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Rockford University Grant Policies and Procedure


Purpose of Grants

Rockford University encourages the efforts of faculty members and departments to secure funding for research and special projects that enhance teaching, learning, and campus initiatives through grants and contracts.  Grant funds received from governmental agencies, corporations, and private foundations provide the University, its faculty, staff, students, and community with program opportunities not ordinarily funded by the University budget.

The Office of Advancement and Alumni (Advancement) serves as the University’s central registration office for all grant applications and awards, including collaborative and subcontract grant awards.  Advancement maintains University records on grant submissions, awards, renewals, and reports.  Therefore, all grant applications must be submitted through Advancement, and all renewal / continuation grants must be reviewed and recorded by Advancement before any application is submitted.

University Grant Approval

Programs funded by grants involve the efforts of the University faculty, administrations, staff, and occasionally, students – as well as the use of the University’s facilities and resources – in order to advance the mission of the University.  Grants are awarded to Rockford University, not to the individual faculty, staff, or departments.  Accordingly, the University has the responsibility of monitoring the grant process to assure that no proposal is submitted that would impose budgetary or academic obligations on the University that it is not completely prepared to fulfill, or that the University determines to be inconsistent with its mission.  Therefore, the V.P. / Provost of the grant applicant’s department, the Chief Financial Officer, and the President must all approve of any grant proposals for research, programs, projects, etc. before the application process can begin.

Work Performed in Grant Preparation and Execution

Work performed by faculty or staff members in preparing grant proposals and in carrying out grant programs / research on behalf of Rockford University is considered to be part of the faculty / staff member’s duties and responsibilities.  Funds requested for salary reimbursement for time spent on grant projects must reflect the actual salaries of the individual faculty / staff involved.

Ownership of Grant Products and Indirect Costs

Rockford University encourages research and upholds the basic rights of any individuals writing for the University.  On work performed during normal contract periods, all grant products (including copyrights and patents) shall be shared equally between the University and the grant applicant, unless otherwise specified in the grant, contract, or research agreement.

Rockford University has an indirect cost allowance of 10% that must be included in all federal and non-federal budgets submitted, where allowable.

Internal Proposal Approval Process / Responsibilities

All proposals initiated by University faculty, staff, and departments must have completed the Proposal Submission Form.  Completed, signed forms must be on file with Advancement.  The University will not accept grant awards from proposals that were not approved by the appropriate parties.

  1. The grant applicant (the individual leading the proposal project) should notify Advancement of the intent to apply for a grant as early as possible.
  2. The grant applicant or an administrative delegate must complete Rockford University’s Proposal Submission Form in order to receive the necessary approval on applying for the particular grant.
  3. After completing the Proposal Submission Form, Advancement will maintain the form in their files to avoid the potential for duplicate grant applications for the same program. Advancement will provide the Proposal Submission Form to the grant applicant department’s Vice President, the Chief Financial Officer, and the President for their review and approval.
  4. Once the full application is completed, it should be sent to the Advancement Office. Advancement will then provide the full application to the President for final review prior to submission. These documents are due one calendar week prior to the grant deadline date.  Note: Rare exceptions may be made to this timeframe, when necessary and with cause, such as a short turnaround time from the application solicitation to application due date.
  5. All forms should be completed within the timeframes requested above, ensuring that the project is consistent with the University’s mission and with the availability of the University’s resources. This is especially critical when a grant award requires cost sharing or matching funds.  Any budget-relieving, Facilities and Administrative (Indirect) Costs Recovery and/or cost sharing funds or other institutional commitments must be identified and clearly stated in the Proposal Submission Form at this time.
  6. Advancement will secure the signatures of all the appropriate parties. The signatures obtained verify that Rockford University administration has approved of the grant and project plan.

Research, Grant Writing, and Submission Responsibilities / Assistance

  1. Advancement is available to conduct research on the grant applicant’s behalf to find a potential match of funds for a specific project. The project must align with the institution’s mission and provide institutional benefit.  Priority will be given based on a “first come, first serve” basis.  Projects will be prioritized based on institutional benefit.  The grant applicant should prepare a summary of need and submit it to Advancement.  Please allow four working weeks for Advancement to provide funding opportunities.
  2. Advancement and the Business Office are responsible for providing all necessary assurances, compliance statements, etc. and are responsible for ensuring that the University has on file all appropriate compliance assurances required by funding agencies.
  3. The ultimate responsibility for meeting the funding agency’s submission deadline lies with the grant applicant. If the funding agency specifies a deadline date for submission, the grant applicant is responsible for delivering the proposal and any required copies (plus one copy for the University’s records), to Advancement one calendar week before the proposal deadline.  Advancement will be available to help submit the proposal to the prospective funder and with any follow-up contacts prior to a funding decision.

Post-Award Responsibilities

  1. The grant applicant has the primary responsibility for managing the budget of the grant. Advancement will relay the Notice of Award to the grant applicant and the Business Office, once an award is received.  The Business Office will assist the grant applicant in setting up the grant budget account.  Unless otherwise stipulated, the grant applicant is responsible for managing the affairs of the grant.
  2. The grant applicant is also responsible for meeting the deadlines for all grant project reports required by the funding agency. Advancement will be available to send out reminders and provide advice and editorial and other assistance, if requested.  A copy of all project reports must be forwarded to the Advancement Office and the Business Office for the University’s records.