The Principal Investigator (PI) identifies a source of
possible funds. Some assistance may be obtained through
announcements and other funding opportunities provided
by Research Information Services.
When the PI has identified a potential sponsor for a
project and has determined that he or she is interested
in submitting a proposal, the first step should be the
submission of a Proposal
Information Sheet. The information sheet allows for
the assignment of the Proposal Development Specialist
(PDS) who will assist the PI throughout the proposal process.
The information sheet should indicate the web address
for the guidelines, project period, any IDC limitations,
project credit splits for PI and Co-PIs plus other answers
to common questions that will be needed for the creation
of the proposal routing forms (pink sheets). The pink
sheets are the official university routing documents that
will be attached to the proposal and sent through the
approval process.
Submission of the Information Sheet results in the first
review by the Office of Technology Development for any patent
or other intellectual property issues.
NOTE:
The data from the Information Sheet (such as PIs/Co-PIs
or credit splits) may be updated as the proposal is developed—do
not hold an information sheet until the final proposal
is ready to submit. Early submission will allow the PDS
and PI to work together to resolve any issues that may
potentially delay the internal routing and ultimately
the submission of the proposal.
Some sponsors limit the number of nominations or proposals
that the OU campus may submit to a particular program.
Limited submission competition announcements soliciting
individual nominations or brief proposal abstracts are
distributed via email by the Office of Research Services
(ORS). The Vice President for Research (VPR) and the Executive
Director of ORS review the nominations or proposals and
select those that most closely match the sponsor's interests
and have the best opportunity for success. The review
may also include an administrative officer from another
college if the situation warrants.
All proposals and pre-proposals which include budget information
or a total cost estimate must be routed through the University
for review and approval. Any exceptions to the routing process
must be determined by the appropriate Office of Research
Services (ORS) official.
At a minimum, the PI must provide the PDS with an abstract
or statement of work, a detailed budget, budget justification,
any required signature pages, documentation of any cost
sharing, and any other pertinent information needed to
complete the proposal routing forms. If a subcontract
with another agency is proposed, the sub recipient’s
official commitment letter agreeing to participate and
stating the requested budget amount, along with a statement
of work, detailed budget and budget justification must
be provided before the routing process can begin.
The PDS is responsible for reviewing the budget for current
and appropriate rates and salary amounts, verifying the
credit splits, entering cost sharing commitments, generating
the pink sheets, and compiling the routing package. The
PDS will generate any certifications or assurances required
by the guidelines. If OU is requested to be a subcontracting
partner, the PDS will initiate the official commitment letter
that is required by the lead organization.
The pink sheets are routed through the University for review
and approval by the following personnel: the principal investigator
*, who assumes responsibility
for the intellectual quality of the work, the reports required,
and the expenditures other than those earmarked for the
department, school, or college, while also assuring that
he/she is in compliance with all applicable academic requirements;
the budget unit head and dean of the college**,
who respectively confirm that the budget and academic unit
and college requirements are satisfied, and the Office of
Research Services, who assumes responsibility for seeing
that the University administrative requirements are satisfied.
*
Each faculty member (PI/Co-PIs) or other university members
(staff or administration) participating in the project must
sign the routing sheets regardless of project status or
compensation earned.
**
Departments, schools and colleges
are expected to review proposals when they are routed through
their offices. By signing off on the proposal routing form,
the department, school and college indicate that the proposed
project has their approval.
If the proposal has a compliance issue (see next section),
there may be other university officials involved in the
review and approval process.
If the proposal has a short turn around time, the PI may
need to provide someone to walk it around campus for signatures.
Note: The routing process is not
completed until the Sponsored Programs Coordinator in
the Office of Research Services has signed the proposal.
Submissions made prior to approval from ORS are not officially
approved and may be administratively withdrawn if the
submission is found to be non-compliant with university
or agency requirements. Submissions
made without ORS approval will not participate in the
standard
SRI distribution. If you have submitted a proposal
without ORS review, please notify us immediately so we
can work with you to route your proposal for the necessary
approvals.
If the project will involve compliance issues such as
Recombinant DNA & Biohazard Safety, Human Subjects
research, Animal research, the use of Radioisotopes, or
Export Control issues, the PI may need to obtain approval
letters from appropriate departments prior to the routing
and/or submission of the proposal.
Other forms that may be needed for the routing process
include the double SRI form, conflict of interest form,
etc.
If cost sharing will be requested from the Vice
President for Research, then that should be requested
as soon as the amount and specifics are determined. Requests
for cost sharing must be approved in writing or by signature
on the routing sheets by the University component providing
the funds.
The PI may choose to mail the proposal or request that
Proposal Services submit it to the sponsor. The PI and
PDS work together for the submission to be made by the
stated deadline.
If the PI elects to mail the proposal, the PDS will
contact him/her when the necessary reviews and signatures
have been obtained. At this point, the proposal is cleared
for submission.
If Proposal Services is to submit the proposal, the complete
mailing address must be provided on the Information Sheet
or clearly stated in the agency guidelines. Please note
that express carriers will not deliver to a post office
box, and that they require a complete street address.
If a sponsor phone number is available, it should also
be provided on the Information Sheet. The home
budget unit of the PI will be charged for any express
courier service used for submission.
Due to the volume of proposals received and the uncertainties
of the postal service, proposals that are to be sent via
U. S. mail and which require a postmark by a specific
date should be received by the ORS with enough lead time
for copying and packaging prior to the postmark date.
Faculty submitting proposals with a receipt date should
also take into consideration weekends and holidays and
the effect they may have on delivery time.
Depending on the submission deadline, the PI may need
to make copies of the proposal or ensure other actions
are taken. If the proposal is being submitted electronically,
please give the PDS access to the system as soon as possible.
Even with a short deadline, you must allow sufficient
time for the Office of Research Services to check for
university and sponsor compliance.
This completes the proposal process. After the submission
is made the proposal is then in pending status. If the
proposal is selected for funding, the Sponsored Programs
Coordinator (SPC) will facilitate the award negotiation
process. Once a departmental account number has been
established, Post Award
Financial Services (PAFS) personnel will assist
with the financial oversight for the life of the project.
Whenever any change is to be made in the budget of a pending
proposal that has already been submitted to a sponsoring
agency, the ORS must be notified. The appropriate Sponsored
Programs Coordinator will notify the PI if the revised budget
must be processed and rerouted for university approval.
If a reroute is necessary, the revised budget, justification
and any accompanying change in the scope of work must be
processed with the same signatures as the original proposal
to ensure that all parties who signed the original are aware
of any changes which might affect the original approval.
.
