Proposal Approval Form (PAF)

What does the PAF cover?

The PAF contains important proposal information. Project teams may need to know the following in order to complete the PAF.

Project title

The Project Title is used to identify and find the PAF/AWD in the eResearch Proposal Management (eRPM) system (e.g., in the Home Workspace, Inbox, In Progress, email notifications). The Project Title is searchable in the eResearch Proposal Management Data Set of the U-M Data Warehouse, which makes it easier to provide information to the sponsors and research community. The Project Title is limited to 256 characters.

The Long Title is required to match the title in the proposal documents being submitted to the sponsor. There is no restriction on the length of the title. Please spell out uncommon acronyms and abbreviations that would be unknown to the average person — for example, to anyone in the arthritis field, JRA means juvenile rheumatoid arthritis, but others might not recognize that abbreviation. 

Sponsor information

The sponsor is the agency or organization from which funds are being requested. When preparing a proposal, be sure to verify the correct sponsor name and obtain complete sponsor contact information, including name, email and address. It is also essential to have a copy of the sponsor’s guidelines for the specific proposal being submitted, as these outline the requirements and expectations for the application. Having accurate sponsor details and guidelines helps ensure a proposal meets all necessary criteria and is directed to the appropriate contact.

Direct versus prime sponsors

If the University of Michigan is a subcontractor on a proposal submitted by another organization, the “Direct Sponsor” is the entity from which U-M receives funds directly, while the “Prime Sponsor” is the original source of the funding. For example, if Dr. Smith at Wayne State University is applying for a research grant from NIH and subcontracts work to Dr. Doe at U-M, Wayne State University is U-M’s Direct Sponsor, and NIH is the Prime Sponsor. Dr. Doe should be listed as the Principal Investigator on the PAF.

Proposal type/class code

A class code, or proposal type, is a specific categorization that describes the nature of sponsored awards and projects at U-M. Select the most appropriate proposal type (only one), as this choice determines how the project will be classified for reporting purposes and corresponds to the M-Pathways financial tracking system class codes. For more information,visit Class Codes for Sponsored Projects.

Project abstract/statement of work

A copy of the text of the abstract being submitted to the sponsor is required to be entered into this text box. Where U-M is a subcontractor or is a multiple principal investigator (PI) on a collaborative proposal submitted through another institution, please include the U-M statement of work. If no abstract is required to be submitted to the sponsor, please include a few sentences summarizing the project. Project teams will have the opportunity to replace the text in this section to reflect the final abstract submission when the proposal is finalized if necessary.

Note: Including this in the PAF does not transfer or upload this information to the proposal. If required by the sponsor, this information will still need to be sent or uploaded to the sponsor system.

Keywords that describe the project

Three keywords which do not appear in the Project Title should be designated. This will expand the ability to search for the project in the eRPM data set and make it easier to provide information to sponsors and the University community. 

Student involvement

If students will work on this project, regardless of whether they receive compensation from the project, it should be noted in the PAF. It is important to maintain an accurate tally of the number of graduate and undergraduate students involved in research and other sponsored activities. Student involvement is a significant aspect of the educational mission of the University, providing students with valuable insights into leading-edge discoveries and first-hand experience in the application of new methodologies and techniques.

Subcontracts

Does the project include subcontracts or other subagreements to other institutions or agencies, external to U-M? Visit Subawards, Hybrid Agreements and Purchase Orders for more information and contact the Office of Contract Administration for a case-by-case examination of the proposed subcontract arrangement. 

U-M Investigators

Principal investigators (PIs)

The University recognizes two types of PIs:

U-M Principal Investigator: The individual responsible for the conduct of the research who also has administrative and financial accountability for the project/grant. This person should be a faculty member or equivalent: Instructor or higher in the faculty tenure track; Research Investigator or higher in the primary research track. It is inappropriate for overall project responsibility to be assigned to a postdoctoral fellow, research associate, house officer or staff member. PAFs showing such persons as Principal Investigator generally will not be accepted.

U-M Sponsor Principal Investigator: The employee or student who meets the eligibility requirements of the sponsor for PI. Some programs are designed for beginning investigators such as individual post-doctoral research fellowships. Then the University advisor of the fellow ultimately will be responsible for the project and should be named as Principal Investigator on the PAF, and the Fellow should be listed on the PAF as the U-M Sponsor Principal Investigator.

In some nonacademic areas, individuals with responsibility for managing a unit with its own budget may be designated as a Principal Investigator with the approval of their school/college/institute/center. 

For more information on PIs, roles and considerations for postdoctoral fellows or research associates, visit Principal Investigator: Roles and Eligibility. 

Participating investigators and co-investigators

Projects often involve a collaboration of two or more U-M investigators. U-M faculty members can be listed on the PAF as Participating Investigators.

The UM Role drop down field in the PAF includes roles such as UM Principal Investigator, Sponsor Principal Investigator, Participating Investigator with Specified Effort, Participating Investigator without Specified Effort, and Other Non-faculty Investigator.

The Sponsor Role field is a text box field where roles such as Co-Investigator, Collaborator, Consultant, Other Significant Contributor, Mentor and Advisor may be entered to match the sponsor-specific roles in the proposal.

Administrative personnel and project administration

Administrative personnel for the investigators participating in the PAF may be included. There may be one contact for the PAF, Primary Research Administrator and another contact for the award phase, Primary Post Award Contact, if the project is funded. The Primary Research Administrator is always able to edit the PAF (when it is in an editable state) and can route the PAF for approval. The Primary Post-Award Contact will be the primary post-award contact for the Award and will be listed as the single administrative point of contact, or SAPOC, in M-Pathways, if funded.

The PAF may be prepared by a research administrator or someone other than the project director. 

U-M cost sharing

With increasing frequency, sponsors require that some cost-sharing commitment is clearly included in the budget proposal and further stipulate that cost-sharing included in an award budget is a condition of the award and is subject to audit. It is important, therefore, that cost-sharing commitments be clearly identified on the PAF.

Cost-sharing commitments must include appropriate project/grant numbers and department IDs, with appropriate signature approval. Except in very special circumstances, the project/grant should not be a project/grant from another outside sponsor. When cost-sharing salaries, the project/grant number being used must be compatible with the type of activity involved in the project being submitted for funding. For example, when cost sharing on a research grant, it would be inappropriate to use a project/grant which implies a commitment to a non-research activity such as teaching. If a non-general fund account is used for salaries, that project/grant number should also be shown on the fringe benefits line and signed. No project/grant number need be provided for imputed indirect costs that may be included as cost sharing. 

Fringe benefits should be applied to the salary amounts to be cost-shared and added to the U-M Sources column. Indirect costs on cost-sharing commitments should be calculated at the same rate that is being proposed to the sponsor. 

For more information, visit Cost Sharing Overview and Requirements. 

Proposed budget

The amount requested for the full proposal period should be included in this section and should reflect the budget in the proposal to the sponsor. Indirect costs should be included at the appropriate negotiated rate (e.g., research, other sponsored activities, on-campus, off-campus, etc.). 

For more information, visit Budget and Cost Resources. 

Proposed project time period

Always review the sponsor’s instructions to determine the correct period to include, or consult with an ORSP officer if unsure. If additional years are awarded after the initial PAF is awarded, a new PAF capturing the additional years is required.

University space

It is the responsibility of the University to provide adequate space for the duration of any sponsored project. When a department chair, dean or director (or anyone responsible for assigning space within a University unit) indicates in the eRPM PAF that space is available and specifies the building and rooms, the space commitment serves two important purposes. First, it indicates to the sponsor that adequate space is available in which to conduct the proposed research or other sponsored activities. Second, the designation of a specific site for the sponsored project serves as a basis for the drug-free workplace certification, required in all federally sponsored projects.

The lead time involved in submitting proposals may dictate that units include the phrase “or equivalent space, as available.”

Sponsors may seek assurances that adequate space will be provided by the University to carry out the proposed research during the duration of funding. The sign-off by the deans, directors or their designees provides such assurances, and in turn, these commitments are provided to sponsors when the University receives inquiries in this regard. A careful review of this section is, therefore, essential.

Faculty may have appointments in more than one department and may initiate a grant proposal in one department which involves space in another department. It is especially important that the appropriate space approval is obtained in such cases because it also indicates that the department whose space is involved approves submitting a grant through another department. Projects may involve individuals in two or more departments. All relevant space allocations should be documented on the PAF and proper departments must approve these space commitments.

Many proposal applications include a section on available facilities and resources. The information on the PAF should correspond to that section and include all the laboratory space indicated.

For projects involving space in the University hospital buildings, approval must be obtained from the appropriate University Hospital Administration office in addition to approval of the head of the department to which the space is assigned.

For more information, visit Space Analysis.  

Work off University property

Indicate if the project will be conducted off University property. If any work is to take place in a foreign country, please list the country. For more information, visit the OVPR International Engagement page and ORSP Foreign Components in eRPM page.

Managed affiliates 

Visit Managed Affiliates to see if U-M has an unfunded agreement with the entity. If so, follow the instructions on that page to enter the information correctly.

Research activities 

Certain activities may require further registration/inspection/approvals by appropriate institutional committees for the certification of compliance with federal and state regulations. The establishment of a project/grant may be delayed until approvals are granted for the use of the following activities:

Human research: For projects involving human research, an application must be submitted to the appropriate Institutional Review Board for approval before the research is started. The approval process is handled through eResearch. See IRBMED and IRB-Health Sciences and Behavioral Health Sciences to identify the appropriate IRB and learn more about obligations for protecting human subjects.

Human pluripotent stem cells: Approval must be obtained from the University Human Pluripotent Stem Cell Research Oversight (HPSCRO) Committee for any proposed activity involving the use of human embryonic or induced pluripotent stem cells. Visit Human Pluripotent Stem Cells for more information.

Vertebrate animals: Approval must be secured from the Institutional Animal Care and Use Committee (IACUC) for any proposed activity involving vertebrate animals during the proposed project period. 

Recombinant DNA: Specify any recombinant or synthetic nucleic acid modules (rDNA or SNA) that will be used in this project. 

Radioisotopes in or on humans: The Radioactive Drug Research Committee (RDRC) and the Subcommittee on Human Use of Radioisotopes (SHUR) approves such use. Learn more about RDRC/SHUR Committees. 

Radioactive materials: Authorized users of radioactive material must be approved by the U-M Radiation Policy Committee (RPC) by one of the conditions of the University’s license issued by the Nuclear Regulatory Commission. The RPC is responsible for evaluating and approving the users, facilities, protocols and policies related to the use of radioactive materials and radiation-producing devices. Environmental Health and Safety is responsible for ensuring the radiological safety and regulatory compliance of such uses.

Human body substances: Specify any human body substances used in this project, including blood products, all body fluids, organs, tissues and pathology materials. Contact Environmental Health and Safety (EHS) at 734-763-6973 or [email protected] for more information.

Infectious agents: Specify any agents to be used that can produce an infectious disease in plants and animals (including humans). U-M EHS offers guidelines on Infectious Biological Agents and Recombinant DNA.

Select agents: Federal Select Agents and Toxins are highly regulated biological agents and toxins that have the potential to pose a severe threat to both human and animal health, to plant health, or to animal and plant products. Specify when select agents or toxins may be used even if using amounts at or below the Permissible Toxin Amounts. 

Non-financial agreements: Specify any non-financial agreements such as material transfer, data use, non-disclosure, confidentiality, export control or teaming agreements that are related to the proposal.

Intellectual property disclosure: Are there trade secrets, business data, or technical or scientific information that need to be included or protected in a proposal? Contact Innovation Partnerships for help with these questions.

Classified research: If a sponsor intends to impose a restriction, specify in the PAF if there will be any enhanced security requirements for this project (e.g., CUI, FISMA, or classified research). Restrictions fall into standard, nonstandard and classified categories. 

Investigator signatures and responsibility

PEERRS training: Program for the Education and Evaluation of Responsible Research and Scholarship (PEERRS) offers online regulatory compliance and responsible conduct of research training for University of Michigan faculty, staff and students. PEERRS Training Requirements specify which training courses to complete. 

Conflict of interest: Investigators listed on a PAF are required to disclose as an outside interest certain personal, professional, commercial or financial interests held by themselves or their family members in the external entity that sponsors the research or in entities directly related to the sponsored project for a conflict of interest review and determination.

The PI is responsible for ensuring that each investigator engaged in the proposed research has either a) certified that he or she does not have a significant financial interest or b) has disclosed such interest(s) as part of the PI Sign activity. For more information, visit Conflict of Interest (COI).   

International engagements: The full and transparent disclosure of active international engagements is critical, especially as it relates to: 1) participation in a foreign government talent recruitment program, 2) holding an appointment or affiliation with a foreign entity/institution, or 3) receiving resources from a foreign entity that support or are related to any of the principal investigator’s research endeavors.

Attestation: When signing off on a PAF, the PI certifies that all submitted statements and information are true, complete and accurate, and agrees to update disclosures as required by U-M or the sponsor. They acknowledge responsibility for conducting the project and all associated reporting, and ensure proposed activities do not overlap with other funded work unless permitted. The PI accepts all obligations outlined in the proposal and any resulting award — including compliance with U-M and sponsor policies on safety, intellectual property and safe lab practices — and agrees not to use federal funds to influence the award’s outcome. Lastly, the PI commits to proper intellectual property disclosure, including notifying Innovation Partnerships of undisclosed patent applications naming them as inventor.

Department and school/college approvals 

Routing for approval occurs electronically. Reviewers provide electronic signatures.

Before the PAF is sent to ORSP for processing, signature approvals must be obtained from the PI, their department head, heads of all other departments whose faculty are involved in the project, and the dean of the school or college in which the PI holds their appointment. Note the following:

• Signatures of the department head and dean (or their designees) indicate approval of the scientific content and method as well as of the administrative and financial content.
• Department and school/college approval are required for everyone stated as having an effort on the project (either to be charged to the sponsor or shown as a cost-sharing commitment or U-M other commitment such as unspecified faculty effort beyond what is budgeted for and accounted for in the proposal). 
• Many Medical School faculty also have appointments at the Veterans Administration Hospital (VAH). Any project involving effort of faculty paid by VAH must be approved by the associate chief of staff for research at VA Medical Center before the application is submitted for the dean’s approval.
• Departments receiving a PAF for signature should not make any alterations without contacting the originating department. That can be handled within eRPM.
• After the dean has signed the PAF and the PAF is finalized, it is routed to ORSP for review and approval on behalf of the University.

Signatures for participating units

The PAF must be signed by the appropriate department heads and unit directors of the Participating Investigators and by the designated representatives of the offices of the deans. The signatures of these designated representatives signify their endorsement of any proposed distribution of direct costs and indirect cost recoveries.

Sub-project/grants must be established after an award is received.