PREFACE

 

            This manual is the result of an effort to bring together the policies and procedures relating to grant-supported faculty research at Bryn Mawr College. It is designed to assist faculty members and other members of the College community in their efforts to obtain funding support from government or private sources. The manual is intended to be a general guide for the writing, submitting, and administering of grants, as well as a statement of the College's policies and procedures related to grant and contract supported research.

            It is the desire of the College and the Office of Sponsored Research to maximize the opportunities for sponsored research and to support faculty members in their efforts to serve the teaching, research, and community service interests of the College. For the Office of Sponsored Research to be most effective in its support, the members of the faculty who initiate proposals are asked to follow the manual carefully in meeting the proposal guidelines of the funding organization.

            We trust that this manual will be a useful tool and will give the reader insight into the aids available and the requirements of sponsored research administration.

 

                                                                       

                                                           

                                                             Nona C. Smith, Ph.D.

                                                            Director of Sponsored Research

 

TABLE OF CONTENTS

                                                                                                                                                                                                                                               

PREFACE                                                                                                                    

I. INTRODUCTION                                                                                                         7

II. INFORMATION SOURCES                                                                                         7

                         1. PLAN OF GOVERNMENT                                                                 7

                         2. Faculty Handbook                                                                             7

                         3. Personnel Manual                                                                             7

                         4. Accounting Policies and Procedures Manual                                       7

                         5. Guidelines for Research Approval                                                       7

                         a. Animal Welfare                                                                                 7

                         b. Human Subjects                                                                               7

III. SPONSORED RESEARCH PROTOCOL                                                                     7

IV. GRANTS ADMINISTRATION                                                                                     8

                         1. PROVOST                                                                                       8

                         2. DIRECTOR OF SPONSORED RESEARCH                                        8

 3. COMMITTEE ON FACULTY AWARDS AND GRANTS                         8          

                         4. COMMITTEE ON APPOINTMENTS                                                    8

                         5. OFFICE OF SPONSORED RESEARCH                                             8

                         6. RESOURCES OFFICE                                                                      8

                         7. COMPTROLLER'S OFFICE                                                               9

                         8. PERSONNEL SERVICES                                                                 9

                         9. COMPUTING SERVICES                                                                  9

                         10. DEPARTMENT CHAIRS                                                                  9

                         11. PRINCIPAL INVESTIGATORS                                                          9

V. SOURCES OF RESEARCH SUPPORT                                                                     10

                         1. EXTERNAL SUPPORT                                                                     10

                         2. INTERNAL SUPPORT                                                                      10

VI. PREPARATION OF PROPOSALS                                                                            10

             A. PRELIMINARIES                                                                                         10

B. PROPOSAL FORMAT                                                                                  10

            C. PROPOSAL CONTENT                                                                                 11

                         1. TITLE PAGE                                                                                    11

                         2. ABSTRACT                                                                                      11

                         3. TABLE OF CONTENTS                                                                     11

                         4. INTRODUCTION                                                                               11

                         5. DESCRIPTION OF PROJECT (NARRATIVE)                                       11

                         6. INSTITUTIONAL PROFILE                                                                 11

                         7. PERSONNEL                                                                                  11

                         8. PUBLICATION                                                                                 11

                         9. TRAVEL                                                                                          11

                         10. CONSULTANTS                                                                             11

             D. BUDGET                                                                                                     11

                         1. DIRECT COSTS                                                                               12

                         a. SALARIES AND WAGES                                                                  12

                         b. BENEFITS                                                                                        12

                         c. SUPPLIES                                                                                        12

                         d. EQUIPMENT                                                                                     12

                         e. TRAVEL                                                                                           12

                         f. PARTICIPANT SUPPORT COSTS                                                         12

                         g. COMPUTER TIME                                                                             12

                         h. CONSULTANTS                                                                                12

                         i. PUBLICATION                                                                                     12

                         j. MISCELLANEOUS                                                                              12

                         k. SUBCONTRACTS                                                                              12

                         2. INDIRECT COSTS                                                                              12

                         a. NEGOTIATED INDIRECT COST RATE                                                 12

                         b. LIMITED INDIRECT COST RATE                                                        13

                         3. COST SHARING                                                                                13

             E. BIBLIOGRAPHY                                                                                            13

             F. APPENDICES                                                                                               13

             G. RESUMES                                                                                                   13

H. DEADLINES                                                                                                   13

             I. REQUIRED COPIES                                                                                       13

VII. PROPOSAL SUBMISSION                                                                                        13

             A. SUBMISSION APPROVALS                                                                           13

             B. PROPOSAL SUBMITTAL FORM                                                                     13

             C. COLLEGE DEADLINE                                                                                    13

             D. SPECIAL REVIEW                                                                                         13

             E. TRANSMITTAL                                                                                              13

             F. BUDGET MODIFICATIONS                                                                             13

             G. BUDGET NEGOTIATIONS                                                                             14

VIII. PROCESSING THE AWARD                                                                                    14

             A. AWARD NOTIFICATION                                                                                14

             B. ESTABLISHING AN ACCOUNT                                                                      14

             C. DRAWING ON THE ACCOUNT                                                                      14

             D. HIRING GRANT EMPLOYEES                                                                       14

 

IX. POST-AWARD ADMINISTRATION                                                                               15

             A. EXPENDITURE OF FUNDS                                                                           15

             B. SUBCONTRACTS                                                                                         15

             C. OVEREXPENDITURES                                                                                 15

             D. RETROACTIVE COST TRANSFERS                                                             15

             E. SPONSOR PAYMENT                                                                                  15

             F. CHANGES IN THE SCOPE OF THE PROJECT                                               15

             G. CHANGE OF PRINCIPAL INVESTIGATOR                                                     15

             H. NO-COST EXTENSIONS                                                                               15

             I. EQUIPMENT PURCHASES                                                                            15

             J. TIME AND EFFORT REPORTS                                                                      15

             K. CONFLICT OF INTEREST                                                                              15

L. TECHNICAL AND FINANCIAL REPORTS                                                         15

X.         NON-FUNDED PROPOSALS                                                                              16

VII. APPENDICES

             B. POLICIES

                         1. POLICY FOR RESEARCH SUPPORT FROM OUTSIDE SOURCES

                         2. PATENT POLICY

                         3. POLICY ON A DRUG-FREE WORKPLACE

                         4. POLICY ON ETHICAL STANDARDS

                         5. CONFLICT OF INTEREST POLICY AND FORM

                         6. TRAVEL POLICY (see Comptroller’s Website)

                         7. COURSE BUYOUT  

FACULTY GRANTS HANDBOOK

I. INTRODUCTION

It is the responsibility of the administration to encourage scholarly inquiry by the faculty. The administration is committed to maintaining an environment that encourages intellectual creativity and inquiry in providing adequate support for faculty research. The College also encourages the participation of students, undergraduate and graduate, in sponsored research.

It is the responsibility of the faculty to pursue scholarly activities that will contribute to their discipline and make available to their colleagues and the public the results of such efforts and accomplishments. The research and scholarly activities of the faculty are expected to reflect and sustain the academic goals and missions of the college.

II. INFORMATION SOURCES

A number of College documents that might be helpful to principal investigators and the offices where they may be obtained are listed below:

1. Plan of Government

   Available from the Provost

2. Faculty Handbook

   Available from the Provost

3. Human Resources Handbook

   Available from the Human Resources Office

4. Accounting Policies and Procedures Manual

   Available from the Comptroller's Office

5. Guidelines for Research Approval

   a. Animal Welfare

   Available from the Chair of the Institutional Animal Care and Use Committee.

   b. Human Subjects

   Available from the Chair of the Institutional Review Board

 

III. SPONSORED RESEARCH PROTOCOL

 

Approval of a proposal by the appropriate department chairperson indicates a favorable evaluation of academic merit. Approval of a proposal by the appropriate college administrator indicates a favorable evaluation of its financial implications and/or requirements, and its congruence with the College's mission. As a preliminary to such approval the following conditions should be met:

1. Identification of appropriate funding sponsors within College guidelines

2. Unrestricted dissemination rights to all findings derived from the proposal project

3. Elimination of conditions to the award that would jeopardize the College's commitments or its mission

4. Elimination of financial obligations attached to the award, other than those stated in the proposal and approved by the appropriate College official

IV. GRANTS ADMINISTRATION

The following are the administrators, committees and/or offices of the College that have responsibilities connected with some or all faculty grants.

1. PROVOST

The Provost is the College official responsible for policies relating to sponsored projects requiring College approval. The Provost acts in conjunction with the Faculty Committee on Awards and Grants regarding internal funding. In the event of the Provost's absence at the time a signature on a proposal is required, another officer of the College will act in the Provost's stead.

2. DIRECTOR OF SPONSORED RESEARCH

The Director of Sponsored Research reports to the Provost and is responsible for reviewing and approving faculty research grants prior to obtaining the signature of the authorized college official.

3. COMMITTEE ON FACULTY AWARDS AND GRANTS

The College has a certain amount of funding available to award each year through a competitive process. Faculty receive proposal guidelines for the competition in the late fall of each year. The Committee on Faculty Awards and Grants, together with the Provost, is responsible for the recommendation and awarding of internal research funds in support of those proposals. The Committee also makes recommendations to the Provost on the merit of faculty proposal for the NEH Summer Stipend. In addition, this Committee makes recommendations to the President and Provost regarding Junior Faculty Research Leaves. The Committee on Faculty Awards and Grants is composed of three elected members of the General Faculty, the chair of the Committee on Appointments, and the Dean of the Graduate School of Arts and Sciences or the Dean of the Graduate School of Social Work and Social Research.

4. COMMITTEE ON APPOINTMENTS

The Committee on Appointments, in making recommendations to the President for the promotion, reappointment, or termination of appointment of any officer of instruction, reviews the research efforts of the faculty member, which information is taken into consideration in its recommendation. The Committee on Appointments also reviews all enhanced sabbatical and Jr. Faculty Research Leave proposals and makes recommendations to the President of the Institution on those requests.

5. OFFICE OF SPONSORED RESEARCH

The Office of Sponsored Research is responsible for assisting faculty, staff, administrative personnel, and students in the acquisition of external funding to support research and other projects. The Office of Sponsored Research is composed of a Director and part-time student help. The Grants Officer serves ex-officio on the College Institutional Research Board (IRB), Institutional Animal Care and Use Committee (IACUC); and the Committee on Faculty Awards and Grants. S/he also serves as liaison between project directors, sponsors, and members of the administration and has oversight responsibilities in post-award administration.

6. RESOURCES OFFICE

The Resources Office works to secure support from alumnae/i, parents, and friends, including foundations and corporations, for the ongoing operations of the College. Overall priorities and goals of all fundraising efforts are determined by the President and the Trustees. When a need or program has been approved by the President and the Provost, Resources will research private funding sources, draft the proposal or help with the faculty draft, submit the proposal and follow up on its status. When grants are awarded to the College for restricted purposes, it is the responsibility of a member of the Resources Office to notify the appropriate administrator and/or faculty member of the amount, payment schedule, restrictions, and reporting requirements. Members of the faculty and Resources staff work together to provide a thorough, interesting, and timely account of grant expenditures in accordance with the wishes of the donor. Because the Resources Office maintains the primary relationships with corporations and foundations for institutional grants, it is important that individual contacts with these funding sources be reviewed first by the Director of Grants and Stewardship.

7. COMPTROLLER'S OFFICE

The Comptroller's Office is responsible for assisting with the financial administration of externally funded projects. In the pre-award phase, the Comptroller's Office has responsibility for the periodic report on which indirect cost rate negotiations, with the Department of Health and Human Services, are based. The Comptroller's Office is responsible for the implementation of College, sponsor, or regulatory agency policies as they pertain to the financial transactions of the College. In the post-award phase, the Comptroller's Office is responsible for 1) creating/updating the project budget in the College accounting system and reviewing the financial progress of the project, 2) processing all financial transactions, including calculations of any allowable indirect costs and the collection of funds for reimbursement-type grants, 3) providing monthly reports to Principal Investigators, showing detail for the month and a summary of the project expenditures to date, 4) preparing and submitting any interim and final financial reports required by the granting agency.

8. HUMAN RESOURCES

The Office of Human Resources is responsible for recruitment of new employees; administration of College-provided benefit plans; acting in an advisory capacity in compensation issues, employee relations, and staff development; administration of the College's affirmative action plan; compliance with all applicable state, federal, and local employment laws. All personnel paid for through a grant (except currently enrolled students at Bryn Mawr College who must be processed through Financial Aid) must follow the normal employment procedures of the College and be processed through Human Resources.

9. COMPUTING SERVICES

The office of Computing Services is comprised of two departments; Academic Computing Services and Administrative Computing Services. They have a director in common and a single point of contact for the campus community in their shared secretary/receptionist. Academic Computing Services is responsible for assisting faculty and students in their computing work. The service is classified into three categories: direct support of individuals, support of academic departments, and operation of central, shared facilities. The staff offers: assistance in the evaluation and purchase of hardware and software, training and written documentation, troubleshooting and repair. Faculty preparing grant applications for projects that involve computer purchase or usage must consult with the Director of Computing Services to discuss the inclusion of equipment funding requests, budgeting for Internet-accessed computing resources, expert consulting service (purchased outside the College), and to ensure compatibility of proposed equipment with institutional equipment planning. Administrative Computing Services supports the College's non-instructional computing activities. Information processed in this domain is controlled by the various administrative offices of the College.

10. DEPARTMENT CHAIRS

Department Chairs are responsible for fostering and promoting research and scholarly activities within their departments. Department chairs should review research proposals to ensure that proposed commitments for released time, research assistants, equipment, etc., are compatible with department and college needs and priorities.

11. PRINCIPAL INVESTIGATORS

The Principal Investigator has the primary responsibility for securing departmental approval of any proposal prior to submission. The Principal Investigator must submit any proposal that requires the signature of an officer of the College to the Office of Sponsored Research for preliminary review before the institutional signature is affixed. In addition, the Principal Investigator is responsible for remaining within the bounds of any and all rules or regulations attached to receipt of an award.

V. SOURCES OF RESEARCH SUPPORT

The Office of Sponsored Research provides assistance to faculty in obtaining support from internal and external sources and the administration of such awards. The following services are offered:

1. EXTERNAL SUPPORT

a) Manual and electronic searches for potential funding in the faculty member's area of interest

 b) Maintenance of and familiarity with a resource library of private and public funding sources

c) Timely dissemination of funding information through an internal publication or personal contact

            d) Obtaining applications and guidelines

 e) Assistance and advice with proposal preparation

            f) Knowledge of federal regulations

                 g) Proposal and budget review to assure compliance with funding source and College requirements

             h) Recommendations to appropriate college official and securing administrative signatures

             i) Assistance in negotiation of final award, if necessary

             j) Initial post-award administration including setting up budget, obtaining account number, and notifying the Office of Public Relations, President, and Provost of the award

             k) Post-award expenditure review and approval prior to payment

             l) Budget changes and adjustments approval and notification of Comptroller and Human Resources offices, as well as the source agency when necessary

             m) Monitoring required report deadlines through contacts with the Principal Investigator and the Comptroller's Office

2. INTERNAL SUPPORT

Internal funding includes awards through the Faculty Awards and Grants Committee, as well as support available through dedicated funds such as faculty travel money and other restricted funds. The Office of Sponsored Research directs the faculty to the appropriate internal funding sources and assists faculty members with proposal preparation.

VI. PREPARATION OF PROPOSALS

A. PRELIMINARIES

The Principal Investigator should:

             * discuss the proposed project with the Department Chair to assure

             consistency with departmental objectives and availability of necessary

             resources

* make preliminary contact with a representative of the outside funding agency to  which the proposal may be submitted. Exploratory discussions may be useful in making decisions regarding the formal proposal.  It is best to outline the proposal only in general terms in such preliminary discussions

*develop a preliminary draft of the proposal, including an estimated budget, to determine whether the project completion is feasible within the scope of the time allowed and the dollars available from the source

* contact the Resources Office if a foundation is to be approached for funding to ensure that such an approach will not conflict with broader institutional efforts.

B. PROPOSAL FORMAT

             Once the Principal Investigator is satisfied that the project is viable, a funding source has been identified and guidelines obtained, the proposal should be written in accordance with the agency's requirements and budget items should be in accordance with the Office of Management and Budget A-110 and A-133 regulations.

C. PROPOSAL CONTENT

                            The Principal Investigator is responsible for the content of the proposal. The program guidelines should be read carefully to determine exact requirements. Requirements, such as number of pages, length of narrative, maximum budget allowed, etc. should be strictly adhered to. Generally, proposals follow the format detailed below:

                            1. TITLE PAGE - Many sponsors, particularly government sponsors, supply title page forms. For freeform proposals, the title page should include the following information:

                            * the name of the agency to which the proposal is being submitted

                            * the name of the College

                            * the title of the project

                            * the name of the principal investigator and departmental affiliation

                            * the proposed project period

                            * the name, address and telephone number of the Principal Investigator, with a space for signature

                            * the name, address and telephone number of the authorized institutional official, with a space for signature

                            * the date of submission

                            2. ABSTRACT - The technical abstract should be no more than 250 words and should state the significance of the project, how it will be accomplished, and the time span of the project.

                            3. TABLE OF CONTENTS - (Optional)

                            4. INTRODUCTION - The introduction should be a definitive statement of need that emphasizes the importance of the work. An introduction sets forth the focus of the project.

                            5. DESCRIPTION OF PROJECT (NARRATIVE) - The narrative should include project objectives, methods and procedures, planned dissemination of findings, personnel support, and equipment and facilities available or needed. It should be a full and detailed technical description of the research to be undertaken, the need for such a project and its expected results, the methodology to be employed, and a description of the method of evaluation.  It is important that the number of pages does not exceed the limitations set by the sponsor.

                            6. INSTITUTIONAL PROFILE - The site of the project should be described, together with all equipment and facilities necessary to the success of the project. If funding is being requested for additional facilities and/or equipment, the need for these items should be addressed here. Overall costs for this request should be included in this

section.

                            7. PERSONNEL - A brief description of the personnel and their areas of expertise should be given, although formal resumes can usually be included in the appendix.

                            8. PUBLICATION - If publication is one of the expected results of the project, a brief synopsis of the publication content and its costs should be detailed.

                            9. TRAVEL - If travel will be necessary to the completion of the project, a general travel plan, justification for the travel, and costs should be narrated. Estimates for costs of travel should be obtained from the College travel office.

                            10. CONSULTANTS - Consultants should be selected prior to submission of the proposal and mentioned by name. Consulting rates should be specified. Consultants should be used only when college personnel do not have the required qualifications, or when an outside consultant would provide a necessary and unique contribution to the project.

                               D. BUDGET - The budget of any proposal is always the "bottom line." The budget must be as accurate as possible, based on estimated costs, some of which may change prior to notice of award. When a project is expected to extend over more than one year, the budget for each additional year should be incremented at the standard "cost of living" rate. The components of a budget are the DIRECT COSTS (those directly attributable to the project), and the INDIRECT COSTS (those that cover general management and support charges). Except for the cases where indirect costs are not acceptable or are specifically set by the funding agency, proposals should include indirect costs based on a percentage of salaries and wages. The current indirect cost percentage can be obtained from the Office of Sponsored Research.

                            1. DIRECT COSTS

                            a. Salaries and Wages - List professional personnel, staff, graduate and the completion of the project.  Estimated time committed to the project by each should be clearly stated. Summer salaries and academic year salaries should be listed separately. Tuition may be part of the compensable costs for students.

                            b. Benefits - Benefits are calculated for all salaries or wages to be expended. The rates differ between the summer and academic year. Current rates for all positions can be obtained from the Office of Sponsored Research.

                            c. Supplies - Identify as specifically as possible any and all consumable supplies needed for the project. Estimated costs for these should be obtained from the appropriate campus office.

                            d. Equipment - List the estimated costs of specific equipment necessary to the project and currently not on hand. Equipment is usually designated as 1) special purpose equipment, 2) general equipment, or 3) expendable equipment. Special purpose equipment is any equipment necessary to the project. General purpose equipment includes typewriters, personal computers, etc.  If expendable equipment is necessary to the proposed costs, Academic Computing must be consulted.

                            e. Travel - All travel attributable to the project should be itemized. Travel expenses should be sub-divided for domestic travel and foreign travel. Travel costs should be obtained from a travel agency.

                            f. Participant Support Costs - These include stipends, travel, tuition, subsistence, and any other costs necessary for certain types of projects, such as training grants.

                            g. Computer Time - Computer time and support services can sometimes be charged to a project.  This does not apply to the use of personal computers, but does apply to mainframe use. Rates can be obtained from Academic Computing.

                            h. Consultants - State the total amount for such services and how the total was calculated.

                            i. Publication - Include all costs attendant to any publication that is expected to result from the project.

                            j. Miscellaneous - Items such as duplication, telephone, mail, equipment maintenance, etc. can either be added together under this single category or listed separately.

                            k. Subcontracts - Federal agencies require that both the contractor and subcontractor adhere to Office of Management and Budget requisites regarding accounting and audit procedures. It is the responsibility of the Principal Investigator to obtain assurance from the subcontractor that compliance with federal regulations will be maintained. Failure to do so makes the primary contractor liable. Subcontracts on federal grants may not be issued to any person or entity appearing on the U. S. Government Terrorist Exclusion list.

 

 

2. INDIRECT COSTS

                            a. Negotiated Indirect Cost Rate - The College has a negotiated percentage rate to be used in the calculation of indirect costs.  The rate is applied to salaries and wages and differs for on-campus and off-campus project time. (Consultant fees should not be included as salaries and wages.) The current rate for indirect costs can be obtained from the Office of Sponsored Research.

                            b. Limited Indirect Cost Rate - Some funding agencies limit indirect costs or disallow them entirely. The program guidelines detail the applicable regulations.

3. COST SHARING

Federal agencies often require the institution to demonstrate its participation through the contribution of a portion of the funds required for the overall project.  Faculty salary, related fringe benefits, computer time, and other non-federal grant support are often proposed for cost sharing.  General supply and expense items should not be included in the cost share line.

E. BIBLIOGRAPHY

Bibliographic references should be selected carefully and only those discussed in the proposal should be included.

F. APPENDICES

Although some guidelines specifically request that no appendices be added to a proposal, often the appendices are necessary for a comprehensive understanding of the proposal and to convey adequate information about the senior personnel. These additional materials might include letters of support from the institution and peers, copy of a publication, graphs and diagrams, or any other documentation necessary to the proposal.

G. RESUMES

In most instances, funding agencies require or expect resumes to be attached. These should be current and in readable form. Even if a resume is not required, appending one to the proposal is a good idea unless attachments are specifically forbidden.

H. DEADLINES

Requests for proposals usually have set deadlines for submission. Although it is sometimes possible in the extreme instance to obtain permission to submit a day or two late, federal agencies generally frown on requests of this sort. Deadline information should be checked carefully; a missed deadline is a missed opportunity.

I. REQUIRED COPIES

The number of copies required varies with the program and careful attention should be paid to the pertinent instructions.

VII. PROPOSAL SUBMISSION

A. Submission Approvals - The pre-submission route for any proposal requiring an institutional signature is as follows:

                            1. the Department Chair must see and approve the draft proposal

        2. the Office of Sponsored Research must have adequate time to review the

        proposal and suggest any modifications

                            3. the Provost or another institutional official must approve the proposal

4.  if the proposal is being submitted to the NIH, the PI must complete and submit an NIH Principal Investigator Assurance form to the Sponsored Research office prior to submission.  This form can be found at: http://www.brynmawr.edu/grants/PIASSUR.doc

B. Proposal Submittal Form - An internal form has been formulated to summarize the information in the full proposal. This form is available though the Office of Sponsored Research and should be submitted to that office together with any proposal requiring an institutional signature.

C. College Deadline - The Office of Sponsored Research requests that proposals be submitted for institutional signature at least one week prior to the funding agency's deadline.

D. Special Review - Any proposal that involves human or animal subjects must be reviewed by the appropriate campus committee.  The Principal Investigator is responsible for the proposal’s submission to such committee.

E. Transmittal - The Principal Investigator is responsible for the transmittal of the proposal to the granting agency.

F. Budget Modifications - Funding agencies may sometimes request budget modifications to pending proposals the Office of Sponsored Research requires that copies of the modified budgets be submitted to it for review.

G. Budget Negotiations - Budget negotiations with funding agencies are usually a cooperative effort involving the Principal Investigator, the Office of Sponsored Research and, in some instances, the College authorizing official.

VIII. PROCESSING THE AWARD

A. Award Notification - When a proposal has been approved for support by a sponsor, both the Principal Investigator and the institutional official are notified.  The institutional official forwards the notice to the Office of Sponsored Research for processing.  In some cases the notification of award requires a signature by the institutional official.

B. Establishing an Account - After a grant is determined to be acceptable, the Office of Sponsored Research secures a budget number and sets up the budget using the appropriate college budget categories. A copy of that budget, together with the terms of the award, are then forwarded to the Principal Investigator and the Comptroller's Office. It is occasionally necessary to confer with the Principal Investigator regarding the distribution of funds within the budget, particularly if the sum awarded does not match the sum requested.

C. Drawing on the Account - Once the award has been assigned a budget number, the Principal Investigator may draw on the account. If, during the project, reallocation of monies between budget objects is required, the Principal Investigator should request such fund movement in writing to the Director of Sponsored Research. She/he will make the necessary adjustments. All charges against the account should be routed through the Office of Sponsored Research for approval.

D. Hiring Grant Employees - When calculating the budget lines for personnel on a grant, the following employment-related guidelines should be considered.

                         1. All new employees must report to Human Resources on the first day of employment to complete the necessary tax forms and employment cards.

                         2. All employees who work .74 time or more are eligible for benefits. The current benefit rate to be built into the grant can be obtained from the Sponsored Research Office.

                         3. Faculty salary increases occur in September and should be adjusted appropriately for multi-year grants.

                         4. Staff salary increases occur yearly on the starting date anniversary and should be adjusted for multi-year grants.

                         5. Faculty and administrative/professional staff are paid on the 15th of the month and hourly employees are paid every other Friday.

                         6. Foreign students, faculty, or staff who will be paid from a grant must obtain valid authorization to work in the United States and be able to show proof of same upon employment.

                         7. Once a grant has been funded, the principal investigator is responsible for submitting the following information to Human Resources 30 days prior to the starting date of new grant employees. This will ensure timely payment of salary:

                         a) Name of employee, grant number, budget object number, beginning date and termination date of employment, number of hours to be employed, hourly wage or monthly salary, full or part-time status total amount of money to be paid. The grant hiring form should be used for this purpose.

                         8. In the event of a no-cost extension or a non-competing continuation grant, it is the responsibility of the principal investigator to inform Human Resources when employees charged against the grant are to be paid past the initial termination date. In addition, for continuation grants the principal investigator must submit new Grant Employee Hire forms for all personnel and dates of employment to be charged to the new grant year. This should be done prior to the starting date of the continuation so that salaries can be properly applied against the correct budget number.

 

IX. POST-AWARD ADMINISTRATION

A   Expenditure of Funds - Any charges made against a grant must be valid, accurate and meet the requirements of OMB A-110 and A-133, as well as the guidelines and the stipulations appearing in the award letter from the funder. All expenditures against a grant account must be made before the closing date of the grant. Requests for payment from a grant must be approved by the Director of Sponsored Research prior to submission to the Comptroller.  No vendor, whose name appears on the U. S. Government’s Vendor Exclusion list, may be paid from a federal grant.  No payment may be made to any organization or individual listed on the U. S. Government’s Terrorist Exclusion list.  Based on the letter of award, any costs deemed unallowable by the Office of Sponsored Research or the Controller’s Office will be rejected and will be the responsibility of the Principal Investigator.

                         B. Subcontracts - All subcontractors must state in writing that they will abide by the federal regulations governing grants. A subcontract agreement will be drawn up by the Principal Investigator's institution and a signature of a c