Potential investigators are responsible for identifying funding opportunities that align with their interests and expertise.

The Office of Research and Sponsored Programs (ORSP) can assist with GrantForward profile set up, and can look into opportunities if keywords of research interests are provided.

If UIS is limited in the number of proposals it can submit, notify ORSP early (ideally, at least a month and a half before the sponsor deadline) in the event a selection committee must be created and convened.

If an opportunity includes a pre-proposal component, such as a letter of interest or a letter of intent, institutional approval is not required unless the sponsor requires it.

Investigators are responsible for developing proposal documents that are in line with sponsor policies and guidelines.

Business administrative associates/the unit should be consulted for administrative document development and compliance.

ORSP has a Grant Writer that can assist with development and feedback if contacted for consultation in advance of internal deadlines.

ORSP can provide training, assistance, and interpretation during the development phase.

When involving external collaborators, the Principal Investigator is responsible for ensuring they have adequate time to receive their organizational approvals in time to submit materials with the internal proposal.

Principal investigators (or their designee) are responsible for ensuring a myProposal entry is submitted by internal deadlines, with all required documents attached. For the process, visit the Electronic Research Administration page.

ORSP will conduct a pre-review of the application against sponsor guidelines and policies, university and system policies, and state and federal regulations.

For proposal requests that include legal terms and conditions, in particular representations and certifications, ORSP may consult with Legal Counsel.

If any compliance revisions are required, these will be requested. ORSP will make updates and upload revisions on the backend of myProposals.

If time allows, ORSP may suggest content edits for increased alignment with sponsor expectations; investigators are not required to make revisions that are not related to compliance.

ORSP makes every effort to submit all proposals. However, when proposals are submitted too close to a sponsor deadline and there is not time for a compliance review, ORSP reserves the right not to approve and submit a proposal.

Once ORSP believes that the application is compliant, they will assist the investigator or their designee with requesting certifications and approvals as needed, typically at two levels per key personnel. When unit heads, deans, and high level administrators are included as key personnel, it may be sensical only to include one level of approver for affected individuals.

All key personnel are expected to certify that their involvement is what they expected and details are accurate to the best of their knowledge.

Approvers are responsible to reviewing proposed effort and resources of personnel under their supervisory line(s). If approvers believe that effort or resources (including cost share) are unreasonable, they should reach out to ORSP and the investigator(s) to make revisions before approving.

After all certifications and approvals are received, ORSP will conduct a final review and approve at the institutional level. Institutional approval assigns the an "Institutional Proposal" number that is used for internal documentation and tracking.

If an institutional letter of commitment needs written and/or signed, an Authorized Organizational Representative will complete this after approval at the institutional level is granted.

ORSP will store all approved documents internally in Box.

Unless explicitly requested and granted, investigators and units do not have authority to submit proposals directly to sponsors. This is typically only approved for private or state sponsors where communication was initiated by the unit and proposals are submitted via email. When a portal is required for submission, ORA@uis.edu should be able to access the portal, and must be the notification official contact email.

Authorized Organizational Representatives are housed in ORSP, and are the only individuals authorized to submit proposals (or delegate authority) on behalf of the institution.

ORSP prefers not to submit proposals on the sponsor deadline, due to the potential for website issues or crashes, and makes efforts to submit prior to the deadline whenever possible.

The sponsor and their reviewers will evaluate the proposal documents based on select criteria.

If the sponsor requests clarification or updates, the Principal Investigator is responsible for providing them. If the updated items will be incorporated into an agreement, ORSP should be given a chance to review and approve prior to submission to the sponsor.

If the Principal Investigator has a high degree of certainty that an award will be executed, pre-award costs are allowed by the sponsor, and the unit accepts the financial risk if the proposal is not funded, a request can be made for Post-Award to set up an Anticipation Account so that funds can be expended prior to full execution of an agreement. This request is submitted by the unit's Business Administrator through the GC70 system.

The sponsor will notify grant contacts of their decision. ORSP and the Principal Investigator (or their designee) will ensure both units are aware of decisions.

If notified of selection of funding, the Principal Investigator should update any required documents (such as training records, Current and Pending Support, or conflict of interest disclosures) and initiate any processes that may delay implementation (such as submitting for IRB approval or posting a job position).

The Principal Investigator and their business administrator are expected to read over Notices of Award and agreement terms and conditions. If any are not acceptable, ORSP should be made aware of those that require negotiation. Investigators are able to informally negotiate terms with sponsors, but do not hold authority to bind the university to those negotiations.

If there are changes from the proposal to the award, the Principal Investigator should identify them and determine if the budget and scope of work are still in alignment. If the sponsor approved a budget that was different from the proposal amount, the PI is responsible for providing an updated budget.

ORSP will review the terms and conditions for "red flag" clauses. Often, this review is conducted in consultation with Legal Counsel to determine appropriate alternate language.

If negotiations are necessary, ORSP will communicate with the sponsor, who has the option to accept the negotiated terms, or to re-negotiate the language. This process will continue until all parties find terms that are acceptable or it is determined that the agreement cannot move forward.

Once terms and conditions are acceptable to the University, the agreement is sent via AdobeSign with a Contract Approval Routing Form (CARF). The agreement should be reviewed and the CARF signed in order by the unit, college/center, Pre-Award, Provost (or designee), and the Comptroller Delegate.

The Comptroller Delegate is the only individual with authority to enter the University into a legal agreement.

Upon final signature by the Comptroller Delegate, ORSP (or the investigator/unit when approved) will submit the partially executed (PE) agreement without the CARF and AdobeSign audit pages to the sponsor.

ORSP will store the PE agreement and CARF in an internal proposal Box folder.

The sponsor will route the agreement through their internal processes and provide a fully executed (FE) version of the agreement to their University contact.

ORSP and the Principal Investigator (or their designee) will ensure both units are provided the FE version of the agreement.

Upon FE of the agreement, Pre-Award marks the proposal as a processed award, and hand off responsibility to Post-Award.

Post-Award will set up a fund(s) in Banner and provide the grant code and CFOP to the Principal Investigator and their Business Administrator.

The proposal in myProposals will be associated with the Banner grant code to connect the systems, which will generate a Post-Award number in myProposals.

The Principal Investigator is responsible for ensuring the project is implemented according to the sponsor agreement, including the scope of work, approved budget, and reporting deadlines.

When hiring grant funded positions, the Principal Investigator is responsible for coordinating with their unit and Human Resources to ensure policies and procedures are followed.

Each department handles award administration unless problems arise or prior approval is required from the sponsor.

Principal Investigators are responsible for authorizing direct cost expenditures and reviewing and approving cost transfers. PIs are expected to monitor the burn rate of their grant (funds expended against time elapsed in the project period).

Principal Investigators (with the assistance of their Business Administrators) are expected to review and reconcile monthly Banner reports; in the instance of an error or omission, it is their responsibility to communicate with the appropriate department for corrective action.

For some grants and contracts, Post-Award will prepare billings as needed.

Post-Award reviews selected charges against sponsored projects to ensure University compliance with applicable regulations and restrictions.

Post-Award is responsible for collecting funds from the sponsoring agency. Post-Award will pursue late or non-payment of invoices by funding agencies.

Principal Investigators are responsible for submitting programmatic and technical reports directly to the sponsor. Post-Award should be notified when reports have been submitted.

Principal Investigators are responsible for compliance with sponsor equipment inventorying and monitoring.

Principal Investigators are responsible for preparing reports related to inventions, discoveries, copyrights, etc.

Post-Award is responsible for submitting financial reports and letter of credit transactions, as well as specially required reports as needed.

When awards include cost-share and effort reporting, Post-Award will facilitate the processes; Principal Investigators are responsible for retaining the necessary documentation.

Principal Investigators are responsible for submitting final reports in a timely manner and informing Post-Award once they have been submitted.

Post-Award will maintain copies of reports in their internal files.

Post-Award will act as the primary point of contact for audits of sponsored programs, serving as the liaison between the University and auditors to answer questions and provide documentation.

When proposing amendments that require prior authorization from a sponsor, Principal Investigators are expected to adhere to sponsor guidelines and timelines (typically 60-90 days before expected implementation). For changes in key personnel, scope of work, the budget, or other reasons outlined in the agreement, the Principal Investigator will work with Pre-Award to initiate amendments.

Note: Some category transfers do not require a formal amendment, as some re-budgeting authority rests with the institution. It is important to check agreement language and have conversations with the grant program officer. When re-budgeting authority is internal, Pre-Award can assist with the spreadsheet, and Post-Award will make updates in Banner.

When deciding to request a No Cost Extension, PIs should consult with Pre-Award early to determine what process the sponsor requires per the agreement and within what timeline.

Principal Investigators are responsible for initiating subrecipient agreement processes. This includes ensuring subawards are named in an approved budget (which may require an amendment) and going through Purchasing for vendors, consultants, and contractors. Unnamed vendors, consultants, and contractors may require going through a competitive bidding process.

Principal Investigators must communicate requirements to their subawardees, which includes registering for a UEI, providing basic entity information, and providing evidence of financial controls. See Subaward Resources for more information.

Pre-Award will use the above information to conduct a risk assessment and draft a subaward agreement based on the level of risk of non-compliance. If Pre-Award was not provided an email for the subawardee, the Principal Investigator must act as a liaison to ensure the agreement is executed.

The Principal Investigator is responsible for monitoring the subrecipients. This includes checking invoices, requesting reports, and conducting site visits and desk reviews as needed.

If work is not being performed as expected, the Principal Investigator should notify Post-Award as soon as possible.

Upon completion of the project, Post-Award will work with the Principal Investigator and Business Administrator to ensure all conditions have been met in order to close out the fund.