POLICY PROCEDURES MANUAL - University of Indianapolis

Office of Grants & Sponsored Programs

POLICY & PROCEDURES MANUAL

June 2017

Jeanie M. Neal, M.S., CRA Director, Office of Grants & Sponsored Programs

University of Indianapolis

The University of Indianapolis The Office of Grants and Sponsored Programs Policies and Procedures Manual

Table of Contents

1.0 INTRODUCTION

2

Purpose of the Policies and Procedures Manual

2

Roles and Responsibilities of the Office of Grants & Sponsored Programs

2

Definitions of a "Sponsored Program"

3

2.0 PRE-AWARD PROCESS

5

Pre-Award Roles

5

Pre-Award Processes

5

3.0 POST-AWARD PROCESS

8

Post-Award Roles

8

Post-Award Processes

4.0 GRANTS & SPONSORED PROGRAMS POLICIES

11

Collaborative Projects

11

Federal Compliance

11

Cost Share on Sponsored Projects

11

Eligibility to Serve as Principal Investigator or Project Director on

12

Sponsored Projects

External Proposal Submission

13

Financial Conflicts of Interest in Grants and Sponsored Research

13

Indirect Cost Recovery and Distribution

14

Intellectual Property

15

Institutional Name and Signatory Authority for Sponsored Projects

20

Paying Salaries or Wages with External Funds

20

Responsible Conduct of Research

20

Routing of Sponsored Projects Documents

21

5.0 APPENDIX

23

Pre-Award Resources

Finding Funding

24

Fast Facts for Grant Apps

27

Writing the Proposal

28

Developing the Budget

32

Glossary of Terms

35

1.0 INTRODUCTION

1.1 PURPOSE OF THE POLICIES AND PROCEDURES MANUAL The purpose of the Office of Grants & Sponsored Programs (GSP) Policies and Procedures Manual is to educate faculty and staff at the University of Indianapolis (UIndy) about administrative and fiscal responsibilities associated with externally funded programs. The scope of sponsored programs management is broad, therefore it is important that those involved with development and management of such understand their obligations.

The contents of the Policies and Procedures Manual are drawn from best practices established by professional organizations, federal circulars that govern financial practices at institutions of higher education issued by the White House Office of Management and Budget (OMB), and institutions with significant sponsored programs experience.

In order to ensure that sponsored program funds are administered in accordance with UIndy policies, as well as guidelines and regulations of the funder, externally funded programs are administered through the GSP. External funding sources include both public (governmental) and private (corporate or family foundation) organizations.

Faculty or staff who assume leadership on a sponsored program are often referred to as principal investigators (PI) or project directors (PD). PI/PDs will want to familiarize themselves with the policies and procedures of this manual, being mindful that portions of it may be superseded by changes in sponsor regulations or UIndy policy memoranda. Every attempt will be made to keep materials in this manual up to date, however, the most current sponsored program guidelines and regulations will be found in award and proposal documentation.

The GSP Policies and Procedures Manual is intended to supplement resources available from other offices involved with sponsored programs development and management at UIndy. These offices typically include the Accounting Office, the Office of General Counsel, the Office of Human Resources, the Office of the Executive Vice President and Provost, as well as department chairs, deans, and other unit supervisors. The combined efforts of these entities support PI/PDs in their pursuit and acquisition of external funding.

1.2 ROLES AND RESPONSIBILITIES OF THE OFFICE OF GRANTS & SPONSORED PROGRAMS The Office of Grants & Sponsored Programs (GSP) supports University of Indianapolis (UIndy) faculty and staff in the acquisition and administration of projects and research supported by grants, cooperative agreements, contracts, and other agreements from external federal, state, governmental and non-profit sponsors. These projects and programs are referred to collectively as "sponsored programs."

The GSP is committed to helping faculty and staff obtain external funding, submit proposals, administer awards and comply with all applicable sponsor and UIndy policies. Additionally, the GSP coordinates many internal funding programs for UIndy.

Responsibilities of the GSP include but are not limited to:

? aiding in the identification of appropriate external funding opportunities;

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? providing guidance and assistance with the preparation of external proposals; ? reviewing proposals for external funding before submission; ? offering assistance in interpreting applicable sponsors' terms and conditions as they apply to

obtaining and managing sponsored projects; ? routing proposals for internal approvals and submitting proposals for external funding; ? negotiating offers of funding from external sponsors and routing for internal approvals; ? providing direction in award management, including no-cost extensions and modification as

needed and allowable by sponsor; ? overseeing implementation and compliance with sponsored project policies as required by

federal mandate as a requisite for conducting sponsored projects; ? participating in and coordinating group and 1:1 training for faculty and staff who seek external

funding

1.3 DEFINITIONS OF A "SPONSORED PROGRAM" Due to the varied but sometimes overlapping paths by which funding for sponsored programs and corporate and foundation giving are solicited, it can be unclear whether the awarded funds fall under the purview of the University of Indianapolis (UIndy) Office of Grants & Sponsored Programs (GSP) or University Advancement (UA).

Most importantly, it should be noted that neither the process by which funds are acquired; nor the source of the external funds; nor the terms "cooperative agreement," "contract," "gift," or "grant" determine how the funds should be administered. The proper administration of funds is generally based upon the terms and conditions that are requirements of the awarded funds.

In instances where the type of financial support from the external entity is unclear, the definitions below may provide guidance. The GSP, as well as UA, staff are also available to assist in the determination.

Sponsored Program: A project funded by an external, i.e. non-institutional, sponsor. The presence of any one of the following conditions shall necessitate that the funds be treated as a sponsored program and administered by the GSP. The absence of any of these conditions, however, shall not necessarily constitute a determinant as to how the awarded funds should be administered.

? The proposed work requires a specific line of scholarly inquiry such as a work statement, testing of a hypothesis, a model project, or a defined set of deliverables. Deliverables may include programmatic, technical, and detailed financial reports during or at the conclusion of the project.

? The sponsor requires a specific time period for conducting the project. ? The sponsor imposes restrictions on the publication or dissemination of results of the project. ? The line of inquiry involves testing proprietary products or intellectual property rights, or the

sponsor requests options on the results or product. ? The funds are awarded following a competitive application or bid process. ? The funding is awarded based on specific budget categories, and permission must be sought

from the sponsor to change the budget. ? Federal, state, or other governmental fiscal compliance policy governs the project.

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? The project includes funds for facilities and administration - also referred to as indirect costs or overhead.

? The award is revocable, or unexpended funds must be returned to the sponsor at a certain point.

? There are requirements for audits by or on behalf of the funding source.

Types of Sponsored Programs

A. Contract. A mechanism for procurement of a product or service with specific obligation for both sponsor and recipient. Typically the scope, budget, and time period of work are specified in detail by the sponsor, although some sponsors award contracts in response to unsolicited proposals. There is little, if any, latitude to modify scope of activities and expenditure. Sponsor approval is typically required for any such changes. The outcome is often a tangible deliverable.

B. Cooperative Agreement. A support mechanism used on federal projects when there will be substantial agency scientific or programmatic involvement. Substantial involvement means that, after award, agency scientific or program staff will assist, guide, coordinate, or participate in project activities. The principal purpose of a cooperative agreement is to accomplish a public purpose of support authorized by federal statutes as opposed to an acquisition by purchase of property or services for the direct benefit or use of the federal government.

C. Gift. Funds from a private individual, non-governmental source that imposes no contractual requirements, and/or is awarded irrevocably. Gifts received for the benefit of UIndy must be spent or used according to donor intent. Please note that solicitations for gifts must be approved and managed by University Advancement (UA).

D. Grant. An award of financial or other assistance to the grantee institution to accomplish a specific purpose. The project is conceived and details are defined by a PI/PD at the grantee institution. The sponsor is not significantly involved in the conduct of the project. The PI/PD retains scientific freedom and results are not guaranteed.

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