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John Carroll University / Research / Pre Award / Step 4
Step 4 to submit a proposal

All proposals submitted to an external agency must receive official approval prior to submission.

Phase I. Project Initiation (Pre-Award)

  • Principal Investigator/Project Director informs Department Chairperson or Supervisor.
  • Principal Investigator/Project Director informs Academic Dean or other Supervisor, if applicable.
  • Principal Investigator/Project Director informs the Director of Sponsored Research who will inform the Associate Academic Vice President.

Phase II. Preparation Of Proposal, Review & Approval

  • Principal Investigator/Project Director prepares a draft of the proposal, including a tentative budget, and obtains necessary internal approvals such as the IRB and/or IACUC when required by the University and funding agency.
  • Principal Investigator/Project Director sends the draft project concept and budget to Supervisor and Director of Sponsored Research for review.
  • Principal Investigator/Project Director completes Internal Approval Form and Disclosure of Interests for Sponsored Projects Form (when required by the agency).
  • Principal Investigator/Project Director 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/Project Director 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 Submissions:
The Department Chairperson must:

  1. review the proposal to assure that all University personnel time commitments are reasonable and compatible with department workloads, present and planned;
  2. determine that the percentages of time and the salaries allocated to grant activities are accurate;
  3. 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:

  1. 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;
  2. confirm that the project budget and salary rates are reasonable and appropriate;
  3. ascertain to what degree this proposal will commit the University to long-term support of project personnel or to a program that may evolve from the project once the external support ends.

Procedures for Submission by Committees and Administrators:
The Supervisor must:

  1. review the proposal to assure that all University personnel time commitments are reasonable and compatible with department workloads, present and planned;
  2. determine that the percentages of time and the salaries allocated to grant activities are accurate;
  3. agree that space, facility, and service requirements are within the department’s present or planned capability;
  4. ascertain to what degree this proposal will commit the University to long-term support of project personnel or to a program that 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:

  1. review the Disclosure of Interests Form for possible conflict of interest;
  2. review the proposal and budget for completeness and for compatibility with the University plans, policies, and regulations;
  3. review budgets to determine the availability of University support, if required;
  4. obtain approval from the Academic Vice President or President, if necessary.
  5. notify the Director of Sponsored Research the proposal has been approved.

Phase IV. Submission Of Proposals

  • The Director of Sponsored Research informs the Principal Investigator/Project Director of approvals. The Principal Investigator/Project Director may then forward the proposal to the funding agency. If the proposal is submitted through an official online system (e.g., Grants.Gov, NSF Fastlane), the Director of Sponsored Research has the authority to submit on behalf of the University with a fully-signed Internal Approval Form.