|| Grant Policies Advisory
|| Office of Advancement
|| President's Cabinet
|Date of Approval:
|| November 1, 2011
|Date of Last Revision:
|Next Review Date:
See below: Reason for Policy/Purpose
Reason for Policy/Purpose
This policy is designed to safeguard the investment of time and effort that goes into developing high-quality proposals.
In order to further the mission of Heritage University (HU), the process of developing and submitting all grant proposals is to be coordinated through a system of shared information and decision making based on the most current strategic plan for the University. Designating specific responsibilities regarding proposal review and approval prevents duplication of effort and helps maintain the flow of information for the entire proposal system.
This policy applies to non-governmental (private) as well as federal, state, tribal and local government grants.
This policy protects individuals, departments, programs and the University in their interaction with external organizations. A grant or contract is a commitment between HU and an external entity, involving the commitment of university resources in the form of space, personnel, and/or goods and services. As such, these interactions are subject to the internal policies and procedures of HU and the regulations which apply to HU as an incorporated entity.
Who Needs to Know this Policy
This policy applies to all University academic and administrative offices and departments that maintain, and/or develop grant proposals as defined by this policy.
Heritage University expects all partners, consultants and vendors to abide by this policy. If non-public information is to be accessed or shared with these third parties, they should be bound by contract to abide by Heritage University’s policies.
Website Address for this Policy
Director of Foundation Relations (509) 865-8653
The term Investigator means the principal investigator, co-principal investigators/co-project directors, and any other person at the institution who is responsible for the design, conduct, or reporting of research or educational activities funded or proposed for federal funding.
ALL GRANTS EXCEPT FACULTY RESEARCH AND PROGRAM GRANTS
The project proposed must be compatible with both the University’s goals and the respective department's plan. All grants must be financially self-sustaining OR of enough significant import to HU that an institutional investment of resources is both essential and viable.
Signatory Authority: Within HU, delegations for University signatory authority are assigned and approved by the President. The CFO is the primary signatory authority designated by the President to enter into legal commitments involving agreements for grants, contracts and cooperative agreements on behalf of the University, including Memorandums of Agreement (MOUs) and confidentiality agreements relating to data and/or research. Throughout the University, including the CFO, granted official signatory authority also includes Vice President of Advancement. Unless they are so named, Program Directors, Principal Investigators (PIs), Department Heads, Deans, and Directors do not have this institutional signature authority, and therefore are not recognized as designated representatives of the University regarding the oral or written acceptance of program agreements of any kind.
There are three steps in the grant application process. The first two steps must be completed before a proposal is sent to a funding agency/organization. Prior to application faculty and/or applicant should discuss their intentions to apply for any external grant—no matter how big or small—with their school deans and/or Department Vice President. In the case of Deans applying for grants, the grant must be discussed with the Vice President for Academic Affairs/Provost.
Once a decision to pursue a grant has been made, complete the Application to Submit a Grant Proposal form. Since granting agencies occasionally do not announce opportunities until a month or less before their deadline, flexibility will be exercised in such cases.
Planning ahead is crucial! An Application to Submit a Grant Proposal should be completed as early as possible, especially in the case of federal grants and for grants over $50,000, which typically take several months and multiple drafts to be put together successfully.
The requestor completes and receives approval on Application to Submit a Grant Proposal.
Complete Section 1 of the Application to Submit a Grant Proposal indicates the amount of assistance you are requesting from the institution during the proposal development process; submit to Director of Foundation Relations at least four weeks before the funder’s initial deadline for review.
Upon approval, complete Section 2 which identifies the potential budget and staffing implications of the anticipated grant; receive signed approval of supervisor, controller, and VP for department.
Submit form to Director of Foundation Relations for remaining signatures.
The Application to Submit a Grant Proposal should be completed at the initial stage of the grant process, whether that entails a letter of intent (LOI), pre-proposal, or full proposal. For grants that require an initial LOI and then a full proposal, a Completed Grant Proposal form will need to be completed for the full proposal.
The faculty member or team will write the grant, drawing on the support of others as appropriate and as requested. An external RFP may be issued by the Director of Foundation Relations or designee in cases in which the capacity and/or resources of the University are limited.
The requestor completes and receives approval on Completed Grant Proposal.
Submit the Completed Grant Proposal and all required compliance assurances must be turned to the Director of Foundation Relations seven business days prior to the application submission deadline.
Receive signature approval for Completed Grant Proposal; submit to Controller (Proposal copies provied to Project Director and Staff of the grant).
Submit proposal to agency/organization; many federal grants, inclduing those through Grants.gov or Fast Lane, must be submitted online by the Controller. Because of the complicated process, this often takes three to five days, so don't be surprised if your application will need to be finished several days before the funder's deadline.
Both the Principal Investigator (PI - aka, the faculty lead/project Director on the grant) and the Director of Foundation Relations will receive a final electronic copy of all submissions.
FACULTY RESEARCH OR PROGRAM REQUESTS
There are two steps in the faculty research or program grant application process. The first step must be completed before a proposal is sent to a funding agency/organization. Prior to application faculty and/or applicant should discuss their intentions to apply for any external grant - no matter how big or small - with their school deans. In the case of Deans applying for grants, the grant must be discussed with the Vice President for Academic Affairs/Provost. The VPAA/Provost will keep the president and vice presidents apprised of the status of the application.
Once a decision to pursue a grant has been made, complete the Application to Submit a Grant Proposal (Faculty Resaerch or Program requests) form. Since granting agencies occasionally do not announce opportunities until a month or less before their deadline, flexibility will be exercised in such cases.
The requestor completes and receives approval on Application to Submit a Grant Proposal (Faculty Research or Program requests).
Completed Section 1 of the Application to Submit a Grant Proposal (Faculty Research or Program requests), which indicates the amount of assistance you are requesting from the institution during the proposal development rpcoess; submit to Provost's Office
Write the grant, drawing on the support of others as appropriate and as requested.
Completed Section 2, which identifies the potential budget and staffing implications of the anticipated grant and full proposal; receive signed approval of supervisor, controller or CFO, and VPAA/Provost.
Submit to Controller. Depending on the funding agency, most submittals will be completed by the Controller.
Notification, Reporting and Audits:
When notification that the grant has been awarded, recommended for revision and resubmission, or is declined, the President, Director of Foundation Relations, Controller and Project Director/Faculty Lead will be informed.
Copies of all correspondence should be forwarded to the Director of Foundation Relations, so copies of reviewers’ comments can be kept for reference in future re-application processes.
Public grant award announcements will be made either by the President or designee.
All grant checks should be sent to the Business Office. The funds will be credited to financial accounts specifically for that grant, if so designated by the Controller.
The Grants Accountant will track report due dates and send courtesy reminders to faculty of upcoming reports, with a copy sent to the appropriate dean.
Grant recipients are responsible to complete grant reports either annually or as often as indicated by the funder. Prior to submission, all budgetary components must be reviewed by the Grant Accountant or Controller to assure reliability for auditing purposes.
HU Grant Process Flow Chart
Application to Develop a Grant Proposal, Completed Grant Proposal, and
Application to Develop a Grant Proposal (Faculty Research or Program requests) - appended
Related Policies and Resources
HU Grant Process
1. Find Grants
- Through ads and announcements
- Though database searches
2. Intent to Apply
- Discuss intention with appropriate VP
- Submit Application to Develop a Grant Proposal Form to the Director of Foundation Relations 4 weeks prior to the funder's deadline
3. Grant Writing Process
- Designated writer or team begins gathering data
- External RFP, if applicable is issued by the Director of Foundation Relations
- The Controller completes a final review and proceeds with submission
- Submit completed Grant Proposal Form to the Director of Foundation Relations
- The Controller will submit the proposal to the granting agency
- Director of Foundation Relations and the President are notified if the grant has been awarded.
- Direct grant checks to the Business Office
- An account for funds is set up by the Business Office
- Award announcement is made by the President or designee
- Accountant will send reminders of reports to the Project Team
- Project Director completes an annual report and submits this to the granting agency
Grant Proposals and Applications Plan