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Last Modified: 01/15/2021

Introduction

PUL strongly encourages its staff to pursue and participate in grants, inter-institutional initiatives, and campus collaborations that support its mission, vision, and priorities. Whenever these activities require the allocation of significant library resources such as  staffing, IT infrastructure, supplies, and sustainability, it is imperative that the Library evaluates their viability, sustainability and desirability before any formal commitments are made. The proposal process outlined in this document is designed to ensure that all initiatives of this type are thoroughly evaluated and, to guarantee that the Library will be in a position to successfully fulfill expectations. 

Instructions/Steps

  • Obtain all relevant information from the funding agency (if applicable) and potential partners.

  • Consult with your supervisor about the opportunity. 

  • Supervisor facilitates LSC approval process, if deemed appropriate. This is always required for grants or if an MOU is involved.

  • Prepare and submit the approval form for LSC approval at least a month in advance of when you expect to begin the submission process with the Office of Research and Project Administration (ORPA).

  • LSC sponsor determines where additional input from relevant experts is required before submitting to LSC for review.

  • LSC reviews and communicates its decision on whether to pursue the initiative.  If a grant application is to be submitted it must then be reviewed by the Library’s Office of Finance and Administration prior to engaging with ORPA.

Once a grant has been received, staff are responsible for managing the award in accordance with the  ORPA’s Award Management guidelines.

Post Award

Overview

It is the policy of Princeton University that Principal Investigators (PI’s) are responsible for ensuring the financial integrity of grants and contracts awarded to Princeton University.  This responsibility requires compliance with all sponsor requirements and University policies and procedures.

Purpose

The purpose of this policy is to communicate to University Library PI’s, their responsibility for ensuring the financial integrity of their sponsored research by providing financial oversight of the grants and contracts supporting their research projects.

Scope

This policy is applicable to all University Library PI’s involved in administering sponsored awards.

Responsibilities

As the recipient of grant and contract awards, the University is required to comply with numerous sponsor rules and regulations.  Common to the regulations of all sponsors is the fundamental requirement that a particular grant may be charged only for the costs related to that project.  It is ultimately the responsibility of the PI to ensure that expenditures, whether they are related to personnel, equipment, supplies, travel or other categories, are charged to their sponsored research grants in an appropriate and timely manner.

The PI should work with the Library Office of Finance once they have been notified of an award to discuss personnel dedicated to the project and percentage of effort to properly set up Labor Accounting entries.  The Library Office of Finance can also assist with access to the assigned chartstring specific to the awarded grant.  The PI may delegate responsibility for day-to-day financial management of a grant to others within the department or unit, however, the Investigator must exercise appropriate oversight of the overall finances of the project.  This is necessary in order to ensure that charges to each grant meet the following guidelines:

  1. As they relate to personnel costs, are consistent with the effort expended by those working on the grant.  This commitment is representative not only in the direct charges to the sponsored agreement, but also in the periodic Time & Effort Certification, which all PIs must certify.

  2. As they relate to costs other than personnel, are appropriately charged to the grant.

  3. Carrying out these responsibilities requires that the PI clearly understand and communicate instructions to those performing the day-to-day financial administrative tasks on how to allocate charges among various funding sources.  Additionally, the Investigator must regularly monitor the financial status of the grant.  

  4. The Office of Research and Project Administration and the Library Office of Finance and Administration are committed to supporting the PI to administer the grant in ways that lead to completion of the research outlined in the grant’s scope of work, as well as successful compliance.  Systems, policies and training are continually being developed, enhanced and communicated in pursuit of this goal.

Additional Resources

See Finance and Treasury’s instructions regarding Financial Reports for PIs.

ORPA Contact:

Lauren Coleman
Shared Grants Manager
lc19@princeton.edu or orpa-sharedserv@princeton.edu
Tel 609.258.3329

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