| Proposal Submittal Process |
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- Idea
of area of interest is developed by the faculty/staff
member.
- Faculty/staff
member identifies potential sponsors.
Research
Development and Compliance (RD&C) is the
University source of information regarding
funding for research, fellowships, and other
programs sponsored by outside agencies. RD&C
staff are available to help identify and contact
potential sponsors and provide guidance on
University policies pertaining to research.
- Faculty/staff
member obtains information regarding potential
sponsor's proposal requirements.
Both
RD&C and Grants & Contracts Administration
(GCA) maintain information pertaining to various
sponsors. Additional information may be obtained
from the potential sponsor directly by the
faculty/staff member and/or by staff in RD&C
and GCA.
- Faculty/staff
member drafts proposal, including draft budget.
The
GCA staff are available to assist in the process
of developing budgets for proposals. RD&C
staff are available to provide consultation
regarding proposal organization, content,
and presentation.
- Faculty/staff
member, GCA staff, and ORPD staff identify
University commitments.
The
specific resources of the cost share must
be identified prior to proposal submission
to RD&C and a letter of commitment (signed
by the individual who has authority over the
resources being committed) included with the
proposal. For more information related to
cost share, see Grants & Contracts Administration.
- Faculty/staff
member processes proposal through academic
units and/or responsible administrative unit.
Reviews within the academic department
and college are specific to the policies of
that academic unit (department chair, dean,
etc.). The following colleges/administrative
units have internal routing sheets which MUST
BE included with proposals when
they are submitted to RD&C: Arts and Sciences,
Aerospace Sciences, Education & Human
Development, Energy and Environmental Research
Center, Engineering and Mines, Fine Arts and
Communications, Medical School, and Nursing.
Reviews within other departments are specific
to the area within which the unit reports.
The purpose of proposal endorsements is to
assist the Principal Investigator (PI) and
all reviewers/signatories to assess the potential
risks and obligations if the proposal is funded.
Responsibilities
include:
The
principal Investigator (PI) agrees to follow
University policy and sponsor requirements
relating to the project. The PI is responsible
for the execution of the project as funded,
submission of reports as required, and monitoring
the project's financial status.
-
The Department Chairperson/Director/Unit
Administrator authorizes the amount and
type of departmental resources, as specified
in the proposal, needed to assist the
PI in completing the project.
- The
Dean authorizes the amount and type of
school or college resources, as specified
in the proposal, needed to assist the
PI in completing the project.
- The
Dean also insures that all persons who
are responsible for the design, conduct,
or reporting of projects file annually
a financial interests disclosure statement.
The "Certification of Filing of Financial
Interests Disclosure Statement" is
sent to ORPD after being signed by the
Dean.
- Other
approvals may be required depending on
the nature of the proposal and the departments
involved in performing the project. PLEASE
INITIATE COMMUNICATIONS REGARDING THE
PROPOSAL DEVELOPMENT AND REQUIRED APPROVALS
EARLY IN THE PROCESS!
-
Faculty member submits final proposal to GCA
for financial review.
The
required number of copies needing an original
signature plus one additional copy for the
University files (RD&C) should be brought
to GCA for financial review. This occurs after
the appropriate reviews within the academic
units. Grants and Contracts Administration
reviews budget and financial aspects of the
proposal for compliance with University policy
and sponsor guidelines.
- GCA
delivers the proposal to RD&C for an administrative
review.
RD&C
coordinates required approvals for human subjects,
biohazards, DNA, conflict of interest, drug-free
workplace, affirmative action, lobbying, debarment,
etc. Research Development and Compliance and
Grants & Contracts Administration perform
this final review prior to submittal of the
proposal to the sponsor
- RD&C
provides the authorizing signature for the
University.
Unless otherwise required by
sponsor regulations, the Director of Research
Development of Compliance is authorized to
sign proposals on behalf of the University.
Once signed, the original proposal and additional
signature copies as required by the sponsoring
agency are returned to the Principal Investigator
(PI) for duplicating as needed and mailing.
- Faculty/staff
sends completed proposal to sponsor.
- Faculty/staff
member makes follow-up contacts.
Any
actions on the pending proposal by the potential
sponsor, such as the issuance of an identification
number, should be communicated to RD&C
if it is obvious that RD&C did not receive
a copy of the communication. Once the sponsor
indicates a desire to fund the proposal, the
terms and conditions of the award must be
negotiated. Involvement of the Principal Investigator,
the GCA Office, and RD&C during the negotiation
process is important to ensure that the resulting
award is acceptable to all parties involved.
- Sponsor
makes formal award (grant, contract, cooperative
agreement).
Any
award documents requiring an official University
signature must be processed through RD&C
and GCA. The Director of RD&C is authorized
to sign awards on behalf of the University.
Awards received in response to proposals or
other types of requests to funding agencies
which have not received University review
and signature prior to submittal are subject
to renegotiation or possible rejection if
the award appears to contain terms or conditions
which are inconsistent with University policies
and academic goals. After the award document
is completed, GCA will set up a fund number
for the project to allow for recording of
all transactions specific to the project.
Financial monitoring and financial reporting
are the responsibility of the GCA Office,
as is providing assistance to faculty on financial
matters.
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