403.1 Grants Applications and Contracts
|Created by: Dana Trebing on 1/15/2003|
|Category: 4 - Develop And Alumni Aff; 00 - General|
|Originator: Grants Administrator|
|Current File: 403.1|
|Adoption Date: 1/15/2003|
|Reviewed for Currency: 1/15/2003|
|Replaces File: 403.1|
|Date of Origin: 7/10/1975|
|In Archive? Yes|
403.1 Grants Applications and Contracts
A. Background and Policy
In order to ensure that externally funded grants and contracts are related to the mission of the University, to maximize the use of resources in preparing applications for external funding, to provide for an appropriate balance between grant/contract activity and instruction, to ensure proper handling of indirect costs, and to maintain accurate records, it is necessary that all grant applications to foundations, corporations, and government agencies be channeled through the office of the Grants Administrator. Such grant applications include those from members of the administration and faculty to outside agencies for funds to support research, the purchase of equipment and other projects to be administered by the University. Grants and contracts are awarded for specified periods of time. The University must not become dependent upon such funds, including indirect cost allowances, for salaries and/or stipends; otherwise termination of grants and contracts could adversely affect the entire educational program. The Grants Administrator will ensure that financial support for the University's educational program is not jeopardized by acquisition of grants and contracts. For all grant applications involving the use and/or acquisition of computer-related equipment, software or services a description of the proposed equipment, software or services must be submitted to the Director of Computing and Information Services for review and approval before the application is submitted. Sufficient time must be given for the Director of Computing and Information Services to determine the impact of the proposed equipment, software or services, and to determine the necessity and cost for any additional equipment, software or services not foreseen by the requester. If the project will make extraordinary use of library resources or services, such as online searching, interlibrary loan, or purchase of books or other materials, include these costs as a separate item in the proposal. The Associate Director of Libraries can help estimate relevant costs.
B. Pre-Award Activities and Guidelines
1. The Grants Administrator will provide consultation to applicants on the technical aspects of the grant application procedure. The Grants Administrator will suggest and assist in planning appropriate visits to foundations and agencies when indicated.
2. A rough draft of the grant application, including all pertinent data and a budget, must be filed with the Grants Administrator at least thirty (30) days prior to the final submission deadline. The final version of the application must be in the Grants Office at least 72 hours prior to the time it is to be mailed to the funding agency. Late submission will jeopardize submission of the application.
3. Principal investigators submitting revisions of proposals that have been rejected, to the same or another potential funding source, are requested to provide Grants/Sponsored Programs with copies of all initial proposal reviews at the time they submit a revised draft and no later than fourteen (14) days prior to formal submission of a revised proposal.
4. The Grants Administrator will assist in the final editing of grant applications to ensure consistency and completeness of the proposal.
5. The Grants Administrator will determine that all concerns of the sponsoring agency and the University (including necessary administrative clearance and signatures and matching funds agreements, outlined on the attached "Proposal Review and Clearance Form") are satisfied before the formal grant application is submitted. (See C.4. of File 137.8, Individual Rights and Responsibilities.)
6. The Grants Administrator will fill out the "Proposal Review and Clearance Form" and request the required signatures while the grant application is in draft form, at least fifteen (15) days before the grant application deadline.
7. The Grants Administrator will provide copies of the final grant proposal to the sponsoring (funding) agency, Financial Services/Special Funds Manager, the Academic Dean's Office, and the Project Manager. Additional copies for internal distribution will be the responsibility of the Project Manager.
8. The Grants Administrator will send the formal grant application to the sponsoring agency.
9. The grant recipient will inform the Grants Administrator in writing of all negotiations with funding agencies and of notification of grant awards and will provide the Grants Administrator with copies of all award letters and terms of agreement.
C. Post-Award Activities and Guidelines
1. Upon notification of a grant award, the Grants Administrator will, in conjunction with the Project Manager, establish files and reporting procedures in the Grants Office. The Financial Services/Special Funds Manager will establish an account number for the Project Manager to receive the award disbursements, to make payments for budgeted transactions, and will prepare financial reports on grant expenditures, as required by the grantor.
2. The Grants Administrator will oversee the process of timely reporting from the grantee to the grantor.
3. In the reporting process, the Project Manager will prepare all required interim fiscal and narrative reports, as well as the final report, and will determine with the Grants Administrator to whom copies of this report should be sent in addition to the grantor.
D. Indirect Costs
1. Normally, for grants or contracts received by an academic department or faculty member, 60 percent of the indirect or overhead costs will go to the appropriate department.
2. In cases in which the normal distribution is not appropriate, the division of indirect or overhead costs shall be recommended by the Project Manager to the Vice President for Business Affairs, who is authorized to make the decision.
3. The division of indirect or overhead costs should be made in such a way as to provide incentive and encouragement to individual faculty, staff members, and departments to seek grants and contracts.
4. In areas of the University other than academic departments, the indirect cost or overhead shall, in most cases, go to the general fund of the University. Exceptions may be made at the discretion of the Vice President for Business Affairs.
5. The use of indirect or overhead cost moneys allocated to academic departments must be approved by the Academic Dean prior to their expenditure. Grant seekers should fill out the Proposal Review and Clearance Form below and submit it with their grant proposal to the Grants Administrator.