To:
American University Faculty Investigators
From: Jonathan Tubman, Vice Provost for
Graduate Studies and Research
Date: November 21, 2011
Re:
Clarification of Office of Sponsored Programs processes
The purpose of this memo is twofold. First, it clarifies the existing pre-approval process for
external funding proposals by American University faculty, staff and students. Second, it
provides timelines for both the communication of intentions to submit proposals, and the
collaborative process between academic units and the central research office for the successful
submission of proposals.
Pre-approval Process for Sponsored Research Proposals
The pre-approval process is a requirement of the AU Board of Trustees. It allows the Provost
and President to delegate their signature authority for proposals at certain dollar thresholds to
other authorized signatories in the Provost’s Office. Documents in a pre-approval include: A
proposal summary page with an abstract, and a draft budget. If tuition is a major component of a
proposal’s budget or if the proposed program is an instructional revenue center (IRC), the school
should present a draft budget to the budget offices of Academic Affairs (to the Vice Provost for
Academic Administration) and the Office of Finance and Treasurer (to the Assistant Vice
President- Budget Operations and Payroll or designate). Upon review and approval of the
proposed budget, statements of approval will be routed directly to the Office of Sponsored
Programs (OSP).
Pre-approval documents must be submitted to the Provost’s office by OSP at least seven (7)
working days before the proposal submission deadline in order to provide time for university
review and approval. The institution will use this time to review the proposed project for legal,
compliance and budgetary issues. Until the pre-approval is finalized, full proposals may not be
routed for approval at the Department and College or School levels.
The university reserves the right to revise or cancel any planned proposal submission based on
review of the pre-approval documents. A signed pre-approval form means that the proposal may
move to the formal AU routing and approval process. The signed pre-approval form does not
indicate approval of the proposal.
Executive Signatures Required for Pre-approval Forms
•
Proposals with budgets between $250,000 and $499,999 require the signature of the
Provost on the pre-approval form. The Vice Provost for Graduate Studies and Research reviews
the pre-proposal and provides a recommendation to the Provost.
•
Proposals with budgets equal to $500,000 or more require the signature of the Provost
and the President on the pre-approval form. The Vice Provost for Graduate Studies and Research
reviews the pre-proposal and provides a recommendation to the Provost.
•
Proposals that contain a commitment for new facilities or services costing more than
$100,000 require the countersignature of the Vice President of Finance and Treasurer or that of a
designee.
Deadlines for Proposal Submission to the Office of Sponsored Programs (OSP)
The development and submission of proposals for external funding require sufficient lead time to
address issues raised at each level of the routing process and prepare supporting documents and
forms. With the use of electronic proposal submission, extra time is required to resolve frequent
technical problems. Communication between the faculty members or research units developing
the proposal and the central research office is critical. Therefore, OSP has established the
following operational guidelines for individual AU investigators or research development units
writing proposals for external funding.
Action Step
Notify OSP of intention to develop an application. Provide links to the
solicitation or program announcement.
Discuss draft budget with OSP and college-level grant specialists.
Notify OSP of complex or unusual application requirements. Coordinate
proposal checklist and assignment of forms or other requirements.
If proposal is over $250,000, or it contains a commitment for new facilities or
services costing more than $100,000, provide OSP a project abstract and draft
budget to initiate the pre-approval process.
Business days
before deadline
ASAP
10
10
7
Provide a final budget and a near-final narrative to OSP.
5
Provide a final narrative and all other proposal documents to OSP.
2
OSP will make all reasonable efforts to assist faculty submitting proposals for external funding if
they cannot meet these deadlines. However, OSP does not guarantee that proposals undertaken
without consideration of these deadlines will be submitted in a timely manner. Again,
communication between the faculty members or the research units developing proposals and the
central research office is critical to the success of the submission process. Proposals will be
prioritized for processing in the order that they are received by OSP staff. OSP reserves the
right, at the discretion of the VPGSR, not to submit a proposal if there is insufficient lead time to
prepare a complete and competitive proposal package compliant with the sponsor’s guidelines.