Grants Management Manual, Standard Operating Procedures

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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. <strong>Grants</strong> 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 <strong>Management</strong> 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
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Grants Management Manual, Standard Operating Procedures

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