Sponsored Programs “Cradle to Grave”

Sponsored Programs

“Cradle to Grave”

Office of Sponsored Programs

University of Arkansas, United States Department of Agriculture and County GovernmentsCooperating. The Division of Agriculture offers its programs to all eligible persons

regardless of race, color, national origin, religion, gender, age, disability, marital or veteran status, or any other legally protected status, and is an Affirmative Action/Equal

Opportunity Employer.

Sponsored Programs Staff

Director

Sandra Williams ([email protected])

Pre-Award

Dr. Judy Robison, Distinguished Grants Officer

([email protected])

Kris Rutherford, Grants Officer ([email protected])

Post-Award

Crystal Anderson, Grants and Contracts

Analyst ([email protected])

Brenda Throckmorton, Grants and Contracts Analyst (

[email protected])

Proposal Development and Submission

• Funding Opportunities• Proposal Planning and Development• Proposal Budget Development• Internal Grants Approval• Specified Electronic Grants Submission• Administrative Compliance• Education and Training

Pre-Award

Types of Proposals

UACES—Primary Awardee

UACES staff member is responsible for project leadership and is accountable to project sponsor for fulfillment of overall project

objectives.

UACES—Sub-Awardee

UACES staff member is responsible for leadership on the portion of the overall

project contracted by the Primary Awardee and is accountable to the Primary Awardee for fulfillment of specific project objectives.

Awarding Agencies/Institutions

• Federal Government Agencies (i.e., USDA, Dept. of Interior, etc.)**

• State Government Agencies (i.e., Arkansas Dept. of Health, Arkansas Natural Resources Conservation Service, etc.)

• Non-Governmental Agency (i.e., Cotton Incorporated, United Soybean Board, etc.)

• Private Funder (i.e., Alotian Club, Rockefeller Foundation, etc.)

Federal Proposals

Proposal Forms

• SF-424 Application for Federal Assistance• SF-424a Budget Information• Assurances (Construction or Non-Construction

Programs)• FIN-312 Internal Grant Approval Form• Letter of Transmittal/Commitment (for Sub-

Awardee proposals)• Grant Reward Plans (FIN-310 and FIN-311, if

applicable)

SF-424: Application for Federal Assistance

SF-424: Application for Federal Assistance

1. Type of Submission: Normally “Application,” but request from PI

5. Legal Name: University of Arkansas Cooperative Extension

Organizational DUNS: 039796771 Contact: Grants Officer (Judy or Kris)

6. Employer Identification Number (EIN): 62-1712458

7. Type of Applicant: Public State Controlled Institution of Higher Education

8. Type of Application: Request from Principal Investigator (PI)

9. Federal Agency: See Request for Proposals (RFP)

10. CFDA Number: 5 digit number--obtain from RFP

11. Title: Request from PI

12. Dates: Period when actual work will take place

13. Congressional Districts: Applicant: AR002; Project: District(s) where work is being performed

14. Principal Investigator: Enter Contact Information

SF-424: Application for Federal Assistance (pg. 2)

15. Funds Requested: Request from PI

16. E.O. 12372 Process: Obtain from RFP

19. Authorized Organizational Representative (AOR):

Dr. Tony Windham, Associate Vice President for

Agriculture-Extension and Director,

Cooperative Extension Service

SF-424: Application for Federal Assistance (pg. 2)

• Form may vary based on agency/program

SF-424a: Budget Information

• Budget Information Provided by Primary

Investigator

• Form may vary based on agency/program

Assurances

Assurances

• Statement of compliance with

various federal laws and agreement to fulfill

requirements of awarding agency and

grant program

• Must be signed by Authorized

Organizational Representative

(Dr. Tony Windham)

Letter of Transmittal/Commitment

February 29, 2012 Jane Zuber, Director of Contracts and Grants Office of Sponsored Research Service Texas AgriLife Extension Service 400 Harvey Mitchell Parkway South, Suite 300 College Station, Texas 77845-4375 Dear Ms. Zuber: It is my understanding that Texas A&M University will be submitting a proposal to the USDA-NIFA Southern Regional IPM Research grant program titled “Citizen Training and Trapping to Monitor for Brown Marmorated Stink Bug in New Mexico, Texas, Oklahoma, Arkansas, and Louisiana.” Should the project be funded, Dr. Gus Lorenz of the University of Arkansas Division of Agriculture will be cooperating with your institution in accordance with the attached statement of work. In accordance with the statement of work and budget, we are requesting $26,094 to complete our portion of the project. We appreciate the opportunity to work with your institution in Integrated Pest Management solutions in the Southern United States. Sincerely,

Tony Windham, PhD Associate Vice President for Agriculture – Extension and Director, Cooperative Extension Service

Letter of Transmittal/Commitment

February 29, 2012 Jane Zuber, Director of Contracts and Grants Office of Sponsored Research Service Texas AgriLife Extension Service 400 Harvey Mitchell Parkway South, Suite 300 College Station, Texas 77845-4375 Dear Ms. Zuber: It is my understanding that Texas A&M University will be submitting a proposal to the USDA-NIFA Southern Regional IPM Research grant program titled “Citizen Training and Trapping to Monitor for Brown Marmorated Stink Bug in New Mexico, Texas, Oklahoma, Arkansas, and Louisiana.” Should the project be funded, Dr. Gus Lorenz of the University of Arkansas Division of Agriculture will be cooperating with your institution in accordance with the attached statement of work. In accordance with the statement of work and budget, we are requesting $26,094 to complete our portion of the project. We appreciate the opportunity to work with your institution in Integrated Pest Management solutions in the Southern United States. Sincerely,

Tony Windham, PhD Associate Vice President for Agriculture – Extension and Director, Cooperative Extension Service

• Addressed to Sponsoring Institution

• Well-written and properly formatted on UACES Letterhead

• States agreement to participate; lead investigator(s); amount of funding to be provided to UACES; and UACES commitment of matching funds

• To be signed by Dr. Tony Windham, including complete title

• Samples Available from OSP

FIN-311: Salary Funding Incentive Plan

Policy and Management Guidelines

Cooperative Extension Service Faculty Salary Funding Incentive Plan (FSFI) Approval Form

To be submitted with the grant or contract proposal

FINANCE-311 10/11/2006

Proposal Title: Funding Agency: Proposal Amount: Date Submitted: Personnel to be covered under provisions of the Plan

Name Total Salary Paid % of current Tentative Dates of By this Grant/ Salary Coverage Contract

1. 2. 3. 4.

Includes faculty salaries in budget Yes No Facilities & Administrative (F & A/indirects) rates used: 19% of Total Federal (23.456% of total direct) 29% of Modified Total Direct Other (Specify and attach justification)

Submitted: Principal Investigator Date Approved: Department/Unit Head; Section Leader; Staff Chair Date Approved: Grants and Contract Manager Date Approved: Grants Officer Date Approved: Assistant Director – ANR/CED/4-H/FCS or District Director Date Approved: Associate Director – Programs (if District/County Program) Date Approved: Associate Vice President for Agriculture - Extension Date

Signed Copies of this form and the Internal Grant Approval Form (FINANCE-312) should be included in all internal copies of the grant application/grant when distributed. Once all approvals have been signed, you should keep a copy for your records, and the original FINANCE-311 form should be retained by the Grants and Contract Manager in Financial Services for payment at the end of the year. For Financial Services Use Only:

FIN-311: Salary Funding Incentive Plan

Policy and Management Guidelines

Cooperative Extension Service Faculty Salary Funding Incentive Plan (FSFI) Approval Form

To be submitted with the grant or contract proposal

FINANCE-311 10/11/2006

Proposal Title: Funding Agency: Proposal Amount: Date Submitted: Personnel to be covered under provisions of the Plan

Name Total Salary Paid % of current Tentative Dates of By this Grant/ Salary Coverage Contract

1. 2. 3. 4.

Includes faculty salaries in budget Yes No Facilities & Administrative (F & A/indirects) rates used: 19% of Total Federal (23.456% of total direct) 29% of Modified Total Direct Other (Specify and attach justification)

Submitted: Principal Investigator Date Approved: Department/Unit Head; Section Leader; Staff Chair Date Approved: Grants and Contract Manager Date Approved: Grants Officer Date Approved: Assistant Director – ANR/CED/4-H/FCS or District Director Date Approved: Associate Director – Programs (if District/County Program) Date Approved: Associate Vice President for Agriculture - Extension Date

Signed Copies of this form and the Internal Grant Approval Form (FINANCE-312) should be included in all internal copies of the grant application/grant when distributed. Once all approvals have been signed, you should keep a copy for your records, and the original FINANCE -311 form should be retained by the Grants and Contract Manager in Financial Services for payment at the end of the year. For Financial Services Use Only:

• Documents Salary Savings associated with grant award

• Must be submitted with grant proposal

• Must be signed by PI and Dept. Head prior to submittal

FIN-310: Salary Savings Distribution

FINANCE-310

10-11-2006

Organizational Salary Savings Distribution Program (OSSDP) Approval Form

To be submitted with the grant or contract proposal, along with the Finance-312, Internal Approval Form This form is used to identify potential organizational salary savings associated with a given grant proposal or contract. Any organizational salary savings, not including fringes, will be distributed as follows:

Of the amount, 10% goes into an Administration salary residual account. The remaining 90% can be negotiated with the appropriate financial managers. Salary savings can only be used on expenditures eligible for use of state funds. Salary Savings Fund Balances are not time sensitive and will roll forward at the end of the fiscal year.

Proposal or Contract Title: Funding Agency: Proposal Amount: Date submitted : Personnel to be covered under provisions of the Plan

Name Annual Salary % of Tentative Dates of Total Paid By this Current Coverage Salary Grant/Contract Salary Savings

1. 2. 3. 4. Includes faculty salaries in budget Yes No Facilities and Administrative (F & A/Indirects) Rate Used: Identify the proposed uses of the salary savings in the empty cells of the table below. If a fund number has not previously been assigned for faculty salary savings, put TBD (to be determined) in the column for Fund #. Distribution/Person Receiving % Fund # Org # Administrative Salary Residual Account 10% Total Amount of Salary Savings: 100% $ Submitted: Principal Investigator Date Approved: Department/Unit Head/Section Leader/Staff Chair Date Approved: Grants Officer Date Approved: Grants and Contracts Manager Date Approved: Assistant Director – ANR/CED/4-H/FCS or District Director Date Approved: Associate Director – Programs (County/District Proposals only) Date Approved: Associate Director – Finance and Administration Date Approved: Associate Vice President for Agriculture - Extension Date Signed copies of this form and the internal Grant Approval Form (FINANCE-312) should be included in all internal copies of the grant application/grant when distributed. One all approvals have been signed, you should keep a copy for your records, and return the original form to the Grants and Contracts Manager, Financial Services.

• Specifies Distribution of Salary Savings by fund and Org #

• Must be submitted with Proposal

• Must be signed by PI and Dept. Head prior to submittal

FIN-312: Internal Grant Approval Form

Project Title: Application Submitted Via Grants.gov? Yes No Project Director/Principal Investigator:

Federal State-AR Private Other (specify): Total Project Cost: Sponsor Funds Requested: Match: UACES Other

Indirect Cost Rate Applicable (%):

Will the Activity Generate Program Income? Yes No

Submission Due Date:

Last Day Proposal can leave LRSO and comply with Due Date:

Project Summary

Proposal Type

Pre-Proposal New Non-Competing Continuation Competing Continuation

Special Review Checklist

The proposal being approved and submitted involves the following: Yes No Animal Use Yes No Human Subjects Yes No Select Agents or other Biohazards Yes No Export Controlled information or material Yes No Radioactive Materials Research Compliance: Federal regulations govern the use of human subjects, animals, biohazardous materials, radioactive materials, select agents/toxins and biohazards, and certain information or material subject to export controls. If your proposal includes these areas, be prepare d to secure approval from an Institutional Review Board (IRB) prior to beginning your project. Extension faculty may choose to use UAF, UALR, or UAMS IRBs.

1 Completed Proposals should reach the Office of Sponsored Programs (OSP) at least 5 working days prior to the submission deadline. Proposals requiring budget preparation or other assistance should reach OSP 10 working days prior to deadline.

UACES 4-H Foundation

Prime Sub-Award

Project Begin Date: Project End Date:

Does the Application include funding for new personnel? Yes No

If so, has HR been contacted? Yes No If yes, Who/When?

FIN-312 10/11/2006

Internal Grant Approval Form

Sponsor:

FIN-312: Internal Grant Approval Form

Project Title: Application Submitted Via Grants.gov? Yes No Project Director/Principal Investigator:

Federal State-AR Private Other (specify): Total Project Cost: Sponsor Funds Requested: Match: UACES Other

Indirect Cost Rate Applicable (%):

Will the Activity Generate Program Income? Yes No

Submission Due Date:

Last Day Proposal can leave LRSO and comply with Due Date:

Project Summary

Proposal Type

Pre-Proposal New Non-Competing Continuation Competing Continuation

Special Review Checklist

The proposal being approved and submitted involves the following: Yes No Animal Use Yes No Human Subjects Yes No Select Agents or other Biohazards Yes No Export Controlled information or material Yes No Radioactive Materials Research Compliance: Federal regulations govern the use of human subjects, animals, biohazardous materials, radioactive materials, select agents/toxins and biohazards, and certain information or material subject to export controls. If your proposal includes these areas, be prepared to secure approval from an Institutional Review Board (IRB) prior to beginning your project. Extension faculty may choose to use UAF, UALR, or UAMS IRBs.

1 Completed Proposals should reach the Office of Sponsored Programs (OSP) at least 5 working days prior to the submission deadl ine. Proposals requiring budget preparation or other assistance should reach OSP 10 working days prior to deadline.

UACES 4-H Foundation

Prime Sub-Award

Project Begin Date: Project End Date:

Does the Application include funding for new personnel? Yes No

If so, has HR been contacted? Yes No If yes, Who/When?

FIN-312 10/11/2006

Internal Grant Approval Form

Sponsor:

• Must be submitted with all proposals sent to Office of Sponsored Programs for approval

• Form has been revised to streamline approval process

• All fields must be completed, including project summary

• PI must assure compliance with requirements related to Misconduct of Research, Conflicts of Interest, Export Controls, etc.

• Must be signed by PI and Direct Supervisor prior to submission

• Approvals required: • Sponsored Programs• Assistant/Associate Director• Associate Director for Finance

and Administration• Dr. Tony Windham (if over

$250,000)

Frequently Used Information

•Legal Name: University of Arkansas Cooperative Extension Service

•Governing Board: University of Arkansas Board of Trustees

• Accounting Method: Accrual

• Indirect Cost Rate/Facilities and Administrative Costs (unless specified otherwise in RFP): 29% of Modified Total Direct Costs**

• Fringe Benefit Rates: 30.4% (Full-Time Employees; 7.6% (Temporary Employees)

• Authorized Organizational Representative (AOR): Dr. Tony Windham

• Dr. Windham’s Official Title: Associate Vice President for Agriculture-Extension and Director, Cooperative Extension Service

•Basis for budgeting salaries: Percentage of an employee’s salary as a portion of a full-time equivalent (FTE) position.

**The UACES indirect cost rate is far below the national average. In 1999, the typical ICR was 50.8%.

Frequently Used Information

• Tax-Exempt Status: IRS 170(c)1

• Cognizant Federal Agency/Contact: Dept. of Health and Human Services

• EIN: 62-1712458

• DUNS: 039796771

• DHHS-PMS ID: 0546750

• State Clearinghouse Contact (if compliance with E.O. 12372 is required):

Tracy Copeland, Manager Office of Intergovernmental Services Dept. of Finance and Admin. 1515 W. 7th St. Little Rock AR 72203

• Congressional District (Applicant): AR-002

• Difference between Equipment and Materials and Supplies: Equipment is an individual item exceeding $2,500 in cost with a useful life of more than one year. Materials and supplies are expendable items with a short lifespan costing less than $2,500. These definitions are more restrictive than federal requirements.

Arkansas Congressional Districts

After Approval

• Approved FIN-312 and proposal packet will be returned to PI.

• To ensure there is no delay in processing, if proposal is to be submitted electronically (Grants.gov), PI should notify grants officer of approval.

• PI should send three (3) copies of approved proposal packet to grants officer and one (1) copy to the Director of Sponsored Programs.

• Grants officer will keep PI updated on submission status until proposal is accepted by project sponsor.

Bridge Conferences

Pre-award

Post-award

Purpose:

• Bring key participants together to bridge the process between pre-award and post-award.

• Review of award, budget, timelines, program and financial reporting, access to E-prints, requisitions etc.

• Distribute award summary sheets (Green Sheets), signed copy of final award, budget

Who:

• Grant & Contract Analyst, Grants Officer, Director of OSP, PI, AD, Administrative Support Supervisor(s)

Where:

• LRSO or via conference call

Sample Award

Green Sheets FINANCIAL SERVICES Post Award Administration has received approval of sponsored funding for the project identified below. Certain administrative terms and conditions have been extracted from the proposal, award document, and/or sponsor regulations and are summarized to assist you in the administration of this award. Date: 12/14/11

Grant Code: 23XXXGRNT

Fund: 23XXX

Program: Public Service

Initial/Amend/Revision: Initial

Principal Investigator: John Doe

Department: Project Department (if different): Horticulture/7700

Project Title (30 chars): Sample Green Sheet Demonstration Sponsor: University of Georgia Federal Pass-Through Agency (if applicable): ARRA: Y/N Sponsor Award Document No.: RE675-XXX/XXXXXXX

CFDA No.: 10.215

Grants (Administrative) Officer: Jenna Lester Telephone: 706-542-4575 Fax/Email: [email protected]

Project (Technical) Officer: Jeffrey L. Jordan Telephone: 770-228-7231 Fax/Email: [email protected]

Budget Period: From: 9/1/11 To: 8/31/12

Project Period: From: 9/1/11 To: 8/31/12

Sponsor Funding This Period Total Total Cost Sharing F&A

Total Direct Costs 100000 100000 F&A (0%) Total Sponsored Funding 100000 100000

Financial Information: Online Requisitions: Initiator(s) Sally Jones Approver: John Doe Purchasing Contact: Joann Fish Travel Contact: Michelle Freels

Grant Billing Information: Billing Type: Cost Reimbursable Billing Address: Gail Patton SARE Department Stuckey Bldg, Room #209 1109 Experiment Street Griffin, GA 30223-1797 Billing Frequency: Monthly Billing Contact: Brenda Throckmorton, 501-671-2348

Programmatic and Financial Reports Required

Final report marked FINAL is due no later than 45 days after the subaward end date.

Remarks: **If you have salary budgeted on this grant please complete the appropriate Personnel Action in order to get these charged to the correct fund number. Post-Award Contact: Name: Brenda Throckmorton Ph: 501-671-2348 For assistance with programmatic or administrative requirements of this award, including subcontracts, extensions of time, etc.

Department Contact: Name: Sally Jones Ph: 501-671-0000 For assistance with expenditures, charge cards, invoicing, and accounting issues regarding this award.

________________________________ cc: Departmental Contact, Department Head Brenda Throckmorton, Grants and Contracts Analyst

Post-Award

When the UACES accepts a grant or contract it takes on a fiduciary responsibility to ensure the project or program being funded is conducted with the highest standards of

professionalism and fiscal responsibility.

UACES OBLIGATION

Award Life Cycle

The process of awards management begins when a granting agency notifies UACES that

a proposal is being funded.

• Award notices take many forms, from a complex contract document to a simple letter. The award is made to the University of Arkansas Cooperative Extension Service.

• Agreements and Subawards are contractual and should be contracted with the Board of Trustees of the University of Arkansas, acting for and on behalf of the University of Arkansas Cooperative Extension Service.

Life Cycle

The OSP director and general counsel reviews the award document to ensure that the terms and conditions are

compatible with University policy and/or state law. Incompatibilities are negotiated with the sponsor.

Award is signed and returned to the sponsor.

When A fully-executed agreement is returned to the OSP director, the grant fund set-up can take place.

The G&C analyst sets up the grant fund as well as establishes a budget in the Banner system and expenditures

may begin.

Life Cycle (continued)

A notification is sent by the G&C analyst via email to the Principal Investigator, Dept Head and adm. support staff.

In most cases a bridge conference is scheduled at this time.

OSP submits invoices and processes requests for funds. (Most agreements are “cost reimbursable.” In other words, we expend

UACES funds then seek payment from the sponsor for those expenditures.)

Principal Investigator conducts the project and submits progress reports (deliverables) to the sponsor as called for

in the agreement.

Awards Management Topics

• Cost Sharing/Matching• Effort Reporting• Allowable Costs• Cost Transfers• Prior Approvals

Cost Sharing/ Matching

OMB Circular A-110 defines cost sharing/matching as follows:

• “Cost sharing or matching means that portion of project or program costs not borne by the Federal

Government, “ and

• “Cash contributions means the recipient's cash outlay, including the outlay of money contributed to the

recipient by third parties.”

Defined

Allowable Cost Sharing/ Matching

All contributions, including cash and third party in-kind, are acceptable as cost sharing or matching when all

of the following criteria are met.

• Costs are verifiable from the recipients’ records.

• Are not included as contributions for any other project or program.

• Must be applied to an allowable cost under A-21

If mandatory or committed, cost sharing must be documented in the official records of the institution.

Records must be auditable (Documentation is vital).

When a voluntary match is placed in the grant agreement, it becomes mandatory

Effort Reporting

UACES Effort Reporting System is referred to as A-21 Certifications. The basis for the system is found in OMB Circular A-21 section

J.8. Compensation for Personnel Services.

MEMORANDUM

To: Jane Federal Grant Undefined County

DISPATCH DELIVERY

From: Crystal Anderson, Accountant [email protected] 501-671-2051

Date 09/10/2010 RE: OMB Circular A-21 Certification Letter

Certification January 1, 2010 - June 30, 2010

Your salary charges for this certification period are listed below. This memorandum will be generated every six months and distributed to employees for certification of time and effort worked on restricted grants and projects. Certification is required for all educational institutions that receive federal funds.

Please review the grants/projects listed below and the percent of time worked on these projects. If you believe the distribution is a reasonable reflection of the effort devoted during the certification period, please print, sign and return this memorandum to Financial Services. If corrections need to be made, please note any changes on the form, then sign and return the form to Financial Services.

All forms must be signed and returned to Financial Services 09/30/2010

Distribution for January 1, 2010 - June 30, 2010 Fund Fund Percent General State Funding 13101 69.02 County Funding - FSL 14401 17.98 FSNEP Match 24314 13.00

I certify that the distribution above is a reasonable reflection of the effort devoted during the certification period indicated on this memorandum.

Employee Signature Date

Reporting Periods:

January 1 to June 30(due by September 30)

July 1 to December 31(due by April 30)

Effort Reporting

In addition to certifying the reasonableness and allocability of time directly charged to a

sponsored project, the A-21 certification also provides a mechanism for individuals

to certify cost sharing of their labor.

The following Funds all require Effort Reporting at UACES:

• Federal Smith Lever (14xxx)• Federal Smith Lever (21xxx)• Federal Smith Lever Matching (22xxx)• Other Federal Grants and Contracts (23xxx)• Other Federal Matching (24xxx)• State Grants & Contracts (25xxx)• State Grants & Contracts Matching (26xxx)• Private Grants & Contracts (28xxx)

***As of fiscal year 2010, federal formula funds effort must be certified. (14xxx)***

Allowable Costs

OMB Circular A-21 details the Cost Principals for Educational Institutions.

There are four main principles applicable to all costs. These principles are not independent of each other. A cost must

meet all four principals to be allowable.

• Is the cost REASONABLE?

• Is the cost ALLOCABLE?

• Is the cost treated consistently as a direct cost or an F&A cost by UACES?

• Is the cost designated as allowable under OMB Circular A-21?

Help for determining allowable costs for federal sponsored agreements:

Office of Management And Budget Circular A-21http://www.whitehouse.gov/omb/circulars/a021/a021.html

Unallowable Costs

Some costs that may appear to be direct (or attributable to the program) are nonetheless unallowable by

statute unless “unlike circumstances” dictate otherwise:

• Alcoholic beverages• Entertainment costs• Advertising/Public Relations• Alumni Activities• Bad Debts• Commencement Costs• Personal Services• Non-institutional Professional Activities• Institution-furnished automobiles• Criminal or civil defense costs

• Donations and contributions• Fines/Penalties• Personal Goods/Services • Housing and Living Expenses• Insurance• Lobbying• Memberships/subscriptions• Pre-agreement costs• Recruiting costs• Profit/loss on capital assets and equipment• Rental of buildings and equipment•Marketing costs

Cost Transfers

Cost transfers are perhaps the most sensitive area in awards fiscal management. They are a signal to an auditor that something unusual happened and that

further investigation is required.

• Timely Corrections. The allowability of a cost transfer improves when the error is corrected within a reasonable time period.

• Avoid cost transfers at the end of the project.

• All supporting documentation for the cost transfers must be maintained and proper justification is needed if transfer takes place more than 90 days after the charge was originally posted.

Prior Approvals

Most federal agencies now provide for what is commonly referred to as “expanded authorities.”

These authorities allow the institution to make approvals that were previously required from the

sponsor.

These expanded authorities normally include:

• Approval to incur pre-award costs up to 90 days prior to the start date of the award.

• Approve a one-time no-cost extension of up to 12 months;

• Carry forward unobligated balances from one funding period to the next;

• The authority to rebudget;

• The authority to make other prior approvals required by OMB circulars A-110 and A-21.

Prior Approvals

• Any action that would or is the result of a change in the scope or objectives or the project requires the approval of the sponsor.

• Also, any reduction in effort by the named PI of 25% (of the percent effort committed in the proposal) or the absence of the PI for 3 months or more requires agency approval.

Required For:

Prior Approvals: Budget Modification

To Modify or Re-budget the original project Budget

Type a brief letter or email with the following content:

• Justify and explain the circumstances that led to the need for changing the budget.

• How it will impact the project scopes or objectives.

• Prepare a worksheet or table showing Original Budget vs. Revised Budget

• Address the request to the appropriate administrative contact listed in your award documents.

• Letter should be signed by Authorized Organizational

Representative (Dr. Windham)

Award Closeout

Award Closeout involves both programmatic and fiscal requirements.

• PI determines whether a request for no cost extension is needed based on progress towards completion of programmatic award requirements and funds available in the budget.

• The PI initiates final purchases needed for completion of the project prior to award end date.

• At the end of the project the Principal Investigator is responsible for submitting the final technical report to the sponsor.

Award Closeout: No-Cost Extension

Notify OSP if a no cost extension is needed within 60 days of project termination.

Award Closeout (PI-Role)

• PI reviews all charges to the award to ensure they are allowable and appropriately allocated.

• PI communicates with G&C analyst concerning any outstanding charges or other issues related to closeout.

• PI signs closeout letter certifying the accuracy of expenses and returns to OSP.

• PI prepares and submits the final technical report to the sponsor.

Award Closeout (OSP-Role)

Award Closeout (OSP-Role)

• G&C analyst sends pre-termination letter to PI and adm. support staff within 60 to 90 days prior to award end date.

• G&C analyst sends Closeout letter to PI and adm. support staff within 30 days after project end date.

• G&C analyst reviews charges posted after end date for appropriateness.

• G&C analyst prepares and submits the final invoice and other closing documents to the sponsor.

• G&C analyst ensures funding is received from Sponsor.

• G&C analyst completes the fiscal grant closeout in the banner system.

Award Closeout

Federal Financial Report

Award Closeout

EPRINT: MTD Summary

Award Closeout

EPRINT: YTD Summary

Record Retention

The federal government requires a three- year retention period from the date of submission of the final expenditure report

for all financial and programmatic for documents and records.