Grants & Contracts

Purpose: The policy is set forth to minimize the risk of unauthorized use of funds on federal, federal flow-through, foundation and other private grants and contract projects, and to ensure that cost on these projects are within the scope and guidelines of the sponsoring agencies. Therefore, entries in the PeopleSoft General Ledger (PSGL) must be monitored monthly, cost sharing commitments must be met, and close out and reporting must be timely and accurately done.
References: MAPP 05.04.02, SAM 03.G.03
Procedures:
PT. I: Pre Award PT. XI: Contracts/Consulting Agreements
PT. II: Types of Awards and Sponsors PT. XII: Inventory/Equipment on the Grant
PT. III: Interim Funding PT. XIII: Closing Projects in the Department
PT. IV: Allowable vs. Non Allowable Costs (A21) PT. XIV: Record Retention
PT. V: Maintaining a List of Project Cost Centers PT. XV: Audits
PT. VI: Reconciling Projects in the Departments PT. XVI: Accessing Transmittal Forms Submitted Through NSM
PT. VII: Cost Transfers PT. XVII: RD2K Instructions for Loading Technical Reports
PT. VIII: Cost Sharing/Matching Funds PT. XVIII: Federal Grant Newsletters and Guide to Managing Federal Grants
PT. IX: Travel PT. XIX: Allowable/Unallowable Costs on Projects
PT. X: Sub-Recipients    
Review and Responsibility:
  • Responsible Party: Director, NSM Business Operations
  • Review: Every two years, on or before August 31
Approval:
  • Director, NSM Business Operations - Fred McGhee
  • Dean, NSM - John Bear
  • Date of Dean's Approval: 09/01/2008

I. Pre Award

Before a grant, contract or agreement can be entered into, the staff and faculty members of each department must complete a written disclosure known as the Conflict of Interest Form (COI). The form must be submitted to the chair of the department and if conflict does exist it must be reviewed by the Dean. All faculty members COI Form must be sent to the Office of Contracts and Grants (OCG) to be kept on file in the event that the faculty submits a proposal. All proposals for a grant, contract or other agreements must be routed to the Dean before being submitted to OCG. The Dean would review and sign all proposal transmittal forms and cost sharing forms. In the case of limited submission, the Dean will review all proposals and rank them before they are reviewed by OCG. The Director of the Office of Contracts and Grants is the only authorized signatory for the proposal before it goes to the Sponsor. This is also the case for sub-contract agreements. Sub- Contract agreements must be routed like all other proposals. Faculty members needing assistance with the proposal form and budget, may contact the Research Administrator in the College for assistance. The PI should let the Department Business Administrator (DBA) know the outcome of a proposal as soon as they hear from the sponsor. In this way arrangements can be made for interim funding if there is positive feedback and the award had not been set up. Prior approval is needed for research projects that consider using carcinogenic or toxic compounds, animal, human subjects, recombinant DNA, pathogens, or radioactive material. The PI should contact OCG before submitting these proposals.

II. Types of Awards and Sponsors

The three standard awarding instruments are Grants (Financial assistant for a PI's idea), Contracts (Purchase of Service for agency's idea) and Agreements. The type of sponsors and fund codes are:

 

Federal

  1. 5013 - Federal
  2. 5014 - Federal flow through from state agency
  3. 5015 - Federal flow through from state universities

State

  1. 5016 - State
  2. 5017 - State flow through from state agency
  3. 5018 - State flow through from state universities

Local

  1. 5019 - Local Grant and Contracts

Private for profit Private non-profit Foundations

  1. 5020 - Private Gift
  2. 5022 - Private Grant and Contracts

When an award has been executed, a Notice of Award (NOA) is issued by the Office of Contracts and Grants. A copy of the NOA goes to the PI, the DBA, the College Research Administrator and the College Director. The NOA identifies all the relevant information for the project and details the agency's specific guidelines and budget for that project. It is the responsibility of each DBA to read and disseminate the information to the individuals in the department that will process documents against the projects. It is also the Department's responsibility to access the Agency general web page to learn more about the agency and their policies.

Continue to PT. III: Interim Funding...