Proposal Responsibilities

of Principal Investigators, Financial Administrators, Chairs/Directors, Deans/University Administrators, and the Vice Provost for Research in the preparation, review, and approval of proposals for sponsored programs.

Principal Investigator (PI/CoPI)

Review sponsor's program guidelines and solicitations to verify institutional eligibility.
Develop proposals in compliance with university, sponsor, state and federal policies and regulations. The technical description of the work, narratives included in support of that description (e.g., budget justifications) and the ability to execute fall to the PI.
Provide the Office of Sponsored Programs (OSP) with a copy of the proposal guidelines (especially those with special requirements) in advance of the submission deadline for review. Contractual exceptions and representations and certifications must be handled by OSP and completed prior to submission day.
Identify key personnel and provide reasonable estimate of the effort required to carry out the statement of work.
Provide adequate information to evaluate requests for faculty leave/reduction in responsibilities related to the proposed project such as Scheduled Semester Research Leave (SSRL), Fellowship Leave, Course Buyout, etc.
Identify resources required to complete the proposal including personnel, facilities, subrecipients, costs to charge the sponsor and resources to be committed by the PI, department, college, or University.
Identify compliance requirements (i.e., human subjects, animals, safety concerns, export requirements and personal conflicts) to be managed in performance of the project.
Complete all required disclosures of Financial Interests and Outside Activities prior to submission of the proposal.
Certify to the veracity and integrity of the full and complete proposal including technical and financial commitments.
Ensure completion by PI and/or project team of all training required for compliance with university, sponsor, state and federal policy and regulations.
Ensure the proposal is completed with sufficient lead time to allow for the full and complete review by OSP, Chair/Director, Dean/VP, and VPR outlined below.
Ensure that the responses in the proposal routing form match the intent of the opportunity.
Ensure that expenses in the budget match the responses in the proposal routing form (i.e., if graduate students are budgeted then the question “Are graduate students budgeted” is marked as “yes.”)
Prepare responses to Sponsor inquiries during review process (e.g., Just-In-Time [JIT], revised budgets, revised scope of work, etc.)

Departmental Financial Administrators

Support the PI(s) and the Office of Sponsored Programs in the development of budgets by verifying personnel and student rates and obtaining cost estimates for supplies and equipment.

Chair/Director

Oversee PI and department administration in the preparation and submission of the proposal in accordance with university and sponsor policies, and state and federal laws and regulations.
Work with the Dean/University Administrator, VPR and W&M Conflict of Interest Committee as appropriate to identify, manage, and resolve any perceived or potential conflicts of interest that may arise from the proposed scope of work. Review to determine that any proposal budget submitted by the department contains all costs necessary to complete the proposal activities, as costs not identified and committed as cost sharing or simply not included will be borne by the department. Review and approve requests for faculty leave/reduction in responsibilities related to the proposed project such as Scheduled Semester Research Leave (SSRL), Fellowship Leave, Course Buyout, etc., including requests for institutional support.
Alert OSP and VPR if PI or other member of the project team is not in good standing or unable to carry out any aspect of proposed activities for any reason.
Coordinate with the Dean/University Administration regarding review of PI eligibility of a non-tenure track faculty member to serve as PI on University submissions, if applicable.
Review and, if applicable, approve any cost sharing committed in the proposal.
Review and, if applicable, approve commitment of any additional Department/Center resources necessary to the proposed project (e.g., equipment, long-term maintenance of equipment, space, facilities improvements, computing resources, animal care, personnel, housing, administrative support, and other forms of departmental support.).
Establish departmental procedures supporting University policies and procedures for reviewing proposal development and routing.
Provide necessary resources for faculty to complete research under the auspices of the department’s mission.

Dean/University Administration (Organizational Approvers)

Work with the Chair/Director, VPR and W&M Conflict of Interest Committee as appropriate to identify, manage, and resolve any perceived or potential conflicts of interest that may arise from the proposed scope of work
Certify that any proposal submitted within the college contains all costs necessary to complete the proposal activities.
Review and approve requests for faculty leave/reduction in responsibilities related to the proposed project such as Scheduled Semester Research Leave (SSRL), Fellowship Leave, Course Buyout, etc., including requests for institutional support.
Review and, if applicable, approve any cost sharing committed in the proposal.
Review and, if applicable, approve commitment of any additional School/Unit resources necessary to the proposed project (e.g., equipment, long-term maintenance of equipment, space, facilities improvements, computing resources, animal care, personnel, housing, administrative support, and other forms of departmental support.).
Alert OSP and VPR if PI or other member of the project team is not in good standing or unable to carry out any aspect of proposed activities for any reason.
If applicable, review and approve the PI eligibility of a non-tenure track faculty member to serve as PI on University submissions
Establish School/unit procedures supporting University policies and procedures for reviewing proposal development and routing.
Clearly delineate the school/unit expectations in meeting the department/center/unit administration responsibilities for proposal development and routing.
Provide direction, resources, and oversight to ensure that the school/center/unit administers sponsored programs in accordance with university and sponsor policies, and state and federal laws and regulations.

Vice Provost for Research (VPR)

Establish University policies and procedures for reviewing proposal development and routing.
Provide direction, resources, and oversight to ensure that the University administers sponsored programs in accordance with university and sponsor policies, and state and federal laws and regulations.
Review proposal for research compliance requirements (i.e. human subjects, animals, safety concerns, intellectual property, and export requirements) to be managed in performance of the project.
Work with the Chair/Direct, Dean/University Administrator, and W&M Conflict of Interest Committee as appropriate to identify, manage, and resolve any perceived or potential conflicts of interest that may arise from the proposed scope of work.
Certify that any proposal submitted contains all costs necessary to complete the proposal activities.
Review indirect costs requested and ensure the rate conforms to the University’s F&A Cost Policy and/or approve/deny requests for reduction in F&A rate.
Review and, if applicable, approve any cost sharing committed in the proposal.
Review and, if applicable, approve commitment of any additional University resources necessary to the proposed project (e.g. equipment, long-term maintenance of equipment, space, facilities improvements, computing resources, and other forms of institutional support.).
If applicable, review and approve the PI eligibility of a non-tenure track faculty member to serve as PI on University submissions in units that report to the VPR.