Overview

The mission of the Office of Sponsored Programs (OSP) is to provide assistance and guidance to those members of the University community involved in applying for, and administering, sponsored projects. We strive to support the University’s goal to increase the level of sponsored project funding, while protecting the University’s interests and complying with the requirements to which the University and sponsors have agreed.

All requests by Xavier faculty, staff or students for funds from external sources must be consistent with the University’s mission and must be approved in advance by designated University officials and ultimately by the President or an Institutional Representative designated by the President.

Sponsored Projects – Basic Considerations

The OSP is responsible for all sponsored projects at Xavier University. Such projects fall within several areas. Examples include research, training, curriculum development, public service, and the acquisition of equipment. Sponsors of these activities include the federal government, state and local governments, foundations, international organizations, research institutes and corporations. These organizations sponsor projects through a variety of mechanisms, such as contracts, grants, letter agreements, purchase orders, cooperative agreements, and subcontracts.

OSP is not involved with gifts or other unrestricted funds that fall under the purview of the Office of Institutional Advancement. Proposals to individual donors, corporations and/or foundations, or those for major facilities, comprehensive programs, endowment funds, general scholarship funds and other institution-wide purposes should be coordinated with the Vice President for Institutional Advancement. The following definition of a sponsored project is provided to clarify the distinction between the types of funding handled by OSP and Institutional advancement:

Sponsored projects include research, training, or instructional projects involving funds, materials, other forms of compensation, or exchanges of in-kind efforts from sources external to Xavier University under awards or agreements that contain any one of the following:

• The award or agreement binds the University to a scope of work that is specified to a substantial level of detail. This would, for example, include funding that is dedicated to an investigator’s particular research project, a grant to a department under which seed money for projects would be distributed, and the training of students on specific projects.
  
• A line item budget is involved. A line item budget details expenses by activity, function, or project period. The designation of indirect or administrative costs qualifies a budget as “line item.”
  
• Financial reports are required and/or the expenses are subject to audit.
  
• The sponsor defines a period of performance during which funds may be used and/or unused funds must be returned to the sponsor.
  
• The award agreement provides for the disposition of either tangible or intangible properties, which may result from the project. Tangible properties include equipment, records or formal activity reports. Intangible properties include rights in data, copyrights, or inventions or research related materials.

If Xavier faculty or staff have questions whether or not an application involves a sponsored project, please contact Ann Smith at 520-5440.

Pre-Proposal Activities

OSP will assist faculty and staff on specific issues regarding the submission of proposals. In most instances, the OSP staff is familiar with sponsor policies and can clarify key questions or problems prior to the proposal submission deadline. As a result, the OSP requires faculty and staff to begin the proposal clearance, routing and approval process at least 14 days prior to the sponsoring agency due date.

PROPOSAL SUBMISSION/CLEARANCE PROCESS

The Proposal Clearance Form, available on the Office of Sponsored Programs (OSP) website, must be completed and sent to the OSP (preferably electronically to Ann Smith) at least 14 days prior to the final proposal being routed, internally, at the University. The completed form must be accompanied by: a one-page or less abstract of the proposed project, describing its purpose, objectives and contribution to the mission and goals of Xavier University of Louisiana, and the web address where the Request for Proposal can be located. IF FACULTY MEMBERS NEED ASSISTANCE WITH ANY PART OF THIS PROCESS, PLEASE BE SURE TO CONTACT OSP STAFF WHO WILL BE HAPPY TO ASSIST YOU.

The OSP will electronically distribute clearance documents to the following individuals: Department Chair and Academic Dean; Associate Vice President for Academic Affairs; Senior Vice-President for Administration; Vice President for Fiscal Services; Vice-President for Institutional Advancement; Vice-President for Technology Administration, Director office of Planning and Institutional Research, and the Manager of Grants and Contracts Accounting. If these individuals have any concerns regarding the proposal, they will contact either the Principal Investigator (“PI” or “Grants Manager”) or the OSP within one week of receipt of this clearance form. In absence of any response, the PI should proceed with the full grant application.

Draft Budget: It is especially important that you submit a full, draft budget to OSP staff as early as possible, preferably with the clearance form, so they can assist you in resolving any budget issues. This will greatly facilitate the final proposal routing process. If the agency to which you are submitting your proposal does not provide a budget template, please go to the OSP website and download the Xavier budget template. When developing a budget, the following issues should be taken into consideration.

• Academic Year Employment of Faculty and Staff: Ordinarily, when a faculty member is under a University contract, federal regulations will not permit extra compensation for services to federally funded sponsored projects beyond the 100% academic workload. Generally, full-time faculty and staff, when under contract with the University, may not increase and/or supplement their base salary from grant and contract funds. Compensation above and beyond the contractual base salary is allowable for a teaching overload when paid with University funds or when such arrangements are specifically provided in the externally funded agreement or approved in writing by the sponsoring agency. Faculty are encouraged, when appropriate to the funding agency’s standard practice, to charge a portion of their salaries to grants, consistent with the level of effort they will be devoting to the project being funded. Doing this frees up University funds for other uses and thereby can be a very helpful in addressing the University’s resource needs.
  
• Summer Employment of Faculty: Compensation for faculty members for work performed on sponsored projects in the summer is based on the prior academic year’s contract salary. For each month of work performed on a sponsored project in the summer, a faculty member under a nine month contract may be paid one-ninth (1/9) of his/her prior academic year salary. If a faculty member receives compensation from one or more collective sources in the summer (i.e., teaching, research, sponsored projects, etc.), the total summer salary from all Xavier sources for a faculty member on nine month appointment, cannot exceed three ninths of the faculty member’s 9 month salary.
  
• Compensation Limitations: Total compensation for all Xavier sources, including sponsored projects, in a twelve (12) month calendar or fiscal year, shall not be allowed to exceed the nine (9) month academic year salary plus three ninths (3/9ths) of the prior academic year’s contract salary. However, the regulations regarding how much summer salary can be charged to a grant from the sponsoring agency, which sometime differ from the above mentioned policy, must always be followed. Faculty members on full salary during the summer are strongly encouraged to include students in their research.
  
• Employment of Staff: Exempt employees of the University may not receive extra compensation or overtime pay from sponsored projects. These wages must be paid as part of base salary. The amount to be supported by the sponsor should be shown as a portion of the annual base salary and should be based on the amount of time spent on the project.

Proposal Completion: The Principal Investigator of the project is ultimately responsible for both the substantive and formal quality of the final grant proposal. OSP will provide assistance when requested and will review the final document as appropriate.

Proposal Routing: The “Final Proposal Routing Form” (available on the OSP website), should be signed by the Principal Investigator. Then, the original of the final proposal, including the budget, and the routing form, should be delivered to his/her chair, Dean, and Associate Vice President for Academic Affairs. Following review and approval, the Routing Form should be signed by the Chair, then the Dean, and finally by the Associate Vice President for Academic Affairs. (If faculty members from departments/colleges other than the PI’s are budgeted to receive salary support from the project, their Chairs and Deans should also sign the Routing Form.) In addition, signatures should be obtained for any required certifications, such as from Human Subjects or Animal Care committees. (For required certifications, see any questions on the original Proposal Clearance Form to which a “yes” answer was given.) The new Proposal Clearance Form, with any changes, the signed Final Proposal Routing Form, and the original plus one copy of the full, final proposal (with cover page, for internal use), should be delivered to the OSP at least one week prior to the due date of the sponsoring agency.

Proposal Approval: Once the above-described process is completed, OSP staff will review the proposal and obtain the signature of Xavier’s Authorized Institutional Representative on all required documents. The Authorized Institutional Representative will only sign proposals that have been routed through and certified by the OSP. Once signed, the OSP will notify and return the original proposal to the PI who then will be responsible for mailing the proposal and the required number of copies to the granting agency. If the PI needs assistance with copying or mailing, please inform OSP staff.

Negotiation of Sponsored Agreements

OSP, in conjunction with the Principal Investigator (PI), is responsible for reviewing all terms and conditions of an award prior to acceptance by the University. OSP is responsible for assuring that sponsor requirements are compatible with University sponsored project policies, consistent with government-wide regulations applicable to universities and reflect the understandings agreed upon prior to the award. OSP has the prime responsibility for resolving any differences between the University and sponsor with regard to terms and conditions of new awards as well as modifications or amendments to existing awards.

Accepting an Award

When a Principal Investigator (P.I.) receives an award letter, the original and an approved budget should be sent to the Office of Sponsored Programs (OSP), with supporting documentation such as grant guidelines and terms and conditions. If the award is received via electronic communication (e-mail), forward it to Ann Smith in the OSP and/or provide the web address of the appropriate office within the sponsoring agency. If the award letter is received by the President’s Office, which will forward it to OSP, or comes directly to the OSP, the PI will be notified via e-mail and be sent a copy of the documents.

Upon completion of the award review process, OSP staff will obtain the signature of Xavier’s Authorized Institutional Representative on all required documents. The Authorized Institutional Representative will only sign awards that have been routed through and certified by the OSP. Once signed, the OSP will notify the sponsoring agency and return the original award documentation to the PI.

Activating Grant Accounts

The following procedures should be used to activate, or revise the budget of, an account for a new or a continuing grant, contract or cooperative agreement award made to Xavier University.

Award Documentation Package: Copies of the Proposal Clearance Form, the original proposal and budget, and authorizing/certifying documents should already be in the OSP files. If any documents are missing, the PI will be so informed and asked to provide them. The OSP will then complete the project information and budget portions of the Routing Form for New Awards and Activating/Revising Grants Accounts, which includes the project budget using Xavier budget codes, and put together an “Award Documentation Package.” This package will contain all the requisite items on the Checklist for Establishing Externally Funded Projects (available on the OSP website).

Routing of Award Documentation Package: After OSP staff have completed the Award Documentation package, they will ask the PI to review it. If all the information is correct, the PI should sign the Routing Form. The PI should also request from the Office of Human Resources the PAFs of all individuals who will be paid on the grant and revise the PAFs as appropriate. The Award Package, including the revised PAFs, should then be routed for signature to the PI’s chair and, where appropriate, to other individuals needed to authorize cost sharing. The names and signatures of persons authorized to sign expenditure documents should also be included on the routing form. This package should be returned to the OSP. The OSP will forward the package to the Office of Grants and Contracts Accounting (OGCA). This package will become the official award file and will be maintained in the OGCA. The above described process typically will be completed within 5 working days.

Activating the Account: The OGCA will review the information in the Award Documentation Package and, in the absence of any inconsistencies with University fiscal policies, assign a grant account(s) number and notify the OSP of the new number(s). This will typically take 3 days. The OSP then will notify the PI. In the case of large, multi-component projects, it will be the PIs responsibility to notify each co-investigator of the assigned account number for his/her component.
The OSP will distribute copies of the completed Routing Form for New Awards and Establishing/Revising Grants Accounts, with the assigned grant number(s), to the PI, the Department Chair(s), and the Dean.

Post Award Administration

Xavier University’s post award policies conform to all applicable rules, regulations and policies contained in OMB Circulars No. A-21, A-110, and A-133. These circulars establish cost principles, administrative requirements, and audit requirements that are applicable to grants, contracts, and cooperative agreements with educational institutions.

Subcontracting

The OSP is responsible for preparing and overseeing subcontracts as approved in the sponsored project award and issued by the University to other organizations. In general, the subcontractor is subject to the same terms and conditions of the award as the University. Therefore, the subcontract agreement prepared by OSP contains specific terms and conditions, an approved budget and a statement of work. To be binding, the subcontract must be signed by the Authorized Institutional Representative and the Authorized Representative of the subcontractor. When the agreement is fully executed, OSP will forward the original document to the Office of Grants and Contracts Accounting, forward a copy to the PI and retain a copy for office files. Extensions and modifications to the subcontracts are made by OSP and verbal approval by the PI.

Please contact Ann Smith asmith14@xula.edu or 520-5440 for any questions you have concerning the above policies.