GRANTS AND CONTRACTS
INTERNAL APPROVAL POLICIES AND PROCEDURES

Faculty/staff are encouraged to seek external grants and contracts in support of their research, service and instructional activities. The Office of Research (OR) serves as the first point of contact for anyone seeking approval for the submission of proposals to external sponsors.

It is important to notify the appropriate supervisor early in the proposal development stage to insure that the project is in concert with the mission of the department/unit, and that internal support for project activities will be available. Matching funds, release time, and other institutional commitments should be secured from the department chair and the dean well in advance of developing the actual final proposal. Please allow at least THREE weeks prior to final deadline to notify that appropriate administrators of your intent and to discuss your plans with these individuals.

To insure accurate, comprehensive and coordinated management of all sponsored activities, all proposals for external grants and contracts originated by faculty or staff members at Fairmont State University are to be routed through the OR. The OR serves as the institution's single point of contact for all grant and contract activity with the exception of the fund raising responsibilities of the Fairmont State Foundation, Inc.

Eligibility:

1. The submission meets the approval of an appropriate supervisor with full-time academic standing who will serve as the responsible entity for the conduct of the project;

2. Project activities benefit Fairmont State University; project activities will be conducted on campus or in conjunction with a field site approved by the supervisor,

3. The applicant (individual submitting the proposal) agrees in writing to abide by all University policies, including but not limited to Policy on Intellectual Property, Misconduct in Science, and Disclosure of Significant Financial Conflict of Interest.

Approvals and Signatures…

Fairmont State University requires that all proposals have the endorsement of those individuals responsible for carrying out the project as well as those individuals authorized to commit Fairmont State University to a sponsored program. An internal review and routing procedure, the Grant Pre- Certification Form (GPCF) (link here), has been established in order to ensure that each proposal or application for external grants and contracts has been reviewed and endorsed by various responsible persons and that there is compliance with the agency, Fairmont State, and state policies, regulations, and guidelines.

Process for Review and Approval…

The Grant Pre-Certification Form (GPCF) must be completed and signed by all authorizing signatures at least THREE WEEKS PRIOR TO SUBMITTING any FINAL PROPOSAL TO A FUNDING AGENCY OR ORGANIZATION. Individuals preparing a proposal for submission should contact their department/school chair to discuss their project, including securing the approval of the unit head to proceed with further proposal development. Grant writers are encouraged to contact the OR early in the process for appropriate guidance and to identify potential questions that may arise during the approval process.

The OR will review the GPCF with the grant writer and provide approval, request further information or, in rare instances, indicate the inappropriateness of the proposal for reasons such as misalignment with the mission and goals of Fairmont State or lack of sufficient internal funding/support.

If the GPCF has full approval, the Fairmont State University Proposal Certification Form (PCF)  must be submitted, with all necessary signatures, to the OR at least THREE DAYS PRIOR TO SUBMITTING THE FINAL GRANT PROPOSAL TO A FUNDING AGENCY OR ORGANIZATION. A copy of the project (project abstract or summary), budget, and budget justification should be attached to the PCF and the entire package should be submitted to the OR for final action. Modifications and/or changes to the proposal, the budget or other supporting documentation will only be made by the OR upon notification and approval of the PI. Certain modifications may necessitate additional approval by the unit head.

ROLES AND RESPONSIBILITIES

The following section defines the roles and responsibilities of each signatory authority in reviewing and approving sponsored activities. Signatures on the GPCF and PCFdirectly translate to the accountability assigned to each of the approving units, collectively forming the blueprint for a systemic compliance effort, with clearly identified responsibilities in sponsored program management.

Principal Investigator/Project Director

The Principal Investigator/Project Director (PI/PD) is responsible for developing the proposal in accordance with institutional policies, submission guidelines from the agency, and OMB Circulars cost standards, if applicable. The PI/PD should coordinate with his/her immediate supervisor to insure that the proposed activities are in concert with the unit's mission and available resources, and that his/her participation in the project is authorized.

The initial responsibility of the PI/PD is to prepare the GPCF, gather the required signatures and meet with the VP for Research to discuss the proposed grant in preparation for the completion of the full proposal.

The PI/PD also prepares the project abstract or summary, budget, and budget justification, which are the necessary components of the PCF. Following completion of the final project abstract or summary, budget, and budget justification, the PI/PD must obtain and initiate the PCF approval process.

If funded, the PI is responsible for insuring that the project is conducted in a timely, professional and ethical manner in accordance with sponsor guidelines; that appropriate safeguards are in place to insure the protection of humans, animals and or co-workers; that expenditures are allowable, allocable to project activities and consistent with both Fairmont State University policy and sponsor regulations and that appropriate records are maintained to document such expenditures; that the time/effort expended on the project is accurately documented and reported; and, that data is collected, maintained and archived in accordance with sponsor guidelines.

Academic Unit Head (Department Chair, School Chair, or Director)

Unit Heads are responsible for reviewing, approving, monitoring and supporting projects of interest to their division and area of responsibility. As such, the unit head will review the GPCF and the PCF, project abstract or summary, budget, and budget justification in order to (1) assess whether the budget appears to be reasonable and fiscally appropriate and that Cost Sharing/Matching Funds expected from the unit are acceptable, (2) determine that adequate space, equipment, faculty time, support/collaborating personnel and support staff are available to conduct the proposed project; and (3) confirm that the proposed project is consistent with the unit's mission and strategic plan.

If funded, unit heads are responsible for providing guidance to the PI/PD in resolving programmatic and fiscal questions to insure progress; providing administrative support in maintaining appropriate fiscal project documentation, including back-up of fiscal activity; for insuring that the time/effort of senior personnel on the project is accurately reported; and, for providing cost-sharing/matching as specified on the PCF.

Dean(s) and Provost & Vice President for Academic Affairs

Deans and the Provost & VP for Academic Affairs are responsible for reviewing, approving, monitoring and supporting projects of interest to their division and area of responsibility. Specifically, they ensure that the intellectual and academic objectives of Fairmont State University are maintained and that the unit will have the resources to meet cost-sharing and other commitments. When a proposed project crosses academic and/or institutional lines, all appropriate deans must provide signature approval. The OR will coordinate the review process, insuring appropriate sign-off as needed.

If funded, the dean/vice president is responsible for insuring that project activities remain consistent with the mission of the unit and the college; that issues are resolved in a timely manner; and, for providing cost-sharing/matching as specified in the PCF.

Office of Research

The Office of Research (OR) will coordinate the submission and institutional signoff processes for any proposal to a funding agency or organization. The Vice President for Research is the final signature on the FPF, indicating that all approvals have been secured and the proposal may be submitted.

The Vice President for Research is responsible for reviewing the PCF and the project summary, budget and budget justification for accuracy and completeness. In addition, the proposal will be reviewed for compliance with applicable laws and regulations, as well as with the relevant agency and university policies and procedures. The relevant considerations include, but are not limited to, institutional resource and cost-sharing commitments, Conflict of Interest and Lobbying disclaimers, and the cognizant committee's approval of the protocols for activities involving human subjects, bio-safety issues, hazardous substances, and the use of animals.

If funded, the OR is responsible for reviewing the award document for consistency with the original application; processing contracts which may be received as a part of the award; securing approval signatures in accordance with the Policy on Award Acceptance; insuring that all compliance issues have been resolved, including insuring that all compliance committee approvals have been made; preparing and distributing the Notice of Award letter to all parties: assisting in post-award management through provision of technical advice and interpretation of sponsor rules and regulations; and, insuring that the necessary paperwork to enable fiscal interaction between Fairmont State University and the granting agency is prepared and executed.

OTHER APPROVALS…

When appropriate the Vice President for Research will coordinate with the Vice President for Institutional Advancement regarding solicitation of private funding sources. If applicable, the Vice President for Research will coordinate with the Assistant Provost for PC&TC and/or the Assistant Provost for PC&TC for Workforce Development and Off-Campus Programs, concerning sponsored activities that involve training, conferences, workshops, and other forms of public service education.

The OR will also insure that all required compliance committees are informed as necessary. No award will be accepted unless appropriate review as necessary is conducted by the Institutional Review Board (IRB) for projects involving research with human subjects; IACUC for projects involving research with animals; and/or Bio-safety for research involving hazardous materials or recombinant DNA. Further, OR will insure that all compliance documents have been completed, that cost-sharing and/or matching obligations are documented, approved and tracked, and that other circumstances warranting further approval have been addressed.

OR will also determine if other signatures/approvals are required.

Authorizing Official…

The Vice President for Research has been designated by the Presidents of Fairmont State University and Pierpont Community and Technical College as the signatory authority for all external grants and contracts administered through Fairmont State. The Office of the Provost will confirm that issues related to academic offerings, faculty appointments and leave, interdivisional commitments, availability of space and other resources have been properly addressed.

PROPOSAL SUBMISSION

The OR is responsible for the submission of the proposal. The PI/PD will be notified that the proposal has been submitted in a timely fashion via email.

Allowing for Appropriate Review Time…

The PCF and supporting documents must be received far enough in advance of the submission deadline to allow the OR to review complete proposal for submission. Inaccuracies or problems that might be discovered in the course of this routing procedure could result in a delay in the submission of the proposal to the intended sponsor. In order to minimize this possibility, it is important to work with unit heads and OR as far ahead in the process as possible. A completed PCF and all supporting documents MUST BE SUBMITTED to the OR no later than FIVE DAYS prior to the proposal’s deadline.

OTHER CONSIDERATIONS…

Intellectual Property…

All faculty, staff and students are subject to the Fairmont State University Intellectual Property Policy. This policy specifically addresses both ownership and responsibility to report the development of intellectual property - new processes, creative and scholarly works, materials, software, devices and/or other inventions. The creation of such work, particularly under the auspices of a sponsored program, must be disclosed to the Provost on project disclosure forms provided by the OR.

Facilities and Administrative Costs (Indirect Costs)

Fairmont State University requires that proposed budgets must contain the full negotiated Facilities and Administrative (F&A) rate, as currently approved.

The F&A rates are: 50% of all Salaries and Benefits for grants conducted whole or in part on the Fairmont State campus or 20% of all Salaries and Benefits for grants conducted entirely away from the Fairmont State campus.

Exceptions may be made if the sponsor's guidelines specifically state that F&A costs are prohibited, or that a different rate must be used. The PI/PD may petition the OR to submit the proposal without full F&A. The OR will assist in determining the appropriate F&A rate, and in securing guidelines verifying sponsor policy on F&A.

Awards…

Award notifications should be forwarded to OR for review. The OR will issue an award letter, informing the PI/PD of the award, and providing information on reporting and management requirements. Copies of the letter will be sent to the Provost, the respective dean and unit head.