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Proposal Preparation, Institutional Support of

Policy
Purpose: 

To comply with Federal regulations that prohibit most 100% grant funded individuals or partial grant funded and cost share committed individuals totaling 100% from participation in preparation of new or competitive renewal proposals for grant support, this policy outlines procedures for obtaining alternative support for investigators who are committed or supported 100% on grant funds. Proposal preparation is considered to be part of an employee’s paid work and is therefore included within the compensated effort.

Applies to: 

Principal Investigators (PIs) and other key personnel who are paid 100% by grant or sponsored research funding or who have grant funding and cost share commitments equal to 100%.

Campus: 
Lawrence
Policy Statement: 

The University of Kansas recognizes the importance of providing financial support outside of federal grant funding to allow 100% grant funded and cost shared individuals (principal investigators and other key personnel) appropriate time to prepare new grant proposals. Since time devoted to preparing a proposal cannot be charged to an ongoing project, 100% grant funded or committed individuals involved in the preparation of new proposals must be compensated for this time from other university sources. Such individuals may be eligible for support to cover a portion of salary and fringes commensurate with their proposal preparation activities from the Proposal Preparation Fund (PPF).

Requests for support from the PPF should be submitted using the Proposal Preparation Fund Form, and should include:

  • a description of the new initiative,
  • the agency involved,
  • the solicitation number or program title,
  • the name and current positions (funding specific) of each person included in the request,
  • any cost share commitments associated with current sponsored activities, including effective dates
  • the specific time frame requested for support (including an effective beginning date and length of coverage), and due date for the proposal submission.

This information must be received by Pre-Award Services at least three (3) working weeks prior to the agency deadline for submission of the proposal. Requests will be reviewed by the PPF Review Committee (consisting of one Associate Vice Chancellor for Research, a representative from Pre-Award Services, the Director of Research Administration, and a representative from Financial Services). Under normal circumstances the review committee will respond to requests for support from the PPF within three (3) working days. The Pre-Award Services department will work with the PI in completing the request, coordinating review with Financial Services, and obtaining approval by the PPF Review Committee.

Consequences: 

If it is determined that 100% grant funded or committed individuals have improperly participated in the preparation of a proposal, the proposal may not be approved or submitted.

Contact: 

Dr. Rodolfo H. Torres
Associate Vice Chancellor
785-864-3567 or 785-864-7448
torres@ku.edu

Approved by: 
Vice Chancellor for Research
Approved on: 
Monday, January 5, 2009
Effective on: 
Monday, January 5, 2009
Review Cycle: 
Annual (As Needed)
Background: 

The amount of funding that will be provided from the PPF will be based on the time commitment of the individuals involved and their role in the proposal preparation process. In general, funding will be provided for no more than 5% of an individual’s annual compensation.

Keywords: 
Proposal Preparation, Grant Funding, Principal Investigator, Grant Preparation
Review, Approval & Change History: 

02/11/2016: Added new link.

06/18/2014: Updated title for 'Office of Research' and minor formatting changes.

09/10/2012: Edited contact information.

 

Research and Sponsored Projects Category: 
Research and Sponsored Projects

Moderation History

Updated: March 3, 2016 - 08:58

Log message: Edited by amyprice@ku.edu.

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