APPENDIX NO. 4
THINGS YOU MUST BE AWARE OF or WATCH OUT FOR
Don't assume matching
money or services are there - speak with each responsible official (Dean, Dept. Chair, service center
Director). Make sure they understand your needs and what you
expect from them. Make sure you understand and can accommodate any requirements
of the service center. If you have problems contact the Office of Grants and
Sponsored Research.
Don't make any commitments
of money, facilities, equipment, personnel, etc. without written approval from
the person (Dean, Director, etc.) with responsibility for whatever you are
committing.
Be certain that you have
discussed all salary and time requests with your Dean and/or Department Chair
and received their approval well in advance of the deadline for proposal submission. Your Dean's signature on the
proposal processing form (OGSR-1) indicates their approval.
Don't conduct final
negotiations with grantor. If you are called by the granting
agency tell them you need to set up a conference call and ask when would be
the best time for this. Then notify the Office of Grants and Sponsored Research.
Don't sign anything on behalf of the college or university. Grantors may
want you to sign as the Principal
Investigator or Project Director. The Office of Grants and
Sponsored Research will obtain the necessary University or University signatures.
All official paperwork, including revisions which may be required as a
condition of the grant MUST go through the Office of Grants and Sponsored
Research. Doing it yourself can result in a delay
of the acceptance of the award and the availability of funds.
Be sure any direct correspondence you have with the sponsoring agency either
comes through OGSR or is clearly marked DRAFT.
There are many regulations
regarding expenditure of funds, especially for
salaries, honoraria, etc. that must be followed. The Office of Grants and
Sponsored Research will assist with the budget development to ensure that
these regulations are followed.
POST-AWARD
RESPONSIBILITIES:
As Principal Investigator
/ Project Director you have many responsibilities.
Different offices around the campus are here to help you
meet these. Don't be afraid to ask questions. We would
all rather spend one hour with you early in the process
to ensure that you know how to do things correctly than to spend ten
hours later on trying to undo or redo something that was improperly done.
YOUR SALARY: You must notify the Office of Grants and Sponsored
Research and your Dean (or Department Chair) of the pay
period(s) and amount of salary - this needs to be done EIGHT WEEKS
in advance of the actual pay date. OGSR or the Human Resources Office can
provide the necessary forms.
OTHER FACULTY / STAFF
SALARIES: The PI is responsible for notifying OGSR of the individuals,
amounts and periods of pay for all other faculty and staff receiving
pay from a grant or contract. Coordination with Deans and
Department Chairs is essential when pay from grants may conflict with
other obligations such as summer teaching. Again an EIGHT WEEK lead
time is required to ensure that these payments come on time.
STUDENT SALARIES /
STIPENDS: These must be coordinated through the University's Financial Aid
Office. Student workers should be paid using the established pay scale for
student workers. Rates that differ from the standards must be approved
in advance. - See the Student Employment packet prepared by the
Financial Aid Office.
CONSULTANTS and HONORARIA:
There is probably more confusion about pay to consultants and honoraria than in
any other area. This is because payment of consultants is subject to many state
and institutional regulations, in some cases the
wording of the proposal is crucial if you want to utilize certain individuals.
Usually it is better to refer to such work as "Professional Services"
and not use the word "Consultant" at all. Individuals who are to
serve as consultants or speakers who will receive honoraria should be named in
the proposal along with the dates of service and amounts they are to be paid.
In all cases ADVANCE APPROVAL is required for the inclusion of consultants in
any grant or contract. There may be limits on maximum amount of compensation or
on the length of service allowable. Contact the Human Resources Office or the
Office of Grants and Sponsored Research for more information. Fringe benefits
MUST be paid on all payments to state employees and taxes withheld from all
checks unless the individual has a Federal Employers Identity Number (EIN).
Staff in OGSR, the Business Office and the Human Resources Office will assist
you. When preparing the paperwork, a simple rule of thumb to
follow is if a fee is involved, a purchase requisition is completed; and a DP
(from payroll office) for an honoraria.
TRAVEL: A travel
authorization must be submitted for all travel (including
consultants') at least 2 weeks prior to travel.
Reimbursement for travel will be made according to institutional, state
and the grantor's policies. There are additional restrictions on
international travel. Check with the Office of Grants and Sponsored Research.
PURCHASES OF SUPPLIES,
EQUIPMENT AND SERVICES: Standard procurement and
purchasing procedures must be followed. A purchase requisition should be
submitted for all requests. Submission of the requisition DOES NOT MEAN that your purchase has been approved. Don't try and
spend funds prior to the issuance of the actual Purchase Order.
Appropriate bidding procedures must be used when required. See Procurement website for details: http://www.coastal.edu/procurement/facstaff/faqs.html#bids. It is often
possible to avoid bidding by specifying the brand and model of an
instrument in the proposal budget. The Office of Grants and Sponsored
Research will assist you in developing your budget.
OWNERSHIP of equipment
purchased with grant funds: Ownership of all equipment purchased with
grants funds is vested in
SUB-CONTRACTS:
Work to be performed by sub-contractors
(generally other colleges and agencies, NOT businesses
which provide services for fee) must be itemized,
cost-justified and subject to the same cost accounting standards as
the rest of the grant. Services provided on a fee basis are normally
considered "Other Direct Costs." (Purchasing will need copy of
grant section which outlines who will receive a sub-contract.)
REBUDGETING,
PERSONNEL CHANGES, NO-COST EXTENSIONS: Any of these
changes that can happen after the grant award must receive prior approval
from the granting agency and from the University. You must contact OGSR for
assistance in filling out the OGSR-4 form, available at "Forms" on the CCU main website..
REPORTING: The University
will provide all fiscal reporting to the granting agency. Most grantors
require a written project report which is the responsibility of the PI to
complete and turn in. OGSR can assist you.
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