GIM 1
Section 1
General Information

Review of Proposals
Approval of Proposals
Assistance in Proposal Preparation
Deadlines for Proposals

This guide is intended to assist faculty members in the preparation of grant and contract proposals and expedite their administrative review and transmittal.

A. REVIEW OF PROPOSALS

The University Handbook, Volume IV, Part II, Chapter 4, "Grant and Contract Support of University Activities," outlines the procedure for the submission of proposals for outside support of research, University-administered traineeships and fellowships, institutes, and other University activities to prospective public and private sponsors. Internal University review of such proposals includes consideration of the following:

1. The substance and merit of the proposed activity including academic appropriateness and desirability.
2. Protection of the rights, welfare and personal privacy of human subjects where applicable (see GIM 20).
3. Compliance with all appropriate regulations for the humane treatment of any live, vertebrate animal used or intended for use in research experimentation, testing, training, or related purposes (see GIM 27).
4. Commitments of faculty and staff effort, and the possible effects of such commitments on the teaching and other obligations of the personnel involved.
5. Salary arrangements, e.g., provision for summer support, or for partial support during the academic year.
6. Requirements for equipment, special facilities and other administrative arrangements.
7. Verification that all costs, including employee benefits, and facilities & administrative costs formerly known as "indirect costs", are provided for; that resource needs are realistically estimated and properly stated; that items included are consistent with the policies of the University and the sponsor; and that, if appropriate, proposed matching funds are available and can be satisfactorily documented.
   

B. APPROVAL OF PROPOSALS

As described below, proposals are routed and approved within the University using Form GC-1, entitled "Request for Approval of Application for Grant or Contract". This internal review ends in the Office of Research where the Director, Office of Sponsored Programs (OSP), is the official designated to approve, sign, and transmit proposals for the University.

The University may choose not to honor obligations undertaken by faculty or others which have not been properly authorized. The procedures for approval are as follows:

1. The principal investigator signs and submits the proposal for a grant or contract (or renewal thereof) for approval to the chairperson of the department. In the absence of the principal investigator (PI), the Department chair may sign the eGC-1 and proposal on behalf of the PI. Budgetary information and statements concerning the availability and use of personnel, space, and facilities for the contemplated activity must accompany the proposal, as specified in the University Form GC-1. The chairperson's approval constitutes an endorsement of all aspects of the proposal. When more than one department is involved, the proposal must be approved by the chairperson of each involved department.
2. The proposal is then submitted by the chairperson of the department to the dean of the college for review and approval. The dean's review also relates to all aspects of the proposal including the extent to which the proposed activity may affect the teaching and research interests of the department and the college and the possible alternative use of space and facilities. When more than one college is involved, the proposal must be approved by the dean of each involved college.
3. Following approval by the dean, the proposal is transmitted to Office of Sponsored Programs for the final institutional review to assure its conformity to University policies, to resolve any financial, administrative or legal questions, and to concur in any commitments of University space, facilities, and services. In addition, the budgetary and other administrative provisions are closely reviewed. The Director, Office of Sponsored Programs gives final approval for the University and transmits the approved proposal to the prospective sponsor.
4. As of January 2, 2007, proposals that require electronic submission must be forwarded to OSP 10 working days prior to the agency deadline. All final application materials (this includes all final science) must be released to OSP five (5) working days before the sponsor’s deadline to ensure proper electronic submittal. Final electronic proposals submitted to OSP not meeting the five working days requirement will be processed in OSP at the order of receipt, and OSP can not guarantee the successful electronic transmittal of the proposals that do not meet the five working days requirement.

Upon successful submission of the electronic proposals to the sponsors, OSP will send an email notification to the PI and the Department Administrator to confirm the electronic submittal and to inform the PI of the assigned proposal number if available.

C. ASSISTANCE IN PROPOSAL PREPARATION

The Office of Sponsored Programs can assist with the preparation of proposals for outside support, particularly with advice about the budget, cost sharing, facilities & administrative costs(also known as indirect costs), employee benefits, format, justification, and other such matters. Early contact with a Grant and Contract Administrator, even at the drafting stage, will help to establish the proper sequence of events and thereby help to assure meeting the desired sponsor deadline.

Early contact with the Office of Sponsored Programs is especially important when a proposal is in response to a Request for Proposal (RFP) that will result in a contract. A copy of the RFP should be provided to Office of Sponsored Programs as early as possible for assistance in reviewing contract clauses and in preparing Certifications to the sponsor.

In addition, it is often possible to obtain assistance from the departmental and/or college offices through the Administrator or other similarly designated persons. Further, the chairperson and dean generally should be brought into discussions at an early stage to assure their timely awareness of the proposed activity and to provide maximum time for them to consider any necessary resource allocations.

D. DEADLINES FOR PROPOSALS

To be sure of meeting the application deadline of a sponsoring agency, the proposal should be approved by the department chairperson and submitted to the dean at least two weeks prior to the date on which the proposal must be mailed. If the proposal requires electronic submission, see section B.4 above for the required timeline. If the proposal involves complex administrative or fiscal arrangements, e.g., interdisciplinary programs, an additional two-week period should be allowed for internal review. After approval by the dean's office, the original and two copies of the proposal should be forwarded to the Office of Sponsored Programs at least ten working days prior to the mailing date necessary to meet the sponsor's deadline. Except for rare instances where special actions are determined to be appropriate, proposals will be reviewed and transmitted in the order received in the Office of Sponsored Programs. In each instance, it must be possible to conduct a meaningful review within the time available and to assure that other proposals received on time are not jeopardized. Where a proposal involves complex arrangements and the sponsor's deadline is imminent, it may be helpful to have drafts of the proposal reviewed by the chairperson, dean, and Office of Sponsored Programs before it is assembled in final form.

Informal transmittal of proposals to sponsors prior to University review and approval is discouraged, as it may lead to delay or embarrassment and may prejudice the chances for favorable action by the sponsor. When preliminary discussions between a faculty member and a sponsor representative begin to take meaningful shape, the chairperson and dean should be consulted and thereafter kept informed at all stages. No budgetary commitments should be made except through a formal University proposal approved by the chairperson and dean and transmitted by Office of Sponsored Programs.