After an agreement is established, the sponsor may find a need to request an additional proposal. This is referred to as a Midstream Proposal. The requirements within the Office of Research (OR) are the same as for an Initial Proposal.
- Prompted by the sponsor after a contract is fully executed
- Same process as Initial Proposal:
- i.e., would need all of the same paperwork (i.e., stock 0136 form, subaccount waivers, etc.)
- In order to be consistent with federal regulations, all faculty members listed as the Principal Investigator on a sponsored project must contribute some level of effort to that project to provide necessary supervision/administration. This must be shown or documented in the related budget or project materials. For additional information on Effort Reporting refer to http://www.cfo.pitt.edu/policies/policy/11/11-01-07.html. (This does not mean that they have to request funding for their effort on the project. In this case, they would cost share the effort. Note: Any applicable cost sharing must be listed on page two of the 0136 "stock" form.)
- OR must approve/endorse proposal
- If funded, issued as a Contract Modification or in some cases as a new Task Order or new Contract
- Examples of Midstream Proposal requests:
- Requests for Option Year Funding
- Task Order Cost Estimates
- Cost Extensions
- Located in Agreements Tab of InfoEd
- Could also have Pre-Award Revisions. If applicable, please follow those procedures.
Who is responsible for Midstream Proposal submission to the sponsor?
The department is responsible for the preparation of the Midstream Proposal under the direction of the department chair and principal investigator who will oversee the planned project. Department administrators should work closely with the principal investigator to prepare the proposal for submission and to obtain all of the necessary documents required for subsequent proposal review. The department is ultimately responsible for the submission of the Midstream Proposal to the sponsor, once OR approval/endorsement is received.
The Chair or designee for each department is responsible for the review and endorsement of the proposal on a departmental level and in some cases is responsible for forwarding the paperwork to the Dean's office for signature.
The Dean or designee for each school is responsible for the review and endorsement of the Midstream Proposal on a school level and in some cases is responsible for forwarding the paperwork to the Office of Research for final review prior to submission.
OFFICE OF RESEARCH
All Midstream Proposals submitted by University personnel must be reviewed and approved by the Office of Research prior to the submission to the sponsor to ensure adherence to all external and internal policies and procedures.
Steps to Take Before Submitting to the Office of Research:
- Carefully read the request received from sponsor
- Notify Federal Contract Services team via firstname.lastname@example.org with copy of request and due date
- Ensure all Conflict of Interest filings are current
- Gather any necessary waivers (i.e., subaccount, F&A, etc.)
- Prepare the budget (in accordance with current/appropriate fringe benefit and F&A rates and the solicitation/request)
- Obtain necessary External Participants’ Documentation (including Statement of Intent/Commitment Letter (see sample), SOW, budget, etc.), if applicable
What does the Office of Research do when it receives my Midstream Proposal?
- We review:
- the request and response
- Compliance Items (i.e., COI Disclosure for Investigator(s) and Key Personnel per the University of Pittsburgh and not just per award, screen personnel)
- Recommend conferral with CSSD when Federal Information Security Management Act (FISMA), Information Security (IT Security), or Privacy Act language is seen in solicitation (compliance may require use of the University’s Network Operations Center (NOC) and significant additional costs to the department- as much as six figures or more).
- We provide approval either via an Endorsement Letter or email