Directions for Completing the Internal Review and Approval Form
Each grant proposal must be accompanied by a completed and approved Internal Review and Approval
Form (IRAF) and submitted to Sponsored Programs prior to submission to external agencies. Proposals
and the IRAF are due in the Sponsored Programs office at least five days prior to the submission deadline.
For projects with no proposals, the IRAF must be completed and submitted to Sponsored Programs before
sponsors initiate award agreements. Please keep in mind that project directors do not have the authority to
submit proposals or budgets to external agencies without prior approval from Sponsored Programs. If
you have questions as you complete the IRAF, please do not hesitate to contact Sponsored Programs.
Deadline: Specify the date on which the proposal is due.
Submission Method: Indicate the mode of submission for this proposal. If the proposal must be
mailed in hard copy, indicate whether it must be postmarked or received by the
deadline and how many originals and copies are required. If the proposal must
be submitted through an electronic submission system, indicate which system is
required for the submission. Sponsored Programs will use this information to
prepare your proposal to be sent to the sponsor. Copies required will be made
by Sponsored Programs after all approvals are in place.
Sponsor Agency: The sponsor agency is the organization to which the proposal will be submitted.
List the sponsor’s name, complete mailing address, and the name of the contact
person to whose attention the proposal should be sent. Sponsored Programs
will use this address for mailing the proposal. In order to ensure properly
setting up the agency in Banner, the address is required regardless of whether
the proposal is mailed or submitted electronically. If EKU is a proposed
subrecipient on an award to another institution, indicate the name of the prime
sponsor, the agency to which to the other institution will submit the proposal.
Type: Indicate the form in which the potential award will come to the university. Will
it be a grant, contract, Memorandum of Agreement, or subaward from another
agency’s grant award?
Status: Indicate whether the proposal is being submitted for a new award or
continuation of an existing awarded project. Generally, a new award number
indicates a new award. The revision category is used for proposals previously
submitted to sponsors that require a significant level of budget and/or project
revisions for re-approval or for projects with a change in project director.
Purpose: Check the box that best describes the scope of the proposed project. Teaching
includes all teaching or instructional activities. Research includes activities that
are specifically organized to produce research outcomes. Service includes
projects that provide non-instructional public service. If the project is for more
than purpose, please indicate the purpose for the majority of project activities.
Source of Funds: Indicate whether the funds originate from federal, federal flow-through, state,
local, or private funds. Be aware that the agency to which you are submitting
the proposal may not always be the original source of funds. Federal flow-
through funds are funds that originate from federal sources, but “flow through”
another agency so that the University’s award is made by a sponsor other than a
federal agency. For example, many state agencies accept proposals for funds
that originate from federal sources.
If the source of funds is federal or federal flow-through, you must list the
Catalog of Federal Domestic Assistance (CFDA) number associated with those
funds. The CFDA number is typically listed in grant guidelines. You can also
search for the CFDA number at www.cfda.gov. If you are unable to locate the
number, the sponsor agency should be able to provide it.
If the proposal is to a federal agency, please indicate whether it is subject to
Executive Order 12372 Review. This means that a copy of the proposal must
be submitted to the Kentucky State Clearinghouse for intergovernmental
review; Sponsored Programs will complete the online submission for this
purpose. Proposal guidelines will reference E.O. 12372 review requirements if
applicable. If you have questions about whether a project is subject to review,
feel free to contact Sponsored Programs.
Contact Information: Provide a name and telephone number for an emergency contact. The
Sponsored Programs office will use this number to contact someone if last-
minute questions or concerns arise with regard to this proposal. The emergency
contact can be a coworker who is familiar with the details of your project, a
supervisor, or your own home or cell phone number.
List all contact information for the EKU Project Director and Co-Project
Director (if applicable). Do not list Program Managers or other staff who do
not hold Project Director status and do not list Project Directors at other
institutions in this section. Provide the responsible organization code; this
cannot be a grant organization code and is usually the org of the project’s
director’s home department.
Project Details: List the title of the project. This title should match the title listed on the
proposal being submitted to the sponsoring agency.
Provide a brief description of the purpose of the project.
Choose yes or no for each of the statements. The first three statements concern
the resources needed for the project. The next three statements concern
reassigned time and overload and summer pay for faculty working on the
project. The last three statements indicate whether the project will pay an entity
outside the university to perform work on the project. Links are provided to the
Vendor/Subrecipient Determination Form and the Employee/Vendor
Determination Form for reference purposes. These determinations are essential
to developing an appropriate proposal budget and therefore must be made prior
to the submission of the proposal. If the appropriate classification cannot be
determined based on the information provided in the proposal narrative,
Sponsored Programs may request that project directors complete the
appropriate determination forms.
Research Compliance: Indicate whether the project includes human subjects and/or animal subjects. If
the Institutional Review Board (IRB) or Institutional Animal Care and Use
Committee (IACUC) has already approved the project, indicate the approval
date and protocol number and attach a copy of the approval notification. If you
have submitted the application for committee review but have not yet received
an approval, indicate the submission date. If your research depends on the
approval of the proposal and will not be conducted otherwise, indicate so by
checking the box in the pending award column. Please note, however, that
some sponsoring agencies require IRB/IACUC approvals at the time of the
proposal submission. If your project is approved for funding and includes
human or animal subjects, you will not be able to spend any funds on the
project until you have received approval from the appropriate committee.
Initial Budget Period: List the initial budget period for the project. This time period is usually
determined by the sponsor and may not coincide with the university’s fiscal
year. This budget period must match the timeframe reflected in the proposal.
Total Budget Period: List the total budget period. If the project is for one year only, these dates will
be the same as the initial budget period dates. If the project spans multiple
years, the total budget period will encompass all years of the award.
Total Funds Requested: Provide the total amount of funding (direct and indirect costs) requested for
each year of the project.
A detailed itemized budget must be attached. In most cases, this will be the
budget form and narrative from the grant proposal. If no proposal is submitted,
EKU’s detailed budget form may be used. The detailed budget must identify
staff by name/position and level of effort; list external contractors by name and
purpose; distinguish among in-state, out-of-state, and international travel; and
allocate operating costs by line items. If the proposal budget does not provide a
sufficient level of detail, you may be asked to submit a budget using EKU’s
detailed budget form if your project is approved for funding.
F&A (Indirect) Costs: Indicate whether the sponsor limits F&A costs. If so, you must provide written
documentation of this limitation (i.e., a page from the grant guidelines or a
letter from the sponsor). List the sponsor’s rate and check whether the base is
total direct costs or modified total direct costs.
If F&A costs are not limited by the sponsoring agency, the F&A rates are as
follows, effective for awards with an effective date of July 1, 2011 or later:
Organized Research: 40% MTDC
Instruction: 50% MTDC
Other Sponsored Activities: 37.5% MTDC
Organized Research: 26% MTDC
Instruction: 26% MTDC
Other Sponsored Activities: 26% MTDC
Modified total direct costs are calculated by excluding from the total direct
costs capital expenditures, equipment with a per-unit cost of more than $5,000,
charges for patient care and tuition remission, rental costs of off-campus
facilities, scholarships, fellowships, and the portion of each subaward
Unless the sponsor limits indirect costs, these rates must be used to calculate
indirect costs on all grants. If sponsors limit or disallow indirect costs, written
documentation must be attached to the IRAF before the proposal can be
Required Cost Share: Cost share occurs when the University assumes partial responsibility for the
funding, either because the sponsor requires us to do so or because the funding
provided by the sponsor is not sufficient to cover the costs of the project.
Indicate whether cost share/matching funds are required for this project. If cost
share is required, written documentation from the sponsor must be attached
(i.e., a page from the grant guidelines or a letter from the sponsor), and
approvals must be documented on the second page of the IRAF.
EKU Cost Share: If EKU cost share is included in the budget, list the source of the internal funds
by name and organization code and the total amount contributed by each
source. The signature of the budget unit head is required. Cost share
commitments must be reflected by organization code, and additional sheets may
be attached if funds are committed from more than three organization codes.
Specific details for the cost share must be reflected in the attached detailed
If cost share is committed from non-EKU sources, written documentation must
be attached. Keep in mind that the contributing agency will be required to track
and report the cost share in accordance with EKU accounting standards.
Certification: Each of the four Financial Disclosure statements must be answered for each
Project Director and Co-Project Director. All Project Directors and Co-Project
Directors must read the certification statement and sign in the space provided.
Chair/Dean Statement: Secure the approval of your Department Chair and Dean. If Project Directors
are located in more than one department, approval must be obtained from each
University Approvals: Approvals from the Director of Sponsored Programs, Associate Vice President
for Financial Affairs, and Associate Vice President for Research will be secured
after the proposal is submitted to Sponsored Programs.
Remember to submit the IRAF, proposal, and detailed budget to Sponsored Programs at least five
days prior to the sponsor’s deadline.