Endorsement Process

Middlebury’s internal endorsement procedure uses InfoEd’s online Proposal Endorsement and Tracking (PET) form (replacing the paper form that had come to be known as the “blue sheet”) to collect information about proposals for external funding and to document compliance with Middlebury and sponsor policies and federal regulations.

Faculty and staff will be provided information about the online PET form and endorsement process when they notify OGSP that they are working on a grant proposal. The Principal Investigator or Project Director (PI/PD) is responsible for filling out the online PET form. OGSP staff may facilitate this process.

Middlebury Institute

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 online grant PET form. The Director of Foundation Relations and Institutional Grants manages this process. For more information about endorsement procedures, contact Meghan Rasmussen at (831) 647-3556 or by email at mrasmussen@miis.edu.

Frequently Asked Questions

Q When is a grant proposal endorsement form required?

A grant proposal PET form is required for all grant proposals— including preliminary proposals, letters of inquiry, and letters of intent—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 Middlebury 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)

Q What attachments must you include?

The online grant PET form must be accompanied by the following:

Final budget and budget justification
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)

All documents can be uploaded into the online PET form. The proposal draft need not be highly polished; simply include enough information to ensure that reviewers can understand what you plan to do.

Q Who must electronically sign the online grant PET form?

The PET form always must be signed (electronic certification) by the following:

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 Principal Investigator or Project Director (PI/PD) is responsible for filling out the Proposal Endorsement and Tracking form and initiating the online process, which will collect electronic signatures from the department chair/supervisor and the responsible senior administrator.

We will facilitate any other required approvals, via the online process or email.

Endorsement form Procedures

Plan to complete the Proposal Endorsement and Tracking form no less than six business days before you plan to submit the proposal. Time must be budgeted for required approvals and Grants Office review of the final budget and all institutional issues. Depending on the circumstances, you may need to allow more time.

New Proposals, Renewal Proposals, Resubmissions

Follow this procedure for all grant proposals including the following:

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

Start the endorsement form process as soon as your budget is final.

Fill out the online grant proposal PET form completely
Attach your final budget and budget justification, draft proposal, and any other attachments. For a resubmission, you can attach a copy of the previous proposal instead of a new draft proposal. Make sure to also include any certifications or assurances required by the sponsor and any forms that require an institutional signature.
Submit the online PET form and follow the prompts to certify your approval. Complete this process at least six business days before the proposal submission deadline (earlier is better and may be required for complex proposals).

Revised Budgets

Contact us for procedures when the sponsor has requested a revised budget for a grant that has been approved for funding by the sponsor but not yet formally awarded by the sponsor.

Continuations

Contact us for procedures to follow when second- and later-year budgets of approved multiple-year grants require an authorized institutional official’s signature.

Supplements

Contact us for procedures to follow when requesting a Supplement to an existing grant. In most cases, these are treated as New Submissions.

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.

Other Signatures

Additional approvals 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 approvals usually can be provided by email. Forward to OGSP any email approvals you have secured for your project.

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. Middlebury 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 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 nonstandard 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: Associate Dean of Sciences, Arts: Associate Dean of Arts, all others: Dean of Curriculum). You may also need to discuss with a person responsible for that type of equipment (e.g. ITS administrator). Estimate annual maintenance costs and provide Middlebury 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 ITS 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 the IRB will be notified via the online PET process for all projects involving human subjects. Only the IRB can determine whether a proposal is exempt from review.

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 the IACUC will be notified via the online PET process of all proposals involving animal research; it is recommended that you discuss your project with the IACUC Chair or Associate Director for Research Compliance so that you have adequate time to submit a protocol and get it approved before the grant begins.

rDNA or Biohazards and Radioactive Materials

No work with recombinant DNA, biohazards, or radioactive materials can be done at Middlebury without review by Middlebury’s Institutional Biosafety Committee. Contact Associate Director for Research Compliance for more information.

Responsible Conduct of Research

If you are applying for a grant from the National Science Foundation (NSF), please note that you will be responsible for complying with the NSF-specific requirements related to Responsible Conduct of Research training for students involved in your grant-funded research.

Export Controls

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

Department Chair Review

The Department Chair reviews proposals by faculty in his or her department. The Department Chair’s signature on Middlebury’s grant proposal endorsement form indicates that the Chair has assessed the likely effects of the project on faculty time commitments and on department, curricular, and institutional resources and is also aware of any compliance requirements for the project.

Administrator Review

An appropriate administrator within Information and Technology Services must review projects that involve central technology such as servers, data storage, data security, or programming; extensive use of computers or software; or special installation for computers. Projects that include a Data Management Plan should be reviewed by an appropriate member of the Library staff. These persons will be notified about such proposed grant projects via the online PET form process and any formal approvals will be documented in the OGSP files.

Senior College Administrator

For most undergraduate faculty grant proposals, the appropriate senior administrator is the Dean for Faculty Development and Research (DFDR). When the DFDR is unavailable, another academic administrator may sign, in the following order: Vice President of Academic Affairs and Dean of the Faculty, Dean of Curriculum. The Dean of Curriculum must provide online approval for proposals that specify equipment or curriculum obligations; Director of Sciences approves equipment that will be housed in Bicentennial Hall. Endorsement approval may also be required from the Provost, the Vice President for Academic Affairs, and Dean of Faculty, the Dean of Language Schools, the Dean of International Programs, or other senior administrator.

For institutional grant proposals, the Director of OGSP determines the most appropriate senior administrator.