Internal Proposal Endorsement Procedure

Middlebury's internal endorsement procedure uses the grant proposal Endorsement Form (formerly known as the “blue sheet”) to collect information about proposals for external funding and to document compliance with college and sponsor policies and federal regulations.

View the grant proposal Endorsement Form.

The Middlebury Institute of International Studies at Monterey (MIIS) has developed its own internal processes for reviewing and endorsing grant and contract submissions using the Middlebury College grant proposal Endorsement Form. All submissions need to be reviewed by the Director of Foundation Relations and Institutional Grants and approved by the Director of Grants and Contracts Administration as well as the appropriate senior academic officer. For more information about endorsement procedures, contact Meghan Rasmussen at 831-647-3556 or by email.

The Principal Investigator or Project Director (PI/PD) is responsible for filling out the grant proposal Endorsement Form and securing required signatures. OGSP staff may facilitate this process.

When is an endorsement form required?
What attachments must you include?
Who must sign the endorsement form?

 

Endorsement form Procedures

Because grant proposals that require a grant proposal Endorsement Form may not be submitted until the Director of Grants & Contracts Administration  has signed the form, and several offices must review it before it reaches that office, plan to give your endorsement form to OGSP no less than six business days before you plan to submit the proposal. Depending on the circumstances, you may need to allow more time.

New Proposals, Renewal Proposals, Resubmissions
Revised Budgets
Continuations
Supplements

When is a grant proposal endorsement form required?

A grant proposal Endorsement Form is required for all grant proposals* that meet any of the following conditions:

  • application process requires a signature from an “Authorized Organizational Representative”
  • grant will be paid to and administered by Middlebury
  • proposal commits college employee time (other than faculty time that is within the terms of their contract)
  • proposal commits use of Middlebury equipment or space (other than faculty offices)
  • proposal commits, explicitly or implicitly, Middlebury funds (other than faculty leave salary)
  • proposal commits Middlebury to a future action (such as offering a new course developed with grant funds or a project that requires extensive LIS services)

*This includes preliminary proposals, letters of inquiry, and letters of intent.

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What attachments must you include?

The grant proposal Endorsement Form must be accompanied by:

  • the final budget and budget justification
  • the appropriate Conflicting Financial Interest Disclosure form:
  • the most recent draft of the project description (or a memo explaining the project and the PI/PD’s role)
  • any supporting email (for example, email from HR confirming a staff salary or hourly rate)
  • any certifications or assurances required by the sponsor (for example, NIH assurances)
  • all application forms that require an official signature (if any)
  • a copy of the official cover page (if any)

The proposal draft need not be highly polished; simply include enough information to ensure that reviewers of the grant proposal Endorsement Form can understand what you plan to do.

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Who must sign the grant proposals endorsement form?

The endorsement form always must be signed by:

  • all faculty and staff named in the proposal
  • the supervisor or department chair for each faculty or staff member named in the proposal
  • the appropriate senior Middlebury administrator
  • the Director of Grants & Contracts Administration  (or designee)

The Principal Investigator or Project Director (PI/PD) is responsible for filling out the grant proposal Endorsement Form and securing required signatures. For most faculty grant proposals, OGSP obtains signatures from the senior Middlebury administrator and the Director of Grants & Contract Administration.

If the PI/PD is department chair (or supervisor) or is the spouse/partner of the department chair (or supervisor), or if the department chair (or supervisor) is unavailable, the appropriate senior College administrator signs in lieu of the department chair (or supervisor).

A supplemental grant proposal endorsement form can be used, if necessary, to collect multiple signatures. Contact OGSP for a copy of this supplemental form.

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Other Signatures

Additional signatures are required in the case of certain personnel, equipment and facilities, and research issues, to document that you have discussed these matters with appropriate Middlebury personnel. These requirements pertain to all grants, not just those funded with federal funds. These signatures can be provided by email if necessary, but the Director of Grants & Contract Administration has the right to require original signatures. If you obtain an email signature, please ask the sender to cc OGSP.

Middlebury cost-share: Some grants require matching funds from Middlebury, and at other times a Middlebury contribution might strengthen your proposal. Discuss cost-sharing requirements with OGSP. The College maintains a matching fund for faculty grants; contact Franci Farnsworth for more information.

Course release time: Discuss all course releases with your department chair. Once you have the approval of your chair, the next step is to consult with the Director of Sciences and Dean of Curriculum. Working together, they’ll all assess the impact of a course release on department and college curriculum. Ultimately, the Dean of Curriculum must approve course releases.

New PhD-level position: Discuss any proposed new grant-funded PhD-level positions with the Vice President of Academic Affairs, who must approve. If the position is approved, contact Human Resources to verify salary and benefit details.

New staff position: Contact Human Resources to verify salary and benefit details for proposed grant funded positions (other than students).

Unusual student arrangements (housing, wages, program): Discuss any non-standard grant-funded student arrangements with the Undergraduate Research Office.

Equipment and facilities: If you plan to purchase equipment (including computers and media equipment) you must address concerns about location, installation, storage, maintenance, service contracts, etc. Discuss proposed equipment with your department chair, and the appropriate administrator (Sciences: Director of Sciences, Arts: Director of Arts, all others: Dean of Curriculum). You may also need to discuss with a person responsible for that type of equipment (e.g. LIS administrator). Estimate annual maintenance costs and provide College budget numbers (and authorizing signatures) for the accounts that will be charged, both during the grant period and after it expires.

Central technology, computers, servers, software: Discuss computer-related needs, including computer purchases, access to servers, and data management plans, with LIS staff.

Human subjects: Many sponsors withhold awards for projects that involve human subjects unless the project has been approved by the IRB. Middlebury does not require you to obtain IRB approval before you submit your grant proposal, but you must notify the IRB Chair that you intend to submit a protocol, and you must submit the protocol to the IRB within 60 days of submitting the proposal so that approval will be in place when you are funded. Only the IRB can determine whether a proposal is exempt from review. If your protocol has already been approved, you don't need the Chair's signature; simply supply the date on your approval letter.

Animal research: Many sponsors withhold awards for projects that involve vertebrate animals unless the project has been approved by the IACUC, and some will not allow you to submit the grant proposal unless you already have applied. Middlebury does not require you to obtain IACUC approval before you submit your grant proposal, but you must discuss your project with the IACUC Chair so that you have adequate time to submit a protocol and get it approved before the grant begins. If you already have an existing IACUC protocol number, you don't need the Chair's signature.

rDNA or Biohazards: Discuss the use of recombinant DNA or biohazardous material with the Research Compliance Manager.

Radioactive materials: Discuss the use of radioactive materials with the Research Compliance Manager.

Responsible Conduct of Research: If you are applying for a grant from the National Science Foundation (NSF), you must sign the endorsement form to indicate that you agree to train any student participants in the responsible conduct of research.

Export Controls: If your project involves foreign travel, international shipments, work with overseas collaborators, or other issues as identifieds on the Middlebury Export Controls page, note this on the grant proposal Endorsement Form. No signature is required.

If a grant proposal Endorsement Form is not completed at the time the proposal is submitted (or if there was no official submission, and a check arrives to fund a project), the PI/PD must complete a grant proposal Endorsement Form before a grant fund (Banner FOAP) can be established. In these cases, some signature requirements may be waived by the Director of Grants & Contract Administration, appropriate senior College administrator, or OGSP.

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Procedures

New Proposals, Renewal Proposals, Resubmissions

Follow this procedure for all grant proposals including

  • first-time submissions (including preliminary proposals, letters of inquiry, and letters of intent)
  • proposals to renew grants that have been or will be terminated by the time of the new award
  • resubmissions of proposals that were not funded in a previous competition

Allow two weeks for the endorsement procedure. Start the endorsement form process as soon as your budget is final.

  1. Fill out the grant proposal Endorsement Form completely.
  2. Attach your final budget and budget justification, the signed appropriate conflict of interest disclosure form, and draft proposal. For a resubmission, you can attach a copy of the previous proposal instead of the draft proposal if you are still working. If emails were collected in lieu of signatures, attach these as well. Make sure to also include any certifications or assurances required by the sponsor and any forms that require an institutional signature.
  3. Obtain all signatures other than senior Middlebury administrator and Director of Grants & Contract Administration. Attach a supplemental signature page if needed.
  4. Submit the grant proposal Endorsement Form form to OGSP at least six business days before the proposal submission deadline.

Email submission of electronic documents is preferred. Please do not use campus mail if your deadline is less than two weeks away.

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Revised Budgets

Follow this procedure whenever the budget is revised for a grant that has been approved for funding by the sponsor but not yet formally awarded by the sponsor.

Allow one week for the endorsement procedure. If the revision is straightforward, you may be able to get Middlebury authorization more quickly than is usual with a new proposal. OGSP will notify any administrators who are new since the original grant proposal Endorsement Form was signed.

  1. Fill out a new grant proposal Endorsement Form or make the changes on a photocopy of the original, ensuring that it reflects the revised budget figures and any changes in cost-share, equipment, or other items.
  2. Attach your revised budget, revised budget justification, and revised proposal (if necessary) to the new grant proposal Endorsement Form.
  3. Obtain signatures (or initials, if you are using a photocopy) for additional or changed equipment, revised cost-share, major changes in scope, or changes in other compliance requirements. Attach a supplemental signature page if needed. If emails were collected in lieu of signatures, attach these as well.
  4. Submit the grant proposal Endorsement Form form to OGSP. Email submission of electronic documents is preferred. Please do not use campus mail if your deadline is less than two weeks away.

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Continuations

Follow this procedure for second- and later-year budgets of approved multiple-year grants when an authorized institutional official's signature is required on the budget or submission form.

Allow one week for the endorsement procedure.

  1. Fill out a new grant proposal Endorsement Form form or make a photocopy of the original, ensuring that it reflects the budget figures for the appropriate year.
  2. Attach your final budget and budget justification and the signed appropriate conflict of interest disclosure form.
  3. Obtain signatures  (or initials, if you are using a photocopy) for additional or changed equipment, revised cost-share, or changes in other compliance requirements. If emails were collected in lieu of signatures, attach these as well.
  4. Submit the grant proposal Endorsement Form form to OGSP. Email submission of electronic documents is preferred. Please do not use campus mail if your deadline is less than two weeks away.

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Supplements

Follow these steps to request a supplement to an existing grant.

Allow two weeks for the endorsement procedure. Start the endorsement process as soon as your budget is final.

  1. Fill out the grant proposal Endorsement Form form completely.
  2. Attach your final budget and budget justification, the signed appropriate conflict of interest disclosure form, and draft proposal. If emails were collected in lieu of signatures, attach these as well. Make sure to also include any certifications or assurances required by the sponsor and any forms that require an institutional signature.
  3. Obtain all required original signatures (attach a supplemental signature page if needed).
  4. Submit the grant proposal Endorsement Form form to OGSP. Email submission of electronic documents is preferred. Please do not use campus mail if your deadline is less than two weeks away.

If the supplement is coterminous with the existing grant, and the budget request is consistent with the existing grants's budget (e.g. a supplement to support one additional student), some signature requirements may be waived.