Grants 101: Internal Procedures

Prepared by Sarah Reaves

2014

Protocol for

pre- and post-award

grant procedures

and administration

at LCSC

PRE-AWARD PROCESS

o PROJECT DEVELOPMENT

Draft a well thought out project proposal and logical budget.

o PROJECT AWARENESS

Discuss the feasibility of a proposed project and budget

logistics with immediate supervisors and/or Division Chairs.

o COLLABORATORS

Ensure all collaborators are completely committed to the

proposed project.

o GAARP

Submit a Grant Application Approval Request Procedure

(GAARP) form to obtain institutional approval.

o GRANT SUBMISSION

Route documents to the appropriate departments.

o FOLLOW UP

Keep all affected departments abreast of a proposed project’s

grant status.

GAARP

o Grant Application Approval Request Procedure.

o Available online on the OGC website in Word and PDF .

o Comprised of:

o Project Information & Signature Pages

o Project Abstract

o Budget

o Comments Page

o GAARP Instructions

GAARP: Project Information

• Project Title

The institutional identity of the award; not the title of the grant being

applied for.

• Principal Investigator

The primary Principal Investigator (P.I.) for LCSC. (Must be a full-

time LCSC employee; i.e. adjunct and IH employees may not serve as

the primary P.I. on a grant.)

• Project Director

If different from the Principal Investigator.

• Department

Where the project will be housed.

• Funding Agency

Provide a website link to either the RFP or grant guidelines Funding

type (e.g. federal, state, foundation, other)

• Application Deadline

GAARPs are required to be submitted and completed at least 7 days

prior to the grant submission deadline.

• Project Dates

• Sub-contract & Sub-contracting Agency

When LCSC is not the fiscal agent or isn’t the primary P.I.

• Estimated Award Amount

The amount anticipated from the grant award; not the entire project

budget.

• Matching Amount

The amount LCSC is expected/required to commit to the project

against the grant.

• Indirect Costs Amount

On federal and state grants, institutions may build an indirect costs

line-item into the budget. Please refer to the OGC website or the

Budget Office for more information.

GAARP: Project Types

Research Student Support

Training Facilities/Equipment

Service Manuscript

Exhibit Contracted Services

Operating Support Conference

Materials/Supplies Personnel Costs

Event Professional Development

Planning Instructional Activity

GAARP: Project Involvement

Hiring Students Chemical Hazards

Hiring Additional Personnel Radiation Hazards

Additional Space Animal Research

Equipment Purchase Humans as Subjects

Patents or Copyrights Recombinant DNA

Property Agreements Blood Borne Pathogens

Confidentiality Agreements Safety Concerns

Biohazards

GAARP: Project Information

• The purchase of IT related equipment

Review and approval from the IT Director is necessary.

• Additional space and/or large equipment or furniture

Review and approval from the Physical Plant Director

is necessary.

• Collaboration with other LCSC departments and/or outside

organizations

Review and approval from all participating

collaborators is necessary.

• Tracking student outcomes

Review and approval from the Financial Aid Director is

necessary.

• Institutional obligation beyond the project period

Review and approval from the Provost is necessary.

• Humans as subjects

Review and approval from the Institutional Review

Board is necessary.

• Animal research (vertebrate creatures)

Review and approval from the University of Idaho

Institutional Animal Care and Use Committee

(IACUC) is necessary.

GAARP: Required Signatures

• Principal Investigator

• Division Chair/Department Head

• Dean

• Office of Grants & Contracts Director

• Budget Office Director

• Vice President of Finance & Administration

• Provost*

For projects involving research, award amounts over $10,000, and/or

that commit the institution or over a year.

GAARP: Dependent Signatures

• IT Director

Projects involving computer, camera, printer, etc. purchases.

• Financial Aid Director

Projects involving student scholarships.

• Physical Plant Director

Projects involving large equipment or facility renovations.

• IRB

Projects involving humans as research subjects.

• Other Coordinating Department

Projects involving/committing any additional LCSC department.

• External Coordinating Department

Projects involving/committing any outside organization.

GAARP: Supporting Documents

• Request for Proposal

May be an attachment or a link to the RFP webpage.

• Project Abstract

May be a one-page abstract on the page provided in the GAARP, or an

attachment of the proposal.

• Project Budget

• The total project budget, including the award amount, LCSC

match, and any additional project funding.

• PDF format will auto-calculate.

• May use line-item budget provided in the GAARP, or attach a

copy of the proposal budget.

• GAARP Comments

GAARP: Technical Aspects

• Word Document

Budget does not auto-calculate

Hand-written signatures

Routed via interoffice mail

• PDF Portfolio

Additional documents may be added

Budget auto-calculates

Electronic signatures

Email routing

Grant Submission

Submitting the Grant

o Permitted once a fully executed GAARP is returned to the OGC.

o The OGC does not submit grant applications unless by

arrangement.

o Copy all submitted proposals, applications, submission receipts,

and additional documents to the OGC.

Follow Up

o Award Documents

Send original to the Office of Grants & Contracts.

o Letters of Decline

Copy to the Office of Grants & Contracts.

o Keep the OGC and your supervisors aware of grant status!

POST-AWARD PROCESS

o AWARD NOTIFICATION

Award letters, contracts, agreements, emails, subcontracts, etc.

must be sent to the OGC upon receipt.

o NEW ACCOUNT REQUEST FORM

The OGC will send a New Account Request form to establish a

new cost center for the grant. (This form is available online.)

The OGC will alert the PI and/or Project Director of the new

account, enabling expensing.

o PERSONNEL ACTION FORMS

Prepare and submit PAs (when applicable) for LCSC employees

paid by grant dollars.

Grant Financial Management

Arrange invoicing and analysis schedule that works for the funding

agency, PI and /or Project Director, and the Grants Office.

Grant Analysis

• The OGC tracks monthly financial activity and provides PIs,

Project Directors, support staff, Division Chairs, etc. with a

monthly analysis.

• Errors are caught in a timely manner.

• Expenses are approved by designated person (PI or Project

Director), and can be moved from expense categories by request.

• Analysis will reflect remaining balance to allow for financial

planning.

Payroll Detail

• Upon request the OGC will send out a detail of employee payroll

for each pay date.

• Can be hard copied through interoffice mail, or emailed.

• Detail separates salary from fringe; can be modified to reflect

detail such as type of employee (e.g. IH, student, Exempt, etc.),

and to separate health insurance from other fringe.

• Detail references the performance period for the pay date.

Invoicing & Reporting

• Typically, the OGC will invoice for reimbursement of grant

dollars, although the Project Director may choose to handle this

within their own department.*

• The OGC has an invoice and account statement template used for

billings without predetermined templates. This template is

available upon request.

• The OGC can submit quarterly, bi-annual, and/or year-end

financial reports, or the Project Director may choose to handle this

within their own

department. *

*Invoices and reports

requiring the

Controller’s signature

will be automatically

handled through the

OGC.

Expensing & Journal Entries

• All expense forms such as REQs, Travel REQs, MERs, etc. should

be routed through the OGC to ensure expenses are allowable and

compliant with the grant guidelines, OMB, and LCSC policy.*

• All Journal Entries for grant and matching accounts should be

requested though the OGC.

• Independent Contractor Payment and Personnel Action forms

must be submitted to and approved by the OGC, per form

instructions.

• Supporting financial documentation (contractor invoices,

contracts, etc.) should be copied to the OGC for accurate and

complete financial record keeping.

*P-Card purchases cannot be routed through the OGC, and are exempt at

this time.

Grant Close Out

• Once a grant has ended and all

financial and performance

obligations have been met, the OGC

will notify the Controller’s Office to

close the associated account. Closed

accounts may be reopened prior to

the end of the fiscal year, although

this is rare.

• The OGC will not close an account without the written approval of

a PI and/or Project Director.

• The OGC retains grant files for at least three years (per LCSC

record retention policy), or longer if stipulated by the grant

guidelines. Grant files are available for reference.

Resources Available

• Grant Procedure Checklist (Word)

Available online on the OGC Pre-award webpage

• Grants Compliance Matrix (PDF)

Available online on the OGC Pre-award webpage

• Budget Template (Excel)

Available online on the OGC Pre-award webpage;

Single and multi-year formats.

• Grant Flowchart (PDF)

Available online on the OGC Pre-award webpage

• Online Glossary

Available online on the OGC website

• OGC Website

Supporting documents

Grant application information (DUNS number, LCSC tax ID,

Idaho stats, etc.)

LCSC Grant Policy & Federal Grant Compliance page