Forms
Things to do Before Submission
Internal Reviews and Approvals
Informal Review
Once the proposal is written, it should be reviewed and edited by a person knowledgeable in the field or discipline (e.g., an internal colleague) to assure clarity and completeness.
Formal Review
A formal proposal to conduct research, training, or technical assistance with the support of an external sponsor represents an offer by Chapman University to perform the activities specified in the proposal. The University's review and approval process assures compliance with both sponsor and University policies.
Proposals submitted by faculty or staff are usually routed through the Department Chair or unit Director and appropriate Dean(s) or Budget Unit Head. Note that a project which involves the direct effort of faculty or staff from another unit must also be routed through the appropriate offices of that unit.
The Principal Investigator should allow ample time for the review and approval of a proposal, particularly if the sponsor has established a specific deadline. To ensure timely submission, the Principal Investigator and The Office of Research and Sponsored Programs Administration should work together during the proposal development, preparation, and approval phases.
Proposals are to be submitted to the Office of Research and Sponsored Programs Administration at least TEN working days prior to sponsor's deadline. Failure to meet this deadline may jeopardize the on-time submission of the proposal. Proposals not meeting this deadline shall be submitted with conditional approval only. In these cases, the Principal Investigator shall be responsible for making appropriate changes, or withdrawing the proposal at a later date, if subsequent review reveals that the proposal is incomplete, contains errors, inaccuracies, misrepresentations, or does not conform with University or sponsor requirements.
The Chapman University ORSPA Proposal Routing Form for Proposal Submission should be completed by the Principal Investigator and signed, in the following order (as required):
• Principal Investigator/Project Director
• Department Chair/Director
• Dean of School/Budget Unit Head
• Director, Sponsored Research/Chancellor
• Grants Accounting/Executive Vice President and Chief Operating Officer
The ORSPA Routing Form provides for an indication of the needs for added space and/or renovation, and whether a waiver of indirect costs is requested. If the space/renovation boxes are checked on the Routing Form, then the Use of Chapman University Facilities Form must be filled out and attached to the Routing Form for signature approval by the Executive Vice President and COO. If the Indirect Cost Waiver box is checked on the Routing Form, this must be approved by ORSPA on the Form, and the Indirect Cost Waiver Form must be filled out and signed by the Executive Vice President and COO.
Submission Process
Signatures
After a proposal has been reviewed and approved, the Authorized Institutional Officials (the Director of Office of Research and Sponsored Programs Administration and the Executive Vice President and COO), will sign the proposal on behalf of the University. Some sponsors require that the signature of the Principal Investigator and/or other University officials also be appended.
Duplicating and Collating
After signature, the proposal is duplicated and collated by the Office of Research and Sponsored Programs Administration. Principal Investigators are urged to assist with this process to prevent errors in collating. Completed proposals are either stapled or rubber-banded, in accordance with the sponsor's instructions; binding, if allowable, is the responsibility of the Principal Investigator.
Delivery
Completed proposals will be forwarded to the sponsor (with the required number of copies) by the Office of Sponsored Research. Please note that shipment will be done at the most efficient and cost-effective method that will allow meeting the deadline. This requires that proposals be ready for delivery No later than TEN days before the deadline. The Office of Research and Sponsored Programs Administration does not take responsibility for the on-time delivery of proposals that do not allow for this margin.
Distribution of Proposal Copies and Internal Forms
The Office of Research and Sponsored Programs Administration retains the original of the Chapman University ORSPA Routing Form, along with a full and exact copy of the final proposal (including all appendices). A copy of the proposal, accompanied by a copy of the Routing Form, is distributed to each person who signed the form.
Revisions
Revisions to the proposal budget may be necessary, often as a result of negotiations with the sponsor prior to the award of the grant or contract. Sometimes the technical proposal must also be revised.
Review and approval of budget and technical revisions should follow the same procedures as indicated for the original submission, including the use of the Chapman University ORSPA Routing Form for Proposal Submission to obtain approvals at the department and school levels.
Submission-Related Forms
Proposal Submission and Forms 