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Proposal Approval Record

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Revised 9/2019
MEMORANDUM
Use of the Proposal Approval Record
To: Vice-Presidents, Chancellor, Associate Vice-Presidents, Deans, Directors, Faculty, & Administrative Staff
From: Director, Office of Sponsored Programs (OSP)
Date: Revised June 14, 2017
In accordance with OSP Policy #7 – Proposal Review, Approval, Signature, and Submission on behalf of NSU
, this Memorandum defines
procedures concerning the required use of the Proposal Approval Record (PAR) in conjunction with ALL proposals seeking external
funding in support of sponsored projects, regardless of funding source. The PAR should be submitted with the proposal and agency
instructions to the OSP at least five business days prior to the agency due date.
I.
Purpose
The utilization of the PAR will standardize and document the review and approval of ALL proposals to external funding agencies
which seek financial support for various r
esearch, training, and community service activities directly related to the University’s
mission and goals.
II.
Scope
A.
The PAR is the official document that, when completed and executed, provides the necessary and formal documentation of
University approval and authorization for spe
cific research, training, community service, or other similar proposals for
forwarding to potential sponsoring agencies in order to seek and obtain project external funding support. It is to be utilized
by all college
s/centers/departments throughout the University.
B.
External funding support includes all external agencies, such as; federal, state, and local government; private and public
corporations; and foundations. Support for University development initiatives is not included in this grouping.
III.
General
A.
The Principal Investigator (PI) or Project Director (PD) is responsible for the initiation and completion of the PAR. Each
section is self-explanatory.
B.
The PI/PD is to complete the PAR:
Section I (A, B, C): Proposal Programmatic Data,
Proposal Financial Data, and Proposal Compliance Data.
Section II: Cost Sharing Approval (signatures may be affixed electronically using digital ID)
Section III: Authorizing Approvals (signatures may be affixed electronically using digital ID)
C.
The PAR includes basic instructions for form completion. It must be noted that all proposals must be authorized for
submission to the sponsoring agency via complet
ion of the PAR. Both the PI/PD and the Dean or Unit Head, and Chancellor
if applicable, must sign the document.
D.
The OSP reserves the right to make non-substantive updates to the PAR for alignment with final proposal submission.
IV.
Specific Provisions
A.
PIs/PDs are encouraged to call the OSP as questions arise in the completion of the PAR. The PAR was designed for ease of use
in meeting the basic criteria for proposal review and approval.
B.
Under Section I-A, Proposal Programmatic Data, each of the requested items of information is self-explanatory. Note that
under Collaborating Organizations, the name an
d contact party is requested if NSU is the lead applicant and a substantial
portion of the proposed work will be conducted by the collaborating organization and may result in a subaward.
C.
Under Section I-B, Proposal Financial Data, indicate the funding requested in total cost format. Note: Waiver of F&A costs
will require additional internal forms to be completed, as outlined.
D.
Under Section I-C, Proposal Compliance Data, indicate, as appropriate, which compliance areas are applicable. This will aid
in the review process and alert appr
opriate parties as to what assurances/certifications are required in order to submit the
proposal. Note: It is the responsibility of the PI to ensure all necessary approvals are obtained prior to engaging in work on
the spo
nsored project, if funded.
E.
Under Section II, Cost Sharing Approval, the PI complete if the project will include cost sharing by NSU. Each Dean
committing resources must sign (may be affixed electronically using digital ID) indicating their approval.
F.
Under Section III, Authorizing Approvals, the PI/PD is required to complete items 1 and 2, as well as item 3 for proposals
from HPD colleges. Item 4 will be completed by the OSP.
NOTE: Unfunded proposals w
ill be retained by OSP for one year after the submission date.
Office of Sponsored Programs
3301 College Avenue
Fort Lauderdale, Florida 33314
Revised 9/2019
PROPOSAL APPROVAL RECORD
INSTRUCTIONS
1. The Principal Investigator (PI) or Project Director (PD) is responsible for the completion of this form.
2. This form MUST be forwarded to the Office of Sponsored Programs (OSP) along with proposal documents and any agency
instructions (RFPs, RFAs, etc.) at least FIVE BUSINESS DAYS PRIOR to the proposal due date.
3. Signatures in Section III of the Dean or Unit Head, and where applicable the HPD Chancellor, confirms review and authorization
of the proposal/budget for submission. Upon proposal review and approval, OSP will complete final processing.
SECTION I – Proposal Data
A. Proposal Programmatic Data
College/Center/Department:
PI/PD:
PI Proposed Effort:
%
Other Named Personnel Committing Effort to the Project (NSU employees only): An effort commitment, expressed as a
percentage of total effort, is the time a person has agreed to work on a sponsored project, regardless if the time is compensated from the
sponsored project or cost shared by the university. If a person is named in the proposal but his/her effort is not quantified, please note as 0%.
Named Personnel
Role
Effort
College/Center/
Dept
Key Named
Personnel Signature
Dean’s
Signature
%
%
%
%
%
*Obtain Dean’s signature ONLY when faculty/staff outside the PI’s College/Center are involved.
Agency Due Date:
Submission Method:
Proposal Type:
Proposal Title:
Proposed Start Date: End Date:
Instrument of Award (if funded):
EXTERNAL SPONSOR (Entity
issuing the award to NSU, if funded):
PRIME SPONSOR (Only if NSU will be receiving the award through a subcontract from a pass-through entity):
State CSFA#:
YES NO
Is this project being submitted to another sponsoring agency?
If yes, please list the agency or agencies:
Phone
Will this be a subaward?
YES
NO
COLLABORATING ORGANIZATIONS (if applicable)
YES NO
FOR OSP USE ONLY:
Proposal ID:
After-the-fact PAR: Yes No
Private
NO
Funding Source: Federal CFDA#:
Is this submission resulting from a PFRDG award?
Local Govt
YES Please provide NSU Index #:
Funding Allocation:
Contact Person
1.
2.
3.
4.
YES NO
YES N
O
5.
YES
NO
Office of Sponsored Programs
3301 College Avenue
Fort Lauderdale, Florida 33314
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C.
1.
Proposal Compliance Questions
Does the project involve research? YES (If “yes”, complete 1a. below) NO
Research is defined as a systematic investigation, including research development, testing and evaluation, designed to develop or
contribute to generalizable knowledge. Some service/training projects may involve research. For additional guidance, contact the IRB
office at x25369 or irb@nova.edu.
Not a federally-funded clinical trial Phase III
Revised 9/2019
B. Proposal Financial Data
1. Total Project Funding
External Sponsor
NSU Cost-Share (complete Section II)
Other Source*
Total Direct Costs
Total Indirect Costs
Total Project Costs
Indirect (F&A) Cost Rate**
S & W MTDC TDC
* Matching resources from a third party must be documented via a duly authorized letter of commitment from the entity.
** If indirect (F&A) costs are waived, you must submit the Waiver of Facilities & Administration Costs on Sponsored Projects
form http://www.nova.edu/osp/forms/waiver_of_fa.pdf
2. Are any faculty/staff included in the proposed budget subject to federal salary cap limitations? YES NO
If yes, the proportional amount of salary (based on proposed effort) of each faculty/staff member in excess of the cap must
be covered by the College/Center/Department. Note: This applies, but is not exclusive to: NIH, SAMHSA, AHRQ, CDC and
HRSA. The current cap is available at http://www.nova.edu/osp/resources/nsu-fact-sheet.html .
1a. Identify the type of research (check one):
Basic Research – conducted to acquire new knowledge without any particular use or application in mind
Applied Research – conducted to gain the knowledge or understanding to meet a specific, recognized need
Development – systematic use of the knowledge or understanding gained from research directed toward the production of
useful materials, devices, systems, or methods including the design and development of prototypes and processes
2. Does the project involve human subjects research? YES (If “yes”, complete 2a. and b. below) NO
A human subject is a living individual about whom an investigator conducting research obtains (1) data or samples through intervention
or interaction with individual(s), or (2) identifiable private information. Before beginning any activities involving human subjects research,
you will need Institutional Review Board review and approval. For guidance, please contact the IRB office (x25369 or irb@nova.edu ) or
your center/college representative.
2a. Will the research project involve performing clinical procedures outside of routine care? YES NO
2b. Is this a federally-funded clinical trial? (For definitions, go to http://grants.nih.gov/grants/glossary.htm)
Phase I Phase II Phase IV
3. Does the project involve research using animals? YES NO
Before beginning any activities involving animal research, you must have IACUC review and approval. If “yes” above, please
contact the IACUC Chair at NSUIACUC@nova.edu for guidance and authorization.
4. Does the project involve recombinant DNA and/or other biohazardous agents? YES NO
If “yes”, you will need appropriate Biosafety review/approval prior to beginning any activities involving these materials.
Please contact the Institutional Biosafety Committee at IBC@nova.edu for guidance and authorization.
5. Does the project involve use of radioactive materials? YES NO
If “yes”, you will need appropriate review/approval of the Radiation Safety Officer prior to beginning any activities involving
these materials. Please contact RSO@nova.edu for guidance and authorization.
YES NO
YES NO
YES NO
YES NO
YES NO
6. Does the project use human stem cells of any kind? YES NO
If “yes”, you will need Embryonic Stem Cell Research Overview (ESCRO) Committee review/approval prior to
beginning any research activities. Please contact ESCRO@nova.edu for guidance and authorization.
7. Will the project:
7a. entail research involving Department of Defense funding or a military application?
7b. restrict the publication or dissemination of information?
7c. be performed at or involve collaboration with a foreign location?
7d. prohibit or restrict participation by foreign nationals?
7e. involve export of items to a foreign location?
If the answer to any question in 7a. – 7e. above is “yes”, please contact ExportControl@nova.edu.
%
0
0
0
Revised 9/2019
SECTION II – Cost Sharing Approval Form
Complete this section ONLY if NSU will provide cost-sharing to the project. Refer to OSP Policy #37 – Cost Sharing for
more information. Do not include matching/in-kind from third parties in the table below.
Description
(Salaries by
position, Fringe,
etc.)
Cost Sharing Amounts (by year)
TOTAL
College
/Dept
Index
# to
Charge
Dean’s
Signature*
Year 1
Year 2
Year 3
Year 4
Year 5
Totals
*Obtain Dean’s signature ONLY for cost share coming from outside the PI’s College/Center. Signature of the PI’s Dean below constitutes approval of cost
share provided by the PI’s College/Center.
SECTION III – Authorizing Approvals
Principal Investigator/Project Director:
1. I certify that the above information and content of the proposal are true, accurate and complete; that the budget reflects all
appropriate expense items; and that the project will be performed in compliance with university and sponsor policies, if
funded. I certify that I will obtain all necessary reviews and approvals related to human subjects, animals, biosafety, radiation
safety, or export control if applicable to my project, prior to initiating any research activities.
Date:
Signature, Principal Investigator/Project Director
PI’s Dean or Unit Director:
Personnel, space, and facilities are available to conduct/support the project as proposed and PI/personnel are
appropriately qualified to conduct the work. The project is appropriate to the goals and objectives of the College/Unit.
Cost sharing commitments are approved and will be met by the College/Unit if the proposal is funded. This proposal is
approved:
Date:
Signature, Dean or Unit Director as applicable
Health Professions Division Applications Only:
I have reviewed this proposal and find it meets university/HPD goals and objectives:
Date:
Signature, Chancellor, Health Professions Division
Office of Sponsored Programs Use Only
To the best of my knowledge, this proposal meets programmatic, fiscal, and compliance requirements as stated by the
sponsoring agency and Nova Southeastern University policies and procedures for proposal submission to external funding
sources. I have this date signed the proposal and authorized its submission to the sponsoring agency:
Date:
Signature, Director, Office of Sponsored Programs
2.
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Completed 19 November 2019

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