External Funding Responsibilities

The following information establishes criteria and procedures for obtaining approval of contracts and grants.  This includes all external funding proposals submitted to state, federal, corporate and private agencies.

Responsibilities of the Principal Investigator

  1. The Principal Investigator (PI), who may also be the project manager, bears the primary responsibility for the accuracy of all the material in the proposal and for compliance with all applicable regulations.
  2. The PI is responsible for informing the department chair and dean of their intention to submit and of proposal content and obtaining written verification of approval.
  3. The PI is responsible for the completion of the University Approval Form and of the application according to the specifications in the application guidelines.
  4. The PI ensures that the proposal meets all requirements of the Institutional Review Board on Human Research, complies with the Affirmative Action regulations, if applicable, and meets any other regulations which might apply, such as rules mandated by the office of Safety and Health Administration, the Bureau of the Handicapped, the State Department, etc.
  5. The PI checks all financial data with the office of the vice president of business affairs prior to the submission of the grant through the approval procedure track. Special attention should be paid to any cost matching or cost sharing provisions.
  6. The PI verifies, by signing the External Funding Approval Form, the proposal represents the highest quality in purpose, scope and plan of operation and reflects credit upon the department(s) involved.
  7. The PI ensures that in the event a single proposal is submitted to several funding sources simultaneously, each funding source is informed in writing of the other entities being approached and the requested level of support.
  8. The PI delivers five copies of the proposal narrative, budget and guidelines to the Vice President for Finance and Operations for approval no later than 10 days prior to the deadline specified by the sponsor. These copies are for internal approval only. Final proposal submission packages and/or electronic submission will be handled separately after final approval, with assistance by the Grants Office if requested.

Responsibilities of the Department Chair

  1. The Department Chair checks the proposal for accuracy of content ad for compliance with regulations listed in item 4 (above)
  2. The Chair verifies, by signing the External Funding Approval Form, the proposal purpose, scope and plan of operation represent the best interest of the department, is of the highest quality and reflects credit on the department and its members. 
  3. The Chair verifies that he/she approves of all requests for released time, equipment purchases, funds for clerical assistance, use of facilities, expenditures for travel and matching funds source, if applicable. 
  4. The Chair verifies that any request(s) for additional staff lines has been discussed with the appropriate authority. 
  5. The Chair checks expenditures of funded grants and/or contracts on a periodic basis and, when student assistants are hired, will ensure that the regulations regarding nepotism are followed both literally and in the spirit of the rules. 
  6. Upon approval, one copy of the proposal is retained and the remaining copies are forwarded to the College Dean.

Responsibilities of the College

  1. The Dean reviews each proposal, paying particular attention to university commitments incurred and to the quality of the document.
  2. The Dean verifies, by signing the External Funding Approval Form, the proposal represents the best interests of the school, is of the highest quality and reflects credit on the school and its faculty.
  3. The Dean verifies that he/she approves of all requests for released time, equipment purchases, funds for clerical assistance, use of facilities, expenditures for travel, other uses of university resources and any matching funds sources, if applicable.
  4. The Dean verifies that any request(s) for additional staff lines has his/her full approval.
  5. The Dean assesses questions concerning programmatic commitments, such as sustainability of the project beyond the life of the grant.
  6. The Dean signs and forwards only those proposals of quality and returns those that are not to the chair for subsequent discussion and possible re-writing with the principal investigator.
  7. Upon approval, one copy of the proposal is retained and the remaining copies are forwarded to the Provost and Vice President for Academic and Student Affairs

Responsibilities of the Provost and Vice President for Academic and Student Affairs

The Provost and Vice President for Academic and Student Affairs reviews each proposal submitted and pays particular attention to non-fiscal institutional commitments incurred and to the technical quality of the document.

  1. The Provost and Vice President for Academic and Student Affairs reviews each proposal submitted and verifies that matching funds sources are identified, if applicable, and that any commitments beyond the life of the grant are documented and realistic.
  2. The Provost and Vice President for Academic and Student Affairs returns the proposal to the school dean for implementation of item 21 if there are any questions regarding the quality of the proposal and/or with factual accuracy.
  3. Upon approval, one copy of the proposal is retained and the remaining copies are forwarded to the Office of Sponsored Programs.

Responsibilities of the Office of Sponsored Programs

  1. The Director of Sponsored Programs reviews each proposal submitted and confirms that fiscal and non-fiscal institutional commitments have been approved by the appropriate office and confirms the technical quality of the document.
  2. The Director of Sponsored Programs reviews each proposal submitted and verifies that matching funds sources are identified, if applicable, and that any commitments beyond the life of the grant are documented and realistic.
  3. The Director of Sponsored Programs reviews the proposal and clarifies with the PI and other offices if there are any questions regarding the quality of the proposal and/or with factual accuracy.
  4. Upon approval, one copy of the proposal is retained and the remaining copies are forwarded to the President's Office for signature.

Responsibilities of the Office of the President

  1. The President signs all proposals and contracts (letter form, memorandum of understanding and/or full proposal form).
  2. The President's Office retains one copy of the External Funding Approval form.

Routing

Requests for approval of applications for grants must be made by submitting five copies of the proposal with a copy of a completed University Approval Form and a copy of the Request for Proposal (or Request for Applications) guidelines through the administrative approval queue in the following order: Vice President for Finance and Operations, Department Chair, College Dean, Provost and Vice President for Academic and Student Affairs, Office of Sponsored Programs and President. 

The PI is advised to schedule appointments to discuss the proposal and obtain signatures.

  1. Vice President for Finance and Operations approves budget and signs approval form.
  2. Department Chair approves scope of work, departmental resources and signs approval form.
  3. Dean of the college approves scope of work, school resources and signs approval form.
  4. Provost and Vice President for Academic and Student Affairs approves and signs.
  5. Director of Sponsored Programs approves and signs. The Director of Sponsored Programs forwards the proposal(s) to the President for approval and notifies the PI once the approval has been obtained by sending a copy of the fully signed External Funding Approval Form back to the PI. The PI is advised to keep a copy of the fully signed form!); one signed copy of the External Funding Approval Form and the final proposal draft is retained by the Office of Sponsored Programs. The Proposal is mailed or transmitted electronically as per funding source guidelines.

    The following calendar should be adhered to as closely as possible:

Activity Suggested Timelines
a. Obtain budget approval from the Office of Finance and Operations 10 (or more) working days before deadline
b. Submit proposal(s) to Department Chair 10 working days before deadline
c. Submit proposal(s) to College Dean 8 working days before deadline
d. Submit proposal(s) to Provost and Vice President for Academic and Student Affairs 6 working days before deadline
e. Submit to Director of Sponsored Programs 4 working days before deadline
f. Submit to President; return of signed proposal to Office of Sponsored Programs for mailing

no fewer than 2 working days before deadline

Post Award

  1. The Office of Sponsored Programs is notified of all awards made to the institution.
  2. The PI provides a copy of the awarded budget to the Office of Sponsored Programs, Office of Finance and Operations and Department Chair.
  3. The Office of Finance and Operations provides a new grant account number to the PI (usually within 3 business days of award notification).
  4. The PI works with the Office of Sponsored Programs and the Office of Business Affairs to ensure that subaward and contract paperwork(if applicable) is transacted in a timely manner.
  5. The PI ensures that all expenditures support the intent and objectives of the proposed activity.
  6. The PI is responsible for submitting extension requests to the funder. Assistance from the Office of Sponsored Programs or Office of Finance and Operations may be requested.
  7. The PI is responsible for maintaining time and effort documentation as required.
  8. The PI is responsible for submitting timely progress reports and final reports to the funder.
  9. The PI is responsible for providing a copy of progress reports and final reports to the Office of Sponsored Programs.