Roadmap to Success
Proposal preparation procedure steps (roadmap):
1. PI identifies a funding opportunity to which s/he would like to apply (NOTE: A&S Pre-Award Services Office is able to help research funding opportunities for faculty).
2. PI begins developing science, thinks of budget of costs & notifies staff in department.
3. Department administrator helps PI draft abstract, budget and budget justification (A&S Pre-Award Services Office can help at this stage too).
4. Department administrator creates file in Coeus, UC’s internal routing/approval system for all outgoing proposals, and routes for approval.
5. Approvals are required from the PI, the PI’s Department Head, the Associate Dean for Research and then the AOR, Authorized Organizational Representative, which happens in the A&S Pre-Award Services Office. Once all parties approve, the proposal is ready to submit. (NOTE: The A&S Pre-Award Services Office is the last required approval in Coeus, and we provide this at the same time as we actually submit the proposal to the sponsor – which we will never do until the PI gives the final green light).
6. PI provides all other required pieces of the proposal package to the Department administrator. Department administrator and/or A&S Pre-Award Services Office helps PI put together final proposal package.
7. Final proposal package is sent to A&S Pre-Award Services Office for final review. We review final proposal package against what is in the Coeus file and clear up any discrepancies.
8. We notify the PI that the proposal is ready to submit and requests final permission to submit
9. AOR submits and notifies PI that proposal has been submitted.
Post-Award: NOW ALL OF THE ACTIVITY THAT HAPPENS FROM THIS POINT FORWARD IS HANDLED BY THE SPONSORED RESEARCH SERVICE OFFICE (SRS).
10. SRS receives notification if a proposal will be awarded or rejected (sometimes other things may happen before the decision such as a request for a revised budget or an updated CV or other supporting documents, but SRS should notify if it happens).
11. If a rejection notice is received, that closes the file (NOTE: unless the PI would like to submit a revised version after incorporating reviewer comments into a revised version of the proposal).
12. If an award notice is received, the following SHOULD happen:
o SRS will notify the PI that an award has been made - OR
o The sponsor will notify the PI directly that an award has been made, and if this happens, the PI should contact the Department administrator and the Administrator notifies the A&S Pre-Award Services Office and SRS.
13. Then SRS will request three documents:
o Proposal Review sheet (this is something the A&S Pre-Award Services Office generates when a proposal is submitted).
o Compliance Review sheet – Department and/or A&S Pre-Award Services Office completes this.
o Award Acceptance sheet – Department and/or A&S Pre-Award Services Office completes this.
14. Once SRS has these three documents AND a copy of the Notice of Award (NOA) from the sponsor, they will forward all of the information onto SRS Accounting.
15. SRS Accounting will request that the Department complete form called A323 (budget request form).
16. The Department administrator completes this form based on the FINAL budget that was agreed upon when the award was made from the sponsor (total amount should be included in the NOA).
17. The Department administrator sends the completed A323 back to SRS Accounting
18. SRS sends notification back to PI & Department stating that the account has been successfully set up in the system and gives the PI & Department the Grant Fund number to use for expenditures.
19. The Department then can use that Grant Fund number to begin accounting for expenses against the funds.
IF THERE ARE ANY QUESTIONS, CONCERNS, ISSUES, A&S Pre-Award Services Office is happy to help in any way we can!