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Policies and Procedures

Review Policy: 9.01 Grants, Contracts and Agreements

THIS REVIEW VERSION HAS NOT BEEN APPROVED FOR FINAL RELEASE.
COMMENTS MAY BE SUBMITTED VIA THE POLICY FEEDBACK FORM UNTIL 5 p.m. ON:

Monday, September 15, 2014

Purpose Statement: 

The purpose of this policy is to ensure institutional review and approval of externally sponsored funding proposals and awards.

Background:

Sponsored projects further the University of Northern Iowa’s (UNI’s) educational mission by facilitating research, creative activity, and other scholarly endeavors that enrich our faculty, staff, and students and serve our community.  The Office of Research and Sponsored Programs (RSP) serves this mission by providing assistance, support, and compliance oversight for these activities.   

Policy Statement: 

The Office of Research and Sponsored Programs (RSP) is the university's authoritative agent and liaison with external funding agencies regarding sponsored projects, specifically those that are government-funded, and others as defined in Policy 9.02.  Signatory authority has been delegated to RSP for approving these sponsored project proposal submissions, as well as negotiating and executing grants, contracts, and agreements in support of research, creative activity, public service, instruction, or curriculum development.  All such proposals for grants, contracts, or agreements must be reviewed and approved by the Office of Research and Sponsored Programs before submission to the sponsor.  In those programs where a limited number of submissions are allowed by the sponsor, RSP has the authority to determine the best process for selecting which applications will move forward. 

This policy applies regardless of whether UNI is the lead organization submitting directly to a funder or will be a subcontractor or collaborator under another organization’s submission.  This also includes all pre-proposals or letters upon which a grantor may base a decision to fund, and governmental scholarship and fellowship applications, which if awarded, will be paid to the university (not directly to the individual).  All faculty and staff seeking funding for research, creative activity, public service, instruction or curriculum development should contact RSP for guidance and assistance when developing external funding proposals and agreements.    

Facilities and administrative (F&A) costs, commonly known as indirect costs, are real costs incurred by the university that support sponsored activities but cannot directly be identified with any one project.  F&A costs include the costs of operating and maintaining buildings and grounds, equipment, and libraries, as well as administrative costs at the institutional, collegiate, and departmental levels.  These costs are to be included in all sponsored project requests unless the sponsor's written policy prohibits or limits such reimbursement.  Waivers of all or part of the F&A reimbursement must be approved in advance of submission by the Assistant Provost for Sponsored Programs.

Responsibility for evaluating the suitability of the work to be proposed and ensuring the proper management and compliance of each funded project resides with the principal investigator/project director, the department head, the collegiate dean, and the university administrative officers.  Acceptance and discharge of this responsibility is indicated by signing the Proposal Routing and Approval Form (PRAF) prior to RSP approval and submission of each sponsored project proposal.

The procedures for proposal development, approval, submission, and award management will be maintained on the RSP website at www.uni.edu/rsp.  It is the responsibility of the individual(s) submitting proposals to ensure they are following current procedures.

RELATED POLICIES: 9.02 Gifts and Grants, 10.02 Contracting Authority

Approved by: Office of Research and Sponsored Programs 6/27/12

Approved by: 

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