Externally Funded Grants and Contracts

Month/Year Posted: 
March, 2000
Policy Number: 

Supersedes P 96-8, P 92-8, P 92-1, P 85-12, P 78-13, P 75-8

Pursuant to the California Administrative Code (Subchapter 5 of Part V of Title 5) and related policies adopted by the Board of Trustees, the following policies have been recommended by the University Executive Committee and approved by the President.

  1. Proposals or requests for external funding of research, scholarly, or creative activities and for other special educational projects involving facilities or other resources, including campus personnel, may not be submitted to sponsoring federal, state, county, or city agencies; public or private corporations; or to foundations and other not-for-profit organizations or individuals without first completing institutional routing using the form designed for that purpose. Proposal submission requires final signature by Authorized Signers. The Executive Assistant to the President is the University's Authorized Signer, and the General Manager is Humboldt State University Foundation's Authorized Signer. In the absence of the Executive Assistant to the President, the approval of the President (or Acting President) must be obtained. For proposals responding to solicitations by the Office of the Chancellor, the Authorized Signer is the Dean for Research and Graduate Studies, who will consult as necessary. Additionally, any institutional review procedures described in the solicitation shall be followed.
  2. Humboldt State University Foundation is the auxiliary organization which is designated to function as the contracting agency for grants and contracts. Proposal documents therefore should indicate that the request is submitted for Humboldt State University by and through Humboldt State University Foundation. The Foundation is the repository for Institutional Routing and Authorization Forms and is responsible and accountable via the project sponsor for the proper expenditure of funds. Grant and contract award agreements are to be signed by the Foundation's Authorized Signer.
  3. The Foundation manages and meets the needs of research projects, workshops, institutes, and cooperative relationships with various funding entities. It utilizes resources coming from the federal government, state contracting agencies, and other grant-making entities, but it is not supported by the University Support budget. Externally funded grants and contracts become an official commitment of the University, and various University officials give attention to such matters while they perform their official State functions. The University, in giving its commitment to a project, is faced with the direct or indirect use of State funds to accommodate the physical needs of a project.
  4. The University shall critically review proposals to be forwarded for funding through the Foundation. Specifically, detailed scrutiny of three-year projections of program directions and growth as implied in academic proposals becomes essential prior to University approval.
  5. All proposals must be submitted for review at least six work days prior to the deadline mailing date. Proposals shall contain thorough descriptions of University space implications, and budgets shall provide for any space modification expense. All facility modification requires advance approval of the Office of Physical Services.
  6. Proposals containing institutional cost-sharing shall provide a detailed budget of cost sharing components, regardless of whether such costs are cash or in-kind. If State funds are involved, prior approval must be obtained.
  7. All costs, both direct and indirect, shall be recovered for each project.
  8. Humboldt State University Foundation staff shall review the fiscal aspects of each proposal, and, where appropriate, shall review them with the University's Director of Fiscal Affairs.
  9. Proposals which will affect the instructional program in the areas of personnel, facilities, or equipment must have prior approval, by signature on the Institutional Routing and Authorization Form, of the Dean for Research and Graduate Studies.
  10. Travel of project staff in connection with project activities requires advance authorization. Claims for reimbursement, if related to two or more projects or two or more sources of funding, must contain a statement that duplicate payment has not been and will not be sought.
  11. Computations of salary and release time, and method of compensation, are subject to precise regulation and are based upon academic year or fiscal year salary.
  12. Before any project hiring occurs, equal opportunity guidelines shall be followed.
  13. Equipment acquired through grant, contract, or similar funds becomes institutional property unless reclaimed by the funding source.
  14. Budget modification of grants and contracts requires approval of the grantee (HSU Foundation) prior to submission to the grantor (funding source).
  15. State facilities may not be utilized for personal benefit or for commercial uses. Employees who obtain grants and contracts which require the use of campus facilities or equipment can avoid conflict with laws and policies by ensuring that grants and contracts are administered through the appropriate campus entity.

Distribution: All faculty and staff