Proposal Submission

When the PI has identified a potential sponsor for a project and has determined that he or she is interested in submitting a proposal, the first step should be the submission of a Proposal Information Sheet. The information sheet allows for the assignment of the Proposal Services specialist (PS) in the Office of Research Services who assists the PI throughout the proposal submission process, adds the proposal to our calendar, starts guideline and submission system research, and prioritizes the handling of the proposal. Information sheets are required on all external funding submissions for sponsored research or activities at the preliminary state (however that is termed — LOI, SOI, Concept, ROM, etc.).

The information sheet should indicate the web address for the guidelines, project period, any indirect cost (IDC) limitations, project credit splits for PI and Co-PIs (OU Norman personnel only), plus other answers to common questions that will be needed for the creation of the proposal routing forms (as much information as the PI can provide). NOTE: The data from the Information Sheet (such as PIs/Co-PIs or credit splits, title, dates, etc.) may be updated as the proposal is developed — do not hold an information sheet until the final proposal is ready to submit or route. Early submission will allow the PS and PI to work together to resolve any issues that may potentially delay the internal routing and, ultimately, the submission of the proposal.

Submission of the Information Sheet results in the first review by the Office of Technology and Commercialization for any patent or other intellectual property issues and, depending on how questions are answered, may drive contact from Export Controls or other offices.

ORS recommends that you submit the info sheet at least two weeks prior to the deadline; if subcontracts, cost share, or complex proposals are involved, the infosheet should be submitted at least three weeks prior to the deadline. The PI should submit the info sheet as soon as they think they might submit a proposal. However, OU does not have a hard deadline for when one must be submitted. If you submit an info sheet less than a week or two prior to the deadline, you may receive limited support from your PS (and if it is same or next day, we may not be able to add it to the queue). We may also not have time to review guidance for submission requirements or help resolve issues such as cost share or rate questions. This could also cause delays in your colleagues’ proposals, which may already be in process, possibly in their final stages. While ORS will make reasonable attempts to ensure all proposals are submitted, should there be a deadline conflict (two or more proposals with submission materials to load and the same deadline), the priority for the order of work is usually determined by the date the info sheet was submitted.

After you submit the info sheet, you will be contacted by a Proposal Services specialist (PS) from the ORS. They will review the guidelines, send a budget template, and start working with the PI to resolve any issues/requirements for the proposal submission. If special letters or forms are required, the PS will assist with those or let the PI know which ones they can assist with and which ones are the PI’s responsibility. These forms/internal requirements also include conflict of interest and some compliance items, such as biohazards clearance.

The budget must be on OU’s internal form regardless of sponsor requirements. The PS specialist can meet with the PI to help develop a draft budget or they can work together via email/phone calls. If a proposal involves cost share, additional time is usually needed for the PI to develop a cost share package, especially if third party or VPRP cost share is expected. ORS does not accept budgets prepared by other offices or organizations; only the one prepared by the OU ORS and the OU PI (or their designate) is the official budget.

If the project will involve compliance issues such as Recombinant DNA & Biohazard Safety, Human Subjects research, Animal research, the use of Radioisotopes, or Export Controls issues, the PI may need to obtain approval letters from appropriate departments prior to the routing and/or submission of the proposal.

When the sponsor limits the number of nominations or proposals that can be submitted from an institution or research unit, the PI should contact ors_limitedsubs@ou.edu before proceeding with proposal development so the proposals authorized for submission from the Norman campus can be selected.

Development of the content for the proposal submission is something most PIs will be working on before the funding search is finalized and the info sheet submitted. This work usually continues while the proposal routing is going on (or after routing) and until the submission occurs. The PI should review the specific solicitation and general sponsor guidelines for formatting and other required submission item information. Additional assistance may be found in the Proposal Development Section of this website.

All proposals (and most pre-proposals, which include budget information) must be routed through the university for review and approval prior to submission. Any exceptions to the routing process must be determined by the appropriate Office of Research Services (ORS) official.

Routing usually takes between one and four days but depends on availability of the personnel who are required to certify/approve the proposal.

At a minimum, the PI must provide the PSS with an abstract or statement of work, a detailed budget, budget justification, any required signature pages, documentation of any cost sharing, and any other pertinent information needed to complete the proposal routing forms. If a subcontract with another organization is proposed, the subrecipient’s official commitment letter agreeing to participate and stating the requested budget amount, along with a statement of work, detailed budget, and budget justification, must be provided before the routing process can begin.

The PSS is responsible for reviewing the budget for current and appropriate rates and salary amounts, verifying the credit splits, entering cost sharing commitments, generating the routing document, and compiling the routing package. The PSS will generate any certifications or assurances required by the guidelines. If OU is requested to be a subcontracting partner, the PSS will initiate the official commitment letter or subrecipient forms required by the lead organization.

Permission to officially submit the proposal to an external organization is obtained via the routing process. The routing package is reviewed and approved by the following personnel:

• the principal investigator and co-principal investigators*, who assume responsibility for the intellectual quality of the work, the reports required, and the expenditures other than those earmarked for the department, school, or college, while also assuring that he/she is in compliance with all applicable academic requirements         
• the budget unit head and dean of the college**, who confirm that the budget and academic unit and college requirements are satisfied
• ORS, who assumes responsibility for seeing that the university administrative requirements are satisfied
• other university officials (due to compliance items, center involvement, credit distribution) who certify their agreement to the information listed in the routing package.

* Each faculty member (PI/Co-PIs) or other university members (staff or administration) participating in the project must sign the routing sheets regardless of project status or compensation earned.

** Departments, schools, and colleges are expected to review proposals when they are routed through their offices. By signing off on the proposal routing form, the department, school, and college indicate that the proposed project has their approval.

Note: The routing process is not completed until the Sponsored Programs Coordinator in the ORS has signed the proposal. Submissions made prior to approval from ORS are not officially approved and may be administratively withdrawn if the submission is found to be non-compliant with university or agency requirements. If you have submitted a proposal without ORS review, notify us immediately so we can work with you to route your proposal for the necessary approvals after the fact.

Prior to submission, the PI and PS contact work together to ensure any required agency forms and certifications are completed. If the proposal is being submitted electronically, the PI and PS contact will need to determine who will submit the proposal and make sure the necessary registrations are established. If the budget for the routing is not able to be used for the submission, the PS will assist (when possible) in completing the sponsor’s budget forms.

The PI and PS specialist work together for the submission to be made by the stated deadline. Different sponsors may require different electronic systems for submission; there are a few that still require paper and/or email copies, and some use more than one system. It is important to make sure system registrations are completed several days or weeks before deadlines (see the section above on obtaining registrations).

If ORS is doing the submission, it is incumbent on the PI to provide submission-ready files in a timely manner. 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.

If the PI is doing the submission, the PS specialist will inform the PI as soon as possible when they are cleared to submit and will provide ORS-signed forms/certifications, if applicable.

If the proposal is to be mailed by ORS, the complete mailing address must be provided by the PI or clearly stated in the agency guidelines. Note that express carriers require a complete street address and will not deliver to a post office box. Faculty submitting proposals with a receipt date should also take into consideration weekends and holidays and the effect they may have on delivery time.