FAQ

Anytime a PI is applying for funds to come through the university to support research/sponsored activities in which they are involved, the proposal should come through the Office of Research Services (ORS). The only exceptions are if it is a fee for service (through an approved cost center), a gift with no strings attached, such as reports, briefings, or conditions on how the funds must be spent (those go through the OU Foundation), or limited items the department might be able to accept (keeping in mind that anything not going through ORS does not count in official research reporting). If the PI elects to have funds paid directly to them, they should not be using any university assets and are completely liable for any tax or legal implications. See Requirements for Internal Routing. To initiate a submission, complete the ORS Infosheet.

PIs must submit an InfoSheet for all preliminary proposals; this includes Notices of Intent (NOI), Statements of Intent (SOI), Random Orders of Magnitude (ROM), Concept Papers, White Papers, Preliminary Proposals, Letters of Intent (LOI), etc. Whether or not the preliminary proposal needs to route will depend on the sponsor requirements of the preliminary submission, such as budget requirements, cost share, and special forms. Your Proposal Services specialist (PS) will let you know if routing is needed or not. If a subcontract/subaward is involved (either to or from OU-Norman), it is expected that at minimum ORS will provide an email or letter to the sponsor submitting or will receive an email or letter from an organization who is being named in our submission. This email or letter only needs to indicate awareness of the projected involvement in the project unless the submission to the sponsor requires more information. If budget information is being included in the submission, the email or letter must indicate awareness of the proposed figure(s).

Fellowships flow through ORS unless the sponsor requires them to be paid directly to the PI. If the sponsor gives an option, it is encouraged for the PI to run the funds through the university for tax and other reasons. Fellowships that are anticipated to be paid through the university should be routed at the time of submission. The PI should ensure Provost policies and forms related to scholarships and fellowships are complied with/completed: https://www.ou.edu/provost/faculty-affairs/academic-personnel-resources-and-policies. Note: The Provost guidance specifies their forms are to be done prior to submission.

Use the Internal Funding link to review funding provided by or through the Office of the Vice President for Research and Partnerships (OVPRP). This includes Research Council programs, Arts & Humanities Faculty Fellowships, and other OVPRP support administered through the colleges and University Libraries.

The External Funding link provides information about the different types of sponsored research funding and avenues for finding funding opportunities, as well as guidance regarding OU’s limited submission process and subaward/subcontract procedures.

• Internal Funding
• External Funding

The proposal process at the University of Oklahoma starts with the Primary Investigator (PI) submitting an information sheet (also called InfoSheet). This form provides some basic information on the proposal being considered for submission. ORS can change data on the InfoSheet after submission, so we are able to start the internal processes with ‘draft’ information. No documents such as budget or summary are required to submit the InfoSheet. Submitting the InfoSheet keys ORS to assign a person to the proposal, send a budget template to the PI, make sure the guidelines are current/correct, help resolve questions related to IDC rates/budgets/cost share, identify any special forms, certifications, or letters needed, and, if there are subcontracts involved, obtain required documents from subcontracts.

Use this link to submit a Proposal InfoSheet.

Note: Answer the questions to the best of your ability, and your PDS can revise if needed. If you answer a question incorrectly, you will just be contacted to answer a few more questions.

As soon as a PI is relatively sure they want to submit an application for funding, they should submit an information sheet to ORS. The InfoSheet puts the proposal on the ORS calendar for workload and availability planning and allows the data gathering process to start (e.g., guidelines, submission system, and proposal requirements). The timing of the InfoSheet submission is also one of the determining factors in the priority ranking of the proposal in the event of conflicting deadlines, i.e., if there are numerous proposals due on the same date (which is common), the ones that provide submission data first are worked first; if there is a conflict, the one that routed and/or submitted the InfoSheet first has priority. Ideally, a PI should submit their InfoSheet at least four weeks before the due date, if the proposal is not complex. If the proposal involves cost share, subcontracts, special forms, certifications, and letters, the InfoSheet should be submitted earlier. Note that no proposal submission or routing items need to be prepared/completed in order to submit the InfoSheet.

In alignment with best practices of several peer institutions, ORS is implementing a new proposal submission policy where all final proposal documents must be submitted to ORS at least three business days prior to the sponsor submission deadline. If all final proposal documents are submitted to ORS before that deadline, we will review these documents, ensuring proper formatting and compliance before submission. However, if the proposal documents are received later than three business days prior to the submission deadline, we will submit/upload them without a review or compliance check.  Should there be any rejection due to non-conformity/non-compliance, or if inconsistencies with the University's policies arise if there is a notification of award, the responsibility to resolve these issues will rest with the PI and their respective Department or College. This includes resolving any financial discrepancies with the budget.

The internal routing process is what gives ORS (and/or the PI) the official approval to submit the proposal. The routing package consists of a draft summary/abstract/statement of work, the budget on OU forms, and a draft budget justification (if a subcontract is involved then it also includes their statement of work, budget, budget justification, and official letter of intent). The package is put into routing by ORS and is sent to anyone at OU who is identified on the proposal, including the involved chairs/deans and a contracts person in ORS. This ensures that everyone internally involved on the proposal knows they are on the proposal and the chairs/deans are aware of work that is being proposed.

The routing needs to be done prior to proposal submission so any issues can be resolved and to get the official permission to submit the proposal. Proposals submitted prior to routing completion (or without routing) are not official submissions and can be withdrawn by the university. The university can also penalize the PI for submitting proposals that are not approved. Internal routing and submission of the proposal is Step 1 of the Pre-Award process at OU; Step 2 is any award negotiation and acceptance of the award, which cannot be done until Step 1 is completed. Also see the policy on routing.

Download Budget Template (XLS)

If you would like a template set up for your proposal (if specific rates are involved or co-PI salaries need to be identified), contact your PS and/or submit an InfoSheet.

If cost share is required by the guidelines (or if the guidelines say cost share is not required but is a consideration for award), there are several avenues to building the cost share package. The most common source of cost share is in-kind time of the PI and any co-PIs; your Proposal Services specialist (PS) in ORS can assist in calculating time for cost share. Many sponsors also allow the fringe on the time and the unrecovered IDC to be counted as cost share. The department or college may also be willing to provide cost share (GRA time, supplies, travel, etc.). There is 3rd Party cost share – this is where another organization is willing to assist in the proposal and provides a letter to ORS stating what they are providing and its value. The PI can also ask the VPRP for cost share via the Cost Share Policy. Before completing the cost share form, you should work with your PDS on developing a budget so you have a clear idea about the cost share needed. If cost share is required and you have a subcontract involved in the proposed work, the subcontract is expected to bear their portion of the cost share on the funds they are requesting unless you cover it through 3^rd party contributions or the guidelines exclude them from providing cost share.  Please note that the internal cost share (a portion of the project costs that is not covered by the sponsor and is a commitment by OU) must be paid upfront to Research Financial Services to demonstrate OU’s commitment and support for the project.

Yes, they can participate as part of an OU research team or they can be a PI on a proposal. If they wish to be a PI, they must have someone internally on the proposal who has a full-time appointment. Some emeritus professors participate on proposals by being consultants or through companies they have created. In these instances, they need to be sure the entity involved is legally established and all the data involved needs to be separate from OU (they also cannot be a consultant if they still have any appointment at OU, such as Lecturer). Emeritus professors should also be aware of limitations on how soon after retirement they can participate on a proposal and income limitations that might affect their retirement.

To submit proposals before arrival at OU, an OU 4X4 and email must be established with HR in consultation with the department and/or college, and the PI needs to be loaded into the Cayuse system. The OU 4x4 and email is usually done by HR after the offer letter is signed. Once the PI has the 4x4 and email, there are two avenues to take – either the department can establish the PI in PeopleSoft with a temporary appointment (this allows us to pull the PI into Cayuse), or ORS can add the PI to Cayuse based on the offer letter. The temporary establishment in PeopleSoft is preferred as that allows PI information to transfer over when the full appointment in PeopleSoft is updated. Once the PI is in Cayuse, their information sheets can be loaded into the system. Note: Until the PI arrives at OU, a full-time person currently at OU (normally your chair) needs to be on the proposal internally in case the award comes in before your appointment starts.

If a PI has awards to transfer to OU, they establish themselves in the system (see above) and then submit an InfoSheet, mentioning in the remarks that it is for a grant transfer. ORS will need the contact information for the person handling the award at the prior organization. The PI will work with that organization on the stop spending date, so the funding amount to transfer can be determined. The contacts in ORS (based on the InfoSheet assignment) at OU will work with the PI, the prior organization, and the sponsor to transfer the award. The PI will need to complete internal routing at OU as part of the establishment of the award at OU since it is a new award for our organization.

If a PI is leaving OU and taking an award or part of an award with them, they should reach out to their AA and ReFS person to work on the process of transferring the award. They will need to establish their spending cut-off date and ensure coordination is made with any subcontracts. It is possible, depending on the sponsor and the needs of the award, that the whole award might be transferred, the award might be left at OU, most of the award might go with the PI (with a subcontract left at OU under a different PI), or the award might be left at OU under a different PI with a subaward going with the current PI to their new organization. Depending on the actions involved, InfoSheets may be needed; contact your AA person for guidance.

For an account to submit proposals (sponsor portal): There are many different accounts that could be needed, depending on the agencies to which you wish to submit proposals. Many solicitations refer to a need for grants.gov registration and System for Award Management (SAM) registration – normally proposals are submitted using OU’s registration, so PIs do not create their own accounts. You can obtain a grants.gov registration if you are submitting a fellowship paid directly to you or to aid in researching solicitations. For other systems, we recommend that you contact your PS to determine whether ORS has an account or the PI should create one. If you need a PI account for a specific sponsor or submission portal, go to Obtaining Accounts.

For an account to spend research funds: The only way to get an account established to spend research or sponsored projects funds is by completing the OU internal routing process. This process begins with submission of the information sheet. Completion of the routing establishes the proposal in the database that allows it to be pulled for awards and account set up. If you have questions regarding an in-progress award action, contact your PS/AA. If your question is about an award that you know has processed and you are needing assistance with account numbers, expenditures, or account reports, contact Research Information Services (ReFS) who manages post award activities at the University (refs@ou.edu).

A grant is a legally binding agreement between a sponsor to award funds to support a proposed activity/project and the grantee institution to accept and use those funds for the activities proposed. The project is usually conceived by the investigator and submitted as a proposal. The investigator defines the details and retains scientific freedom. Fundamental research, applied research, institutional research and training, and support for resources and facilities projects are typically supported.

A contract is an instrument used by the Federal Government as a procurement mechanism to acquire property or services for direct benefit or use of the United States Government. The project is conceived by the agency, which exercises direction or control and closely monitors the project. Federal Contracts are subject to a strict set of terms and conditions, including clauses from the Federal Acquisition Regulation (FAR) and usually require frequent reporting and a high level of responsibility to the sponsor.

Research compliance is one of the foundational elements for the University of Oklahoma’s reputation, and OU employees should be aware of common compliance issues. Sponsored Research and Compliance training, which covers several research-related compliance topics, is an institutional requirement for faculty and staff who are involved in conducting, administering, and/or managing externally sponsored research/creative activity. This policy is effective 7/1/2023, and training should be completed before your performance evaluation or receipt of any pending awards, whichever occurs first. You can access the training here or you can go to your OnPoint homepage and search in the upper right for Sponsored Research and Compliance.

If a subcontract is involved, a Subrecipient Commitment Form signed by the Authorized Official for the subrecipient, a statement of work, a budget and budget justification, along with any other necessary documentation are required to be submitted to ORS. The amount expected for the subcontract (either the subcontract's cumulative total or the subtotal for each year) must be included in the Subrecipient Commitment Form. Should cost sharing be applicable, it must also be specified on the form. For a complete list of the required documents for subcontracts, please see here.

NSF has implemented this new requirement to make sure that research activities are carried out with respect and in partnership with Tribal Nations. This policy change reflects a growing recognition of the sovereignty of Tribal Nations and the significance of their cultural, linguistic, and environmental resources. In order to foster a collaborative environment where the rights and interests of Tribal communities are recognized and given priority, the NSF requires researchers to obtain approval from the relevant Tribal Nations prior to initiating projects. This approach not only respects the self-determination of Tribal Nations but also enriches the research process through the inclusion of diverse perspectives and knowledge systems.

Information on NSF’s new requirement for proposals that may impact Tribal resources or interests is available in PAPPG Chapter II.E.10.

At proposal, only the request is required; however, if the project is selected for funding, NSF will require documentation of written approval from all impacted Tribal Nations before Issuing an award.

Proposers seeking NSF funding for such proposals must:

1. Seek guidance from the potentially impacted Tribal Nation(s) regarding which activity/activities require(s) review and prior approval from an authorized designee(s) of the Tribal Nation(s); and
   
   
2. Based on the guidance received, submit a written request to the relevant Tribal Nation(s), for approval to carry out the proposed activity(ies) that require(s) Tribal Nation review and approval.
   
   
3. Check the box on the Cover Sheet entitled “Potential Impacts on Tribal Nations.” Please note that simultaneously submitted collaborative proposals and proposals that include subawards are a single unified project and, as such, the lead organization is responsible for checking the box on the Cover Sheet, if applicable.

Include at least one of the following: (i) a copy of the written request to the relevant Tribe(s) to carry out any proposed activity/activities that may require prior approval from the Tribal Nation(s); (ii) written confirmation from the Tribal Nation(s) that review and approval is not required; or (iii) a copy of a document from the relevant Tribal Nation(s) that provides the requisite approval. All such documentation must be uploaded into "Other supplementary documents" in Research.gov. If only (i) is provided, the proposer will still be required to submit either (ii) or (iii) before NSF will make an award decision.

Examples of such activities may include, but are not limited to, the following:

• research or projects that involve Tribal Nation members and would invoke the Tribal Nation in any way (including but not limited to referencing a Tribal Nation in materials, public forums, or publications). Note that this type of proposal may also require a separate Tribal IRB or other mechanism that a Tribal Nation may have in place to review proposed research (this would exclude cases where Tribal Nation members voluntarily participate in the proposed research as individuals, not as members representing a Tribal Nation);
  
  
• carrying out studies or research on Tribal Nation reservations, territories, and other locations where Tribal Nations have legally protected rights to resources or to engage in activities; and
  
  
• using Tribal Nation-controlled information or data in research.

Yes. If the research being done on public lands that are co-managed by Tribal Nations involves Tribal Nation resources or interests that are within the domain of a Tribal Nation, research will be subject to the new requirements. For more background information on cooperative agreements between the federal government and Tribal Nations, see University of Washington School of Law, Gallagher Library, “Sovereign-to-Sovereign Cooperative Agreements,” at https://lib.law.uw.edu/cooperative.

The NSF PAPPG defines Tribal Nation as “an American Indian or Alaska Native tribe, band, nation, pueblo, village, or community that the Secretary of the Interior acknowledges as a federally recognized tribe pursuant to the Federally Recognized Indian Tribe List Act of 1994, 25 U.S.C. §§ 5130-5131.” The list may be found here.

You may find more information about Tribal Nation Lands from the following resources:

• U.S. Department of the Interior (DOI), Bureau of Indian Affairs (BIA), “U.S. Domestic Sovereign Nations: Land Areas of Federally-Recognized Tribes,” at https://bia-geospatial-internal.geoplatform.gov/indianlands/ (helpful for present day tribal locations and reservation boundary locations).
  
  
• U.S. DOI, BIA Tract Viewer, “Mapped Lands in Indian Country,” at https://biamaps.geoplatform.gov/biatracts/ (helpful for land allotment locations).
  
  
• U.S. Forest Service, “Tribal Connections,” at https://usfs.maps.arcgis.com/apps/webappviewer/index.html?id=fe311f69cb1d43558227d73bc34f3a32 (helpful for treaty locations).
  
  
• Native Land Digital, at https://native-land.ca/ (helpful for historical tribal locations).
  
  
• Other entities that may have helpful information include, but are not limited to: The National Archives and Records Administration and the Library of Congress.
  
  
• Please note: Detailed information about tribal land interests will likely require confirmation from the impacted Tribal Nation.

The regulation prohibits participants in MFTRP from receiving or participating in federally funded research and requires that “covered individuals” certify this at the time of the application. The Biographical Sketch Common Form recommended by the Office of Science and Technology (OSTP) includes the recommended certification (“I also certify that, at the time of submission, I am not a party to a malign foreign talent recruitment program.")

A “Covered Individual” is:

1. A principal investigator and other senior/key personnel seeking or receiving federal research and development funding; or
2. An individual who (a) contributes in a substantive, meaningful way to the scientific development or execution of a research and development project proposed to be carried out with a research and development award from a federal research agency; and (b) is designated as a covered individual by the federal research agency concerned; or
3. An individual on a proposal or award funded in whole or in part by the Department of Defense who (a) contributes significantly to the design or execution of a fundamental research project, and (b) is considered essential to the successful performance of the fundamental research project.

The University of Oklahoma (OU) policy mandates that Principal Investigators and Covered Individuals disclose any participation with a malign foreign talent recruitment program to ensure compliance with all federal regulations. These disclosures are mandatory in the following instances as soon as the participation occurs:

1. In the Annual OU Conflict of Interest Disclosure;
2. Before proposal submission for federal funding; and/or
3. In follow up to point two above and/or at any time from proposal submission to award closeout.

The Science Experts Network Curriculum Vitae (SciENcv), currently mandated by the National Science Foundation (NSF) and recommended for use by other funding agencies, uses the Biographical Sketch Common Form recommended by the Office of Science and Technology (OSTP), which includes the recommended certification (“I also certify that, at the time of submission, I am not a party to a malign foreign talent recruitment program”).

The countries of concern currently listed are China, North Korea, Russia, and Iran. This list is subject to change, and we will attempt to notify the research community if the list changes.

The OU’s policy on MFTRP can be found here: 4.2.7.3 Malign Foreign Talent Recruitment Program Disclosure Policy v.1 (navexone.com)

If you have questions or suspect that you have been contacted by, or are involved in, a “malign foreign talent recruitment program,” please contact the Office of Export Controls at export@ou.edu.

Yes, the prohibition applies to all Covered Individuals (i.e., key/senior personnel contributing to the design, conduct, and reporting of research).

Yes. The PI or Co-PI should verify that the collaborators are not members of MFTRPs. If a collaborator is considered key/senior personnel, then they should provide certification in the biosketch as other Covered Individuals.

Yes, the prohibition applies to all Covered Individuals (i.e., key/senior personnel who contribute to the design, conduct, and reporting of research), including those Covered Individuals at a subrecipient under a Federal award. The subrecipient’s Covered Individuals will also have to certify that they are not actively participating in an MFTRP at proposal submission and annually thereafter for the duration of the award.