This is a sticky situation at our institution.  Our office is here to
support the research and ensure that the administrative/compliance issues
are correct.  We do not have departments (part of our philosophy of
encouraging collaborative research - no turf to defend), so no department
chairs and no departmental secretaries to assist investigators.  We have 75
labs each of which are headed by a Head of Laboratory (HOL), who acts
somewhat as a department chair.  When an application comes to us, it must be
signed off on by the HOL who commits the space and resources and presumably
has examined the science.  No other signature but mine is required.

In the culture of this institution, we do not require the final scientific
section for review - just a draft.  We require a draft of the entire
application two weeks before deadline; some comply and some don't.  We help
them as much as we can through the process.  Our requirement for the final
(still not final science) is two days before the deadline; again, some
comply and some don't.  We insist on the final forms of all the
administrative pages, as well as any sections on humans or animals plus the
Introduction to revised applications - investigators can go a bit overboard
here and some tend to turn off the reviewers with some of their comments
about the initial review.  We can help them be a bit more diplomatic.

When I get a problem application (which is rare)- for example, proposing
something that is illegal, I inform my boss (now the VP Academic Affairs) of
the problem.  Usually there is discussion of whether or not we should be
allow it to be sent.  Sometimes we do if we believe there is not a
snowball's chance in Aruba of it getting funded, and sometimes we don't.
Generally the President (a Nobel Laureate and respected scientific peer)
would discuss it with the investigator if it came to that.  Our philosophy
is to make the research happen, so we bend over backward to make things work
properly, as I am sure everyone on this list does or we all wouldn't be
interested in best practices, would we?

Hope this rambling explanation helps a bit.
Joni

Jon Hart, M.P.A., C.I.P.
Senior Director
Office of Sponsored Programs Administration
Human Subjects Protections Program
The Rockefeller University
email:  xxxxxx@mail.rockefeller.edu
Tel:  (212) 327-8054; fax:  (212) 327-8400

-----Original Message-----
From: Research Administration List [mailto:xxxxxx@HRINET.ORG] On Behalf Of
Lawrence Waxler
Sent: Monday, March 27, 2006 1:19 PM
To: xxxxxx@HRINET.ORG
Subject: [RESADM-L] Proposal Deadlines

We are in the process of firming up/updating our proposal submission
guidelines.

Heretofore (great word) our policy has been geared towards the capacity of
each individual, i.e. those faculty who can show up at the last minute but
need no help and have fully developed proposals were allowed to proceed. As
you might expect, many have less capacity and/or need greater assistance.

Recently we experienced two proposals that were not yet ready for prime
time. In one case, the dean indicated that she wanted it to go. I told her
that we should reach consensus on this but, if she really wanted it to go, I
would ensure such. I have no expectation that it will be funded. In the
other case, I withdrew the (NSF) proposal the day following submission. I
had informed the PI of my desire to stop the submission. He indicated that
he could fix it and I deferred, however the proposal did not have a thorough
final review. Upon review the day following submission, I found the fatal
flaws and withdrew the proposal.

So***..several questions:

1. Who holds final go/no-go decision making authority at your institution?
2. What deadlines do you have to ensure that a full and proper review is
done by your sponsored programs office?
3. What approvals/authorization do you require from the dean/department to
submit?
4. How do you handle proposals that should not be submitted?

Cheers.

Larry

Larry Waxler, Director
Office of Sponsored Programs
University of Southern Maine
P.O. Box 9300
Portland, ME 04104-9300
Telephone: 207-780-4413
Telefax: 207-780-4927

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