SYNOPSIS OF GRANT PROPOSAL POST AWARD PROCEDURES As of July 22, 2009
A. PROCESS TO SUBMIT A GRANT PROPOSAL THROUGH SPONSORED RESEARCH:
- Faculty applicants must file a “Pre – Submission Grant Proposal Clearance Form” with the Office of Sponsored Research. This Form is required 10 business days prior to submission of the proposal. The Form must be signed by the Principal Investigator/Project Director (PI/PD), Department Chair and Dean. A proposed budget and 1 page description of the project must accompany the Form. Emails from the Chair and Dean can substitute for a Chair’s and Dean’s signature.
- To comply with individual school requirements the Budget Representative may be contacted for budget information by the PI, Chair, Dean and Sponsored Research.
- Clearance forms with budgets, but without the Dean’s signature, may be submitted to Sponsored Research for early budget review by Sponsored Research staff.
- After review by Sponsored Research, the Form with the dean’s approval, budget and project summary is sent by Sponsored Research to the Budget & Planning Office in Finance and Administration (F & A) for their review and sign off.
- The Associate Provost of Sponsored Research is the sole submission signatory, following approvals from the Deans and F & A.
- For electronic submissions, the Associate Provost’s signature is affixed electronically.
- A complete copy of the proposal must be received by Sponsored Research upon proposal submission.
- Proposals are submitted by faculty if in paper form.
- Electronic proposals are uploaded by faculty prior to electronic submission.
- A revised Pre - Submission Grant Proposal Clearance Form and revised budget is needed by Sponsored Research if the sponsor is making changes or revisions to the budget after the initial submission.
- The proposal is awarded in many ways – usually the PI is notified first. In that case, the PI must notify Sponsored Research.
- Once Sponsored Research is notified, if grant is awarded, an External Funding Account Approval Form for New and Added Funding must be completed by the PI and forwarded to Sponsored Research. This must include the final budget and award documents along with the signed clearance Form.
- If appropriate, contracts are sent to Pace Contracts for legal review accompanied by the signed Clearance Form.
- Sponsored Research distributes all documents to the PI, Budget Rep and Grants Office (F & A) .
In all paper communications, campus mail is to be avoided. A scanned document attached to email is preferred. Faxing is an alternative.
B. PROCESS TO SET-UP A GRANT AWARD THROUGH FINANCE AND ADMINISTRATION (GRANTS DEPT.):
This is the point where Budget Reps are consistently involved in monitoring expenditures.
- Budget Reps should receive full package from Sponsored Research (SR) and/or PI which includes the above mentioned forms, an award notice and a budget by account line to reconcile the award. The Budget Rep will work with the PI to conform the budget to banner account numbers.
- Budget Rep will forward budget with account numbers to Diane Bynum, Grants Department, F & A, for input into Banner. Sponsored Research has already forwarded grant award package (Sponsored Research forms, award letter, proposal, etc) to Grants to review for compliance and create a new index.
- Once the index is created, Grants (Diane Bynum) sends an email to Budget Rep, PI, SR, Philanthropy (if appropriate) notifying them of the new index.
- PI can then work with budget rep to expend the dollars as stated in the accepted proposal.
- Grants (Diane Bynum) will generate periodic financial reports/ invoices for Budget Rep to check first, then send to the funder to fulfill grant reporting requirements.
- Budget Rep works with Grants, F & A to track expenditures and make sure PI spends allowable costs within the budget lines.
- Budget Rep & PI keep tabs on all required reports and closing date of grant.
Edited by: Victor Goldsmith, Associate Provost for Sponsored Research and Eco. Dev., Edward Leight, Director of Sponsored Research Administration. Diane Bynum, Director of Grant Compliance and Reporting