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Researcher's Handbook

Section 6

Pre-Award and Proposal Processing

Assurances, Compliance's, Representations and Certifications

To obtain funding from the federal government or other sponsoring agencies, the University will make assurances to the sponsor that the it is in compliance with a number of regulations. Each sponsor, or even program, will have its own set of requirements. These assurances, compliance's, representations and certifications apply to the institution, not the principal investigator.

The sponsor may require some or all of the following assurances, and may have additional agency-specific requirements:

The University will comply with all regulations, policies, guidelines and requirements, as they relate to the application, acceptance and use of funds.
RGP has legal authority to submit applications for and accept extramural funding.
Facilities are properly accredited and authorized.
The University is not on the Federal Debarment and Suspension List.
The University is an Equal Opportunity, Affirmative Action Employer.
Military services are not barred from recruitment at University of Florida sites.
The University is in compliance with:

Federal Discrimination Regulations
Federal Lobbying Regulations
Federal Regulations Regarding Promoting Objectivity in Research
Federal Regulations Regarding Research Misconduct
Title VI of the Civil Rights Act
Title IX of the Education Amendments
Section 504 of the Rehabilitation Act
National Occupational Safety and Health Act
FDA Good Laboratory Practices Act
Drug-Free Workplace Act
Smoke-Free Workplace Act

On a project-specific basis, the investigator and/or University must indicate when the following special circumstances apply:

Hazardous materials are involved.
Genetically engineered organisms are involved.
Human anatomical substances are involved.
Historical sites are affected.
This is a group proposal.
Proprietary or privileged information will be generated by the project.
Project is in violation of any environmental compliance regulation.
Project involves the International Cooperative Act.
Project requires inter-governmental review due to state/local/national security.
Lobbying activities have been conducted regarding the proposal.
The University does not allow the government to announce the award.

State Clearinghouse Review

The State of Florida has established an office to act as the clearinghouse on programs which need coordination with other initiatives planned or ongoing in the state. When a federal program mandates State Clearinghouse Review, the standard budget and technical abstract must be submitted to the State Clearinghouse for comment. Faculty should contact DSR's Proposal Processing Office (392-5991) for assistance.

Checklist for Proposals

The following checklist is intended as a guide to assist in the preparation of a proposal. Before submitting the proposal to RGP, faculty should use this list to assure themselves that all aspects of proposal preparation and processing have been taken into account. This checklist can also be found on page two of the Sponsored Research Approval (DSR-1) form.

Is the proposed project consistent with the objectives of the department, college, and University?
Are all costs fully detailed, including allowable indirect costs, the fringe benefits, health insurance, and any cost sharing? Remember that the cost sharing must be validated. Increases for salary, equipment and travel costs for multiple-year projects should be anticipated and included.
Does the proposal involve a commitment of University funds beyond the proposed project period? If yes, has the necessary internal funding been secured to meet this commitment?
If the proposal contains privileged or proprietary data, has that data been properly marked?
If the proposal involves the use of human subjects, laboratory animals, biohazards or recombinant DNA/RNA, was it indicated in the certification/assurances section of the Sponsored Research Approval (DSR-1) Form?
If the proposal requires subcontracting or other collaborative activities, has a letter of written concurrence been obtained from the respective institutional official? Have subcontracting costs been included in the budget?
If this is a graduate training program proposal, has it been coordinated with the Graduate School? All new degree programs must be cleared though Academic Affairs.
Has indirect cost reimbursement been requested at the appropriate rate?
Is the applicant eligible to be a PI (i.e., of eligible rank and signed the University's Patent and Copyright Agreement)?
Have all appropriate research personnel working on this project signed the University's Patent and Copyright Agreement? All non-OPS employees are required to sign the agreement at the time they are hired. Please contact the Research Personnel Coordinator (392-1213) if they have not.
Do the percent effort and personnel salaries conform to University and agency policies? New appointments must be cleared with Academic Affairs and/or Personnel.
If the proposal includes graduate assistants, do the stipend rates and tuition payments comply with Graduate School policy?
Are the required space and facilities available without detriment to departmental activities?
Has the need for building or structure modifications been anticipated? The Campus Planning & Construction Management Office (392-1256) can assist with requirements for utilities, floor loading, ventilation, etc.
Are equipment prices in the budget current, and does it include delivery and installation charges? Departmental endorsement on the DSR-1 form confirms that the equipment item is unavailable within the department or college for shared use.
For federal budget, have the Cost Accounting Standards been taken into consideration in the budget development process?

Tips to Insure a Proper and Timely Submission

The deadline box on the Sponsored Research Approval (DSR-1) form must be completed. If there is no definite deadline, indicate a target date for receipt by, or mailing to, the agency. Do not leave this space blank.
Provide a SAMAS or Fed Ex account number on the DSR-1 form for proposals that must be sent FedEx.
Submit the proposal to RGP at least three full business days in advance of the sponsor's deadline if duplication and mailing of the proposal is required. The mailing address and mailing deadline should be clearly specified on the DSR-1 form.
Do not staple the original proposal or any copies submitted to RGP.
AHA, NSF and PHS proposals must include a signed Disclosure of Significant Financial Conflict of Interest form along with the DSR-1 form. For AHA and NSF proposals, the PI and Co-PI must sign the Conflict of Interest form while for PHS proposals, the PI and all key personnel must sign.
Do not include cents on budgets.
Permanent equipment under federal guidelines is any item exceeding $1000 and a two-year useful life. Items of less than $1000 should be itemized in the ``Other'' category.
Due to space limitations, RGP is unable to keep a copy of appendices and reprints submitted with a proposal. Please make sure you have a copy of this material.
If responding to a Request for Proposal (RFP), submit a copy of the RFP guidelines with the proposal.
Itemize all supplies, materials, computer, and publication costs. Travel must be justified by per diem, number of trips, place, and purpose.
If a project requires Human Subjects Approval or Animal Approval and the approval has been obtained from the IRB or IACUC, submit a copy of the approval with the proposal. The title of the proposal must match the title identified on the approval. Contact the IRB or IACUC for further information.
Projects administered through the U F Research Foundation, Inc. require the UFRF signature page, not the DSR-1 form.

DSR's Proposal Submission Procedures

Faculty are urged to submit proposals well in advance of agency deadlines to avoid peak processing times in the Proposal Processing Office (207 Grinter, 392-9267). This allows RGP to provide a full compliment of services including review, signature, duplication, assembling and mailing. PI's should consult their own department and college for internal deadlines. All proposals received within three working days of an agency deadline must be accompanied by the appropriate number of copies required by the agency, plus a copy for RGP. If no copies are submitted, RGP will contact the PI or designee to pick up the proposal after it has been reviewed and signed. Moreover, if the proposal is received after the RGP mail and Fed Ex pick-ups, the PI will be responsible for mailing/shipping. If requested, RGP will provide the necessary mailing labels and packing materials.

All applicants are reminded that the agency deadline must be clearly indicated on the DSR-1 form (i.e., signature page), including the date and type of deadline (postmark or receipt). Again, if there is no definite deadline, please give a target date for receipt by, or mailing to, the agency. Do not leave this space blank.

There are numerous peak agency deadlines throughout the year. Please keep in mind that proposals received in advance of these dates will receive precedence over those received at the last possible minute before a deadline.

NSF FastLane Proposals

If you are a current or former grantee of the National Science Foundation, or if you plan to submit a proposal to NSF in the future, you may wish to register for NSF's FastLane, which utilizes the internet to facilitate business transactions and exchange of information between NSF and its client community (i.e., researchers, reviewers, research administrators).

Once registered, principal investigators can use FastLane to submit proposals and final project reports and check the status of their proposal review. University research administrators can authorize proposals for submission to NSF, and generate reports on their institution's recent and active awards, recent proposals and status of Final Project Reports. Other enhancements are under development.

The University of Florida is a registered FastLane institution. If you are a UF faculty member and would like to be registered for FastLane, please fill out the online form at http://research.ufl.edu/research/fastlane or contact our Proposal Processing office at 392-9267. We will send you a Personal Identification Number (PIN) that will allow you to access FastLane.

For current information and tips on submitting proposals to NSF electronically, please refer to the online documents at http://research.ufl.edu/research/fastlane/how to/.

"No Review" Process

If the Proposal Processing office receives a proposal at deadline and is unable to review it in the customary manner, the proposal will be submitted to the agency but designated internally as having been submitted under DSR's "no review" process. DSR will review the proposal in customary manner after the "no review" submission and may request one or more of the following actins be taken;

Request a revised or corrected version be submitted to the agency,
Put the agency on notice that changes will need to be made,
May require withdrawal of the proposal,
If changes are required in the proposal and the proposal is funded before changes could be made, the award will not be accepted until after it has been negotiated and approved by the appropriate department chair and dean.

Multiple Submissions

It may occur that the same research or training project is submitted to different funding agencies, provided each agency permits such action. When faculty send one project to two or more funding sources, they may be required to state this fact in the proposal. Should more than one sponsor fund the project, the researcher must take into account that the same project may not receive dual source funding. It is possible to split funding and obtain funds for various aspects or phases of one project from a combined number of sources. Faculty are not allowed to charge or cost share more than 100% time to the sum total of their various projects.

Copying and Mailing

As a service to faculty, RGP's Proposal Processing Office provides duplication of grant or contract material at no cost. They will also mail the application packages to the respective funding agency either first class or by overnight courier. If duplication and mailing are requested, RGP requests the proposal be in the Proposal Processing office at least three full business days. The mailing address and the mailing deadline should be clearly marked on the DSR-1 form. First class mail is provided to the PI at no charge and may take up to one week to get to Washington, DC. Faculty who choose to send proposals via overnight delivery service should provide on the DSR-1 form, a SAMAS or overnight courier account number to be billed.

Tracking the Proposal's Progress

Faculty and staff are encouraged to follow the progress of their proposal (i.e., signatures obtained, mailing date, etc.) through RGP's online Proposal Processing Mail-Log.

Negotiation of Proposals and Awards with Sponsors

The negotiation and resolution of many proposal and award issues requires coordination between the Sponsoring Agency, UF's Division of Sponsored Research (DSR), the Principal Investigator and where appropriate IFAS Office Sponsored Programs or the Office of Engineering Research. The involvement of each party as appropriate is essential to a successful award with mutually acceptable terms and conditions.

Technical Proposal

Negotiation of the technical aspects of a proposal is generally conducted with the sponsor's Program Officer and UF's Principal Investigator. It is the responsibility of our PI to keep all appropriate offices including the Department and Dean's Office informed as appropriate.

Business and Cost Proposals

Negotiation of the business and costing aspects of a proposal is a coordinated effort between the sponsor's Program Officer and Grants Office, the UF Principal Investigator, DSR and where appropriate IFAS Office Sponsored Programs or the Office of Engineering Research.

Award Terms and Conditions

DSR, the Office of Engineering Research and IFAS Sponsored Programs have the primary role in negotiating award terms and conditions with sponsors. The UF Principal Investigator is kept engaged in this process and can be instrumental in getting a mutual acceptable award in place.

Final authority to accept an award remains with DSR. Prior to acceptance DSR will review the award to ensure:

the terms and conditions are not incompatible with the University's sponsored research regulations, policies and procedures.
the terms and conditions include all elements agreed upon prior to the award.
the terms and conditions include VA approved contract language or at a minimum secure language that satisfies the principles set forth by the VA approved language.
the Principal Investigator, IFAS or Engineering where needed concur with any non-standard or complex terms

Authorized University Official and NOA Process

Once the award has been secured with DSR's acceptance as the Authorized University Official, the Notice of Award (NOA) process is completed which authorizes the opening of a project in the University's financial system. The NOA is distributed to the PI, College/Department, and Contracts and Grants Accounting who finalizes the contract set-up in the University's financial system.

Subcontracting at the Time of Proposal Processing

Subcontracting - What is it?

Subcontracting is the acquisition of scientific or programmatic support under an award made to the University of Florida. The Subcontractor (or subrecipient) will be responsible for managing the technical and administrative aspects of its part of the project being performed for the University of Florida under the prime award.

What is needed at the time of Proposal Submission? An Authorized Subcontract Proposal

For all proposed subcontracts in a UF grant or contract application, Principal Investigators are asked to obtain from the subrecipient, a subcontract proposal that has been administratively approved by the subrecipient's authorized official. This authorized subcontract proposal shall be submitted to DSR with the UF proposal package. Advance planning and communication with the subrecipient is necessary to meet this requirement. To assist in this matter DSR will accept faxed subcontract proposals.

At a minimum a subcontractor's proposal should include the following:

Endorsement from the Subcontractor's Authorized Official. This endorsement is provided in many different formats, for example, signed budget pages, a letter of intent which covers the subcontract proposal, or a signed agency cover sheet or face page.
A clear Description of Work to be performed by the Subcontractor.
A corresponding Budget and Budget Justification.

When required, subcontractors may need to provide additional information, such as:

Biographical Sketches of Key Personnel
Current and Pending Support of Key Personnel
Representations and Certifications
Detailed Budget Information
Negotiated Facilities and Administrative Cost Agreement

Budgeting Subcontractor Costs

When preparing the overall project budget, include the total costs of each subcontract, including the subcontractor's fringe benefits and indirect costs, as one line item in the UF direct cost budget.

Sole Source Justification

The UF Principal Investigator, if required by the sponsoring agency, may need to provide a sole source selection justification of the appropriate research administration office (DSR, OER, IFAS), who will in turn review and transmit to the sponsoring agency.

Note: This subcontracting sole source justification process should not be confused with the UF Purchasing sole source justification process.

Unusual Circumstances

DSR understand there will be unusual circumstances that do not fit the traditional model of what is needed at the time of proposal submission. Advance warning is always appreciated in these cases.

One example of an unusual circumstance is as follows: A UF proposal anticipates issuing subcontracts and has budgeted an amount for this purpose. However, the subcontractors have not been predetermined, rather a Request for Proposals (RFP) will be issued and a certain number of proposals will selected for funding. Thus in this circumstance there would not be any official subcontract proposals in the file until after the award and RFP were issued.

DSR Assistance

DSR, OER or IFAS, at the Principal Investigator's request will be more than willing to send a letter to the Subcontractor's Research Administration Office requesting an authorized subcontract proposal be submitted to UF ( click here for sample letter).

For Subcontracting at the Time of Award click here.

Office of Research