Research.Online - University of South Florida's Research Guide

Proposal Submission

Guidelines for Paper Submission to DSR

Internal Form

A complete proposal (all forms, narratives, appendices, etc) 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 Online 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.

Signatures

The Internal Form verifies that the appropriate university officials have reviewed the proposal. The proposal and budget must accompany the Internal Form when it is routed for signature(s). The form must be signed by the PI and the PI's department chairperson, dean or director, and vice president (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 president.

It is the investigator's responsibility to obtain the approval signatures.

Timeline

See the NEW PROPOSAL SUBMISSION GUIDELINES for hardcopy (paper) proposal submission deadlines.

Guidelines for Electronic Submission to DSR

Internal Form

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 (formerly named the USF Proposal Review and Certification Form) is completed and "signed" online via the Research Online 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.

Timeline

See the NEW PROPOSAL SUBMISSION GUIDELINES electronic proposal submission deadlines.
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".

Agency Paperwork

Some agencies require a copy of the signed face page be faxed to them after the proposal is submitted (for example, US Dept 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

Receipt of Proposal

Upon receipt of the proposal, DSR will place the proposal in a folder, specifically notated 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.

Due Date/Deadline

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. (For example, American Heart Assoc.)

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

The face page, or cover page, in most applications contains institutional data that the funding agency requires for both administrative and statistical purposes.

Verify all information on the cover page using the DSR Fact Sheet for Reference.

Most cover pages include the following information:

Project title (clear, concise and precise). Some agencies restrict the number of words that may be included in the title or require the title to reference the RFP/RFA. News releases often rely on the title to reference a project, and precise syntax will help avoid misinterpretation of a study.
RFP number (if any), or the agency number for a continuation or renewal project
Name of agency to which proposal is submitted
Name of University and College/Department
Date submitted (optional)
Projected beginning and ending dates of the project
Dollar amount requested from sponsor
Lines for signature, typed names, titles, and phone numbers of PI/Project Director an official authorized to sign proposal (normally the Associate Vice President of DSR or the Director of DSR.

Abstract (also called Project Summary and Relevance)

The abstract describes the major objectives of the proposed research and the research strategy to meet those objectives, and should be limited to 200-300 words.

In some cases the sponsor will request the abstract be written in layman terms. The Relevance section (NIH) is to be 2-3 sentences maximum.

Not always required. Verify page numbers listed on the Table of Contents against the actual proposal.

Research Plan

The requirements for this section can vary according to sponsor and proposal type. Verify all components as required by the sponsor are included within this section and properly labeled. The sponsor may impose page limitations on the Research Plan.

See DSR Memorandum dated July 18, 2005 entitled "Proposal Documentation" as it relates to the necessity of having a description of the project in file prior to the opening of a project account.

Biographical Information of Key Personnel (Bios)

A curriculum vitae (CV) or biographical sketch (bio) should be included for all investigators and Key personnel on a project. (See the section on Personnel for further information and definitions.) Verify that all bios are included and any page limitations are adhered to.

Budget

Most agencies provide specific budget forms, but the basic categories of direct costs and indirect costs apply to all agencies.

The Budget should always be reviewed in conjunction with the Budget Justification. The two go hand in hand.

Verify salary information against GEMS. Verify the appropriate fringe benefit rate was utilized for the correct job classification. Verify health insurance was included. Take special care with summer salary requests.

Verify the appropriate expenses are contained within a particular section. (For example, some equipment dependent upon dollar amount may be assigned to the Supplies category.

Verify the correct indirect rate is utilized appropriate for the sponsor. (Hint – many sponsors are lumped into the "State" category for the lower rate).

Facilities/Special Resources

Take care to note if off site facilities are used.

Current and Pending Support

Usually not requested at the proposal stage.

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

If any problems or questions arise, DSR will contact the PI or designated department/college contact for clarification prior to obtaining the signature of an authorized University official and preparing the proposal for mailing.

Once the review is complete and all outstanding issues have been addressed and/or resolved, the proposal is ready for submission. Always check with the Director of Sponsored Research prior to denying a request to submit the proposal to the sponsor.

Letter of Transmittal

A letter of transmittal from the University accompanies every "hard copy" or paper proposal submitted to the agency. This letter is prepared by DSR after their review is completed.

The letter states in general that the University is pleased to make the submission and would be happy to discuss any questions posed by the sponsor with technical questions to be referred to the PI; and business, administrative or financial questions to be addressed to DSR.

A proposal transmittal letter template is provided for your convenience.

Number of Copies

The number of copies required varies with each agency. Again, please review the agency's guidelines regarding the number of proposal copies required at the time of submission.

In most cases there are additional instructions regarding the number of appendices and how they are to be handled.

Some agencies require a label or other designation be affixed to the proposal.

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.

In most cases, each agency has a specific delivery address for proposals, in addition to a deadline date. A Post Office Box number cannot be used for courier service, but is allowable for US Postal service delivery.

Staff Support will use the address on the letter of transmittal as the delivery address. Alert Staff support if a different delivery address is to be used.

Please review the sponsor guidelines for the specific address information.

Staff Support Involvement

The proposal, along with the signed Letter of Transmittal and all appropriate submission information should be given to the appropriate individual in Staff Support.

Staff Support prepares the proposal for delivery according to the directions provided to them by DSR.

It is DSR's responsibility to verify that the packet is complete prior to delivery.

Using the Research Online System (Internal Form)

Internal Form

An Internal Form bearing all applicable signatures and detailing all pertinent information must accompany all proposals submitted to DSR for review and delivery to the sponsoring agency (includes all competing renewals and supplemental proposals).

The Internal Form collects critical information for DSR processing, monitoring and reporting, and ensures key compliance issues are identified and reviewed by the PI, department and college. Each review is indicated by online signature approval from the PI, Department Chair, Dean/Director and/or the VP/Provost (if applicable).

The PI is responsible for obtaining the signatures.

To access and complete the online Internal Form, users must first register as a Research Online User. Once registered, each user will be emailed a Personal Identification Number (PIN) necessary for online signatures.

NOTE: DSR personnel will be registered by Research Resources and given administrative access to the system.

Internal Form Registration Information Includes:

University Information

College
Department

Personal Information

Name
GEMS or Student ID
Address
Mail Point
Affiliation
- Undergraduate Student
- Graduate Student
- Other
- Staff
- Faculty
- CRAN
Access Indicator
- Administrator Access (Deans, Associate Deans, Dept. Chairs, etc.)
- College Research Admin Network (CRAN) Access (Research Support Staff, Accountants, etc.)
- Other
- Staff
- Faculty
- CRAN
Phone
Fax
Email

Account Information

Username
Password
Key Phrase Info (Forgotten password setup)

Research Interests

DSR Internal Form Review

DSR personnel are given administrative access to the Research Online system for reviewing, editing and processing Internal Forms:

The Internal Form contains 9 sections which can be viewed in the Form Sections Menu on the left side of the page.

DSR will check the Internal Form for the following information:

1. Project Information

Project Type

If Competitive Renewal, Continuation or Supplemental Request is checked, DSR should pull the current award's file folder for additional information.

Project Title / Keywords / Description

Project Title

The title as shown on the proposal should be listed in this section. This title must match the title as shown on the IRB/IACUC approval.

Note: Some sponsors have a Project Title size limit (80 characters maximum).

Project Keywords

This information is entered into FAST for searching and reporting purposes (similar to Community of Science, COS search functions).

Layman's Description

A one or two sentence description of project should be entered.

Research Type

The appropriate box (Research, Training, Other) should be checked. These are the only 3 classifications used. The information contained in this portion should correspond to the indirect percentage rate used in the proposal. This information is also entered in FAST.

Was this project given a Dept. of Defense security classification?

If yes, indicate level in FAST under Additional Information using type: Other

Classified
Unclassified
Unclassified Sensitive
Other

Community-Based Project

If the project involves partnerships and/or beneficiaries at the local or regional level and/or has immediate or short term possibilities to help solve problems that affect the citizens of this locality or region, the answer is yes, this is a community-based project.

If yes, enter as Attribute in FAST: COMMUNITY Community Service

2. Project Investigators

Principal Investigator (PI) Information

Name
GEMS # (EmplID)
Phone Number
Fax Number
e-Mail Address
College
Mail Point
Department receiving the Award (necessary when the proposal is input into FAST).

Co-Principal Investigator (Maximum of 6 – USF Only)

Name
GEMS # (EmplID)
e-Mail Address
Phone Number
Fax Number

If the Co-Investigator is in a department different from the PI, that department's signatures are required on the Internal Form.

Senior Staff (Maximum of 2)

Name
University
Department
Position
- Faculty
- Staff
- Undergraduate Student
- Graduate Student
- Administrator
- Other
Phone Number
Fax Number
Email Address

3.Sponsor & Federal Awards

Sponsor Information

Sponsor Name
- The name of the entity (NIH, NSF, UF) USF will receive the project dollars from, if the proposal is awarded.
- In the case of NIH, it may not be known at the time of the submission, which institute will review the proposal (NIA, NIEHS, etc). In that instance, it is permissible to list NIH as the sponsor. However, once the receipt letter is received from NIH, the correct institute information should be entered into FAST by DSR.
- If USF is not the prime applicant of the proposal (USF would be considered a Subcontractor), the primary institution is entered as the Sponsor instead of the agency to which the proposal is being submitted. For example: Univ. of Florida, proposal submitted to NIH; Washington Univ., proposal submitted to NSF.
Sponsor Program
- Not always applicable. This could be the program name, the RFP #, the BAA #, etc.
Sponsor Contact
- The name of the Program or Grant contact, their title, the sponsor's address, the contact's phone, fax # and email address.
Funding Source
- The appropriate funding "source type" should be checked to reflect who is providing the funds.

You'll hear the term "Fed Flow Through". This term is used when the award is made from a federal source to another entity who in turn is subcontracting a portion to us. For example, NIH issues an award to the University of Florida who in turn is subcontracting to us. The University of Florida is listed as the Sponsor and the award to us carries the term "Fed Flow Thru". The Funding Source may also read as NIH via UF on the Internal Form. If this is the case, double check the "FOR FEDERAL AND FEDERAL FLOW THROUGH AWARDS ONLY" portion of the Internal Form to see if it is applicable.

Export Control

If the project has an international component through foreign purchases/expenditures, shipping, travel/conferences, subcontracts/consultants, employees/student/participants, transfer of information or equipment, and/or performance site(s), the answer is yes.

USF has joined with the other Florida SUS Universities to license and use eCustoms, Visual Compliance software to manage Export Control. DSR business procedures are being developed to track proposals identified as having an international component.

CAS Exceptions for Federal and Federal Flow-Through Awards Only

If "Yes" is checked, the budget request includes salary for clerical and administrative staff, postage, local telephone service, office supplies, general purpose software, subscriptions, and/or memberships. The proposal must include special justification in the budget narrative in order to comply with federal cost accounting standards (OMB Circular A-21).

The budget justification must specify the CAS exceptions and include a detailed explanation. If the justification is not detailed in the proposal, DSR must contact the PI/Department to obtain the detailed information prior to the submission of the proposal.

At the time of the award, if this information is NOT contained within the proposal, DSR must contact the Sponsor for their approval of the CAS items before the award can be set-up.

4. Commitment

Seed Grants

If PI has received an internal grant award from Sponsored Research, the USF Collaborative, or another USF unit that has substantially contributed to his/her capacity to write the proposal, the answer is yes.

If yes, the funding source and date must be provided. DSR business procedures are being developed to track proposals identified as having seed grants.

University Commitment

USF Office of Research policy requires tuition be included as a direct cost in any proposal budget submitted with Graduate Assistant appointments, if allowed by sponsor.

If Grad Asst stipend/salaries are requested, then tuition and fees should be requested within the proposal budget. If tuition and fess are not requested, an explanation must be provided.

USF Procedure: http://compass.custhelp.com/cgi-bin/compass.cfg/php/enduser/std_adp.php?&p_faqid=901

Form: http://usfweb2.usf.edu/proced/fiscal/uco/research/GrantsContracts/TuitionPaymentRequest.xls

Additional Compensation/Overload

PIs and Co-PIs are not permitted to earn extra compensation on federal grants.

USF Guidelines: Faculty Extra Compensation Guidelines for Research

USF Policy: Faculty Extra Compensation Policy

USF Procedure: Faculty Extra State Compensation Procedures

Form: http://www.usf.edu/usfpers/Forms/Appointments/dualcomp.doc

Will this project generate subcontracts?

If yes, double check the budget for the indirect calculations. If the name of the Subcontract 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.

5. Project Budget

Initial Budget Period

The initial budget period is normally the first year of the project. The initial budget period dates on the Internal Form should be verified against the dates listed on the face or title page and the budget pages of the proposal.

Project costs for the initial budget period, or the first year, should be broken down between direct and indirect costs, then the combined total of the two costs is listed.

The indirect rate utilized for the proposal must be listed. DSR should verify this rate is the correct rate associated with the sponsor type.

Project Period

The begin and end date for the entire project period. Project period costs are broken down between direct and indirect costs.

Full Federal Indirect Costs

If no (the full federal indirect rate % is not utilized), the reason why must be listed. See the DSR Facilities and Administrative Cost Rates for a listing of the correct rate to be utilized, along with a list of exclusions and other pertinent information. DSR must approve any rates that deviate from the published rates.

6. F&A and USF Cost Sharing

Distribution of Facilities and Administration (F&A)

This section is used to identify the portion of F&A to be split between Co-PIs/Departments.

USF Cost-Sharing / In Kind / Match

NOTE: Cost Sharing should not be committed unless required.

If "Yes", either Required or Voluntary should be notated along with the percentage.

If the cost share is "Required", read the program guidelines carefully to ensure we are meeting the sponsor's requirement AND the appropriate type of cost share is utilized. If the cost share is "Voluntary", contact the department for an explanation. Make sure the appropriate signatures were secured for the cost share.

7. Compliance Approvals

Compliance Approvals

If any of the Approval categories are checked "Yes", the Approval Number must be given or "pending" should be listed. The Approval Letter must be submitted at the time of Award.

8. Conflicts of Interest

CONFLICTS OF INTEREST, OUTSIDE ACTIVITY, AND NEPOTISM

Conflict of Interest (COI) Certification

If yes, a Financial Disclosure Interest Form must be provided for each participant with a financial interest. The FRDF must be approved/signed by the chairperson. The form is sent to DSR for disposition.

Checking "Yes" to COI does not delay the submission of the proposal to the agency. The conflict will need to be managed prior to the award. When the proposal is entered in FAST, COI needs to be checked Yes or No.

Outside Activity

If yes, a copy of the completed of the Outside Activities Form needs to be attached to the Internal Form. DSR reviews the OAF for completeness and required signatures.

If the form is complete, one copy is retained with the proposal and an extra copy of the form is placed in the green binder located in the file room.

The purpose of this form is to provide for effective management of outside activities that have the potential for conflict of interest with your USF duties. Again, Checking "Yes" to Outside Activities does not delay the submission of the proposal to the agency. The conflict will need to be managed prior to the award.

See the section on Compliance Issues, Conflicts of Commitment in Research for more detailed information.

Nepotism

If yes, please submit to your Sponsored Research Administrator a memo signed by the Provost or Vice President determining how the nepotism has been mitigated (refer to USF Regulation 6C4-10.107(11))

9. Investigator Agreement

Principal Investigator

By signing the PI certifies that he/she:

Is not delinquent on 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 this 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 proposed activity and, in consideration of the information and facilities made available to me by USF or the outside sponsor, to assign copyright and patent rights to USF in accordance with the terms and conditions stated in my employment contract.

Co-PI / Chairperson / Dean

University Endorsement, these signatures indicate that the signers are familiar with the project and are satisfied with and responsible 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.

DSR developed the online version of the Internal Form, which uses electronic signatures, to expedite certification by department/college officials.