Proposal Routing

Proposal Routing Overview

The University Transmittal Form documents the understanding among the Principal Investigator, Co-Principal Investigators and his/her Department Chair, Dean, and University Officials of the expected allocation of institutional resources and the terms and conditions of the anticipated grant/contract award. It is the obligation of the Principal Investigator and Co-Principal Investigators to ensure all entries on the University Transmittal Form are completed and are accurate.

In order to assist faculty with the expeditious return of signed proposals, completed proposals (signed through the college-level) are to be submitted to the Office of Sponsored Programs at least five working days prior to the proposal deadline date. This time is required to adequately review proposal budgets and forms and to obtain university-level signatures. Please contact the Office of Sponsored Programs promptly if you are unable to meet this required five-day deadline.

Electronic Proposal Submission

All proposals, whether paper or electronic submission, must be routed through the university approval process via the University Transmittal Form. Most electronic submissions will be handled through the Office of Sponsored Programs with the exception of those completed by the Principal Investigator such as the AHA submissions.

College Grants Administrators

The initial contact for most faculty members are with the department or College Grants Administrators. University Transmittal sheets must be reviewed by the College Grants Administrator prior to obtaining Chair/Dean signatures.

For colleges not listed at the above link or for other units/offices, please contact the Office of Sponsored Programs, 460-6456.

Signatory Process

The Transmittal Form is an official and auditable record for awarded grants. As an official grant record, each signatory must comply with the following procedures.

All signatures must be signed personally by the individual. A signature written by another individual and initialed is not acceptable until an original signature or a delegated authority signature has been obtained. A faxed signature will be acceptable in meeting these requirements.

Principal and Co-Principal Investigators must personally sign the Transmittal Form.

Department Chairs or Acting Chairs or Delegated Authority must personally sign the Transmittal Form.

Deans or Assistant/Associate Deans or Delegated Authority must personally sign the Transmittal Form.

Delegated authority to another university faculty/staff member may be assigned by the Department Chair or the Dean by sending a letter or an email to the Office of Sponsored Programs naming the individual certified as the delegated authority.

Research Compliance Routing Procedures

Animal Use: Federal regulations regarding the use of animals require that a protocol be reviewed and approved when animals are used in research, testing, or instruction. Additionally, the application for use of animals is required for all field research. USA policy requires review of all vertebrate animals such as mammals, reptiles, amphibians and fish. For questions on Animal Use, please call the IACUC office at 460-6863 or http://www.southalabama.edu/researchcompliance/animalcare.html

Human Subjects: Federal regulations and USA policy require faculty, staff or students conducting research involving human subjects to obtain review and approval from an Institutional Review Board (IRB) before the research begins. For questions, please call the IRB office at 460-6308 or http://www.usouthal.edu/researchcompliance/humansubjects.html

Embryonic Stems Cell: Please contact the Office of Research Compliance at 460-6625 if the research requires use of embryonic stem cells.

Biological Materials: Examples of biological materials include: recombinant DNA, RNA, potentially infectious agents, human blood/tissues/fluids or primary cell culture derived from humans or non-human primates. For questions, please call the IBC office at 460-6509 or http://www.southalabama.edu/researchcompliance/biosafety.html

Select Agents or Toxins: Contact the Office of Research Compliance at 460-6625 in advance of proposal submission regarding projects involving select agents or toxins. A listing of select agents and toxins is available at: http://www.selectagents.gov/Select%20Agents%20and%20Toxins%20List.html

Export Controls: Check this box if: 1) export controlled equipment, information or technology will be exported or utilized by the University during the course of the project; 2) travel to foreign countries; 3) the funding source limits USA’s submission of manuscripts for publication, restricts the use of the data or results from the project that will effect USA’s freedom to publish, or places restrictions on whom may be working on the project; 4) Individuals, agencies, consultants, universities, or entities from a foreign country are working with USA on the project/program; or 5) you be using any encrypted software in your research project not available in the mass market. For additional questions regarding exported controlled items, please call the Office of Research Compliance at 460-6509 or http://www.southalabama.edu/researchcompliance/exportcontrol.html

Significant Financial Interest: Significant financial conflicts of interest as defined by PHS/NSF is anything of monetary value over $10,000 or equity interest exceeding $10,000 in current value or 1% ownership interests that would reasonably appear to be affected by the activities to be funded by this project. For the purpose of conflict of interest disclosure, an “Investigator” means the principal investigator/project director, co-principal investigator; co-project director, (or their spouse or dependent children) and any other person who is responsible for the design, conduct, or reporting of research, educational, or service activities funded, or proposed for funding, by an external sponsor. Such disclosures must be made prior to the submission of a proposal for funding project. For more information on Significant Financial Interest, please see the NIH Frequently Asked Questions: http://grants.nih.gov/grants/policy/coifaq.htm

Radiation Safety: If radioactive material or ionizing radiation producing devices, including x-ray units, electron microscopes, and particle accelerators, will be used or the research involve lasers, including Class 1M, Class 2M, Class 3R, Class 3B, and Class 4 lasers, please contact the Radiation Safety office at 460-7063 for assistance.

Safety & Environmental Compliance:
Highly Toxic Gases: If the proposed research will involve highly toxic and/or reactive gases (ex. Phosgene, hydrogen cyanide, fluorine, etc., please contact the Safety and Environmental Compliance Office, 460-7070. Chemicals: If the proposed research will require the use of chemicals, please contact the Safety & Environmental Compliance Office, 460-7070.
General Safety: All projects involving facility modifications and/or new construction activities must be reviewed by the University’s Engineering Design and Construction department. Other conditions that may pose a potential hazard for faculty, staff, students and/or visitors not specifically mentioned within the body of this document must be submitted to the Safety & Environmental Compliance Office, 460-7070.
Environmental Compliance: If the proposed research will pose a real or potential impact on the environment requiring permits, contact the Safety & Environmental Compliance Office, 460-7070. Fuel tanks over 50 gallons will require Mobile Fire Department permitting, contact the University Fire Marshal for guidance, 460-7070

Proposal Routing Procedures

Complete all applicable fields on the Transmittal Form

All dates should follow the example format: 10/01/08.

OSP Log # - please leave blank, OSP will complete this field after your transmittal form completes OSP final review.

Proposal Abstract - please limit to the space provided. Please note that the proposal abstract will be provided to the Public Relations Office for use in press releases announcing the award.

CFDA Number - this is a number unique to each federal funding program and is required by Grants and Contracts Accounting for awarded grants. The CFDA (Catalog of Federal Domestic Assistance) number may also be found in the application materials.

All budget figures should be rounded off to the nearest whole dollar amount. Please do not include cents in any of your budget figures.

Current Year Budget and Entire Project Period - please provide the appropriate information for the Direct , F&A, and Total costs.

Please select the appropriate F&A rate from the dropdown list.

Cost sharing from a source other than your department or college must include appropriate documentation. For example, a tuition waiver must include an attached email or letter from the Graduate Dean. Banner Account numbers must be listed for each Cost Sharing Item (16 digit number - fund, organization, program).

Compliance Reviews - please select the applicable compliance type and complete the appropriate accompanying information.

Export Controls - please review each question and check Yes or No as applicable.

Disclosures and Certifications - please review each item carefully and check Yes or No as applicable.

Conflict of Interest Certification - please review each item carefully and check Yes or No as applicable.

Complete the College-Level Review/Signatory Process

After the Principal Investigator has received approval from the College Grants Administrator, please print the University Transmittal Form, sign and obtain all appropriate department-level and college-level signatures on the Transmittal Form.
Complete the University-Level Review/Signatory Process

The complete application package must be received in the Office of Sponsored Programs five working days prior to submission to the agency.

The application package submitted to the Office of Sponsored Programs must include the following:

Transmittal Form reviewed by the College Grants Administrator and signed through the college-level, agency face page, budget forms along with final budget narrative, other agency forms, all required documentation as noted on the Transmittal Form and any agency forms requiring a physical signature by the Authorized Organizational Representative.

Final or draft proposal narrative

If the application is a Grants.gov application, the electronic file must be emailed by the College Grants Administrator to the Office of Sponsored Programs.

The Office of Sponsored Programs will secure the Authorized Organizational Representative signature and will return original signature documents except for the Transmittal Form to the Principal Investigator. A pdf copy of the transmittal form will be emailed, and the original will be retained in the Office of Sponsored Programs.

The internal review process assures the Principal Investigator that the proposal paperwork has been completed accurately, including the University Transmittal Form, appropriate forms, budget and budget justification, along with meeting required assurances and compliances.

Electronic Submission, Mailing and Final Copies

For most electronic submissions, the Office of Sponsored Programs will make the submission directly to the agency. For a paper submission, the Principal Investigator is responsible for completing the application package according to the agency guidelines, making all necessary copies of the application, and mailing the application package to the agency after the Authorized Organizational Representative has signed the Transmittal Form. Please note the University Transmittal form is a University form only and should not be mailed with your application.

Final copies of the full proposal, including proposal narrative and appendices should be filed with the Office of Sponsored Programs.

Record Retention Please note that the Office of Sponsored Programs archives declined proposals for approximately one year. It is the responsibility of the Principal Investigator to keep a copy (electronic and hardcopy) of their proposals. Funded proposals are kept for five years past the ending project date by the Office of Grants Administration.