page
- Abstract (also called project Summary and Relevance)
- Table of contents
- Research Plan
- Biographical Information of key Personnel (Bios)
- Budget
- Facilities/Special Resources
- Current and Pending Support
- Checklist - this section may contain information as to Program Income, Application type, assurances and Certifications.
- Appendices - Many agencies limit the number of appendices that may be submitted.
- Proposal Discrepancies/Questions
- Letter of Transmittal
- Number of Copies - Varies with each agency, Review agency guidelines regarding the number of proposal copies required at the time of submission.
- Delivery - In most cases, courier service is used as our delivery mechanism. This allows us to track and confirm receipt of the application. This tracking information is included in the proposal file.
It is DSR's responsibility to verify that the packet is complete prior to delivery.
DSR bears the responsibility to submit the grant proposal (not the PI) to the sponsoring agency.DSR reviews the proposal/grant, the budget and the attached Internal Form for all the appropriate signatures. The proposal/grant is then, submitted to the sponsoring agency on or before the deadline. The Internal Form is filed and remains with DSR pending award notification.
Contact:
Estella Bunch, DSR
Phone: 727. 873.1150
Email: ebunch@research.usf.edu
KRC 3113 - College of Marine Science
Limited Submissions
Many funding agencies place limits on the number of letters of intent, proposals, or applications that any one university may submit in response to an announcement, creating the need for an internal review process. In order to prevent potential disqualification of submissions by the University, guidelines for an internal review process have been established. For further information regarding this process and its requirement, please contact Patricia Scott at pscott@mail.usf.edu or 873.4096.
The following deadlines are suggested for the Limited Submission Proposals:
- Internal "letters of intent" and pre-proposals must be submitted sixty (60) days prior to the agency deadline in order to allow the Office of Research to select reviewers; discuss the pre-proposals; and to provide recommendations to the AVC for Research and Graduate Studies as to which proposals are eligible to go forward on behalf of USFSP.
- Complete internal "letters of intent" and pre-proposals that are received after the internal deadline of sixty days will be considered only if NO other pre-proposals have been received. The Faculty Research Council will review all pre-proposals received up to five days prior to the agency deadline for consideration of submission. If pre-proposals are received less that five days prior to the agency deadline, they will be processed on a "first received" basis.
- Limited submission proposals must also adhere to the proposal submission guidelines for either paper or electronic submissions, as appropriate.
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