PRINCIPAL INVESTIGATOR PROPOSAL PREPARATION CHECKLIST
1.
2.
STEP
Search for Program
Announcements of Interest
Use Proposal Alert System
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3.
Careful Review of
Announcement
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4.
Limited Submission
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5.
Research Compliance and
Import / Export Control
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6.
Cost Sharing / Overhead
Reduction / Overhead Waiver
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7.
Cost Share Commitment Form 
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NOTES
Download and read announcement as it will determine eligibility, proposal
formatting and submission requirements.
Access the Proposal Alert System and enter basic information related to
the upcoming submission, as soon as the decision to respond to the
particular announcement is made.
The Proposal Alert System is to be used for all types of submissions (i.e.,
letters of intent, white papers, pre-proposals, new proposals, continuations,
resubmissions, revisions, subcontracts, collaborations, STTRs, SBIRs, etc.)
Due at least 3 weeks (for general submissions) and 5 weeks (for limited
submissions) prior to submission date.
OSP Pre Award Director notifies PI on the Pre-Awards Specialist that will
be assisting with the specific effort.
DONE
Review announcement to ensure familiarity with all submission
requirements.
OSP Pre Award Director reviews announcement for any exceptions to the
award terms and conditions (if available) that must be addressed at the time
the proposal is submitted.
Some programs are limited as to the number of applications that can be
submitted by any one institution. SIT has a “Limited Submission” policy
on the OSP website.
Limited submission programs are managed by the Director of Pre-award
Operations.
Review of Solicitation will be performed by Pre-Awards Manager to
ensure that any potential requirements for research compliance and/or
import/export control issues are addressed. Input for the Director of
Contracts and Import/Export Controls will be seeked when needed.
Voluntary cost sharing and/or overhead waivers are generally not allowed.
If requested by the Sponsor and/or is specified in the solicitation, written
approval by the Dean and/or the Provost is required PRIOR to the
preparation of the proposal, as per SIT policy established in January 2012
by the Provost.
If cost share or overhead waiver is approved by the Dean and/or Provost
(in writing), a Cost Share Commitment Form will be prepared.
The Pre-Award Specialist will initiate the form.
PI will be responsible for obtaining the necessary signatures (PI, CoPIs,
Department Head, Dean and Provost [for overhead waiver ONLY]), by the
time the proposal is due.
The signed form will be kept on file to be used at the time of award.
Updated June, 2012 by Chrissa Papaioannou
Page 1
8.
STEP
Technical Proposal and
Required Attachements
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9.
Proprietary Data and/or IP
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10.
SBIR/STTR
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11.
Detailed Budget
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12.
Consultants
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NOTES
Ensure that proposal conforms to all formatting and content requirements
such as font type and/or size; margins; line spacing; headings; required
content and page limitations.
DONE
All proprietary data included in the proposal should be clearly marked;
otherwise, it might be released through general dissemination if the
proposal is subject to a Freedom of Information Act (FOIA) request.
All background Intellectual Property (IP), included in a proposal, should be
clearly identified and must be preceded by a conversation with the Office
of Academic Entrepreneurship for potential IP protection.
SIT presence for SBIRs and STTRs is as a subrecipient; therefore a
proposal from the university to the small business must be a part of the
process.
Budgets should always include full F&A.
Most sponsors require the development of a Cooperative Research
Agreement (CRA) that details the disposition of IP developed, use of
existing technology and potential royalty and credit splits for licenses.
OSP must also know who the Prime (small business) will be.
A detailed budget is required for each budget period, as well as a
cumulative budget for the entire proposed period. The program
announcement should provide specific budget requirements.
In all cases, a detailed budget is needed for entry into SIT accounting
system.
The OSP Pre-Award Specialist will assist the PI with the development of
the budget to ensure it conforms to all solicitation’s and SIT’s policies and
requirements.
IT IS HIGHLY RECOMMENDED that quotes for all equipment are
provided to the Pre Award Specialist to become part of the proposal
package (many sponsors require the quotes at proposal stage).
SIT part time or full time employees are not allowed to be consultants in
any Stevens’ proposal.
Documentation required consists of the Consultant’s cover letter describing
the work to be performed and the hourly or daily rate, as well as all other
costs associated, including travel.
This letter must be obtained prior to the proposal submission date and will
be kept on file.
Updated June, 2012 by Chrissa Papaioannou
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STEP
13.
Subawards
NOTES
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14.
15.
Safety Committee Reviews
(IRB, IACUC, BSC or
Radiation)
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Budget Justification
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16.
Proposal Routing Form
(PRF)
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17.
Proposal Submission
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DONE
Subawardees must be substantially involved in the project, can make
decisions, have administrative and accounting systems that can be audited
and are responsible for deliverable(s).
Scope of work, budget, budget justification and Institutional Commitment
are required from each Subcontractor as part of the proposal package.
Must be registered in Central Contractor Registration (CCR) and report
salaries of 5 highest paid individuals, or be exempt.
FULL F&A IS APPLICABLE ON ONLY THE FIRST $25,000 OF
EACH SUBAWARD.
The need/inclusion of any of these in the research plan requires submission
of a protocol to the appropriate review board.
The protocol must be approved before funding is enabled by post-award.
All processes are administratively supported and managed by OSP
Compliance Operations.
Critical documentation that provides the reviewers insight into the need for
proposed costs.
Needed for typically unallowable items such as administrative costs,
computers, etc.
Pre-Awards Specialist will assist in the preparation of this documentation,
if needed.
MANDATORY form that must accompany ALL proposal submissions
(new, subcontracts, collaborations, modifications, etc.) and have all
requisite approval signatures.
DUE at the time of proposal submission.
Post award will not set up account UNLESS the fully authorized PRF
is on file.
Final proposals must be ready for final review by the Director of PreAwards no later than 24 hours prior to the due date and time of the
particular solicitation / announcement / request.
Updated June, 2012 by Chrissa Papaioannou
Page 3