Proposals and Awards Roles and Responsibilities

Identify Funding and Initiate Proposal Process

• identify funding source
• review program guidelines
• calculate your submission processing timeline
• submit Information Sheet

Proposal Preparation

• identify project team, including co-principal investigators (Co-PI), and, if appropriate, consultants, subcontractors, and contractors (vendors); complete subcontract/contract decision form for each organization; ; have subcontractors complete the Subrecipient Commitment Form and the subcontract packet found here.
  
• provide contact information to ORS for all organizations involved in subawards or subcontracts; assist ORS if there are issues with obtaining subcontract information
• identify any space requirements and discuss with Department Chair how these needs will be met
• coordinate with ORS if full research indirect cost (55%) is not anticipated, so the correct rate is established to include completing a request for reduced IDC form, if needed
• prepare proposal budget on OU budget template, or work with ORS to draft budget and a detailed budget justification. Identify sources of any required cost share, including submitting a cost share request to the VPRP if needed Office of Research Services - Cost Sharing Request (ou.edu). Please note that the internal cost share (a portion of the project costs that is not covered by the sponsor and is a commitment by OU) must be paid upfront to Grants and Contracts Accounting (GCA) to demonstrate OU’s commitment and support for the project.
  
• provide internal routing package Proposal Submission (ou.edu) to ORS; if OU is the lead, prepare draft summary/abstract; if OU is a subcontract, prepare a statement of work with tasks or objectives; prepare final proposal components as specified by sponsor and submission system instructions including:
  • summary/abstract/scope of work
  • technical proposal/project description/narrative
  • personnel documents (biographical sketches, other support/Current & Pending, and Collaborators and Other Affiliations/COI)
  • equipment and facility/other resources
  • submission budget information (cost volume, milestones, assist ORS with budget submission forms)
  • other proposal components required by sponsor

Proposal Submission and Sponsor Review

• coordinate with ORS on submission systems, accounts, and who is doing the submission
• unless specified in the sponsor program guidelines, ORS does not require the human subjects, animal use protocols, Institutional Biohazard Committee (IBC) or radioisotope approvals at the time of internal routing and/or submission of the proposal.
• assemble final proposal components (see above); provide files and responses to ORS as requested per sponsor guidelines.  If PI is submitting, provide final copy of submissions to ORS.
• respond to sponsor questions or requests for additional information during review process and involve/copy ORS
• submit all final proposal documents to ORS at least three business days prior to the sponsor submission deadline

Award Acceptance

• forward any sponsor correspondence to ORS.  Principal Investigators are not authorized to sign or accept awards on behalf of the University.
• review the proposed budget to ensure it aligns with the awarded budget and assist in resolving any discrepancies
• complete and send to ORS compliance documents if required for the project such as Conflict of Interest (COI), Institutional Animal Care and Use Committee (IACUC), Institutional Review Board (IRB), Human Subjects,  and Institutional Biohazard Committee (IBC), (which includes Recombinant DNA, Biohazards, /Select Agents or Toxins, and radioisotopes)
• respond promptly to ORS requests for information or files; any program officer correspondence should be copied to ORS 

Award Management

• maintain compliance with the terms and conditions of the sponsored agreement using ethical and responsible conduct
• ensure timely completion and submission of required technical reports.  ORS is only involved if required
• work with the Office of Research Services on no cost extension or other award modifications through the life of the award
• work with Grants and Contracts Accounting (GCA) and departmental personnel as needed or required by Sponsor; ensure expenditures are compliant and reported
• remain compliant with all university and sponsor policies and procedures pertinent to the award

Identify Funding and Initial Steps

• respond to questions about finding funding opportunities
• process information sheet, determine eligibility of organization and PI to submit, check for limited submission restrictions, and contact PI within 24 working hours to discuss submission timing and submission responsibilities (PI and ORS)
• clarify program guidelines as necessary, providing checklists and proposal component responsibilities (PI and ORS)
• assist investigator with obtaining access to sponsor accounts and proposal submission systems as necessary

Proposal Preparation

• obtain contact information for all involved organizations
• send PI subcontract/contract decision form and ensure one is completed for each organization (if applicable)
• determine eligibility of organization and PI to submit and that Limited Submissions are not involved or have been completed
• ensure PI has submitted conflict-of-interest disclosures, if required
• assist PI with drafting proposal budget using current ORS budget template. ORS does not create budgets without PI input.
  • review budget – within sponsor requirements (and cost shared amounts if appropriate)
  • assist as possible with sponsor budget forms
• provide information and guidance on sponsor and university cost-sharing requirements
• review routing documents (including subcontract and cost-share) for accuracy
• begin internal routing (Proposal Submission (ou.edu)) for permission to submit and notify PI when completed
• provide certifications from ORS/the University required for submissions

Proposal Submission and Sponsor Review

• provide information and assistance in completing administration information needed on submission forms or as part of files the PI is developing
• for proposals submitted by ORS:
  • ensure submission system is accessible
  • check for loading issues on files
  • monitor received files for compliance issues
  • request final clearance from PI on budget amount of submission and that PI is ready to submit
  • provide institutional signature, either hard copy or via submission through an electronic system
  • transmit any required information to sponsor
  • load submission copy in Cayuse
  • notify PI of completed submission, when submission is done by ORS

Award Acceptance

• inform PI of receipt of award when received by Award Administration
• review and negotiate award terms in coordination with Legal, Export Control, and Office of Technology and Commercialization to ensure terms and conditions are appropriate for an academic institution
• confirm required human and animal subject protocols, biohazards, radioisotope, and conflict of interest clearances are in place
• routinely update PI on of progress of negotiations
• obtain institutional signature on award, and return to sponsor
• send processed award notice to PI and to Grants and Contracts Accounting (GCA), who will set up the account 

Award Management

• process No Cost Extensions (NCE), modifications, supplements, technical and patent reports
• correspond with the sponsor throughout the life of the award
• ORS does not manage any financial post-award activities or equipment reports