Quick Guide of Processes
|Award Amendments||N/A||Many times during the life of an award changes are needed these changes can include but are not limited to the following:
-Changes in PI
-Change in Co-PI
-Change in Institution
-Change in Scope of Work
-Modification of Subrecipient
In any of these cases it is important that you immediately notify ORSP of these changes. Loss of funding may result if these matters are not contractually negotiated and may put the PI and University at risk. All award amendments must be processed through ORSP.
|Closeout||N/A||90 days prior to expiration of the award period PI should notify ORSP if NCE is needed. If so, see award amendments section. 30 days prior to expiration of the award, PI must notify ORSP of all personnel who need to be transferred off the award and make appropriate arrangements with HR. PI and ORSP must resolve all outstanding vendor accounts. PI and ORSP must meet to verify final fund balance is correct. Within 90 of award close, PI must submit final technical report to Sponsor (cc - ORSP) and ORSP will work with PI to submit Final Financial report.|
|Computer Purchases||Include in budget to sponsor||If grant has authorized computer purchase you must purchase it through the University book store. First complete a purchase request form (here), If necessary, ORSP will create a book store account for PI. If computer will be used to support more than one project, cost must be divided proportionally among funds. When computer arrives, PI must ensure equipment has been tagged by ORSP and Complete Inventory Control Form.|
|Copy Charges||See Recharges section.|
|Cost-Sharing or Matching||Include in budget to sponsor||This is the portion of a project or program costs not borne by the Federal Government. If an award requires cost sharing PIs are required to track and report all forms of cost sharing to the Federal Government. Cost-sharing contributions include cash and third part in-kind, unrecovered indirect costs, volunteer services, donated supplies/equipment. To report cost sharing complete the Cost Share form (here) and submit to ORSP.
ORSP strongly discourages voluntary cost-sharing. Voluntary cost-sharing is often used by PIs to strengthen their proposals however; this is NOT recommended. In the event an award is made and voluntary cost-sharing is included, the cost-sharing amount becomes mandatory cost-sharing and PIs will be required to report this. Some sponsor's will reject proposals in which voluntary cost-sharing is included.
|Cost Transfers||N/A||Expense transfers need to be well documented in order to ensure they satisfy the cost allowability of the award being charged. Allowability means:
The expense must be allowed under the terms and conditions of the award,
The expense must benefit the award charged,
The expense must be reasonable (pass the prudent person test),
The expense must be consistent with university policy and
The expense must be transferred within a timely manner (within 120 days).
Proper justification for the transfers must be provided upon requesting a transfer. To initiate an expense transfer contact Tian Yu. Be prepared to provide all relevant information to justify reason of transfer. Most common reasons include (clerical error, key entry error, redistribution of costs, etc.).
|Duplicating Costs||Include in budget to sponsor||See Recharges section.|
|Equipment Purchases ($5000 +)||Include in budget to sponsor||Contact Procurement Department|
|Equipment Transfer||N/A||To transfer equipment to another institution contact ORSP Director.|
|Financial Reports||N/A||Sponsor Required:
For agencies in which financial reporting is required please work with ORSP to submit as these reports may vary according to sponsor. In order to ensure accuracy in your reports PIs should work closely with ORSP staff. Federal agencies may require online financial reporting through their designated portals or may require use of FFR SF-425. These forms require approval from ORSP prior to submission.
PeopleSoft Monthly Reports:
Financial Reports are an important tool for PIs to manage their research endeavors and can be obtained through our PeopleSoft Financial Management System. PI's and their assistants are strongly encouraged to obtain personal access via their own personal accounts by clicking (here). ORSP will also provide these reports on a monthly basis via e-mail. If you would prefer to receive these reports via hard copy please contact ORSP directly.
|Gift Cards||Include in budget to sponsor||Gift Cards are not allowed to be purchased using Federal funds due to allowability issues. Prior approval (Purchase Request) is needed along with flyer or announcement of when the gift cards will be given out. The Recipient Gift Acknowledgement Form (here) will need to be filled out and signed by each individual person who receives a gift card. In some cases, sponsor approval will be required.|
|Hiring Personnel||Include in budget to sponsor||Contact Danielle Ortuno.|
|Honorarium||Include in budget to sponsor||May be paid for lecturers, speaking engagements, panel participation, manuscript review, workshops and seminars if pre-approved by the sponsor. A Purchase Request is needed for pre-approval attached with the invitation letter/commitment letter.|
|IACUC||See "Human and Animal Subjects" sections on ORSP website||Contact Anne Wing|
|Independent Contractors & Consultant Agreement||Include in budget to sponsor||Determine if Vendor has been debarred. Check on EPLS.gov or SAM.gov
Regardless of value, services are initiated through submission of a Purchase Request Form (here) from the PI and the PI will work with the IC to compete the following forms: Request for Contractor Quotation, Contractor Budget, Sole Source Justification.
The completed forms are sent to ORSP who reviews the purchase for allowability and approval of funds. Additional information may be requested after review of the request. ORSP will work with the procurement department to finalize agreement.
Because service purchases typically take longer to process, PIs are advised to allow four weeks from the date the Purchase Request is received to process the request.
|IRB||See "Human and Animal Subjects" sections on ORSP website||Contact Anne Win|
|No Cost Extension||N/A||See Award Amendments|
|Overload (additional employment over 100%; 125% max)||Include in budget to sponsor||Complete Faculty Appointment Form. This form must be signed by both the faculty member and his/her Dean, certifying the release of the faculty member to the grant and the current faculty overload if any. The FAF must be received by ORSP by the 25th of the preceding month (e.g. January 25th). The Department/College will also update the faculty member’s PeopleSoft record to reflect the new time base if required.|
|P-Card (Purchasing Items Under $2,500)||Contact ORSP|
|Progress Reports||N/A||PI are responsible for the day-to-day operations of their grants and are required to submit these reports on time. Reports are usually submitted annually however some awarding agencies may require quarterly or semi-annual reports. Performance reports will not be required more frequently than quarterly. Annual reports shall be due 90 days after the grant year, quarterly or semi-annual reports shall be due 30 days after the reporting period. The final performance report will b due 90 days after the expiration or termination of grant award. In some cases, an additional extension may be permitted however such an extension must be approved by the sponsor.
Please note: Failure to submit these reports on time could resort in funding delays.
|Proposal Submission||See "Funding Information" section on ORSP website.||N/A|
|Recharges||Recharges are ongoing and repetitive goods and services that benefit the PI and their projects. The university must recover these cost by charging the expense to the appropriate PI and their fund. PIs should be aware that recharge expenses will be directly billed agaist their grants (when applicable) and PIs must approve all recharges prior to ORSP providing approval.|
|Release Time||Include in budget to sponsor||Complete Faculty Release Time Form. This form must be signed by both the faculty member and his/her Dean, certifying the release of the faculty member to the grant and the current faculty overload if any. The FRTF must be received by ORSP by the 25th of the preceding month (e.g. January 25th). The Department/College will also update the faculty member’s PeopleSoft record to reflect the new time base if required.|
|Scholarship Payments||Include in budget to sponsor||EDUCATIONAL – PI will identify the students to be paid the scholarship/stipend, verifying all grant requirement related to eligibility and allowability have been met. These funds are first applied directly to any tuition or other costs associated with the students CSUEB account balance.
Submit these forms to ORSP for approval.
-Pre-approval Purchase Request Form
-Scholarship Disbursement Form
-Scholarship Recipient List
-A signed contract for each person receiving a stipend.
Completed forms will be forwarded to Financial Aid office for further processing. Please allow 2-3 weeks. Note: Students who currently receive financial aid will have their financial aid adjusted in accordance with federal guidelines regulating the maximum disbursement of Financial Aid. Contact Financial aid office for additional information.
|Stipend Payments||Include in budget to sponsor||NON-EDUCATIONAL – Stipends may be awarded to individuals for services when it is difficult or impractical to determine the exact level of effort required to complete the service. (Example: Paying a mentor for his/her time advising students.).
Submit these forms to ORSP for approval.
-Pre-Approval Purchase Request Form
-Vendor Data Record Form (for each person who is receiving a stipend)
-Stipend Disbursement Form
-Contract/Agreement (signed contract for each person receiving a stipend)
-Check Request Form (for each person receiving a stipend)
Note: Students who do not fulfill the requirements that are outlined for stipend or scholarship payments may be required to pay back the monies given to them. It is the responsibility of the PI to monitor that all grant specific requirements are met. If it is determined that student(s) must pay back monies contact ORSP directly. For stipends that are not reported by the University, it is the participants responsibility to work with their tax person to assure that they are reporting their income in accordance with the IRS rules and regulations.
|Subcontract||Include in budget to sponsor;
Obtain the following documents from subrecipient(s):
-Completed and Signed Subrecipient Commitment Form
-Biographical Sketch/CV (sponsor format )
-Letter of Support
|Determine if Subrecipient is debarred: EPLS.gov or SAM.gov
These are awards made to legal subrecipient(s) entity to which the subrecipient is accountable to CSUEB for the use of the funds provided. To establish subaward PI's are required to complete and submit the following documents for each subrecipient:
1. Subaward Request Form
2. Purchase Request Form
3. Scope of Work
5. Budget Justification
6. Biographical Sketch
In addition to the above, the subrecipient may need to complete a vendor request form if they are not listed as a vendor in our system.
The completed subaward request form plus supporting documents must be forwarded to ORSP. On average it takes 4 to 6 weeks to review and establish an agreement. PIs are advised to notify subrecipient to not begin work until the agreement has been signed by both institutions. Award are made on a yearly basis and will require to year to year renewals. Prior to project period ending PI should contact ORSP to update and renew sub-agreements.
Once the agreement has been established, *PI's must submit a Purchase Request Form (here) and submit the form to ORSP. ORSP will review and use this form to create a PO# and notify the subrecipient to reference the PO# on all invoices. PI's are required to review and approve all invoices received from the subrecipient on a monthly basis. Invoices that have been approved for payment must be signed and forwarded to ORSP.
|Supplies (Items < $5000)||Include in budget to sponsor||See P-Card|
|Travel||Include in budget to sponsor||PIs must complete Travel Pre-authorization form two weeks in advance. International Travel requires Presidents signature 45 days in advance.
1. Complete Travel Pre-Approval Form
2. Submit Travel Pre-Approval Form to Travel Agency (NORWALK). Travel consultants can bill hotel and rental car charges directly to PIs grant.
Note: PIs who frequently use Travel Consultants should create thier own profile with the agency. http://www.travelcons.com/784365_6410.htm
1. Completed Travel Claim form
2. Mapquest printout
3. Signed form 261 (authorization to use privately owned vehicles on state business). This form must be completed annually.
For PIs traveling more than once a month, Defensive Driving course is required (done once every 4 years): http://www20.csueastbay.edu/af/departments/risk-management/risk/driver/motor.html#defensive
Please note that reimbursements for mileage, toll, parking and other travel related expenses that occur during the travel period must follow the "Reimbursement: Travel policy." Be sure to provide a copy of prior approved invoice to avoid duplicate payments.
|Travel Reimbursements||Include in budget to sponsor||Complete Travel Pre-authorization form (here) two weeks in advance. International Travel requires Presidents signature 45 days in advance.
Along with Travel Claim Form (here) PI must provide ORSP with copies of the following:
1. Conference flyer/agenda,
2. Airline receipt,
3. Parking receipts,
4. Taxi receipts,
5. Hotel receipts,
6. Car Rental receipt,
7. Toll Receipts,
8. Web map for mileage reimbursement.
Please note, if receipts are unavailable, a copy of your credit card statement is required. No receipt necessary for per diem – no receipt). PIs are advised to submit Form + Receipts within two weeks of returning from travel. Trips in a previous fiscal year will not be reimbursed.
|Volunteering||N/A||Complete Volunteer Form (here)|