University of Rochester
EMERGENCY INFORMATIONCALENDARDIRECTORYA TO Z INDEXCONTACTGIVINGTEXT ONLY

Office of Research and Project Administration

SPONSORED PROGRAMS COMPLIANCE


7. University Sign Off Process

Administrative Responsibilities/Issues:

Each proposal must go through an internal review and approval process before submission to a funding agency. This is accomplished through use of the University's Proposal Sign-off Form. Please note there are two sign-off forms available on the ORPA website, the University of Rochester Proposal Sign-off Form and the University of Rochester Proposal Sign-off Form for Industry-Sponsored Clinical Trials. Follow the instructions on the appropriate form for completion of the sign-off process. The purpose of the sign-off form is to ensure that:

  • the proposed project can be carried out with due regard to any department limitations and that the proposed budget is adequate;

  • the University is in compliance with federal and state laws and regulations, especially with respect to completion of an annual conflict of interest disclosure form;
  • cost sharing has been approved by both the department chair and the appropriate dean's office, and a copy of the forms are included with the sign-off and proposal;
  • indirect cost sharing form, if applicable, is prepared, signed, and is included with the sign-off and proposal;

  • requests for new or renovated space have been approved by, or are being reviewed by, the appropriate persons;
  • all required reviews and signatures have been obtained;
  • the proposal meets the requirements of the potential sponsor.

Although the Principal Investigator has defined responsibilities during the University sign-off process, you as administrators will most likely play an integral role in getting a proposal through the sign-off process. Your role may only be to review the form for correct information; however, you might also have responsibility for obtaining the extra signatures required depending on whether resources from other departments and/or service centers will be utilized, (i.e., Vivarium, Biostatistics, the General Clinical Research Center, etc.).

It is important to verify that the information noted on the sign-off form is correct and that all necessary signatures have been obtained. Since some administrators and/or secretaries will assist in completing the Sign-Off Form and submit it to the PI for signature, it is EXTREMELY important that the PI should be the one to actually check the yes/no boxes and also read and understand that the information indicated is, in fact, correctly represented. The PI's signature on the form indicates agreement of all information contained on the sign-off. Of particular interest are the questions regarding cost sharing, the annual conflict of interest, and space. It is a good practice to talk with the PI about the budget and ensure that cost sharing is not a factor. Often, a PI will indicate there is no cost sharing when there is, indeed, cost sharing of University resources (i.e., salaries, equipment) or third party cost sharing (i.e., cost sharing of resources outside the University). If there is cost sharing on a particular proposal, the University's Proposed Cost Sharing Commitment Form or Third Party Cost Sharing Commitment Form will need to be completed and attached to the sign-off form.

You will also want to verify that all investigators have completed the annual conflict of interest form and that their names are listed on the sign-off form. It is important to have this information noted before the Department Chair signs since his/her signature accepts responsibility, verifies that the University is in compliance and any potential conflicts have been disclosed. In addition, it is very important that collaborating chairs have been advised of the involvement of their faculty, and that they will signify their approval of involvement of their faculty, as well as the level of effort and budget being included in the proposal for that faculty, before the sign-off form is presented to him/her for signature.

It is also important to indicate whether additional space and/or renovations are needed for this project. You should verify with the PI that this has been discussed with the Department Chair and/or departmental Space Committee, as well as the appropriate persons at the School/College, prior to the sign-off form being routed. At the medical center this will need to be reviewed and signed by the Director of Medical Center Space Planning. For those proposals originating in The College, the Dean will give the final approval.

For collaborative research projects with investigators from both the River Campus and Medical Center, a sharing of indirect-cost form must be completed. It is suggested that prior to completion of this form, contact is made with each respective Dean's Office.

The sign-off process is a critical and necessary step, and a requirement to conduct research at the institution. be the starting point of any proposal submission to an outside funding source. It allows the University to ensure compliance with federal mandates and assure that the appropriate University policies have been followed. There has been some confusion recently regarding consistency of electronic submission of proposals required by some sponsors. While some agencies require proposals to be submitted by the authorized official of the University, others allow the Investigator to submit without previous review of the electronic submission. This can be problematic with respect to incorrect format of the proposal as well as circumventing the sign-off process. As stated earlier, all proposals should be reviewed and approved before submission to a sponsor for consideration of funding.

The administrator should be provided with a fully-signed copy of the sign-off form. Copies should be disseminated to the PI, Co-I, and departmental administrator in each respective department.

 

Feedback  Next