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

Proposals submitted by faculty, staff, or students of Michigan Technological University are viewed as a formal offer made by Michigan Tech. Therefore, all proposals are to be reviewed for compliance with internal policy and procedures and 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. Contact SPO/IIE to get in the queue for submission. SPO/IIE staff will provide support in the area of budgeting and interpretation of internal and sponsor proposal submission requirements.
  2. All proposals involving animal, human subjects, materials, or biologics must be submitted to the appropriate University committee prior to the time of submission, and reviewed and approved before work supported by sponsor funds is started.
  3. Work with SPO/IIE regarding the financial portion of the proposal and submission requirements.
  4. Obtain department chair and dean/director or higher in the supervisory chain-of-command approvals on a transmittal sheet.
  5. Obtain conflict of interest review and approval from the conflict of interest coordinator, if applicable.
  6. Forward the transmittal sheet, investigator certifications, proposal package, authorized cost-share/matching support form (if applicable), sponsor required documents, and submission instructions, to SPO/IIE by the internal proposal deadline for review, authorization, and submission.

SPO or IIE will prepare a formal letter of transmittal to the potential sponsor. This letter must accompany the proposal when it is sent to the sponsor. 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.


Revised:
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.