Guidance for Proposal Review by Department Chairs, Directors, or Deans

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Department Chair, Director and Dean Responsibilities

By reviewing and authorizing (approving) any proposal intended for submission to seek extramural support, the respective department chair, director or dean verifies/certifies the following:

• • an individual’s eligibility for Principal Investigator status;
  • verification of the consistency of the proposed project with the educational, research, and/or public service objectives of the organizational unit;
  • determination that the appropriateness and acceptability of faculty/researcher time, space, equipment, and University financial commitments contained in proposals for sponsored projects;
  • ensuring that project scope of work is consistent with internal University policies, with externally imposed sponsor terms and conditions, and with the organizational unit’s educational, training, and/or other objectives; and
  • identifying appropriate funding sources to cover project costs not covered by the project sponsor’s funds or by other funds available to the Principal Investigator.

The above text will appear in Cayuse SP before authorization is completed. Once authorized, the project (proposal or award) will be allowed to move forward. This process authorizes the Sponsored Programs Office to accept, within University policies, any award(s) that may result from the proposal.

These responsibilities may not be delegated to staff.

• • If the department chair, director or dean is unavailable or has a personal financial interest in the proposed sponsor of a project, another academic member of the unit should be delegated to review/authorize the proposal.
  • The unit’s Role Manager(s) can assign new IPF Approvers as directed (see section 1 of the instructions below).

This guidance is based on UCOP’s Contract and Grant Manual Section 10-340.

Instructions to review and authorize (approve) an Internal Processing Form (IPF) in Cayuse SP:

1. All unit personnel with the role of IPF Approver will receive an email notification from the Cayuse system when a proposal requires unit review.
   • Units should always have more than one IPF Approver so that absences do not delay proposal submissions.
   • Your unit’s Role Manager(s), assigned by the Sponsored Programs Office upon request, assigns your IPF Approvers.
     • You can identify your Role Manager(s) by accessing Cayuse SP as indicated below then selecting More on the top toolbar, then View Roles by Unit.
       • Find your unit on the list. You can search using CTRL + F then typing a key word.
2. Access the Cayuse Research Suite
3. Select Cayuse SP
4. In the left column, select Unit Approval Inbox
5. Under the To Be Authorized tab, select the Prop. No. for the desired IPF (Internal Processing Form: the internal “proposal”)
6. Conduct your review following the guidance further below on this page.
   • You begin on the Proposal Routing Status screen. To review the IPF, select either the View IPF box (above the tabs in the middle of the page) or click on the Proposal number at the top of the screen.
     • The Investigators/Research Team tab (in the left column) indicates personnel commitments.
       • Authorization of the IPF indicates approval of any faculty/staff time commitments listed.
     • The Budget tab (in the left column) only indicates the first year of any multi-year project. For a more complete picture, it is best to instead view the attached budget (instructions below)
     • The Submission Notes tab (in left column) may contain notes from the PI/department administrator.
   • To review attachments, return to the Proposal Routing Status screen. To do so, either click the View Routing Status button near the bottom of the left column or use the back arrow (may require multiple clicks)
     • On the Proposal Routing Status screen, click on the tab with the paperclip icon.
       • Each attachment will open as a download.
7. If anything is amiss or unacceptable, select the Reject Proposal box (above the tabs in the middle of the page)
   • Note: You can also perform this action from the IPF. A Reject Proposal box is found at the bottom of the left column.
   • Enter any comments or additional information in the box provided.
   • Select Submit Rejection.
8. If the IPF and its attachments are acceptable, select the Authorize Proposal box (above the tabs in the middle of the page)
   • Note: You can also perform this action from the IPF. An Authorize Proposal box is found near the bottom of the left column.
   • Enter any comments or additional information in the box provided.
   • Select Submit Authorization.
9. Repeat steps 4-8 for additional IPFs.

The following may be helpful for the department chair, director or dean in deciding whether to authorize a proposal to proceed:

• • Appropriateness
    • Is the proposed project appropriate for the PI/PD(s), the administering unit, and the campus to undertake?
    • Does it serve the University missions of expanding knowledge and educating students?
    • Is there significant graduate student involvement? If not, why?
    • If the project involves other units on campus, have the chairs and deans of those units been consulted?
    • Is the proposed project acceptable under the principles of University Regulation 4 regarding special services by members of the faculty?
  • Financial Resources
    • Are the resources required to carry out the project currently available?
    • Have cost-sharing or matching commitments been made? If so, are appropriate resources available for these commitments? If two or more units are involved, are the cost-sharing responsibilities of each clearly understood and documented?
      • SPO requires documentation of all financial cost-sharing commitments to be submitted with the proposal.
  • Space
    • Is the space needed for the project adequate and available for the full project period?
    • If additional space or facilities will be required, have appropriate commitments been made to assure their availability for the project?
      • Have the deans and chairs of other involved units been consulted?
  • Faculty and Staff Time
    • Will the principal investigator (PI)/project director (PD) and other key personnel be available throughout the proposed term of the project?
    • Are the time commitments proposed by the faculty reasonable to achieve the goals of the project in light of teaching and other University responsibilities?
      • Is release time likely to be required? If so, can it be approved?
    • Will any faculty time be committed as cost share?
      • This should be clearly indicated in the proposal budget.
    • If the project involves staff employees, are they available and properly funded for the entire project period?
  • PI Status
    • If the proposed PI/PD does not have “Regular Eligibility”, or “Eligibility by Special Request” to be a PI, as detailed in PPM 230-02, the chair/director/dean is required to seek “Eligibility by Exception” as part of the proposal package.
      • See PI Eligibility for instructions on how to request a PI exception.