Grants and Contracts
All Externally Funded Support
Policy, Practice and Guidelines
Grants Policy, Practice and Guidelines
External sponsored activity for the College is a needed and necessary component of our funding strategy and strategic plan. The following contains policy and guideline information regarding grant applications and the College services available to assist in the application effort. The information contained here will apply for all externally sponsored activities, regardless of budget value, external sponsor or College requestor.
Eligibility
Who can apply
All tenure and tenure track faculty
Full time instructional staff
Full time permanent administrative staff
Masters and Ph.D. graduate students, if supervised by a tenure/tenure track faculty member
Pre-Award Services
Detail scope of services to aid the application process
The purpose of the pre-award service is to identify funding opportunities for Principal Investigators and to work with Principal Investigators in developing an application for external funds. This application development will include preparing and finalizing the sponsor application materials, working with the Principal Investigator (PI) to develop and complete the budget request/justification, and circulating the application for college approval. Interested faculty are encouraged to seek out funding opportunities. The Advancement Office may assist in this effort. Interested faculty can submit their areas of interest to the Advancement Office and the Advancement Office will also try to identify funding opportunities.
During this pre-award time, the responsibility of the Principal Investigator is to:
• develop an over-all project plan including work statement, project timelines, budget expectations, outcomes and other proposal items that may be needed by sponsors.
• The PI will work with the Advancement Office as needed and necessary during the pre award stage in order complete the application and supporting documents.
• The Advancement Office will consult with and advise the Principal Investigator various aspects of the application including sponsor submittal requirements, budget planning, College policy and internal approval. The Advancement Office will also work with the Controller’s Office to refine the budget specific and to assure compliance with audit and federal spending guidelines. The purpose of the Advancement Office is to facilitate the application and to help support a successful application.
Step 1: The Principal Investigator meets with Advancement Office to discuss concepts, work scope, sponsor requirements and the timeline necessary to successfully complete the application for a timely submission. The Advancement Office will advise the Principal Investigator of all sponsor and College requirements necessary for the application.
Step 2. Principal Investigator develops draft of work scope and budget and submits to Advancement Office.
Step 3. The Principal Investigator should contact the Institutional Review Board to determine if an IRB review is needed or necessary. The Institutional Review Board must review and approve all research involving human subjects.
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Step 4. The Advancement Office works with the Principal Investigator to provide advice and to consult on the application, sponsors requirements, budget and other elements, to help edit the application and to facilitate a successful award. At the same time the Advancement Office will work with the Controller’s Office to refine budget and to preview for any necessary compliance issues, particularly as they relate to Federal Applications.
Step 5. The Principal Investigator will sign off on the application/College routing approval sheet. The Advancement Office will route the application for all necessary approvals.
Necessary Components of Grant Applications.
Minimum elements needed to be included in a grant application
1. Scope of Project/Statement of Work
2. If needed, a review by the IRB or demonstration that application has been made to the Board.
3. Budget Detail including cost descriptions and justification.
4. An annual budget is needed for each year with a consolidated budget for the total project period.
5. For those applications where a match or a cost share arrangement is required, the sources of the funds must be identified.
6. Approval for release time. Any faculty release time will require approval from the Department Chair and Dean. Staff release time will need approval from the Department Chair and Dean or the Department Manager and Vice President as appropriate.
7. Approval Routing Sheet
All applications will require an indirect* cost rate. For Federal applications the approved rate (the standard rate) will be used. For non-federal sponsoring sources the application should include the federally approved standard rate. Acceptance of non-standard rates is at the approval by the Vice President of Finance and Administration. Generally the VPFA will accept a lower F&A rate from a non-federal entity when the rate has been established through published policy as evidenced by its appearance on the Sponsor’s website, official Program Announcement or company letterhead. If a non-federal entity has, historically, provided awards with different overhead rates then the higher rate will always prevail.
Authorized Signatures.
A grant or contract represents an obligation on the part of the College. Two individual are authorized to approve and allow the submittal of a grant or contract. The President of the College or the Voce President of Finance and Administration.
Post Award Services
The Controller’s Office will be primarily responsible for implementing post award services. Detail scope of services to administer the grant after it has been awarded.
Post Award Services include accounting, fiscal reporting, and contract compliance monitoring as well other administrative responsibilities as required by accounting and audit standards or by the sponsor.
Each grant award will be assigned a project number to track the individual revenue and expenses associated with the grant. The Controller’s Office will assign the project number and this project number will remain active during the life of the grant. The Controller’s Office will complete financial reports to the sponsor as needed and will request reimbursements for expenditures made.
During the post award period, the Principal Investigator will initiate expenditures to be charged against the grant or contract account and will supervise the expenditure of grant or contract funds to assure that funds are used only for purposes directly related to the activity supported. The Principal Investigator will assure that expenditures are consistent with all special terms, conditions, or limitations that apply to expenditures under the particular grant or contract and those expenditures do not exceed the total funds authorized for a given period under the grant or contract. The Controllers Office will advise and consult with Principal Investigator’s on the allowability of costs according to sponsor guidelines and limitations.
In many cases the grant or contract may also specify expenditure limits by budget category or line item and the Principal Investigator/Department will assume accountability for deficits or disallowances that occur under a grant or contract account.
In many instances the sponsoring agency will permit a re-budget of funds. The Principal Investigator should work with the Advancement Office to request and receive approval for any needed or necessary re-budgets.
Timelines.
Essential timelines necessary to complete the review and application submittal
In order for the College to fully review and understand the application, including any match commitments or long term obligations it is essential that sufficient time be allotted to complete this review and to receive the appropriate signatures and approvals.
The grant application must be complete and ready for submittal, either overnight express or on line submittal 24 hours before the time and date it is due. This 24 hour period is needed to address any last minute unexpected issues and to complete the final submittal. Earlier is better, but with a complete package approved 24 hours in advance, the College will guarantee timely submission.
Early preparation
The budget review can begin early provided there is enough information identified that will allow the appropriate review of cost. This early review should reflect a budget that is considerably complete and for which the final copy will have little or no change. This early budget review should include a draft work scope that would allow reviewers to understand if there are any continuing commitments or obligations not clear in the budget information.
Essential Budget Elements.
When developing the budget Principal Investigator’s should work with the Advancement Office to draft the budget proposal. The Advancement Office will consult with the Controllers Office to assure that proposals represent appropriate costs according to sponsor guidelines and limitations. The College will observe Office of Management and Budget (OMB) Circular A21 which defines costs as Reasonable, Allocable, Consistently Treated, and Allowable
Salary: Salary costs must be defined and justified. Any salary will be calculated using the full time base pay.
Salary** can be budgeted in several ways;
· Summer pay can be budgeted, this will assume that faculty members not fully employed and compensated during the summer months can increase their compensation during these periods.
· Compensation during the academic or contract year should first reduce the general fund salary obligation.
Benefits will be calculated using the prevailing benefit load rate used for College funded salaries.
Non salary costs should be defined and justified.
Cost sharing or match funds must be quantified and the sources identified for each application.
F&A cost should be included according to the provision of the Federally approved rate, provision of an RFP or as defined by existing sponsor policy.
F&A or Indirect Cost. Indirect, overhead and F&A are all interchangeable terms describing the same type of cost. The term F&A is short for “Facility and Administration” costs and these funds reimburse the College for costs related to the project. F&A cost represents those costs that are identified but can not be easily be attributed to particular grants. Examples include (but may not be limited to) utility use, general administration such as application preparation and accounting/compliance as well a facility use.
Subcontracts are agreements to participate in a grant application either as a lead institution or as a participating institution.
When the College is the lead institution, the application should have detailed budget information for the deliverables and funding that will be included in the subcontract to the participating institution. The final subcontract does not have to be included in the application, but the budget and deliverables must be defined. However a letter of support form the participating institution, agreeing to participate as a subcontract, should be included in the application materials.
When the College is the participating institution the budget and deliverables must be defined and routed for approval in the same manner as a regular grant application. The approval will be the basis of any letter of support the College must provide to the lead institution.
Temporary Policy Provisions to be evaluated after a three year pilot period.
*Indirect costs may be re-allocated back to the Dean/Department/PI under selected conditions. For the pilot period the College will retain 80% of funds to cover the costs associated with grants administration. The remaining 20% will be allocated back to Dean/Department/PI. The value will be distributed to the Provost to determine final distribution share.
**Salary savings generated by charging faculty effort during the academic year may be re-allocated back to the Dean/Department/PI under selected conditions. These one time savings first must be used to fund the adjunct replacement for any release time provided for sponsored activity. The net remaining value will be distributed to the Provost to determine final distribution share.
F&A Rates for Grant Applications
Indirect costs are required. All federal applications will require the approved Federal rate unless restricted by the sponsoring agency. All non federal grants will use the Federal rate unless they have an existing published rate/policy.
For sponsors who do not have, or do not identify an indirect reimbursement policy and will not pay the full Federal rate, we will try to get 15%. These grants will be excluded from indirect redistribution
Federal Applications for On Campus Activity Rate 50% calculated on only salary and benefits
Federal Applications for Off Campus Activity Rate 26% calculated on only salary and benefits
Non Federal rates should be included according to the provision of the Federally approved rate, provision of an RFP or as defined by existing sponsor policy.
Fringe Benefit, existing rates
Full Time Faculty and Staff 38.5%
Part-time and Hourly 8%
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