PURPOSE: To secure appropriate authorization for projects to be conducted under the purview of the university.

Source: Office of Grants and Contract Services

 Applicability: All proposals for instruction, research, public service, creative or other academic projects that are submitted to organizations outside NAU, that are subject to regulatory or sponsor requirements, and that involve a commitment of university resources except:

    1) proposals and applications for undergraduate financial aid

    2) procurement of supplies and services through Purchasing Services

    or

    3) unrestricted gift solicitations under the purview of the Development Office

 Policy: All proposals for external sponsored support that are subject to regulatory or sponsor restrictions and that involve a commitment of university resources must be reviewed and approved by the appropriate academic and administrative unit officials.

The responsibilities of the reviewing and approving officials include discussing significant aspects (such as release time, space, indirect cost recovery, etc.) of the proposed project with the project director.  Academic and administrative unit officials also have the responsibility for considering and determining:

    1) proposal merit within the unit's priorities

    2) commitment of unit's resources

    3) eligibility of the individual designated as project director to serve in that capacity.

Project directors on sponsored projects normally should be regular employees of the university.  ( A regular employee is one employed to work for a period of six or more months; one exception to "regular employee" status can be professor emeritus.)  The responsibility for approving an academic employee as a project director rests with the department chair (or unit director) and the dean (or division head).  The responsibility for approving a nonacademic employee as a project director rests with the unit director, division head, and vice president.

Signatures of the appropriate administrators on the Proposal Routing and Approval form indicate their approval of the proposal, any associated commitment of university resources, and the designated individual's eligibility to serve as project director.

Procedure

    1) Project Director/Principal Investigator discuss the intent to submit a proposal with the department chair or unit director and others involved in reviewing, routing, and/or approving the proposal.

    2)Complete Office of Grant and Contract Services proposal notification form.  This is an informational form only, not required. (Link to OGCS Form)

    3)Principal Investigator completes proposal approval form.  (Link to OGCS Forms) The Principal Investigator completes the "Proposal Activation Form" (colloquially called the "Blue Routing Sheet"), and obtains any necessary approvals concerning the use of animals, human subjects, recombinant DNA or ionizing radiation.  If subcontracts are to be issued to other institutions, the Principal Investigator obtains proposals from the other institution.  If the proposal is to a non-governmental agency, the Principal Investigator completes a Conflict of Interest Statement.  The Principal Investigator then obtains necessary review, approval and signature of chairs, directors or deans on the Proposal Approval Form (PAF).  Once approved by the respective chair and dean, the Principal Investigator forwards all original materials to the Office of Grant and Contract Services at least 3 working days before the agency filing deadline.

    4)Responsibilities of the Office of Grant and Contract Services in the Proposal Submission Process: The OGCS contact person verifies that the proposal has been properly reviewed, has the appropriate prior approvals, and meets the requirements of the sponsoring agency as well as the University, and maximum allowable indirect costs, except in those cases where the sponsor has limited the University's indirect cost recovery, or acceptance of a lower indirect cost rate has been justified in writing by the Principal Investigator and approved by appropriate institutional officials as being in the best interest of the University.  In addition, the certifications required from the Principal Investigator for federal proposals must also be made on behalf of the University.  Finally, this endorsement certifies that the proposal is a valid offer by the University to undertake the proposed work under the terms defined by the proposal.

Certification forms or requirements are included with application kits or in the program announcement.  The forms should be included with the proposal when it is delivered to OGCS.  Principal Investigators should also include with their proposals certifications required of their subcontractors, as indicated in instructions included with the certification itself.  Except for certifications specifically requiring an individual's signature, the institutional endorsement of a proposal will be provided by the Associate Provost.  When all is in order OGCS will provide authorization and submit the proposal

            Link to Office of Grants and Contract Services

Purpose: To assure that award term and conditions, are acceptable to NAU and the Board of Regents.

Source:  Arizona Board of Regents Policy Manual. Office of Grant and Contract Services.

Policy:  External funding agreements require the signature of an authorized official of NAU.  Only those persons specifically authorized by the Board of Regents may sign agreements with external organizations.  For this reason, all award documents, whether grants, contracts, interagency service agreements, intergovernmental agreements, or letter agreements, must be submitted to the Office of Grants and Contract Services.

Definitions: 

    Contract:  An agreement to acquire, purchase, or lease property or services.  A contract will include a detailed statement of work, deliverables, and budget along with legally binding contract clauses required by the state.  Each contract must be reviewed and recommended for approval by the project director.

    Grant:  An agreement to transfer money, property, services or anything of value to accomplish a purpose such as support or assistance in an area of interest to the grantor.  A grant will contain a statement of work that allows the project director freedom to determine how the work will be done and minimal deliverables.

    Intergovernmental Agreement:  A contract whereby two or more public agencies may contact with each other provided that such contracts are authorized by the governing bodies of each agency and that the contracts are executed in accordance with Arizona law ( Arizona Revised Statues 11-951)

    International Agreement:  Any contract with a foreign country or an agency of a foreign country (including companies, organizations, or governments), or any agreement in which the university will be acting in a foreign country.

Procedure

Financial and Project Management: A Matter of Teamwork:

These procedures summarize the financial services functions of the OGCS and the OSPS and describes procedures to be followed by the principal investigator and/or department representatives in managing awards.  Grant and contract administration is a team effort!

How the Team Works Together

Although the principal investigator has primary responsibility for the management of the sponsored project, the OGCS and the OSPS provide the principal investigator with technical contractual advice and the financial information necessary to effectively manage sponsored projects and assures that all parties comply with the terms of the sponsor's agreement.  The OGCS and the OSPS act as liaisons between the University, the sponsoring agency and the principal investigator in order to assist the principal investigator in management of their projects.  THE OGCS and the OSPS also provide assurance that sponsored projects are properly authorized and conducted in conformity with administrative and fiscal requirements of the sponsoring agency and the University.

The Award Process

The following illustrates the process by which an award is received and an account is established.  Once the sponsor has reviewed a proposal and made the determination to fund, the principal investigator or the OGCS receives a "Notice of Award."  The OGCS reviews the funding documents and prepares a "Sponsored Project Activation Form."  The necessary documentation includes an award letter, budget and a scope of work.  The OGCS then obtains a financial information system (Advantage) account number for the Office of Sponsored Projects Services.  The OGCS then distributes the award documentation to the principal investigator, Office of Sponsored Projects Services, department chair, and dean.  The respective department then assigns a department representative.

NAU Acceptance and Processing of Award

All financial transactions including encumbrances, expenditures, and revenues to complete sponsored projects shall be accounted for in a unique AREA/ORGN (this is synonymous with an Advantage account number), assigned by the OSPS.

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