How to Submit a Proposal

How do I process the proposal through the University?
UT Facts for Sponsored Projects

When applications requestOSP provides the following response
Address for all Official Correspondence The University of Texas at Austin
Office of Sponsored Projects
3925 West Braker Lane
Building 156, Suite 3.11072
Austin TX  78759-5316
Type of OrganizationState Related Institution of Higher Education
Congressional District
Texas Senatorial District
Texas House of Representatives District
25th
14th
49th
Authorized University Official for all Proposals and CertificationsRenee K. Gonzales, MPA, CRA
Assistant VP for Research & Director
Office of Sponsored Projects

Jason D. Richter, BBA, CRA
Associate Director
Office of Sponsored Projects

Courtney Frazier Swaney, MPA, CRA
Associate Director
Office of Sponsored Projects

David K. Hawkins, MBA, CRA
Associate Director
Office of Sponsored Projects

Elena V. Mota, BA, CRA
Assistant Director
Office of Sponsored Projects

Christian Pfeiffer Flores, MPA, CRA
Assistant Director
Office of Sponsored Projects
Officials Authorized to Sign Listed AgreementsIndustrial Affiliates Programs:
Daniel T. Jaffe, Ph.D.
Vice President for Research

All Other Documents:
Renee K. Gonzales, MPA, CRA
Assistant VP for Research & Director
Office of Sponsored Projects

Jason D. Richter, BBA, CRA
Associate Director
Office of Sponsored Projects

David K. Hawkins, MBA, CRA
Associate Director
Office of Sponsored Projects

Courtney Frazier Swaney, MPA, CRA
Associate Director
Office of Sponsored Projects

David Ivey, JD
Associate Director
Office of Sponsored Projects

Christian Pfeiffer Flores, MPA, CRA
Assistant Director
Office of Sponsored Projects

Mark Featherston, MPA, CRA
Assistant Director
Office of Sponsored Projects
Financial ContactOffice of Sponsored Projects
osp@austin.utexas.edu
phone: 512-471-6424
fax: 512-471-6564
Principal InvestigatorFaculty Name (or investigator to serve as project correspondent if there are co-investigators)
Employer ID Number
DUNS Number
Contractor Establishment Code
Cage Code
FICE
NAICS Code Number
746000203
170230239
78-764-557B
9B981
003658
611310
NIH Human Subjects Assurance NumberFWA# 00002030
NIH Animal Welfare Assurance NumberA4107-01
Cognizant Agency/AuditsDepartment of Health & Human Services
Division of Cost Allocation
Central States Field Office
1301 Young Street, Room 732
Dallas, TX 75202 Phone: 214- 767-3261
Contract Administration OfficeOffice of Naval Research
140 Sylvester Road
Bldg. 140, Room 130
San Diego, CA 92106-3521Phone: 619-221-5482
Fax: 619-221-5615
ONR Purchase Approval Date
Expiration Date
ONR Property Control System Approval
November 3, 2016
July 31, 2019
System deemed COMPLIANT by ONR (PDF)
Date of Last Negotiation of Indirect Cost AgreementAugust 31, 2014
CASB-DS-2-filingJune 2005
A-133/2 CFR 200 Annual Statewide Single Audit ReportAudit Certification Letter FY 15-16 (PDF)
Statewide Single Audit Report FY 15-16 (PDF)

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University Resources

General information about the University which you may wish to incorporate into your proposal's resources and environment section may be found at the University's website. The site includes information about the University's library system as well as financial and computing resources.

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Administrative Review and Approval of Proposal

Before transmittal to the sponsor, the proposal must be approved sequentially by the following UT Austin administrative levels:

  • Animal Resources Center (if animals are involved),
  • the OEHS Coordinator and Dean's Office for Radiation/Radioisotopes and Infectious Agents, Human Blood or Extreme Toxins (if any of these are involved)
  • the Coordinator for Human Subjects and Recombinant DNA, (if any of these are involved),
  • the OSP,
  • Development Office (if proposal is being submitted to a foundation; the OSP will contact the Development Office to secure its approval and to determine whether the foundation involved has any special requirements regarding proposal submissions),
  • Department Chair's (or Unit Director's) and Dean's signatures required only if proposal includes: 1) commitment of additional space facilities; 2) any cost-share commitments; 3) no tuition budgeted for graduate students (only for College of Engineering); 4) any special requirements of department, unit, or college; or 5) any safety-driven modifications or precautions beyond current practice.

All proposals must be accompanied by the "Proposal Review Form". The summary information contained on the completed form facilitates administrative review and approval, and thus helps to expedite processing. Copies of this form can be obtained from the Office of Sponsored Projects.

For each sponsor, a "Proposal Review Form" and original proposal, as well as two copies of the proposal for the OSP files, should be delivered to the OSP for processing at least four working days prior to the date the proposal must be transmitted to the sponsor. Failure to supply the two OSP copies with the original signed proposal will delay the processing of the proposal. Advise the OSP of any proposal submission deadline (distinguish between "be there" date versus "postmark" date). If you wish the OSP to mail the proposal, supply the appropriate number of copies to be mailed to the sponsor together with the original. Overnight mail delivery is done at the Principal Investigator's expense.

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Mailing Information

Mailing Address:
The University of Texas at Austin
Office of Sponsored Projects
North Office Building A
Suite 5.300
101 E. 27th St., Stop A9000
Austin, TX 78712-1532

Physical Address:
The University of Texas at Austin
Office of Sponsored Projects
North Office Building A (NOA)
Suite 5.300
101 E. 27th St.
Austin, TX 78712

Campus Mail Code: A9000

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Proposal Process Checklist

The following is a checklist of information the Principal Investigator should provide to the OSP when submitting a proposal for University administrative review and approval.

  • Complete, signed "Original" proposal;
  • Completed, signed "Proposal Review Form";
  • RFP, RFQ or special solicitation guidelines;
  • Two copies of proposal for the OSP files;
  • Additional copies for sponsor if the OSP is to mail;
  • Animal Welfare documentation as applicable;
  • Radiation/Radioisotopes; Infectious Agents, Human Blood or Extreme Toxin documentation as applicable
  • Human Subjects documentation as applicable;
  • Recombinant DNA documentation as applicable;
  • Matching funds/Cost-share letter(s) of commitment as applicable;
  • Subcontracts/Subrecipient Agreements documentation as applicable.

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What are the time lines (deadlines)?

The OSP requests a lead time of at least four working days to fully process proposals.

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I've submitted my proposal, now what?

By accessing the Research Management System, you can tell whether your proposal is still in proposal status, award status, or has been rejected.  The system allows you to see the date the award was received, the date of first action, and the date it was officially entered as an award.

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I've heard my proposal will be funded. What does that mean?

Principal investigators are often notified by their program director, technical monitor, etc., that their proposal is going to be awarded.  At that point it is assumed that an award is forthcoming.  It is, but the process is quite involved.  Once the program officer recommends a proposal for award, it usually has to be approved by a division director.  After that it goes to procurement and finally it reaches the contracts or grants office.  This process takes anywhere from 4 to 8 weeks or longer.  The award is not official until OSP receives an award document from the contract's office.

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What is involved in accepting an award?
How does the award get set up?

Notices of Award (NOAs) for sponsored projects are processed through the Office of Sponsored Projects (OSP) when a project has been awarded. The Grants & Contracts (G&C) specialists serving as award staff in OSP start the process. Then the Sponsored Projects AwardAdministration’s (SPAA's) G&C specialists serving as account contacts complete the process by setting up the account details in *DEFINE. Generally, there is a three to five day turnaround for having an award set up in *DEFINE once the NOA has been processed by OSP.

Note: NOAs also may accompany extensions, additional funds, changes of unit codes, deobligation of funds due to scope reduction, or another significant change in the award's terms.

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What are my responsibilities?

Understanding your PI's role (and your role) versus the role of research administrators who work in OSP will help streamline the proposal application process. Departmental research administrators assist their PIs with proposal preparation and other pre-award work (and/or post-award work). Generally, you will be the liaison between the department and OSP, acting as the departmental contact and working directly with the PI to prepare and submit proposal application packages to OSP for their review and submission to sponsors. You may also manage accounts, assist with reporting on grant progress, or anything else that comes up after the funding has been awarded and before the grant is closed out. See Responsibility Matrix table below.

Responsibility Matrix

ACTIVITYDEPTPIOSP
Determine if PI already holds PI statusXXX
If PI status not conferred, make request for PI statusXX
Add PI to RMS databaseX
Request Unit CodeXX
If PI will have an assistant/postdoc/student preparing forms, authorize that individual for access to electronic systemsXX
Add assistant/postdoc/student to RMSX
Determine which sponsor matches funding interestX
If the sponsor requires application submission via its own electronic submission system, ensure that PI/UT Austin is authorized to submit via that system.XX
Seek funding opportunityX
If funding opportunity limits the number of submissions, check the Limited Submission Programs page. If the program is not listed, contact the OSP office by sending an email to osp@austin.utexas.edu to enter an internal competitionXX
Determine who should be on research teamX
Contact proposed research team to secure their agreement to participate and obtain supporting documentsX
Contact Dean for any special departmental commitments and obtain supporting documentationX
Contact vendors for quotesXX
Assess research risks (human, animal, biohazard, etc.)XXX
If institutional approval for study is required, submit documentation and secure approvalXX
Contact sponsor Program OfficerX
Prepare OSP's Proposal Review Form in RMS and route to OSPXX
If Letter of Intent is due, send it in a timely fashionXX
PI prepares the proposal narrativeX
Prepare budgetX
If cost sharing is associated with project, complete form and obtain all necessary signaturesXX
If subcontract involved: inform subcontractor of items needed and obtain said itemsXX
Obtain letters of support/access to facilities, if necessaryXX
Submit required materials to OSP for reviewXX
OSP authorizes the proposal for submission.XXX
After submission, answer sponsor questions that may arise or prepare additional materials requested by sponsorXXX
Respond to sponsor requests for additional materials such as Representation and Certifications (Reps and Certs), revised budgets, etc, i.e., Information Transmittals(Info-Trans). All Info-Trans back to sponsor must be routed through OSP.XXX
OSP negotiates award, if necessaryX
OSP accepts award on behalf of UT AustinX

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What are the federal regulations?

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What has to be negotiated?

Budget Negotiations with the Sponsor

Preliminary budget negotiations are often conducted between the Principal Investigator and the technical contact for the sponsor in order to determine an appropriate level of funding for the program proposed by the Investigator. Such preliminary discussions are encouraged. The Principal Investigator should contact the OSP, however, for established rates for fringe benefits, facilities and administrative costs or other budgetary matters that may impact upon the total support required for the project.

The Principal Investigator should not attempt to negotiate rates for facilities and administrative costs (or fringe benefits) that are different from the federally-approved rates for the University, nor should it be implied that a reduction in the approved rates would be acceptable to the University. Facilities and administrative costs represent substantial, real expenditures incurred by the institution to support each research program, and if these costs are not fully paid by each sponsor, the University must subsidize them from other institutional resources. In the event that a sponsor indicates to the Principal Investigator that it does not wish to pay these costs in full, the OSP should be contacted in order that this office may contact the sponsor for further negotiation regarding this issue.

If formal budget negotiations are required, the OSP will conduct the negotiations, including the confirmation of approved salary, benefits, computer and facilities and administrative cost rates. The OSP will seek the Principal Investigator's input and concurrence for any modifications proposed by the sponsor.

Submitting a Revised Budget

During the course of project negotiations it often becomes necessary to reduce or adjust the budget initially proposed. If this is the case, the Principal Investigator should send the revised budget and any other pertinent information (a revised budget explanation or revised statement of work or project duration may be appropriate) to the OSP for processing prior to sending the revision to the sponsor. A new "Proposal Review Form" is not required in this case as the OSP will update the figures on the one originally authorized.

Business Negotiations

The OSP reviews the terms and conditions of every award received. Terms and Conditions are negotiated in accordance with UT Austin policies and The Intellectual Property Policy of The University of Texas System.

Federal Awards:

  • Terms and Conditions are usually predetermined, however, negotiations may be required.

Non-Federal Awards:

  • Normally, most non-Federal projects require negotiations, especially those agreements with industrial sponsors. Such topics as inventions, publication rights, liability, and ownership of research results are usually the subject of negotiation. The negotiations are coordinated between the OSP personnel, the sponsor, the Principal Investigator, and, as appropriate, the UT System Office of General Counsel. The OSP leads the negotiations with the sponsor.

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Who can sign the award for the University?

Award documents take many forms depending upon the type of sponsor and project. These documents require review and signature by the official institutional representative authorized to sign on behalf of the institution. The OSP is responsible for award document processing. The Principal Investigator is notified of each new award and its terms and conditions and is asked to accept the award and responsibility for complying with all award requirements by returning a signed acknowledgment to the OSP.

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My award has been accepted, now what?

Upon receipt of fully executed award documents or other proof of award, the OSP forwards information to the Sponsored Projects Award Administration (SPAA) section of the OSP for assignment of account number and setup of the account. Once the Principal Investigator receives notification of the project account number from SPAA, funds may be encumbered or expended against the project.

The Office of Sponsored Projects plays a dual role in the post-award phase of sponsored project activity. The OSP serves as a central point of contact for sponsor grant or contract officers regarding administrative matters throughout the duration of the project. The OSP also serves as facilitator and advocate for Principal Investigators in all matters pertaining to the non-technical management of their grants and contracts. In addition, the OSP coordinates compliance with each sponsor's requirements for interim and final research reports. Principal Investigators are responsible for submission of all required reports in a timely fashion.

If the award documentation is delayed, procedures are available to obtain a letter of credit for a limited period of time. Contact the OSP with information regarding the amount of credit needed. After the award information is verified by a representative of the sponsoring agency with the authority to commit funds, overdraft approval may be given. Credit will be limited to emergency expenses. Many Federal agencies allow pre-award costs up to 90 days prior to the start date of a grant. If pre-award costs are required, the above procedures for verification will be followed and pre-award costs may be approved.

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Who do I contact for post-award account management assistance?

Contact Grants and Contracts Specialists at the Sponsored Projects Award Administration (SPAA).

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How do I request for project extensions?

One of the most frequently asked questions from Principal Investigators or their assistants is, “What do I need to do in order to extend my project without requesting additional funds?” The answer to that question depends on the source of funding. The following should assist you in answering that question.

Federal Funds

If the award is from a Federal sponsor and the terms and conditions of the award are noted as Federal Demonstration Partnership (FDP), the University generally has the option of issuing a one time 12 month grantee-approved no-cost extension. You will generally find awards issued with FDP terms and conditions from the following sponsors: National Science Foundation, National Institutes of Health, National Aeronautics and Space Administration, Department of Energy, Environmental Protection Agency (only if the extension will not cause the project period to exceed 5 years). All first time NIH no-cost extensions must be routed through the account specialist in Sponsored Projects Award Administration (SPAA). However all subsequent NIH extension requests must be routed through the Office of Sponsored Projects (OSP). All other agency extension requests, including extensions on contracts, must be routed through the OSP. Some sponsors have an electronic module for submission of no-cost extension requests and others accept extension request letters via email. Contact the appropriate OSP Grant Specialist based on your constituency to obtain appropriate extension request procedures depending on your particular award.

If the one-year extension has already been used, subsequent extension requests must be submitted through OSP to obtain sponsor approval. The request should be in writing and should provide a justification for the extension. The justification should relate to the completion of the scientific objectives, not that funds are remaining. Requests for no cost extensions to NSF must be submitted through FastLane. Sponsor approved no cost extensions must be submitted prior to the expiration date of the grant. NSF requires that the request be submitted 45 days prior to expiration. Note that these requests generally take one to two months to process and approve. Consider the processing time when deciding when to submit your request. Non-Federal Requests for extensions should be submitted in writing and routed through OSP. The requests should include a programmatic justification for the extension. The University has no provision for extending these projects without sponsor approval. As with federal awards, these requests should be made prior to the expiration date and with ample lead-time. A three-month lead time is suggested in order to have an approved extension prior to the original expiration date.

Letter of Request:

  • Includes:
    • Agency assigned project/award number.
    • New end date requested.
    • Technical reasons for the project’s delay and need for extension.
    • Estimation of funds remaining at the current end date
    • Plans for funds during extension period and how those plans accomplish the original goals of project.
  • On PI’s UT Letterhead
  • Signed By PI and forwarded to OSP so that we can countersign and send to sponsor.
  • The reasons for extension CANNOT be because funds remain. There MUST be technical reasons for extension. 

Letter of Notification:

  • Similar to Letter of Request, but includes language, “Under the Terms and Conditions of Federal Demonstration Partnership, we exercise our right to a 12-month no-cost extension.” Even though this request does not require prior approval from the sponsor, there must be funds remaining in the account and the request must have technical reasons for requesting the extension.

The requirements for requesting for a project extension are summarized in the table at the end of this section.

Industry Funds

Requests for no-cost extensions to industry sponsors should be addressed to the Office of Industry Engagement: industry@austin.utexas.edu, (512) 471-3866.

Reasons NOT to request a No-Cost Extension:

  • I have money left in my account.
  • I want to buy a laptop or other piece of equipment.

Requirements for Requesting for Project Extension (Federal Funds)

AgencyFDP (First)FDP (Second or Third)Non-FDP
NIHContact Michael Martindale, SPAA, to submit this request on NIH Commons.Letter of Request to Program Officer/Grants Management SpecialistLetter of Request to Program Officer/Grants Management Specialist
NSFSubmit Grantee Approved NCE on Fastlane.Submit NSF Approved NCE on Fastlane.Submit NSF Approved NCE on Fastlane.
Other Federal (NASA, ARO, AFOSR, ONR, etc)Letter of Notification to Program Officer/Contract Officer. (Limit 12 months)Letter of Request to Program Officer/Contract Officer.Letter of Request to Program Officer/ Contract Officer.
Non-Federal (Subawards, Foundation Awards)N/AN/ASee Award Terms and Conditions. Most often, Letter of Request addressed to sponsor.

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How do I request for budget revisions?

If you want to revise your budget and the sponsor guidelines do not allow for it, you will need to request your revisions in writing. The request must be processed through OSP. If you have questions about what is allowed, contact your account specialist at Sponsored Projects Award Administration (SPAA).

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How do I request for supplemental funds?

Requests for additional funding on an existing project are processed as proposals through OSP. You will need the following items:

  • Proposal Review Form
  • budget
  • statement of work for the additional effort
  • updated certification for all compliance issues if necessary

Make a notation of your current grant number on the Proposal Review Form.

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How do I request for change of Principal Investigator?

If a change of principal investigator is required on a project, a letter must be sent to the sponsor. The letter should be endorsed by the current PI, the proposed PI, and OSP. The letter should outline the qualifications of the new PI.

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I'm leaving. How do I take my grant with me?

Transferring a grant to another institution is a complicated process and requires proper timing to allow for the transfer and to allow for start-up at the new institution. Some sponsors have specific forms which must be completed to obtain a transfer. Other sponsors have no formal guidelines for transfers. There are general procedures that need to be followed here to prepare for a transfer. Note the following steps in preparing for a grant transfer: Select an arbitrary expiration date for your project. In order to relinquish the project, Contracts and Grants must be able to determine the residual funds remaining after all obligations have cleared. It takes at least 30 days after the expiration date to obtain this information.

If you purchased equipment and want to take this equipment with you when you move, you must obtain approval from your Chair, Dean, and the Business Manager's office. You will need to submit non-competing continuations for the next year's funds through your new institution. Grants from the National Institutes of Health require the completion of an NIH Relinquishing Interests Form.

Grants from NSF require completion of an NSF Grant Transfer Form.Once the grant has been relinquished, the sponsor will re-award the grant to the new institution.

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Other Considerations
What if I have a significant financial interest in the company I am submitting this proposal to?

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What if cost sharing is required?

See Cost Share FAQ page and OSP Handbook page for information.

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What if human subjects are involved?

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What if DNA is involved?
  • Policy: Projects involving the use of recombinant DNA molecules require initial and subsequent annual review by the DNA/Institutional Biosafety Committee (DNA/IBC). A Synopsis for Research Involving Recombinant DNA should be completed, signed and sent to the Office of Research Support and Compliance and Compliance (A3200) for forwarding to the DNA/IBC Commitee for review. You will receive a signed duplicate after review and approval. These requirements apply to both funded and non-funded research.
  • Form (will need UT EID)

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What if I want to include a relative in my budget?

The University's policy on nepotism is found in the Handbook of Operating Procedures.

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What if radioactive material is involved?

If you will be using radioactive materials, read the university’s policies, guidelines, and manuals found here: https://ehs.utexas.edu/programs/radiation/.

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What if my project involves infectious agents/human blood/extreme toxins?

Researchers who are planning projects involving radiation/radioisotopes and/or infectious agents, human blood or extreme toxins should contact the Office of Environmental Health and Safety. In addition, required forms and certifications are now available at OEHS and OSP and need to be approved by OEHS and the Dean's Office before submission of your proposal to OSP.

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What if animals are involved?

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