|Roles||PI||PreAward Unit Admin||PostAward Unit Admin||Dean||OSP||GCA||VPR||ORI|
|Finds Funding Opportunities||R||C,I,R,A||R,A|
|Prepares the Statement of Work||R,A||C,I|
|Prepares the Project Budget||R,A||R||Varies by Unit||C,I|
|Completes and submits IRB/IACUC/IBC Application||R,A||C,I|
|Approve cost sharing prior to submission of grant||R||A||C|
|Approve pre-award account||I||C,I||R,I||C||A|
|Develop the project scope for subawards||R,A||C,I|
|Complete and submit request for subaward||R,A||C,I|
In order to provide the greatest chance of success for AU proposals, it is expected that Principal Investigators (PI) and their Departmental Administrators (DA) will provide a complete proposal package in advance of the sponsor deadline in accordance with American University’s proposal submission policy.
Proposal Package Elements to OSP
- Set-up and submit a Cayuse SP record including certification from the PI, PI's department and school.
- Well Developed Proposal Draft
- Final Budget
- Final Budget justification
- Completed Sponsor Forms Requiring OSP Signatures
If the proposal includes subawards, the following documents are required:
- Letter of intent to subcontract signed by institutional official of subcontract site
- Scope of work
- Budget/budget justification
- Biosketches for key personnel (if applicable)
- Subrecipient’s most recent negotiated rate agreement (if applicable)
- Facilities/resources pages (if applicable)
- IRB and IACUC approvals (if applicable)
- Any other documents required by prime sponsor
Distinction Between a Subrecipient and a Contractor
OMB Uniform Guidance also makes a distinction between a subrecipient (substantive work) and a contractor:
A subrecipient is defined as “a non‐Federal entity that receives a subaward from a pass‐through entity to carry out part of a Federal program; but does not include an individual that is a beneficiary of such program. A subrecipient may also be a recipient of other Federal awards directly from a Federal awarding agency.”
A contractor is defined as "an entity that receives a contract,” which is defined as “a legal instrument by which a non‐Federal entity purchases property or services needed to carry out the project or program under a Federal award. The term as used in this Part does not include a legal instrument, even if the non‐Federal entity considers it a contract, when the substance of the transaction meets the definition of a Federal award or subaward.“
If your proposal includes consultants, the following information is required:
- Consultant letter(s) of commitment (including consulting rate if paid consultant) and Biosketch.
- If sponsor has specific requirements for consultants, required documents should be included.
Consultants can be an individual or company retained to provide professional advice or services on a project for a fee. They are hired to provide essential services unavailable from existing project personnel.
For requests for F&A rate exceptions, the following documentation is needed:
- A sponsor’s published rate documented by reference to a posting on their website or included in email from appropriate institutional officer.