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INFORMATION
ABOUT NSF FASTLANE SUBMISSIONS AT THE UNIVERSITY OF MAINE
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OVERVIEW -- STEPS TO FOLLOW WHEN SUBMITTING A FASTLANE PROPOSAL:
Information about the NSF FastLane system, how
to use it for preparing a proposal or preproposal, the software necessary for
such use, and the personal biodata which must be in NSF’s database for all
users can be found at: Fastlane. PIs and Co-PIs
should become familiar with this information as a prerequisite for proposal
preparation. Fastlane is a secure site, and passwords are necessary to access
the proposal preparation area. Passwords are assigned by the Office of Research
and Sponsored Programs (ORSP). When the assigned password is used for the first
time, the user is prompted to change it. The password chosen at this time
becomes the permanent password, valid for one year, at which time (or at
whatever time thereafter that access the system is attempted) the user is again
prompted to change it. PIs do not need
to obtain a new password for each proposal submission, or even when
transferring between institutions. Users transferring from another institution
must notify ORSP to change their status at NSF to permit them to submit
proposals from the University of Maine. PIN numbers may be assigned to
individual proposals for the purpose of allowing non-participants access to the
proposal. Important Note: NSF considers a valid login to be the
equivalent of a legal signature. If you give someone your login and
password information they essentially have your power of attorney in NSF
matters. ORSP is prohibitted from keeping a list of passwords for this
reason. If a password is lost, ORSP can
reinitialize it in the same manner that a new user is added to the system, as
previously outlined. Proposal data
already entered is unaffected by password reinitialization.
The steps for PIs (and Co-PIs) to follow when
developing an NSF proposal or preproposal for electronic submission via
FastLane at the University of Maine are listed below:
1. PIs and Co-PIs notify
ORSP of intent to submit a proposal and obtain a password as necessary. In
addition, PIs/Co-PIs who have never submitted a proposal to NSF must provide
personal biodata to ORSP.
2.
PIs with the help of Co-PIs, prepare proposals by entering information directly
into forms found in FastLane and by uploading word processor files to the site,
which converts them to PDF format (note: some investigators find it easier to
convert files to PDF format prior to upload to save time and increase
reliability). This process should begin with the Cover Sheet, where the
solicitation, directorate and program information is entered. Fastlane recalculates the necessary forms
set based on this information, so supplying this information first can
eliminate filling out unnecessary forms or being asked for information on new
forms that could take extra time to obtain.
Preparers should also press the “Allow SRO Access” button and select the
“View, Edit and Submit” choice. This will allow ORSP staff to assist in
entering the proposal data if necessary.
Submission will only be performed when the Principal Investigator give
the go-ahead to do so. ORSP does not consider granting of submit rights
to mean that the proposal should be submitted at that time.
3.
When a proposal is completed, the PI prepares the internal approval form
(“green sheet”), obtains necessary signatures through normal administrative
channels, and submits it to ORSP.
4.
ORSP reviews the proposal, notifies the PI of any corrections or additions
which he/she must make to meet university or NSF requirements, and subsequently
transmits an institutionally approved copy to NSF electronically. ORSP will
make a hard copy of the proposal through Fastlane for our records. A copy will be made for the PI upon request.
5. After a proposal is submitted electronically, ORSP
prints the NSF cover sheet, and obtains signatures from the PI and all listed
individuals.
NOTE: Only ORSP can
transmit an electronic proposal to NSF, and only if the proposal is complete --
it is not possible to transmit a proposal to NSF if any required data are
missing. ORSP will not correct errors or enter missing information unless
arrangements are made for a staff member to do so and editing rights have been
granted through the Fastlane SRO Access feature. It is imperative that PIs be
available during the review period to make any changes that might be necessary
to allow ORSP to submit the proposal to NSF.
SOME KNOWN BOTTLENECKS AND TIPS ON
HOW TO AVOID THEM:
Attempts to edit proposals or enter data
during the 24 hours prior to a deadline are likely to be agonizingly slow
(because of competing electronic traffic). Therefore, it is essential that PIs
complete their proposals several days prior to the deadline and check them for
completeness using the Check feature built into FastLane. It may not be
possible to meet the deadline if data entry or editing is required during the
last 24 hours. NOTE: NSF only checks whether required sections
have been saved to the website, it does not check the content
for accuracy. Accuracy checking is done at ORSP, and investigators should allow
enough time prior to a deadline for this process to occur.
In cases where Fastlane will not accept or
convert files, it is necessary to convert the files prior to upload. ORSP has
the software necessary for converting files and can assist PIs with the
conversion process; however, this normally necessitates a visit to ORSP and advance
notice is required to ensure the availability of technical support personnel.
PIs automatically provide Co-PIs access to a
proposal by listing them on the cover page. (Co-PIs must be registered Fastlane
users in order to be added to a proposal.) PIs should ensure that biodata for
all Co-PIs is on file with ORSP and that the biodata in Fastlane is accurate at
the outset of proposal preparation.
ORSP cannot change biodata in Fastlane, only the person who is registered
has access to that feature. Especially important is the selection of the
program directorate to which the proposal will be submitted. Fastlane includes
required forms in its form selector based on this information.
Biographical Sketches (including five
pertinent publications) and up-to-date Current and Pending Forms are normally
required for all PIs, Co-PIs and Non-CoPI Senior Personnel. Fastlane limits
each proposal to one PI and 4 Co-PIs without exception. Other key personnel are
to be listed as Non-CoPI Senior Personnel. All key personnel should check their
biographical sheets for accuracy and completeness and should prepare a C&P
Form by entering data into FastLane or completing the form in Word (template
available at the ORSP website). NOTE:
NSF’s Word version of the form will not convert on their system, but works
well if filled out and converted locally before uploading.
Although FastLane proposals are transmitted
electronically from UMaine to NSF, the internal approval process at UMaine is
still hard copy; that is, PIs must route a copy of the proposal and a Proposal
Approval Transmittal Form (“green sheet”) through regular administrative
channels for institutional review and commitments of time, cost-sharing and
other resources. ORSP needs this information, including certifications of
significant financial interests from all key project personnel, before we can
submit a proposal.
The need for PIs to complete proposals and
transmit them to ORSP in advance of deadlines is important for FastLane
proposals. Data entry and editing become increasingly cumbersome and
time-consuming as the deadline nears, and FastLane deadlines are absolute and
enforced to the minute -- at the specified time the NSF computer simply stops
accepting submissions. Also, there are typically several proposals being
submitted to FastLane through ORSP during these periods, so the availability of
staff for assisting preparers becomes limited. The following minimum lead-times
are highly recommended:
Activity or Function Days Prior to Deadline
PI prepares Cover Page .................. Several Weeks PI and Co-PIs enter text and data ....... PI gives ORSP budgets for checking ...... 7 days PI schedules PDF file conversion with ORSP (if necessary) ........... 7 days PI routes completed proposal to Chair and Dean with Green Sheet .......... 5 days PI gives ORSP access to proposal......... 5 days ORSP receives completed Green Sheet and subcontractor information, if any .. 3 days ORSP receives supplementary paper-copy information required by NSF ........ 1 day
MULTI-INSTITUTIONAL PROPOSALS VIA FASTLANE:
It is not unusual for FastLane proposals to involve
participants from more than one institution and a variety of combinations are
possible; for example, UMaine may be participating as a subcontractor (or
subrecipient) in a proposal submitted by another institution, or another
institution may be involved as a subcontractor in a proposal submitted by
UMaine, or UMaine may be submitting a proposal which lists as a Co-PI an
individual who is an employee of another organization even though no project
resources will be passed through to that organization and no subcontract is
planned, or one or more institutions may collaborate with UMaine on a single
proposal with budgets for each institution.
Of course, many variations of such arrangements are also possible. While
FastLane may simplify the preparation of multi-institutional proposals by
allowing individuals at multiple locations to access and work on the master proposal
simultaneously, it does not simplify arrangements for the necessary
institutional reviews and sign-offs by the participating organizations. Steps
for dealing with several types of multi-institutional proposals are outlined
below. Contact ORSP if you have questions or if you feel your situation differs
from those listed. Note: University of Maine campuses cannot
subcontract to each other, NSF treats the entire system as a single legal
entity.
UMaine Participates as Subcontractor in Proposal
Submitted by Another Institution:
Well in advance of the deadline (more that a week) the
UMaine PI should send to ORSP through regular administrative channels (1) a
description of the scope of work to be carried out by UMaine personnel, (2)
budgets associated with that scope of work (on NSF forms signed by the PI),
including cost-sharing and other resource commitments if any, and (3) a
completed Green Sheet. ORSP will review these materials, countersign the budget
pages, and submit approved copies to the institution designated to serve as the
prime contractor. ORSP will also send a letter authorizing the prime
institution to include the UMaine component in their proposal, and committing
UMaine to meet all included resource obligations if the project is funded as proposed.
This information can often be faxed to the prime institution to assist them in
meeting the electronic submission deadline.
The scope of work and budgets provided by UMaine will later serve as the
basis for a subcontract when the project is funded.
UMaine Serves as the Prime Contractor on a Proposal
Involving Another Institution.
This is the reverse of the situation described above
and we would need to receive from each potential subcontractor the same
information provided by UMaine above -- scope of work, NSF budget pages signed
by an authorized institutional official, and an institutional commitment to
meet all other resource obligations if the project is funded as proposed. If
the proposed subcontractor is an academic institution, the approvals should
come from the Sponsored Research Office or its equivalent. For other
organizations, the materials should be approved by an individual empowered to
commit the organization contractually. PIs should request this subcontractor
information well in advance such that it can be approved by the subcontracting
organization and arrive at ORSP three days in advance of the submission
deadline. This lead-time is necessary so that the UMaine PI can enter the final
subcontractor budgets into FastLane and include the correct subcontract totals
in the UMaine budget request. After a proposal is submitted electronically,
ORSP will print the NSF cover sheet, combine it with the certification page
provided by the PI and signed as well by all individuals designated as Co-PI,
appending the original signed budget pages for all subcontracts.
UMaine Proposal Lists as a Co-PI an Individual
Employed by Another Organization.
Sometimes there are reasons to list as a Co-PI, an
individual employed by another organization even though that individual will
not be responsible for any part of the scope of work or deliverables, and
UMaine will not be passing on any contract monies to that organization. (We
would expect to enter into a subcontract with the Co-PI’s employing
organization if either of these conditions existed.) In this case, we would
require a letter from the Co-PI’s Chair, supervisor or other individual who has
the authority to allocate the Co-PI’s time, stating that the individual may
participate in the UMaine project as part of his or her normal work
responsibilities. The Co-PI would also need to sign the NSF certification page
submitted by UMaine.
Collaborative Proposals with UMaine as the Lead
Institution – the non-lead
institution must provide the UMaine PI with the NSF temporary proposal number
and proposal PIN. The PI or ORSP can
then link the proposal to the UMaine master proposal. All sections of the
proposal are filled out in the normal manner, and should include only personnel
from the UMaine portion of the proposal.
The non-lead institution’s documents will be available for viewing when
the proposals are linked.
Collaborative Proposals with UMaine as the Non-Lead
Institution – As soon as the proposal
is created it should be assigned a proposal PIN number. The NSF temporary proposal number and the
proposal PIN should then be forwarded to the lead institution for linking. As non-lead institution, the PI should
not fill in the following sections of the electronic version of the
proposal: Proposal Summary, Proposal Description,
References Cited. Other sections of the
proposal should be filled out only for personnel that appear on the UMaine
proposal. Once linked, the entire proposal will be available for viewing
online, including the lead institution’s documents.
Footnote:
The information on prime contractors, subcontractors
and collaborators listed above refers to arrangements for sharing scientific
responsibilities among multiple parties; it does not refer to the
procurement of special services -- e.g. radio-carbon dating, helicopter
flights, chemical analyses, etc. -- from parties not responsible for the scope
of work even though a written agreement, a contract, may be required to procure
these services.
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