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