SUBMISSION PROCEDURE

PHASE I.	PROJECT INITIATION (PRE-AWARD)
	Principal Investigator informs Department Chairperson or Supervisor.
	Principal Investigator informs Academic Dean or other Supervisor, if applicable.
	Principal Investigator informs the Associate Academic Vice President and Director of Sponsored Research.
PHASE II.	PREPARATION OF PROPOSAL, REVIEW & APPROVAL
	Principal Investigator prepares draft of proposal, including tentative budget, and obtains necessary internal approvals such as the IRB and/or IACUC when required by the University and funding agency.
	Principal Investigator sends copy to Supervisor and Director of Sponsored Research for review.
	Principal Investigator completes Internal Approval Form and Disclosure of Interests for Sponsored Projects Form.
	Principal Investigator prepares final copy, with Internal Approval Form and Disclosure of Interests Form, and submits proposal to Department Chairperson/Supervisor and Academic Dean or other Supervisor, if applicable, for review and approval. If more than one department is involved, all should review and approve the proposal.
	Principal Investigator submits proposal to the Office of Sponsored Research for final approval and signature by the Associate Academic Vice President.
PHASE III.	PROCESSING OF PROPOSALS
	Procedures for Faculty:
	The Department Chairperson must:
	(a) review the proposal to assure that all University personnel time commitments are reasonable and compatible with department workloads, present and planned; (b) determine that the percentages of time and the salaries allocated to grant activities are accurate; (c) agree that space, facility, and service requirements are within the department’s present or planned capability.
	The Academic Dean must review the proposal for completeness and:
	(a) confirm that space, services, and support requirements have been adequately provided for, and responsibility will be accepted for assuring the availability of matching (cost-sharing) funds promised in the proposal; (b) confirm that the project budget and salary rates are reasonable and appropriate; (c) ascertain to what degree this proposal will commit the University to long-term support of project personnel or to a program which may evolve from the project once the external support ends.
	Procedures for Committees and Administrators:
	The Supervisor must:
	(a) review the proposal to assure that all University personnel time commitments are reasonable and compatible with department workloads, present and planned; (b) determine that the percentages of time and the salaries allocated to grant activities are accurate; (c) agree that space, facility, and service requirements are within the department’s present or planned capability; (d) ascertain to what degree this proposal will commit the University to long-term support of project personnel or to a program which may evolve from the project once the external support ends.
	Procedures for the Associate Academic Vice President:
	After the procedures listed above, the Associate Academic Vice President must:
	(a) review the Disclosure of Interests Form for possible conflict of interest; (b) review the proposal and budget for completeness and for compatibility with the University plans, policies and regulations; (c) review budgets to determine availability of University support, if required; (d) obtain approval from the Academic Vice President or President, if necessary, and any requested support letters.
PHASE IV.	SUBMISSION OF PROPOSALS
	The Associate Academic Vice President then informs Principal Investigator of approvals. Principal Investigator may then forward the proposal to funding agency.
PHASE V.	GRANT OVERSIGHT (POST AWARD)
	The Investigator must send requests for major purchase orders/invoices (those which are $500 or greater), and for salary, travel, and reimbursement to the Office of Sponsored Research for approval. The Investigator also prepares any required reports for the funding agency and sends copies of those reports to the Director of Sponsored Research.
PHASE VI.	CLOSE-OUT PROCEDURES
	The Investigator notifies the Office of Sponsored Research and the Senior Accountant in the Controller's Office, when the grant is completed, the award money is spent, and the account should be closed out.

See also the following memo from the Dean:

Document Title		PDF File
	How to Apply for a Fellowship, Grant, or Research Contract (September 16, 2004)

Pre-Award Menu

Role of the Applicant

Role of the Office of Sponsored Research

Submission Procedure

Budget Considerations

Pre-Award Compliance

University Information

ERA:
Electronic Research Administration

Guide to Grants:
Section 3

Forms & Policies