Principal Investigator s Handbook (SUNY Oneonta) Principal Investigator s Handbook. Page 1

Principal

Investigator’s

Handbook

This document is a product of the vast knowledge of the Research Foundation for The State University of New York (RF) Sponsored Programs offices from the following locations in collaboration with RF Learning and Development. It has been edited by the SUNY Oneonta Sponsored Programs and Grants

Development Offices to include specific information for the SUNY Oneonta campus community. Binghamton University

Buffalo State

College of Nanoscale Science and Engineering, University at Albany Empire State College

RF Central Office SUNY Canton SUNY Cobleskill SUNY Old Westbury

SUNY Oswego University at Buffalo Upstate Medical University

Table

of

Contents

Introduction ... 4

 

Using this Handbook ... 4 

General Information ... 6

 

The RF/SUNY Relationship and You ... 6 

Roles and Responsibilities ... 6 

Additional Involved Parties ... 7 

Overview ... 9 

Developing a Concept ... 9 

Looking for Funding ... 11 

Award Types ... 12 

Developing Proposals ... 14

  Overview ... 14  Application Guidelines ... 14  Key Components ... 15  Compliance ... 19 

Submitting Proposals ... 22

  Overview ... 22 

Award Acceptance and Negotiation ... 22 

Post-Award Management ... 23

 

Overview ... 23 

Award Establishment ... 23 

Monitoring Sponsored Award Financial Activity ... 24 

Key Award Considerations ... 25 

Extending Awards ... 26 

Intellectual Property ... 26 

Closing Awards ... 27 

Appendix 1: Policies, Procedures, and Regulations ... 28

 

OMB Regulations ... 28 

2 CFR Part 200 ... 28 

Appendix 2: Sub-awards versus Contractor ... 29

 

Appendix 3: Acronyms ... 30

 

Appendix 4: Audits and Site Visits ... 33

 

Introduction

Congratulations! You have taken the first step toward seeking, securing, and administering external funding in support of your research, teaching, or program goals.

The primary goal of the Principal Investigator Handbook is to help any Principal Investigator (PI), Project Manager (PM), Project Director (PD), or project staff member navigate the grant process, from application to close-out of an award administered by The Research Foundation for The State University of New York (RF).

Figure 1: Lifecycle of a Grant

Key: OSP=Office Sponsored Programs (SPO at SUNY Oneonta) / RF=Research Foundation for SUNY

Note: At SUNY Oneonta, the Grants Development Office assists faculty/staff in the preparation and submission of proposals to sponsors.

While the RF is the legal recipient of sponsored program awards on behalf of SUNY Oneonta, each project’s PI, PM, or PD is accountable for the proper implementation and fiscal management of the project, and may be held liable for failure to abide by the policies of the RF, the campus, or the sponsor. SUNY Oneonta’s Grant Development Office (GDO) and Sponsored Programs Office (SPO) work closely with PIs throughout the lifecycle of a project to ensure that PIs are well equipped to submit proposals that comply with sponsor guidelines, and to successfully manage funded projects.

Using

this

Handbook

The structure of the PI Handbook follows the lifecycle of a funded project from the concept phase and submission process through award close out. This handbook is not intended as a complete manual for grant application and sponsored program (SP) administration, but rather as a guide to provide PIs with an introduction to fundamental administrative processes related to sponsored projects.

Submit technical and final reports to sponsors and disclose inventions

The Handbook’s appendices include links to commonly referenced RF, U.S. Office of Management and Budget (OMB), and campus policies and regulations that govern sponsored research; common acronyms and terms associated with sponsored project administration; and other related information.

At SUNY Oneonta, research/sponsored projects are facilitated through the GDO and SPO. The GDO is responsible for ‘pre-award’ or application preparation and submission matters, and the SPO is responsible for ‘post award’ administration matters.

The GDO is the first point of contact for anyone interested in seeking external funding, regardless of source. Assistance provided by GDO staff includes: identifying and researching potential sources of funding; developing/editing proposal narratives; calculating, finalizing and justifying budgets; contacting sponsors if necessary; completing required forms and other application components; facilitating required campus routing; and securing necessary campus approvals and commitment letters.

After an award is made, the SPO assists with all aspects of award management, from award establishment to close-out, in collaboration with the RF.

Do not hesitate to contact the GDO and/or SPO should you need assistance during any phase of your project.

SPO Information/Contacts: www.oneonta.edu/admin/spa/

Denise Straut (Director) denise.straut@oneonta.edu 607-436-2525

Aleksandra Andreic (Grants Manager) aleksandra.andreic@oneonta.edu 607-436-2476 Melissa Nicosia (Human Resources Manager) melissa.nicosia@oneonta.edu 607-436-2294 Lara Woods (Payroll, Fellowships, Invoicing) lara.woods@oneonta.edu 607-436-2473 Kimala Clark (Accounts Payable, Purchasing) kimala.clark@oneonta.edu  607-436-2731

The RF website: http://www.rfsuny.org/

GDO Information/Contacts: www.oneonta.edu/advancement/grants

Kathy Meeker (Director) kathy.meeker@oneonta.edu 607-436-2632

General Information

The

RF/SUNY

Relationship

and

You

The RF was founded in 1951 to serve SUNY and to capitalize on its scope, scale and diversity as an engine of New York State’s innovation economy. The 1977 Agreement between SUNY and RF formalized the relationship, duties, and responsibilities of the two entities in regard to SP activities. The largest, most comprehensive university-connected research foundation in the country, the RF supports nearly $1 billion in SUNY research/SP activity annually, providing SP administration and innovation support services to SUNY faculty and staff performing research and other scholarly/creative activities, improving pedagogy, and providing service across the disciplines.

All SP activity at SUNY Oneonta is fiscally managed through the RF via the GDO and SPO. The GDO assists faculty and staff with funding searches, proposal preparation, and proposal submission. The SPO assists sponsored project award recipients from the point of award to administration of purchasing, payroll, reporting, and accounting.

For more information about the RF and its connection to campus SP activity, review the RF’s Intro to Sponsored Programs course at http://www.rfsuny.org/Our-Work/Learning--Development-/Training-for-Sponsored-Program-Staff/.

Roles

and

Responsibilities

Role

Responsibilities

Principal Investigator/ Project Director

Each PI is responsible for assuring that the terms of the award are met and the policies of the campus are followed. The sponsoring agency, the RF, and the PI’s campus and academic department are all stakeholders in the project and each may have specific requirements that need to be fulfilled.

Generally a PI/PD is responsible for:

 Conducting and managing the technical aspects of the funded work;

 Complying with all applicable federal, state, and university policies, procedures and laws;

 Complying with all terms and conditions of the sponsored award;

 Managing project funds efficiently and effectively within approved budgets;

 Ensuring that the project is completed in a professional manner;

 Accepting fiscal responsibility on behalf of his/her department, administrative unit, and/or campus in the event that the project is over-extended or an unauthorized expenditure is disallowed by the auditors. (In such cases, the academic unit must cover the cost.)

Role

Responsibilities

GDO and SPO staff

The primary mission of the GDO and SPO is to promote extramural funding of research and scholarly/programmatic activity, and to assist faculty and staff, either individually or as part of a group, by:

 Providing administrative services to help meet the requirements of the sponsor, RF and the campus;

 Ensuring that project staff are protected from any undue harm prior to the acceptance of an award;

 Verifying that the project does not challenge institutional integrity, threaten your academic freedom, or overburden you with management

procedures;

 Protecting the campus from additional conflicts by making certain no unnecessary risks and liabilities are undertaken;

 Ensuring proper stewardship of sponsored funds;

 Creating mechanisms for accountability;

 Developing procedures for the proper use of sponsored funds;

 Interpreting sponsor’s rules;

 Establishing compliance with public policies;

 Filing assurances and certifications regarding regulatory compliance; and

 Serving as the official liaison between the campus, the RF and the funding agency.

Research Foundation for SUNY

The RF is the legal recipient of sponsored awards, and assists campuses and faculty by:

 Reviewing, negotiating, and facilitating acceptance of sponsored agreements on behalf of the PI and the campus;

 Managing central accounting functions including billing and fiscal reporting to sponsors; and

 Assisting with compliance issues.

Additional

Involved

Parties

Other campus and RF personnel, and other external entities will/may also be involved in the administration of a sponsored project.

 Operations Manager: Reporting to the RF President, the Operations Manager (OM) serves as the top level RF executive on each campus and is responsible for supporting SUNY’s research mission and the successful implementation of the RF’s strategic plan. The campus president nominates an individual from the campus to fill the OM role. SUNY Oneonta’s OM is the Vice President for Finance & Administration, Todd Foreman. The OM is ultimately responsible for all RF operations on campus, including:

o Supporting the increase of SP activity on the campus;

o Creating an environment to increase technology transfer and commercialization in support of SUNY’s efforts to revitalize New York State’s economy.

 Co-Principal Investigator (Co-PI) / Project Director (Co-PD): Other person(s) primarily responsible for the scientific, technical, and administrative conduct of a project. In this secondary role to the PI/PD, a Co-PI/Co-PD may be responsible for:

o Providing leadership for a specific task of the project;

o Coordinating with his/her own SP staff, if at another institution;

o Coordinating necessary approvals related to the project, if at another institution; o Contributing to managing the project and preparing required reports.

The appointment of Co-PI(s)/Co-PD(s) does not supplant the need for one individual to be designated as the PI of any given project.

 Collaborator: A person or entity agreeing to provide effort to conduct minor tasks, measurement, or analysis. S/he may be compensated or volunteer, but is not responsible for project management or reporting. As part of an application, a sponsor may require collaborators to include a letter explaining their contribution to the project.

 Sponsor: A public or private organization that provides funding for sponsored projects. There are three main categories of sponsors:

o Federal agencies

o Other government agencies (state or local government)

Starting

Out:

Proposals

and

Funding

Overview

The PI has the primary responsibility for obtaining and managing SP awards, from identifying funding sources to closing out the award when research is complete or the funding ends. However, the GDO and SPO assist in all phases and aspects of the grant submittal and management processes.

Figure 2: The Grant Process

Developing

a

Concept

A successful proposal stems from a good concept and a solid plan for addressing an important problem, challenge, or new idea.

What

is

a

“good”

idea?

For research, a good idea is one that adds to the general knowledge base, offers a new perspective, or fills gaps in previously conducted research. For other types of projects, a good idea may fill a need of the institution or the community at large. A thorough literature review is essential to provide the background and rationale for your work.

Figure 3: Proposal Concepts Must Be…

Planning

Preparing a strong proposal requires a significant investment of time, ingenuity, and energy. A host of factors impact the probability of success. Knowing how to draft a good proposal and having the time to do it may be two separate things. Be sure to have a solid plan prior to compiling the application; this will help make certain you do not run out of time or get rushed in the proposal preparation process.

“A good proposal is a good idea, well expressed, with a clear indication of the methods for pursuing the idea, evaluating the findings, and making them known to all who need to know.”

– National Science Foundation

When responding to a solicitation/request for proposals (RFP), applications should be concise, yet address all components/priorities of the RFP. It is often useful to contact a program officer (PO) at the sponsoring agency for more detailed instruction as you develop your concept and subsequent proposal. Also consider requesting input from peers prior to discussing new lines of research you have developed. If your proposal is petitioning for unsolicited funding, you will still need to meet some basic guidelines. Successful proposals will clearly explain the idea’s impact on industry, the community, or society as a whole; the expertise the program team brings to the project; the cost effectiveness of the plan; and how success will be evaluated and findings disseminated.*

* This is not an all-inclusive list. Refer to standard proposal guidelines from potential sponsors or grant writing resources for specific instructions.

Consult with useful resources to aid in proposal development; for example:

 In the “Information for Researchers and Administrators” section of the RF Home page, click on

http://www.rfsuny.org/Our-Work/Sponsored-Programs-Administration/Sponsored-Programs-Funding/ (Sponsored Program & Business Development Funding; scroll to the bottom for self-paced resources).

 Check with the SUNY Center for Professional Development for the next session of “Grants and Proposals: If You Write It, They Will Fund It,” a virtual (SUNY) instructor-led course; see http://www.suny.edu/sunyTrainingCenter/index.cfm.

Clearly

Identify

Your

Idea

Having a clear and concise plan of how to implement the project is crucial. Potential funders will want to know about other related work to date (background), how far along your project is in development, what your intended goals and objectives are (both short and long term), why the idea is important or innovative, how much the project will cost (not just in the short term), how long it might take until progress is made, how you plan to evaluate/assess progress, and how you will disseminate results. Answering these questions will help you bring attention to your project’s potential. Creating enthusiasm for your idea helps get funders behind your work. Also, being aware of the current stage of your idea will determine which solicitations are best to pursue.

Looking

for

Funding

From past experience or working with mentors, you may already have a sense of which agencies and foundations typically provide support in your area of interest/expertise. Searching the websites and contacting POs at these agencies or foundations are great ways to begin your search.

The GDO website (http://www.oneonta.edu/advancement/grants/toolbox.asp) has links to common funding sources. And, funding options are also listed on the RF website; in the “Information for Researchers and Administrators” section of the RF home page, click on

http://www.rfsuny.org/Our-Work/Sponsored-Programs-Administration/Sponsored-Programs-Funding/. Information is readily available for public funding sources such as federal and state agencies (e.g. www.grants.gov or www.NYSTAR.state.ny.us), and for private funding sources, many of which can be found in the Foundation Center database

(www.foundationcenter.org).

As a service to faculty and staff, SUNY Oneonta subscribes to InfoEd’s (http://infoedglobal.com/) Sponsored Programs Information Network (SPIN); the GDO can create SPIN profiles for faculty/staff to facilitate funding searches. Contact the GDO for assistance searching for funding opportunities and to sign up for SPIN and other available grant search database(s).

Locate

Fresh

Leads

Other ideas for finding potential sources of funding include:

 Mentors/Peers – who in your field has had success? Are they willing to speak with you about your project? This might be the most underutilized resource available. Advisors and former co-workers (post-docs, fellow graduate students, etc.) can also serve as a good place to start to identify previously untapped resources.

 Professional Journals – all publications stemming from funded research must provide a notation of how the work was supported. If you see a project that is similar in nature to yours it may be

beneficial to contact the funder or review the programs they offer for support on a regular basis.

 Professional Conferences – much like professional journals, discipline-specific conferences offer detailed information about sponsors in your area of study. Take note of each and research the funding opportunities specific to your field of work. Look for representatives from sponsor organizations who may be attending the conference.

Identify

a

Good

Match

Once you identify a funding opportunity of interest, it is wise to assess the likelihood of your proposal being competitive for that specific solicitation. The best way to do this is to get to know the sponsor.

 Know the sponsor’s priorities: Find out the specific areas they fund and ascertain if it matches with your own research priorities.

 Find out what types of projects have previously been funded: Look at the sponsor’s online resources (e.g. award search) or annual report to see what has been funded, and if the awarded grants were for projects similar to yours.

 Contact the sponsor: One of the most useful strategies a PI can employ to strengthen his/her chances of getting funded is to contact a PO at the sponsor organization, who can provide up-to-date information about available funds, discuss the project with you, and ascertain whether it fits with their funding priorities.

 Read the solicitation guidelines and application materials very carefully: The GDO can provide a great deal of assistance with this; for example, staff can often provide insight into a specific solicitation and sponsor, including whether or not other investigators at SUNY Oneonta have been successful with the solicitation and/or sponsor in the past. Most importantly, the solicitation’s guidelines and required procedures must be specifically followed if your proposal is to have the chance of being competitive.

Award

Types

The term “grant” is often used when referring to external funding awards. However, there are different types of awards with important distinctions among them.

A GRANT is defined as an award mechanism to transfer money, goods, property, services or other items of value to universities/institutions in order to accomplish a public purpose. In general, the following

characteristics describe a grant:

 No substantial involvement is anticipated between the sponsor and recipient during performance of activity.

 The award comes with terms, conditions, and/or other contractual requirements that need to be met.

 There are budgetary restrictions that must be followed.

 Reports may be required, including financial reports and technical or progress reports.

 Documentation of expenditures is required.

 There are required deliverables of any kind, including the sharing of research results.

 There is a start and end date.

A CONTRACT is defined as a binding agreement between parties for the purpose of securing goods or services. In general, the following characteristics describe a contract:

 There is extensive input from the sponsor into the tasks to be performed.

 Principal purpose is for direct benefit or use by the sponsor.

 The sponsor requires formal reports of any kind, including financial or technical.

 Invoicing or billing is required.

The contracting mechanism also has terms and conditions such as:

 Ownership of intellectual property.

 Right of first refusal, or right of first negotiation of intellectual property.

 Ownership or access to research results.

 Publication review of faculty, graduate student or post doc research.

 Deliverables of any kind.

 Distinct start and stop dates.

A GIFT is defined as any item of value given by a donor who expects nothing of significant value in return, other than recognition and disposition of the gift in accordance with the donor's wishes. In general, the following characteristics describe a gift:

 No contractual requirements are imposed and there are no "deliverables" owed to the donor. However, the gift may be accompanied by an agreement that restricts the use of the funds to a particular purpose.

 A gift is irrevocable. While the gift may be intended for use within a certain timeframe, there is no specified period of performance or start and stop dates.

 There is no formal fiscal accountability to the donor.

At SUNY Oneonta, gifts are facilitated by and made to the College at Oneonta Foundation, Inc. through the Development & Fundraising Office of the Division of College Advancement.

A SUBCONTRACT is an agreement between two or more institutions. One institution is the primary award recipient and the other institution(s) agrees to perform specified tasks under the larger project. A subcontract specifies the terms between the institutions and outlines deliverables and an associated budget.

Other types of funding mechanisms include Cooperative, Clinical Trial, Vendor, Data Use, Material Transfer, and Consulting agreements. All of these agreement types are typically funded as contracts. These various award types are managed, reported and monitored in different ways. Certain funding sources/mechanisms may require the input/coordination of the GDO, SPO, College Advancement, Finance & Administration (Director of Business Services), or a combination of these resources. Once a funding opportunity has been identified, contact the GDO to ascertain how proposal development will proceed.

Developing Proposals

Overview

Generally speaking, the application process for most funding organizations is highly competitive. For example, of approximately 40,000 research, education, and training proposals submitted to the National Science Foundation (NSF) in 2011, approximately 11,000 were funded; in the same year, the funding rate for the National Institutes of Health was approximately 17.7%. It’s likely that any given application will not be funded on the first submission. Rejection is common in the grant-seeking world, even for some of the best researchers/scholars. While it is not to be taken lightly, a prospective PI/PD should not take it personally. Most funding agencies provide feedback in the form of reviews, which can be used to address the perceived weaknesses when resubmitting, thereby strengthening future applications.

Given this climate, developing a well-researched, documented and crafted proposal that clearly addresses the priorities of the funding opportunity is essential. There are important standard components in a good proposal; omission of any of these jeopardizes your chances of receiving an award. No one wants to have their application ‘rejected without review’ for a technicality. Preparing your application strictly according to the guidelines/instructions will guarantee that your application at least has the benefit of being reviewed. The GDO will sometimes recommend delaying an application to a subsequent round, if it is clear that the proposal will not be competitive. The goal is for the grant-seeker to have sufficient time to devote the effort required to develop a competitive application.

Application

Guidelines

All solicitations/RFPs post specific guidelines on how applications must be prepared for sponsor review. It is imperative to follow the guidelines/instructions for each individual solicitation, even if you have applied to the sponsor in a previous round, as guidelines can change year-to-year. These instructions outline the very specific ways in which an application must be developed, and these directions must be followed. In many cases, proposals may be rejected without further review if they do not meet the guidelines outlined in the program solicitation. Instructions may include specific guidelines for formatting such as margins, font type and size, spacing, pagination, etc. These must also be strictly followed.

The first step in drafting a proposal is to develop a logical outline that follows all of the guidelines provided in the solicitation. Some proposal guidelines prescribe specific sections; if this is the case, do not deviate from them. When working with grant-seeking faculty/staff, GDO staff will thoroughly study the program solicitation/ RFP, and provide the initial outline of both the full application requirements, and a suggested outline of the project description.

The following figure identifies the components (project description and budget materials) that are generally required for a research grant proposal and a humanities grant proposal.

Figure 4: Research Grant Proposal vs. Humanities Grant Proposal Components Additional narrative components not shown in Figure 4 that may be required include an evaluation/

assessment plan, information on a dissemination strategy, and project team credentials/information, among other solicitation-specific requirements. Other documents required, besides the project description, might include biographical sketches or curriculum vitas, information on current & pending support for the project, facilities and resources, statement, letters of support/collaboration, a data management plan, etc.

Key

Components

The proposal components discussed below must be developed in collaboration with, and thoroughly reviewed, by the GDO to reduce errors or surprises later in the process if the project is funded, and to ensure compliance with all applicable SUNY, RF, College and sponsor policies and procedures.

Budgeting

Always work with the GDO when crafting a proposal budget. In consultation with the SPO, GDO staff can advise on what can and cannot be included; calculate costs, including salary, fringe benefits and indirect costs using applicable approved institutional rates; and help ensure that you have not left out any potential costs. A proposal budget usually consists of two parts: a budget form and a budget justification/narrative, which provides an explanation for how the budget amounts were determined.

Some basic budgeting rules include:

 All costs need to be reasonable. You must make sure your costs reasonably reflect what is needed to complete your project.

 All costs must be allocable. This means that the costs must be used to solely advance the work of this sponsored project, if awarded.

 All costs must be allowable. Rules regarding what are allowable costs can vary by sponsor and funding opportunity, as well as the RF, SUNY, and the College. As with all budget-related issues, the GDO and SPO can provide guidance regarding allowable costs.

Careful budget development ensures you have the financial resources to complete your project as

proposed and, if awarded, limits the potential for difficulties in post-award fiscal management. Below is a list of common budget categories to help guide you with initially drafting your project budget. Note that budget format and allowable costs will vary by sponsor and funding opportunity.

DIRECT COSTS

Personnel Costs. The cost of personnel to carry out a project is typically the largest and most important component of any budget. Personnel costs include salary/wages and fringe benefit rates for all project personnel working on the project.

 Employee vs. Consultant: In general, an employee is someone whose primary employment is as a New York State or RF employee who works under the direction of the agency.

A consultant does not have a state or RF appointment, works independently, and will provide specific and measurable outcomes to a specific task in a separate scope of work. Examples include delivery of a training curriculum, review and evaluation of research/project results, or establishment of a clinical trial protocol on behalf of a clinical research organization. Consultants have an established business and should carry business liability insurance.

 Institutional Base Salary: The actual base salary of the individual who will work on the project. Requests for salary to be paid by the grant are usually based on a calculation utilizing base salary. The GDO can access this information and provide the most up-to-date and accurate figure, including for projected future project periods.

 Fringe Benefits: A negotiated pooled rate for benefits that must be applied to salary/wage requests, regardless of primary employment. Most employees of a project are eligible to receive fringe benefits. Applicable rates are set every year, and vary by appointment type (regular or summer only appointment, undergraduate student, graduate student, IFR/NYS rate). The GDO has the most up-to-date rates that must be applied to personnel salary.

After an award is made, the fringe benefit rates in place at the time of expenditure will be

assessed. For this reason, it is important to draft a budget using the best estimated projected fringe rates whenever possible.

 Student Employment versus Fellowship Payments: Students may be paid a fellowship payment in support of their academic study. However, specific work tasks performed by a student for a faculty member are usually considered to be a form of student employment rather than a fellowship. The determination as to whether a student should receive a fellowship payment or student

Equipment. The federal definition for equipment is an item with a useful life of one year or more and with a unit cost of $5,000 or more. (Some sponsors will have different criteria for equipment, so be sure to check the guidelines.) Items with a lower unit cost, including computers, should be included in the materials and supplies budget line. Equipment purchased under a grant or contract will be tagged by the College’s Property Control Office and the PI will be responsible for taking an annual inventory of tagged items. Different sponsors have different rules regarding disposition of equipment purchased with grant funds when an award has ended.

Sub-recipient (Sub-award) versus Contractor. Deciding whether to designate a non-primary contributor to a project as a sub-recipient or sub-awardee versus an independent contractor is similar to the

determination of employee versus consultant. The criteria for making the determination include:

 A sub-awardee or sub-recipient is an academic institution or other outside entity providing significant intellectual contributions to the proposed project. It is anticipated that a sub-awardee/sub-recipient will provide results of a separate project team working on a separate component of the

research/program that will add significant intellectual value to the overall project. Note: Significant preparatory documents are required prior to awarding a subcontract and a formal subcontract agreement will be issued by the RF when a subcontract award is made.

 A contactor provides goods or services which do not result in any “new” intellectual contributions to the work of the project. Any contracted work is fully owned by the RF, and the contractor has no rights to the work performed. Contracts >/= $10,000 require a formal contract agreement. See Appendix: Sub-awards versus Contractor for decision making assistance.

Materials and Supplies. Materials and supplies costs includes expendable items needed to conduct the proposed work. Purchases over $3,000 require proof of competition (bids/quotes), with differing

requirements based on various dollar value thresholds. (Note: These dollar thresholds are subject to change; the GDO and SPO will have the most up-to-date information.)

Travel Expenses. Expenses related to traveling to conduct the work proposed or to attend conferences are common expenses of many sponsored awards. Cost estimations should take into consideration

transportation (airfare/train/bus/personal car), hotel and reasonable per diem costs, registration fees, etc. Federal per diem rates are found at: http://www.gsa.gov/portal/content/104877. The RF does not reimburse above the federal per diem rate unless there is acceptable written justification explaining how the project benefits from the additional cost. For example, if a conference is being hosted at a hotel and there is a published, negotiated conference rate that is higher than the per diem, the RF may consider reimbursement at the conference rate with appropriate documentation and justification.

Some general guidelines regarding budgeting travel costs follows.

Conferences For international travel, check with the SPO before making any arrangements. There could be restrictions on foreign travel based on sponsor policy or other federal regulations, including export controls.

Flight Information

Flight reservations can be made either directly with the airline, through a website, or through a University-approved travel agent. All air travel is

Purchasing tickets through the SPO enables the expense to be directly billed to the RF and eliminates the need for you to charge a personal credit card and wait for reimbursement.

Travel Reimbursements

All requests for travel reimbursement require original, detailed receipts and should be submitted within two weeks of return from the trip. Conference travel requires proof that the traveler actually attended the conference. Acceptable proof is a copy of your conference name tag or registration confirmation.

Travel for meetings requires a copy of the written agenda. 

Subject Costs (Human or Animal). Sometimes awards provide payments to human subjects as an incentive to participate in the study. If you intend to offer gift cards or other non-cash incentives, be sure to discuss how to handle these payments with the SPO prior to making any participant commitments and prior to filing your Institutional Review Board (IRB) application for research involving human subjects. The RF does not provide for cash payments.

Participant Support Costs. Costs related to individuals participating in a sponsored project (e.g., teachers participating in professional development workshops, students involved in a summer experiential program) might include stipends, subsistence, travel, and other program-related expenses. These costs are generally not subject to indirect costs assessment (see below).

Other Direct Costs. Other project-related expenses not covered in the categories above might include publication costs, computer services, licenses, fees, insurance, rentals, etc.

INDIRECT COSTS (F&A)

Indirect costs, also referred to as facilities and administrative (F&A) costs, are comprised of the negotiated costs an institution contributes to a project through the project’s use of campus facilities and administrative services. Costs include such things as space, electricity, administrative personnel, computers, networks, telephone, etc.

If a sponsor allows for indirect/F&A costs to be included in the project budget, it is not acceptable to charge the sponsor for these costs as direct project costs. For example, a research experiment may utilize

equipment requiring a great deal of electricity, but the sponsor cannot be charged for electricity as a direct cost because it is covered in the indirect cost rate.

Direct Costs

Can be identified specifically with a sponsored project, instructional activity, or other sponsored activity and, thus, directly assigned relatively easily with a high degree of accuracy.

Examples: Salaries and wages, fringe benefits, equipment, supplies, travel or publication expenses.

Indirect Costs (F&A)

Referred to as facilities and administrative (F&A) costs by the federal government; sometimes referred to as “overhead.”

Defined as expenses that cannot be directly and uniquely assigned to any particular project and aligned with two categories, Facilities and

To determine whether a cost is a direct cost or an indirect cost, the impact to the project must be considered. For example, if a computer is charged to a grant, a federal sponsor will require that the institution document how the computer is needed to further the goals of the project, and use of the purchased computer should be dedicated to the project.

It is important to work with the GDO and SPO to determine which project expenses are direct costs and which are considered indirect costs.

SUNY Oneonta, through the RF, has a federally approved negotiated indirect cost rate that must be applied to all budget proposals for which indirect costs are allowed by the sponsor. The GDO and SPO will provide guidance concerning the current percentage rate and direct cost base that has been negotiated for the campus. (Sometimes the program solicitation will explicitly disallow indirect costs to be included in the budget or provide strict guidelines for the amount and type of indirect costs that can be included.) COST SHARE/MATCHING FUNDS

Some sponsors require applicants to cover a portion of the costs of a project. This is referred to as a cost share or matching funds requirement. Only cost share that is required by a sponsor can be included in a grant proposal. Federal guidelines no longer allow voluntary cost sharing on federal agency grant applications. Cost share that is required and included in a proposal must be verified through actual invoices, receipts, and payroll records.

Budget

Justification

A budget justification is almost always a required component of an application. It is a detailed narrative that complements and justifies each budget line amount requested in the proposal. The justification should include succinct descriptions of the costs associated with the project, how the costs were determined, and why the costs are reasonable and necessary to the success of the project. All sponsors want to be assured that their funds will be spent appropriately and that a project will be completed successfully. A

well-constructed budget and a clear budget justification could give the sponsor a reason to choose your project over another. Sponsors and grant reviewers have indicated that a budget lacking detail and a sufficient justification can be a leading cause of failure to award.

Compliance

All research must comply with federal laws, policies and regulations. Below is a list of the most common regulatory areas related to federally funded research projects.

Responsible Conduct of Research

All funded (both external and internal) research at SUNY Oneonta requires all members of the research team to complete training in the Responsible Conduct of Research (RCR). The College uses the Collaborative

Institutional Training Initiative (CITI) found at www.citiprogram.org. Several course options are available to correspond with specific academic areas. The College’s complete RCR policy is available here:

Human Subjects Protections

All research that includes human subjects, funded or not, must be

reviewed by the campus’ Institutional Review Board (IRB). Many sponsors require the date of IRB approval as part of the application.

SUNY Oneonta’s IRB application and further information can be found at:

www.oneonta.edu/admin/spa/humansubjects.asp.

Check the IRB protocol review schedule well in advance of the proposal submission due date to allow enough time for a complete IRB review prior to the proposal deadline.

Animal Protections

All research involving animals, funded or not, must be reviewed by the campus’ Institutional Animal Care and Use Committee (IACUC). Many sponsors will require the date of IACUC approval as part of the application. SUNY Oneonta’s IACUC protocol application and further information can be found at: www.oneonta.edu/admin/spa/animalcareuse.asp.

Check the IACUC protocol review schedule well in advance of the proposal submission due date to sure there is enough time for a complete IACUC review prior to the proposal deadline.

Conflict of Interest

To ensure the validity of your research, it is imperative that there be no personal financial conflict of interest, real or perceived.

You should be familiar with the College’s Conflict of Interest policy, and be aware of your prospective sponsor’s conflict of interest requirements. Some sponsors, particularly those in the Public Health Service, have stringent requirements.

HIPAA

The Health Insurance Portability and Accountability Act (HIPAA) limits the use of protected health information that is held or transmitted in any form or media whether electronic, written, or oral to protect the privacy of patient health information.

If your research involves the use of individual medical records you must be familiar with the HIPAA guidelines.

Export Controls

These federal regulations involve the disclosure, shipment, transfer or transmission of any commodity, technology or software that is on the

Commerce Controlled List, Munitions List, or the Office of Foreign Assets Control Embargoed List for use outside of the U.S.

Prior to taking any piece of research equipment out of the U.S or sharing it domestically with a foreign national, you need to determine if it falls under any of these lists. If so, a license is required prior to leaving the country. Since obtaining a license can be a long process, it is necessary to check in with the SPO as soon as possible to determine if a license is needed. All overseas travel requires submission of the Export Control Survey form, found at: www.oneonta.edu/admin/spa/exportcontrols.asp.

Confidential / Research Data

Proprietary data should be disclosed and marked as confidential as part of the application.

Disclosure of information prior to taking the appropriate protections could limit the ability to commercialize research results.

Please consult the SPO during the application process regarding any proprietary data or technology transfer considerations.

Research Misconduct

Fabrication, falsification, or plagiarism in proposing, performing and reviewing research or in reporting research results constitutes research misconduct.

SUNY Oneonta has policies and procedures for handling research misconduct. You should become familiar with these in the event that you are a witness to such conduct.

Use of Hazardous Material / Blood-Borne Pathogens

Projects involving hazardous materials must comply with applicable policies to ensure that they are used appropriately and will not pose a hazard to the research subject, researchers, or the community at large. SUNY Oneonta’s Hazardous Materials/Safety Officer is Norm Payne, who must be notified of any research using these materials. In consultation with the OM, he can establish an ad hoc committee to monitor and ensure compliance.

Compliance

Training

Resources

The RF and SUNY Oneonta provide resources to PIs and other project staff to learn about regulations and compliance standards. Course completion is tracked, giving verifiable proof to sponsors of your knowledge of the subject areas.

CITI Training: A system-wide license for all campuses to utilize specialized training on a number of research-related topics including RCR, Financial Conflict of Interest, and Human Subjects and Animal Care. A current certification with the CITI course most applicable to your project is required for all funded research at SUNY Oneonta. https://www.citiprogram.org/Default.asp?

WeComply: A system-wide license for all RF-affiliated campuses to access general business compliance training including Sexual Harassment Prevention, Financial Conflict of Interest, Workplace Violence, Business Etiquette and more. http://www.rfsuny.org/Our-Work/Learning--Development-/Training-for-Researchers-/

Contact the SPO, Denise Straut (denise.straut@oneonta.edu / x2525) or Melissa Nicosia

(melissa.nicosia@oneonta.edu / x2294), for assistance with accessing these tools or to answer questions you may have.

Submitting Proposals

Overview

The Vice President of Finance & Administration (Todd Foreman) and the Director of Sponsored Programs (Denise Straut) are both designated by the campus and the RF as the Authorized Organizational

Representative (AOR), the primary signatory on all applications submitted on behalf of SUNY Oneonta. Grant seekers must work with the GDO during the proposal development phase. A full copy of your application should be completed well in advance of the submission deadline to allow adequate time for applicable campus review and approval. Routing of the final project budget and most recent draft of the full proposal is required at least five working days in advance of the deadline. A “SUNY Oneonta Grants and Contracts Routing/Approval Form” (see http://www.oneonta.edu/advancement/grants/policy.asp) is generated for each grant submission by the GDO and is used to obtain various signatures confirming approval (e.g., Department Chair, Dean, Provost, VP of Finance & Administration).This institutional document of compliance provides the SPO with the required endorsement to submit your application. It is also vitally important in ensuring compliance with federal and campus policies. Be sure to complete this process as early as possible in the application process.

Award

Acceptance

and

Negotiation

The RF negotiates and accepts all awards on behalf of the PI and the campus. RF officials have the knowledge and expertise to ensure that faculty, staff, and students are not adversely affected by the award agreement. The award will specify, among other possible terms, the amount of the award, the project start and end dates, any reporting requirements, deliverables expected at the end of the grant period, and any other requirements designated by the sponsor.

Post‐Award Management

Overview

Congratulations on receiving your award! This section provides guidance on financial and other post-award administration of your project. Keep in mind that the material discussed below is not intended to be a comprehensive review of all issues that may arise. You should contact the SPO whenever you have concerns or questions.

Lifecycle of a Grant (Figure 1)

Revisiting the grant lifecycle above, there are specific post-award tasks that are assigned to the PI and the RF through the campus SPO. The SPO will assist you in staying on track with your research administration and sponsor requirements. Remember, in the end, the PI is accountable for all requirements.

Award

Establishment

After your official award notice has been accepted, the RF will create a project-specific account, referred to as a PTAEO (pa-tay-oh), or Project-Task-Award. The account number consists of an award number, a project number and a task number.

Submit technical and final reports to sponsors and disclose inventions

Figure 5: PTAEO Breakdown

Prior to establishment of an account, the SPO will verify that all appropriate compliance approvals are complete. A specific account will be created to track all project expenditures. You will be notified when the account is established and asked to attend a new PI orientation. At the orientation, you will meet with SPO staff to learn how to login to the RF Report Center to monitor your account and review your planned expenditures and required reporting cycle. You will learn about the forms and processes needed to make your expenditures, the cost share requirements of the award (if any), effort reporting certification, and hiring procedures, if applicable.

Monitoring

Sponsored

Award

Financial

Activity

The RF offers multiple web-based tools within the RF Report Center to allow you to monitor the financial activity of your sponsored award(s). Through the PI Dashboard and the RF Activities Interface Reporting tool (RF AIR), you (and designated others) can see the award’s budget, what has been spent, what is encumbered, and what balance remains in each budget category. A review of these tools will be included in your PI orientation.

You are responsible for verifying payment of all expenses submitted and ensuring there are no unauthorized charges against the award. For this reason, we strongly recommend that you (or your designee) reconcile the activity of the account on a regular basis.

Awarded

Budget

Revisions

As you are aware, your award has a budget that has been approved by the sponsor. Part of effectively managing any award is to stay within the originally agreed-upon budget parameters. The RF AIR is an effective tool to help with this.

It is not uncommon to need budget category revisions. If you need to modify your budget you must work with the SPO to make the changes. This is because each sponsor has specific policies when it comes to making budget modifications, typically outlined in the award, which must be adhered to in the management of a project.

Key

Award

Considerations

Project Specific Personnel

Hiring grant-approved project staff may be a necessity to complete your work. The RF complies with applicable laws and regulations that have been established to maintain salary and wage equity and for the consistent treatment of all employees. As such, measures must be taken during both the search and hiring process to ensure that the final candidate is chosen fairly and has the appropriate credentials.

Before any commitments are made, verbally or in writing, you must contact the SPO’s Human Resources Office (Melissa Nicosia, melissa.nicosia@oneonta.edu / x2294) to ensure you are complying with campus policies on employee hiring.

Once an employee is on the payroll, the PI must review and sign the time reporting and leave exception reports to ensure time worked and time off are accurate. Questions regarding employee appointments and time reporting should be addressed to the SPO’s Human Resources Office.

If there are any changes to employee status, the PI must approve these as well. Employee appointment and change of status forms must be completed in a timely manner to ensure that salary expenditures are charged to the award appropriately. 

Effort Reporting

The budget that was approved for your award designated the amount of time (effort) that the PI and other project staff will devote to the project. If any changes are expected to the effort of any project personnel, the SPO must be contacted immediately. Increases and decreases to effort often have a ripple effect and can significantly affect the terms of your budget agreement.

PIs are required to certify their effort, as are research staff for all federal and federal flow-through sponsored programs. Effort reporting (effort certification) is done electronically via the RF’s Effort Certification and Reporting Technology (ecrt) system three times per year (fall, spring, and summer). Certifying effort requires that the PI, or a person having firsthand knowledge, acknowledge that all

personnel provided effort as agreed to in the project proposal. Failure to certify employee effort on a timely basis could result in disallowances. Any nonexempt employees participating in a project will certify their effort via their biweekly timesheets.

Contact the SPO for additional information. Purchasing 

The RF must ensure that all expenditures comply with sponsor, campus, and its own guidelines. In addition, in accordance with federal requirements all expenditures must be reasonable, allowable and allocable to the sponsored project. Purchasing and accounts payable staff are available to assist you with the acquisition of necessary project items and equipment at the best price possible; establish quality relationships with suppliers that will meet project needs; and get goods, products and services to you as quickly as possible. All purchases should be made through SPO purchasing staff (Page 5).

Effective July 1, 2015, all purchases greater than $3,000 must be documented with proof of competition; price quotes or a sole source justification will be required.  

Travel 

Travel plays an important role in many sponsored projects. Some sponsors have specific travel conditions or restrictions by which the project must abide. In all cases, air travel must be made on a U.S. carrier in accordance with the Fly America Act. PIs are responsible for certifying that all travel in connection with sponsored projects is made for the express purpose of carrying out the project objectives. Individual travelers are responsible for the appropriate use and accurate accounting of travel funds provided to them, as well as for compliance with all federal, sponsor, RF, and campus policies. Prior to taking any trip, consult with SPO staff to ensure you have accurate information and necessary approvals. Details regarding travel can be found at http://www.oneonta.edu/admin/spa/travel.asp.

Cost Transfers

A cost transfer reassigns expenditures previously recorded in one award to another award or moves expenditures within an award from one budget category to another. The award to which a cost is transferred must benefit from the goods or services related to that charge, and the charge should be allowable under sponsor guidelines.

Expenditures should be charged to the appropriate award when they are incurred. If it is necessary to transfer expenditures to a different award for approved circumstances, the cost transfer should occur within 90 days of identification of the need. If a cost transfer is necessary, contact the SPO for guidance.

Reporting 

Financial, technical, and progress reports are often required by sponsors on a fixed schedule throughout the life of an award. These reports provide the sponsor with assurances that project activities are moving forward according to the terms of the agreement. Typically, the PI is responsible for ensuring that all technical and progress reports are submitted to the sponsor on time and that copies of all reports, along with the transmittal letter or e-mail, have been provided to the SPO.

Failure to provide required reports can result in funding delays in multi-year awards or early termination of the award by the sponsor. It can also lead to the RF becoming ineligible to apply for funding from the sponsor in the future, which could impact campuses beyond SUNY Oneonta (system-wide).

The RF is responsible for the submission of any required fiscal reports by the due date.

Extending

Awards

Sometimes a project cannot be completed in the agreed-upon timeframe. In this case, the project may be eligible for a no-cost extension, which must be coordinated through the SPO. An extension request will usually include a justification and a projected budget that provides a spending plan for any unused funds. Requests should be made at a minimum of 60 days in advance of the award’s termination date.

Intellectual

Property

The development of intellectual property (http://www.rfsuny.org/Our-Work/Innovation-and-Partnerships/) is a natural and regular product of the research programs and other scholarly activities being conducted across the SUNY system. Intellectual property includes anything that is marketable, such as inventions, books, articles, study guides, syllabi, workbooks or manuals, bibliographies, instructional packages, tests, video or audio recordings, films, slides, transparencies, charts, other graphic materials, photographic or

similar visual materials, film strips, multi-media materials, three-dimensional materials, exhibits, and computer software.

To protect your work from illegal copying, these items can be patented, copyright protected, or trademarked.

The SUNY policy on intellectual property states that the RF is the owner of all intellectual property created through the use of SUNY resources or facilities, supported directly or indirectly by funds administered by the RF, developed within the scope of employment by SUNY employees, or agreed in writing to be a specially commissioned work. Exceptions to this right of ownership are regular academic work products, work created solely for the purpose of satisfying a course requirement, work covered by a contractual agreement, and work resulting from outside consulting activities.

Additionally, it is a requirement for federal awards to disclose intellectual property developed under the grant. Contact the SPO regarding compliance with this requirement.

The College wants to work with you to ensure that your intellectual property is identified and protected. In order to do this, it is important to disclose the discovery or development as soon as possible. Contact the SPO to be connected with the RF Technology Transfer Coordinator.

Closing

Awards

Once the award period officially ends, each sponsor establishes its own deadlines for the submission of final financial and technical reports, as well as final invoices. The SPO will contact you prior to closeout, so please be aware of and ready to meet these deadlines. Typically the close-out process is smooth, provided that all reports and all expenses have been judiciously accounted for throughout the life of the award.

Appendix 1: Policies, Procedures, and Regulations

You are obligated to adhere to any and all policies, procedures, and regulations throughout the lifecycle of your award.

Policies

and

Procedures

Access the RF policies and procedures through the links below:

 RF Policies: http://www.rfsuny.org/RF-Policies--Procedures/Policies-A-to-Z/

 RF Procedures: http://www.rfsuny.org/RF-Policies--Procedures/Procedures-A-to-Z/

Campus policies and procedures may vary slightly from, and supersede, RF policies and procedures. Contact the SPO for guidance or view the SUNY Oneonta SP website at

http://www.oneonta.edu/admin/spa.

OMB

Regulations

The U.S. Office of Management and Budget (OMB) serves as the rule making body for federal grants. The RF has an obligation to follow the regulations provided by the federal government. The various OMB circulars related to federal grants can be found at https://www.whitehouse.gov/omb/circulars_default.

2

CFR

Part

200

On December 26th, 2013 the OMB issued final guidance on Uniform Administrative Requirements, Cost Principles, and Audit Requirements for federal awards (78 FR 78590):

https://www.federalregister.gov/articles/2013/12/26/2013-30465/uniform-administrative-requirements-cost-principles-and-audit-requirements-for-federal-awards. The final guidance supersedes and streamlines requirements from OMB Circulars A-21, A-110, A-133 and 5 other circulars. 2 CFR Part 200 will be

effective for new awards and for selected funding increments issued on or after December 26, 2014. There will be a transition period where both the previous OMB Circulars and 2 CFR Part 200 will be applicable. The SPO will remain apprised of the latest OMB rules governing your sponsored project.

Appendix 2: Sub‐awards versus Contractor

A sub-award is likely appropriate if the answer to any of the following questions is “yes”:

 Does the entity’s scope of work (SOW) represent an intellectually significant portion of the programmatic effort of the overall project?

 Does the entity have responsibility for programmatic decision making?

 Could the entity’s work result in intellectual property developed or publishable results (including co-authorship)?

 Will the entity need animal and/or human subject approvals for its portion of the work? The following chart provides tips to distinguish a Sub-award from a Contract.

Situation Identity

Entity selling goods or services as part of routine business operations, usually at a fixed

price or rate (e.g., pipettes, tanks of hydrogen, etc.) Contractor Entity using human subjects or animal subjects (and needs both the subrecipient’s AND

campus’ IRB or IACUC approval) to do their portion of the work Sub-award Entity conducting a survey using de-identified data, and annual IRB approval is not required Contractor Entity who might be a legitimate author or co-author of a paper done on the project Sub-award Invention arising from the work done by the sub recipient Sub-award Entity performing a test on data we provide to them and which, in turn, provides us the

results to analyze Contractor

Entity performing a test on data we provide to them and provides routine professional

services in analyzing the results (e.g., a radiologist reading an X-RAY) Contractor Entity performing a test on data we provide to them and uses their professional expertise to

Appendix 3: Acronyms

Listed below are common acronyms you may see over the lifecycle of your sponsored program. This is only a portion of the full list. Access the full RF Acronyms and Common Terms list here.

Acronym Name

AAAH American Association for the Advancement of Humanities

AAALAC American Association of Animal Laboratory Accreditation Council

AAAS American Association for the Advancement of Science

AACUO Association for Affiliated College and University Offices

ACC Application Control Center

ACE American Council on Education

ACLS American Council for Learned Societies

ACO Administrative Contracting Officer

ACS American Cancer Society

ADAMHA Administration on Drug Abuse, Mental Health and Alcoholism

AFDC Aid to Families with Dependent Children

AFOSR Air Force Office of Scientific Research

AHA American Heart Association

AID Agency for International Development

AOA Administration on Aging

ARI Army Research Institute

ARO Army Research Office

AUTM Association of University Technology Managers

AVA American Vocational Association

BAA Broad Agency Announcement

BIA Bureau of Indian Affairs

BLS Bureau of Labor Statistics

CAS Cost Accounting Standards

CASB Cost Accounting Standards Board

CASE Council for the Advancement and Support of Education

CBD Commerce Business Daily

CFDA Catalog of Federal Domestic Assistance

CFR Code of Federal Regulations

CIES Council for the International Exchange of Scholars

CPB Corporation for Public Broadcasting

CO Contracting Officer

COP Certificate of Proposal

COS Community of Science

COGR Council on Governmental Relations

CURI College and University Resource Institute

DARPA Defense Applied Research Projects Agency (formerly ARPA)

DC Direct Costs

DCA Division of Cost Allocation (HHS)

DCAA Defense Contract Audit Agency

DCE Direct Cost Equivalent

DEAR Department of Energy Acquisition Regulations

DFAR Defense Federal Acquisition Regulations

DHHS Department of Health and Human Services

DOD Department of Defense

DOE Department of Energy

DOEd Department of Education

DOT Department of Transportation

EDGAR Educational Department General Administration Regulations

EDI Electronic Data Interchange

EFT Electronic Funds Transfer

EO Executive Order

EPA Environmental Protection Agency

ERIC Education Resources Information Clearinghouse

ERA Electronic Research Administration

ERS Economic Research Service

ESEA Elementary and Secondary Education Act

ETA Employment and Training Administration

F & A Facilities and Administrative Costs

FAR Federal Acquisition Regulations

FDP Federal Demonstration Partnership

FIE Federal Information Exchange

FIPSE Fund for the Improvement of Postsecondary Education

FMC Federal Management Circular

FOIA Freedom of Information Act

FR Federal Register

FSR Financial Status Report

FY Fiscal Year

GAO Government Accounting Office

GDO Grants Development Office

GEPA General Education Provisions Act

GPRA Government Performance and Results Act

GSA General Services Administration GSL Guaranteed Student Loan

HEA Higher Education Amendment

HEARS Higher Education Administrative Resource Service

HED Higher Education Daily

HENA Higher Education and National Affairs

HHS Department of Health and Human Services

IACUC Institutional Animal Care and Use Committee

IACP Institutional Animal Care Program

IDC Indirect Costs (now called Facilities and Administrative Costs)

IG Inspector General

IHE Institution of Higher Education

IRB Institutional Review Board

IREX International Research and Exchanges Board

NASA National Aeronautics and Space Administration

NCES National Center for Educational Statistics

NCURA National Council of University Research Administrators

NEA National Education Association

NEA National Endowment for the Arts

NEH National Endowment for the Humanities

NFAH National Foundation on the Arts and Humanities

NIA National Institute on Aging

NIAAA National Institute on Alcohol Abuse and Alcoholism

NIDA National Institute on Drug Abuse

NIE National Institute on Education

NIH National Institutes of Health

NIHR National Institute for Handicapped Research

NRA National Rehabilitation Association

NRSA National Research Service Award

NSF National Science Foundation

OFCC Office of Federal Contract Compliance

OMB Office of Management and Budget

ONR Office of Naval Research

OSHA Occupational Safety and Health Administration

OSI Office of Science Integrity

PA Program Announcement

PETA People for the Ethical Treatment of Animals

PHS Public Health Service

PI Principal Investigator

PO Program Officer

RDA Recombinant DNA

RFA Request for Applications

RFP Request for Proposal

RFQ Request for Quotation

SBA Small Business Administration

SP Sponsored Program

SPA Sponsored Programs Administration

SPO Sponsored Program Office

SRA Society of Research Administrators

TDC Total Direct Costs

TGA The Grant Advisor

UBIT Unrelated Business Income Tax

USC United States Code

Appendix 4: Audits and Site Visits

Sponsors, by virtue of the fact that they are investing money in a sponsored award, are entitled to perform audits of all aspects of the award (financial and programmatic). The following is a list of audit types:

 Pre-award

 Financial statement

 Single audit – Subpart F – 2 CFR 200.501(b)

 OMB A-133

 Program Specific

 Special Review

 F&A Cost Proposal and Disclosure Statement

 Business System Review (accounting, procurement, property, etc.)

These audits may include site visits, where the sponsor sends an individual or team to get a first-hand look at award activity to ensure that it is in compliance with the sponsor’s regulations and the scope of work outlined in the funded proposal.

The RF is obligated to comply with any requests for audits and/or site visits. The RF will provide appropriate personnel and resources to the sponsoring agency to demonstrate compliance. You must notify the SPO as soon as you are informed of an audit or site visit.