Chapter Three: Outside Funded Research and Training
§5-03.01 - Introduction
Research and training programs sponsored by individuals or organizations outside the University may require the participation of the University as party to a contract or as administrator of granted funds. The University will agree to such participation, within the limitation of its physical and financial capacities, if the purpose of the programs coincides with the academic aims of the University. Inasmuch as the University scrupulously avoids any regular institutional judgment as to the choice or validity of subjects or methods of investigation, this determination will be made by referring to standards of normal academic procedure in each field of inquiry as described by the faculty. In doubtful cases, the Research Council will be consulted. The opportunity for the University and the faculty to respond to current urgent community problems is provided by participation in sponsored training programs and technical assistance and evaluation services, relevant to the educational objectives of the University.
§5-03.02 - General Administration
University approval of sponsored grant programs is centered in the Office of Research. Under policies formulated by the Research Council and approved by the President of the University, responsibilities of the Director of Research include the following:
The review and approval on behalf of the University, of all proposals and budgets for sponsored research, demonstration and training prior to submission to the granting agency. This review and approval shall include project requirements for space and other items included in indirect costs. Proposals shall also be reviewed with respect to their compliance with the provisions of Chapter Four below including a specification as to how salaries are related to regular faculty responsibilities.
Post-award administration of sponsored grant programs is centered in the Office of the Controller. That Office is responsible for the following functions:
- The review and verification of purchase orders under grants.
- The review and verification of other requests for disbursement of grant funds.
- The submission of final financial reports on grants.
The Office of the Financial Vice President and Treasurer has the responsibility as official custodian of grant funds, to establish and maintain grant accounts, set up grant payrolls, and disburse all payments when approved by the budget administrator of the funds and the Director of the Office of the Controller.
§5-03.03 - Procedures for Project Directors
- Preparing Proposals. Faculty members have primary responsibility for preparation of grant proposals. Complete proposals, including necessary endorsements by Department Chairperson, or Dean, should be forwarded to the Office of Research for University approval. Ten days before mailing deadlines must be allowed for this purpose. One copy for signature and one additional copy for the Office of Research’s permanent file should be provided. Grant proposals which involve courses offering academic credit must be approved by the Department and the Dean of the School in which credit is to be awarded.
- Operating Project Budgets. When the grant award has been received, the Office of Research will transmit the Notice of Award with approved budget from the funding agency to the Controller’s Office to set up the budget. The Office of the Controller is responsible for supplying copies of project budgets and grant awards to the Financial Office, which will establish an account for each project. A monthly expenditure report is sent to the project directors to inform them of the status of the project budget.
- Disbursements. Purchase orders and other requests for disbursement made by the project directors will be sent to the Office of the Controller for verification for payment by the Financial Office and the Purchasing Office.
- Payrolls. Project directors will be responsible for determining stipend schedules and payrolls, based on the approved grant operating budget. The payroll office will pay salaries and stipends as authorized by project directors and the Office of the Controller. Project directors must prepare payroll card and W-4 Form (Withholding Form) for each person paid on the grant budget. These are sent to the Office of the Controller and forwarded to the Finance Office.
- Financial Reports. The Grants Officer in the Office of the Controller prepares interim and final financial reports on sponsored projects.
- Responsibilities of Project Directors. Preparation of interim and final technical reports on sponsored projects is the responsibility of the project director. Monitoring of monthly expenditure reports and checking of expenditure requests against report balances for sufficient funds is also a function of the project director. Any discrepancies should be reported to the Grants Accounts Officer.