|Proposals are generated by individual scientists
in their own departments. Each department has staff that is specially
trained to prepare proposals according to the Agencies' requirements.
Copies of any unusual requirements should be sent to the office of
Grant and Contract Services (GCS) as soon as they are available, so
that the Grant Administrators can assist the department to determine if
the RFP/RFQ will conflict with standard WHOI policy.|
Each department has people who are authorized to generate a WHOI budget
that includes the salary costs and associated overhead charges for each
proposal. These budgets are done by a computer program that has access
to a portion of the payroll file that contains the current salary of
people in the science departments. It automatically calculates a raise
based on an inflation factor that is determined by the Director of
Research and input into the program. It then determines an average
hourly rate for each employee for each period of the proposal based on
the start and end dates of the proposal periods. The salary workup
portion of the program will also calculate the number of hours of
overtime, sea-duty vacation, cruise leave, and extra regular hours
required for proposals that include going to sea. When the proposal is
submitted to GCS the budget must be "frozen" to insure that the salary
and related costs, and other rates (such as shop services) included in
the proposal can be recreated at any future date as needed.
the Principal Investigator has completed his/her proposal
text and signs the endorsement page (when required), and the Administrative
Professional has added all the appropriate boiler-plate (depending
on agency), the Institution routing and information sheet
(referred to as the Green Sheet) is printed from the Budget program and attached
to the proposal. This provides
various information used throughout the Institution. All of
the co-principal investigators on the proposal are required
to sign a conflict of interest statement on the Green Sheet.
By signing this, the PI(s) is swearing that he/she has no
conflict of interest as defined in the WHOI policy. Therefore,
the PI(s) should be thoroughly familiar with that policy. No one else may sign "for" the PI(s).
The Department Administrator reviews the proposal, particularly
the budget and budget justification and the current and pending
support, and signs the Green Sheet. The Department Chair then
reviews the proposal and signs the endorsement page (if required)
and the Green Sheet.
The Chair is responsible for the science content of the proposal
and for providing feedback on proposal writing techniques
for new and inexperienced principal investigators. Proposals with a total requested amount
of less than $75,000 no longer need to be reviewed or signed by the Chair.
there are Co-PIs from a different department, the Department
Administrators and Chairs from all departments must sign the
Green Sheet as described above for the primary PI's department.
When the department is satisfied, the proposal is sent to GCS (Sandy
Botelho-Sherlock). Sandy date-stamps the proposal and checks to be sure
the budget has been frozen. She then gives it to the Director of Grant
& Contract Services (Claire Reid) for review. Claire pays
particular attention to the budget justification as it relates to the
budget. GCS does not recalculate the budget to check for accuracy. This
is the responsibility of the Department and PI. Claire also reviews any
forms required by the particular agency and any subawards that may
be included. Another primary purpose for this review is to look for a
commitment of Institution funds for cost-sharing, renovations, or other
requirements for the Institution's limited unrestricted funds.
Cost-sharing and WHOI contributions should be approved and the
commitment logged prior to the proposal arriving at GCS. The Director
of Research must approve all cost-sharing and voluntary contributions, however, the PI should work with his/her Department Chair to identify
appropriate cost-sharing funds. If the cost-sharing has not received
prior approval, the proposal will be held until it is received. When
she is satisfied, Claire signs the Green Sheet and any certification or
endorsement pages that require original signatures for proposals under
A proposal with a total cost of $250,000 or greater goes to
the Director of Research. The Director of Research signs the endorsement page as
the official Institution representative when original signatures are required. When he is
out of the office there is a list of designated alternates;
- Vice President for Academic Programs/Dean
- Vice President for Marine Operations
Department Chairs, in order of seniority
Many proposals are now submitted electronically and the
"authorized" official is established in the system prior to submitting
any proposals. Thus the Director of Grant and Contract Services - not
the Director of Research - electronically signs all proposals
regardless of total dollar value.
GCS is responsible for obtaining the needed signatures
and monitors who is available at any given time.
The proposal then goes back to the GCS administrative professional,
Sandy Botelho-Sherlock. She is responsible for reproduction
and mailing of the proposal to the agency and for ensuring
that the information entered into the Proposal database is complete and consistent. During NSF panel
deadlines and for certain other circumstances the proposals
will be sent to Repro for copying. Sandy keeps track
of the proposal from the time that the proposal first reaches
GCS until it is in the mail to the funding agency, ensuring
prompt handling. However, if a proposal has not been submitted
in a timely manner and is facing an immediate deadline, it
may be necessary for someone from the department to physically
escort the proposal through the process to reduce the amount
of time the proposal spends on a shuttle bus. An escort
does not reduce the time required for proposal review and
endorsement. All proposals are processed on a first-come,
first-served basis, regardless of their deadline.
that are submitted to an agency electronically, will be printed
out and have a Green Sheet attached, and must go through all
of the reviews and approvals described above before GCS will
push the "submit" button.
No proposal may be submitted prior to GCS and
(if required) the Director
of Research approval.
nationwide proposal solicitation deadlines, it is strongly
encouraged that proposals leave the Institution at least one
week prior to the deadline. This will insure that the proposal
is received and processed by the funding agency before the
agency's mailroom becomes a disaster, or before the computer
systems that receive electronic proposals reach saturation.
It also makes the Program Managers happy!
Principal Investigators are advised to complete all
their proposals and submit them to their Department Office at least 2
weeks prior to the agency deadline. The Director of Research has set an
Institution goal of having all proposals arrive in GCS not later than 2 days
before the deadline. This will insure that, if any problems are
discovered during the review process, there will be sufficient time to
make corrections before the deadline. It is also an insurance policy
against last-minute disasters like interruption in power or internet
connections, and will greatly reduce the stress on all support staff.
last revised December 2008
Last updated: December 10, 2008