CAMPUS REVIEW, COMPLIANCE, AND PROPOSAL SUBMISSION
Before your proposal is submitted, it must be reviewed by your Sponsored Research Officer for compliance with University, University Enterprises and agency policies and to ensure that the proposal meets the agency’s guidelines; that the budget is calculated correctly; that cost share commitments, if any, are appropriately documented; that any special compliance issues have been addressed; and that appropriate signatures have been obtained.
After review, your proposal will be forwarded to the sponsor by the Research Administration office.
Proposal Approval Form
A Proposal Approval Form must also be completed and the required signatures secured BEFORE a proposal is sent to the sponsor. It is the PI’s responsibility to obtain these signatures. This review and approval process is necessary to protect all parties. Proposal Approval Form (pdf)
The Proposal Approval Form provides a succinct summary of information about the proposal needed for various levels of review. By their signatures, appropriate University and UEI officials responsible for the overall conduct and results of the project show their commitment and approval.
- Who Must Sign: This form must be signed by the PI, the department chair, the dean, the Director of Research Administration, the Executive Director of University Enterprises, Inc. and the Vice President for Administration.
- Understanding the Commitments: Each individual accepts a certain responsibility when signing the proposal approval form.
The Principal Investigator accepts responsibility to carry out commitments as outlined in the proposal within the time limits and with the budgetary resources provided and to comply with Sacramento State and UEI policies and procedures regarding the administration of funds; if cost-sharing or in-kind match is required, s/he attests that approval for such resources has been secured.
The department chair certifies that the proposal is consistent with departmental goals, is not in conflict with assigned duties of the PI, and commits departmental resources if outlined in the proposal.
The dean certifies that the proposal is consistent with college goals, and commits college resources if outlined in the proposal.
The Director of Research Administration certifies that the proposal is consistent with the overall University mission.
The Executive Director of University Enterprises certifies that the project budget has been reviewed.
The Vice President for Administration, as required by CSU Executive Order #168, reviews and approves the fiscal aspects of each proposal.
Human and Animal Subjects Protocols
An important element in the review/approval process is University compliance with federal assurances. In the case of human and animal subjects, a protocol must be submitted, and approval must be granted, before work can begin on a project.
- Human Subjects Protocol: You are required to complete a Protection of Human Subjects Protocol Form if your project involves the use of human subjects. You must file this form with the campus Institutional Review Board (IRB), the Committee for the Protection of Human Subjects (CPHS) prior to final submission of your proposal. While some sponsors will accept your assurance that human subjects approval is pending, some agencies now require that you include your approved protocol number from your campus IRB with your proposal. If your project will involve the use of human subjects or if you have questions about human subjects, visit the CPHS website.
- Animal Subjects Protocol: You are required to contact the Institutional Animal Care and Use Committee (IACUC) if your project involves the use of vertebrate animals. For more information, please contact Research Administration.
Conflict of Interest
Key personnel on proposals submitted to private foundations, corporations, the National Science Foundation (NSF), and the U.S. Department of Health and Human Services (DHHS) must complete, sign and return a Statement of Economic Interest to Research Administration. Sacramento State is required by state law to have a copy of the completed 700U form on file for all proposals to nongovernmental entities and is required by the federal government to have a copy of the completed and signed form on file for proposals to NSF and DHHS. Sacramento State’s Conflict of Interest Policy.
Responsible Conduct in Research
Scientific misconduct is the intentional falsification or fabrication of data or results, the application of scientific procedures in a manner designed to bias results, the deceptive reporting of research outcomes, and/or plagiarism by a student, a faculty member, or a member of the staff. For Sacramento State’s policy on responsible conduct in research and the process for handling allegations of scientific misconduct, go to the policy.
Export Controls
Proposed projects may be subject to Export Administration Regulations (EAR) or International Traffic and Arms Regulations (ITAR). EAR and ITAR prohibit the export of specific unlicensed technologies for reasons of national security or protection of trade. EAR and ITAR may require that a license be obtained from the State Department or the Commerce Department as a condition of allowing foreign nationals to participate in research, conducting the research in cooperation with a foreign company or foreign colleagues, sending research equipment to foreign countries, or sharing research technology—orally, in writing or visually—with persons who are not United States citizens or permanent resident aliens.
Please contact your Sponsored Programs Development Specialist if your project will involve communications with U.S. embargoed countries or their citizens. Such communications may be prohibited by U.S. sanctions law unless a license is obtained. Current list of embargoed countries.
Proposal Submissions
To eliminate possible delays or missed deadlines, you should contact the Sponsored Programs Development Specialist assigned to your college at least 7 days in advance of the agency deadline. As soon as you have prepared a draft of your proposal, your SPDO can assist in preparing a budget and ensure that you have met all agency and university requirements.
Please note that most federal agencies now require electronic proposal submission. Given the different requirements of each system, timing is critical. Some systems require both the individual researcher and the institution to register. Some require registration up to two weeks prior to the submission of a proposal, and some require unusual formatting.
Some agencies require you to submit a 501(c)(3) letter that confirms the non-profit, tax exempt status of UEI; others may require certain accounting or audit information (form 990). Research Administration can provide many of these documents. However, there may be additional information you will need to provide or forms that you will need to complete. Included are such items as the number of majors, the number of graduates who have gone on to graduate school, the employment or education status of graduates, a listing of equipment in your department, the availability of department laboratory space, etc. It is the PI’s responsibility to provide this information.
You should also contact your Sponsored Programs Development Specialist to review any other special issues/concerns that might apply to your project. For example, does it require CSU Board of Trustees approval; does the sponsor have other requirements; does it involve an excess of direct costs, major construction, University obligation over a prolonged period of time; are there unusual employment situations, unusual space considerations, special facilities needed, joint or consortium proposals that require coordination with other non-university proposers; or other items that could necessitate more time for review.
Proposal Checklist
Before submitting your proposal, check to see that all of the following items have been completed.
( ) Is your proposal prepared according to the agency's guidelines?
( ) Have you talked with your department chair and dean about anticipated changes in your teaching assignment?
( ) Does your project involve human subjects, laboratory animals or a patentable product? If so, have you obtained the necessary institutional clearances?
( ) Is the document well organized and easy to read? Is it free from misspellings and typographical errors? Are the copies clean and legible?
( ) Is the document within the page limitations? The font size limitations? Are all elements of the proposal included?
( ) Are all required institutional approval signatures present?
( ) Have you reviewed the budget to make sure that you have requested enough money in each expense category so the project can be properly executed?
( ) Have you itemized each category of expenditures and justified it in the budget narrative? Have you explained how you arrived at your totals for each category?
( ) Does your budget reflect the institutional contribution to the project?
( ) Have you checked to make sure that you are using the most recent F&A (indirect) cost figure for the university, and the current rates for employee fringe benefits?
( ) Do all of your budget figures balance?
( ) Have you made arrangements to meet the deadline?