SOUTHWESTERN INDIAN POLYTECHNIC INSTITUTE AND BOARD OF REGENTS GRANTS MANAGEMENT MANUAL STANDARD OPERATING PROCEDURES Reviewed and Approved by SIPI Leadership Team, September 24, 2012 Reviewed and Concurred by President s Cabinet, October 22, 2012 Reviewed and Concurred by Board of Regents, October 25, 2012 Approved by Dr. Sherry Allison, SIPI President, October 25, 2012
Grants Management Overview and Standard Operating Procedures The Special Programs Office provides specific assistance to faculty and staff with the management and administration of grants for the College. This includes grants that are submitted by the College s Board of Regents. Assists with processes and compliance issues related to funding agency or organization regulations and standards, and monitors adherence to college administrative, fiscal and accounting policies, procedures, and fiscal reporting related to grant proposals and funding. Provides advisory services and assistance in the planning and development stages of grant budgets, spending plans, and cuff accounts. Prepares budget estimates and justifications; and provides advice and technical assistance to grants program staff. Meets regularly with Grant s Managers/Principal Investigators (PIs) to review and reconcile budget(s) and cuff account(s). In collaboration with the grant program principal investigator, prepares special programs/grant project funding reports, financial reports and summaries. Works with Grant s Managers/PI s and Special Programs Financial Analyst to ensure that cost codes are acquired in a timely manner and grant fund drawdowns occur on a regular basis. Assists in the preparation of grant proposals, to include guidance and assistance in budget preparation and interpretation of funding agency or organization regulations and requirements. Develops and maintains specialized databases and WEAVE record management system for recording and tracking grant proposals, awards, and related statistical information; creates and distributes standard and special reports, summaries and analyses as required. Maintains current knowledge of grant funding policies, regulations, and procedures, disseminates and presents information to staff; advises on the implementation of changes and on the impact of changes on funded operations. Monitors grant programs accounting, audits, and fiscal reporting. Performs internal control reviews, and assists with the development of internal control plans and internal accountability procedures. Pre-Award Process Grant Submission Process and Checklist 1. IDENTIFY: Locate an appropriate funding opportunity for your project. 2. NOTIFY: Email your Department Chair and appropriate Vice President or the Board of Regent (BOR) Chair as soon as possible regarding your Intent to Apply for external funds or proposed BOR grants. 3. SUBMIT ROUTING FORM: SIPI s internal Grant Proposal Checklist and Approval Form must be completed in its entirety and routed appropriately. Signatures are required from the Project Director and Vice President or the BOR Chair as appropriate, as well as the President. This document ensures that the SIPI and 2
BOR administration has been made aware of, and endorses, the formal request for the grant. A copy of this document is then submitted to the Special Programs Office for the College s record. 4. BUDGET SUPPORT: A budget worksheet is attached for your convenience. Please work with the Special Programs Financial Analyst in the development of the budget to ensure that funding requests are compliant with both institutional and federal guidelines. 5. OBTAIN Institutional Review Board (IRB) APPROVAL: Contact Edward Hummingbird, Institutional Effectiveness Specialist for any necessary IRB approvals or if you have questions as to whether your project will need IRB approval. (Please note that review by the Solicitor s Office may still be required in some instances.) 6. FORMAL SUBMISSION: Submit completed, approved project (including narrative, budget, and appendices) by the required deadline. If the proposal requires electronic submission (via Grants.gov, E-Grants, Fastlane, etc.), allow time prior to the due date to complete the process of online submission and confirmation. You must also allow time for the PI/PD to be set up on a grantor s electronic reporting site such as Fastlane. Approval process as noted in the attached Grant Proposal Checklist and Approval Form is the same for electronic submission. Receiving the Contract/Award When a grantor issues an award (or declination), official notification will be made via phone, letter, and/or email. Recipients typically include the President and/or Project Director. Additionally, the U.S. Senator s Office or local Congressman s Office may be notified. If awarded, SIPI and/or the BOR will receive an official Grant Award Notification (GAN) which must be fully executed by the SIPI President or the BOR Chair if a BOR grant. This contract will bind the institution to the terms outlined in the award notification. Contracts/Award Notices All fully executed award notifications will be kept on file in the Special Program Office or other designated office. It is the responsibility of the Project Director to forward a copy of the contract, budget (signed by the President or BOR Chair as appropriate), and award notification letter to the Special Programs Office. The Financial Analyst will then begin the process to establish a unique cost code/ account for each contract under the auspices of the College. The BOR Accountant will assign an appropriate job code for BOR contracts. The Project Director will be notified of the appropriate cost or job code(s) and will be expected to attend appropriate training sessions for efficient administration of the grant. The training will be a function of the Special Programs Office and will be provided to BOR staff as well. Continuing Grants and Contracts The President is SIPI s signatory authority and serves as the project binding agent for all continuing contracts and grants, including amendments, renegotiated budgets, and annual budget requests that are awarded to the College. SIPI s President will work in collaboration with the BOR Chair on all contracts and grants under the BOR. All fully executed documentation, including amended contracts, awards, annual reports, final reports, and close out documents should be sent to the Special Program Office for archival. Post-Award Process 3
Responsibility and Compliance Grant awards are made to SIPI or the BOR, not an individual Project Director; therefore, SIPI or the BOR assumes full legal responsibility for ensuring that all funds received through the award are used for the purposes and intent outlined in the conditions of the contractual agreement. Grants and contracts carry administrative responsibilities, involving strict accountability. Principal Investigator/Project Director (PI/PD) The PI/PD has administrative and reporting responsibilities when managing a grant. It is the PI s/pd s responsibility to be cognizant of all award requirements and contract details, as well as the policies and procedures of SIPI and the BOR. It is duty of the PI/PD to review and oversee the successful completion of the contractual and grant funded activities. The Project Director will be responsible for communicating all programmatic, curricular, and budgetary issues for auditing purposes. A Federal employee may not be the PI/PD on any non-federal grant. The list of full responsibilities is attached. Time and Effort Certification The PI/PD will ensure that faculty and/or staff paid in full or in part by a grant certifies the accuracy of this time (i.e. effort) according to the procedures established by SIPI in compliance with federal regulations. Once time and effort has been submitted through the federal Quicktime, a copy of the record is printed, signed, dated and submitted to the Special Programs Office and/or Financial Analyst. This is to be done bi-weekly. It is expected that the BOR protocols will be followed to ensure accuracy of time and attendance. Files Management and Archiving The PI/PD will ensure that all files are prepared for storage and/or archiving at the end of the grant cycle. The Special Programs Office will ensure that appropriate notifications are made as to storage and following of protocol for SIPI and the BOR. Records should be able to be readily, reasonably, retrievable upon request by the funding agency for a period of not less than five years. Reporting Technical or narrative reports required by the funding agency are to be prepared by the PI/PD. All reports are to be reviewed by the appropriate Vice President prior to submission. Once the Vice President has reviewed and approved the report, it will then be forwarded to the funding agency. The PI/PD must maintain all appropriate documentation for the narrative. The PI/PD will work with Special Programs Financial Analyst or the BOR Accountant in the submission of all financial reports. PIs/PDs are responsible for obtaining and communicating all due dates for reporting including the final close out report to BOR Chair or the Vice President, President, and Special Programs Financial Analyst or BOR Accountant. (Note: All grant drawdowns will be reported to the PI/PD in a timely manner by the Special Programs Financial Analyst.) Post Award Checklist 4 PI/PD submits award notification letter, budget (signed by President and/or BOR Chair), and fully executed contract to the Special Programs Office.
PI/PD reviews the contract in its entirety and remains aware of all elements of the agreement. PI/PD must schedule a meeting with the Special Programs Financial Analyst and obtain training regarding administration and management of the grant. This includes any grant under the BOR. PI/PD complies with SIPI, state, and federal requirements under the award contract. Time and effort tracking for all grant funded personnel, if required. (Please contact the Special Program Financial Analyst for details. BOR grants follow established BOR protocols. ) PI/PD complies with SIPI or BOR policies and procedure for payroll, purchasing, and processing invoices and travel documents. PI/PD monitors grant activity for financial accuracy and compliance under the contract (using SIPI s reporting formats). PI/PD supervises and manages team responsible for the award (Communicate)! Ensure the proper forms are completed timely and accurately as required by the contract. These forms include interim reporting to the grantor and the closeout reports. PI/PD properly documents and obtains authorization for any changes associated with the grant. (See attached Budget Adjustment Request form.) PI/PD monitors and retains all documentation associated with the award, including budget details and correspondence. Before the closeout documents are submitted, PI/PD meets with Special Programs Financial Analyst and/or BOR Accountant to review all grant requirements have been met and documentation has been completed (in order to prepare any auditing review requirements). Change of PI Form Prior to initiating changes directly with any federal or state agency, grantees wishing to change the Principal Investigator or Project Director must contact the Vice President or the BOR Chair. The Vice President or the BOR Chair will submit a formal memo to the President noting this need. The President s Office will then make the formal change request to the funding agency or the BOR Chair will make this request as appropriate. 5
Southwestern Indian Polytechnic Institute Grants Management - General Roles and Responsibilities Special Programs Office and/or Financial Analyst Assists with processes and compliance issues related to funding agency or organization regulations and standards, and monitors adherence to college administrative, fiscal and accounting policies, procedures, and fiscal reporting related to grant proposals and funding. Provides advisory services and assistance in the planning and development stages of grant budgets, spending plans, and cuff accounts. Prepares budget estimates and justifications; and provides advice and technical assistance to grants program staff. Meets regularly with Grant s Managers/PI s to review and reconcile budget(s) and cuff account(s). In collaboration the grant program principal investigator, prepares special programs/grant project funding reports, financial reports and summaries. Works with Grant s Managers/PI s to ensure that cost codes are acquired in a timely manner and monitors grant fund drawdowns occur on a regular basis. Assists in the preparation of grant proposals, to include guidance and assistance in budget preparation and interpretation of funding agency or organization regulations and requirements. Develops and maintains specialized databases and Weave record management system for recording and tracking grant proposals, awards, and related statistical information; creates and distributes standard and special reports, students, summaries and analyses as required. Maintains current knowledge of grant funding policies, regulations, and procedures, disseminates and presents information to staff; advises on the implementation of changes and on the impact of changes on funded operations. Monitors grant programs accounting, audits, and fiscal reporting. Performs internal control reviews, and assists with the development of internal control plans and internal accountability procedures. Principal Investigator/Project Director (PI/PD) Proposal development and/or request assistance as needed. Complete and submit Grant Proposal Checklist and Approval Form which includes obtaining appropriate signatures for prior approval. Schedule of report due dates. Annual and interim reports. This includes collaborating with Special Programs on WEAVE reporting. Meet with Special Programs Office/Financial Analyst at onset of the project and at scheduled intervals. Budget management. Contract knowledge; assure contract is followed. Time and effort tracking and documentation. Allocating and spending funds in compliance with purposes and scope of the project, including, allowable and non-allowable expenses. Provide all appropriate documentation as required by SIPI and the funding agency. Documenting and obtaining authorization for any changes to any aspect of the grant. Supervise and manage grant team. Comply with SIPI and funding agency requirements. Serve as institutional representative regarding the funded project. Monitor cuff accounts for accuracy and allowability of expenditures. Understand how funds are expended i.e. requisition process, approvals, etc. and submit correctly. 6
Checklist Process Southwestern Indian Polytechnic Institute Grant Proposal Checklist and Approval Form (rev. 5/13/09) The following pages include a step-by-step checklist and a flow chart, which will assist the Project Director through the pre-proposal approval through the award of the funded project. Following is a list of the information provided: 1. Request to Proceed with Grant/Proposal Development Form (be sure to attach grant application packet or RFP) 2. Flow Chart describing the Grant Development Process Please complete this form in advance of proposal development, with as much lead time as possible. Do not submit a proposal without prior approval. Request to Proceed with Grant/Proposal Development BASIC DATA Funding Agency: Grant Competition ID: Proposed project title: Purpose: Project duration (no. years): Total award amount: Amount per year: Is a match required? (yes/no): Proposed start date: Is a Letter of Intent required? Due date? Grant proposal due date: Requested by: Date: INITIAL ELIGIBILITY 7
Does SIPI meet the eligibility requirements? Yes No Does a current Needs Assessment justify an application? Yes No If yes, list the source of the needs assessment: How does the proposed project align with the mission and strategic plan? APPROPRIATENESS FOR THE ORGANIZATION Attach a one-page summary of the proposed project, in which you address specifically: (A) Project description. (B) How the proposed project reflects SIPI s mission statement and institutional strategies. ORGANIZATIONAL CAPACITY Has a potential Project Manager been identified and agreed to manage the grant? Yes No If yes, provide the name and qualifications to serve. Specifically address his/her experience with the types of services or programming proposed. Has the appropriate Academic Chairperson and Vice-President of Academic Programs or Division Head or BOR Chair consented to the individual selected as the Project Manager? Yes No Does the college have experience providing the types of services or programming requested in the RFP? Yes No Who will be Principal Investigator (PI) and Co-PI(s) for the project? Does proposed staff have experience with the types of services or programming proposed? Yes No 8
If yes, please describe. If not, is experienced staff available in the local workforce? Yes No Is there the opportunity/need for collaboration with other colleges/universities? Yes No If yes, identify potential collaborator(s) UNIT APPROPRIATENESS Is the project consistent with the Project Manager s Unit Objectives? Yes No If yes, explain: FISCAL CONSIDERATIONS Is the funding available adequate for the scope of the project? Yes No Are there matching requirements? (Percentage, cash and/or in-kind allowed.) If yes, are there restrictions against using federal resources as matching? If matching is required, identify potential sources of matching. Does the funding agency expect that the project will be supported by the institution beyond the funding period of the project? How will this project be sustained beyond the period of funding being requested? Please describe the revenue mechanism that will achieve institutionalization of the project. 9
Are there other fiscal considerations? 10
RECOMMENDATIONS Recommended/Not Recommended Chairperson Date: Comments: Recommended/Not Recommended Vice-President, Academic Programs Date: Comments: Recommended/Not Recommended Vice-President, College Operations Date: Comments: DISPOSITION: Approved for Development Not Approved for Development Recommended/Not Recommended Chair, SIPI BOR (If submitted under BOR) Date: Comments: Recommended/Not Recommended President, SIPI Date: Comments: 11
(Name of Grant) Budget RFP # and Date Total Date Personnel: Year 1 Date Fringe Benefits (21%) Total Personnel: Travel: Total Travel: Equipment: Total Equipment: Supplies: Total Supplies: Contractual: Total Contractual: Construction: Other: Total Other: Total (Name of Grant) Budget 12
Funding Sources SIPI uses Grants.gov to electronically find and apply for Federal grants. Grants.gov was established as a governmental resource named the E-Grants Initiative, part of the President's 2002 Fiscal Year Management Agenda to improve government services to the public. Today, Grants.gov is a central storehouse for information on over 1,000 grant programs and provides access to approximately $500 billion in annual awards. GrantsNet is a one-stop resource to find funds for training in the sciences and undergraduate science education. This service is completely free. CFDA provides a full listing of all Federal programs available to State and local governments (including the District of Columbia); federally-recognized Indian tribal governments; Territories (and possessions) of the United States; domestic public, quasi-public, and private profit and nonprofit organizations and institutions; specialized groups; and individuals. The Foundation Center is the most authoritative source of information on private philanthropy in the US. The Center helps grantseekers, grantmakers, researchers, policymakers, the media, and the general public better understand the field of philanthropy. The web site is designed to quickly guide you to the information you are looking for instruction on funding research, help with proposal writing, tools for locating prospective funders, and news and research on the field. 13
Award Number: SIPI or BOR Principal Investigator/Project Director: Telephone Number: 505 Email: BUDGET CURRENT BUDGET ADJUSTED JUSTIFICATION CATEGORY BUDGET ADJUSTMENT BUDGET Must be listed for each line item Total Personnel $ - Travel $ - Equipment $ - Supplies $ - Contractual $ - $ - Construction $ - $ - Other $ - TOTAL $ - $ - Project Director: Date: SIPI President: Date: Grantor Approval: Date: 14