Handbook for Principal Investigators
SUBMITTING THE PROPOSAL
Faxing the Budget to Sponsored Projects (626-4130)
It will significantly expedite the proposal routing process if the principal
investigator completes the budget portion of the proposal before completing
the narrative portion. As soon as the budget is finished, the principal
investigator should fax (626-4130) a package to Sponsored Projects consisting
of the abstract, budget, budget justification, a completed but unsigned Proposal Routing Sheet, Application
page (if any), and the HHS indirect calculation checklist (if applicable).
Sponsored Projects will review the budget, make corrections and other
notes, and return the corrected budget to the investigator. Sponsored Projects will check your original PRS and budget against the faxed copy when the proposal is routed for signature. This is a great
time saver for those who are routing their proposals at the last minute.
Meaning of Signatures on the Proposal Routing Sheet
Principal Investigator and Co-Investigator
By signing the Proposal Routing Sheet, the principal investigator and
co-investigators certify that the information on the Proposal Routing
Sheet and application is accurate and factual, and that, when the project
is funded, they will assume accountability for carrying out the conditions
of the award. Their signatures further certify that neither the principal
investigator nor anyone involved in this project is presently debarred,
suspended, proposed for debarment, declared ineligible, or voluntarily
excluded from covered transactions by any federal department or agency.
The principal investigator will indicate whether the project does or does
not involve an actual or potential conflict of interest or commitment,
based on University policy.
The principal investigator is responsible for identifying the total costs
of the project, sources of funding for cost sharing, and making arrangements
for space and facilities. The investigator, by their signature, is stating
that they will meet the proposed level-of-effort if the project is funded.
The principal investigator will not begin research activity on the project
until completion of the applicable administrative reviews, e.g., biohazards,
hazardous waste, recombinant DNA, animal subjects, human subjects, radiation
safety, and conflict of interest. By their signature on the Proposal Routing
Sheet, the principal investigator agrees to assume responsibility for
custody of records and data (e.g., complete proposal, technical reports,
lab notes) in accordance with the University policy on Retention of Data,
and the investigator agrees to provide the University access to such records
and data.
The principal investigator takes on a great deal of responsibility when
proposing a project on behalf of the University. An investigator would
never consider allowing a designee to sign the sponsor’s Application
Page when submitting a proposal. Using the same logic, the University
requires the principal investigator and co-principal investigator(s) to
personally sign the Proposal Routing Sheet, for ALL Proposal Routing Sheets, routed at the preaward or postaward stages. Signature authority for the
principal investigator may not be delegated to the unit research administrator for any Proposal Routing Sheet.
Department Head
By signing the Proposal Routing Sheet, the department head certifies that
the principal investigator, to the best of the department head’s
knowledge, is competent and capable of carrying out the proposed project,
and that, when the project is funded, the principal investigator’s
responsibilities within the department will be adjusted so that the investigator
can commit the required effort to the project. The department head’s
signature on the routing sheet signifies that space and facilities are
available for the project should the proposal be funded. The department
head will determine whether the project is consistent with the mission
of the department, the college, and the University.
All department heads involved in a proposed project must sign the Proposal
Routing Sheet. Department heads may delegate signature authority to a
designee.
Dean/Director
By signing the Proposal Routing Sheet, the dean or director of the college
or program certifies that the required resources will be available and
that the department is capable of carrying out the proposed project. The
dean or director will determine whether the project is consistent with
the mission of the college and the University.
The dean or director may delegate signature authority to the department
head or another designee.
Vice President for Research
The Vice President for Research does not personally sign the Proposal
Routing Sheet or the application page; the authority to sign on behalf
of the Vice President for Research is delegated to Sponsored Projects
Services. However, it is customary to meet with the Vice President for
Research before proposing an unusually high-dollar project, or if you
are proposing a project that involves an unusual amount of University
resources, or if the project has unusual public interest.
Sponsored Projects Services
By signing the Proposal Routing Sheet, Sponsored Projects Services certifies
that the proposal budget has been reviewed, that the fringe benefit and
indirect cost rates are correct, and that the budget cost categories are
correctly presented. Sponsored Projects' signature on behalf of the Vice
President for Research indicates that, pending successful completion of
negotiations between the University and the sponsor, the University will
assume institutional responsibility for the project.
Sponsored Projects does not review the technical aspects
of the proposal.
Routing the Proposal to Sponsored Projects Services
The proposal package you submit to Sponsored Projects should include:
- Original Proposal Routing Sheet with appropriate signatures in place
(will be kept in
- Sponsored Projects with a copy to you)
- Original Application Page or Title Page (will be returned to investigator
with a copy to Sponsored Projects)
- Copy of Abstract (will be kept in Sponsored Projects)
- Copy of Budget (will be kept in Sponsored Projects)
- Copy of Budget Justification (will be kept in Sponsored Projects)
- Copy of indirect cost calculation checklist (HHS proposals)
The Sponsored Projects office is open Monday through Friday, 8 am - 5
pm. Normally, the proposal reviewers are available to check proposals
on a walk-through basis. The Sponsored Projects receptionist will direct you to the first available
reviewer. The walk-through turnaround time is unpredictable during the
period immediately preceding a major deadline; you should not wait until
the last minute to route your proposal through Sponsored Projects.
Sponsored Projects is the last stop in the proposal routing process.
After Sponsored Projects signs the Proposal Routing Sheet and the Application
Page, the principal investigator may send the proposal to the sponsor.
Electronic Submission of Proposals
Presently, Federal agencies are developing the technology for submitting
proposals electronically through the Internet. The National Science Foundation
FastLane system is currently operational. Contact Janet Hornung, Director
of Sponsored Projects, (626-6000) for more information. Proposals submitted
electronically must also be routed through the University system and, in some cases, mailed
to the sponsor in paper form. Sponsored Projects will not approve electronic
proposals without first receiving a completed and signed Proposal Routing
Sheet.
Allow extra time for unforeseen problems when submitting proposals electronically.
Mailing the Proposal
The principal investigator is responsible for duplicating and mailing
the proposal to the sponsor. Be sure to note whether the due date for
your proposal is the date of postmark or date received at the sponsoring
agency.
Filing and Archiving the Proposal
Sponsored Projects does not maintain a file copy of the complete proposal.
The principal investigator is responsible for maintaining a copy of the
complete proposal, with the understanding that the proposal is accessible
to the Vice President for Research.
Summary of Responsibilities for the Principal
Investigator
Preaward
- keep track of pending
support
- keep track of available and committed FTE
- propose budget based on actual costs
- identify source of funding for matching or cost sharing
- arrange for additional laboratory space, if necessary
- disclose conflict-of-interest, if appropriate
- coordinate special approvals
- DNA, radiation safety, hazardous waste, human subjects, animal subjects
- route proposal through the administrative process
- prepare, assemble, duplicate, and mail proposal
- maintain an accessible file copy of the complete proposal
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