Memorandum 41 – Grant Procedures
Revised September 2012
To provide the University community with appropriate, coordinated procedures when pursuing grants, whether from a government agency, corporation, or private foundation.
Norwich has three internal offices through which grants are administered, each of which assists the other when appropriate.
- Grant proposals prepared by the Office of Development and Alumni Relations (DAR) generally focus on projects that align with capital campaign priorities; most of its grant proposals are directed to corporations, independent foundations, and corporate foundations.
- The Office of Academic Research (OAR) in the Office of the Senior Vice President for Academic Affairs (SVPAA) is more involved with individual academic initiatives; proposals prepared by the OAR are more often directed to government agencies.
- The Office of Strategic Partnerships (OSP) is responsible for government relations and appropriations requests; applied research activities with federal agencies; issues regarding commercialization and technology transfer; and new business initiatives.
These offices will work as sponsorship organizations for faculty and staff members to: seek out potential grantors and their areas of interest; assist in making initial contact with potential grantors, including the writing of letters of inquiry; draft and edit text; assist with the preparation of budgets; submit the final proposal in a timely manner; and prepare reports and provide stewardship as necessary.
Faculty and staff members are welcome to make their initial contact about seeking a grant with the appropriate office. In situations where it is not clear which office should take the lead in pursuing a grant opportunity, the sponsorship organizations will meet to discuss the question.
Implementation and Guidelines for OAR and DAR
- Faculty members must notify a sponsorship organization of any planned grant proposal activity by completing the Norwich University Grants Checklist (PDF). The purpose of this form is to ensure that the University is aware of each proposed grant activity, needed resources are available to administer the activity, and associated institutional compliance and financial requirements are met. Use of the form also reduces the possibility of the submission of competing proposals to the same agency. Grant seekers are encouraged to submit this form at least one month prior to the funding deadline.
- Any commitment of University resources for matching funds, time and effort of personnel, facilities, equipment, etc., must be approved by: the SVPAA, dean, and department chair (for OAR); the Vice President, Development and Alumni Relations (for DAR); or the Vice President, Office of Strategic Partnerships (for OSP). All grant applications must be signed by the President, SVPAA, or an authorized representative associated with the sponsorship organization, a requirement for most funding agencies. Even if an executive signature is not required, a letter of support signed by an appropriate official demonstrates the University’s commitment to the proposal.
- The sponsorship organization will provide the following support services for granting efforts:
- assistance in locating potential funding sources
- guidelines and application forms
- “boilerplate” on Norwich University
- editing assistance
- a checklist and timeline for proposal preparation
- budget preparation assistance
- liaison with granting agencies
- review of compliance issues
- billing and post-award management
- intellectual property management
When a grant is funded or denied, copies of any correspondence between the grant seeker and the granting agency relative to the grant must be forwarded to the sponsorship organization, as appropriate, for inclusion in the University records.
Once funding is received, an account will be set up with the Accounting Office. The principal investigator (PI) is responsible for reviewing the award documents and meeting with the sponsorship organization, as appropriate, to review the following issues:
- budget (salaries, equipment, travel, etc.)
- cost-sharing requirements
- cost-sharing requirements
- billing requirements
- reporting requirements—fiscal and technical
- property provisions
- other issues as necessary
If a grant has payroll components, the sponsorship organization as appropriate will initiate contracts and send them to Human Resources (HR) for processing. Staff or faculty members can only be paid for 100% of their time during the academic year, i.e., they cannot receive salary monies from an external grant in addition to their regular salary. Faculty members working on most federally funded external grants during the summer months may receive a salary equal to 1/9 of their academic year salary for each full month worked in June, July, and August. Faculty working on National Science Foundation grants may only receive funding for two summer months. The calculation of hourly rate for faculty members is based upon annual hours numbering 1560; to buy out a faculty member’s time with the University, NU must be reimbursed 1/8 of the faculty member’s salary per course, per semester.
The appropriate sponsorship organization will initiate arrangements for payroll changes associated with grants funded for summer work and/or academic year release time.
University employees are paid through personnel.
Grant-specific contracted employees are paid through accounts payable. Faculty, staff, and students receiving a salary directly or indirectly derived from a grant must complete time and effort reports each month. These forms must be sent to the appropriate sponsorship organization by the end of the first week of each month.
The sponsorship organization is responsible for ensuring that the budget is properly set up and adhered to. These offices will monitor expenditures for allowability of cost under the terms of the agreement (and Office of Management and Budget Circular A-21, as applicable), as well as for adherence to the budget. Responsibility for compliance with terms of the agreement rests with the sponsorship organization.
Expenditures must be processed through the Norwich University processing system. The sponsorship organization must keep copies of purchase requisitions, purchase orders, and invoices for all expenditures of the grant.
The sponsorship organization must send the following documents to the Accounting Office for auditing purposes:
- copy of the grant agreement
- copy of any amendments
- student and employee payroll contracts
- copies of time sheets or verification of quarterly reports
- line item Distribution Report
The PI, with assistance from the sponsorship organization as appropriate, must satisfy reporting requirements at the completion of a sponsored project.
For additional information, please contact a representative of the appropriate sponsorship organization:
- Director, Corporations and Foundations Relations, DAR x2824
- Academic Grant Writer/Manager, OAR x2981
- Project Manager, OSP x2982