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Proposal Preparation
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Compliance Item |
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Did you make the necessary changes to the proposal and Proposal Routing Form (PRF) as requested by your department or college before sending it to Sponsored Projects Administration (SPA)? |
Department research administrator
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Did you obtain the appropriate approvals on the PRF that include: principal investigators, department heads, and collegiate deans? |
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If your research proposal requires approval from University regulatory committees (IRB, IBC, etc.), do you have written standard operating procedures for your research protocols? |
See Committees listed on "Full Directory of Contacts" page
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If you are applying for a Department of Defense (DOD) grant, have you received a Department of Environmental Health & Safety (DEHS) signature on the DOD's "Certificate of Environmental Compliance" form? |
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Have you secured appropriate approvals for extra-departmental resources? For example, Cancer Center, School of Nursing, and Fairview Hospital resources. |
Local grants development expert |
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Have you reviewed and followed the sponsor’s proposal instructions? |
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Do you have sufficient administrative staff to manage financial and programmatic obligations of your proposed project(s)?
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Department chair |
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Have you identified adequate space for the project? |
Department research administrator |
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Have you identified the needed equipment for your project? Inventory Services can identify equipment currently at the University that might be used on a sponsored project, preventing the unnecessary purchase of equipment (Source: OMB A-110.)? |
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Does the budget narrative include proper written justification for all proposed costs? |
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Have you listed all other sources of support for your research as required on the grant application?
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Will you generate program income as a result of your project? For example, conference fees, lab services, or reagents. If so you need to determine if your program income is reportable or nonreportable. |
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Did you use the negotiated Facilities & Administrative (F&A or indirect cost) rates, including proper University and sponsor rate determinations ? |
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Did you obtain a waiver if the F&A rate is other than the University negotiated rate? |
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Have you appropriately allocated direct and indirect costs in your proposed budget? |
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Does the budget narrative include proper written justification to direct charge normally indirect type costs? For example, clerical and administrative salaries, local phone, or office supplies. |
Department research administrator
SPA
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If your sponsor has salary cap limitations (e.g. NIH) have you adhered to them? |
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Have you confirmed the sponsor is able to meet its financial obligations? If you have concerns have you notified SFR? |
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Do you anticipate patents or potentially marketable intellectual property as a result of your project? |
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SPENDING PRIOR TO PROJECT START DATE |
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Do you need to begin spending funds prior to the project start date?
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Department research administrator
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Does the sponsor allow pre-award or advance costs? |
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If so, have you completed the required University Pre-award/Advance Account Request form and received approval prior to spending? |
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SUBAWARDS AND SUBRECIPIENTS |
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Have you determined whether work is a contract for professional services or subaward? |
Department research administrator
SPA
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If you plan to use a subrecipient, have you applied the correct F&A rate? |
Department research administrator
SPA
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If you plan to use subrecipients, have you obtained commitment letters, budgets, and work scopes?
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If you plan to contract for professional services, have you located the standard University contract and ensured work will not begin until the contract is executed? |
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Is the principal investigator and staff proposed effort on this project and in total for all projects less than or equal to 100%?
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Department researchadministrator
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Does the committed effort in the PRF match the committed effort shown in your proposal? |
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Have you reviewed proposed cost sharing and determined whether it is appropriate and necessary? |
Department research
administrator
Policy
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Does your proposal meet the sponsor’s required cost share, match or in-kind contributions? |
Department research administrator
Sponsor guidelines
SPA
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Do you understand the University’s conflict of interest disclosure and approval process? |
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Annual Reporting: Does your Report of External Professional Activities (REPA) disclose all relevant business or financial interest, including interest of immediate family members that could affect research? For example, executive board positions or fiscal relationships with the sponsor. |
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Do you have a REPA on file for the most recent reporting period? |
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Have you identified all projects affected by any potential conflict of interest on your REPA? |
Department research administrator |
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Anticipated Potential Conflicts: Have you received the University’s required prior approvals for any anticipated conflicts of interest associated with the project and amended your REPA accordingly? |
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Substantial Changes in Business or Financial Interests Occur: Have your business or financial circumstances changed since filing your REPA and if so, have you amended your REPA? |
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Do you need a conflict management plan? |
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Outside Consulting: Will you consult with the award sponsor? If so, in addition to a REPA disclosure, you may also have to receive departmental approval (Request for Outside Consulting). |
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Disclosure by Team Members: Have all team members with responsibility for the design, conduct or reporting on the research project filed a REPA, regardless of employment classification or status? |
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Have you notified
all key personnel listed on the proposal of their obligation to
file a REPA? (For example, civil service employees who are listed
as "key personnel.") |
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Is an external source providing you with research materials? For example, biologicals, datasets, or reagents. If so, did you complete a material transfer agreement (MTARF) prior to receipt of the materials?
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CONFIDENTIAL INFORMATION AND DATA |
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Have you requested
your sponsors or any party providing data to specifically designate
and mark data that are to be treated as "confidential?" |
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Do you have appropriate safeguards in place to maintain the confidentiality of proprietary information provided to you or members of the research team? |
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Has your sponsor proposed impermissible restrictions on your ability to publish research results? |
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Has your sponsor proposed restrictions that may conflict with principles of academic freedom or the University’s research policies? For example, export controls, foreign nationals, or publication restrictions. |
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Is any of your proposed research subject to federal export control regulations? If you are unsure, contact the OGC. |
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Are you aware of the restrictions imposed on international students and staff you may want to work on the project, based on their country of origin, if export controlled research or technology is involved? |
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Are you aware of your obligations regarding information subject to export controls? |
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Are you covered by your department's Lab Safety Plan? If uncertain, contact your department’s Research Safety Officer. |
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Do you have current records of training in lab safety, hazardous waste, and if applicable, radiation safety and bloodborne pathogen/infectious agent training records for yourself and staff which have been updated within the last year? |
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Do you have written lab-specific SOPs for work with hazardous materials or hazardous procedures? |
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HAZARDOUS MATERIALS - BIOHAZARDS |
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If your work involves recombinant DNA, infectious agents, or biologically-derived toxins, have you applied to the Institutional Biosafety Committee (IBC)? |
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If your work involves federally designated select agents, have you contacted the Biosafety Officer in Environmental Health and Safety? All possession of select agents requires registration with the Select Agent Program through Environmental Health and Safety. |
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HAZARDOUS MATERIALS - CONTROLLED SUBSTANCES |
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Are you aware of DEA regulations and do you have a license for any controlled substances your project may use? |
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HAZARDOUS MATERIALS - RADIOACTIVE/IONIZING RADIATION PRODUCING |
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Do you have a permit for any radioactive materials or ionizing radiation producing equipment your project may use? |
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Does your proposal involve human subjects? |
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Do you know of the laws and guidelines governing research that affects human subjects? |
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Do you know what research the IRB must review and their review process? |
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Does your research involve the transfer of rDNA form to human subjects? If so, have you obtained approval from the NIH Office of Biotechnology Activities' (OBA) Recombinant DNA Advisory Committee (RAC), as well as approval from the University's IBC and IRB? |
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Do you plan to use ionizing radiation on human subjects? |
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Do you understand your obligations under the laws and guidelines governing the use of animals in research or teaching? |
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Do you know which types of research the Institutional Animal Care & Use Committee (IACUC) must approve? |
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Do you know the IACUC review process for your animal activities and have you applied for IACUC approval for your protocol? |
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Do you plan to use ionizing radiation on animal subjects? |
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Do you plan to use infectious agents, rDNA, or biological toxins with animal subjects? If so IBC approval is needed in addition to IACUC approval. |
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Do you plan to use anesthetic gases or other chemicals with animal subjects? If yes, do you have a gas scavenging system and written SOPs to ensure safe use of the compounds? |
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