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Policy 7102 – Submission of Proposals

Revision Date: 09/06/2005
Last Review: 11/11/2024
Responsible Office: Division of Research and Partnerships

Policy:

Proposals are prepared by the faculty members with the aid of the College Director of Research and under the stipulations provided by the agency to whom the proposal is submitted. It is desirable that coordination be obtained between the Principal Investigator, the College Research Director, and the Office of Sponsored Projects so that all may be informed of the nature of the project. Faculty members should keep Office of Sponsored Projects informed about their preparation of proposals.

Definitions:

Not Applicable.

Procedures:

The Sponsored Project Proposal Review/Routing Form must accompany all sponsored project proposals as they are routed for signatures along with a copy of the funding agency’s guidelines. The following steps must be followed in a timely manner during the routing process:

Step 1:  Faculty member obtains routing form and proposal number from Office of Sponsored Projects. 
Step 2:  Faculty member discusses proposal with College Research Director. 
Step 3:  Faculty member obtains approval of Unit Head and College Dean. 
Step 4:  Faculty member forwards proposal to Office of Sponsored Projects.

In addition to formal proposals, the same routing process is to be utilized with preproposals, subcontracts, and any other supplemental funding. If Tech is submitting as a subcontractor on another institution’s proposal, the subcontract proposal must be approved at all levels prior to submission. This requirement is identical to any other proposal which obligates the University.

The issue on subcontracts is fairly clear. If an investigator is submitting as a subcontractor on another institution’s proposal, the Tech subcontract proposal must be approved at all levels prior to submission. This requirement is identical to any other proposal which obligates the University.

There are many terms which can be included under the term “preproposal.” These include concept papers, preproposals, and preliminary proposals. Agencies will many times request information on an idea only. As a result, all correspondence with a funding agency that includes any resource-related issues (faculty/staff/student time, use of facilities, level of funding/effort, etc.) Must be routed through Office of Sponsored Projects. This requirement is not intended to cause any impediment to pursuing research opportunities, but rather to ensure that the University’s interests are protected while also ensuring the sponsor that the “preproposal” is realistic.

The Sponsored Project Proposal Review/Routing Form for interdisciplinary proposals (proposals involving resources of more than one Department/College) should clearly identify the appropriate percentage involvement of Departments/Colleges for the determination of Facilities and Administrative (F&A) Costs distribution.

Office of Sponsored Projects will check the proposal, route it to the appropriate safety review committees if necessary, and then route it to the Business Manager, the Chief Research and Innovation Officer, and the President. The Office of Sponsored Projects will then follow the RFP guideline for proposal distribution and arrange for the delivery of the proposal with a letter of transmittal to the funding organization.

NOTE: If a proposal, subcontract, or “preproposal” is funded without campus routing and approval, there is no guarantee that the University will recommend acceptance of the award.

Because all proposals are reviewed to ensure that they are consistent with University policies, the completed proposal should be submitted to the Office of Sponsored Projects at least five working days prior to the submission deadline. If a submitted proposal is found to be inconsistent with University policies or without adequate time for review, the University reserves the right to withdraw the proposal from the funding agency.

All information requested on the Routing Form should be supplied if at all applicable to a project. The Form should explicitly show any institutional resource commitments – both those that would involve new budgeting of operating funds as well as those already budgeted to a Department/Unit. The details of any in-kind matching should be shown. Requests for matching funding commitments should be submitted in writing, discussed, and approved by appropriate University administrators prior to finalization of the proposal. All applicable account numbers for matching commitments should be provided. Approved requests for matching commitments will be considered as budget items as part of the University budgeting process. Non-Departmentally budgeted matching funds should also be shown.

Policy 7102 – Submission of Proposals

Revision Date: 09/06/2005
Last Review: 11/11/2024
Responsible Office: Division of Research and Partnerships

Policy:

Proposals are prepared by the faculty members with the aid of the College Director of Research and under the stipulations provided by the agency to whom the proposal is submitted. It is desirable that coordination be obtained between the Principal Investigator, the College Research Director, and the Office of Sponsored Projects so that all may be informed of the nature of the project. Faculty members should keep Office of Sponsored Projects informed about their preparation of proposals.

Definitions:

Not Applicable.

Procedures:

The Sponsored Project Proposal Review/Routing Form must accompany all sponsored project proposals as they are routed for signatures along with a copy of the funding agency’s guidelines. The following steps must be followed in a timely manner during the routing process:

Step 1:  Faculty member obtains routing form and proposal number from Office of Sponsored Projects. 
Step 2:  Faculty member discusses proposal with College Research Director. 
Step 3:  Faculty member obtains approval of Unit Head and College Dean. 
Step 4:  Faculty member forwards proposal to Office of Sponsored Projects.

In addition to formal proposals, the same routing process is to be utilized with preproposals, subcontracts, and any other supplemental funding. If Tech is submitting as a subcontractor on another institution’s proposal, the subcontract proposal must be approved at all levels prior to submission. This requirement is identical to any other proposal which obligates the University.

The issue on subcontracts is fairly clear. If an investigator is submitting as a subcontractor on another institution’s proposal, the Tech subcontract proposal must be approved at all levels prior to submission. This requirement is identical to any other proposal which obligates the University.

There are many terms which can be included under the term “preproposal.” These include concept papers, preproposals, and preliminary proposals. Agencies will many times request information on an idea only. As a result, all correspondence with a funding agency that includes any resource-related issues (faculty/staff/student time, use of facilities, level of funding/effort, etc.) Must be routed through Office of Sponsored Projects. This requirement is not intended to cause any impediment to pursuing research opportunities, but rather to ensure that the University’s interests are protected while also ensuring the sponsor that the “preproposal” is realistic.

The Sponsored Project Proposal Review/Routing Form for interdisciplinary proposals (proposals involving resources of more than one Department/College) should clearly identify the appropriate percentage involvement of Departments/Colleges for the determination of Facilities and Administrative (F&A) Costs distribution.

Office of Sponsored Projects will check the proposal, route it to the appropriate safety review committees if necessary, and then route it to the Business Manager, the Chief Research and Innovation Officer, and the President. The Office of Sponsored Projects will then follow the RFP guideline for proposal distribution and arrange for the delivery of the proposal with a letter of transmittal to the funding organization.

NOTE: If a proposal, subcontract, or “preproposal” is funded without campus routing and approval, there is no guarantee that the University will recommend acceptance of the award.

Because all proposals are reviewed to ensure that they are consistent with University policies, the completed proposal should be submitted to the Office of Sponsored Projects at least five working days prior to the submission deadline. If a submitted proposal is found to be inconsistent with University policies or without adequate time for review, the University reserves the right to withdraw the proposal from the funding agency.

All information requested on the Routing Form should be supplied if at all applicable to a project. The Form should explicitly show any institutional resource commitments – both those that would involve new budgeting of operating funds as well as those already budgeted to a Department/Unit. The details of any in-kind matching should be shown. Requests for matching funding commitments should be submitted in writing, discussed, and approved by appropriate University administrators prior to finalization of the proposal. All applicable account numbers for matching commitments should be provided. Approved requests for matching commitments will be considered as budget items as part of the University budgeting process. Non-Departmentally budgeted matching funds should also be shown.