This guide is intended to assist faculty members in the preparation of grant and contract proposals and expedite their administrative review and transmittal.

 

Review of Proposals | Approval of Proposals | Assistance in Proposal Preparation | Deadlines for Proposals

 

Review of Proposals (Back to Top)

The 16th Edition of the Faculty Handbook, 2002, pages 62-65, outlines the policies and procedures for the submission of proposals for outside support of research, University-administered traineeships and fellowships, institutes, and other University activities to prospective public and private sponsors. The following information is an elaboration of the basic policies in the Faculty Handbook. Internal University review of proposals includes consideration of the following:

The substance and merit of the proposed activity including academic appropriateness and desirability. The Mission Statement of Western Kentucky University should be reviewed in considering appropriateness and desirability. Ideas from this statement may be helpful in writing proposals. For convenience, it is cited here:

 

Western Kentucky University Mission

Western Kentucky University offers a broad spectrum of instruction scholarly activity, and professional service within an academic climate encouraging intellectual excellence.

Western Kentucky University provides instruction at the associate, baccalaureate, and graduate levels in the liberal arts and sciences, traditional pre-professional programs, and emerging career areas and professional fields including agriculture, business, communication, education, health, and technology. The University supports diverse scholarship, including basic and applied research and creative activity, in order to expand knowledge, improve instruction, and serve its varied clientele. The University directly supports its constituents with professional and technical expertise, cultural enrichment, and educational assistance.

Western Kentucky University affords educational opportunities in a climate that recognizes human diversity. The University is committed to increasing access for both traditional and nontraditional students,and to improving education at all levels. Finally, Western Kentucky University recognizes that its mission continues to evolve in response to regional, national, and global changes.

 

It might also be helpful to know that Western is staffed by more than 550 academic faculty, over 2,000 non-faculty support staff, and over 200 graduate assistants.

A significant source of additional information about Western may be found in the WKU Factbook.

Detailed and summary information about expenditures and revenues, which is often required by foundations, may be obtained from the Office of Sponsored Programs. This information is based on two annual institutional publications: the Annual Financial Report, and the Annual Combined Budgets.

Sponsored Programs also can contribute a template description of the University, which sponsors sometimes require, and that can be tailored to the goals and objectives of the proposal at hand.

In addition to the above guidelines, Reveiw of Proposals is based on the following as well:

• Protection of the rights, welfare, and personal privacy of human subjects (see the Human Subjects Review Board Information packet and the accompanying application form).
• Compliance with all appropriate regulations for the humane treatment of any live, vertebrate animal used or intended for use in research experimentation, testing, training, or related purposes (see the Research and Educational Animal Use protocol).
• Commitments of faculty and staff effort, and the possible effects of such commitments on the teaching and other obligations of the personnel involved.
• Salary arrangements, e.g., provision for summer support, or for partial support during the academic year.
• Requirements for equipment, special facilities, and other administrative arrangements.
• Verification that all costs, including employee benefits and indirect costs, are provided for; that resource needs are realistically estimated and properly stated; that items included are consistent with the policies of the University and the sponsor; and that proposed matching funds are available and can be satisfactorily documented.

 

Approval of Proposals (Back to Top)

As described below, proposals are routed and approved within the University using the Sponsored Programs Request for Proposal Approval and Submission sign-off sheet. Four levels of signature are required. The University may elect not to honor obligations undertaken by faculty or others which have not been properly authorized. The procedures are as follows:

• The principal investigator submits the proposal for a grant or contract (or renewal thereof) for approval to the head of the department. Budgetary information and statements concerning the availability and use of personnel, space, and facilities for the contemplated activity must accompany the proposal, as specified in the Sponsored Programs sign-off sheet. The Department Head's approval constitutes an endorsement of all aspects of the proposal. When more than one department is involved, the proposal must be approved by the head of each involved department.
• The proposal is then submitted by the head of the department to the dean of the college for review and approval. The dean's review also relates to all aspects of the proposal including the extent to which the proposed activity may affect the teaching and research interests of the department and the college and the possible alternative use of space and facilities. When more than one college is involved, the proposal must be approved by the dean of each involved college.
• Following approval by the dean, the proposal is transmitted to the Office of Sponsored Programs for the final institutional review to assure its conformity to University policies, to resolve any financial, administrative, or legal questions, and to concur in any commitments of University space facilities, and services. In addition, the budgetary and other administrative provisions are closely reviewed. The Director, Office of Sponsored Programs, approves the proposal.
• When all signatures are obtained, the proposal is either mailed by the OSP on behalf of the principal investigator(s) or the latter is contacted. (This step is determined in advance of the sign-off process.)

 

Assistance in Proposal Preparation (Back to Top)

Sponsored Programs can assist with the preparation of proposals for external support, particularly with advice about the budget, cost sharing, indirect costs, employee benefits, format, justification, and other such matters. Early contact with a staff member in Sponsored Programs, even at the drafting stage, will help to establish the proper sequence of events and thereby help to assure meeting the desire sponsor's deadline. Remember that this assistance is our primary goal.

Early contact with Sponsored Programs is especially important when a proposal is in response to a Request for Proposal (RFP) that will result in a contract. A copy of the RFP should be provided to Sponsored Programs as early as possible for assistance in reviewing contract clauses and in preparing certifications to the sponsor. Principal investigators and project directors should ensure that Sponsored Programs has the announcement and guidelines early in the development process. In any case, Sponsored Programs will procure these documents at your request. In many cases, the office will have sent you a brief description of the sponsor from SPIN, grants.gov, Grant$earch, the Foundation Center, or other sources.

In addition, it is often possible to obtain assistance from the departmental and/or college offices through the Assistant or Associate Deans or other similarly designated persons. Ogden College, Ford College, Potter College, and the College of Education and Behavioral Sciences, all have knowledgeable persons who can help. Further, the department head and dean generally should be brought into discussions at an early stage to assure their timely awareness of the proposed activity and to provide maximum time for them to consider any necessary resource allocations.

 

Deadlines for Proposals (Back to Top)

To be certain of meeting application deadlines, the proposal should be approved by the department head and submitted to the dean at least two weeks prior to the date on which the proposal must be mailed. However, if the proposal involves complex administrative or fiscal arrangements, e.g., interdisciplinary programs, collaborations with units at Western and, perhaps, the community at large, an additional two-week period should be allowed for internal review. After approval by the dean's office, the original copy of the proposal should be forwarded to the Office of Sponsored Programs at least five working days prior to the mailing date necessary to meet the sponsor's deadline. Except for rare instances where special actions are determined to be appropriate, proposals will be reviewed and transmitted in the order received in Sponsored Programs. In each instance, it must be possible to conduct a meaningful review within the time available and to assure that other proposals received on time are not jeopardized. Where a proposal involves complex arrangements and the sponsor's deadline is imminent, it may be helpful to have drafts of the proposal reviewed by the head, dean, and Sponsored Programs before it is put into final form. It is also critical for principal investigators to obtain c.v.'s and letters of commitment early in the proposal development process to ensure that they can make the final draft. A visit to Sponsored Programs early in the process will enable you to set up an activity schedule to obtain other documents like the indirect cost rate agreement, an IRS letter regarding the tax-exempt status of the institution (required by most foundations), current fiscal report, etc. Then you will have them. The worst thing of all is to have to dig at the last moment when your thoughts should be on having all of the pieces so you can put the proposal together correctly. It is a good idea to have someone who knows nothing about your field review the proposal during the last part of the development process.

Informal transmittal of unrequested proposals to sponsors prior to University review and approval is discouraged. This action may lead to delay or embarrassment, and may prejudice the chances for favorable action by the sponsor. When preliminary discussions between a faculty member and a sponsor representative begin to take meaningful shape, the head and dean should be consulted and thereafter kept informed at all stages. You may want to send a 1-3 page proposal summary to a program representative, especially if one is requested, after the head and dean have been consulted. In no case should budgetary commitments be made except through a formal University proposal approved by the head and dean and transmitted by Sponsored Programs.