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EIU Office of Internal Auditing

#57 - Grants and Contracts Proposal Approval

Approved: July 11, 2007

Monitor: Vice President for Academic Affairs

This procedure pertains to all grant and/or contract proposals which are to be submitted to any external funding agency and has been developed to insure that proposals are reviewed and approved by the appropriate University officials and that they are consistent with the University's academic missions, instructional commitments and financial capabilities. The definition of a grant versus a gift is found at:

General Instructions

The Proposal Transmittal Form must be completed before proposals can be submitted to an outside agency. The form meets all Board of Trustees and University regulations for grants and contract proposals. The Director of Research and Sponsored Programs is authorized to modify the Proposal Transmittal Form when necessary. Before modifying the form, the Director of Research and Sponsored Programs shall consult with the Director of Business Services/Treasurer and/or the Vice President for Academic Affairs if the Director of Research and Sponsored Programs deems such consultation necessary.

Not all situations encountered in developing a grant or contract proposal can be covered by this procedure. Persons preparing proposals are asked to work closely with the Director of Research and Sponsored Programs and the Accounting Office in the development of proposals.

Indirect Cost Recovery

The University requires all individuals and academic units to seek full reimbursement for indirect costs when applying for outside funding. Information and assistance in determining indirect costs may be obtained from the Office of Research and Sponsored Programs.

Waiver of the policy may be permitted when the sponsor has limitations imposed by federal law or by established policy.

Request for waivers should be directed to the Director, Research and Sponsored Programs, who is authorized to consider and approve exceptions.

Pre-Award Requirements

  1. All grant and contract proposals submitted for outside funding require the prior approval of the areas listed on the Proposal Transmittal Form.
  2. The Accounting Office shall review all grants and contract proposal budgets to determine that the following items are in order:
    • Salaries must be consistent with University regulations.
    • Fringe benefits must be included as a direct cost of the budget.
    • Budgets are mathematically correct.

Post-Award Requirements

  1. Upon receipt of a contract award, signed by the grantor and approved by the appropriate Vice President and the President or designee (with proper authorization), the Accounting Office shall set up a new account.
  2. The Accounting Office is responsible for monitoring expenditures according to University regulations. The fiscal agent of the grant or contract is responsible for making valid expenditures against the project. This distinction is made between the responsibility of the Accounting Office and the fiscal agent because it is possible that an expenditure would meet University regulations but not be a valid expenditure against the project.
  3. The Accounting Office is responsible for all reimbursement claims, financial reports and audits in connection with the account. Unofficial financial reports prepared outside the Accounting Office must receive clearance from the Accounting Office before being released.
  4. The fiscal agent or project director is responsible for progress reports or technical reports on the project. A copy of the progress reports should be sent to the Director of Research and Sponsored Programs.
  5. Personnel may be assigned to grants and contract projects only through the regular University employment procedures. The Director of Research and Sponsored Programs, through the Accounting Office, shall ensure that the appointment is a valid charge against the grant or contract, that funds are available, and that the appointment is not outside the termination date of the project.
  6. The Director of Research and Sponsored Programs shall be responsible for ensuring that persons engaged in grant or contract-funded activities do not have conflicts of interest that could compromise the integrity of the activities and of the University as a consequence.
  7. The Director of Research and Sponsored Programs shall be responsible for determining that appropriate provisions are made to safeguard human subjects involved in any sponsored research activity.
  8. The Director of Research and Sponsored Programs shall work with the Director of Human Resources in implementing the requirements of the Federal Drug-Free Workplace Act of 1988.

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