V809.01 Grants and External Funding

Overview

Grant and External Funding is intended to address specific initiatives linked to Valley City State University’s mission but not to support routine operation.

Valley City State University is a non-profit organization by virtue of its status as a member of the North Dakota University System. As such, it is legally authorized to apply for, accept, and administer funds as the fiscal agent for its constituents.

Valley City State University has the institutional responsibility to verify the eligibility of all grant and external funding prior to proposal submission to the awarding agency.

This policy addresses primary roles and responsibilities and establishes guidelines for faculty and staff who are seeking grant and external funding from private, local, state, and/or federal agencies. The following policy includes:

Primary Roles and Responsibilities
Pre-Proposal
Proposal Preparation
Proposal Submission
Award Notification and Acceptance
Post Award
Award Closure
Records Retention
Audit Requirements

1. Primary Roles and Responsibilities

The Principal Investigator (PI) or Project Director (PD) is the primary faculty or staff that is responsible for the preparation, conduct, and administration of the award. The "Principal Investigator" title is typically given to a faculty for research or other sponsored projects. The "Project Director" title is typically given to a faculty or staff that is authorized by the institution to administer other types of projects.
The Co-Principal Investigator is a faculty or staff that may share the responsibilities of the Principal Investigator.
The Department Chair is responsible for reviewing and approving the proposal prior to submission to ensure it is consistent with the department’s mission and goals.
The Vice President for Academic Affairs (VPAA) is responsible for reviewing and approving the proposal prior to submission to ensure it is consistent with the University’s policies and procedures and affirms academic resource availability and commitment.
The Vice President for Business Affairs (VPBA) is responsible for reviewing and approving the proposal prior to submission to ensure it is consistent with the University’s policies and procedures and affirms any letter of intent, in-kind contributions, cost share, match funds, and/or facilities and administration commitments. Most always, the VPBA will be the official authorized signor for award notifications.
The Director for Grant Accounting’s primary role is to ensure expenditures are allowable, allocable, reasonable, and necessary. The Director for Grant Accounting works closely with PI or PD to assist with budget development, grant submission, award acceptance, and ensures fiscal obligations are met throughout the grant term.
The Director for Institutional Effectiveness & Planning is responsible for reviewing and approving any proposal prior to submission that involves human or animal subjects to ensure compliance with the Institutional Review Board (IRB) or Institutional Animal Care and Use Committee (IACUC).
The Chief Information Officer (CIO) is responsible for reviewing and approving any proposal prior to submission that involves any university technology commitments.

2. Pre-Proposal

The intent of a pre-proposal is to inform and capture the interest of the awarding agency.
The PI or PD should determine if a pre-proposal is a requirement or an option.
Pre-proposal requirements set by the agency may include the following:

Request for Proposal (RFP)
Pre-proposal Form
Letter of Intent

d. The PI or PD must complete the VCSU Commitment form and seek the appropriate institutional approval prior to submission for any of the following:

Academic release time
New position/s
In-Kind
Cost Share
Match Funds
Technology Commitments

e. The PI or PD should meet with the Director for Grant Accounting for assistance with any pre-proposal budget requirements.

f. The PI or PD is responsible for submitting the pre-proposal to the awarding agency unless arrangements are made with the Director for Grant Accounting.

3. Proposal Preparation

The PI or PD is responsible for understanding the agency’s rules and regulations and meet the proposal application criteria.
Proposal requirements set by the agency may include the following:
1. Request for Proposal (RFP) from the agency
2. Proposal
3. Narrative Scope of Work
4. Assessment Plan for Meeting Objectives or Goals
5. Budget
6. Budget Narrative or Justification

c. The PI or PD must complete the VCSU Commitment form and seek the appropriate institutional approval prior to submission for any of the following:

Academic release time
New position/s
In-Kind
Cost Share
Match Funds
Technology Commitments

d. The PI or PD should meet with the Director for Grant Accounting for assistance with any proposal budget requirements.

4. Proposal Submission

The PI or PD must meet with the Director for Grant Accounting to review the proposal submission requirements at minimum five business days prior to the proposal submission due date.
The PI or PD must complete the VCSU Proposal Transmittal Form and include the proposal requirements prior to submission.
The Director for Grant Accounting will route the VCSU Proposal Transmittal Form, along with necessary proposal requirements to the appropriate institutional personnel to review and approve as outlined in the primary roles and responsibilities.
The Director for Grant Accounting will submit proposals that are required to go through grants.gov, Fastlane, or any other system that requires VCSU to be registered with.

5. Award Notification and Acceptance

Upon receipt of the award, the PI or PD must notify the Director for Grant Accounting and/or any other appropriate institutional personnel to review the proposed terms of the award prior to acceptance.
If necessary, the PI or PD must discuss any modifications to the award with the Director for Grant Accounting and/or any other appropriate institutional personnel prior to negotiations with the agency.
Once the acceptable award terms have been determined, the Director for Grant Accounting will obtain the appropriate institutional signatures and return the VCSU signed award document to the agency.
Once the fully executed, signed award is received from the agency, the Director for Grant Accounting will request a new project and budget to be set up in PeopleSoft Finance.
Once the project and budget are set up, the PI or PD should

Inform any respective officials involved with project.
Notify the VCSU Marketing and Communications Department to arrange any publicity related to the award.

6. Post Award

The PI or PD will meet with the Director for Grant Accounting to address any post award requirements set by the agency.
The PI or PD will be responsible for submitting any required progress reports.
The Director for Grant Accounting will be responsible for submitting any request for reimbursements.

7. Award Closure

The PI or PD will contact the Director for Grant Accounting to address any close-out requirements set by the agency.
The PI or PD will be responsible for submitting any required final report.
The Director for Grant Accounting will be responsible for submitting the final request for reimbursement.
If a financial report is required, the PI or PD with work with the Director for Grant Accounting to ensure accuracy of the report.

8. Records Retention

Records will be maintained for unfunded and funded proposals according to university policy, agency requirements, and/or government policies regarding retention of archival materials.

9. Audit Requirements

The university will abide by any agency, state, or federal government audit requirements.

Sponsored by: Vice President for Business Affairs

Reviewed: Spring 1996

Revised: December 2012

Revised: October 2015

Revised: April 2022