Proposal Submission

Industry

Many industry proposals do not require the use of specific guidelines or form sets. Obviously, if you are responding to a specific industry Request for Proposals (RFP), you will want to follow the guidelines provided. RF has developed a number of agreement templates for industry use. By including the appropriate agreement with your industry proposal, you may expedite the processing of the resultant award.

In addition to the departmental and central office approvals required for a proposal, depending on the type of sponsor or nature of the work being proposed a variety of additional clearances may be required.

Use of Animals & Human Subjects in Research

The use of animals and human subjects in research is governed by the University in strict compliance with federal regulations. Upon submitting a proposal for a project which uses animals, the PI should prepare a protocol for the IACUC. Any necessary protocols for the use of human subjects should be submitted for review through the Office of Research Compliance.

 Information Required by Sponsors:

1. The date the IRB or IACUC approved the protocol
2. The Human Subjects Federal-wide Assurance number (00000125)
3. The Animal Welfare Assurance of Compliance number (A3011-01).

 If the approval of a protocol is pending at the time of proposal submission, it must be approved before an award is made. Most sponsors will allow the University to submit a notice of approval of a human or animal subjects protocol after the submission of a proposal, but before receipt of award. Some federal agencies specify a 60-day period after submission in which to provide a notice of approval from the University. NIHpolicy now allows protocol approvals to wait until a proposal has been scored. The required approvals can be submitted as part of the "just-in-time" documentation sent in when it appears likely that a proposal will be funded.

Hazardous Materials

Hazardous Materials include infectious, radioactive, carcinogenic, teratogenic, mutagenic, corrosive, and combustible substances. Handling, shipping, and disposition of hazardous materials and waste are federally regulated. Departments affected by the regulations have guidelines available. The institutional contact is:........

Hazardous materials shipped to a foreign destination are also regulated by federal export controls. For these activities the institutional contact is: Susan Gasparo…...

 Conflict of Interest

SBU's conflict of interest (COI) policy requires that all individuals with faculty status, all postdoctoral scholars and associates, and certain salaried employees submit a COI disclosure form with each proposal through myResearch. The purpose of this form is to provide the necessary information for the evaluation of outside activities that could be perceived as or lead to a potential conflict of interest.  If you have any questions regarding this policy or the procedures, please contact Susan Gasparo at susan.gasparo@stonybrook.edu.

 Recombinant DNA

The use of recombinant DNA is strictly regulated by the federal government. Departments affected by the regulations have guidelines available. 

The RFSUNY/SBU proposal preparation and submission process requires significant contributions from the principal investigator, department/college, and OSP. Each party assumes essential roles and responsibilities to facilitate the individual application process and protect the overall, institutional interests.

Principal Investigator	When functioning as a funded researcher, PIs assume fiscal and legal responsibilities. Each Principal Investigator is responsible for assuring that the terms of the award are met and the policies of the campus are followed. Generally, a PI is responsible for the overall development and content of the proposal. PIs must:  Review sponsor requirements and comply with all terms and conditions of the sponsored award Develop the scope of work and determine the resources necessary to complete the project Manage project funds efficiently and effectively within approved budgets, confirming allowable budgeted items and verifying time/effort commitments, salaries, salary caps, and rates (FB, F&A), tuition, cost sharing, and under recovery; provide signed PI certification Form if routing via myResearch Communicate with OSP as early as possible during budget preparation regarding preparation of Small Business Subcontracting Plan, if required Consults with the Department/Dean regarding the use of space and personnel, under recovery, cost sharing, international activities and other key issues, as needed Secures all commitments required for proposal and provide applicable certifications. This includes Human and Animal subject protocol(s) or any other institute approval, i.e. biohazards, radioactivity, export controls, and Subaward vs. Procurement issues from appropriate institutional office Comply with all applicable state and university policies, procedures, and laws Complete Conflict of Interest information requests and submit disclosure, if required; ensure all other Sr/Key Persons do the same Ensure that the project is completed in a professional manner Accept fiscal responsibility on behalf of his/her department, administrative unit, and/or campus in the case the project is over extended or an unauthorized expenditure is disallowed by the auditors Submit electronic renewals or non-competing continuations
Co-Principal Investigator/Project Director	Other person(s) primarily responsible for the scientific, technical, and administrative conduct of a project. In this secondary role to the PI, a Co-PI: Provides leadership over a specific task of the project Coordinates necessary approvals, if at other institution Contributes to managing the project and any reporting requirements The appointment of Co-Principal Investigators does not supplant the need for one individual to be designated as “corresponding” investigator.
Collaborator	A person or entity typically volunteering some effort to conduct one minor task, measurement, or analysis. He or she is not compensated and is not involved in management or reporting if a project is funded. He or she may be asked by a sponsor for a letter explaining contribution to the project.
Departmental Research Administrator (DRA)	Responsible for the overall preparation, review and department approval of the proposal prior to routing it for submission: Assures the availability of space and equipment Reviews the proposal prior to submission to ensure compliance with sponsor solicitation and RF policy (PI status, subaward materials, and myResearch routing requirements) Reviews the budget—verifies rates, unallowable costs, salary caps, cost sharing, under recovery, location and type of activity Prepares or collects other administrative documents, such as bio sketches, other support, resources, and checklist Obtains third-party documentation—including consultant letters, subaward proposals, scope of work, budget, and subaward institutional sign-off Prepares documentation, as necessary, for RF requirements, including PI status, cost sharing, underrecovery, vacation, graduate student support, salary caps, and faculty effort, and Subaward vs. Procurement verification Verifies and reviews for regulatory compliance as well as protocols and training— human subjects, animals, biohazards, export controls, responsible conduct of research, NSF postdoctoral mentoring plan, and conflict of interest disclosure(s) Collects and enters electronically all components of the proposal as needed, into myResearch Verifies required approvals obtained in myResearch Provides department head’s approval of proposal content, including scope of work, and commitment of department space and other resources Manages the routing and review of the proposal, including sign-offs by multiple PIs and Department Heads and Dean’s office—either electronically via myResearch or by hard copy – in sufficient time to meet OSP's 5 business day internal deadline Informs OSP representative in advance that a proposal is being routed, along with any solicitation reference. Works with PI to request waiver from Dean of 5 business day internal deadline rule if necessary Routes the internally approved proposal to OSP Submits electronic renewals or non-competing continuations Submits OSP-approved paper proposals and, if sponsor solicitation dictates, electronic proposal via sponsor website Work with OSP to ensure proposal sent to sponsor is reflected in myResearch.
School Administration (Dean’s Office)	Reviews, advises, and approves proposals Reviews requests for space and other resource commitments, such as cost sharing or funding of underrecoveries, required by the proposal Assures PI status Manages requests for waiver of 5 day internal deadline rules.
Office of Sponsored Programs	The primary mission of Sponsored Programs office (OSP) is to promote extramural funding of research and scholarly activity and to help you, either individually or as part of a group, by: Reviewing, advising, providing  institutional endorsement, and submitting proposals Providing administrative services such as review of proposal, budgets, and supporting documentation for compliance with sponsor solicitation, federal and RF policies Protecting the campus from additional conflicts by making certain no unnecessary risks and liabilities are undertaken   Ensuring proper stewardship of sponsored funds   Creating mechanisms for accountability   Developing procedures for the proper use of sponsored funds  Interpreting sponsor’s rules   Establishing compliance with public policies   Filing assurances and certifications regarding regulatory compliance Serving as the official liaison between the campus, the Research Foundation and the funding agency.

Routing Policy

The RFSUNY/SBU requires its researchers to route external funding requests and related documents through departmental, collegiate, and institutional channels for review and approval prior to submission to an external funding source, reaching the Office of Sponsored Programs for review and handling at least five working days in advance of the sponsor's submission deadline. The Principal Investigator or Departmental Administrator should monitor any routing-in-progress to ensure compliance with the deadline.

The routing requirement applies to:

• Preliminary applications that include a budget or require an institutional signature - myResearch.

• Full applications that represent new, revised, competitive renewal, or supplemental funding requests - myResearch

• Non-competitive renewal applications/progress reports that include a budget, require an institutional signature, or involve a significant project change that has not yet been reported– i.e., a change in key personnel or corresponding salary, effort, or credit; a change in institutional resources, such as space or cost-sharing; or a change in relation to any compliance issue, including human subjects, vertebrate animals, rDNA, select agents/toxins, human pathogens, export controls, and/or conflicts of interest. - non-myResearch application.

• New and renewal contracts, including subawards and non-monetary agreements. - myResearch

• Incremental-funding contract amendments reflecting a change in the original estimated total cost or a change in the statement of work.-non-myResearch application

• Budget revisions, personnel changes, and all other pre- and post-award adjustments involving a financial issue, a salary/effort/credit concern, the commitment of university resources, or any compliance issue.-non-myResearch application.

• Requests to carry forward funding from one budget period to another.-non myResearch application

• Requests for no-cost extensions of the established project period.-no cost extension form.

• Incremental-funding contract amendments where the amendment does not reflect a change in the original estimated total cost or a change in the statement of work.-non-myResearch application

• Requests to rebudget once the project has been funded, provided the request does not involve personnel issues or institutional commitments.-non-myResearch application.

The University applies this policy universally: to all types of funding requests, whether a grant, fellowship, or contract; to all types of application systems, whether paper or electronic; and to all external funding sources, whether governmental, nonprofit, or commercial. Likewise, the routing requirement is in force whether the document requires an institutional signature or not.

Hard Copy Submissions

There are two very important guidelines to check when mailing your proposal: due dates and number of copies if the submission is to be hard-copy rather than electronic.

• Due Dates and Delivery:

• "Target Date" means the proposal should be received by the sponsor within one to two weeks of the stated target date.

• "Post Date" means the deadline is the day the proposal package is sent to the sponsor. That is, the postmark date on the package must be the deadline date or earlier.

• Receipt Date means the deadline is the day proposal package is received by the sponsor.

• For security reasons some sponsors do not allow hand delivery, call and check if you are planning to hand deliver a proposal.

• Number of Copies:

• Do send the exact number of copies requested in addition to the original - no more and no less. Always be sure to send the original.

• Do include a cover letter unless directed otherwise. If you are submitting to a foundation, corporation or non-profit organization, OSPwill provide an endorsement cover letter. The PI may add a second, more specific cover letter if desired.
• Do not copy pages that are to be submitted in the original only, such as the PIinformation page in an NIH or NSF proposal.

Electronic Submissions

Grants.gov submissions are prepared by the PI.  After OSP has reviewed and approved the proposal it will be submitted by a Grants Administrator through the grants.gov portal.   OSP strongly recommends submitting the proposal as early as possible to avoid the inevitable slowdowns that occur on the due date.

In most cases, final submission of an electronic proposal can only be done by an authorized official in OSP.  The submission is equivalent to the University's institutional signature on the proposal. In order to be sure we do not miss a deadline, OSP asks that the PI

• have the proposal complete and ready for submission a day ahead of time if possible or at least several hours ahead of time in order to avoid the last minute system slowdowns and crashes that can occur;

• remember that our business hours are 8:30 to 5:00, and we do not stay in the office until midnight for proposals with a midnight deadline time
• stay by a telephone until we confirm successful submission - just in case a problem arises.

Copies to OSP

Typically OSP requires one copy of the final version of the proposal for the file, unless the entire proposal is submitted by and available to OSP within the electronic submission system.

For federal agencies, non-federal agencies, corporations and foundations that do not accept proposal submissions electronically or that do not provide OSP access to proposals after they have been submitted electronically, OSP still requests that the department provide one copy of the full and final proposal. It is important to remember that having copies at OSP will greatly improve the ability of OSP to process the award in a timely manner.

Checking Proposal Status

PIs can check on the status of their proposals. This is especially true, when the PI submitted the proposal electronically. PIs can log onto the agency specific systems, such as FastLane at NSF or eCommons at NIH to check the proposal status. If the sponsor does not have or does not allow access to an on-line system, the PI will have to initiate an inquiry about the status of the proposal directly with the sponsor.