Section 6. Pre-Award and Proposal Processing
Sponsored Project Approval Internal Routing Form (IRF)
Before a proposal can be processed by Research and
Sponsored Programs (RSP), submitted to a funding agency, or accepted as an award, the
principal investigator (PI) must obtain the required endorsement of the
department chair or center/institute director, dean or vice president (if
necessary) on the UWF Internal Routing Form (IRF) and forward to
RSP.
The IRF
and supplemental forms for additional approvals or reviews are located
in Appendix B Proposal Processing Menu of this
Manual.
This appendix provides quick access to the IRF and other forms or references which
may apply to a proposed project and is provided so that the PI can look
in one location to select documents that may be required for processing.
The Menu also provides a feature which allows the PI to upload proposal
documents and transmit an electronic copy directly to RSP in advance of the submitted hard copies
with the required approval signatures.
This
IRF must
be filled out for each project or modification of a project and should be routed
with the entire proposal through the proper University channels. When routing a
proposal that involves participation by more than one department, unit, or
college, signatures from respective officials in the collaborating department(s)
or college(s) must be included on the IRF at the level of investigator,
chair/director, and dean/vice president (if necessary). Proposals submitted
through a University Institute/Center require the additional signatures of the
institute/center director and the appropriate dean or vice president.
Prior to routing the proposal for signatures, the faculty
member should use the checklist in the bottom section of the menu to make sure
the proposal is complete in all respects.
The people
or offices involved in the internal review and processing of the proposal are as
follows:
- PI is responsible for the budget, technical
content, quality and preparation of the proposal and for determining
when supplemental conditions such as additional resources,
IRB,
Animal Subjects, Conflict of Interest, Export
Control, or Proprietary Information are applicable.
- Department Chair or Center/Institute Director is
responsible for certifying to the academic soundness of the project, the
compatibility of the project with the PI's other
commitments, approval of release time, the availability of space and
facilities, cost-sharing commitments, assuring that the project is in
keeping with department objectives, and concurring that the proposal should
be submitted to the agency named.
- Dean of the College or Vice President of a Division
is responsible for determining the appropriateness of the project within
College/Division programs, and that resources will be available.
- RSP is responsible for ensuring compliance with
applicable laws and regulations, and University administrative rules.
Concurrently problems of institutional financing, cost sharing, prior
acceptance of contractual terms and budget matters may be resolved here.
RSP is also responsible for ensuring that the content meets with acceptable
rules and standards of the University, and for reviewing matters involving
human participants, DNA research, hazardous substances, export control review,
and the experimental use of animals. Academic policy issues that may arise
are resolved here.
The IRF is submitted, along with the original
proposal and other required documents, to RSP’s Pre-award Office, Bldg 11,
Room 109. Proposals to all
U.S. Department of Health and Human Services
(DHHS or
PHS) and the
National Science Foundation (NSF) require the
Disclosure of
Significant Financial Conflict of Interest form be submitted along with the
proposal and IRF (see Section 4
Policies & Guidelines). Other sponsors may have similar policies and
each sponsor’s guidelines should be reviewed to determine if there is a
requirement for this certification. The UWF Policy regarding
Financial
Conflict of Interest and Approval of Outside Activity and the related
forms are available on the Academic Affairs Web site.
Preliminary proposals, concept papers, and statements of
interest differ from verbal inquiries because they have a developed work
statement and a budget broken down into general cost groupings. These
submissions also require the IRF prior to submission to the potential
sponsor.
RSP Staff Responsibilities
RSP staff review the proposal for fiscal accuracy,
compliance with University policies and procedures, agency guidelines, and
accuracy and completeness of all required sections. The final step before
submission is the endorsement by an authorized institutional official in
RSP (UWF Signature Authorization Policy). This authorized institutional signature must be obtained before the
proposal is submitted to a sponsor and is required for all projects,
regardless of the source of funds (e.g., federal, state, local, private).
Additionally, RSP Staff will:
- Review RFP/RA guidelines and requirements and
prepare a checklist for development of proposal;
- Review proposal text for editing and formatting
suggestions;
- In collaboration with PI, prepare/review budget
for allowable cost elements, calculation of direct cost elements based
on needs identified for scope of work, preparation of cost estimates'
description for budget narratives;
- Complete all standard forms (boilerplate) such
as:
- Application Cover Page
- Assurances, Compliances, Certifications and
Representations
- Budget Format Pages
- Current & Pending Support Information for UWF
personnel
- Supporting documentation such as UWF
Financial Reports and Audit Certifications.
- F&A (Indirect) Cost Approved Rate Agreements
- Certification of Fringe Benefit Rate Analysis
- And any other forms related to the University
rather than the project proposal.
For more information on assistance available,
see Sections 2, 3, or
5 for
specific functional areas.
Assurances, Compliances, Certifications, and Representations
To obtain funding from the federal government
or other sponsoring agencies, the University will make assurances to
the sponsor that it is in compliance with applicable regulations.
Each sponsor or program will have its own set of requirements. These
assurances, compliances, representations and certifications apply to
the institution, not the PI.
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.
- RSP 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 West Florida sites.
- Federal Discrimination Regulations are
enforced.
- Federal Lobbying Regulations are
enforced.
- Federal Regulations Regarding Promoting
Objectivity in Research are enforced.
- Federal Regulations Regarding Research
Misconduct are enforced.
- The University is in compliance with
Title VI of the Civil Rights Act.
- The University is in compliance with
Title IX of the Education Amendments.
- The University is in compliance with
Section 504 of the Rehabilitation Act.
- The University is in compliance with
National Occupational Safety and Health Act.
- The University is in compliance with
Drug-Free Workplace Act.
On a project-specific basis, the
investigator and/or University must indicate when the following
special circumstances apply:
- Radioactive or Hazardous materials
are involved.
- Genetically engineered organisms are
involved.
- Human anatomical substances are
involved.
- Historical sites are affected.
- This is a group or collaborative
proposal.
- Proprietary or privileged information
will be generated by the project.
- University (or Project) is in
violation of any environmental compliance regulation.
- Project involves the Export
Controlled material/information.
- Project requires inter-governmental
review due to state/local/national security.
- Lobbying activities have been
conducted regarding the proposal.
State (Intergovernmental)
Clearinghouse Review
The State of Florida Department
of Environmental Protection has established an office as
required by
Executive
Order 12372 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 or
State Single Point of
Contact Review, the standard budget and technical abstract
must be submitted to the State Clearinghouse for comment.
Whenever a proposal is submitted which requires the State
Clearinghouse Review, a copy of the proposal will
automatically be submitted by RSP. Any comments or
notification of the satisfaction of the required posting
period will be copied to the PI. This is
a requirement of award and the federal sponsor may withhold
release of funding award until such notification is
documented. Faculty should contact DSR's Pre-award Office
(850) 474-2825 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 RSP, 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 the menu of the
Appendix B Proposal Processing Menu.
1. Is the proposed project
consistent with the objectives of the department,
college, and University?
2.
Are all costs fully detailed, including allowable F&A
costs, fringe benefits, and any cost sharing? Remember
that the cost sharing must be validated and guidelines
are provided in Section 4 University Policies and
Guidelines. Increases for salary, equipment and travel
costs for multiple-year projects should be anticipated
and included.
3. 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?
(see the supplemental form on menu of the
Appendix B Proposal Processing Menu.
4. If the
proposal contains privileged or proprietary data, has
that data been properly marked?
5. If the proposal involves the use
of human participants, laboratory animals, radioactive or biohazardous materials or recombinant DNA/RNA, was it
indicated in the certification/assurances section of the
UWF IRF? If so, the supplemental procedures and forms
for each applicable item must accompany the request to
submit the proposal.
6. 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? Is a separate scope of work and
budget included for the anticipated subrecipient award
or contract? Supplemental forms are available on menu of
the Appendix B Proposal Processing Menu.
7. If this is
a graduate training program proposal, has it been
coordinated with the appropriate graduate department or
college dean? All new degree or certificate programs
must be cleared though Academic Affairs.
8. Will the proposal require (1)
additional space or renovation/modification of existing
space inventory; (2) additional operating or equipment
funds (matching); (3) additional IT services beyond what
are normally available as part of University basic
support; (4) Marine Service Center services, resources,
or personnel? If yes, refer to the menu of the
Appendix B Proposal Processing Menu for
links to the appropriate work descriptions, requests or
quotations required prior to acceptance of the project
award?
9. Has F&A cost
reimbursement been requested at the appropriate rate?
10. Is the applicant eligible to
be a PI?
11. Will any
activity of the proposal involve Export Controlled
material or information? Are any participants (including
survey subjects, graduate students, or subrecipient
personnel) a “foreign person” as defined
in
RSP
Operating Procedures on Export Control? If yes, refer to
the menu of the Appendix B Proposal Processing Menu
for links to the appropriate procedures, references, and
forms.
12. Do the percent
effort and personnel salaries conform to University and
agency policies?
13. If
graduate assistants are included and the agency policy and guidelines allow it, have funds for tuition
waiver been requested as part of the direct costs. If
the proposal includes graduate assistants, do the
stipend rates and tuition payments comply with
University and college policy?
14. Are the required space and
facilities available without detriment to departmental
activities?
15. Are
equipment prices in the budget current, and does it
include delivery and installation charges? Departmental
endorsement on the
IRF confirms that the equipment
item is unavailable within the department or college for
shared use.
16. For federal
budget, have the
Circular A-21 Cost Principles for Educational Institutions been taken into consideration
in the budget development process?
Tips to Insure a Proper and Timely
Submission
- The deadline box on the
IRF
must be completed (Item 7) and whether this transmittal
date is a
postmark by or a receipt by date. 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 complete mailing
address contact name, and phone number for proposals
that must be sent FedEx.
- Submit the proposal to RSP 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 deadline
should be clearly specified on the IRF (Item 4).
- Do not staple the original
proposal or any supporting documents submitted to RSP.
RSP will make the required copies, package for shipment,
and ship the proposal.
- NSF and DHHS proposals must
include a signed
Disclosure of Significant Financial
Conflict of Interest form along with the
IRF. For
NSF proposals, the PI and Co-PI must sign the Conflict
of Interest form while for DHHS proposals, the PI and
all key personnel must sign.
- Do not include cents on budgets. Budgeted
items should be rounded to the nearest whole dollar. The
Research Project Budget Model
will be used as the guideline to determine if the
proposal budget is in compliance with University current
salary, fringe benefit, MTDC exempt and non-exempt cost
elements, applicable F&A rate, and line item (Banner
Personnel Costs account codes or G-account codes for
other types of expenditures) elements for posting of the
budget upon award. This template is available from the
menu of the Appendix B Proposal Processing Menu and should be provided electronically with
the Proposal Documents from this menu.
- Permanent equipment under federal
guidelines is any item exceeding $1,000 and a two-year
useful life. Items of less than $1,000 should be itemized
in the “Other'' category. Although sponsor guidelines
may indicate the $5,000 as the minimum for equipment,
state regulations require that the $1,000 minimum be
applied.
- Due to space limitations, RSP is
unable to keep a copy of appendices and reprints
submitted with a proposal. Please make sure you keep a
copy of this material.
- If responding to a Request for
Proposal (RFP), submit a copy of the RFP guidelines with
the proposal or include the
URL for
this document on IRF in Item 5.
- Itemize all supplies, materials,
computer, and publication costs. Travel must be
justified by per diem, number of trips, place, and
purpose. Review the sponsor’s guidelines on whether
foreign travel is allowed or, in the case of state
sponsors, if in-state restrictions apply.
- If a project requires Human
Research Participants 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. If approvals have not been received at the
time of the proposal submission, these must be in place
prior to the University accepting the award and should
be indicated as application pending.
RSP’s Proposal Submission
Procedures
Faculty members are urged to
submit proposals well in advance of agency deadlines to
avoid peak processing times in the Pre-award Office. This allows RSP to provide a full compliment of services
including budget development assistance, review,
signature, duplication, assembling and mailing. PIs
should consult their own department and college for
internal deadlines. If the proposal is received after
RSP mail or courier pick-ups, the PI will be
responsible for arranging to pick up and deliver the
package to the appropriate mailing/shipping location. RSP will provide the necessary mailing labels and
packing materials.
All
applicants are reminded that the agency deadline must be
clearly indicated on the
IRF 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.
The UWF RSP has developed a
Menu
of references, forms, and guidelines related to the
submission of a proposal. The PI may use this
Menu as a
check list to review documents that may be applicable to
an individual proposal. The
Menu includes a section in
which documents may be uploaded for one step transfer to
RSP. In cases of offer of a proposal for a purchase
order or services agreement or electronic submission,
these documents will be accessed by RSP Pre-award
staff to prepare offers of service, contracts, or
proposals for external submission. PIs may also e-mail
attached copies of the completed documents if they
prefer. The documents will also be an archive of
information on proposals submitted for later retrieval
for review, modification or resubmission.
NSF FastLane Proposals
If you are a current or former
grantee of the
National Science Foundation (NSF), or if you
plan to submit a proposal to
NSF in the future, you must
be registered 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, PIs will use
FastLane to
submit proposals, final project reports, check the
status of their proposal review. University research
administrators can authorize proposals for submission to
NSF, 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 West Florida is a registered FastLane institution. If
you are a UWF faculty member and would like to be
registered for FastLane, please fill out the
online form or contact our
Pre-award Processing office at (850) 474-2825. The Pre-award
Office will enter your initial profile data, authorize
you to submit proposals through UWF, and send you a user
id and initial password that will allow you to access
FastLane. All proposals must be assigned to the
sponsored research officers
with full approval to
view, edit, and submit in order for proposals to be
processed. Proposals will not be submitted until the PI
or a designated representative has approved the final
documents.
Other Electronic Submissions
Other federal sponsors may accept
submissions only from the individual who opens or
establishes a proposal in the electronic system. UNLESS
it is prohibited by agency regulations, this individual
will be one of the sponsored research officers or
grants specialists in RSP. Once a proposal is
opened, the PI or others who are designated by the PI
may upload, edit, view, and otherwise enter information
in the system as required for electronic submission.
Once the proposal is finalized and RSP has received
the appropriate
IRF and any required supplemental forms, the RSP contact
will electronically transmit the proposal to the agency. These
submissions may be through a specific agency Web site, such as
e-Grants (U.S. Department of Education) or may be through the single access portal,
Grants.gov.
Grants.gov allows organizations to
electronically find and apply for competitive grant
opportunities from all Federal grant-making agencies.
Grants.gov is THE single access point for over 900 grant
programs offered by the 26 Federal grant-making
agencies. In Grants.gov applications are submitted by a
registered, authorized University staff member. For UWF,
this will be the RSP grants specialist(s) who processes
the proposal. The standard forms will be completed on
line, specific proposal sections such as abstract,
narrative, references, biographical sketches will be
uploaded, and the saved document will be downloaded,
printed, and provided to the PI for final review and
approval prior to submission.
If the agency guidelines require
electronic submission by the PI, all documents should be
forwarded to RSP for review and final submission should
not be processed until an authorized RSP staff member
has approved. Copies of all electronic acknowledgements
or correspondence should be submitted to RSP as soon as
received.
Proposals
requiring electronic submission should be finalized with
one full working day prior to the submission due date.
"No Review" Process
If the RSP Pre-award 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 RSP's "no review" process.
RSP will review the proposal in customary manner after
the "no review" submission and may request a revised
version or may require withdrawal of the proposal. If
changes are required in the proposal and the proposal is
funded, it 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 an investigator sends 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, with agency approval. 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, RSP’s
Pre-award staff provides duplication of grant or
contract material at no cost. They will also mail/ship
the application packages to the respective funding
agency by receipted delivery or overnight courier. If
duplication and mailing are required, RSP requests the
proposal be in the Proposal Processing office at least
three full business days prior to the due date. The mailing or courier address
and the deadline for shipment or receipt should be
clearly marked on the
IRF.
Tracking the Proposal's Progress
Faculty and staff are encouraged
to follow the progress of their proposal (i.e.,
signatures obtained, mailing date, agency document
number assignment, contract or award document receipt, etc.) through RSP’s
Banner Proposal Maintenance Module (FRAPROP). Two
Banner
Knowledgebase documents titled
"How
Do I Query and View a Proposal Record in Banner?" and
"How
Do I Query and View a Proposal Budget?" will provide
instructions to access and review the records.
Acceptance of an Award
An award to the University from a
sponsoring agency is a legal document which obligates
the University. An award may be simply in the form of a
letter issued by an authorized agent of the sponsor or
it may consist of a detailed, lengthy contractual
document. In some cases acceptance by the University
(and then by the agency) is required before the award is
in force, while in other cases no formal acceptance is
required. RSP is the office authorized to accept and
execute awards on behalf of the UWF. RSP will consult
with the PI if the award differs
from the submitted proposal, so that the award may be
accepted, modified, or rejected. No charges may be
incurred against a sponsored project until such time as
RSP has received and processed an original award
notification from the sponsor, and a grant/fund number
has been issued by RSP Post-award Office to the
PI.
Only
certain administrators have been authorized to offer
proposals, issue certifications and assurances for a
proposal for the University or accept a contract or
award document. This designation is by Presidential
Signature
Authorization Policy P-04.00-06/01. All
documents must be approved for signature by the Office
of University Counsel. No other signature is considered
to be legally binding upon the University and is subject
to withdrawal if received after-the-fact.
On some occasions receipt of the
actual award documents authorizing expenditures for a
project may be delayed. If a delay will seriously impede
the course of the project, it may be possible to obtain
permission to initiate expenditures for a short time in
advance of actual receipt by UWF of an award document.
For this purpose, a
Request for Temporary Authorization
for Advanced or Post-Award Expenditures
should be submitted to RSP Pre-award Office. This
form requests the issuance of a grant/fund number and
commits the PI, department,
college/division to reimburse campus accounts in the
event that the expected sponsor authorization is not
forthcoming or advanced expenditures are disallowed. RSP will recommend an action to approve or disapprove
such a commitment only after the proper authority at the
granting agency has assured us of their intent to
provide such funding with an anticipated effective date.
In some cases an award may be issued
by the agency after a series of negotiations which may
involve revisions to the scope of the project and/or to
the proposed budget. The RSP is the authorized agent for
conducting and approving such revisions, but no changes
to a project or a budget are authorized without the
express consent of the PIs. Faculty
researchers are reminded that the acceptance of a
revised scope of work or budget is a judgment that only
they can make; it is not a judgment or condition that
may be unilaterally imposed by the granting agency. If
the agency requires the submission of a revised work
plan or budget, this must be prepared by the PI and submitted to
the RSP for institutional
endorsement and for forwarding to the agency just as if
it were a new submission.
Upon receipt of an official award at
the RSP, the
PI will receive an
Award Summary and Budget Form
informing the PI of pertinent award
information, budget set up and of the grant/fund number
established for this project.
Project Administration
PI's
Responsibilities
Upon the University’s acceptance
of an award for support of a research or training
project, the PI assumes primary
responsibility for the technical conduct and management
of the project to assure that contractual and regulatory
conditions are met, and to make certain that the program
stays within its budget. Costs associated with a project
are expected to be direct charged as described in
Section 4 Policies and Guidelines and
Section 7
Post-award Administration.
The PI, the Department Chair, and
the College Dean are all expected to exercise
responsible judgment in the administration of the
project, particularly with regard to the terms of the
agreement and University policies and procedures.
Financial liabilities which result from failure to
comply with the grant or contract become the
responsibility of the PI and the
department and college.
Records
A separate account is established
for each project. Each account will bear a unique Banner
System grant and fund number assigned by RSP
Post-award Office. This information is sent to the
PI, Department Chair, Dean of the
College, and other administrative personnel through an
Award Summary and Budget Form.
The issuance of the account
(Banner grant/fund) number for the project and posting
of the budget authorizes the PI to
charge obligations and expenditures without immediate
concern for sponsor payments and cash flow
considerations. In reality, sponsoring agencies most
often do not pay the University until expenditures are
incurred and invoices are submitted to the agency by RSP Post-Award Office. Once the account has been
established, the PI may review
financial reports on a daily basis showing the status of
the account via the Banner Reports queries. The
PI is expected to keep sufficient
internal records to control expenditures, particularly
those budgetary lines which may not be exceeded without
special approval.
Budget
Revisions
Reallocations within awarded
budgets are usually possible, but the sponsoring
agencies have different restrictions on deviations from
the approved budget. The National Institutes of Health
and the National Science Foundation are among the
federal agencies that have granted authority to the
University for self-management of certain budget
deviations. Requests for budgetary reallocations require
the use of the
University Budget Transfer/Amendment
form. PIs uncertain of the budgetary
restrictions imposed by any particular sponsor should
first consult the award document and any of its
inclusions by reference. The PI may also consult the
Award Summary and Budget Form
issued by RSP for
that account or they should consult their department
business offices. If Budget Amendment forms are
submitted that are deemed to require agency approval,
they will be returned to the PI with supporting
documentation or a request for agency authorization will
be coordinated with the PI by RSP Pre-award staff. When
an agency approval for an amendment is required, it usually takes
the same period of time as request for a no-cost extension or
program change. A 30-60 day period should be planned for the agency
response PRIOR to executing the amendment in University accounting
records or in committing or authorizing expenditure of funds.
Charges to the Project
The PI is
responsible for assuring that all approved expenses in
support of a project are properly charged. Charging
departmental budgets for sponsored projects is normally
not appropriate. Prompt and accurate charging to the
correct account will preclude costly department labor
and paperwork later to effect cost-transfers (see
also Section 4 Policies and Guidelines and
Section 7
Post-award Administration) to rectify errors.
Personnel
Personnel assigned to sponsored
projects, like all other personnel, must be appointed
and compensated in keeping with Federal, State and
University personnel rules. Classified staff matters are
covered by the Florida Department of Education and
UWF
Rules, Policies and Procedures available at
http://uwf.edu/ohr/policies.cfm. Additional Faculty
policies are covered in the
Faculty Handbook; available
at
http://uwf.edu/academic/facultyresources/facultyhandbook/facultyhandbook.cfm or
questions may be addressed to the Office of the Provost
for Academic Affairs.
Change of Principal Investigator
Occasionally circumstances may warrant the
designation of a new temporary or permanent PI. The sponsor must be advised and permission
obtained before a new PI may be
designated. If the PI finds it
necessary to nominate someone, such requests must bear
the signed endorsement of the Chair/Director and the
Dean/Vice President. If the request is made by the
Chair/Director, it must be endorsed by the Dean/Vice
President. (If the PI is also the
Dean, then the request should bear the endorsement of
the next higher authority). Whenever possible, please
request such a change 30 days in advance of the
requested effective date.
A request to a sponsoring agency
for designation of a new PI will
normally state the reasons for such change and will
include curriculum vita of the PI-designate. Such requests must be submitted
to RSP for institutional endorsement, before they
are forwarded to the sponsor.
In order to maintain continuity and
to ensure that proposal conditions and project
management responsibilities are fully endorsed, when a
new PI is recommended, a modification of the original
IRF form will be prepared including the new information
and will be routed through the signature and endorsement
steps outlined above. The effective date of the change
of PI will be used as the beginning of the month in
which the request is received. Unless other arrangements
are requested in the request for a change, F&A
distributions to the PI will be prorated through
effective date of change. The same allocations would
apply to departmental and college/division shared earned
during a given fiscal year.
Transfer of Contract or Grant to
Another Institution
To Another Institution:
A PI who is transferring to another
institution may request to continue his or her sponsored
research projects there. Steps may be initiated to
transfer the grant or contract only upon concurrence of
the Department Chair, the Dean of the College, Director
of Research & Sponsored Programs, Associate Vice President for
Research and the Provost for Academic
Affairs.
Permission must be
obtained from the sponsoring agency for such transfers
(transfers are by no means automatically granted by all
sponsors); arrangements must proceed through RSP.
There may be instances in which the University may elect
to retain a project and nominate an alternate PI; this also requires agency approval. In
general, awards are made to the institution not a
particular investigator and if the prime institution
assigns other investigators who meet the sponsoring
agency requirements the award may be retained.
Transfer of Contract or Grant from
Another Institution
A faculty member coming from
another institution who will be appointed to UWF is
expected to have a sponsored project for which he is
lead PI transferred here, whenever possible. Such
transfer requires the home institution's approval in
addition to the approval of the sponsoring agency. If
the previous institution has personnel or expertise
necessary to complete the project, a subcontract will be
issued to cover the modified scope of work. Projects
which are substantially complete may be exempt from this
expectation. However, any work performed by the PI while
an employee of UWF is expected to be completed with UWF
as a subrecipient to the prime agreement. A new proposal
(or the revised original) with new budgetary information
must then be processed at UWF through the normal routing
and approval cycle, prior to submission to the
sponsoring agency.
Reporting
With few exceptions, every
sponsored project will require a number of reports
during the life of the project and most certainly at its
conclusion. Every PI should be
prepared to submit a final technical report at the very
least. The importance of the submission of such a report
on a timely basis cannot be overstated. In a grant or
contract arrangement, unlike a gift, the sponsor expects
and deserves to be informed of results. Negligence by
the PI may substantially impact his
or her (and the University's) ability to receive other
support from the sponsor; and may also result in a loss
of payment to the University for costs already incurred.
Such losses could become a liability chargeable to the
investigator, department and college.
In addition to the technical
report(s), other reports may be required relating to
inventions, publications, equipment accountability,
fiscal data, and voucher submissions. The latter three
are the responsibility of RSP Post-award staff. RSP Pre-award staff will coordinate with the Office of
Technology Development for the first two submissions.
References:
Quick Reference Numbers
and Information
- Some sponsoring
agencies require the insertion of certain
other information such as:
-
CFDA Number (to search for the correct CFDA
number)
- Grantee or
Performing Organization: University of
West Florida
- Type of
Organization: State Institution of
Higher Education
- Address of
grantee:
- Office of
Research & Sponsored Programs
11000 University Parkway
Pensacola FL 32514-5750
- Authorizing
institutional official:
- Name: Richard S. Podemski,
Ph.D.
Title:
Associate Vice President for Research and Dean of
Graduate Studies
Phone: (850) 473-7713
Fax: (850) 473-7714
E-mail:
rpodemski@uwf.edu
- Business
office where checks should be mailed:
- Cashier’s Office Financial Services
11000 University Parkway
Pensacola FL 32514-5750
- Federal
cognizant audit agency:
- DHHS
Division of Cost Allocation
Mid-Atlantic Field Office
Cohen Building Rm 1067
330 Independence Ave SW
Washington DC 20201
(202) 401-2808
UWF Numbers
and References
