A formal proposal to conduct a research, training, demonstration, or public service project submitted to an external sponsor represents an offer by the University. Therefore, it is necessary that the proposal have the endorsement of those responsible for carrying out the project, as well as those authorized to commit the University to a legal offer, whether or not the sponsoring agency requires it. The routing procedures described below have been established to ensure that proposals are reviewed and endorsed by the appropriate persons and that there is compliance with both University and sponsor policies.
These procedures should be followed for new, renewal, continuation and revised proposals, as well as for subgrant or subcontract submissions to other institutions for inclusion in their proposals to external sponsors. Also, if the same proposal is to be submitted to more than one funding source, a separate Proposal Approval Form (SPO-1) must be submitted with each application.
1. Responsibilities of the Principal Investigator
- A Proposal Approval Form (SPO-1) should be obtained from SPO and filled out completely. A copy of this form is included in Appendix B.
- If any special approvals are required (as indicated in Section A above), the appropriate additional approval forms (SPO-2 through -10), available in SPO, should be completed and attached to the Proposal Approval Form (SPO-1).
- Any special reviews or approvals required must be obtained prior to submitting the proposal to the Chair and Dean for approval.
- Assemble and submit the following materials to the Chair and Dean for their review and approval:
- (a) The Proposal Approval Form (SPO-1) and applicable attachments (SPO-2 through -10 forms), if any.
- (b) One complete copy of the proposal.
If faculty from more than one department or school are involved in the project, then the signatures of their Department Chairs and Deans must also be obtained on the Proposal Approval Form (SPO-1).
- After obtaining signatures from the Department Chair(s) and Dean(s), forward the above with the appropriate number of duplicate copies required by the sponsor (including one copy with the principal investigator's original signature) to SPO for further review, approval and mailing.
In addition to the number of copies required by the sponsor, SPO requires one copy of the proposal to be retained with the Proposal Approval Form (SPO-1) for University files. The Proposal Approval Form and applicable attachments are internal University documentation and are not forwarded with the proposal to the sponsor.
Copies of the proposal should not be stapled. SPO will duplicate copies of the original signature face page, after it is signed by the Associate Vice President for Academic Affairs or other authorized University official, and fasten them to all copies of the proposal.
2. Sponsored Projects Office Coordination
After SPO reviews and approves the final version of the proposal, it prepares a transmittal letter. The transmittal letter refers the agency to the principal investigator for technical matters and to the Sponsored Projects Office for administrative or contractual matters. If the proposal is submitted in response to a RFP/RFQ, the transmittal letter also may include specific requests for changes in the terms and conditions of any resulting contract.
Any required certifications or information about the University's tax status will be completed or provided by SPO and cited in the transmittal letter.
The original copy of the proposal, Proposal Approval Form (SPO-1), and any certifications requiring an authorized signature are forwarded by SPO to the Associate Vice President for Academic Affairs. The transmittal letter and any pertinent program materials also are provided for reference.
To allow sufficient time for SPO review, approval and processing of the proposal through the Vice President for Academic Affairs's Office, proposals should be submitted to SPO at least five working days before the proposal must be mailed.
3. Mailing the Proposal
SPO will mail the proposal after it is approved on behalf of the University. It is critical that the complete address of the sponsor be provided on the SPO-1 form as this address is used for mailing. Proposals will be mailed by U.S. Postal Service First Class unless other arrangements are made. If circumstances require mailing the proposal by private courier or by U.S. Postal Express Mail, the principal investigator or his or her department must assume the responsibility.
