University of Illinois at Urbana-Champaign Library Effective Date: October 3, 2016
Issued by: Library Administrative Council
|Title: Grants, Contracts, and Agreements for Sponsored Research, Instruction and Other Activities|
| Owner(s) (Unit and Sub-Unit or Position):
Office of Research
| Original Date of Approval:
| Revision Date(s):
3/15/04; revised 10/3/2016
| Approved by:
Library Executive Committee; Administrative Council
| Review Cycle:
2 years.: next review 10/18
POLICY ON LIBRARY GRANTS, CONTRACTS, AND AGREEMENTS FOR SPONSORED RESEARCH, INSTRUCTION AND OTHER ACTIVITIES
I. Scope and purpose :
Library faculty and academic professionals are eligible to submit proposals for externally-sponsored grants, agreements, or contracts to support research, instruction, or other activities. This policy outlines the requirements for working with sponsored grants, contracts, and agreements from external sponsors. The policy covers all grants, contracts, and agreements for sponsored research, instruction, and other activities involving University Library faculty and professional staff in which the resources (financial, human, and facility) of the University Library are involved, regardless of the source of funding. It includes any proposals or agreements, whether the individual is the principal investigator (P.I.) or is a participant on projects originating from another university department or institution. It also articulates guidelines for carrying out sponsored research in the Library, which is both an academic as well as an operational service unit supporting the campus community. These guidelines are designed to support the Principal Investigator’s (PI) success to complete the proposed research, stewarding the grant’s funds effectively. The Library’s Business Services and Human Resources (BSHR) unit supports many grants, and it is critical that PI’s work within these guidelines to make effective use of BSHR and other Library resources that support grants.
II. Grant proposal development, review and submission:
a. The following proposals, contracts, or agreements must be approved prior to their submission by the University Librarian and/or the Associate University Librarian for Research :
i. Proposals, contracts, or agreements originating in the Library
ii. Proposals, contracts, or agreements originating in other campus units that involve Library personnel or resources.
iii. Proposals from entities outside the campus that involve Library personnel or resources.
b. If a proposal or agreement involves areas outside an individual’s unit, the P.I. is required to consult with Library units whose activities may be affected, (e.g., Preservation, IT, Collections).
c. In developing or negotiating a grant or contract, the P.I. should consult broadly within and beyond the Library to ensure that the proposed research is well-articulated and the proposal successful. The Library provides support for grant proposal preparation.
d. Proposals are submitted by the Office of Sponsored Projects (OSP) on behalf of the campus, after internal review and approval within the Library. The OSP’s review of the proposal checks that the proposal meets regulatory, financial, and other unique funder requirements before it is submitted. OSP will secure the signature of the University’s authorizing official that is required on every proposal that is submitted to an external sponsor.
e. Before a proposal, contract, or agreement can be submitted to an external sponsor, the PI is required to share for internal review the scope of work, narrative, budget, and accompanying information, including the sponsor/agency Call for Proposals (CFP). Individuals responsible for Library internal review including the Associate University Librarian for Research and the Assistant Dean for Business Operations or designee.
III. Cost sharing commitments:
Most proposals require cost sharing commitments of Library resources—cash, personnel, or other resources–from individuals and from other areas of the Library, and other campus units. To document cash and non-personnel commitments, the BSHR’s Manager of Research Administration will request that Library each unit head involved complete a resource commitment agreement before a grant proposal is submitted. The Manager for Research Administration notes any personnel cost share commitments and enters these into the campus Activity Reporting System after a grant has been awarded. The Manager for Research Administration tracks and reports periodically as required on financial and personnel cost share commitments to the sponsor.
The PI is responsible for notifying units and individuals who have made potential cost share commitments of the sponsor notification about whether or not the grant has been awarded. When a proposal is awarded or rejected, the PI notifies the individuals and units involved, as well as the BSHR’s Manager for Research Administration or designee and the AUL for Research.
Grant sponsors require periodic reports. The PI is responsible for preparing narrative reports on grant progress to meet the sponsor’s periodic reporting requirements. The BSHR’s Manager for Research Administration prepares the associated financial reports in consultation with the PI. The AUL for Research reviews periodic reports prior to their submission. The Manager for Research Administration submits all reports to the OSP and the grant sponsor on behalf of the PI.
The PI and project team meet periodically with the AUL for Research and the Manager for Research Administration to review progress as well as resource allocation for the project.
VI. Changes and Amendments:
Proposed changes in the project work plan and budget, as well as extensions, must be submitted by the P.I. to the AUL for Research and the Manager for Research Administration. Changes are submitted by the Library/OSP to the grant sponsor. The PI does not submit changes or extension requests directly to the sponsor.
VII. Allocation of Institutional Cost Recovered (ICR) Funds:
Most federal and state agency grants generate institutional cost recovery (ICR) funds. The PI has access to these funds without prior approval by the University Librarian and the Assistant Dean for Business Services and Human Resources Operations according to the guidelines stated in the Library’s ICR policy. In the first year of a grant, the BSHR sets up an ICR account for the PI and notifies the PI annually about the amount of ICR that has been deposited in that account. ICR funds from grants are allocated in the following manner:
45% to the college (Library)
55% to the campus
VIII. Use of Grant Backfill Funds:
PI’s must work with their unit supervisor (in the case of unit Heads or Directors, with the relevant AUL, and in the case of an AUL, with the University Librarian) to develop a plan to allocate grant funding that is provided for permanent or existing personnel that supports partial or full funding or “backfill” for the activities that an individual normally performs in her/his role. When the award is negotiated, the PI and the supervisor work together to determine the amount of the backfill allocation, the responsibilities that will be supported, and how the backfill will be allocated. The PI develops a written backfill plan that is reviewed and approved by the PI, the supervisor, Library HR, the Library Business Office, and the AUL for Research. The backfill plan is reviewed periodically as needed with the supervisor, PI, the Manager for Research Administration, and AUL for Research. The PI must consult with the supervisor before making any changes in personnel or a change in the amount of funds being used to provide backfill over 5%.
a. Appropriate employee types: Hourly Employees, Graduate Assistants, Academic Professionals, and Visiting Faculty are appropriate employee categories for grant funds.
b. Use of benefits: P.I.’s are responsible for ensuring that all project employees fully utilize their accruing benefits before termination of the grant. No civil service job classifications may be used for positions established on grant funds.
c. The PI is responsible for making arrangements to support the work performed by personnel working on a grant who take leave or who separate from the University (FMLA, , or other leave). This includes notifying the AUL for Research and the Assistant Dean for Business Operations or a designee.
Sabbatical leave: the PI is responsible for identifying anticipated sabbatical leaves with project personnel, and any necessary plans for coverage of the individual’s grant responsibilities during the leave if the individual will not participate in the grant during the sabbatical leave.
This directive is in compliance with the Office of Business and Financial Services Policies and Procedures Manual, Section 16.1.5—Sponsored Projects Administration.
Grant Lifecycle Actions
|Review of proposal narrative, budget, and other commitments by the AUL for Research (designated by the University Librarian), and the Assistant Dean for Business Operations or a designee. Comments back to PI within 3 days.||10 days prior to posted deadline.||Principal Investigator (PI), AUL for Research, Manager for Research Administration or designee.|
|Final proposal, with budget, are provided to the University Librarian and Associate University Librarian for Research, and others as appropriate, for final review and approval.||5 working days prior to the deadline.||PI|
|After review/approval, the Manager for Research Administration or designee, submitted to OSP for final review and approval to submit..||4 days prior to submission deadline||AUL for Research, Manager for Research Administration or designee.|
|P.I. informs re: acceptance or rejection — the University Librarian, AUL for Research, and Assistant Dean for Business Operations or designee..||Within one week after sponsor’s award notification.||PI|
|Progress and budget allocation review: PI and project team, Associate University Librarian for Research, Assistant Dean for Business Operations or designee.||Quarterly from start of grant through project end date.||PI, project team, Manager for Research Administration or designee, AUL for Research.|
|Budget review—determine need for no-cost extension: PI, Associate University Librarian for Research, Manager for Research Administration or designee.||Six months prior to project end date.||PI, project team, Manager for Research Administration or designee, AUL for Research|
Office of Business and Financial Services. Policies and Procedures. Section 16: Grants and Research Contracts. Section 16.1.5—Sponsored Projects Administration.
Office of Sponsored Programs (OSP). Prepare and submit proposals.
Office of Business and Financial Services: Grants and sponsored projects.
Office of Business and Financial Services: Federal and State agency sponsor links.
Administrative Council approved 3/1/00; revised 3/15/04; revised 10/3/2016