The Department of Sponsored Programs is a
service unit of
North Georgia College & State University
and, as such, exists
to encourage and assist the NGCSU faculty and staff in their pursuit of
external funds. The Mission Statement of the Department of Sponsored Programs
appears below and complements the Mission Statements of the Office of Academic
Affairs and North Georgia College & State University.
Mission Statement
Department of Sponsored Programs
The Department of Sponsored Programs is a
service unit of the University operating within the Office of Academic Affairs.
This department will continuously seek to provide assistance to the faculty and
staff of
North Georgia College & State University
in all phases of externally funded project development to support research and other
activities. Support includes locating funding sources, preparation of proposals,
processing and obtaining appropriate sign-off and post-award administration.
The Department of Sponsored Programs shall strive always to support and encourage
increased activity in obtaining external funding for research and program
development at
North Georgia College & State University
and to support the Mission and Goals of the Office of Academic Affairs and of
North Georgia College & State University .
The
Department of Sponsored Programs seeks to provide the necessary support to
faculty and staff interested in preparing competitive proposals for external
funding. The department facilitates administrative review and approval of all
proposals for competitive sponsored projects in research, institutional and
faculty development activities from the initial planning phase through award
and administration. Post-award activities, fiscal arrangements, and grant
implementation are the shared responsibility of the researcher or principal
investigator, the Office of Business and Finance, and the Department of
Sponsored Programs.
The Department of Sponsored Programs provides
a wide range of support and assistance to the researcher and will assist in all
activities related to proposal preparation and administration.
(a)
Sponsored Programs can assist in locating potential sponsors. NGCSU subscribes
to The Foundation Center Online Platinum, a database resource available in the
Stewart Library, the NGCSU Foundation, and the Department of Sponsored
Programs. This service provides search capabilities on a large database of
private funding sources. Other funding sources are available online from any
location.
1.) Grants.gov
is the official clearinghouse for federal funding information, applications and
announcements. Increasingly, it is also the vehicle for transmitting applications
to federal agencies.
2.) FASTLANE is an electronic service of the
National Science Foundation. Through FASTLANE you can develop your proposal,
submit your proposal for funding, track the progress of your proposal through
the NSF review process and manage the award once received. FASTLANE is a
restricted service and you must be registered to use it. To register, contact the
Department of Sponsored Programs.
(b) The Sponsored Programs
staff will assist the principal investigator (PI) in the interpretation of
policies, regulations, and guidelines applicable to particular projects. A
simple request for assistance is all that is needed to get started.
(c) The Sponsored Programs
staff will assist in obtaining proposal guidelines as well as interpreting them
upon request. Most federal program deadlines and application forms are now
available online, and the staff will happily assist you in locating materials
you need online.
(d) The Sponsored Programs
staff maintains contact with sponsoring agencies and will assist the principal
investigator (PI) in pre-proposal contacts, pre-award negotiations, and
post-award activities. Every PI is encouraged to contact program staff to
discuss their ideas prior to writing a proposal and as frequently as necessary
during the preparation of the final proposal.
(e) The Sponsored Programs
staff will assist in budget preparation prior to obtaining full approval for
the proposal submission. All budgets, along with the proposal, must be approved
by the Department of Sponsored Programs staff and receive full administration
approval in the 'sign-off' process. No proposal may leave the NGCSU campus
without full approval of the budget and a full review and approval of NGCSU
commitment in the activity. Failure to obtain such approval could result in the
refusal of NGCSU to accept an award.
(f) The Grants Manager
located in the NGCSU Business Office assists in the post-award process. The
budget prepared by the PI, often with the assistance of Sponsored Programs
staff, becomes a part of the files in the Grants Manager's office and is used
to verify all expenditures related to the award. The Accountant works closely
with the Sponsored Programs staff to insure that the award funds are properly
spent out over the course of the grant period. The Grants & Contracts
Accountant assists the PI in obtaining a NGCSU account number and will track
the Facilities and Administration recovered costs for the Sponsored Programs
Director, the Vice President for Academic Affairs, the Deans of the various
colleges and others needing this information.
(g) The Sponsored Programs
staff will assist, on a continuing basis, in program design and development,
editorial services, review of draft proposals and will provide general advice
on strategies to maximize the effectiveness of the application effort.
(h) The Sponsored Programs
staff will assist:
1).
In duplicating and printing services needed to complete the proposal for
submission.
2).
In internal sign-off procedures. The staff will advise the principal
investigator (PI) on internal review procedures and will coordinate the final
internal review and signature approval process as expeditiously as possible. Five
(5) working days are needed by Department of Sponsored Programs for full
review and sign off.
3).
In transmitting the proposal to the sponsoring agency by whatever process is
necessary to meet the application deadline. The Department of Sponsored
Programs customarily uses USPS Priority Mail with Delivery Confirmation unless
some other method is required to meet the published deadline such as guaranteed
overnight delivery.
4).
In completing periodic and final reports required by sponsoring agencies, when
such assistance is requested by the P. I.
Relationship with the NGCSU
Foundation
The Department of Sponsored Programs is the
central coordination point for proposals that involve an external grant or
contract and the University. Proposals to non-governmental sources
(corporations, foundations, etc.) which do not involve contractual obligations
may be submitted in the name of the NGCSU Foundation. The Sponsored Programs
staff will always work with the NGCSU Foundation to assure proper reporting of
all grants, contracts and gifts to the University.
Annually
the Department of Sponsored Programs prepares a list of all current and pending
grants. This information is reported to the University System of Georgia´s
Board of Regents. To maintain an accurate description of those funds which
North Georgia College & State University
is receiving from outside sponsors and those
commitments which are made by the University, it is absolutely necessary that
all grants and contracts for externally funded research activities be processed
through this office.
If the proposal actively
involves human subjects, it must be reviewed and approved by the University's
Institutional Review Board (IRB). IRB approval is required by the
Code of Federal Regulations, 45 CFR 46.
Faculty members contemplating sponsored
research, or projects, involving human subjects should inform the Department of
Sponsored Programs and the IRB Administrator as soon as possible. This notice
should be presented early enough to provide time for the Board to examine the
research protocol(s) and to make recommendations regarding methodology or
project structure. Strict compliance with the Code of Federal Regulations 45
CFR 46, which governs the protection of human subjects, is an absolute
necessity for any research project conducted at
North Georgia College & State University
.
No research involving human research subjects
should be conducted, by faculty or students, without prior review of the North
Georgia College & State University Institutional Review Board.
Note:
Compliance with 45 CFR 46 and the requirements of is the North Georgia College
& State University Policy is the responsibility of the Project Director.
The NGCSU Human Research Subjects Policy and IRB requirements may be accessed
at the following web address:
http://www.ngcsu.edu/Resource/irb/index.shtml
The Intellectual Property
policy has been reviewed and accepted by the Faculty Senate. It has also been
favorably reviewed, with minor revisions, by the legal office in the
Chancellor's office of the Board of Regents. The policy is available online at
http://www.ngcsu.edu/VPAA/Fcltybk/chapter5.htm#5.28.
It is the responsibility of
every member of the faculty to understand the rights and responsibilities
contained in this document as it relates to their professional activities.
Faculty
members considering research or projects in which a patent or copyright might
be appropriate for materials produced are urged to consult the Director of Sponsored
Programs and become cognizant of all official policies before making
application including copyright, patent applications.
Proposals involving the use of animals follow
published guidelines:
Reptiles
and Amphibians - American Society of Ichthyologists and Herpetologists (ASIH)
PROPOSAL PROCEDURES AND DEVELOPMENT
The procedures below are a
guide for proposal writers. The steps outlined are in sequential order and take
a writer from the start of the project-idea, through the application process,
to a completed proposal.
(a) Obtain preliminary
informal approval of your project from your department head and dean or
director. Begin a blue GRANT PROPOSAL FACT SHEET AND SIGN-OFF FORM, available
in the Department of Sponsored Programs.
(b) Discuss your proposal
idea with staff in the Department of Sponsored Programs. A search for possible
funding sources can begin if you do not have a source in mind.
(c) Obtain the appropriate
guidelines, application forms, and other required data for your project via
on-line services or from the Department of Sponsored Programs.
(d) Set your timeline
working back from the deadline. Keep in mind the deadline for reception of
your proposal at the sponsoring agency and the processing time within the
University (5 working days) for appropriate sign-off and approval. Plan
your work to accommodate the time necessary to complete the total proposal
process.
(e)
Write a draft of the proposal, carefully following the guidelines of the
Request for Proposal (RFP). Have a colleague review and comment. The staff in
the Department of Sponsored Programs is available for suggestions and draft
reading.
(f)
Begin work on the budget. Be sure to work with the staff in the Department of
Sponsored Programs particularly if this is your first proposal.
(g)
Submit a rough draft of the proposal and budget to Sponsored Programs for
review. A blue Grant Proposal Fact Sheet and Sign-off Form used to obtain
administrative approval of your proposal should have been initiated earlier. As
principal investigator, you should ask your department head to sign approval of
your project at this point.
(h)
Submit your final proposal with budget, the blue Grant Proposal Fact
Sheet and Sign-Off Form, and the program guidelines to the Department of
Sponsored Programs. Your blue form should have the signatures of your
department head(s) at this point. The full proposal with blue sign-off form
attached will be reviewed by Sponsored Programs and then distributed for
administrative approval and sign-off. At a minimum, the Department of
Sponsored Programs staff should receive the budget and a detailed abstract of
the project which can be used to obtain signature approval of the Vice
President for Academic Affairs, the Vice President for Business and Finance,
and the President. Allow 5 working days for the signoff/approval and
mailing process.
The process requires approval by the Vice
President for Academic Affairs for all aspects of the activity, particularly as
it affects faculty assignments, release time and replacements. The Vice
President for Business and Finance must review the budget for approval. If the
budget is in accord with University policy, and all other parts of the proposal
are acceptable to the University, your proposal will be approved.
Once these approvals have been obtained, the
President is given the proposal for final review and approval. It is a courtesy
to allow at least one full working day for the President to review and remember
to allow a minimum of five (5) working days for the total sign-off/approval
process.
Sponsored Programs staff will make a final
copy for submission to the agency, prepare multiple copies, mail packets, etc.
as needed.
Sign-off Procedures
Sign-off is that process by which all aspects
of the proposal can be reviewed and approved by the designated University
administrators. The sequence of sign-off and approval is as follows:
1.)
Department Head - (if more than one department is involved, each department
head must sign and approve the proposal)
2.) Occasionally, based on
the activity and the requirements of the funding agency, other departments and
units of the institution may be asked to review and sign-off as well.
3.) Vice-President for
Academic Affairs
4.) Vice-President for
Business and Finance
5.) President
6.) When signed/approved by
all of the above the proposal returns to the Sponsored Programs department for
final processing, copying, etc. for mailing, by the published deadline, to the
indicated agency.
P.I. Responsibility
The PI is responsible for obtaining the
signatures from department head(s).
Sponsored Programs Responsibility
Once department head(s) have signed the blue
form, the sign-off form and the proposal can be given to Sponsored Programs. Department
of Sponsored Programs staff will then arrange for the balance of the
administrative review and approval. All signatures, as required by NGCSU,
the Board of Regents, the University System of Georgia,
and the sponsoring agency, must be obtained before a proposal can leave the NGCSU
campus.
Note: Failure to obtain review and
approval may result in refusal to accept the award by
North Georgia College & State University
.
Should your proposal not be approved for any
reason, the administrator declining to sign the Sign-Off Form will inform the
Director of Sponsored Programs. The Director will contact the proposal
writer(s) and attempt to resolve the problem. If necessary the proposal will be
pulled and the PI(s) will be asked to re-consider the project.
Note: All proposals require review by the Vice President for Academic
Affairs and the Vice President for Business and Finance, and the review and
signature of the President, even in those few instances in which the sponsoring
agencies may not require it.
Application for financial
support from sponsoring agencies is accomplished by the submission of a formal
grant proposal, which has passed through the internal review process. The
proposal is the document on which the University and the sponsor base their
commitments of funds, facilities, and services for the performance of the research
or project.
The written proposal may be the only contact
that the funding agency's evaluation committee has with the project. It is
essential that the proposal be technically sound and clearly written. The
proposal must address the requirements listed in the guidelines or request
for proposal (RFP) and describe the project in the clearest possible terms.
Funding agencies review and evaluate proposals with reference to four major
considerations:
(a) The significant results
to be obtained from the research project,
(b) The resources required to
conduct the project in terms of existing and projected commitments of the
agency and the University,
(c) The cost effectiveness
and efficiency of the project, and
(d) The competency of the
investigator to undertake the proposed research.
Other criteria may also exist
as set by various organizations and the PI is expected to carefully review the
guidelines to determine that his/her proposal meets all funding criteria. The Sponsored
Programs office will, if given sufficient time, review the proposal prior to
submission to ascertain its completeness.
Most sponsors furnish standard application
forms, which must be used, (If requested, staff in the Department of
Sponsored Programs will obtain these forms for you.) In the absence of
specified forms and proposal formats, use the sample format which follows.
During preliminary planning, the PI should consult with Sponsored Programs
staff to obtain all guidelines and forms. The sample format (following) covers
all the major elements identified by most grants administrators as essential to
a sound proposal.
SAMPLE FORMAT Title Page
This page should include the following
information:
(a) short title that gives a
clear indication of the essential nature of the project,
(b) name and address of the
agency to which the proposal is being submitted,
(c) name, title, address, and
telephone number of the PI,
(d) name and address of the
University,
(e) date of project duration
(the starting date being set no later than the date when the first formal
commitment for equipment or personnel must be made),
(f) total estimated cost of
the project,
(g) signature of the PI,
and
(h) signature and title of
the University President, who is the sole authority for approving and
accepting grants at
North Georgia College & State University
.
Abstract
The abstract should be written in simple
straightforward language. All pertinent aspects of the sponsored activity,
including a summary of the objectives and a description of the results to be
expected, should be contained in the abstract. Most abstracts for grant
purposes run fewer than 350 words and are limited to one double-spaced typed
page or less.
Table of Contents
A separate page showing the major sections of
the proposal, with referenced page numbers, is sufficient in most instances. Your
proposal should be numbered sequentially and every page should be numbered.
This protects you if your proposal gets 'messed up' somewhere along the way.
Introduction
The introduction should be a statement
containing information about the region, the University, your college and your
department, the objectives of the research and background information leading
into the body of the proposal.
Project Description
This section includes at least the following
elements:
(a) a statement of the
problem and objectives,
(b) a review of the
literature and related research, in terms of need for the project,
(c) hypotheses to be tested
or results expected,
(d) research design,
methodology, and evaluation, and
(e) benefit of effort
(increase in knowledge, new curriculum, etc.).
Remember: The descriptions may vary considerably in design, in
view of the specific intentions of the proposal or the procedures and
traditions of a particular discipline.
Facilities
List such items as laboratory equipment and
apparatus, laboratory space, field resources, library services, data processing
capabilities, and other institutional services. Include an explanation of any
equipment you propose to buy with grant funds. Include any University
facilities to be utilized in conjunction with the proposed project. If
appropriate, discuss handicapped access.
Personnel
Vitae and bibliographic information on the PI
and other professionals are necessary in this section. Your vita should be SHORT.
This means usually no more than two to three pages. Always put only what is
relevant for the particular project you are working on at the moment and leave
out everything else! Many agencies are getting very demanding about size of
vitae.
Describe the number and academic level of any
graduate and undergraduate assistants, as well as secretarial and clerical
personnel who will work on the project. Frequently a short description will be
appropriate here with full vitae included only for key personnel in the
Appendix.
Project Period
Describe the entire length of the project,
from anticipated date of award through the final reporting period. Often the
entire length of the project extends beyond the period for which initial funds
are requested. Time lines, PERT charts or other means of identifying the
activity schedule are valuable in this section.
Budget
The budget must be a carefully considered,
accurate cost statement, which is second in importance only to the central project
idea. To assure conformity with University and sponsoring agency policies, the
budget should be reviewed by Sponsored Programs staff prior to finalizing the
proposal. Be sure your budget numbers add up!
Budget Explanation (Budget Narrative)
Often the budget page is accompanied by
additional pages (the budget narrative) explaining the distribution of salaries
and wages, nature of fringe benefits, prices of equipment, categories of travel
expenditures, major supply items, and computation of indirect costs. The Department
of Sponsored Programs will provide assistance in development and format for the
budget and budget narrative if requested. Never make your reader guess about
how you arrived at a particular amount.
It is the responsibility of the PI to know
the deadlines for submission of the proposal and to allow adequate time for the
institutional review process and for proposal preparation, printing, and
mailing.
Five working days are required for the review process. In most cases,
this time is sufficient for approval of a final draft, plus printing the
required number of copies, packaging and mailing. Every effort will be made to
expedite the local review process and help the PI obtain the necessary local
approvals. Time to review is essential to the completion of a competitive
proposal. Sponsored Programs staff will do everything possible to get proposals
approved and meet submission deadlines.
Sponsors usually outline the
criteria used to evaluate proposals sent to them. An applicant has a better
probability of receiving an award when the agency's purposes and funding
criteria are considered in the preparation of a proposal. In most cases, the
prospective sponsor considers:
(a) Significance. The project should focus on problems of major
importance. The anticipated outcome of the project should produce results of
potential value to others. There should be a clear prospect of accomplishing
the proposed project. The PI should be concerned with the development of new
knowledge applicable to the problem or one which can be defined as a test of
previous assumptions or conclusions.
(b) Design or Operational
Plan. The problem should be well defined. The purpose and value of the
project, its plan of development, method of approach, expected outcome, and
need for implementation should be clear. The proposal should reflect a
familiarity with the historical background of the problem, an awareness of
similar projects that have been previously undertaken, and an adequate
knowledge of other related activities. Questions to be answered and hypotheses
to be tested should be well formulated and clearly stated. The proposal should
fully outline the procedure to be followed and include information on
applicable points such as sampling techniques, controls, types of data to be
gathered, and statistical analyses to be completed. Evaluation procedures
should be clearly stated and related to each stated activity goal.
(c) Personnel and
Facilities. The role of all professional personnel involved in the project
should be clearly stated. The applicant should have facilities available which
are adequate for carrying out the project. The PI should have a history of
professional experience in the project area or a clearly demonstrated
competence for conducting work in that area.
(d) Economic Efficiency.
The proposal should be reasonable in terms of overall costs. Emphasis should be
given to the favorable relationship between probable results and total
expenditures. The period of time required for efficient production should be
clearly stated and a general timetable provided. Any parallel requests for
support from other agencies for the same project should be indicated. Many
agencies require matching funds. The ratio of requested or matching (in-kind)
contributions must be addressed in the budget and budget narrative.
It is the policy of
North Georgia College & State University
to ask each applicant to request a critique of all
proposals not accepted for funding. These reviews provide valuable information
for investigators and for Sponsored Programs staff to utilize in subsequent
proposals which the University may submit to the same agency. Critiques are
kept with non-funded proposals and are invaluable for future proposal
preparation. In addition to a sponsor's lack of funds for project support, the
most common reasons for proposal rejections are:
(a) guidelines were not
followed,
(b) the project did not
respond directly to the sponsor's priorities or mission,
(c) the research plan and
objectives were not clear,
(d) the proposal contained
poor methodology or research design,
(e) the applicant displayed a
lack of knowledge or the proposal duplicated previous work,
(f) the applicant's
qualifications and experience were not sufficient or appropriate to the planned
activity,
(g) the budget request was
unreasonable in terms of the projected outcomes or proposed timetable,
and
(h) the project could not
reasonably be completed in the time proposed.
Rejection need not be the end
for a good idea -- it should be viewed as just a stop in the road, a new place
to begin. Once you receive all the reviewer's comments, you can take the next
step:
(a) rewrite the proposal and
re-submit for the next competition
(b) find a new agency to
submit the proposal to
(c) consider new ways of
presentation; a joint proposal with another researcher, working through a
consortium, or some other cooperative method.
Fiscal Responsibilities
The budget of a grant proposal is second in
importance only to the description of the principal ideas of the project. While
budget preparation requires special consideration to comply with the various
policies of the University and the funding agency, the budget statement is a
straightforward discussion of how you plan to spend grant funds. The Sponsored
Programs staff can play a valuable role in this phase of your proposal
preparation by offering suggestions and coordinating your efforts with the
Grant and Contracts Accountant in the Office of Business and Finance.
If
the funding agency provides a specific budget form, it must be used. In
most cases, special forms will be included by the agency as part of the
application package. It is always useful to prepare a detailed budget breakdown
for your proposal even though the special budget page is all that is required
for your application to the agency. This breakdown, or line item budget, will
help you calculate the financial support required for the various components of
your project; personnel time and costs for the project staff, travel,
equipment, etc. as well as any allowable facilities and administrative
(indirect) costs. A line item budget also allows for an easier internal review
by the University administrators. A line item budget is also invaluable in
determining the actual extent of any University commitment (matching or cost
sharing on a cash or in-kind basis) included in the proposal.
(a) Review the rules and
regulations for the budget, as provided in the agency's guidelines. Ask for
help from the Sponsored Programs staff if you need it.
(b) Calculate the amount of
time that you and other professionals involved in the project will have to
contribute.
(c) Calculate the time
required for assistants and secretarial or clerical help, consultants,
honoraria, travel, lodging, and subsistence.
(d) Estimate costs for equipment,
($3,000 or more for State, $5,000 or more for Federal), supplies, printing,
duplication, media services, staff services, postage, telephone, data
processing time, etc. Determine what items can be supplied on-campus and what
will have to be purchased from off-campus vendors. Get accurate quotes on all
items. Sometimes it may be necessary to obtain multiple quotes on high cost
equipment.
(e) Contact the Personnel
Office (Sponsored Programs can assist, too) to determine appropriate salary and
wage statements for project staff, fringe benefits (when applicable), and
procedures for hiring staff, if funded. Currently (effective July 1, 2005) the
fringe benefit percentage in use at NGCSU is 25% (approximation).
(f) Calculate the indirect
costs (44%) for the project period for facilities and administrative costs not
covered in a direct cost line item. Take 44% of the Personnel and Fringe
Benefit line items. Indirect costs are considered general revenue for the
university and, in essence, reimburse the institution for the expense of having
the project on campus, and are added to the direct cost of the project to give
a total project cost.
(g) Sponsored Programs staff
will assist you with the preparation of the final copy of the budget, including
all appropriate forms to be included in the proposal application. Most of these
forms are accessible online and many can be completed online as well.
(h) The final budget is
included with the narrative portion of the application and processed through
institutional review.
Budgets are composed of two
primary categories; direct costs and facilities and administrative costs
(indirect). Direct costs include all items that can be categorically identified
and charged directly to the specific project. Most sponsors allow direct costs
funding for the following categories:
(a) Personnel Calculate the percent of
time spent on the project for each individual and prorate the salary for the
proposed implementation period of the grant. All personnel decisions should
be cleared with your department head and dean prior to final budget
preparation.
1.)
Principal investigator or project director. Cost is based on salary of the
selected individual for the percentage of time devoted to the activity.
2.)
Other on-campus professionals: This includes faculty replacement costs through
use of part-time instructors. Cost is calculated on the cost of the replacement
faculty, or other professionals, based on the time (days, months, number of
classes to teach, etc.). To obtain an accurate dollar cost check with your
Department Head or the Personnel Office for current pay range.
3.)
Undergraduate students also may be employed through funded projects as student
assistants. A Student Assistant is not a College Work Study Student.
Students on the College Work-Study Program (CWSP) may not be paid from a
second source of federal funds. Although the PI is responsible for the
selection and hiring of all such assistants, appointment forms must be
processed through the usual University channels. Pay scale should conform to
that current within the University for student workers. Student Assistants are
paid the current minimum wage.
4.)
Technicians, statisticians, and other professionals can be employed under
sponsored projects. All University personnel regulations, as well as the
regulations of the funding agency, must be adhered to regarding advertising the
position(s), interviewing and hiring.
North Georgia College & State University
is an equal opportunity employer and does not discriminate regarding race, sex or
disability.
5.)
Secretarial and all other clerical help necessary for the performance of the
funded project must be hired in strict compliance with all University and
funding agency regulations (see technicians, etc. above). Many Federal agencies
now consider clerical support as included in the Facilities and Administrative
(Indirect) Costs factor and will not pay for these as a line item charge. Be
sure to check the guidelines carefully and if in doubt contact the agency to
clarify this point.
6.)
Personnel Hired under a Grant: Personnel hired under the auspices of a funded
project are classified as temporary, soft money personnel.
(a)
PIs should recognize that such personnel in this category receive appropriate
salary, duties, responsibilities, and benefits comparable to those for
individuals in similar positions elsewhere in the University. The PI should
consult with the Personnel Office on the NGCSU campus concerning current or
projected salaries for these positions.
(b)
All personnel hired under a specific award/grant must be informed by the PI
that their employment period coincides with the award period, and that the
University cannot assure continued employment beyond the period for which grant
funds are available.
(b) Fringe Benefits
Fringe benefits accompanying salaries paid by the grant must also be charged to
the grant. Consultants are not eligible to receive fringe benefits. The
Personnel Office or the Department of Sponsored Programs can provide details of
fringe benefits for salaried personnel. The current fringe benefit calculation
is based on a 25% of 'fringable' salaries and wages for 12 month and 9
month salaried personnel. Always check with the personnel office or the Sponsored
Programs office to be sure these rates have not changed.
(c) Consultants
Outside consultants may be paid through grant funds.
North Georgia College & State University
does not have set fees and hourly rates for
consultants; individual agreements are based on the nature of the consultation.
However, all honoraria, consultants' fees, travel expenses, subsistence, and
related expenses must conform to established University policy for
reimbursement.
(d) Subcontractors If
subcontracts are essential to the successful completion of a sponsored program,
a contract shall be drawn between the University and the sub-contractor. Contact
the Sponsored Programs Department staff to set up any contract. There are
University requirements as well as state and federal regulations that may come
into play with any contract.
(e) Travel All travel
paid from grant funds must conform to University travel policies as stated in
the Faculty Handbook. The University reimburses for expenses incurred in making
approved trips, according to the following procedure:
1.)
Expenses must be itemized in detail on the weekly travel expense statement.
2.)
Receipts for hotel bills must be attached to the request for reimbursement.
3.)
Travel by private automobile is currently reimbursed on a per mile basis ($ .28
per mile). In addition, the reverse side of the weekly travel expense statement
must be completed in detail regarding places visited and the actual mileage.
Rental cars should be arranged at 'least cost' fees and may be, in some
instances, preferable to personal auto use. The University encourages the use
of a rental car whenever there is a cost saving possible.
4.)
Transportation by commercial transport (air, rail, and bus) will be by minimum
fare service. Ticket stubs must be submitted as evidence of this expenditure.
5.)
Receipts for meals are not required for reimbursement but should be obtained to
verify actual expenditures. Meals are reimbursable at the current rate of $36
per day (see Appendix E for current rate), including tax and tips.
6.)
Receipts for Taxi fares, and other such out-of-pocket expenses, must be
presented for reimbursement.
Note:
This statement of travel considerations is intended solely as a guideline for
the grant proposal writer. It should not be construed as complete or
authoritative. Always consult Office of Business and Finance or Sponsored
Programs staffs for details of current travel policy should you have any
questions.
(f) Equipment Equipment may
be purchased or rented, according to the policies of the grantor under the
program guidelines. The equipment budget should reflect the price of freight,
installation costs, and maintenance contracts, as appropriate.
(g) Supplies and Materials
Supplies and consumable materials should be itemized on the budget explanation
(narrative) page.
(h) Other Direct Costs
These costs are items that can be identified and related to the project and not
included in the Facilities and Administrative (Indirect) costs calculations:
1.)
Communications - costs of telephone, electronic communications.
2.)
Computer time - Consult the Office of Information & Instructional Technology
for current rates.
3.)
Publication charges, graphics and printing, duplication, media services, final
report costs, etc. (University regulations apply as do program guidelines).
4.)
Miscellaneous costs such as postage, telephone, FAX, and any other items
necessary to successful project operation that can be reasonably identified as
a line item.
The University's calculated
indirect cost rate is 44% of salaries and wages only. This rate was negotiated
with the Department of Health and Human Services, the cognizant agency for the
institution.
The Facilities and
Administrative costs are those that have been incurred for common or joint
objectives of the University and the sponsored program and which, therefore,
cannot be identified specifically in reference to a particular project.
Facilities and Administrative costs include items such as building operation
and maintenance, laboratory space, library services, utilities, and
administrative services. Indirect costs related to the conduct of a sponsored
program are just as real as the direct costs and ultimately must be provided
for either by the sponsor or by the University.
All externally funded projects and research
will provide for indirect cost recovery unless prohibited by law or state or
federal regulations. An indirect cost rate based on an audit by a department of
the federal government is assigned to the University at selected intervals.
Since this rate is subject to change, the PI should contact the Department of Sponsored
Programs for the current indirect cost percentage.
North Georgia College & State University
has a policy of requesting and recovering the total allowable
indirect costs for all sponsored programs, unless prohibited by a specific
program's guidelines. Exceptions may be made in some instances and should be
discussed with the Director of Sponsored Programs. Decisions on Facilities and
Administrative costs are made on a case by case basis.
When
a rate lower than the one established for the University (44%) is accepted the
difference between the two rates would be shown, if permitted by the funding
agency, as a contribution by the University.
Federal research grants
generally serve the objectives of both the institution and the federal
government. Therefore, cost sharing is frequently required in many sponsored
programs and may be accomplished through:
(a) Limitation of the
proportion of indirect costs payable by the sponsoring agency,
(b) Continued payment by the
University of part or all of the salary of faculty members or professional
personnel participating in the sponsored program,
(c) In-kind matching of
University expenses such as the use of buildings, computer time not charged as
direct costs, secretarial and clerical help, and administrative services in
support of a sponsored program, and
(d) Payment by the
institution of a portion of selected direct costs, such as equipment.
Many agencies require
matching funds as a form of cost sharing. To the greatest extent possible, the
requirement for matching funds will be met by a statement of in-kind services.
Any questions regarding commitment of NGCSU resources should be discussed with Sponsored
Programs staff. The amount of the University's cost share is subject to federal
audit and records of such cost sharing will be maintained by the NGCSU Grants
Manager in the NGCSU Business Office.
It is the responsibility of
the principal investigator to make arrangements with the Department Head and
the Dean for any reassignment of workload required by the proposed research.
The reassigned workload must be clearly described, including the dollar value,
on the blue sign-off form prior to submission. Final approval of any release
time or reassignment rests with the Vice President for Academic Affairs.
Reassigned
workload may be in the form of time donated by the University on a cost-sharing
basis or that which is paid for by the granting agency. The amount of required
release time varies with the nature of different proposals.
The Department of Sponsored
Programs serves as the University's coordination point for all negotiations
with funding agencies. It is the intention of the Director of Sponsored
Programs to coordinate University-grantor relations during pre-award and
post-award negotiations in such a manner as to facilitate the award process and
present a uniform University position during the negotiation process.
Frequently a PI will be contacted FIRST to negotiate his/her award. The PI is
encouraged to work with the Sponsored Programs staff to develop the best
response in the negotiation process.
Normally, budget negotiations require simple
verification of salary, fringe benefits, indirect costs, reductions/changes in
some line items, or clarification of the University's cost sharing or matching
funds commitments.
Whenever a budget change occurs in the
pre-award negotiations, the PI must prepare a new budget reflecting all changes
and reroute the revised budget for local review (from Department Head to
President). Once approved by the University, the revised budget will be
submitted, in writing, to the funding agency. The PI must always have full
institutional review and approval before a revised budget is submitted to a
funding agency. Any negotiated/revised budget must be rerouted through
University review channels for sign-off and approval before the budget can be
sent to the agency.
If the funding agency requires a budget
reduction, the principal investigator must also be concerned with the scope of
the work. Reductions in the budget may create changes in the scope of the work.
To maintain credibility with the funding agency, the PI should consider a work
reduction commensurate with any substantial budget reduction. Discussion with Sponsored
Programs staff can help determine how to respond to such agency requests.
Often
personal and professional relationships develop between individual faculty
members and agency staff personnel. The Director of Sponsored Programs encourages
the development and maintenance of good contacts and informal discussions with
the granting agency personnel. Such informal discussions, however, should never
be construed as either agency or University commitments. Written notification
of all awards, negotiation activities and acceptances, even when prior word is
received through other means, is necessary. No University account will be
set up without full and formal notification of the award. This is a matter
of University policy and any questions regarding this policy should be
discussed with the Director of Sponsored Programs and the Grants Manager.
Post-Award Procedures
Post-award administration is
the term used for all grants management activities after an award is received.
This includes the initial authority to spend the grant money through the fiscal
closeout and final reports at the end of the grant period. The post-award
section of this manual contains information on obtaining authority necessary to
establish accounts, expend funds, and manage and document expenditures. The
responsibilities of the principal investigator are described in some detail in
this section, as are the services of the Sponsored Programs staff.
In the preparation of this handbook,
attention was given to the general requirements of federal grants. There has
been no attempt to cover all of the specific regulations for all federal and
non-federal agencies and their various programs. With the advent of Web
access to documents such as OMB´s A-21 or EDGAR are available to any PI through
the use of the Internet. A working knowledge of these documents will assist the
PI in managing his/her award properly.
The principal investigator is responsible for strict adherence to the
regulations governing any externally funded program. For this reason, it is imperative that every PI make
an effort to gain as complete knowledge of federal and University regulations
concerning expenditures of grant money as possible. Any questions should be
directed to the Grants and Contracts Accountant (fiscal matters) and/or the Sponsored
Programs staff.
The President of the
University formally accepts all sponsored projects funds/awards. Normally, award
notices from federal agencies are directed to the President, with a copy to the
principal investigator. In some instances, the notice may go only to one or the
other. However, the President of the University is always the individual
authorized to accept the award by signing the appropriate forms just as the
President was the authorized signature allowing submission of the proposal.
When a grant award notification is received,
the PI should examine the document for possible administrative errors or omissions.
The PI should send a copy of the award letter to the Department of Sponsored
Programs as soon after receiving it as possible. This award letter is the key
to starting the process of obtaining a NGCSU account, without which no funds
can be spent by the PI.
At all steps in the process of acceptance,
account set-up and reporting, the Sponsored Programs Office staff will assist
the PI as needed. Any questions about any part of the procedure may be directed
to the office staff for clarification or assistance. The Grants Manager will
assist the PI s in account management and maintains up to date fiscal records
of all awards.
The Department of Sponsored
Programs, upon receipt of the award notification, will notify the Grants Manager
of the award. The Accountant will obtain an account number, set up the file,
and arrange with the PI for a formal request for the money, following the
grantor's specified procedures or the initial payment by the sponsoring agency.
The
PI must have a NGCSU-assigned account number before committing any of the grant
funds. Regardless of the funding source of any grant, all expenditures must
comply with the guidelines of the sponsor and with those existing for the
University, the Board of Regents, and relevant state policies. Any
anticipated variances with established policy must be discussed with the Grants
Manager in detail and must be approved by the Director of Sponsored Programs,
the Vice President for Academic Affairs and the Vice President for Business and
Finance.
The PI should maintain a
close working relationship with the Grants Manager throughout the project. In
this manner the PI and the Accountant can monitor and manage the award money in
an appropriate fashion.
Fiscal reports and requests to draw down
funds are processed by the Grants Manager, not the Principal
Investigator. This means that all expenditures, including equipment purchase
requests, must be routed through this office for budget review and compliance
with all purchase regulations prior to actual purchase. Expenditures
for equipment over $3,000 must be approved first by the Director of
Sponsored Programs who will verify that such expenditures are appropriate to
the grant.
The
Grants Manager prepares monthly statements for the PI, final statements of the
account and calls to the PI's attention any unexpended funds, whenever
possible.
It is the PI's responsibility
to maintain oversight of the account and to contact the Grants Manager and/or
the Sponsored Programs staff about any questions or discrepancies regarding the
account. Acceptance of a sponsored program award by the University commits the
University and the PI to conduct the program in a professional manner and in
accordance with the policies of the funding agency. It is the responsibility of
the PI to ensure that the research effort or program is commensurate with the
expectations of the grantor and with the highest ideals of professional
inquiry. Although the PI is responsible to the funding agency for conducting a
particular project, the normal supervisory relationship between the University
and the PI is not altered. The ultimate accountability for any sponsored
project rests with the University.
The PI should remember that the support of
the various administrative units of the University is available during the
conduct of the sponsored activity. Bypassing these units (Department Head,
Dean, Sponsored Programs, Vice President for Business and Finance, and Vice
President for Academic Affairs) could result in problems or difficulties with
acceptance of a grant award.
Throughout
the entire implementation of the project, the Principal Investigator must take
care to document all activities to ensure proper reporting of all activities
and expenditures as required by the sponsor.
(a) Do not incur fiscal
obligations under new or renewed projects until authority to expend has been
received and an appropriate account number has been assigned.
(b) Seek budget negotiation
coordination from Sponsored Programs staff.
(c) Read the award
guidelines and budget carefully to ensure proper management of the award.
(d) Do not purchase equipment
during the last three months of a federal grant. The auditor may disallow the
cost of the equipment purchased near the end of a grant.
(e) Under ordinary
circumstances, PIs should not order supplies during the last month of a grant.
(f) Verify all charges on the
grant with the Grants Manager before such financial commitments are made.
Common budget items and recurring expenses, such as salaries, may be verified
when the account is established.
(g) Process all budgetary
adjustments through the Grants Manager to avoid audit disallowances.
(h) Monitor the grant
expenses and encumbrances monthly as a check on the remaining funds. Access to
online accounts will be provided for your use in tracking expenditures and fund
balances. Accounts are now viewable online and can be checked easily and at
your discretion.
(i) Do not make expenditures
on a terminated grant account while awaiting assignment of a new account number
for a renewal grant.
(j) Do not incur obligations
if you have any doubts as to their allowability. Always check with the agency
contact for your award and the Grants Manager or the Sponsored Programs staff.
(k) Submit required periodic
and final reports on time. Fiscal reports are provided through the Grants
Manager for inclusion in reports. Always check with the Grants Manager
regarding expenditures and to obtain the current fiscal report prior to
completing any activity reports.
(l) The Office of the Vice
President for Business and Finance has the fiscal responsibility of ensuring
that your award is administered in accordance with the regulations of the
funding agency and the University. Questions regarding the correctness of
planned expenditures should always be cleared through this office. Your first
point of contact for any fiscal questions should be the Grants Manager.
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