Instructions for completing the Internal Approval Form
PLEASE NOTIFY YOUR RESEARCH ADMINISTRATOR
AND/OR COLLEGE GRANTS OFFICER WHEN PLANNING TO
SUBMIT A
PROPOSAL.
This will help facilitate the process.
Purpose of "Internal Approval Form" (IAF);
provide information to University
record University approvals and commitments
provide required certifications
Submit one form only per proposal
Please complete the form as
fully and accurately as possible. For non-competing or continuation proposals,
if there are no changes from the original proposal submission only items with a 
must be completed.
Each person named on the IAF, each faculty member included in the project
and any other person responsible for the design, conduct or reporting of the research must also complete a "Staff/Faculty
Disclosure of Financial Interest" Form. This form may be obtained at the
above website.
INSTRUCTIONS
BLOCK 1: PI and Key Personnel:
Principal Investigator: This is the one individual who is
primarily responsible for the project. NOTE: Only a full-time regular employee
of the university may be a PI. When a faculty member is sponsoring
a fellowship/dissertation grant, the graduate student or post-doctoral fellow
will be listed as PI and the mentor as co-PI.
The Physical location of
Proposed Activity (building) is where the work is being done.
If the unit primarily
responsible for this proposal is other than the PI’s prime department,
specify the alternate unit by department code. For instance, if a center will
have fiscal and administrative responsibility for the project rather than the
PI’s academic department.
Co-Investigator and Key Personnel: List each
person who appears in the proposal as a Co-PI, as well as other
Attach additional sheets if the list of key personnel exceeds the allotted space.
Title of Project – use complete title as submitted to sponsor.
Sponsoring Agency –provide as much detail as possible. This information
is used to mail the proposal and for follow up with the sponsor (be sure to use a street address only and include
phone/fax). Certified mail will be delivered to a PO Box but courier service
packages will not.
BLOCK 3:
Budget Period and Request:
This is for funds requested from sponsor (only)
Current Budget Period & Current Period Request for new
proposals is for the first year request of funds from the sponsor. For
non-competing continuations, it is for the amount of funds requested for that
period of time.
Total Project Period & Total Project Request is for all
proposed years.
BLOCK 4: Proposal is:
New – a proposal submitted for first time
Competing Renewal – continuing segment of the same project.
Non-competing Renewal/Continuation – within a segment of an existing project
[include
Supplemental – additional $ for existing project i.e. NSF-REU
Response to RFP/RFQ# - specific solicitation or announcement for proposals
Activity is:
#1: Indicate the functional nature of project.
#2: Indicate the functional nature of the project in terms of the four major
categories (Instruction, Research, Public Service, Other sponsored activity).
The nature of the activity corresponds to the Facilities and Administrative
(F&A) rate to be applied to the proposal. It also determines reporting hierarchy within SAP.
BLOCK 5: Project
Involves:
Does this Project Involve any of the Following?
Provide the most recent approval dates for use of human subjects, animals, biohazards or radioactive materials/radiation; if the
protocol has been submitted for approval but has not completed the process,
indicate "pending." NOTE: For more information refer to www.research.uky.edu/ori/, ehs.uky.edu/biosafety/ and ehs.uky.edu/radiation/welcome.html.
Approvals must be finalized prior to starting the project.
Will this project require
any of the following:
Additional Equipment: Federal
regulation A-110 requires universities to "avoid purchasing unnecessary
items."
Alterations and Renovations:
Information provided for chair/dean planning.
Overload: Refer to
Administrative Regulations (AR) II-1.1-1 for guidance on policy and preparing a justification. Link www.uky.edu/Regulations/AR/ar032.pdf
Subcontract/Consultants: If a
non-UK individual or organization is expected to work/receive funds on this
project it may be necessary to include additional documentation in the proposal
(contact your RA for sponsor and University requirements).
Instructions for the back of the Form
BLOCK 6:
Keywords
List key words & check appropriate areas: This information is used to
identify the subject matter of the proposal.
BLOCK 7
Proposal Budget Summary:
This is an abbreviated format that matches the detailed budget in the
proposal. The first column summarizes the total funds for all years being
requested from the sponsor. In the abbreviated format, "Personnel" and
"Equipment" are designated on separate lines. "Other Direct
Cost" includes direct costs not already included in personnel or equipment such as travel,
supplies, patient care or subcontracts, etc.
All cost sharing included in
the proposal, whether it is mandatory, voluntary or necessary due to sponsor
limitations on F&A costs or other costs, is recorded on the appropriate line
in the center "University" column. On the lines below indicate the
source of cost share (i.e. department or college account number) and attach commitment letters from other sources. To complete the
"Total" column, add the "Sponsor" and "University"
columns.
If there is a limit on F&A costs, address the limitation on the first line under the budget. Attach a copy of the sponsor’s written policy to the IAF. Providing documentation of sponsor policy will facilitate the signature process.
NOTE: If the proposed project award is anticipated to be a fixed-price award then the "Fixed-Price Agreement Budget Form", Column A must be completed in lieu of the budget summary block. Attach the fixed-price form to the IAF. (Signatures on the Fixed-Price Agreement Budget Form are not required at this step.) Refer to: www.research.uky.edu/ospa/forms.html
BLOCK 8: Incentive and
Enhancement Funds
The University of Kentucky returns a percentage of the actual F&A costs to
the units which generated the funds. These
are referred to as "incentive" funds. This block allows multiple units
involved in a project to share incentive funds. There are no formal guidelines on the
distribution; it is decided on a case-by-case basis by the participating units.
BLOCK 9: Certifications
and Signatures
The Principal Investigator, Co-Investigators, and key personnel (faculty
identified in the budget detail are considered key personnel) must all sign the IAF. Approval signatures
should be obtained in this order: each department chair or center director and dean. The Vice President for Research will sign for units reporting to the VPR and when that office is providing cost sharing support for the project. The OSPA director reviews and signs on behalf of the VPR if the proposal requests less than the full F&A rate, cost sharing commitments exceed 25% of the total direct cost requested from the sponsor, or the project is a clinical trial.
If
the PI and Co-Is are in different departments, the Chair from each department
must sign the IAF. The same applies to the Deans or Directors and if different
colleges or centers are involved. Faculty
who are either PIs or Co-Is on proposals submitted by a Center or Institute must
also obtain chair and dean signatures of their academic appointment.
Investigators
or Key Personnel with joint appointments in differing departments and/or centers
need to secure signatures from the department, college, or center
representatives for all units in which the individual holds an appointment.
A fully signed IAF is required for all proposals, non-competing applications which have no changes from the original submission are the only exception. (Examples of changes requiring a revised form are changes to incentive distribution, total project budget amounts were not included on the original IAF, reduction in award or 25% or more, new tasks added by the sponsor). Non-competing application with no changes, require only PI and Co-I signatures.
IAF instructions rev10.07