Applies to:	Original Policy Date:	Date of Last Review:	Approved by:
Faculty and Staff	October 2016	March 3, 2022 July 2024	Dr. John Nicklow, President

Policy Owner: The Office of Sponsored Programs

Policy Purpose

When submitting proposals for external funding, Florida Tech is subject to numerous sponsor requirements, including but not limited to those set forth in specific solicitations, sponsor guidelines, and federal regulations, in addition to Florida Tech’s institutional policy.

Sufficient time is necessary to verify a proposal’s compliance with those requirements, as well as ensure an overall level of quality assurance prior to the application’s deadline. Allowing adequate time for OSP to conduct a thorough review will provide opportunities for proposal corrections to be made, if necessary, and maximize the overall opportunity for proposal success.

Policy Scope

This Policy applies to all faculty, staff, students, departmental units, and colleges involved with the submission of applications and proposals to external funding agencies.

Policy Statement

Proposals submitted for external funding must be processed through the Office of Sponsored Programs (OSP) three full business days before the funding agency deadline, during regular business hours (Monday–Friday, 8 a.m.–5 p.m.), which will ensure all appropriate signatures and certifications for the Principal Investigator (PI), Department Head, Dean and Committee Chairpersons (as applicable), are obtained and compliance requirements are checked.

Procedures/Guidelines

The Principal Investigator (PI) initiates the proposal process and is responsible for the technical content, budget, addressing compliance issues, and the quality and preparation of the proposal. It is important that the funding agency’s priorities and evaluation procedures are understood.

The Department Head, and the College Dean, reviews and approves the proposed project and budget, and confirms that the proposal is consistent with the mission of the Department and College, the academic soundness of the proposal, that resources will be available, and that no commitments of university resources are made other than those described. The Director of Sponsored Programs signs the budget after all others have signed and confirms that the budget is complete, correct, and approved.

OSP will work with the PI to ensure any compliance issues are addressed in preparation for final submission to the funding agency.

The submission of a proposal by the three-day deadline ensures:

• Internal budget is correct, complete, and approved
• Supporting materials (e.g., support letters) are included in the proposal
• Solicitation requirements are checked to avoid rejection on technical grounds
• Required signatures and certifications are obtained
• Cost share commitments are reviewed and approved by the proper authorities
• Compliance requirements for export control regulations, vertebrate animals, human subjects, safety…etc., are reviewed
• Agency registrations are up to date, and systems are working properly

It is strongly encouraged that the PI contact OSP at least 10 days prior to the deadline for planning purposes and for any extra assistance needed, such as budget entry, uploading proposal files, a thorough review of the guidelines, or performing editing services.

The following information lists the basic components of a proposal that can be used as a guide when sponsor requirements are not available or specific. At a minimum, you will need to provide our office with the following:

• The sponsor’s guidelines or solicitation, in order to review your proposal and prepare it for submission.
• The internal budget form needs to be signed by the Principal Investigator, Department Head, the Dean, and the Director of Sponsored Programs.
• A project summary/abstract and a project description describing the objectives and methodology and significance of the proposed project. These sections may be provided to our office in draft form.
• A detailed budget and budget justification that reflects a reasonable estimate of expenses for each budget category is required. Include cost sharing/matching only if it is specifically required by the funding agency.
• Subawards: If there is a subaward involved, a scope of work, a budget, a budget justification, and a subrecipient questionnaire are to be completed and signed by an authorized official of that organization.
• Compliance Review: Federal regulations and university policies require that various university committees approve certain proposed activities. Compliance review and approvals for Animal and Human Subjects, Radioactive Substances, Bio-hazardous Substances, Controlled Substances, and Recombinant DNA may be necessary before your proposal can be signed. You will need to designate these areas on the Internal budget form.
• The proposal contents listed below are standard items typically required by many sponsors and may be included as part of your proposal:
  • Bibliography of pertinent literature
  • Biosketches of senior/key personnel
  • Recent publications
  • List of collaborators
  • Current and pending support
  • Description of available facilities and equipment

Responsibilities

The Principal Investigator is responsible for ensuring all proposal documents are complete and consistent with the funding agency guidelines, to include letters of support and other supplemental materials, and the proposal attachments are properly uploaded into the system (as applicable), adhering to the three-day deadline, including an internal budget approved by department head, dean’s office, and the director of sponsored programs (or designated proxy).

Enforcement

OSP reserves the right not to submit a proposal when it is incomplete or out of compliance, the three-day deadline is missed, or the compliance review has not been completed.