Funding Overview

The following provides a brief overview of the entire proposal/award process to provide a framework. It is recommended that the other Professional Development sessions and Responsible Conduct of Research training be completed to gain a complete picture of the topics discussed in this overview.

Proposal Submission

· Requires Office of Research and Sponsored Programs approval

o Even if sponsor specifically requests a proposal

o Obtained on the routing form

o Exception: sponsor/agency requires proposal/application to be submitted by the individual

§ May state will reject if submitted by the institution

§ Is not processed/reviewed by the Office of Research

§ No routing form needed

· Routing Form

o SharePoint form with workflows to email appropriate individuals

o Includes approval from Co-Principal Investigators, if applicable

o Department Chair(s) and Dean(s)/Director(s) approve

o Certification section

§ Must be completed

§ Majority of questions used as guides for investigator

· Inform the investigator to obtain necessary approvals for animal use, biohazards, etc.

· Provides contact information for protocol

· Approval is not needed at proposal stage, must be before start spending

§ Includes questions on principal investigator responsibilities

o Cost Share section must be completed if proposal contains cost share

§ Cost share approval is obtained by signing the form

§ Office of Research generally does not approve voluntary cost share

§ More information is provided on the Cost Share Document

· Submitted once all approvals are obtained

o Either electronically, mailed or hand delivered to sponsor

§ May require submission by the Office of Research

§ Based on requirements by the sponsor/agency

· Contracts

o Routing form must be submitted

§ Office of Research must approve

o Office of Research involved with necessary negotiations

o Office of Research obtains the appropriate UNO and state signatures

Award Management

· Begins as soon as the award is made

· Includes:

o Ethical conduct of research

§ All aspects of research and all individuals involved

§ Misconduct could lead to sanctions, fines, etc. for the individual and/or university

§ Responsible Conduct of Research (RCR) training

· Required for all individuals who receive support from or are a Principal Investigator for an award from the National Science Foundation or U.S. Department of Health and Human Services

· Includes on-line tests and live discussions

o Proper spending of funds

§ Must follow the awarded budget

§ May submit a budget adjustment request

· Sponsored Programs Accounting processes request

· May need sponsor approval

§ Must be allowable, allocable, reasonable and consistently applied

§ May need sponsor approval for some items, such as additional compensation

· Refer to award document or sponsor guidelines

o Timely submission of reports/deliverables

§ Follow deadlines in award document

§ Could result in audit finding if submitted late

o Adequate monitoring of subcontractors, if applicable

§ Performed throughout the project period

· Principal Investigator’s responsibility

· Office of Research provides assistance and reminders

§ Properly and timely close subcontracts

· Final invoice must be paid before final invoice is submitted to sponsor

Closeout

· Questions to consider near the end of the award to allow closeout to proceed smoothly:

o Will an extension be needed?

o Does a particular expenditure benefit the project?

o Are all expenditures posted to the award so they can be billed?

o Will the final report/deliverable be completed by the due date?

· For more information, see the Closeout document

Responsibilities

Principal Investigator

· Properly prepare and submit a proposal

o Complete the internal routing form

· Properly manage award

College or Department Offices

· Review and approve/reject routing forms

· Encourage proposal submissions

The Office of Research and Sponsored Programs

· Review proposals

· Submit proposals as required by the sponsor

· Assist with award management and closeout