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Grants 101: Internal Procedures
Prepared by Sarah Reaves
2014
Protocol for
pre- and post-award
grant procedures
and administration
at LCSC
PRE-AWARD PROCESS
o PROJECT DEVELOPMENT
Draft a well thought out project proposal and logical budget.
o PROJECT AWARENESS
Discuss the feasibility of a proposed project and budget
logistics with immediate supervisors and/or Division Chairs.
o COLLABORATORS
Ensure all collaborators are completely committed to the
proposed project.
o GAARP
Submit a Grant Application Approval Request Procedure
(GAARP) form to obtain institutional approval.
o GRANT SUBMISSION
Route documents to the appropriate departments.
o FOLLOW UP
Keep all affected departments abreast of a proposed project’s
grant status.
GAARP
o Grant Application Approval Request Procedure.
o Available online on the OGC website in Word and PDF .
o Comprised of:
o Project Information & Signature Pages
o Project Abstract
o Budget
o Comments Page
o GAARP Instructions
GAARP: Project Information
• Project Title
The institutional identity of the award; not the title of the grant being
applied for.
• Principal Investigator
The primary Principal Investigator (P.I.) for LCSC. (Must be a full-
time LCSC employee; i.e. adjunct and IH employees may not serve as
the primary P.I. on a grant.)
• Project Director
If different from the Principal Investigator.
• Department
Where the project will be housed.
• Funding Agency
Provide a website link to either the RFP or grant guidelines Funding
type (e.g. federal, state, foundation, other)
• Application Deadline
GAARPs are required to be submitted and completed at least 7 days
prior to the grant submission deadline.
• Project Dates
• Sub-contract & Sub-contracting Agency
When LCSC is not the fiscal agent or isn’t the primary P.I.
• Estimated Award Amount
The amount anticipated from the grant award; not the entire project
budget.
• Matching Amount
The amount LCSC is expected/required to commit to the project
against the grant.
• Indirect Costs Amount
On federal and state grants, institutions may build an indirect costs
line-item into the budget. Please refer to the OGC website or the
Budget Office for more information.
GAARP: Project Types
Research Student Support
Training Facilities/Equipment
Service Manuscript
Exhibit Contracted Services
Operating Support Conference
Materials/Supplies Personnel Costs
Event Professional Development
Planning Instructional Activity
GAARP: Project Involvement
Hiring Students Chemical Hazards
Hiring Additional Personnel Radiation Hazards
Additional Space Animal Research
Equipment Purchase Humans as Subjects
Patents or Copyrights Recombinant DNA
Property Agreements Blood Borne Pathogens
Confidentiality Agreements Safety Concerns
Biohazards
GAARP: Project Information
• The purchase of IT related equipment
Review and approval from the IT Director is necessary.
• Additional space and/or large equipment or furniture
Review and approval from the Physical Plant Director
is necessary.
• Collaboration with other LCSC departments and/or outside
organizations
Review and approval from all participating
collaborators is necessary.
• Tracking student outcomes
Review and approval from the Financial Aid Director is
necessary.
• Institutional obligation beyond the project period
Review and approval from the Provost is necessary.
• Humans as subjects
Review and approval from the Institutional Review
Board is necessary.
• Animal research (vertebrate creatures)
Review and approval from the University of Idaho
Institutional Animal Care and Use Committee
(IACUC) is necessary.
GAARP: Required Signatures
• Principal Investigator
• Division Chair/Department Head
• Dean
• Office of Grants & Contracts Director
• Budget Office Director
• Vice President of Finance & Administration
• Provost*
For projects involving research, award amounts over $10,000, and/or
that commit the institution or over a year.
GAARP: Dependent Signatures
• IT Director
Projects involving computer, camera, printer, etc. purchases.
• Financial Aid Director
Projects involving student scholarships.
• Physical Plant Director
Projects involving large equipment or facility renovations.
• IRB
Projects involving humans as research subjects.
• Other Coordinating Department
Projects involving/committing any additional LCSC department.
• External Coordinating Department
Projects involving/committing any outside organization.
GAARP: Supporting Documents
• Request for Proposal
May be an attachment or a link to the RFP webpage.
• Project Abstract
May be a one-page abstract on the page provided in the GAARP, or an
attachment of the proposal.
• Project Budget
• The total project budget, including the award amount, LCSC
match, and any additional project funding.
• PDF format will auto-calculate.
• May use line-item budget provided in the GAARP, or attach a
copy of the proposal budget.
• GAARP Comments
GAARP: Technical Aspects
• Word Document
Budget does not auto-calculate
Hand-written signatures
Routed via interoffice mail
• PDF Portfolio
Additional documents may be added
Budget auto-calculates
Electronic signatures
Email routing
Grant Submission
Submitting the Grant
o Permitted once a fully executed GAARP is returned to the OGC.
o The OGC does not submit grant applications unless by
arrangement.
o Copy all submitted proposals, applications, submission receipts,
and additional documents to the OGC.
Follow Up
o Award Documents
Send original to the Office of Grants & Contracts.
o Letters of Decline
Copy to the Office of Grants & Contracts.
o Keep the OGC and your supervisors aware of grant status!
POST-AWARD PROCESS
o AWARD NOTIFICATION
Award letters, contracts, agreements, emails, subcontracts, etc.
must be sent to the OGC upon receipt.
o NEW ACCOUNT REQUEST FORM
The OGC will send a New Account Request form to establish a
new cost center for the grant. (This form is available online.)
The OGC will alert the PI and/or Project Director of the new
account, enabling expensing.
o PERSONNEL ACTION FORMS
Prepare and submit PAs (when applicable) for LCSC employees
paid by grant dollars.
Grant Financial Management
Arrange invoicing and analysis schedule that works for the funding
agency, PI and /or Project Director, and the Grants Office.
Grant Analysis
• The OGC tracks monthly financial activity and provides PIs,
Project Directors, support staff, Division Chairs, etc. with a
monthly analysis.
• Errors are caught in a timely manner.
• Expenses are approved by designated person (PI or Project
Director), and can be moved from expense categories by request.
• Analysis will reflect remaining balance to allow for financial
planning.
Payroll Detail
• Upon request the OGC will send out a detail of employee payroll
for each pay date.
• Can be hard copied through interoffice mail, or emailed.
• Detail separates salary from fringe; can be modified to reflect
detail such as type of employee (e.g. IH, student, Exempt, etc.),
and to separate health insurance from other fringe.
• Detail references the performance period for the pay date.
Invoicing & Reporting
• Typically, the OGC will invoice for reimbursement of grant
dollars, although the Project Director may choose to handle this
within their own department.*
• The OGC has an invoice and account statement template used for
billings without predetermined templates. This template is
available upon request.
• The OGC can submit quarterly, bi-annual, and/or year-end
financial reports, or the Project Director may choose to handle this
within their own
department. *
*Invoices and reports
requiring the
Controller’s signature
will be automatically
handled through the
OGC.
Expensing & Journal Entries
• All expense forms such as REQs, Travel REQs, MERs, etc. should
be routed through the OGC to ensure expenses are allowable and
compliant with the grant guidelines, OMB, and LCSC policy.*
• All Journal Entries for grant and matching accounts should be
requested though the OGC.
• Independent Contractor Payment and Personnel Action forms
must be submitted to and approved by the OGC, per form
instructions.
• Supporting financial documentation (contractor invoices,
contracts, etc.) should be copied to the OGC for accurate and
complete financial record keeping.
*P-Card purchases cannot be routed through the OGC, and are exempt at
this time.
Grant Close Out
• Once a grant has ended and all
financial and performance
obligations have been met, the OGC
will notify the Controller’s Office to
close the associated account. Closed
accounts may be reopened prior to
the end of the fiscal year, although
this is rare.
• The OGC will not close an account without the written approval of
a PI and/or Project Director.
• The OGC retains grant files for at least three years (per LCSC
record retention policy), or longer if stipulated by the grant
guidelines. Grant files are available for reference.
Resources Available
• Grant Procedure Checklist (Word)
Available online on the OGC Pre-award webpage
• Grants Compliance Matrix (PDF)
Available online on the OGC Pre-award webpage
• Budget Template (Excel)
Available online on the OGC Pre-award webpage;
Single and multi-year formats.
• Grant Flowchart (PDF)
Available online on the OGC Pre-award webpage
• Online Glossary
Available online on the OGC website
• OGC Website
Supporting documents
Grant application information (DUNS number, LCSC tax ID,
Idaho stats, etc.)
LCSC Grant Policy & Federal Grant Compliance page