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Miami University

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Office for the Advancement of Research and Scholarship

102 Roudebush Hall • Phone: 513-529-3600• Fax: 513-529-3762

Proposal Approval Process

Contents

What is Miami's Proposal Approval Process?

Miami requires faculty, staff, and students to use the Proposal Approval Form (PAF) to obtain University approval of grant proposals from "external" funding any grant maker including: federal, state, local, private, and corporate entities. OARS prereview of the budget is also necessary prior to this completion of the proposal approval process.

Where can I get the Proposal Approval Form?

  1. downloaded as an Microsoft Word document
  2. download Adobe Acrobabt interactive file (PDFi), filled out on screen and then printed.
  3. Paper copies of the PAF are also available in most departmental offices and from OARS.

The Proposal Approval Form is to be completed and signed by the principal investigator or project director, then routed to the appropriate individuals (typically, chair, executive director if appropriate, and dean), and then delivered to OARS. Staff in OARS are responsible for obtaining the remaining approvals and signatures as necessary.

Please contact an OARS staff member for assistance with your submission. You may want to review the accompanying table that identifies the units with which these individuals usually work.

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Why is Proposal Approval Necessary?

Although proposals for sponsored projects are developed and written by faculty and staff members, the resulting grant and contract awards are made to Miami University. "Proposal Approval" is the process used to obtain commitment from the University. The key element of this process is the signatory approval of all University personnel in the line of authority for the project, including principal investigators/ project directors (PI/PD), department chairs, divisional deans or executive directors, and the Associate Provost for Research who is the official signatory for University proposals. In certain cases, signatory approval is also required from others, such as the President, the Provost and Executive Vice President for Academic Affairs, the University Budget Officer, or the Senior Vice President for Finance and University Services and Treasurer.

The approval process is structured to assure that the appropriate physical and human resources are available to execute the sponsored project successfully, and that the proposed work can be carried out safely and in full compliance with federal, state and local laws/regulations.

The process is also structured to resolve, in advance, questions concerning budgeting, staffing, space utilization or other priorities, and to provide a written record of institutional commitments for additional space, staffing or matching funds for the project. The OARS Office keeps official records of who has applied for and who has received grants, which becomes part of your official record as a full- or part-time faculty or staff member of the University.

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Which Projects are Subject to Approval?

Approval is required for all grant and contract proposals submitted to external funding sources, including federal, state, or local government agencies and publicly or privately held businesses and foundations. Fellowship applications which involve University financial commitments or administration of funds require approval. Faculty are encouraged to inform OARS about fellowship applications when funds are awarded directly to the PI/PD so that we may include this information in our quarterly and annual reports. Arrangements for academic year leave must be approved in advance by the chair, the executive director (if appropriate), the divisional dean, and the Provost's Office.

When Should A Proposal Be Submitted for Approval?

Proposals must have completed the University's proposal approval process before they are submitted to the funding agency, so it is important to begin the process well in advance of the program deadline. University guidelines require a "budget pre review" by OARS staff prior to the proposal approval process. This helps identify any potential budgetary or related problems that might hold up approval of the application. Under normal conditions and after appropriate budget pre review, the approval process requires a minimum of two working days after reaching OARS. However, longer lead times may be required for projects with complex budgets or projects that require significant cost sharing. The time required for approval can be greatly minimized by working with OARS during development of the proposal.

OARS staff can assist with development of the project budget, and will coordinate commitments for institutional cost sharing, particularly for equipment grants where such cost-sharing is necessary, and will perform the required preliminary budget reviews to assure conformance with University policies and State and Federal laws.

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How Are Proposals Submitted for Approval?

  • The PI/PD is responsible for initiating the approval process. After having completed the required budget pre review with OARS staff, the next step is to obtain and complete a Proposal Approval Form.
  • The PI/PD should submit the approval form and a copy of the proposal including the budget to his/her department chair for signatory approval, then
  • obtain the signature of the academic dean who needs to review the application materials and sign the approval form and finally
  • bring the completed form and accompanying material the OARS Office.

OARS will obtain all the remaining approvals and signatures and notify the PI/PD when the proposal is approved. OARS staff are knowlegable about grants requiring electronic submission and will work with the PI for proposals requiring electronic submission, as required.

You may download the PAF in MS Word format, or Adobe PDFi format. Paper copies of the PAF are also available in most departmental offices and from OARS.

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