General Guidelines General Guidelines

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Department Guidelines

 

Purpose

The purpose of these policies and procedures is to facilitate the approving, managing, and closing out of all grant and research projects. The policies and procedures are in place to ensure the lawful, equitable, and efficient administration and governance of projects and services through the Office of Sponsored Projects (OSP) at Eastern New Mexico University-Portales (ENMU-Portales).

1.     ENMU-Portales, through the OSP, is committed to assisting and supporting faculty and staff that engage in creative activities, pursue research interests, and seek to advance the Institution's Mission and Vision through grant opportunities.

A.    ENMU-Portales recognizes the right of faculty and staff to solicit, conduct, or participate in private and government-sponsored activities.

2.     OSP is to assist, guide, and support a culture of research and exploration for all employees. OSP provides assistance in the development of grant proposals, budgets, grant management, the reading of Requests for Proposals (RFPs), and institutional procedures relating to grants and agreements.

A.    Sponsored activities at ENMU-Portales are justified when they align with the Institution's mission, contribute to the professional development of the faculty and staff, or provide opportunities for enriching educational experiences.

B.    OSP has established department guidelines and procedures to ensure the effective implementation of sponsored projects.

3.     OSP provides oversight for all grants and agreements at ENMU-Portales that support research activities and collaborations, sponsored projects, agreements from federal and state governments.

4.     OSP encourages faculty members to seek external support for research and scholarship activity. The immediate and ultimate responsibility for managing these projects lies with the principal investigator (PI), with assistance from OSP, Business Office, College, Chairperson, and Dean.

5.     OSP is required to comply with applicable U.S. Office of Management and Budget (OMB) "Uniform Guidance" circular as amended and other regulations, guidelines, and instructions of notice of grant award or award letter when receiving federal funds. In the use of non‐federal funds, OSP shall comply with the award agreement, State and Federal laws, and ENMU System policies.

2 CFR Part 200: Uniform Administrative Requirements, Cost Principles and Audit Requirements

Administration

1.     The Manager of Sponsored Projects is responsible for reviewing and coordinating all project proposals submitted to outside agencies. OSP provides access to grant materials, helps locate potential funding sources, advises and assists with proposal presentation administrative procedures, and reviews the work plan, commitments, and budget. The Office of Sponsored Projects Manager and Business Office, will coordinate negotiations between the sponsoring agency and ENMU-Portales.

2.     The Vice President of Academic Affairs (VPAA), the Assistant Vice President of Research (AVPR), and the Sponsored Projects Manager are the Authorized Institutional Representatives (AIR) for the submission of project proposals and the acceptance of proposal awards.

3.     The Business Office is designated as the financial approval authority for the sponsored project and/or agreement. The Business Office will coordinate closely with the Project Investigator/Project Director (PI/PD) and the Sponsored Projects Manager. and will ensure that modification of grant and agreement budgets are enforced and approval requirements are in accordance with the regulations of the sponsoring agency. The Business Office is responsible for all sponsored projects billings.

4.     Final authority for accepting and signing grants or agreements is vested in the President of ENMU-Portales, who may designate such responsibility to an Authorized Institutional Representative.

Policy

1.     ENMU-Portales employees seeking external funding shall contact the OSP for assistance with proposal timeline, budget development, proposal review, and submission. Proposals for extramural funding require a minimum of ten (10) business days for the OSP to review the proposal before the funding agency's deadline.

2.     Eligibility for external funding applies to individuals who are full‐time employees of ENMU-Portales. However, part-time faculty shall receive prior approval from the Vice President of Academic Affairs before applying for external funding.

3.     Faculty are strongly encouraged to work closely with their department chairs and deans throughout the submission process to facilitate a successful application package. Recipients of external funding will work closely with the OSP during the grant period to meet all reporting requirements to include extensions, renewals, annual reports, and final reports.

4.     All applications, proposals, letters of intent, and agreements for sponsored research projects are made in the name of Eastern New Mexico University. ENMU-Portales President has empowered a select number of ENMU officials to request and accept grants, agreements, and other related agreements on behalf of ENMU-Portales, including the Office of Sponsored Projects Manager, the Assistant Vice President for Academic Affairs, the Vice President of Academic Affairs. Therefore, only those officials designated by the President may bind ENMU-Portales.

5.     Grant or agreement requirements for sponsored projects can be declined if an application, proposal, agreement, or report is not processed through the proper channels of ENMU-Portales and OSP. If subsequently funded, the award is in risk of not being accepted or a delay in accessing funds. If a third party solicits a project and work is performed on this project in the absence of a recognized and fully executed sponsored project agreement, the PI alone maintains ultimate liability for any and all requirements of the project. Further, the PI shall reimburse ENMU-Portales for any costs associated with the use of University resources commonly associated with the pursuit of said project.

6.     If the PI/PD cannot complete the grant requirements due to reassignment or leaving employment, OSP and the awarding agency must be notified immediately.

Conflict of Interest  

See ENMU AGP&P 20-2

Intellectual Property

           See Intellectual Property Policy, ENMU AGP&P 30-2

 

Definitions:

Allowable Costs: A cost incurred by an award recipient that is reasonable for the performance of the award; allocable; in conformance with, or incorporated by reference, any limitations or exclusions set forth in the federal cost principles applicable to the organization incurring the cost or in the Notice of Award (NoA) as to the type or amount of cost; consistent with regulations, policies, and procedures of the recipient for both federally-supported and other activities of the organization; accorded consistent treatment as a direct or indirect cost; determined in accordance with generally accepted accounting principles; and not included as a cost in any other federally-supported award (unless specifically authorized by statute)

Authorized Institutional Representative (AIR) – the AIR is the University's authorized to submit applications and accept grants and/or agreements

Award Letter – written notification from the funding agency indicating that a project has been funded, for how long, an in what amount

CFDA – Catalog of Federal Domestic Assistance (CFDA) number is a number assigned to a Federal program

Direct Costs – expenses that can be itemized and for which vouchers or payroll records can be presented for payment. They include salaries and wages, fringe benefits, supplies, travel, equipment, printing, duplicating, etc.

DUNS – Data Universal Numbering System – free, unique nine-digit number issued by Dun & Bradstreet to a single business entity. Identifies the university during proposal submission

Effort - The term Effort is used for persons charged to sponsored research. Effort is a reasonable estimate of the time spent on any University activity by a person, expressed as a percentage of the person's total university effort.

F&A – Facility and Administrative Rate. See Indirect Costs

Fringe Benefits – benefits such as life and health insurance, retirement, unemployment compensation and workers compensation that are paid in addition to salary

FTE – full-time equivalent. One professional/faculty is a unit of measurement that describes the workload of an employee. Full-time varies by position, i.e., course load, hourly work, percentage

Funding Agency – Funding agencies are organizations that provides grants, scholarships, or other forms of support to programs, projects, and individuals in a specific area. Funding agencies may be non-profit organizations, private foundations, or government offices.

GAN – Grant Adjustment Notice is used to request project changes and/or correction and programmatic, administrative, or financial change associated with a grant award

Indirect Cost Rate – A percentage established by a federal department or agency for a grantee organization, which the grantee uses in computing the dollar amount it charges to the grant to reimburse itself for indirect costs incurred in doing the work of the grant project

Indirect Costs – Overhead. The expense indirectly associated with the sponsored project. Included are administrative expenses, utilities, maintenance, facilities. They are usually expressed as a percentage of direct costs

In-Kind – a service or item donated in lieu of dollars to the operation of a funded project; usually given as a third party

Institutionalize – the process of incorporating a grant-funded program, activity and/or staff into the regular operation of the institution, and it becomes part of the ongoing college costs

NOA – Notice of award. The formal document used by the federal government to inform the grantee that the proposal has been funded

Notice of Award (NoA) – The official legally binding award document that (1) notifies the recipient of the award of a grant; (2) contains or references all the terms and conditions of the grant and federal funding limits; and, (3) provides the documentary basis for recording the obligation of federal funds in the agencies' accounting systems

Notice of Funding Opportunity (NOFO) – a publicly available document by which a federal agency makes known its intentions to award discretionary grants or cooperative agreements, usually as a result of competition for funds. Notices of Funding Opportunities may be known as program announcements, notices of funding availability, requests for applications, solicitations, etc. The NOFO issuance date is the date it posted

PI/PD – Principal Investigator/Project Director. The person responsible for directing and managing the project for the college

RFP – Request for Proposal. Announcement distributed by a founding source to potential grantees defining in a general way the type of project proposals desired, same as a Request for an Application (RAF) or Request for Qualifications (RFQ)

SAM/CAGE Code – System for Award Management number utilized by the government to provide a standardized method of identifying a facility, mainly for payment to the grantee

Sub-recipient – A non-federal entity that receives a sub-award from a pass-through entity to carry out part of a federal program and is accountable to the recipient for the use of the funds provided; but does not include an individual that is a beneficiary of such program. A sub-recipient may also be a recipient of other federal awards directly from a federal awarding agency

 

*Note: For a comprehensive list of definitions, see grant terminology


Faculty & Staff Faculty & Staff

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Departmental Guidelines - Faculty and Staff Responsibilities

 

ENMU-Portales recognizes the right of faculty, staff, and students to solicit, conduct, or participate in private and government-sponsored activities.

The Office of Sponsored Projects (OSP) is committed to assisting and supporting any employee who engages in creative activities, pursues research interests, and seeks to advance the Institutions' Mission and Vision through grant opportunities.

The OSP is in place to assist, guide, and support a culture of research and exploration for all employees. The office provides assistance in the development of grant proposals, budgets, grant management, the reading of Requests for Proposals (RFPs), and procedures relating to grants and agreements.

A.   A faculty member (9-month contract/academic year) or staff person (12-month/year-round) whose salary is paid in full by the University may not engage in sponsored projects for extra compensation except under specific conditions and when approved by the administration to be in the best interests of ENMU-Portales and the individual involved. Conditions that must be met for extra compensation are:

1.     Funds must be provided in the grant or agreement to compensate the specific responsibilities to be assumed by the faculty or staff person; and

2.     The sponsored project responsibilities will be conducted mainly outside the individual's regular work hours or outside of the contracted work period, as determined by the employee, his/her supervisor, the Office of Sponsored Projects, Human Resources, and the appropriate area executive administrator; and

3.     Written approval from the chairperson and dean, or department director, Human Resources, and the appropriate area excutive administrator are provided.

B.    When the agreement or grant calls for faculty release time from regular teaching duties during the regular academic year, the basic nine/ten-month salary from the instructional budget will be reduced proportionally. The reassigned time, which frees instructional budget funds to pay alternate instructor(s) to teach those course(s), will revert to the department budget. The following must also be true:

1.     Funds must be provided in the grant or agreement to compensate the faculty member for his/her reassigned time, freeing institutional budget funds to pay alternate instructor(s) to teach the course(s) released; and

2.     The faculty member seeking reassigned time and his/her department must assist in identifying and recruiting appropriate instructor(s) for the course(s); and

3.     The written approval from the chairperson, dean, and Vice President for Academic Affairs for the reassigned time must be provided to the Office of Sponsored Projects before working on the initial budget for the project.

C.    When the agreement or grant allows for a regular full-time employee to receive additional compensation, in addition to their regular twelve-month (annual) salary, the following must all be true.

1.     Funds must be provided in the grant or agreement to compensate the staff member for his/her additional responsibilities; and

2.     The staff member seeking additional compensation must provide services that are substantially greater than their institutional position entails resulting in more hours worked than the standard workweek; and

3.     The staff member must have the written approval of their immediate Supervisor, Manager, Director, the Office of Sponsored Projects, Human Resources, and the area executive administrator prior to any additional compensation requests or payments.

D.   Full-time employees on external funding must adhere to the following budget guidelines:

1.     Proposals submitted for funding must have salary lines that include full mandatory fringe benefits for each of the positions listed in the proposal, and

2.     Insurance benefits are calculated at the full family benefit to ensure there is ample funding for any person/persons that are hired for the project; or

3.     If the project is currently active and fully staffed, your annual budget may be based on actual insurance benefits for the current employees, except for one line. One fringe line will be calculated at one level higher than the current rate, using the "high" benefit option. For example, if the current employee had Blue Cross Blue Shield, low option for two people, for budgeting purposes, their insurance will be calculated at Blue Cross Blue Shield, high option for family.

   i.       Note: Full-time employees, funded by external activities, are subject to continued project funding. If funding terminates for any reason, the position will be terminated.

E.    Any and all income and expenses generated by a sponsored project shall be assigned specific accounts, established at the time of award, by the Business Office grant budget set up. Use and allocation of income shall be determined by applicable regulations of the sponsoring agency and/or an agreement between the Project Director or Principal Investigator, the Sponsored Projects Manager, and the Director of Accounting. All expenditures of project income must be approved by the Office of Sponsored Projects.

F.    Any and all equipment purchased with external funds is the property of Eastern New Mexico University unless otherwise specified by the sponsoring agency.

G.   The Project Director or Principal Investigator must conform to all sponsor imposed policies and procedures as well as applicable ENMU System policies and procedures in the management of the project.

H.   For the purpose of this policy, sponsored projects shall be construed to include sponsored research, service and training projects, and other categories of awards for all except basic capital construction and maintenance projects. Sponsored projects refer only to those grants and agreements entered into by ENMU-Portales.

I.      Project Directors/Principal Investigators preparing proposals should also contact the Manager of Sponsored Projects for information if any of the following are applicable to a proposal:

1)    Classified Research

2)    Patent and revenue or cost-sharing/matching

3)    Human beings as subjects in research

4)    Use of animals in education and research (IACUC)

5)    Conflict of interest


Grant Close-Out Grant Close-Out

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Departmental Guidelines - Grant Close-Out
 

The Office of Sponsored Projects (OSP) will need the tasks completed before the final date of the grant period. As always, any correspondence with your program officer will need to include the OSP manager and the Assistant Vice President of Academic Affairs (AVPAA).

Regarding supplies, equipment, furniture:   All supplies, furniture and equipment purchased with grant funds must be inventoried and turned over to the OSP prior to the last day on campus.

Regarding leave/vacation:  Six (6) months before the end of the grant period, an assessment of any accrued leave time needs to be completed and the accrued time is taken before the end of the grant. Any time not taken before the end of the grant period will not be available as a payout at the end of your employment. Grant employees are funded through external sources, therefore, funding for payout after the close-out is not available. If you have questions, please contact the OSP for assistance.

Tasks or Items:

1.     List of equipment that has been purchased by the grant
        a.     Provide the list to the OSP Manager and set up a time for the OSP manager to verify your inventory prior to last day on campus.
         b.     Items can be boxed neatly or left organized and disconnected in the office(s)
         c.     Provide the following information for each item:
                 i.     ENMU Asset Tag
                 ii.     Description
                 iii.     Serial Number
                 iv.     Grant Code (Index)
                 v.     Current Location
                         1.     If necessary, what department, other than your, is utilizing the equipment

2.     List of supplies that are at hand
        a.     Provide the list to the OSP Manager
         b.     Items need to be boxed neatly and sent to the OSP for verification

3.     Ensure all long-term leases, agreements, or purchases have been terminated

4.     Organize, label, and box all grant documents
         a.     Arrange for delivery of the boxes to the OSP office during the last week of the grant
         b.     Ensure the following are included and labeled appropriately
                 i.     Grant Adjustment Notices (GANs), fiscal agreements
                 ii.     Reports and documents:
                          1.     annual progress reports, research results, published reports/documents, etc.
                 iii.     Fiscal reports

5.     Provide access to the grant's Shared Drive to the OSP manager
         a.     Compile all electronic documentation that is not in the Shared Drive and add it to the drive

6.     Provide documentation from the program officer releasing all supplies and equipment to ENMU or instructions for returning to the awarding agency.

Two (2) weeks before the end of the grant:
Create Termination PANs for all externally funded employees. Process the PANs through the proper channels and for approvals.

Last week of the grant:
Boxes that are organized and completed should be transported to the OSP office.

Last day of the grant:

Complete the following and provide the documentation to the OSP Manager
1..    Return your keys for any offices and buildings to the Physical Plant, and send the signed-off sheet to the OSP manager for the files.
2.     All remaining boxes should be sealed and a work order submitted for delivery to the OSP.
3.     Enter your final time and submit for approval.


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