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Policies and Procedures

OSRP provides comprehensive services for IIT faculty and staff on the preparation, review, approval, submission, management, non-financial reporting requirements, and close out procedures of sponsored project proposals. Our services extend to providing oversight for the pre-administration of awards for grants, contracts and other sponsored-related award instruments for federal and non-federal projects, including industry agreements.

Policy and Procedures for submitting proposals

A

B

  • Benefits

    Fringe Benefits are budgeted for all faculty and staff on research grants and are calculated per our federally negotiated indirect cost agreement. Fringe benefits are not budgeted for student stipends.  

  • Budget

    The proposal budget should delineate the entire cost of the project, the amount being requested from the sponsor; and identify project costs that will be met by other sources.  It must accurately reflect necessary project costs that are allowable and reasonable.  These costs must also be supported by budget documentation. 

    Revision
    Some awards may or may not have latitude in making budget revisions.  The terms and conditions of the award define how budget revisions are to be handled. Budget revisions must be made and approved prior to the expenditure being incurred. Contact OSRP for assistance.

    Templates
    Templates for budgets can be found at: https://research.iit.edu/osrp/preparing-and-submitting-proposal

C

  • Carry Over of Unspent Funds

    If allowed by the sponsor unobligated balances of funds at the end of a budget period may be carried forward into the next budget period. Carryover of funds can only be used to complete activities that were not completed in the budget period that funds were originally awarded. Contact osrp for assistance.

    Cayuse 

    A routing form (routing sheet) is required for all proposals. The login information is the same as the information you use for “myIIT”. Do not log into the “myIIT” system.   The routing sheet can be found at:  https://research.iit.edu/osrp/preparing-and-submitting-proposal#PIPortal

  • Cayuse

    The proposal management system by Evisions is called Cayuse. You can log into Cayuse via the PI Portal

  • Certifications and Representations

    Each sponsor has different requirements regarding certification and representations.  The OSRP is responsible for reviewing providing certifications on behalf of IIT.

  • Changes in Personnel

    Any changes in the support of key personnel on a grant may require prior approval from the sponsor. Contact osrp for assistance.

  • Changes in the Scope of Work/Methods

    Any changes in the scope of work or methods must have prior approval from the sponsor. Contact osrp for assistance.

  • Checks

    Checks should be made payable to: Illinois Institute of Technology

    All checks should be mailed to Grants and Contract Accounting.

  • Classified Research

    IIT does not have the facilities to perform classified research.

  • Closeouts/Closing grant awards

    Most federal Sponsors require the submission of financial, invention, property, and technical reports as per the terms and conditions of the award.  Technical reports should be sent to OSRP.  Financial reports are handled by Grant and Contract Accounting.

  • Competitions for Limited Submissions

    Some sponsors have limits on the number of proposals that may be submitted from the University.  In these cases, an internal selection process is required to determine which proposals will go forward.  Please contact OSRP for additional information.

  • Confidentiality (Non-Disclosure Agreements)

    A sponsor may require a non-disclosure agreement  (NDA) prior to starting a research project.  The NDA must be reviewed by the Office of the General Counsel and must be signed by the Director of the Office of Sponsored Research and Programs.  To obtain a sample on-disclosure agreement, go to the General Counsel website at:  

  • Conflict of Interest
  • Consulting Agreements

    An agreement for the retention of a third party to render services to IIT
    Any consulting agreement to be funded pursuant to an award or grant must be processed through and issued by OSRP.

  • Cost Sharing Policy

    The following identifies Illinois Institute of Technology's policy on cost sharing and the procedure for monitoring grant-by-grant cost sharing. Please note that when cost sharing is required on an award, the award report will need to specifically identify the source of University funds (FOAPS) that will be used to satisfy the cost sharing commitment. Spending will not be permitted on an award until all cost sharing resources are identified. Please contact Grant and Contract Accounting.

  • Cost Transfer Form

    A cost transfer form can be used to move non-salary expense from one FOAP to another. Please note that as outlined in the Cost Transfers/Reallocation Policy, requests should be prepared and submitted to Grant and Contract Accounting as soon as the need for a transfer is identified, but not later than 90 days after the original posting is made and/or within 30 days of the project end date, whichever comes first. This is handled by Grant and Contract Accounting (GCA).  

D

  • Deadlines for submission to OSRP

    Completed and final proposals are due to OSRP at least two (2) business days prior to the funding agency deadline.  Administrative portions must be finalized a minimum of five (5) business days before funding agency’s deadline date.  Any proposal not received by these deadlines stands the risk of not being sent.

  • DUNS Number

    Please contact OSRP for additional information.

E

  • E-verify

    Any award which states that is subject to E-verify must have all individuals (including subcontractors and consultants) on the award complete the verification within three days of the date of hire otherwise the individual(s) will not be authorized to work on this award.  Please contact Human Resources prior to hiring anyone onto an award which requires E-verify.

  • Electronic submission

    Most sponsors require electronic submission of the proposal.  The Institutional Authorized Representative of OSRP are the only individual(s) who can submit a proposal on behalf of the University.   Note:  There can be significant delays with electronic submissions (i.e., server delays, delays due to file size, etc.)  OSRP requires the complete proposal at least two (2) business days prior to the deadline.  Any proposal not received by these deadlines stands the risk of not being sent.

  • Eligibility – Principal Investigator/Project Director

    Proposals submitted for extramural funding (research, training, etc.) must include an eligible individual to serve as Principal Investigator (PI). IIT is legally bound to ensure that projects comply with all federal regulations and sponsor requirements of projects. The PI is responsible for the scientific and administrative conduct of all aspects of the project as well as accurate and timely reporting, including but not limited to technical reports, patent reports, and such other matters. In addition, the PI is expected to personally participate in the project to a significant and meaningful degree.

    PI Eligibility Policy

  • eRA Commons

    eRA Commons is an online interface where grant applicants, grantees and federal staff at NIH and grantor agencies can access and share administrative information relating to research grants. Contact osrp for assistance.

  • ERIF – Educational and Research Initiative Fund

    The objective of the ERIF program is to provide seed funding to initiate innovative multi-investigator, multidisciplinary research and education programs that will use the results obtained during the project period for developing proposals seeking external funding. Proposals on new research and education concepts that are multidisciplinary in scope are solicited. 

  • Expenditure Reports

    All expenditure reports related to grants, contracts and cooperative agreements are to be completed and submitted to Grant and Contract Accounting (GCA) for review and processing, as appropriate. Please contact your assigned Grant Accountant with any questions.

  • Export Administration Regulations (EAR)

    Contact OSRP for additional information.

  • Export Control

    Contact OSRP for additional information.

F

  • Facilities and Administrative Costs (aka Indirect Costs)

    Facilities and Administrative costs are also known as indirect costs.  These costs are the actual cost of University Operations.  These costs are determined by federal auditors under the Office of Management and Budget (OMB) guidelines.  Indirect costs for IIT are negotiated  by the Department of Health and Human Services (DHHS), the federal cognizant audit agency for IIT.  The Office of the Controller handles the negotiations of the indirect cost agreement.

    https://research.iit.edu/osrp/preparing-and-submitting-proposal#ICIrate

  • Faculty Handbook
  • Fastlane (NSF)
  • Financial Statements (University)
  • Fly American Act

    Federal travelers are required by to use United States air carrier service, commonly known as the “Fly American Act” for all air travel and cargo transportation services funded by the United States Government.

    §301-10.132  Who is required to use a U.S. flag air carrier? Anyone whose air travel is financed by U.S. Government funds, except as provided in §301-10.135, §301-10.136, and §301-10.137.

    §301-10.133  What is a U.S. flag air carrier? An air carrier which holds a certificate under 49 U.S.C. 41102 but does not include a foreign air carrier operating under a permit.

    §301-10.134  What is U.S. flag air carrier service? U.S. flag air carrier service is service provided on an air carrier which holds a certificate under 49 U.S.C. 41102 and which service is authorized either by the carrier's certificate or by exemption or regulation. U.S. flag air carrier service also includes service provided under a code share agreement with a foreign air carrier in accordance with Title 14, Code of Federal Regulations when the ticket, or documentation for an electronic ticket, identifies the U.S. flag air carrier's designator code and flight number.

    §301-10.135  When must I travel using U.S. flag air carrier service? You are required by 49 U.S.C. 40118, commonly referred to as the “Fly America Act,” to use U.S. flag air carrier service for all air travel funded by the U.S. Government, except as provided in §301-10.136 and §301-10.137 or when one of the following exceptions applies:

    (a) Use of a foreign air carrier is determined to be a matter of necessity in accordance with §301-10.138; or

    (b) The transportation is provided under a bilateral or multilateral air transportation agreement to which the United States Government and the government of a foreign country are parties, and which the Department of Transportation has determined meets the requirements of the Fly America Act.

    (1) Information on bilateral or multilateral air transportation agreements impacting United States Government procured transportation can be accessed at http://www.gsa.gov/openskies; and

    (2) If determined appropriate, GSA may periodically issue FTR Bulletins providing further guidance on bilateral or multilateral air transportation agreements impacting United States Government procured transportation. These bulletins may be accessed at http://www.gsa.gov/bulletins.

    (c) You are an officer or employee of the Department of State, United States Information Agency, United States International Development Cooperation Agency, or the Arms Control Disarmament Agency, and your travel is paid with funds appropriated to one of these agencies, and your travel is between two places outside the United States; or

    (d) No U.S. flag air carrier provides service on a particular leg of the route, in which case foreign air carrier service may be used, but only to or from the nearest interchange point on a usually traveled route to connect with U.S. flag air carrier service; or

    (e) A U.S. flag air carrier involuntarily reroutes your travel on a foreign air carrier; or

    (f) Service on a foreign air carrier would be three hours or less, and use of the U.S. flag air carrier would at least double your en route travel time; or

    (g) When the costs of transportation are reimbursed in full by a third party, such as a foreign government, international agency, or other organization.

    Also see:
    GSA Open Skies Agreements - http://www.gsa.gov/portal/content/103191
    GSA City Pairs  - http://cpsearch.fas.gsa.gov/
    GSA - Airline Code Sharing - http://www.gsa.gov/portal/content/103887

  • Foreign Travel

    Foreign travel is allowable only if budgeted and approved by a sponsor.  A U.S. carrier must be used for all travel. See IIT’s travel policy for additional information:

  • Freedom of Information Act (FOIA)

    Any requests under FOIA should be referred to IIT’s Office of the General Counsel.  See appendices for additional information.

  • Frequently Required Proposal Data

    Many grant proposals require the same information (i.e., Congressional District, cage code, etc.).  This information can be found at:

  • Fringe Benefits

G

  • Gifts

    A gift, also called a donation, is a voluntary, irrevocable, and non-reciprocal transfer of money, services or property from a donor to an institution. The donor may be an individual, a corporation or a non-profit organization. In this situation there is no expectation of direct economic benefit or provision of goods and services from the recipient, other than recognition and adherence to any donor imposed restrictions. Beyond a designation of the use, the donor does not impose contractual requirements on the donation. Any subsequent reporting on the use of the funds to the donor is not a condition of the receipt of funds, but rather a function of the donor stewardship process. The absence of quid pro quo language helps define the charitable nature of this type of giving. Only the Office of Institutional Advancement may accept gifts on behalf of the University.

  • Grant and Contract Accounting (GCA)

    Grant and Contract Accounting (GCA) handles all post-award financial aspects of the proposal after the award.  GCA will enter the information into IIT’s accounting system, issue the account number, review and process completed expenditure requests, as appropriate, and submit financial reports on behalf of IIT.  GCA reports to the Office of the Controller:

  • Grants.gov

    Grants.gov a source to FIND and APPLY for federal grants.  IIT is a registered organization with Grants.gov.  Additional registration is not required.  http://www.grants.gov

H

  • Human Subjects

    The Institutional Review Board (IRB) reviews research proposals that involve human participants. Even projects that require minimal involvement of human participants, such as surveys or questionnaires, require some procedural IRB review.

I

L

M

  • Material Transfer Agreements

    Material Transfer Agreements (MTA) are contracts by which tangible research property, such as biological organisms and computer software, are provided by external sources to IIT investigators for research. Office of Sponsored Research and Programs works with IIT's Department of Health and Environmental Safety. MTA’s are processed as organized sponsored research projects through OSRP. Contact OSRP for assistance.

  • Misconduct (Scientific)

    IIT policy states: “Research Misconduct” includes fabrication, falsification, plagiarism or other practices that seriously deviate from those that are commonly accepted within the scientific community for proposing, conducting, reporting or reviewing results of research and other activities. Research misconduct includes retaliation of any kind against a person who in good faith reported or provided information about suspected misconduct.”  Any allegations of scientific misconduct are handled by the Office of the Provost.

N

  • No-cost Extensions

    The expiration date of a grant or contract may be extended if additional time is needed to assure successful completion of the original scope of work within the funds already committed.  These are referred to as no-cost extensions.  The project's budget period may be extended where justified, for up to twelve months beyond the ending date of the budget period as shown on the award notice, depending on the Sponsor’s policies. Extensions are made without additional funds.

    Written requests for no-cost extensions must be made according to sponsor guidelines or at least 45 - 60 days before the end of the currently active budget period, stating the reason the extension is needed.  No-cost extensions may not be granted merely to use unspent funds. Contact OSRP for assistance

  • Nondisclosure and Confidentiality

    A sponsor may require a non-disclosure agreement  (NDA) prior to starting a research project.  The NDA must be reviewed by the Office of the General Counsel and must be executed by the Director of the Office of Sponsored Research and Programs. 

    To obtain a sample on-disclosure agreement, go to the General Counsel website at:  

O

  • Office of Research Compliance and Proposal Development (ORCPD)

    Has two principal missions:  First, ORCPD handles all research compliance issues for projects involving human subjects, animal subjects, or biosafety activities.  Second, it helps faculty develop proposals by providing editorial and writing assistance and providing access to research funding opportunities.  The office coordinates the activities of the Institutional Review Board  (for human subjects research), the Institutional Animal Care and Use Committee (for animal subjects research) and the Institutional Biosafety Committee (for research involving recombinant DNA, pathogens and other select agents). ORCPD reports to the Vice Provost for Research. For more information see: 

  • Office of Sponsored Research and Programs (OSRP)

    Provides administrative support to faculty, staff and students in connection with externally supported scholarly research and educational projects for undergraduates, graduate students and advanced training programs, undertaken by members of the faculty. OSRP reports to the Vice Provost for Research. For more information see:

P

  • Patents

    Illinois Institute of Technology recognizes that patents on inventions arising from university research serve several important functions.  IIT’s patent policy can be found at:

    https://web.iit.edu/sites/web/files/departments/general-counsel/faculty_handbook/appendix_k.pdf

  • Personally identifiable information (PII)

    DHS defines personally identifiable information as “any information that permits the identity of an individual to be directly or indirectly inferred, including any information which is linked or linkable to that individual regardless of whether the individual is a U.S. citizen, lawful permanent resident, visitor to the U.S., or employee or contractor to the Department, which if lost, compromised, or disclosed without authorization, could result in substantial harm, embarrassment, inconvenience, or unfairness to an individual.”

  • PII

    Personally identifiable information – DHS defines personally identifiable information as “any information that permits the identity of an individual to be directly or indirectly inferred, including any information which is linked or linkable to that individual regardless of whether the individual is a U.S. citizen, lawful permanent resident, visitor to the U.S., or employee or contractor to the Department, which if lost, compromised, or disclosed without authorization, could result in substantial harm, embarrassment, inconvenience, or unfairness to an individual.”

  • Pre-award Costs

    OMB Circular A-110 provides for the allowability of pre-award costs. Some agencies may require approval and documentation before any pre-award spending occurs. The PI/PD is encouraged to contact the Office of Research for clarification. If pre-award costs are allowed by the sponsor, appropriate expenses can be charged to a related research account, a departmental account, or a PI discretionary/capitalization account during the pre-award period and then transferred to the new award after it has been established.

    Generally, the PI/PD may incur pre-award costs 90 calendar days prior to award, or more than 90 calendar days with the prior approval of the Federal awarding agency, subject to sponsor guidelines and terms of specific award. The Federal awarding agency is under no obligation to reimburse such costs if for any reason the University does not receive an award or if the award is delayed or is less than anticipated and inadequate to cover such costs. Contact OSRP for assistance.

  • Preproposals

    Some funding agencies ask for preproposals to triage potential applicants.  Preproposals are sometimes also requested to ensure there will be enough reviewers. Some agencies use the preproposal mechanism to invite the PI for a full proposal.  Information requested in preproposals vary by agency.  Please contact the Office of Sponsored Research and Programs for assistance.

  • Principal Investigator/Project Director Eligibility

    Proposals submitted for extramural funding (research, training, etc.) must include an eligible individual to serve as Principal Investigator (PI). IIT is legally bound to ensure that projects comply with all federal regulations and sponsor requirements of projects. The PI is responsible for the scientific and administrative conduct of all aspects of the project as well as accurate and timely reporting, including but not limited to technical reports, patent reports, and such other matters. In addition, the PI is expected to personally participate in the project to a significant and meaningful degree.

    PI Eligibility Policy

  • Proposal Management System - Cayuse

    The proposal management system is called Cayuse. You can log into Cayuse via the PI Portal

R

  • Reallocation Form Bi-weekly and Monthly Salary

    A Reallocation Form Bi-weekly and Monthly Salary form can be used to move salary expense from one FOAP to another. Please note that as outlined in the Cost Transfers/Reallocation Policy, requests should be prepared and submitted to Grant and Contract Accounting as soon as the need for a transfer is identified, but not later than 90 days after the original posting is made and/or within 30 days of the project end date, whichever comes first. Please contact Grant and Contract Accounting (GCA) if you have any additional questions.

  • Recombinant DNA

    The Institutional Biosafety Committee (IBC) review also includes oversight of a variety of experimentation that involves biological materials (e.g., infectious agents) and other potentially hazardous agents (e.g., carcinogens). 

  • Representations and Certifications

    As part of its submission of proposals, IIT is required to provide certain required information that must accompany federal proposals and contracts.  Please contact the Office of Sponsored Research and Programs for assistance.

  • Research Expenditures

    All research expenditures are reviewed and approved by Grant and Contract Accounting (GCA).  For more information see: 

  • Routing Sheet (Proposal Management System)

    A routing form is required for all proposals. The login information is the same as the information you use for “myIIT”. Do not log into the “myIIT” system. Contact OSRP for assistance. The routing sheet can be found at:  

S

  • Salary Reallocation Form

    A Reallocation Form Bi-weekly and Monthly Salary form can be used to move salary expense from one FOAP to another. Please note that as outlined in the Cost Transfers/Reallocation Policy, requests should be prepared and submitted to Grant and Contract Accounting as soon as the need for a transfer is identified, but not later than 90 days after the original posting is made and/or within 30 days of the project end date, whichever comes first. Please contact Grant and Contract Accounting (GCA) if you have any additional questions.  

  • Scientific Misconduct

    IIT policy states: “Research Misconduct” includes fabrication, falsification, plagiarism or other practices that seriously deviate from those that are commonly accepted within the scientific community for proposing, conducting, reporting or reviewing results of research and other activities. Research misconduct includes retaliation of any kind against a person who in good faith reported or provided information about suspected misconduct.”  Any allegations of scientific misconduct are handled by the Office of the Provost.

  • Select Agents

    The Institutional Biosafety Committee (IBC) review also includes oversight of a variety of experimentation that involves biological materials (e.g., infectious agents) and other potentially hazardous agents (e.g., carcinogens). 

  • Signatures

    All research related documents (proposals, awards, contract, subcontracts, consulting agreements, etc.) can only be signed by the authorized individual in the Office of Sponsored Research and programs.  In the conduct of its educational and research programs, IIT is a party to many kinds of contracts. This policy defines the authority of certain administrative officers to enter into transactions that commit university.    For more information see: 

  • Starr Research Fellowship

    The objective of the Starr Research Fellowship is to provie The Starr funding for one year that can be used for tuition support and stipend. The fellowships are NOT renewable, but may be supplemented by funding from other sources.  For more information see: 

  • Subcontracts

    A subcontract proposal is generated when IIT is a non-lead institution in a collaborative research project. For more information see: 

  • Subjects (Human Subjects in Research)

    The Institutional Review Board (IRB) reviews research proposals that involve human participants. Even projects that require minimal involvement of human participants, such as surveys or questionnaires, require some procedural IRB review.

T

U

  • Undergraduate Research

    Undergraduate students at IIT are involved in government, foundation, and industry funded research projects in all areas of science, engineering, technology and mathematics. These research experiences offer students the opportunity to be involved in cutting edge research, applying their knowledge and skills outside the classroom. For more information see: 

  • Uniform Guidance

    The Office of Management and Budget (OMB) has issued new guidance under Title 2 of the code of federal regulations (CFR), which establishes uniform cost principles and audit requirements for all Federal awards to non-Federal entities, and administrative requirements for all federal grants and cooperative agreements. 

X

  • xTrain (NIH Commons)

    xTrain provides individuals the ability to electronically prepare and submit PHS 2271 Statement of Appointment forms and PHS 416-7 Termination Notices associated with institutional research training grants, institutional career development awards, individual fellowships and research education awards. xTrain is also used by agency grants management staff to review and process the appointments and termination notices submitted electronically.  For more information see: