Ball State University

 

 

CONTRACTS AND GRANTS

MANUAL

 

 

 

1 -      Introduction. 3

1.1     Purpose of the CGO Manual 3

1.2     Roles and Responsibilities. 3

A.     Responsibilities of the Contracts and Grants Office. 3

B.     Responsibilities of Principal Investigators. 5

1.3     Administrative Policy Considerations. 6

A.     Institutional Review Board Action. 6

B.     Authorized Signatures. 6

C.     Ownership of Intellectual Property. 6

2 -      Types of Awards/Agreements. 7

2.1     Grants. 7

2.2     Cooperative Agreements. 7

2.3     Contracts. 7

2.4     Method of Funding/Compensation. 7

A.     Cost Reimbursement 7

B.     Fixed Price. 8

3 -      Initiating the Project Award. 8

3.1     Award Notification. 8

3.2     Acceptance of Award. 9

3.3     Assignment of Account Number 9

3.4     Account Notification Form.. 9

3.5     Meeting with Grant Specialist 9

3.6     Sponsor Payments. 10

3.7     Making Expenditures. 10

3.8     Anticipated Awards (Advance Account Requests) 10

3.9     Supplements to Awards. 10

4 -      Account Administration. 10

4.1     Sponsor-University Relationship. 10

4.2     General Administration. 11

A.     Expenditures of Funds. 11

B.     Allowable and Unallowable Costs. 11

C.     Specific Expenditure Categories. 12

D.     Rebudgeting of Funds. 14

E.     Project Extensions. 15

F.     Billing and Financial Reporting. 16

G.     Close out procedures. 16

H.     Record Retention. 16

4.3     Special Administrative Concerns. 17

A.     Cost Transfers. 17

B.     Excess Cash on Hand. 19

C.     Over-expenditures and Collections. 19

D.     Program Income. 19

4.4     Project Changes. 21

A.     Overview. 21

B.     Documenting Project Changes. 22

C.     Expanded Authorities or Waiver of Authorities. 22

D.     Project Changes Allowability Checklist 22

E.     Change of Principal Investigator or Reduction of Effort 22

F.     PI / Project transfer to new institution. 23

G.     Other Post Award Changes. 23

H.     Certain Categories of Post-Award Changes. 23

4.5     Subrecipients and Vendors. 24

A.     Distinguishing Subrecipients/Subcontractors from Vendors. 24

B.     Subrecipients (Subcontractors, Subawards) 25

C.     Vendors. 27

4.6     Project Reporting. 28

A.     Overview. 28

B.     Technical Reports. 28

C.     Report of Inventions. 28

D.     Final Inventory of Equipment 29

E.     Interim and Final Financial Reports. 29

5 -      Effort Reporting. 29

5.1     Policy/Procedures. 29

5.2     Importance of Effort Reporting. 29

5.3     Effort Reporting and Cost-share. 30

5.4     Effort Reporting Rules. 30

5.5     Ball State University’s Effort Reporting Procedures. 30

A.