Appendix D. Externally Sponsored Grant/Contract/Agreement Submittal Process

Proposals submitted by faculty, staff, or students of the University are viewed as a formal offer made by the University.  All proposals are to be reviewed for compliance with internal policy and procedures and are generally endorsed by an authorized University official.  Any person preparing a proposal for submission to an external sponsor for a restricted grant/contract/agreement must work with the Sponsored Programs Office (SPO) or the Office of Innovation and Industry Engagement (IIE) prior to formal submission.  The procedure for submission is described below.

  1. Principal Investigator (PI) contacts SPO/IIE to get into the queue for submissions.
  2. PI works with SPO/IIE staff regarding the financial portion of the proposal and submission requirements as they provide support in budget preparation and in the interpretation of internal and sponsor proposal submission requirements.
  3. If any of the following situations exist, the PI must initiate/complete additional applications/forms prior to the internal proposal deadline:
    1. Cost Share in project budget-PI initiates an electronic cost share form through the University’s Banweb login.  All cost share contributor electronic approvals must be obtained in Banweb.
    2. Animal/human subjects or materials, or biologics are involved in project-PI submits an application to the appropriate University committee through the University’s compliance and research management software IRBNet.org.  Note, committee review and approval is not required prior to the proposal’s submission to the sponsor.
    3. Any investigator (PI or Co-PI) with a conflict of interest must disclose it to the conflict of interest coordinator by completing and submitting a Conflict of Interest Disclosure cover sheet.  Note: all conflicts must be mitigated before the sponsored work begins.
    4. Subawards in project budget-Each subaward entity included in the budget as part of the proposal must complete a Subrecipient Commitment form or a Subrecipient Letter of Intent.  The PI initiates these requests and ensures completion.
    5. Independent Contractor/Consultant in project budget-The PI initiates an Independent Contractor Questionnaire form for each party budgeted as such.  If deemed by University as independent contractor/consultant, the entity will be budgeted as such for proposal purposes.
  4. PI forwards the complete transmittal sheet, proposal package and submission instructions to SPO/IIE by the internal proposal deadline for review and authorization.
  5. SPO/IIE will submit the proposal to the sponsor and forward a copy of the final proposal to the PI and their department.

Revised:
1/22/2018 - Annual Reivew: To reflect current practive, changed from the old language to the new language.
12/08/2016 - Annual Review: To reflect current practice added "students" to the sentence "Proposals submitted by faculty, staff, or students of Michigan Technological..." Changed "faculty or staff" to "person" in "Any person preparing a proposal for submission..." Added "/agreement" and changed "should" to "must" in " a restricted grant/contract/agreement must work with the Sponsored Programs Office..."
02/13/2015 - Annual Review: To reflect current practice, the email address for questions is now policy@mtu.edu. "Appendix D. Externally Sponsored Grant Submittal Process" now reads "Appendix D. Externally Sponsored Grant/Contract/Agreement Submittal Process". Item B. read "... supported by University funds is started" now reads "... supported by sponsor funds is started." Item F. read "... (if applicable), and submission instructions, ..." now reads "... (if applicable), sponsor required documents, and submission instructions, ...". Added "materials" to "All proposals involving animal, human subjects, materials, or biologics..." Added "by the internal proposal deadline" to "...SPO/IIE by the internal proposal deadline for review, authorization, and submission."
03/12/2014 - Annual Review: Updated Michigan Tech and Handbook banners. "Any faculty or staff preparing a proposal for submission to an outside sponsor ...." now reads "Any faculty or staff preparing a proposal for submission to an external sponsor .....". Item B. "All proposals involving animal or human subjects must be reviewed by the appropriate University committee prior to the time of submission, or before work ..." now reads "All proposals involving animal or human subjects, or biologics must be submitted to the appropriate University committee prior to the time of submission, and reviewed and approved before work ...". Item E. "Obtain conflict of interest review and approval from the conflict of interest coordinator" now reads "Obtain conflict of interest review and approval from the conflict of interest coordinator, if applicable." Item F. "Forward the transmittal sheet, conflict of interest approval form, authorized cost-share/matching ..." now reads "Forward the transmittal sheet, investigator certifications, proposal package, authorized cost-share/matching ....". The last two sentences "In addition, SPO/IIE will submit the proposal to the sponsor along with the letter of transmittal to the sponsor. SPO/IIE will forward a copy of the finalized proposal to the Principal Investigator's department and maintain a copy in SPO/IIE." now read "In addition, SPO/IIE will submit the proposal to the sponsor along with the letter of transmittal. SPO/IIE will forward a copy of the finalized proposal to the Principal Investigator, the Principal Investigator's department and maintain a copy in SPO/IIE."
07/12/2011 - Annual Review: Changed "Research Grant" to "Externally Sponsored Grant", revised to reflect current practice, and changed web page contact to hbwebmaster.