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    A - Z Guide for Proposal Preparation and Award Administration

    A

    A–21 Cost Principles for Educational Institutions – IIT is required to follow OMB Circular A21 for all grants and agreements. Definitions of allowable costs:
    http://www.whitehouse.gov/sites/default/files/omb/assets/omb/circulars/a021/a21_2004.pdf

    A–110 Administrative Requirements – For Grants and Agreements with Institutions of Higher Education, Hospitals, and other Non–Profit organizations. IIT is required to follow OMB Circular A110 for all grants and agreements.
    http://www.whitehouse.gov/omb/circulars_a110/

    A–133 Audits of States, Local Governments and Non–Profit Organizations – This includes revisions published in the Federal Register 06/27/2003 and 06/26/2007. IIT is required to follow OMB Circular A133 for all grants and agreements.
    http://www.whitehouse.gov/sites/default/files/omb/assets/a133/a133_revised_2007.pdf

    Academic Appointments – IIT is a private university. The ultimate authority to determine policy and conditions of academic appointment resides with the Board of Trustees and is vested by the Board in the President and the Provost.
    http://www.iit.edu/general_counsel/policies/faculty_handbook/pdfs/iv_conditions_of_academic_appointment.pdf

    Academic Integrity – IIT is dedicated to education and research and hence is committed to truth and accuracy. Integrity and intellectual honesty in scholarship and scientific investigation are, therefore, of paramount importance. It is the responsibility of the faculty and staff to maintain high ethical standards of professional integrity. IIT also has an ethics policy which can be found in the policies and procedures handbook. Any violations of this policy should be reported to the Vice Provost for Research.
    http://www.iit.edu/general_counsel/policies/

    Advanced Expenditure Authorization – An advanced expenditure authorization form can be used to establish a new account or continue expenditures on an existing due to a delay in receiving an award from a sponsor. Only a non–sponsored, non–federal account can be charged. Authorization form:
    http://iit.edu/research/services/sponsored_research/pdf/advance_expenditure_form.pdf

    Account Set–up – Grant & Contract Accounting
    http://www.iit.edu/grant_contract_accounting/grant_review_toolkit.shtml

    Agreement Negotiations – Only designated individuals who are authorized by IIT policy can enter into an agreement on behalf of IIT. Faculty and staff do not have authority to initiate or to enter into a contract or transaction, and should not represent that he or she has authority, unless such authority is specifically provided for in this or other policy documents. IIT policy:
    http://www.iit.edu/general_counsel/pdfs/procedure_q1_contract_negotiation_approval.pdf

    Animals (IACUC) – The Institutional Animal Care and Use Committee reviews research proposals that involve animal subjects. The committee will ensure that federal rules and regulations regarding animal housing and care are followed. Any faculty member who plans to conduct research on any animal subjects must first obtain approval from the IACUC.
    http://iit.edu/research/services/orcpd/compliance.shtml

    Audit Reports
    http://www.iit.edu/finance/controller/audit_reports.shtml

    B

    Benefits – Fringe Benefits are budgeted for all faculty and staff on research grants and are calculated per our federally negotiated indirect cost agreement. Fringe benefits are not budgeted for student stipends.

    Budget – The proposal budget should delineate the entire cost of the project, the amount being requested from the sponsor; and identify project costs that will be met by other sources. It must accurately reflect necessary project costs that are allowable and reasonable. These costs must also be supported by budget documentation.

    • Revision – Some awards may or may not have latitude in making budget revisions. The terms and conditions of the award define how budget revisions are to be handled. Budget revisions must be made and approved prior to the expenditure being incurred.
    • Templates – Templates for budgets can be found at:
      http://iit.edu/research/services/sponsored_research/OSRP_Budgets.shtml
    C

    Carry Over of Unspent Funds – If allowed by the sponsor, unobligated balances of funds at the end of a budget period may be carried forward into the next budget period. Carryover of funds can only be used to complete activities that were not finished in the budget period in which the funds were originally awarded.

    Certifications and Representations – Each sponsor has different requirements regarding certification and representations. The OSRP is responsible for reviewing and providing certification on behalf of IIT.

    Changes in Personnel – Any changes in the support of key personnel on a grant may require prior approval from the sponsor.

    Changes in the Scope of Work/Methods – Any changes in the scope of work or methods must have prior approval from the sponsor.

    Checks – Checks should be made payable to: Illinois Institute of Technology

    Classified Research – IIT does not have the facilities to perform classified research.

    Closeouts/Closing Grant Awards – Most federal sponsors require the submission of financial, invention, property, and technical reports, as per the terms and conditions of the award. Technical reports should be sent to OSRP. Financial reports are handled by Grant and Contract Accounting.

    Competitions for Limited Submissions – Some sponsors have limits on the number of proposals that may be submitted from the University. In these cases, an internal selection process is required to determine which proposals will go forward. Limited submission deadlines:
    http://www.iit.edu/research/services/sponsored_research/limited_submission.shtml

    Confidentiality (Non–Disclosure Agreements) – A sponsor may require a non–disclosure agreement (NDA) prior to beginning a research project. The NDA must be reviewed by the Office of the General Counsel and must be signed by the Director of the Office of Sponsored Research and Programs. A sample non–disclosure agreement:
    http://www.iit.edu/general_counsel/forms.shtml

    Conflict of Commitment
    http://www.iit.edu/general_counsel/policies/pdfs/procedure_p1_conflict_of_interest_policy.pdf

    Conflict of Interest
    http://www.iit.edu/general_counsel/policies/pdfs/procedure_p1_conflict_of_interest_policy.pdf

    Consulting Agreements – An agreement for the retention of a third party to render services to IIT. Any consulting agreement to be funded pursuant to an award or grant must be processed through and issued by the Office of Sponsored Research and Programs.
    http://www.iit.edu/general_counsel/pdfs/agreement_for_consulting_services.pdf

    D

    Deadlines for Submission to OSRP – Completed and final proposals are due to OSRP at least two (2) business days prior to the funding agency deadline. Administrative portions must be finalized a minimum of five (5) business days before funding agency’s deadline date. Any proposal not received by these deadlines stands the risk of not being sent.

    DUNS Number – Contact OSRP for additional information.
    osrp@iit.edu

    E

    Electronic Submission – Most sponsors require electronic submission of the proposal. The Institutional Authorized Representative of OSRP are the only individual(s) who can submit a proposal on behalf of the University. Note: There can be significant delays with electronic submissions (i.e., server delays, delays due to file size, etc.) OSRP requires the complete proposal at least two (2) business days prior to the deadline. Any proposal not received by these deadlines stands the risk of not being sent.

    eRA Commons – eRA Commons is an online interface where grant applicants, grantees, and federal staff at NIH and grantor agencies can access and share administrative information relating to research grants.
    http://commons.era.nih.gov

    Educational and Research Initiative Fund (ERIF) – The objective of the ERIF program is to provide seed funding to initiate innovative multi-investigator, multidisciplinary research and education programs that will use the results obtained during the project period for developing proposals seeking external funding. Proposals on new research and education concepts that are multidisciplinary in scope are solicited.
    http://iit.edu/research/services/Internal_Funding.shtml

    E–verify – Any award which states that it is subject to E-verify must have all individuals (including subcontractors and consultants) on the award complete the verification within three (3) days of the date of hire, otherwise the individual(s) will not be authorized to work on this award. Contact Human Resources prior to hiring anyone onto an award which requires E-verify.
    http://www.uscis.gov

    Expenditure Reports – All expenditure reports related to grants, contracts, and cooperative agreements are handled and submitted by Grant and Contract Accounting (GCA) – 312-567-3337.

    Expertise and Interests, Faculty – A comprehensive database of IIT faculty and senior staff members, their contact information, and information about their research interests.
    http://gradweb.iit.edu/gradresearch/searchengine.htm

    Export Administration Regulations (EAR) – Contact OSRP for additional information.
    http://www.access.gpo.gov/bis/ear/ear_data.html

    Export Control – Contact OSRP for additional information.
    http://www.bis.doc.gov/licensing/exportingbasics.htm

    F

    Facilities and Administrative Costs (aka Indirect Costs) – Facilities and Administrative costs are also known as indirect costs. These are the actual cost of University Operations and are determined by federal auditors under the Office of Management and Budget (OMB) guidelines. Indirect costs for IIT are negotiated by the Department of Health and Human Services (DHHS), the federal cognizant audit agency for IIT. The Office of the Controller handles the negotiations of the indirect cost agreement.
    http://iit.edu/research/services/sponsored_research/pdf/IDCRateAgreement.pdf

    Faculty Handbook
    http://www.iit.edu/general_counsel/policies/faculty_handbook/

    Fastlane (NSF)
    https://www.fastlane.nsf.gov/fastlane.jsp

    Financial Statements (University)
    http://www.iit.edu/finance/controller/audit_reports.shtml

    Foreign Travel – Foreign travel is allowable only if budgeted and approved by a sponsor. A U.S. carrier must be used for all travel.

    Freedom of Information Act (FOIA) – Any requests under FOIA should be referred to IIT's Office of the General Counsel. See appendices for additional information.

    Frequently Required Proposal Data – Many grant proposals require the same information (i.e., Congressional District, cage code, etc.). This information can be found at:
    http://iit.edu/research/services/sponsored_research/OSRP_PreparingAProposal.shtml

    Fringe Benefits
    http://iit.edu/research/services/sponsored_research/OSRP_FringeBenefits.shtml

    G

    Gifts – A gift, also called a donation, is a voluntary, irrevocable, and non-reciprocal transfer of money, services, or property from a donor to an institution. The donor may be an individual, a corporation, or a non-profit organization. In this situation there is no expectation of direct economic benefit or provision of goods and services from the recipient, other than recognition and adherence to any donor imposed restrictions. Beyond a designation of the use, the donor does not impose contractual requirements on the donation. Any subsequent reporting on the use of the funds to the donor is not a condition of the receipt of funds, but rather a function of the donor stewardship process. The absence of quid pro quo language helps define the charitable nature of this type of giving. Only the Office of Institutional Advancement may accept gifts on behalf of the University.
    http://www.iit.edu/policy_procedures/gifts_endowments/gift_grant_determination.pdf

    Grant and Contract Accounting (GCA) – Grant and Contract Accounting (GCA) handles all post-award financial aspects of the proposal. GCA will enter the information into IIT’s accounting system, issue the account number, handle expenditures, and submit financial reports on behalf of IIT. GCA reports to the Office of the Controller.
    http://www.iit.edu/grant_contract_accounting/

    Grants.gov – Grants.gov is a source to FIND and APPLY for federal grants. IIT is a registered organization with Grants.gov. Additional registration is not required.
    http://www.grants.gov

    H

    Human Subjects – The Institutional Review Board (IRB) reviews research proposals that involve human participants. Even projects that require minimal involvement of human participants, such as surveys or questionnaires, require some procedural IRB review.
    http://www.iit.edu/research/services/orcpd/compliance.shtml

    I

    Indirect Costs – Facilities and Administrative costs are also known as indirect costs. Theseare the actual cost of University Operations and are determined by federal auditors under the Office of Management and Budget (OMB) guidelines. Indirect costs for IIT are negotiated by the Department of Health and Human Services (DHHS), the federal cognizant audit agency for IIT. The Office of the Controller handles the negotiations of the indirect cost agreement.
    http://iit.edu/research/services/sponsored_research/pdf/IDCRateAgreement.pdf

    Institutional Animal Care and Use Committee (IACUC) – The Institutional Animal Care and Use Committee reviews research proposals that involve animal subjects. The committee will ensure that federal rules and regulations regarding animal housing and care are followed. Any faculty member who plans to conduct research on any animal subjects must first obtain approval from the IACUC.
    http://www.iit.edu/research/services/orcpd/compliance.shtml

    Institutional Biosafety Committee (IBC) – The Institutional Biosafety Committee (IBC) review includes oversight of a variety of experimentation that involves biological materials (e.g., infectious agents) and other potentially hazardous agents (e.g., carcinogens).
    http://www.iit.edu/research/services/orcpd/compliance.shtml

    Institutional Review Board (IRB) – The Institutional Review Board (IRB) reviews research proposals that involve human participants. Even projects that require minimal involvement of human participants, such as surveys or questionnaires, require some procedural IRB review.
    http://www.iit.edu/research/services/orcpd/compliance.shtml

    Intellectual Property
    http://www.iit.edu/general_counsel/policies/faculty_handbook/pdfs/appendix_k.pdf

    Internal Funding
    http://iit.edu/research/services/Internal_Funding.shtml

    International Traffic in Arms Regulation (ITAR)
    http://www.fas.org/spp/starwars/offdocs/itar/p121.htm

    L

    Limited Submissions to Sponsors – Some sponsors have limits on the number of proposals that may be submitted from the University. In these cases, an internal selection process is required to determine which proposals will go forward. Contact OSRP for additional information. Limited submission deadlines:
    http://iit.edu/research/services/sponsored_research/limited_submission.shtml

    M

    Material Transfer Agreements (MTA) – MTA's are contracts by which tangible research property, such as biological organisms and computer software, are provided by external sources to IIT investigators for research. MTA's are processed as organized sponsored research projects through OSRP.

    Misconduct (Scientific) – IIT policy states: "Research Misconduct includes fabrication, falsification, plagiarism, or other practices that seriously deviate from those that are commonly accepted within the scientific community for proposing, conducting, reporting, or reviewing results of research and other activities. Research misconduct includes retaliation of any kind against a person who in good faith reported or provided information about suspected misconduct." Any allegations of scientific misconduct are handled by the Office of the Provost.
    http://www.iit.edu/general_counsel/policies/faculty_handbook/pdfs/appendix_l.pdf

    N

    No-Cost Extensions – The expiration date of a grant or contract may be extended if additional time is needed to assure successful completion of the original scope of work within the funds already committed. These are referred to as no-cost extensions. The project's budget period may be extended where justified, for up to twelve months beyond the ending date of the budget period as shown on the award notice, depending on the sponsor's policies. Extensions are made without additional funds.

    Written requests for no-cost extensions must be made according to sponsor guidelines or at least 45 – 60 days before the end of the currently active budget period, stating the reason the extension is needed.

    Nondisclosure and Confidentiality – A sponsor may require a non-disclosure agreement (NDA) prior to beginning a research project. The NDA must be reviewed by the Office of the General Counsel and must be executed by the Director of the Office of Sponsored Research and Programs. A sample non-disclosure agreement:
    http://www.iit.edu/general_counsel/forms.shtml

    O

    Office of Sponsored Research and Programs (OSRP) – provides administrative support to faculty, staff, and students in connection with externally supported scholarly research and educational projects for undergraduates, graduate students, and advanced training programs, undertaken by members of the faculty. OSRP reports to the Vice Provost for Research. More information:
    http://iit.edu/research/services/sponsored_research/

    Office of Research Compliance and Proposal Development (ORCPD) – has two principal missions: First, it handles all research compliance issues for projects involving human subjects, animal subjects, or biosafety activities. Second, it helps faculty develop proposals by providing editorial and writing assistance and providing access to research funding opportunities. The office coordinates the activities of the Institutional Review Board (for human subjects research), the Institutional Animal Care and Use Committee (for animal subjects research) and the Institutional Biosafety Committee (for research involving recombinant DNA, pathogens and other select agents). ORCPD reports to the Vice Provost for Research. More information:
    http://iit.edu/research/services/orcpd/

    P

    Patents
    http://www.iit.edu/general_counsel/policies/faculty_handbook/pdfs/appendix_k.pdf

    Pre-Award Costs – OMB Circular A-110 provides for the allowability of pre-award costs. Some agencies may require approval and documentation before any pre-award spending occurs. The PI/PD should contact the Office of Research for clarification. If pre-award costs are allowed by the sponsor, appropriate expenses can be charged to a related research account, a departmental account, or a PI discretionary/capitalization account during the pre-award period and then transferred to the new award after it has been established.

    Generally, the PI/PD may incur pre-award costs 90 calendar days prior to award, or more than 90 calendar days with the prior approval of the Federal awarding agency, subject to sponsor guidelines and terms of specific award. The Federal awarding agency is under no obligation to reimburse such costs if for any reason the University does not receive an award or if the award is delayed or is less than anticipated and inadequate to cover such costs.

    Preproposals – Some funding agencies ask for preproposals to triage potential applicants. Preproposals are sometimes also requested to ensure there will be enough reviewers. Some agencies use the preproposal mechanism to invite the PI for a full proposal. Information requested in preproposals vary by agency. Contact OSRP for assistance.

    Proposal Management System (Routing Sheet) – A routing form is required for all proposals. The login information is the same as the information used for "myIIT". Do not log into the "myIIT" system. Routing sheet:
    http://iit.edu/research/services/sponsored_research/OSRP_RoutingSheet.shtml

    R

    Recombinant DNA – The Institutional Biosafety Committee (IBC) review also includes oversight of a variety of experimentation that involves biological materials (e.g., infectious agents) and other potentially hazardous agents (e.g., carcinogens).
    http://www.iit.edu/research/services/orcpd/compliance.shtml

    Recovery Act (ARRA) – Illinois Institute of Technology is a recipient of funding under the American Reinvestment and Recovery Act of 2009. More information:
    http://www.recovery.gov/Pages/default.aspx

    Representations and Certifications – As part of its submission of proposals, IIT is required to provide certain information that must accompany federal proposals and contracts. Contact OSRP for assistance.

    Research Expenditures – All research expenditures are reviewed and approved by Grant and Contract Accounting (GCA). More information:
    http://www.iit.edu/grant_contract_accounting/

    Routing Sheet (Proposal Management System) – A routing form is required for all proposals. The login information is the same as the information you use for "myIIT". Do not log into the "myIIT" system. Routing sheet:
    http://iit.edu/research/services/sponsored_research/OSRP_RoutingSheet.shtml

    S

    Scientific Misconduct – IIT policy states: "Research Misconduct includes fabrication, falsification, plagiarism, or other practices that seriously deviate from those that are commonly accepted within the scientific community for proposing, conducting, reporting, or reviewing results of research and other activities. Research misconduct includes retaliation of any kind against a person who in good faith reported or provided information about suspected misconduct." Any allegations of scientific misconduct are handled by the Office of the Provost.
    http://www.iit.edu/general_counsel/policies/faculty_handbook/pdfs/appendix_l.pdf

    Select Agents – The Institutional Biosafety Committee (IBC) review also includes oversight of a variety of experimentation that involves biological materials (e.g., infectious agents) and other potentially hazardous agents (e.g., carcinogens).
    http://www.iit.edu/research/services/orcpd/compliance.shtml

    Signatures – All research related documents (proposals, awards, contract, subcontracts, consulting agreements, etc.) can only be signed by the authorized individual in OSRP. In the conduct of its educational and research programs, IIT is a party to many kinds of contracts. This policy defines the authority of certain administrative officers to enter into transactions that commit university. More information:
    http://www.iit.edu/general_counsel/pdfs/procedure_q1_contract_negotiation_approval.pdf

    Starr Research Fellowship – The objective of the Starr Research Fellowship is to provide funding for one year that can be used for tuition support and stipend. The fellowships are NOT renewable, but may be supplemented by funding from other sources. More information:
    http://iit.edu/research/services/starr_fieldhouse.shtml

    Subcontracts – A subcontract proposal is generated when IIT is a non-lead institution in a collaborative research project. More information:
    http://iit.edu/research/services/sponsored_research/subcontracts.shtml

    Subjects (Human Subjects in Research) – The Institutional Review Board (IRB) reviews research proposals that involve human participants. Even projects that require minimal involvement of human participants, such as surveys or questionnaires, require some procedural IRB review.
    http://www.iit.edu/research/services/orcpd/compliance.shtml

    T

    Tax (ID) Exempt Number -
    http://iit.edu/research/services/sponsored_research/OSRP_PreparingAProposal.shtml

    Technology Capabilities – Technology capabilities of the IIT campuses. More information.

    Technology Transfer – The Office of Technology Transfer and Intellectual Property (TT/IP) supports all IIT efforts to build and sustain relationships with corporations and other external organizations. The office coordinates the process of identifying, evaluating, protecting, marketing, and licensing all IIT inventions and copyrightable material. More information:
    http://iit.edu/research/services/ttip/

    Travel – Domestic and foreign travel is allowable only if budgeted and approved by a sponsor. A U.S. carrier must be used for all travel which is supported by a grant. More information:
    http://www.iit.edu/general_counsel/policies/pdfs/procedure_j3_travel.pdf

    U

    Undergraduate Research – Undergraduate students at IIT are involved in government, foundation, and industry funded research projects in all areas of science, engineering, technology, and mathematics. These research experiences offer students the opportunity to be involved in cutting edge research, applying their knowledge and skills outside the classroom. More information:
    http://iit.edu/research/undergraduate_research/

    X

    xTrain (NIH Commons) – xTrain provides individuals the ability to electronically prepare and submit PHS 2271 Statement of Appointment forms and PHS 416-7 Termination Notices associated with institutional research training grants, institutional career development awards, individual fellowships, and research education awards. xTrain is also used by agency grants management staff to review and process the appointments and termination notices submitted electronically. More information:
    http://era.nih.gov/services_for_applicants/other/xTrain.cfm

    Appendices

    Freedom of Information Act (FOIA) – Any requests under FOIA should be referred to IIT's Office of the General Counsel.

    Under the Federal Freedom of Information Act, agencies of the federal government are required to disclose information unless the information falls into one of nine exemptions, which are set forth below:

    1. Records classified national defense or foreign policy materials, 5 U.S.C. sub-chapter 552(b)(1);

    2. Internal personnel rules and agency practices, 5 U.S.C. sub-chapter 552(b)(2);

    3. Information specifically exempted from disclosure by another statute, 5 U.S.C. sub-chapter 552(b)(3);

    4. Trade secrets and commercial or financial information obtained from a person and privileged or confidential, 5 U.S.C sub-chapter 552(b)(4);

    5. Inter- or intra-agency memoranda or letters which would not be available to a party in litigation with the agency, 5 U.S.C.sub-chapter 552(b)(5);

    6. Personnel, medical and similar files, disclosure of which would constitute a clearly unwarranted invasion of personal privacy, 5 U.S.C. sub-chapter 552(b)(6);

    7. Records compiled for law enforcement purposes, 5 U.S.C. sub-chapter 552(b)(7);

    8. Records relating to the examination, operations, or condition of financial institutions, 5 U.S.C. sub-chapter 552(b)(8); and

    9. Oil well data, 5 U.S.C. sub-chapter 552 (b)(9).

     

    Last modified: 04/28/2014 18:45:34

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