3. Proposal Approval & Submission
A. Proposal Approvals
Before a proposal is submitted to an external funding agency, the application must be approved through the University’s established procedure. The Proposal Routing Form is used to gather the approvals. By signing the Proposal Routing Form, each signatory accepts accountability for the roles and actions assigned to them by the University, as described below.
Proposal Routing Form and Proposal Abstract
The Proposal Routing Form provides information required for processing a grant or contract and signatures showing the University’s support. The form is required for every grant proposal or contract submitted to the Office of Research.
The Proposal Routing Form must be completed, signed, and submitted to the Office of Research no later than the day before the sponsor’s deadline.
The first page of the form includes information on the Principal Investigator (PI) and Co-Principal Investigator(s), the project type, proposal due date, name of sponsoring agency, and proposal title. Questions regarding indirect costs, conflict of interest, involvement of human subjects, and cost sharing are addressed. You may need to check with the Office of Research for specific information.
The second page of the form is the "Routing and Approvals for Completed Proposal." Signatures are required from the PI, other committed personnel such as co-PIs or Faculty Associates, and the department chair(s) and college dean(s) of the PI and any other committed personnel. Depending on the scope of the project other approvals (see below) may be necessary. All of the required approval signatures must be obtained before the proposal will be submitted to the funding agency
Call the Office of Research if you are uncertain how to answer any of the questions on the routing form.
The usual practice is to give your chair and dean a copy of the abstract, budget, and budget justification when they receive the routing form to sign. They may ask for the complete proposal if they would like to review it in more detail.
Principal Investigator, Project Director, and Co-Principal Investigators
The signatures of the principal investigator, all co-principal investigators, and other committed personnel are required. "Other committed personnel" means KSU faculty or staff who are either paid from the grant or committing time to the projects as specified in the proposal. By signing the Proposal Routing Form, the PI, co-PIs, and other committed personnel agree to:
- Accept responsibility for the intellectual content of the research or scholarly activity that is proposed
- Accept responsibility for the quality and completeness of both the fiscal and technical portions of the proposal
- Ensure that all necessary institutional approvals (see “Other Approvals” below) are received prior to submission of the proposal to an outside funding source
- Avoid conflict of interest
- Adhere to the principles of responsible conduct in research or other creative work described in the KSU Faculty Handbook
- Assure that the sponsored project is conducted safely and in accordance with university, federal, state, and local regulations
- Meet deadlines for the completion of reports to the sponsoring agency
- Accept responsibility for administration of the awarded activity
- Use funds for the awarded project appropriately and ensure that all expenditures are consistent with the terms and conditions of the award
- Report potentially patentable or other commercial results in accordance with the university’s intellectual property policy described in the KSU Faculty Handbook
- Complete the work on schedule and within the project’s agreed upon budget
- Assure compatibility with the total academic assignment determined in consultation with the department chair or director and dean
Department Chair and/or Center/Institute Director
The department chair or center/institute director of the Principal Investigator and all Co-Principal Investigators must approve all sponsored activities prior to proposal submission to the dean(s). In certain cases, center/institute directors are delegated oversight responsibilities. The signature of the department chair or center/institute director or designee on the Proposal Routing Form indicates acknowledgement of the:
- Research or creative activities that are being conducted in the department
- Research or creative activity conforming to the short or long-range objectives of the department
- Needs of the proposal in terms of space requirements, materials, staffing, or health and safety hazards associated with the conduct of the activities
- Commitment to provide any necessary requirements if the proposal is funded
- Approval of release time (if any) for designated faculty
- Coverage of any over expenditure or disallowed expenditures from departmental funds
- Adherence to all applicable department, college, and university procedures
- Competency of the PI to conduct and manage the proposed project
The dean or designee assures that he/she:
- Acknowledges the proposed project
- Recognizes the project as compatible with the institutional goals and objectives of the college
- Makes available staff and space necessary for conducting the project
- Recognizes personnel descriptions as appropriate and consistent in the college
- Is aware of the budgetary impact of the project on the college
Depending on the nature of the project additional approvals may be needed before the proposal is submitted to the Office of Research. Projects requiring special assistance from the offices of must be signed off by the applicable responsible official.
- Information Technology Services,
- Environmental Health & Safety, or
- Plant Operations (if alterations are required to the physical plant)