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Policy Manual
SECTION IV: Grants Administration
IV.1 Pre-Proposal Preparation (e.g., available resources, training,)
Faculty and staff interested in preparing proposals for external funding are encouraged to consult with the College of Education Office of Sponsored Programs and Accounting. The OSP maintains a resource center that can provide support in finding potential sponsor organizations, proposal writing, budget preparation, etc. In addition, the Coordinator of Sponsored Programs can assist faculty and staff with identifying potential sponsors specific to their research/service interests, developing timelines for proposal development and submission, and creating collaborations to enhance potential projects. The OSP will also provide professional development by conducting meetings and workshops to inform faculty and staff of successful methods for researching funding possibilities and securing external support.
Faculty and staff who intend to submit proposals for external funding are encouraged to work with the Coordinator of Sponsored Programs during proposal preparation. The Coordinator can advise Principal Investigators (PIs) on regulations and requirements for various sponsor organizations and provide templates and/or examples to facilitate proposal preparation to those organizations. In addition, the Coordinator can contact potential funding agencies for guidance as needed. The Coordinator will also provide guidance and assistance to PIs as they navigate through LSU regulations regarding indirect costs, fringe benefits, and other budget elements; and review budget documents for accuracy and compliance with LSU and sponsor procedures and requirements.
IV.3 IRB (need for review & post-award monitoring)
The Institutional Review Board (IRB) is responsible for ensuring compliance with the federal requirements that govern all research involving human subjects, unless they meet specific criteria for exemption. All proposals involving human subjects must be submitted to the IRB Office in 203 David Boyd Hall for exemption or approval, using standard forms and guidelines available at the IRB Web site. If funded, no sponsored program may begin until it has a written exemption or approval from IRB. Projects must be re-reviewed by IRB no more than 365 days after the most recent approval. The Coordinator of Sponsored programs will provide guidance to PIs regarding IRB exemption and approval processes, including filling out the required forms and routing proposals through the IRB office.
Proposed projects may be exempted from IRB oversight if they meet certain criteria. Any member of an intercollegiate screening committee can recommend a project for exemption. The College of Education has traditionally been represented on a screening committee, and the COE Office of Sponsored Programs and Accounting will assist PIs with any required forms and in locating screening committee members for exemption.
Effective September 1, 2006, all proposals routed through the LSU Office of Sponsored Programs must be submitted electronically via the Sponsored Programs System (SPS), operated through PAWS. The Coordinator of Sponsored Programs will route proposals for all University approvals and signatures, and serve as liaison between PIs and the LSU Office of Sponsored Programs during the campus review and approval processes. Once proposals receive University approval, the Coordinator will deliver, ship, or submit electronically the final proposals/agreements to sponsors, when submission by the LSU Office of Sponsored Programs is not required.
IV.5 Award Negotiation
The COE Office of Sponsored Programs and Accounting shall review all incoming awards, and work closely with PIs and administrators on the negotiation of terms and conditions for acceptance. The Coordinator of Sponsored Programs can interpret contracts and note special provisions for PIs, and serve as liaison between PIs, LSU Office of Sponsored Programs, and the authorized sponsor representatives.
Once final awards are accepted, the OSP will coordinate an initial meeting between OSP staff, PIs and Co-PIs, essential project staff, and College administrators. The purpose of this meeting is to review the proposal and award documents to ensure compliance, create a timeline for expenditures, and notify all parties of special circumstances that may result from the sponsored programs.
IV.6 Post-Award Administration
The COE Office of Sponsored Programs and Accounting can facilitate many of the managerial components of the post-awards process including
- Account Management
- Cost-Sharing
- Subcontracts
When external organizations wish to initiate a subcontract with faculty or staff of the College of Education, those subcontracts must be routed through the LSU Office of Sponsored Programs, the same as full proposals. The Coordinator of Sponsored Programs can assist faculty or staff in developing subcontracts, and serve as liaison between PIs and the subcontracting organization. The Coordinator will route the proposed subcontract using SPS, and work with the LSU Office of Sponsored Programs and PIs to get necessary approvals and signatures.
If a PI who has been awarded a grant or contract and wishes to initiate a subcontract with an external organization, the OSP will assist the PI with preparing a Request to Draft Subaward Form , to be submitted to the LSU Office of Sponsored Programs. The LSU Office of Sponsored Programs will draft the subcontract and send to the Coordinator of Sponsored Programs and the PI for review. After reviewing the subaward for accuracy, the COE OSP will prepare a Purchase Requisition, attach the subcontract and forward to the Purchasing Office. The Purchasing Office will obtain necessary signatures (subcontractor, LSU, Louisiana Office of Contractual Review). Upon receipt of the subcontract executed by the person authorized to sign for the subcontractor, the Office of Sponsored Programs will obtain the signature of the Vice Chancellor for Finance and Administrative Services to execute the subcontract on behalf of LSU. A fully executed copy will be sent to the subcontractor with a notice to begin the work. The subcontract will be filed in the COE Office of Sponsored Programs and Accounting.
If possible, subcontracts should be planned for in the proposal preparation process. When the proposed subcontractee is known, a letter of support from that organization should accompany the routing proposal, and the proposal budget should include the subcontract amount. The letter of support from the organization must contain the period for which services will be provided, the amount of compensation requested, and a statement that the services will be provided in support of the specific project proposed.
IV.6.1 Reporting
The COE Office of Sponsored Programs and Accounting will assist faculty with the following reports:
- Agency
- University
- College
- Department
IV.6.2 Award Modifications (e.g. extensions, re-budgeting, etc.)
Modifications to existing awards, such as no-cost extensions or re-budgets, should be developed in collaboration with the COE OSP. All modifications must be submitted to the Coordinator of Sponsored Programs to ensure compliance with LSU and sponsor regulations. The Coordinator of Sponsored Programs will serve as liaison between PIs, the
LSU Office of Sponsored Programs, Sponsored Program Accounting, and the funding organization. If deemed necessary, award modifications will be routed through the LSU Office of Sponsored Programs and, once approved, sent to the sponsor for final approval.
An Award Modification and Acceptance Form (AMAF) must accompany all requested modifications when submitted to the LSU Office of Sponsored Programs. The Coordinator of Sponsored Programs will prepare the AMAFs for College of Education programs, and route for necessary signatures and approvals.
IV.6.3 Close-Out
The College of Education Office of Sponsored Programs and Accounting will facilitate faculty with closing out grants and sponsored projects. Faculty will be notified of deadlines pertaining to final expenditures and reports. Sponsored Programs staff will facilitate the submission of final reports and/or extension requests.
IV.7 Research Release Salary Funds
Policy on Research Release Unexpended Salary Recovery
When engaged in the administration of an externally funded sponsored program, faculty members have the option of charging a percent of their salary commensurate with the amount of effort expended in the execution of the sponsored program. This salary cross charge will generate research release salary funds which will accrue to the College of Education on a monthly basis as salary expenditures are charged to the respective sponsored program(s). These research release salary funds are made available to the academic unit through a unit-wide unexpended salary account. All research release salary funds recovered by the College of Education will be managed by the Assistant Dean for Finance and Administration through the Dean’s Office of Sponsored Programs and Accounting. The purpose of this policy is to establish the manner in which these research release salary funds will be allocated within the College.
Of the amount of research release salary funds returned to the College of Education, 50% will be directly allocated to the faculty members whose sponsored program generated the research release salary. In the event that replacement teaching needs result from the “buy-out” of teaching time, replacement teaching costs will be deducted from the 50% of research release salary allocated to the faculty member.
Faculty members receiving a research release salary allocation will be provided with statements indicating the balance available to be used at that time, as well as a projection of future research release salary accruals through the end of that fiscal year. Research release salary funds are sensitive to fiscal year deadlines, and as such, unexpended balanced will not carry over from one fiscal year to the next. Therefore, attention must be given to expending all research release salary funds generated in a given fiscal year by June 30 of that fiscal year. The use of research release salary funds will be at the discretion of the faculty member, and subject to all State procurement regulations and established College policies and procedures.
IV.8 College Indirect Cost (F&A) Recovery & Distribution
Policy on Indirect Cost (F&A) Recovery
The University has established a policy concerning the return to the academic units a portion of the Facilities and Administrative Costs, also known as indirect costs, generated by externally funded sponsored programs administered by the units. Near the beginning of each calendar year, the LSU Office of Sponsored Program Accounting calculates and reports to Deans on the amount of indirect costs recovered by the sponsored programs administered by the academic unit. These indirect costs are reported for the previous fiscal year (July 1 through June 30), and the amount to be returned to the academic unit is transferred into a unit-wide indirect cost recovery account. All indirect costs recovered by the College of Education will be managed within that single account by the Assistant Dean for Finance and Administrative Services through the Dean’s Office of Sponsored Programs and Accounting. The purpose of this policy is to establish the manner in which the portion returned to the College of Education will be distributed within the College.
Chairs and faculty members receiving an indirect cost allocation will be provided an annual statement indicating the balance available to be used. Indirect costs recovery funds are not sensitive to fiscal year deadlines, and as such, unexpended balanced will carry over from one fiscal year to the next. The use of allocated indirect cost recovery is subject to all State procurement regulations.
IV.9 Administrators of Sponsored Programs (ASP)
The LSU Administrators of Sponsored Programs (ASP) assist its members in the performance of their duties and professional development by providing information resources and facilitating exchange of knowledge. The purpose of ASP is as follows.
- To disseminate information regarding administrative policies and regulations that govern sponsored agreements in an academic setting.
- To advance individual standards of performance and professionalism in administration of sponsored programs at all levels of the University.
- To strengthen working relationships between and among administrative staff personnel at all levels of the University.
- To cooperatively identify and seek implementation of uniform systems for fiscal control and accountability.
- To provide an informal forum for discussion, clarification and exchange of viewpoints concerning the meaning and intent of federal, state and university administrative policies and their implementation by the University.
Membership in ASP is open to any individual employed by LSU whose job related duties require knowledge of policies and regulations governing administration of grants, contracts and other sponsored agreements. An individual may become a member simply by attending a meeting and asking the secretary/treasurer to be placed on the membership mailing list.
IV.10 Office of Sponsored Programs/Sponsored Program Accounting
The LSU Office of Sponsored Programs is under the auspices of the Vice Chancellor for Research and Economic Development and has the mission of providing advice and support to the University community in the acquisition and administration of externally funded projects in furtherance of the instruction, research, and public service mission of the University. OSP is charged with the responsibility of handling all proposal and award activity for the University. The Director of OSP oversees the University's administrative and support systems for faculty in the conduct of sponsored program activities. OSP strives to enhance the competitiveness of our researchers by providing customer service oriented assistance, keeping abreast of sponsor requirements and state and federal regulations, and utilizing current, state of the art technology. The OSP office is dedicated to providing current information, advice, and assistance to faculty and staff. OSP continually seeks ways to improve the processes and services it provides to the University. The OSP team, in collaboration with other central administrative offices, works together with University faculty and staff toward the advancement of research for LSU.
Sponsored Program Accounting (SPA) is under the auspices of the Associate Vice Chancellor for Accounting and Financial Services and the Vice Chancellor for Finance and Administrative Services and is responsible for the post-award administration of sponsored programs (federal, state, local and private grants, contracts, and cooperative agreements). SPA establishes and maintains sponsored program accounts on the Chart of Accounts (COA), budgets funds upon receipt of sponsored agreements, prepares billings and requests for reimbursement, receives and records payments, monitors collection of payments from sponsors, prepares financial, property and patent reports, and processes sponsored program budget adjustments and expenditure transfers.
SPA also administers Personnel Activity Reports (PARs) for the documentation of effort and salary cost sharing on sponsored projects.
