Grants (Sponsored Projects) Procedures
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Document Number: ACAD--109p
Revision #: 3.0
Document Owner: Provost & Vice President for Academic Affairs
Date Last Updated: 02/04/2020
Date Originally Created: 11/14/2011
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General Description
Description / Scope: The following procedures were established to ensure the implementation of the University's policy concerning grants (sponsored projects).
Overview of Steps
1. Grant and Contract Proposals
2. Preparing a Proposal
3. Grant and Contract Proposal Approval
4. Deliverables and Conditions of a Grant Proposal
5. Conforming to Policies and Procedures for Billing
6. Travel Policies
7. Disallowable Expenditures
8. Purchase Order Requisitions, Contracts, Employment Contracts
9. Required Financial Reporting
10. Maintenance of Records
11. Project Expenditure Audit
12. Submission of Grant Proposals
13. Contract Negotiations
14. Modifications to Grant or Contract Award
15. The Responsibilities of PI/PDs during the Post Award
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Detailed Steps
1. Grant and Contract Proposals
Grant and contract proposals must be reviewed by the Provost & VP for Academic Affairs and/or the VP for Advancement prior to submission to the funding agency. These officers will perform the following review functions:
•Review potential contracts for Federal Acquisition Regulations or other requirements or regulations that are incompatible with Cumberland University’s policies, procedures or regulations.
•In conjunction with the VP for Finance, review proposal budget for accuracy (i.e., do the numbers add up), permissibility (i.e., are the costs in the budget permissible according to sponsor's regulations), and cost sharing requirements and commitments.
•Review proposals for completeness and conformance to sponsor's instructions.
2. Preparing a Proposal
In preparing a proposal, the Principal Investigator or Project Director (PI/PD) must:
1. Identify in the proposal and on the University's Grant Proposal Approval Form all University resources that will be used in the project, including:
a. Full responsibility for or sharing of salaries.
b. Equipment, especially new equipment to be purchased for the project, and the responsibility for the cost of transportation and/or return and insurance for such equipment.
c. Both the physical and financial aspects of space/facilities required to carry out any activities associated with the grant or contract.
d. All required computer services support including hardware, software, programming and training.
e. Other direct and indirect expenditures requiring University funds or contributions in kind.
2. Determine whether any other University department is directly affected by the proposal. If so, the dean or program director of the affected department should formally acknowledge concurrence, with evidence of such concurrence reflected in or submitted with the Grant Proposal Approval Form.
3. Determine whether the proposed project or program involves extra compensation for a University employee or faculty release time. If so, the PI/PD must brief the Provost & VP for Academic Affairs and the VP for Finance regarding the request at or by the time the Grant Proposal Approval Form is submitted. The PI/PD must also meet the conditions for extra compensation or release time specified in the Grants (Sponsored Project) Policy before the University will certify a proposal that includes extra compensation or release time.
3. Grant and Contract Proposal Approval
Grant and contract proposals must be approved by the PI/PD's Program Director and/or Dean (if applicable), the Provost & VP for Academic Affairs and/or the VP for Advancement, and the Vice President for Finance. Approval must be indicated by signature on a completed Grant Proposal Approval Form. The PI/PD will be responsible for obtaining all signatures.
4. Deliverables and Conditions of a Grant Proposal
The PI/PD will ensure that all deliverables required under the terms and conditions of a grant are provided to the funding agency. Upon notification by the PI/PD that all deliverables have been submitted, the Provost & VP for Academic Affairs and/or the VP for Advancement will request a letter from the granting agency confirming that the project has been completed to its satisfaction. This documentation will be filed with the VP for Advancement and the VP for Finance to minimize the liability of incomplete projects to both the University and the PI/PD.
5. Conforming to Policies and Procedures for Billing
PI/PDs must conform to all policies and procedures regarding the purchase of and billing for supplies and services that may be needed as part of a sponsored project. PI/PDs are encouraged to contact the VP for Finance to discuss or clarify internal purchasing and billing policies and procedures.
6. Travel Policies
PI/PDs must conform to CU policies and procedures for travel. Travel related reimbursements (i.e. mileage, per diem) to individuals will be at CU rates.
7. Disallowable Expenditures
PI/PDs must avoid disallowable expenditures. If a PI/PD is uncertain about the allowability of a given expenditure, they should first consult with the VP for Finance to determine whether the purchase should proceed. If necessary, the VP for Finance will handle all contacts with agencies to determine allowability of proposed expenditures.
8. Purchase Order Requisitions, Contracts, Employment Contracts
The VP for Finance will review and sign (or disapprove) all purchase order requisitions, contracts, and employment contracts affecting grant funds. Purchase order requisitions must be completed prior to purchase; requisitions submitted after the purchase will be disallowed.
9. Required Financial Reporting
The VP for Finance is responsible for all required financial reporting. PI/PDs must provide this officer with any documentation needed to prepare financial reports. This officer will provide PI/PDs with summary statements of expenditures for each project upon request. The VP for Finance will require a mandatory meeting with the PI/PD at the time that 80 percent of project funds are expended to insure that the project is nearing completion and will be completed within allotted project funds.
10. Maintenance of Records
The Business Office will maintain records for sponsored projects following successful completion of a project in the event that an audit is required. The Business Office will provide all storage (both electronic and paper) of fiscal records for each project as required under project specific regulations and in accordance with the University's record retention policy. The VP for Finance will maintain a file containing the request for proposals, proposal, contract, progress reports and related documentation.
11. Project Expenditure Audit
In the event that project expenditures are audited, the Business Office will provide fiscal records for audit. Further, the Business Office and the VP for Finance will be available to answer questions and provide materials for external or internal audits. The PI/PD must provide any information or assistance needed by Business Office staff or the VP for Finance to respond to questions by auditors.
12. Submission of Grant Proposals
The Provost & VP for Academic Affairs and/or the VP for Advancement is responsible for submitting all grant and contract proposals to the sponsoring agency. These officers will provide duplication services to the PI/PD to ensure that the requisite number of copies of each proposal is submitted to the agency. To assure enough time to perform duplication services, these officers must receive proposals at least four days before the date that the proposal is due at an agency. These officers will also coordinate all mailing, whether by conventional mail or overnight express, needed to ensure that proposals are received by the agency according to deadlines specified in the Request for Proposals. The Vice President overseeing the PI/PD's department will certify the proposal, on behalf of the University, by signing the sponsoring agency's signature page(s) and submission to the prospective sponsoring agency.
13. Contract Negotiations
Any contract negotiations between the University and a funding agency must involve both the University administration and the PI/PD, as coordinated by the Provost & VP for Academic Affairs and/or the VP for Advancement. Final contracts must be reviewed by both the PI/PD and the certifying officer (i.e., the appropriate Vice President). Signatures on a contract will be obtained and will be will provided to the VP for Finance, including a file copy, along with a copy to the PI/PD.
14. Modifications to Grant or Contract Award
Any modifications to a grant or contract award requiring the sponsor's prior approval must be processed in accordance with the foregoing procedures. In addition, all revisions of the budget for a sponsored project, regardless of magnitude, require the PI/PD to submit an internal budget revision form to the VP for Finance.
15. The Responsibilities of PI/PDs During the Post Award
A. Upon award, PI/PDs are to undertake a full faith effort to successfully complete the project according to the terms and conditions of the contract. In the event that a PI/PD cannot complete a project, regardless of cause, the University reserves the right to either: seek to terminate the contract with the granting agency without approval of the PI/PD in accordance with the terms of the grant contract, or, pending granting agency approval, place a new PI/PD in charge of the project.
B. In the event that a PI/PD should decide to leave the university in the midst of a project, he/she must provide the VP for Finance with immediate written notification of his/her intent to leave and the date on which he/she will leave. In such a case, the University will exercise at its discretion one of two options. First, with agency approval, CU may choose to make arrangements with the agency so that the PI/PD can take the contract with them to their new station. Alternatively, with agency approval, the University may seek to replace the PI/PD with a new PI/PD and continue the project at CU.
C. PI/PDs will complete all progress reports required by granting agencies under the terms and conditions of the contract. The PI/PD must send copies of progress reports to the Provost & VP for Academic Affairs and/or the VP for Advancement to facilitate project monitoring. This enables these officers to verify that milestones in the project are being met. If milestones are not being met, progress reports will alert these officers that there may be difficulties with the project and remedial actions can be undertaken to resolve the problem. Approaches to resolving problems will be discussed between these officers, the VP for Finance, the PI/PD and other CU staff as needed.
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