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GIM 1
Section I
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 must be routed and approved electronically within the University using Form eGC-1, entitled "Request for Approval of Application for Grant or Contract." This internal review ends in the Office of Sponsored Programs (OSP), the office authorized to approve, sign, and submit 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 (PI) 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 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. Reference 2 day rule.
Upon successful submission of the electronic proposals to the sponsors, OSP will approve the eGC1 and notify the PI

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 OSP, even at the drafting stage, will help to establish the proper sequence of events and thereby help to assure meeting the desired sponsor deadline.

PIs should provide a copy of the proposal and the announcement to the Office of Sponsored Programs as early as possible for assistance in reviewing contract clauses and in preparing Certifications to the sponsor.

In addition, the department and/or college offices may be able to provide proposal assistance if necessary, 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

For details regarding application deadlines, please refer to GIM 19, Deadlines for Proposals to Outside Agencies.