Sponsored Research

This page is designed to provide insight into what is happening at each phase of the grant lifecycle and provide a framework for Principal Investigators and other research administrators to be aware of the requirements and guidelines of accepting a grant at the University of South Florida.

USF has many different avenues for faculty to find grants in their specific fields or interests. The Department of Sponsored Research uses mass communication emails to broadcast specific funding opportunities received by university leadership. In addition, the university subscribes to Academic Analytics, a service provider that maintains a database which: enables faculty researchers to search for specific grants; provides a forum for connecting with other faculty researchers who share similar interests or possess specific skills in a given field; and offers a platform for accessing research publications. View the Faculty Insights page.

Sponsored Research assists with understanding and adhering to guidelines, policies, and deadlines of both the University of South Florida and the sponsor for a grant application. Provide your SRA with the link to the Program Announcement for review as soon as possible.

The department’s Sponsored Research Administrator can help provide guidance about what departments or colleges need to be involved to ensure that relevant offices are included for the right approval chain. The average time a proposal spends in this phase varies based on the complexity of the proposal and the requirements of the grant.

Internal Form: A document that outlines what will be required to conduct research for a specific grant. This form includes contact information for investigators, sponsor information, project type, budget, classified research, export control, human subjects, and other information that may or may not be applicable to the project. This form also required signature by the PI’s Chair and Dean as approval on the department level. Visit USF’s Internal Form System to get the process started.

Solicitation Specific Forms: These vary based on the agency or sponsor that is requesting calls for proposals. The department of Sponsored Research can help read through terms and conditions and determine if the faculty member who is interested and if USF are eligible for the grant.

PI Eligibility Form: This form may be required to establish if the Principal Investigator is eligible to conduct sponsored research at the University of South Florida. Review the requirements to be eligible (PDF).

Scope of Work: This section of the proposal is an explanation of what the principal investigator plans to study as part of the sponsored project they are applying for.

Budget: A detailed breakdown of how the funds from the agency will be spent to complete the project. Please make sure to use current USF approved rates found on our Fact Sheet (PDF) and F&A agreement sheet (PDF). If cost-sharing or matching funds are required by the Sponsor or notated on the internal form, please provide a breakdown for those funds as well. View the budget tool for proposals (Excel).

Budget Justification: Provide a detailed explanation for the funds requested from the sponsor. If cost-sharing or matching funds have been budgeted, please provide a breakdown for those funds as well.

Biosketch (NIH Grants): This is required for any grant that is sponsored by the National Institute of Health. For more information about the information requirements of the Biosketch please view NIH’s Biosketch samples.

Curriculum Vitae: Credentials of the Principal Investigator for the agency’s consideration. May be required for all Co-PI’s and those listed as key personnel.

• Review terms and conditions of the specific grant.
• Contact Sponsored Research at the beginning stage of the drafting the proposal for assistance adhering to guidelines, policies, deadlines, and F&A Calculations.
• Fill out Internal Form.
• Gather boiler plate information for department/college and institutional data for USF. 
• Develop a Scope of Work and/or research plan (technical proposal).
• Identify needs for subcontracts, consortia agreements, letters of support, etc. (if applicable)
• Identify any prospective source of program income (if applicable).
• Develop the budget for the funding and the budget narrative.
• Consult with department and college leadership to discuss use of space and personnel and obtain approval.
• Identify compliance issues should the project get funded (biohazards, radioactive materials, human subject protection, HIPAA, laboratory animals, driving safety, export controls).

During this phase, Sponsored Research reviews the completed proposal for USF and sponsor compliance. After the internal review has been completed, and no revisions are required, the proposal can be submitted to the sponsoring agency. The internal review is used to verify the following information:

• That the Internal Form is complete and accurate.
• Ensure that regulatory compliance requirements are met.
• Assure effort and budgetary commitments.
• Determine the Principal Investigator’s eligibility and appropriate assignment to appropriate unit/college.
• Ascertain that all necessary approvals have been applied for and/or obtained.
• Ensure that back-up documentation is included and/or forthcoming as required by USF policies and procedures (e.g., IRB approval, conflict of interest issues, etc.).

The average proposal submission timeline is 5-10 business days. This timeframe is necessary in order for Sponsored Research to conduct the proper review with all stakeholders thereby helping to increase the likelihood that the grant proposal will be selected and funded. Note that more complex proposals may take additional time to properly review prior to submission. See more information about the proposal development process.

Additionally, please consult CCHIP #23 (Institutional Procedures for the Administration of Sponsored Research) for more information.

Sponsored Research is solely responsible for negotiating, approving, and notifying the Principal Investigator if the project’s terms and conditions will need to be modified. During this time, other modifications may have to be made to accept the award.

The timeline for negotiations with the sponsor can vary depending on the contract language but on average these are completed in 15-30 business days. Depending on the award type and Sponsor, additional reviews of terms and conditions by Technology Transfer, Export Control, and other departmental reviews may be required which may extend the negotiation timeline.

Only the Office of Sponsored Research has the authority to accept a research grant on behalf of the University of South Florida. Depending on the award type and Sponsor, additional reviews of terms and conditions by other departments may be required which may extend the award acceptance timeline. Once Sponsored Research obtains approvals from applicable parties, the delegated authority (Director of Sponsored Research) signs.

Data Use Agreements *if applicable: Data Use Agreement (DUA) is a contractual document used for the transfer of data that has been developed by nonprofit, government, or private industry, where data is nonpublic or is otherwise subject to some restrictions on its use.  Often, this data is a necessary component of a research project, and it may or may not be human subject data from a clinical trial, or a Limited Data Set as defined by HIPAA.

If the data contains human subject data, the agreement governs how protected health information (PHI) that falls under the aegis of the Health Insurance Portability Act of 1996 must be handled as required under the Privacy Rule. Data Use Agreements must be entered into before there is any use or disclosure of a limited data set (defined as data that is stripped of certain direct identifiers specified in the Privacy Rule) to an outside institution or party.

Reviewing and accepting the terms and conditions of a Data Use Agreement and assuring compliance with the particular provisions contained therein is outside the purview of Sponsored Research. Because this review is performed by parties outside of the Department of Sponsored Research, the timeframe can vary. A DUA Intake form (PDF) is required for all DUAs. View the  Guidance and Data Use Agreement templates.  

Export Control Review *if applicable: The Office of Export Controls ensures that university research is conducted in compliance with export control regulations. The export control process involves:

• Conducting a thorough review of projects and contract provisions to determine whether and how a particular research project is affected by export control regulations.
• Managing export-controlled research to ensure that it is conducted in full compliance with the law.

View the guide to export control.

Conflict of Interest Review *if applicable: Ensuring that the integrity of research is maintained during all phases of research (e.g., design, conduct and reporting), and preserving the public trust in the university while also promoting entrepreneurship among the research community. Please visit the Conflict of Interest website.

Technology Transfer Review *if applicable: This review is required depending on what intellectual property is involved during the research project. USF wants to ensure the university benefits from these ventures. More information can be found on the Technology Transfer Office website.

Biosafety Review *if applicable: The biosafety review is to ensure that the use of infectious agents, toxins, or other potentially dangerous research materials have protocols in place and all faculty can conduct research safely. See more information about the Biosafety review process.

Boating Safety and Scientific Diving Programs *if applicable: The Boating Safety Program provides training, support, and oversight for the operators of small vessels used in research. The Scientific Diving Program develops, reviews, and implements standards for safe scientific diving. Visit the Boating Safety website.

Radiation Safety Review *if applicable: This review may be required in order to protect faculty at the university from radiation exposure and how to order radioisotopes safely. Visit the Radiation Safety website for more information.

Human Research Protections *if applicable: Protecting the rights, safety, and welfare of human subjects who participate in the research programs at USF and its affiliated institutions. 1. Institutional Review Board (IRB) / Human Research Protection Program (HRPP) 2. Health Insurance Portability and Accountability Act (HIPAA). See the USF Human Research Protection Program (HRPP) website.

Institutional Animal Care and Use Committee *if applicable: The USF Institutional Animal Care and Use Committee (IACUC): Supporting excellence in research and teaching involving vertebrate animals. Visit the IACUC website.

If an underwrite is required, the Principal Investigator must analyze the need and associated risks and prepare the underwrite paperwork for approval. The proper forms must be submitted to the Chair, Dean, or Director of the PI’s college for approval. Upon obtaining the requisite approval, the underwrite must be submitted to Sponsored Research for further approval.

During this time, the Post-Award team is responsible for setting up the project budget in the financial system. Sponsored Research will apprise the PI of the institutional requirements and specific transactions that can be posted to the project.

Sponsored Research will assign a Project ID and distribute the Research Award Notice (RAN) and related documents to the PI, unit research administrator, and Post- Award Grant Financial Administrator. During this step, the award is setup in FAST and the Payroll office assigns GEMS combo codes. Sponsored Research also drafts subcontracts and routes for approvals (if applicable).

• PI submits the Grant Budget Release (GBR), which is used to establish project budgets. If the Internal Form was not submitted previously, this form needs to be filled out in order to seek proper approvals from compliance and associated college leadership.
• Provide subaccount details and documents to the Department of Sponsored Research (if applicable).
• Submit the FAST workflow request form. This is used to set up purchasing process approvals via the Controller’s Office.
• Submit Section E of the FAST Access Request Form used to set up Travel workflow process approvals (if applicable). See all Controller’s Office forms.

The Transactions Team of Sponsored Research is responsible for the initial set up of an award in the university’s financial system after a comprehensive review of the award’s terms and conditions, to ensure the proper stewardship of awarded funding. This includes award milestones, (which lets the Invoicing team know when invoices/financial reports are due to the sponsor), as well as other pertinent and general information required for tracking the grant. This team is also able to responsible for the review and approval of budget modification requests for the budget of an award if necessary and allowable by the sponsor. In addition, the Transactions Team verifies sources of cost share to ensure that sufficient funds are available to meet the match requirement.

The timeline for setting up an award in the system is 5 business days on average but our business process allows up to 10 business days to account for peak periods throughout the year and to address any issues found in the award paperwork.  Once the award set up is complete, you will receive an email notice advising that the award is ready for use and it will contain the project number, chartfield string for the project, start and end date, and each of the appropriate Post Award contacts specific to your award. See more information about the financial and transaction team. Additionally, for questions regarding award set up or budget management for the duration of the award, please contact your specific department’s Grant Financial Administrator.

• Communicate with departmental unit research administrator to ensure that the project is adhering to the agreed upon terms and conditions.
• Track budget, encumbrances, salary, subcontract commitments, and expenses internally.
• Initiate and coordinate recruitment efforts and personnel appointments.
• Submit payroll distributions for personnel on project.
• Process third-party payment requests for students assigned to the project.
• Ensure that travel is authorized, expended, and reimbursed according to university policies and procedures and sponsor guidelines.
• Make purchases and incur allowable costs; ensure that all expenditures are reasonable, allocable, and benefit the project to which they are charged.
• Process receipt of goods according to USF policy.
• Review/monitor subcontracts. Approve subrecipient billing and deliverables for compliance, including ensuring that the quality of all deliverables is acceptable and in accordance with the terms and conditions of the subaward and the approved scope of work.
• Approve subcontractor invoices and submit to Payment Services for disbursement.
• Work with the departmental unit research administrator to ensure ledgers are reconciled monthly; review monthly financial reports and ensure costs associated with the project meet the test of being reasonable, allocable, and allowable.
• Prepare documents and provide justification to Sponsored Research for re-budgeting, if appropriate.
• Track cost sharing commitments to ensure commitment is met.
• Ensure payroll distributions are correct prior to payroll being posted in the ledgers.
• Ensure expenditure transfers are processed in a timely manner in accordance with university policy and are submitted by the departmental unit research administrator through ServiceNow(SN).
• Review and adjust effort reporting (PERT) for department and compare calculated effort with the pay distributions of the committed effort.
• Provide sponsor with deliverables and non-financial reports as outlined in the notice of award’s terms and conditions.
• Provide information to Sponsored Research’s Post-Award Transactions and/or Invoicing & Reporting team(s) regarding pending transactions not yet posted to FAST. Sponsored Research provides financial reports to sponsors.
• Ensure communication is maintained if there are any re-negotiated terms and conditions of the award. Sponsored Research is the authority to request sponsor reapproval.
• Prepare carryover requests and notify Sponsored Research’s Transactions unit if applicable.
• Provide documentation for audit requests as needed.

Sponsored Research’s Invoicing & Reporting team submits invoices to sponsors and provides account information to the Principal Investigators, Unit Heads, Deans, and generates financial reports for submission to sponsors in accordance with terms and conditions specified in the notice of award. See more information about invoicing and reporting.

The Department of Sponsored Research post award compliance staff is responsible generating and releasing PERT reports to the departments and coordinating University Effort reporting after each semester. The following processes are what the staff members are involved with when generating these effort reports.

• Sweeps: this report is completed after each certification period to identify discrepancies between certified effort and GEMS pay history, once Identified, RET’s are completed to correct the discrepancy.
• Out of Cycle Generations: Salary charges are not distributed in accordance to Effort, RET’s are needed to correct.
• Recertification: The certifier certifies an incorrect report (rare situation-a recertification request may be submitted for approval).
• NIH Ceiling Cap: Post award reviews all Federal and Cost Share projects to determine any overage and works with Department to remove.

In addition, other duties of the financial compliance team include reviewing and approving expenditure transfer requests (RETs and ETRs are handled through ServiceNow), reviewing and approving the financial component of cell phone/extra compensation, and GRT/Billing correction entries in FAST. The staff members are also tasked with training faculty and staff on the guidelines of Effort reporting that is mandated through Uniform Guidance.

The Closeout team is responsible for identifying awards for eligible closeout review. During this phase of the lifecycle staff members confirm the expenses posted to cost reimbursable award as reported, payments received as invoiced and any behind the scenes ledger issues are resolved. This team works with the Invoicing and reporting staff members to address any incorrect chartfields, possible refunds, equipment status, and open purchase orders as well as submit journals if necessary.

The closeout process also involves processing and reviewing eligible rollovers, ensuring proper costing was followed and the facilities and administration rate is in accordance with USF Policy 0-314 (PDF). Once an award is verified, the closeout log is updated, and project is marked as inactive in FAST.

The closeout team members also have additional responsibilities to ensure the process is verified throughout the lifecycle of the award. The reviews and duties are listed below as additional requirements of this team.

• Reviews the Research Award Notice to determine program closeout requirements. 
• Reviews final invoicing and reporting requirements and confirms they have been completed. 
• Follows up with Principal Investigator to ensure final deliverables have been completed. 
• Confirms final invention status with USF Technology Transfer and Principal Investigator and submits final invention reports. 
• Confirms final property status in FAST and works with USF department to complete and submit final property reports. 
• Contacts USF subcontractors to request subcontract release forms. Completes subcontract release forms as requested by sponsoring agencies. 
• Maintains records of closeout documentation and completes final closeout checklist.

Please find information about the closeout process by reading the CCHIP #11 (Closeout of Sponsored Awards).

• Finalize and discontinue all expenditures (payroll, P-Card, travel, encumbrances, subcontracts, and subawards) and all recuring charges (IT, cell phones, etc.).
• Prepare any accrued annual/sick leave payout for employees terminated prior to end date of project.
• Approve final invoice and financial report for Sponsored Research to submit to sponsor.
• Work in concert with Sponsored Research to ensure that all deliverables have been met and non-financial (technical, property, and intellectual property) reports have been completed.
• Assist Sponsored Research, as needed, for final releases for submission to sponsor.
• Resolve any over-expenditures if needed.
• Receive roll-over analysis reports for fixed price projects (if applicable).
• Maintain records of project until Sponsored Research sends a notice to purge.

Sponsored Research’s Post-Award Closeout team is responsible for maintaining records for a set period before the files are ready to be purged. When the retention period is due to expire, Sponsored Research’s Closeout team sends reminders that files for expired or inactive awards are to be purged n. The department and PI will receive 90-day, 60-day, and 30-day Purge Eligible Notices for upcoming projects. Once the project’s retention period expires, Sponsored Research destroys all files associated with the project and notifies the principal investigator to destroy all internal files relating to the award in accordance with university policy.