Sponsored Research

West Chester University

Filano Hall, Room 205
West Chester, PA 19383
610-436-3557
fax: 610-436-2689
mgagne@wcupa.edu


Working with OSR & WCU Foundation

It is essential that the roles of the Office of Sponsored Research and the WCU Foundation Office are carefully coordinated. The development of healthy relationships between the university and private funding agencies relies on effective coordination between the two offices and the avoidance of competing proposals to the same agency. To this end, we have defined sponsored projects, the respective roles of the two offices, and a procedure for handling sponsored research proposals. If followed, the procedure described at the end of this document should eliminate any conflict of intent on the part of the two offices.

Criteria for Defining Sponsored Research
Sponsored Projects
Respective Roles of the Two Offices
WCU Foundation

Procedure
Responsibilities of Principal Investigator
Responsibilities of Office of Sponsored Research
Responsibilities of WCU Foundation

Criteria For Defining Sponsored Projects

Sponsored Projects are established when funds are awarded to the University by external sources in support of research, instruction, training, or service under an agreement that includes any one of the following criteria:

  1. The award instrument is an agreement that binds the University to a set of terms and conditions and requires endorsement and/or assurances.
  2. The agreement obligates the investigator to a line of scholarly or scientific inquiry that typically follows a plan, provides for orderly testing or evaluation, or seeks to meet stated performance goals.
  3. The agreement establishes an understanding of how funds will be used or includes a line item budget that identifies expenses by activity, function, or project period.
  4. The agreement requires fiscal accountability as evidenced by the submission of financial reports to the sponsor, an audit provision, or the return of unexpended funds at the conclusion of the project.
  5. The agreement obligates the investigator to report project results or convey rights to tangible or intangible properties resulting from the project. Examples of tangible properties include equipment, records, technical reports, theses, or dissertations. Intangible properties include rights in data, copyrights, or inventions.
  6. The agreement seeks considerations such as indemnification or imposes other terms that require legal accountability.

Respective Roles of the Two Offices

Office of Sponsored Research. In the pre-award stage of the grant process, the researcher is developing a proposal to submit to a sponsor for funding consideration. The OSR encompasses all aspects of pre-award administration, including sponsor identification, proposal preparation, proposal review, proposal submission, pre-award negotiation, human subjects and animal welfare review, verification of any cost sharing or matching requirements, patent negotiation, and university approval and authorization of proposals. Specifically, the OSR will:

  • Assist the researcher in identifying potential sources of funds. Maintain information on procedures for applying for funds from various agencies. Maintain a stock of standard application forms for commonly approached agencies.
  • Assist the researcher in proposal development.
    • Develop personnel and supplies budget.
    • Verify matching or cost-sharing agreements.
    • Affirm that correct indirect cost recovery rates are applied.
    • Ensure compliance with university and government regulations such as those involving human subjects, animal welfare, hazardous substances, conflict of interest, and patent policies.
    • Upon request, review and critique the proposal.
  • Approve the final budget and ensure that proposals are routed for appropriate signatures and meet specified deadlines.
  • Make the appropriate number of copies, ensuring that all required forms and information are present, and mail to the agency.

The OSR does handle other responsibilities pertaining to the grant after the award is made. They include the following duties:

  • Monitor expenses and encumbrances charged to the grant to ensure compliance with the agreement or contract. (Dual with Restricted Funds Office.)
  • Assist researcher in the preparation and filing of progress reports and other required reports.
  • Monitor indirect cost return and ensure that funds are expended according to University policy and federal requirements.

WCU Foundation

The Foundation is responsible for privately funded endowment, scholarship and other general University projects. It often requests funding from foundations for University projects and it solicits support from private benefactors. The WCU Foundation also works with the OSR when applications for sponsored projects are submitted to agencies responsible for the distribution of private funds. It is essential that the WCU Foundation be approached when seeking funding from private sources. They are responsible for coordinating submissions to such agencies from all constituencies at the University and only they can clear a proposal for submission to private sponsors. Such coordination is vital to the development of good relationships between private sources and the University. Specific duties of this office include the following:

  • Must clear a proposal for submission to a foundation or other private agent prior to submission.
  • Provides assistance in locating suitable sources of private funds.
  • Advises on how to approach private agencies and can assist in making contacts with officials of selected agencies.
  • If a Letter of Intent is required prior to submission of a full proposal, the WCU Foundation can assist in preparing this letter. While not required, it is advised that a copy of such a letter be submitted to the OSR. In the event that the Letter of Intent results in the request for a full proposal, advance warning can assist the OSR in providing assistance in the preparation and clearance of the final, full-length proposal.
  • Assists in obtaining the appropriate letters of endorsement from university officials for proposals to private agencies.
  • Provides cover letter from the President of the University to accompany all proposals.
  • Will provide signatures of approval on behalf of the WCU Foundation on the WCU Grant/Contract Cover Sheet for all Public and Private Sponsors that must accompany all proposals for sponsored projects.

Therefore, the signatures required on a full proposal submitted to a private agency include:

Principal Investigator
Faculty Dean
Associate Vice President
Director, Restricted Funds
Vice President for Advancement (or designee)
Provost and Vice President for Academic Affairs

Signatures should be obtained in the order listed. Once the principal investigator obtains the signature of the Faculty Dean, the OSR can obtain all remaining signatures for the principal investigator, and will coordinate the submission of the proposal to the agency with the WCU Foundation.

Procedure

Responsibilities of Principal Investigator

Obtain clearance from the WCU Foundation, to approach Corporate and foundations for research related projects. 

Prepare and submit Letter of Intent, if necessary, with assistance from the WCU Foundation.

Prepare proposal with assistance from OSR and the WCU Foundation.

Complete WCU Grant/Contract Cover Sheet for all Public and Private Sponsors, providing all requested information.

Obtain approvals of Human Subjects, Animal Research, and/or Hazardous Substances Committees if necessary.

Obtain approvals:

  • Dept. Chair
  • Academic Dean

Submit complete proposal with all supporting documentation (including Presidential cover letter) and the Cover Sheet to OSR.

Responsibilities of Office of Sponsored Research

Obtain all remaining required approvals on WCU Grant/Contract Cover Sheet for all Public and Private Sponsors:

  • Associate Vice President (Dr. Michael Ayewoh)
  • Director, Restricted Funds: (Lisa Westervelt)
  • VP for Advancement (or designee): (Mark Pavlovich)
  • Provost: (Dr. Linda L. Lamwers)

Copy and submit proposal to foundation, etc.

Responsibilities of the WCU Foundation

Review advance requests for Foundation clearance. Notify both the Principal Investigator and the OSR with decision. Or, the Foundation can notify the OSR and they will notify the Principal Investigator. This entire exchange can be conducted via email.

Assist Principal Investigator with Letter of Intent if necessary and other forms of assistance.

Upon receipt from the OSR, review completed Grant/Contract Cover Sheet and proposal prior to submission to agency. Clear (or not clear) proposal for submission to agency and return to OSR.