Office of Sponsored Projects - Procedures Office of Sponsored Projects - Procedures

Minimize

Approved By:  Vice President of Academic Affairs on August 8, 2019 

The following procedures were established to ensure the implementation of ENMU's policy concerning sponsored (grant and contract funded) projects.

1.   All proposals for funding must be reviewed by the Office of Sponsored Projects prior to submission to the following review functions:

A.   Review potential contracts for Federal Acquisition Regulations or other requirements or regulations that are incompatible with ENMU's policies, procedures or regulations.

B.    In conjunction with the Business Office, 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.

C.   Review proposals for completeness and conformance to sponsor's instructions.    

For federal sponsored projects see 2CFR Part 200.306 "Uniform Administrative Requirements, Cost Principles and Audit Requirements"   

2.   In preparing a proposal, the Principal Investigator or Project Director (PI/PD) must:

A.   Identify in the proposal and on ENMU's Grant Approval Form (available from the Forms and Downloads tab in the Portal under Sponsored Projects Office) all University resources that will be used in the project, including;

i.   Equipment, especially new equipment to be purchased for the project.

ii.   Full responsibility for, or sharing of, salaries, to include all fringe benefits (see Sponsored Projects Policy).

iii.   Both the physical and financial aspects of the space/facilities required to carry out any activities associated with the grant or contract. 

iv.   All required computer services support including hardware, software, programming and training.

v.   Any expenditures requiring University funds or contributions in kind (matching).

B.   Determine whether any other University department or division is directly affected by the proposal. If so, the dean, chair or director of the affected department should formally acknowledge concurrence, with evidence of such concurrence reflected in or submitted with the Grant Approval Form.

C.   Determine whether the proposed project or program involves compensation for a current University employee or faculty release time.  If so, the PI/PD must brief the Sponsored Projects Manager regarding the request at or by the time the Grant Approval Form is submitted to the Office of Sponsored Projects. The PI/PD must also meet the conditions for additional compensation or release time specified in the Sponsored Project Policy before ENMU will certify a proposal that includes additional compensation or release time.

For federal sponsored projects see 2CFR Part 200.430"Uniform Administrative Requirements, Cost Principles and Audit Requirements"   

 

3.   All proposal submissions must be approved by the PI/PD's Chairperson, Dean (Director if the PI/PD is a staff member), Sponsored Projects Manager, the CIO (if computer or technology is included), and the Vice President for Academic Affairs. Approval is indicated by their signing of the completed Grant Approval Form. The office of Sponsored Projects will obtain all signatures except the dean/chair/department director signature on behalf of the PI/PD.

4.   The PI/PD will insure that all deliverables required under the terms and conditions of a grant are provided to the Office of Sponsored Projects and the funding agency. Upon notification by the PI/PD that all deliverables have been submitted and the work is complete, either the PI/PD or the Office of Sponsored Projects will request a letter from the granting agency confirming that the project has been completed to its satisfaction. This documentation will be retained with both the electronic and hard files to minimize the liability of incomplete projects to both ENMU and the PI/PD. 

For the closeout of federal awards see 2CFR Part 200.343 "Uniform Administrative Requirements, Cost Principles and Audit Requirements"

 

5.   PI/PDs must conform to all policies and procedures regarding the purchase of and billing for equipment, supplies, and services that are required as part of the ENMU System. PI/PDs are encouraged to contact the Office of Sponsored Projects, the Business Office, Purchasing and the Grants Accountant to discuss or clarify internal purchasing and billing policies and procedures.

6.   PI/PDs must conform to ENMU policies and procedures for travel. Travel related reimbursements (i.e. Mileage, per diem) to individuals will be at ENMU rates.

7.   PI/PDs must avoid disallowable expenditures. If a PI/PD is uncertain about a given expenditure, they should first consult with the Business Office to determine whether the purchase should proceed. If necessary, the PI/PD will be requested to contact their Program Officer at the awarding agency to determine if the purchase is an allowable expenditure. The Office of Sponsored Projects Manager will sign all purchase order requisitions, travel vouchers, interfund requests, special pay slips, contracts, and employment contracts affecting grant funds.

For the allow ability guidance of purchases for federal awards see 2CFR Part 200.403 "Uniform Administrative Requirements, Cost Principles and Audit Requirements"

 

8.   The Business Office will review and approve or disapprove all purchase order requisitions, travel vouchers, inter-fund requests, special pay slips, contracts, and employment contracts affecting grant funds and requiring his/her signature within four working days of receipt. Purchase order requisitions must be completed prior to purchase; requisitions submitted after the purchase may be declined by the Business Office.

9.   The Business Office is the responsible fiscal agent for all required financial reporting.   PI/PDs must provide the Business Office and the Office of Sponsored Projects any documentation needed to prepare financial reports. The Business Office will provide PI/PDs with summary statements of expenditures for each project upon request. The Office of Sponsored Projects will require a mandatory meeting with the PI/PD and Business Office at the time that 80 percent of project funds are expended to ensure that the project is nearing completion and will be completed within allotted project funds.

10.   The Business Office will maintain financial records for sponsored projects following successful completion of a project in the event of an audit. The Business Office will provide all storage (both electronic and paper) of fiscal records for each project as required under project specific regulations and under State of New Mexico archive requirements.  The Office of Sponsored Projects will maintain a file containing the proposal, contract, and related documentation.

For federal sponsored projects see 2CFR Part 200.302 "Uniform Administrative Requirements, Cost Principles and Audit Requirements"

 

11.   In the event that project expenditures are audited, the Business Office will provide the fiscal records for the audit.  Further, the Business Office and Office of Sponsored Projects 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 or Office of Sponsored Projects staff to respond to questions by auditors.

12.   The PI/PD must submit a completed Grant Approval Form signed by their chairperson and dean or their director along with a complete file package of the sponsoring agency's signature forms to Office of Sponsored Projects five working days prior to the submission date listed by the awarding agency.

13.   The Office of Sponsored Projects is responsible for submitting all grant and contract proposals to the sponsoring agency. Office of Sponsored Projects 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 sufficient time to perform duplication services, Office of Sponsored Projects must receive proposals at least five days before the date that the proposal is due at an agency. Office of Sponsored Projects will also coordinate all mailings, 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. If PI/PDs choose to prepare the number of copies needed by the agency themselves; they are still required to submit the entire proposal package (including all copies) to Office of Sponsored Projects at least five days prior to the date that the proposal is due at the agency.  The Manager of the Office of Sponsored Projects, the Assistant Vice President of Research AVPR, the Vice President of Academic Affairs (VPAA), or the President will certify the proposal, on behalf of ENMU, by signing the sponsoring agency's signature page(s) and the Manager of the Office of Sponsored Projects will upload or mail the official submittal to the prospective sponsoring agency.

14.   Any contract negotiations between ENMU and a funding agency must involve the Office of Sponsored Projects Manager, the AVPR, and the PI/PD, as coordinated by Office of Sponsored Projects.  Final contracts must be reviewed by both the PI/PD and the Office of Sponsored Projects. Original documents will be maintained by Office of Sponsored Projects, who will provide copies to the Business Office and PI/PD.

15.   Any modifications to a grant or contract award must have the written prior approval of the awarding agency and 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 Office of Sponsored Projects. 

For federal sponsored projects see 2CFR Part 200.308 "Uniform Administrative Requirements, Cost Principles and Audit Requirements"

 

16.   The responsibilities of PI/PD during the post-award include:

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, ENMU reserves the right to either:  terminate the contract with the granting agency without approval of the PI/PD 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, they must provide Office of Sponsored Projects and the Business Office with immediate written notification of their intent to leave and the expected date of termination with the University. In such a case, ENMU will exercise, at its discretion, one of two options. First, with agency approval, ENMU may seek to replace the PI/PD with a new PI/PD and continue the project at ENMU. Second, ENMU may choose to terminate the project after consulting with the awarding agency.

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 Office of Sponsored Projects prior to submission to the awarding agency. This enables Office of Sponsored Projects to verify that milestones in the project are being met. If milestones are not being met, progress reports will alert Office of Sponsored Projects 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 Office of Sponsored Projects, the Business Office, the PI/PD, and other ENMU administration as needed.

For federal sponsored projects see 2CFR Part 200.338-342 "Uniform Administrative Requirements, Cost Principles and Audit Requirements"    


Staging Enabled