Develop and Prepare Proposal Process
The staff of Research Services is committed to assisting the Principal Investigator (PI) through the proposal preparation and submission process. The office ensures that proposals conform to all agency and organization’s funding guidelines, that the proposed financial arrangements are acceptable and consistent with Georgia Southern (GS) and University System of Georgia (USG) requirements, and that special commitments (e.g. in-kind and matching funds) have had prior internal review and approval prior to inclusion in proposed budgets.
Develop and Prepare Proposal Responsibilities
Research Services must review and understand sponsor guidelines when contacted by PI; must gather initial compliance/proposal data i.e., cost-sharing, export control, etc. to help ensure the submission process is smooth; must advise PI on sponsor and university requirements; should collaborate on a reasonable timeline with PI; must confirm budget and justification meets sponsor requirements and adheres to University policies; should provide editorial services for PI’s project descriptions when requested and there is enough time to do so. Additionally, grant coordinators help PIs determine when proposal applications are to be submitted by Research Services: 1) if funds will go into any University Account or if the proposed project will make use of any University facilities beyond the PI’s office or entail any commitment or expenditure of funds by the University; and 2) if there are any personnel costs aside from payments made directly to the project team, as in the case of most fellowships or consulting positions. The grant coordinator offers assistance in preparing all necessary forms, representations, certifications, assurances, budget development, and other non-technical data.
Develop and Prepare Proposal Procedure
| Provide Proposal Development Resources for Principal Investigators | Research Services maintains a series of proposal development webpages that include information on the following topics: FAQs; University Fact Sheet; Budget Development; Detailed information on Cost Sharing, Facilities & Administrative Rates, and Working With Graduate Students; Scholarly Communications & Data Management Resources; Research Checklist; and Pre-Award forms. |
| Review the Guidelines and begin compliance process | Research Services requests the web address and/or copy of the funding opportunity in order to establish a proposal development timeline after initial contact from investigator. Additionally, sends the pre-proposal letter depending on the investigator’s response to export related questions (this form may get forwarded to the Vice Provost for Research or Associate University Counsel for review and further communication with investigators). |
| Update proposal in Cloud Express system | Research Services updates various forms in Cloud Express in preparation for final proposal application |
| Verify Research Integrity training in Cloud Express system | Research Services checks mandatory training i.e., FCOI, RCR status in Cloud Express; informs investigator of any outstanding requirements |
| Prepare or Reviews Developing Budget and Justification | The grant coordinator, in collaboration with the PI, reviews sponsor requirements for allowable costs to the budget; identifies budget restrictions (e.g. minimum/maximum), tuition and fee requirements for student involvement, cost sharing, dates of performance, graduate assistantships and F&A limits/restrictions then prepares and/or reviews the budget and justification ensuring all costs are allowable, allocable, reasonable and consistently treated under similar circumstances regardless of the source of funding then enters the budget in the University’s ERA system. |
| Manage subrecipient monitoring process | Research Services provides investigator with subawardee paperwork based on FDP Participating Organizations clearinghouse after investigator confirms that scope of work activity qualifies as a subaward relationship; if the entity does not qualify then the investigator is given consultant paperwork. Research Services collects the completed forms, reviews for completion and then performs a Visual Compliance check when time permits. |
| Coordinate institutional waiver and cost sharing/matching commitment process | Research Services will coordinate the process for collecting institutional review/approval of proposed institutional commitments and waivers of certain costs; Research Services ensures that the forms have been reviewed and approved by appropriate party i.e., investigator, chair, dean, administrative officer then forwards forms to appropriate official(s) for final review/approval. |
| Coordinate Institutional letters of support | Research Services will coordinate the process for proposals that require a letter of support or certification from the university President, Vice Provost for Research, Director of Research Services or Executive Director of RSF; this will involve reviewing the letter for compliance with the program announcement and other pertinent regulations then forwarding the letter to appropriate official(s) for signature. |
| Secure Editorial services | Research Services makes contact with editor to ascertain availability after investigator asks for this service; emails editor the project narrative/description, the summary, and specific aims related proposal documents. ORSSP updates editor invoice to includes investigator’s name, department then signs the invoice. The invoice in turn gets forwarded to Research Services Administrative Assistant for payment processing. |
| Package proposal using funding agency’s ERA systems | Research Services works with investigator to prepare the funding proposal application per the funder’s guidelines for proposal applications that require submission via various ERA systems such as grants.gov, eRA Commons, Electronic Handbook, etc. |
| Make copies of hard copy proposals | Research Services will package and mail hard copies per those agencies funding requests. |
Develop and Prepare Proposal Policy Resources
| Policy | Procedure |
| Business Related Food Purchases Policy – FS-AP-1303-01 | Provides guidance and clarify instances where food may be purchased for consumption by students, potential students, volunteers, participants, guests and employees not on travel status or otherwise eligible for payment of meals or other food using institutional funds in accordance with the Board of Regents USG Business Procedures Manual (BPM). Allowable food purchases referenced in this policy may be purchased and paid using one of the following methods: ● Check Request to pay the vendor providing the food or meal ● Petty Cash Reimbursement Request when the vendor is paid by an employee or student and they are requesting reimbursement ● ePro Special Request for food purchases related to instructional and research programs ● P-card if the cardholder has been preapproved to use their card for food purchases All purchase or payment requests must include the supporting documentation listed in Section III of the policy. Group events (generally student and volunteer groups) where food is purchased for the group (pizza, subs, etc.), requires that the budget manager provide the number of participants for which food was planned. Note: The Business Related Food Purchase Request Form is only required for employee group meals. |
| Charging and Distributing Facilities and Administrative Costs Policy – RSSP-409 | Facilities and Administrative Costs (F&A) or indirect costs are charged to all sponsored programs (grants and contracts) under the requirements of the U.S. Office of Management and Budget 2 CFR 200 Uniform Administrative Requirements, Cost Principles and Audit Requirements for Federal Awards, and consistent with the University’s federally-negotiated F&A Cost Rate with the Department of Health and Human Services, the University’s cognizant agency. Historically, the distribution of recovered F&A costs has followed the classification of the sponsor, providing separate distributions based upon the status of a federal or non-federal sponsored program. While unconventional, the impetus for this distribution can be traced back to the Memorandum of Understanding between Georgia Southern and the GSURSF Service Foundation, which uses similar language as that originally utilized in establishing the Georgia Tech Research Corporation within the University System of Georgia. As such, the following methods should be used in distributing recovered F&A costs under federal and non-federal programs: Recovered F&A costs are distributed between the Georgia Southern University Research and Service Foundation (GSURSF) and Georgia Southern University (GS). For federal programs, and as described by the Memorandum of Understanding between the entities, the distribution of the total recovered F&A cost under a sponsored program is “36/46th” or 78.26% to GS and “10/46th” or 21.74% to the GSURSF. For non-federal programs the distribution remains as historically provided for, and is distributed as 39.13% to GS and 60.87% to the GSURSF. Based upon these historical processes, the distributions resulting from federal and non-federal programs are distributed by GS to the academic and administrative units according to the current Standard F&A Distribution (see policy for current rates). The recovered F&A costs are calculated by multiplying the applicable F&A rate (federal, non- federal, or other stipulated rate) by the applicable rate-bearing direct costs incurred or charged to the sponsored program. Recovered F&A costs are calculated by the Office of Research Accounting on a monthly basis and dispersed to the academic and administrative units as applicable using a fund code 15 account. Fund code 15 and Fund code 20 are non-lapsing program codes and not subject to fiscal year end closing. F&A costs recovered by the GSURSF are retained as part of the Foundation’s financial portfolio and used for the sole purpose of supporting the research, funding and technology transfer activities of the University’s research enterprise. COLLEGE-SPECIFIC DISTRIBUTION OF RECOVERED F&A COSTS Academic units may, with the prior approval of the Provost, devise their own alternate distribution of F&A costs for the academic portion (Project Director/Principal Investigator, Department Chair/Unit Director, and Deans) of recovered F&A costs to incentivize external funding within their units. DISTRIBUTION OF RECOVERED F&A COSTS TO COLLABORATIVE ACADEMIC UNITS By default, recovered F&A costs for sponsored programs involving only one college and department will be distributed as described previously. In cases where one or more colleges and/or departments are collaborating under a sponsored program, recovered F&A costs attributable to any of the academic distribution categories (project director/principal investigator, department chair/unit director and deans) may be split, either equally or unequally, to align with the effort and/or resources of the collaborating units. For example, under a sponsored program involving a single college with multiple departments, the departments may wish to split the project director/principal investigator portion (20%) amongst multiple investigators and the department chair/unit director portion (15%) amongst the participating departments. In collaborations involving more than one college, the applicable college portion (15%) may also be split equally or unequally. There are two acceptable methods for aligning F&A costs under collaborative projects: New and pending proposal submissions The distribution of F&A costs amongst collaborating units should be memorialized at proposal routing/approval stage of the proposal development process, with vested parties certifying to the distribution of F&A costs prior to proposal submission. Although it is best to acquire all approvals at the proposal stage, the F&A cost distribution may be altered by mutual agreement of the vested parties any time before an award is established. Currently active projects The database utilized by the Office of Research Accounting retroactively calculates F&A revenue distributions back to the beginning of the fiscal year. Thus, any changes made to the distribution of active sponsored programs will be retroactive to July 1 of the current fiscal year. To minimize disruption to accounting functions, any realignment of F&A costs under active collaborative projects must be performed between July 1 and September 30. In such cases, all parties (investigators, chairs and deans) must approve of the revised distribution, which will only apply to recovered F&A costs collected during the current fiscal year and beyond, and not retroactively to prior fiscal years. Recovered F&A costs are distributed not more often than monthly by the Department of Research Accounting based upon the F&A cost distribution on file for each individual sponsored program. UTILIZATION OF F&A COSTS Recovered F&A costs may be used to acquire goods and services at the discretion of the recipient. Recovered F&A costs are considered restricted state funds and all costs must adhere to the policies of Georgia Southern University and the University System of Georgia. The department chair/unit director may independently impose further restrictions on the utilization of recovered F&A costs, restricting allowable costs to, for example, only research-related costs, as the chair deems appropriate. RETENTION OF F&A COSTS All F&A costs recovered under sponsored programs are retained by the University, as are any and all goods, supplies and equipment purchased with recovered F&A funds. If an investigator departs or retires from the University, funds remaining in his/her individual F&A account will be moved to the University’s General F&A account. |
| Cost Sharing on Sponsored Projects Policy – RA-2102-01 | To authorize, identify and document university cost sharing commitments. Permissible Cost Sharing Georgia Southern University requires sponsored project costs to be funded, at the maximum extent possible, by external resources. The university’s decision to authorize the use of internal resources to supplement funding of a sponsored project is based on the availability of funds and the relative importance of the project in furthering the mission of Georgia Southern University. Cost sharing may be required on a sponsored project if one of the following conditions is met: -Cost sharing is required by statute -The sponsor’s program announcement, solicitation, by-laws, or other mechanism that invites proposals requires cost sharing as a condition of funding -The sponsor explicitly cites in its charter or program description that cost sharing is expected and will be a proposal review criterion or -Specific budget line items are capped in accordance with sponsoring agency guidelines, e.g. NIH salary limitations. In general, the university does not cost share on contracts except under extraordinary circumstances. Obtaining Cost Share Commitments All committed cost sharing must be confirmed, in writing, by individuals authorized to commit university resources. Cost sharing in the form of facilities & administrative (F&A) cost waivers must be explicitly allowed by the sponsor and approved by the Vice Provost for Research. Responsibility for Cost Sharing The principal investigator is responsible for managing all cost sharing commitments specifically related to his or her sponsored project. This entails securing signatures from officials authorized to commit university resources, documenting allowable cost sharing, and ensuring all cost sharing obligations are fulfilled. Failure to fulfill cost sharing obligations may result in loss or reduction of sponsor funding and may adversely affect the university’s ability to obtain future funding from that sponsor. Cost Sharing Documentation includes, but is not limited to the following: ● Certification of effort on a sponsored project – Personnel Action forms should reflect cost shared effort on sponsored projects. The effort report is the documentation for the cost sharing after-the-fact. ● Departmental payment of cost shared expenditures – the proper cost share program code (11110, 12110, or 13110) and the matching project number will be assigned to expenditures made on behalf of the sponsored project to be used as cost share. In some cases to be determined by Research Accounting, a speedtype will be assigned to be used for expenditures related to cost share. ● Third-party cash cost sharing or program income used as cost share – income will be deposited into a designated cost share account with a designated project number established by Research Accounting. Deposits should be forwarded to Research Accounting for processing. ● Third-party in-kind cost sharing to Georgia Southern University – the third party will provide a letter stating the value of the in-kind cost sharing based on applicable cost principles. ● Waived in-state Graduate Assistant tuition – waivers of Graduate Assistant Tuition documentation will be the Student Schedule/Bill provided by the Office of Student Fees. This Student Schedule/Bill is derived from Banner data and shows the amount of tuition waived. Due to regulations requiring consistent treatment, only allowable direct costs may be used as cost share. For example, since the University does not charge the out-of-state portion of tuition to grants, it cannot be used as cost share. ● Waived F&A cost – Waived F&A costs that have been approved for use by the sponsor and the Vice Provost for Research will be tracked by Research Accounting and documented in a spreadsheet format. |
| Human Subject Incentive Payment Policy and Procedure – FS-AP-1304-01 | To define the requirements for incentive payments made to research participants in IRB approved studies or participation in other creative studies. University procedures for payment methods Cash Payments: Complete a Check Request made payable to the PI. Submit no more than 30 days prior to when the funds will be distributed. The description details the purpose of the funds and the amount requested should not be in excess of amount budgeted in project/grant award. A copy of the IRB approval letter and protocol number is attached to the Check Request for review and approval purposes. For cash payments less than $100, the PI submits a certification log that requests but does not require name or social security number (SSN) of human subjects. Signature of subject should be requested in instances where confidentiality is not required. The PI will sign and date the log verifying payments to subjects. For cash payments $100 or more, the PI submits a log of payments issued that provides subject name, with SSN OR identifying number if subject is participating in a study where the IRB has approved a waiver of a signed consent, and amount received. Signature of subject will be requested, and the PI will sign and date the log verifying payments to subjects. Any funds received but not disbursed must be returned immediately to the Cashier’s Office for deposit using a Deposit Transmittal. The deposit receipt, and completed disbursement log will be submitted to Accounts Payable at Box 8129 for permanent record. Gift Card Payments: Complete a Check Request made payable to the PI. Submit no more than 30 days prior to when the cards will be distributed. The description details the purpose of the funds and the amount requested should not exceed amount budgeted in project/grant award. A copy of the IRB approval letter and protocol number is attached to the Check Request for review and approval purposes. Once the PI receives the check payment, he/she will purchase the appropriate gift cards. For gift cards under $100, the PI submits a certification log that requests but does not require name or social security number of human subjects. Signature of subject is requested in instances where confidentiality is not required. The PI will sign and date the log verifying payments to subjects. For gift cards $100 or more, the PI submits a log of payments issued that provides subject name, with SSN OR identifying number and amount received. Signature of subject is requested in instances where confidentiality is not required. The PI will sign and date the log verifying payments to subjects. Any funds received but not used for gift card purchase must be returned immediately to the cashier’s office for deposit using a Deposit Transmittal. The deposit receipt, and completed disbursement log is submitted to Accounts Payable at Box 8129 for permanent record documentation. If there are remaining gift cards, reconciliation is required to be submitted monthly verifying the outstanding cards on hand. All cards should be distributed within 90 days, but not to exceed the end date of the award. After 90 days, the dollar amount of any undisbursed gift cards is deposited by the PI back into the project/grant award using a Deposit Transmittal submitted to the Cashier’s Office. Check Payments: Complete a Check Request made payable to the human subject. Identifying information such as social security number and complete, correct address and telephone number are required. The University is required by IRS regulations to submit 1099 forms for all human subjects paid $600 or more per calendar year. Non-Monetary Items (T-Shirts, books, etc.): For non-monetary items under $100, the PI submits a certification log that requests but does not require name or social security number of human subjects. Signature of subject is requested in instances where confidentiality is not required. The PI will sign and date the log verifying payments to subjects. For non-monetary items $100 or more, the PI submits a log of payments issued that provides subject name, with SSN OR identifying number and amount received. Signature of subject is requested in instances where confidentiality is not required. The PI will sign and date the log verifying payments to subjects. Any funds received but not used for non-monetary item purchase must be returned immediately to the cashier’s office for deposit using a Deposit Transmittal. The deposit receipt, and completed disbursement log is submitted to Accounts Payable at Box 8129 for permanent record documentation. If there are remaining non-monetary items, reconciliation is required to be submitted monthly verifying the outstanding items on hand. All items should be distributed within 90 days, but not to exceed the end date of the award. After 90 days, the dollar amount of any undisbursed items is deposited by the PI back into the project/grant award using a Deposit Transmittal submitted to the Cashier’s Office. Items for promotional use or giveaways may not be purchased under this policy and may not be accessed through state or federal funding. |
| Institutional Letters of Support Policy – RSSP-203 | Sets guidelines for Principal Investigators, Project Directors, faculty, and staff seeking a letter of support for a proposed project from the University President, Provost, or Vice Provost for Research. Individuals needing a letter of support should provide a copy of the proposed letter to the appropriate grant coordinator. As a courtesy and to ensure the availability of the signatory, Principal Investigators should allow at least a two week lead time for processing the letter. The grant coordinator will review the letter for compliance with the program announcement and other pertinent regulations. After review, the letter will be forwarded to the appropriate official(s) for signature. A template of a letter of support is available upon request. Contact the grant coordinator to obtain a copy and/or examples of a support letter. |
| Limited Submission Proposals Policy – RSSP-204 | This policy provides guidance to potential investigators when a sponsor limits the number of proposals from one source. Investigators interested in pursuing a limited submission must complete the following: -Limited Submission Coversheet –Brief nomination letter from department chair or equivalent -2-page preproposal, outlining the proposed research program -Current CV -1-page resources/facilities statement -A copy of reviews in the case of a resubmission Completed materials should be sent to the appropriate grant coordinator. Unless otherwise allowed by Research Services, all materials should be received at least 2 calendar months prior to the program’s deadline. |
| Participant Support Costs Policy – RSSP-402-05 | This policy defines participant support costs and provides guidance for their use in sponsored programs. Budgeting participant support costs Review the sponsor’s guidelines carefully to determine whether participant support costs can be included in the project budget as direct costs and whether F&A costs can be recovered. Whenever participant support costs are proposed, a detailed justification will be required, describing their purpose and how they will directly benefit the proposed project’s scope of work. Most, but not all, federal agencies do not allow participant support costs to be included as direct costs in the calculation of F&A cost recovery for a sponsored program. This is an agency-specific rule, however, and not a general rule for all participant support costs. Charging and documenting participant support costs Participant support costs are restricted to that purpose. Funds not spent on participant support cannot be rebudgeted for use in other categories except with the prior written approval of the sponsor. The sponsor may require the return of unspent participant support costs. Funds identified as participant support costs on an award will be set up in a separate account to meet the requirement that “awardee organizations must account for participant support costs separately.” |
| Proposal Budget Preparation Policy – RSSP-202 | Ensures that proposal budgets are accurate and meet university, federal, state, and sponsor policies and standards. Procedures Principal Investigators (PIs) should consult the grant coordinator early in the proposal development process to ensure an accurate budget. Many agencies provide budget forms or require specific formats. The grant coordinator will assist with the preparation of the budget and budget forms. Budget items should be determined, and cost estimates obtained. Review the budget detail information and contact the grant coordinator to discuss these costs. Budget items should follow university and sponsor guidelines regarding budget development, allowability, limits and restrictions, allowable indirect costs, budget format, and justification format. Rates most commonly needed for budget preparation are the university’s indirect cost rate, fringe benefit rate, the travel per diem rate, mileage allowance, graduate student stipend and graduate tuition rate. Contact the grant coordinator for assistance in obtaining these rates. |
| State Travel Policy | The purpose of this policy is to provide guidelines to state agencies for payment of travel expenses in an efficient, cost effective manner, and to enable state travelers to successfully execute their travel requirements at the lowest reasonable costs, resulting in the best value for the State. Teleconferencing instead of travel should be considered when possible. Each agency is charged with the responsibility for determining the necessity, available resources and justification for the need and the method of travel. The policy is based on travel industry best practices and with total cost management in mind. As such, it is important for employees to understand the intent of the Policy and work with their management on managing work related travel, accordingly. |
| Start-up Funding Request and Approval Policy – RSSP-707 | Defines the policy and procedure for requesting and awarding start-up funding to new faculty searches. Procedures -The dean will provide a list of faculty lines and anticipated new start-up needs for the follow fiscal year (for estimation purposes only) to the Provost and Vice President for Academic Affairs. -The Provost and Vice President for Academic Affairs secures start-up allocations based upon availability of funding as provided by the President. -Department head negotiates, in coordination with the dean’s office, a start-up package with potential new faculty members. Any negotiation in excess of the allocated amount for the position should involve the Provost and Vice President for Academic Affairs. -Department head submits final negotiated startup package to the Provost and Vice President for Academic Affairs, to be detailed in the letter of appointment. -The Provost’s Office will notify the Dean once an offer has been accepted. Any request by the college/department for early set up of the start-up account should be made after offer acceptance. -The Provost and Vice President for Academic Affairs will notify the Budget Office who will then establish the account to be administered by the departmental business manager and a designated budget officer within the Office of the Provost. -The Office of the Provost and Vice President for Academic Affairs will notify the faculty member, department, and college of the assigned account and chart stream. -By October 15, new faculty meet with the Office of the Provost and Vice President for Academic Affairs to finalize and adjust start-up budgets as needed. Following the allocation of searchable position, colleges will again provide a spread sheet of anticipated new start-up needs for the follow fiscal year (for estimation purposes only). -A reminder to submit summaries of efforts to acquire external funding will be issued by the Office of the Provost and Vice President for Academic Affairs to start-up recipients beginning May 1. Summaries are due to the dean and the Provost by May 15. -Recommendations for non-renewal will be communicated by June 1 following review by the Provost and dean. -Beginning May 15, the annual review of all start-up accounts will begin. Unobligated amounts that may lapse as of June 30 will be swept. |
| Student Travel Policy – FS-AP-1302-01 | Explains the circumstances under which a student may be reimbursed for travel expenses based upon state travel policy. Students may be reimbursed for travel expenditures from state funds in three types of situations: -A student who is a GS employee may be reimbursed in situations where the student is an employee of the institution (including students with a Graduate Assistantship) and have incurred travel expenses associated with their job duties. -GS students who are not employees, but have incurred travel expenses while providing a service to the institution such as presenting research papers at or attending a professional conference as a representative of the institution. -Student Activities funds may be used to reimburse travel costs incurred by a student or group of students when representing the institution or a recognized institutional student organization funded or approved by the GS Student Activities Committee. |
| Sub-Awardee Consultants Vendors Policy – RSSP-406-03 | Ensures the use of subawardees, consultants, and vendors on externally funded projects is consistent with applicable regulations and sound business practices. Pre-Award Procedures During the Proposal Development/Pre-Submission Phase: Before Georgia Southern University Research and Service Foundation, Inc. (GSURSF) submits a proposal for funding involving one or more subrecipients, the GSURSF must obtain verification from the subrecipient, as evidenced by the completion of the Subrecipient Commitment Form and related documentation that the proposed subrecipient is committed to participating in the project and is generally eligible to receive federal funds. This form also confirms the Subrecipient has the basic policies and procedures in place to manage federal funds. In addition to the Commitment Form, the subrecipient must also provide to GSURSF a statement of work, budget, and other necessary documentation, such as a copy of its federally negotiated F&A rate agreement, if applicable. These documents should inform the overall content of the funding proposal and will form the basis for the subaward agreement if the grant is awarded. During the Award Negotiation Phase: After the federal agency has issued a notice of award to Georgia Southern University Research and Service Foundation, Inc., the GSURSF is responsible for initiating subaward agreement(s) with the proposed subrecipient(s). Before sending the subaward agreement, however, GSURSF needs to conduct a risk assessment of the subrecipient’s compliance processes and eligibility to receive federal funds. This includes review of the following databases and other materials: The online System for Award Management (SAM), to confirm the subrecipient’s registration is current and that neither it nor its PIs/PDs are debarred, suspended, or otherwise ineligible to receive federal funds; (If the subrecipient expends $750,000 or more in federal funds each year,) the Federal Audit Clearinghouse’s Website, to confirm past years’ reports have been submitted and to determine whether there were any material weaknesses or deficiencies reported related to their grant program(s); the subrecipient’s most recent federal compliance audit, which must be provided to GSURSF for review prior to award in paper, e-mail, or online (Web link) format. Post-Award Procedures Initiating the Subaward Agreement: After the subrecipient agency’s materials have been reviewed, the agency has been assessed for risk, and potential concerns have been adequately addressed, GSURSF may issue the subaward agreement. For federal awards, GSURSF uses the Federal Demonstration Partnership’s (FDP’s) subaward agreement forms. The FDP forms contain all of the information—or references thereto—required by the OMB’s audit compliance supplement, including federal award identification information, general and agency/award- specific terms and conditions, standard certifications and assurances, the statement of work, and the project budget. The subaward agreement must be accepted and signed by individuals at GSURSF and at the subrecipient agency who have the authority to enter into sponsored agreements on behalf of each institution. Although the following information is contained within the terms and conditions of the subaward agreement, the subrecipient agency should be made particularly aware of the following items during the award initiation phase of the project: Records retention requirements (generally 3 years after project closeout, unless otherwise specified); Access to records by GSURSF, the federal awarding agency, and/or their authorized representatives; Due dates for financial, technical, and/or performance reports; and General format for and content of invoices. Depending on the scope and nature of the subaward, other items which may need review or address during the award initiation process include, but are not limited to: 1) confirmation of Institutional Review Board (IRB) or Institutional Animal Care and Use Committee (IACUC) approvals; 2) existence and enforcement of a Responsible Conduct of Research policy and procedure (NSF, NIH, and USDA proposals only); and/or 3) cost sharing commitments and reporting. Monitoring: Research Services (RS), Research Accounting (RA), and the Principal Investigator/Project Director are jointly responsible for regular monitoring of the subaward throughout the life of the award. The purpose of monitoring is to 1) ensure federal funds are spent in compliance with the applicable laws, regulations and provisions, and 2) ensure performance goals are met. The level of monitoring engaged in by each office should correlate directly with the risk associated with the subrecipient and the project. Large projects involving subawards of $100,000 or more and/or projects with subrecipients that have limited experience with successfully managing grants should be monitored closely throughout the life of the project. RS and RA are responsible for macro- (institutional) level monitoring processes while the Principal Investigator/Project Director is responsible for micro- (project) level monitoring. Macro-level monitoring processes are outlined in the checklists provided at the end of this document, and they should include advising the subrecipient of requirements imposed on them by federal laws, regulations, and the provisions of the subaward agreement and conducting periodic spot checks of reports to ensure the award is being carried out according to the terms and conditions of the agreement. These offices should also be aware of the subrecipient’s audit findings related to the award and review management decisions and corrective actions taken on said findings. Micro-level monitoring, conducted by the Principal Investigator/Project Director (PI/PD), involves regular (as often as daily, but no less than monthly) communication between the PI and the subrecipient organization to ensure the project is being carried out as proposed and according to schedule. Minor variations are allowable, but major variations—change of project scope, omission/addition of major activities, and/or re-budgeting between line-item categories that exceeds the federal or sponsor guideline for rebudgeting the total annual budget—should be addressed as soon as possible. If changes need to be made to the budget, reporting deadlines, and/or performance goals as indicated in the agreement, the PI/PD must notify RS/RA as soon as possible to confirm the allowability of the revisions and to issue a revised subaward agreement, if necessary. In addition to maintaining regular communications, micro-level monitoring by the PI/PD should include the following activities: • Review and approval (or request for revision/additional information) of periodic technical/performance reports; • Review and approval (or request for revision/supporting documentation) of subrecipient invoices; and • Monitor general rate of expenditures and implementation of activities—if the project appears to be significantly behind or ahead of schedule, follow up with the subrecipient to review the project requirements and progress. Finally, if the PI/PD feels overwhelmed by or has any questions regarding the subaward monitoring process, he/she should contact RS/RA at his/her earliest convenience to obtain support and assistance throughout the process. Continuation Awards: Follow the same procedures as for the initiation of the subaward, but issue an amendment to the agreement rather than a whole new agreement. Additionally, review the subrecipient’s audit from the previous year and address any concerns, weaknesses, and/or deficiencies noted in relation to the project. |
| Travel Policy Supplement Policy – FS-AP-1301-01 | The Georgia Statewide Travel Regulations apply to all institutions in the Board of Regents system and are issued by the State Accounting Office and the Office of Planning and Budget. The Statewide Travel Regulations are based on industry best practices and meet the requirements of an Internal Revenue Service accountable plan. Adherence to State Policy is required; this policy is provided as supplemental information to clarify areas of the State Policy that may be vague or unclear. Please also reference the Frequently Asked Questions for further clarification. Procedures: Complete and sign the Travel Expense Statement for reimbursement of allowable travel expenses. Forward approved form to Accounts Payable via inter-campus mail at P.O. Box 8128. |
Last updated: 6/30/2022