Speedtype Assignment Rules
New Speedtype Assignment Rules:
|ZA - Z9||Federal Grants||Y1 - Y9||Private Grants|
|Y + HSC#||Clinical Trials|
|Codes||Type of Federal Grants||Codes||Type of Private Grants|
|Z8||Other Federal Agencies||Y5||PCORI|
|Z9||Federal Flow-thru/Billing||Y6||Research Institute|
|ZA||R01, R03, R21,R00, K's||Y8||Other Private Sponsors|
|ZP||P01, P20, P30, U54||Y9||Billing/Invoicing|
|ZT||T32, F31, F32|
Third digit of the speedtype represents the first initial of PI's last name.
(e.g. ZAP00010 Dr. Paul's NIH R01)
General guidelines on research spending:
1. The recipients may take the following actions without prior approval of the Grant Management Officer (GMO):
a) Incur pre-award costs up to 90 days prior to the award.
b) Initiate an on-time extension of the expiration date of the award of up to 12 months.
c) Carry over unobligated grant funds up to the lesser of 25% or $250,000 of the amount awarded for that budget period. If the unobligated balance is in excess of 25% or $250,000, the grantee must obtain prior approval from the GMO.
d) Administrative personnel, office supplies may be allowable if approved by the funding agency.
2. Significant rebudgeting of project costs (the less of 25% or $250,000) would require prior approval. Check with GMO on any rebudgeting request.
Z2 - National Science Foundation
Written prior approval from the NSF Grants and Agreements Officer is required for:
1. Preaward Costs in Excess of 90 days
2. Salaries of Administrative or Clerical Staff
3. Rearrangements/Alterations aggregating $25,000 or over
4. Adjustments to cost sharing commitments reflected on Line M of the NSF award budget.
5. Written prior approval from the cognizant NSF Program Officer is required for reallocation of funds provided for participant support costs.
Z3 - Department of Defense
* IRB/IACUC - Principal Investigators (PIs) and applicant organizations may not commence performance of research involving human subjects, human anatomical substances, and/or human data or laboratory animals or expend funding on such effort, until and unless applicable regulatory documents are reviewed, and approved by the U.S. Army Medical Research and Materiel Command (USAMRMC) to ensure that Department of Defense (DoD) regulations are met.
- Cost of preparing applications - Not allowable
- NIH Salary cap does not apply
- Costs to attend one or more scientific/technical meetings per year: Costs should not exceed the amount specified in the Program Announcement/Funding Opportunity.
- Costs for travel associated with the execution of the proposed work (if applicable): Reasonable costs for travel
- Prior approval is required for foreign travel unless identified in the proposal or incorporated as part of the award.
- Costs to attend required meetings (if applicable): These travel costs are in addition to those allowed for annual.
- Prior approval is required for equipment purchase unless otherwise identified in the budget incorporated as a part of the award.
- Prior approval is required for the transfer of funds budgeted for indirect costs to absorb increases in direct costs, or vice versa; transfer of funds between budget categories when the cumulative amount of such transfers exceeds 25% of the total approved budget for the budget period.
- Recipients are encouraged to purchase only American-made equipment and products.
- Revised budgets should be submitted in the same format as the original budget submission.
- On an exceptional basis, NASA permits acquisition of special purpose and general purpose equipment specifically required for use exclusively for research activities.
ZA - NIH Research Grants (R01, R03, R21)
Uniform Guidance -Cost Principals for Federal Awards
- Office supplies, membership, local phone and postages would normally be treated as F&A costs.
- Grantee institution is allowed to grant a one-time no-cost extension up to 12 month. A second no cost extension requires agency's approval.
- Carryover shall automatically be rolled over to the next budget period.
- RI approval is required for rebudgeting funds to equipment (costs $5,000 or more per item) or travel category that was not included in the original budget proposal.
- Short-term, travel visa costs are generally allowable expenses if these costs are necessary for the conduct of the project and consistent with the institutional policy.
- Costs of promotional items and memorabilia, including models, gifts and souvenirs are not allowable.
- Meals and refreshments are not allowable charges unless these are part of the conference costs. (A conference is defined as a meeting, retreat, seminar, symposium, workshop or event whose primary purpose is the dissemination of technical information beyond the non-Federal entity and is necessary and reasonable for successful performance under the Federal award.)
- H-1B visa fees are allowable if they are part of the recruiting costs. Visa renewal fee is not allowable. Expedite processing fees are not allowable until they become part of "standard processing fees".
- Written prior approval is required if any of the individual(s) named on the NoA withdraws from the project entirely, is absent from the project during any continuous period of 3 months or more, or reduces time devoted to the project by 25% or more from the level that was approved at the time of award.
- Carryover from one budget period to the next requires GMS approval.
- Rebudgeting approval is required from RI for equipment purchase (costs $5,000 or more) or travel that was not listed in the original budget proposal.
- Administrative personnel, office supplies, computer may be allowable on the Administrative Core.
- Fellow/Trainee's compensation should be processed through stipends unless the fellow/trainee also works on other sponsored projects.
- Fringes (except health insurance) are not allowable and should be charged to the department fund or R&D account.
- Funds budgeted for stipends, tuition and fees should not be reallocated to other budget categories unless approval is received from the funding agency.
- Annual financial reporting is required on T32 grant. Stipends and tuition for the reminder of trainee's appointment period can be encumbered under unliquidated obligations line.
|CATEGORY OF EXPENSES||ALLOWABLE / UNALLOWABLE|
|Advertising to recruit personne||No|
|Alterations and Renovations||Only if essential, prior AHA approval is required|
|Co-PI Salary/Fringes||May be requested, prior AHA approval required and within specified limits|
|Computers||Yes, prior AHA approval required for over $5,000|
|Consultative Services||May be requested|
|Equipment||Yes, prior AHA approval required for over 25% of annual Project support|
|Expenses in Obtaining a VISA||No|
|Indirect Costs/Overhead||Up to 10% of total annual expenditures|
|Membership Dues||Yes, ONLY for AHA membership dues.|
|Other Personnel Salary/Fringes||Yes, personnel with doctorate degrees must be approved by AHA|
|Patient Care, Hospitalization, Diagnostic||No|
|Patient Transportation||May be requested|
|Payment of Human Subjects||May be requested|
|PI Salary/Fringes||Yes, within specified limits|
|Postage - Overnight Mail related to Project||Yes|
|Publication Costs and Reprints||Yes|
|Receptions and Meals||No|
|Scientific Meetings Abroad||No|
|Telephone - Long Distance related to Project||Yes|
|Travel - Domestic||Yes, up to $3,000 per year|
|Travel - Foreign||May be requested, prior AHA approval required and within specified limits|
|Uniforms, Wearing Apparel||No|
Carryover Unexpended Funds
|1. Continuing Year
Between $100 - $10,000
In excess of $10,000
May be carried forward without prior approval
AHA prior approval required
|2. Extension Year
Minimum of $500 up to $10,000
In excess of $10,000
May be carried forward without prior approval
AHA prior approval required
Funds remaining at the end of extension year must be returned to AHA
A SECOND extension year is not allowed.
Y2 - American Cancer Society (ACS)
The principal investigator may make minor alterations within the approved budget except where such expenditures conflict with the policies of the Society. Major changes require written approval from the Society. A major budget change is one that is greater than $15,000/year during the grant funding period. The $15,000 threshold does not apply to the purchase of permanent equipment. The purchase of permanent equipment has a $5,000/year threshold, beyond which written approval is required by the Society.
- Personnel on the project are limited to a base salary at or below $250,000 per year; salary support for the Lead Mentor or members of the Mentor Committee is NOT allowed
- Reasonable travel costs ARE allowed for purposes specifically related to the proposed Research Project
- Publication costs and meeting-related poster printing costs ARE allowed for purposes specifically related to the proposed Research Project
- Reasonable coursework and training expenses (i.e. laboratory management course, trans-disciplinary training etc.)
- Equipment costs are limited to no more than 25% of total direct costs
- Graduate Students and Postdoctoral Fellow tuition costs are NOT allowed
- Visa costs are NOT allowed
- Professional membership dues or subscription dues are NOT allowed
- Komen will not be responsible for:
a) any expenditure made prior to the effective date or after the termination of the Grant,
b) commitments made during the Grant term but not paid within sixty (60) days following the expiration of the Grant Agreement,
c) expenditures that are not permitted as described within the RFA, or
d) any expenditure that is inconsistent with the approved Research Plan and budget or that exceeds the total amount of the Grant.
- Any unexpended balance at the end of the Grant must be remitted to Komen.
Re-budgeting of Funds
- Awards up to $450,000 total funds - Grantees, at their discretion and without a formal request, may move up to five percent (5%) of total funds across budget categories within any single year of the Grant.
- Awards larger than $450,000 - Grantees, at their discretion and without a formal request, may move up to $35,000 across budget categories within any single year of the Grant.
Carry Forward of Funds
- Grantees may carry forward up to twenty-five percent (25%) of total Grant funds from one Grant year to the next year without prior written approval from Komen.
- Upon submission of the financial report, if the amount carried forward to the next contract year is greater than twenty-five percent (25%) of the annual budget, specific written approval by Komen is required.
- Grantees with a carry forward equal to or greater than forty percent (40%) will be required to submit an interim financial report prior to approval of their next payment. The Komen Science Manager will determine the length of time the report is to cover and if an interim progress report should also be submitted.
- The recipient may incur research project expenditures up to three (3) months prior to the effective date.
- Prior approval is required for:
a) Significant changes in the scope of the research project or specific aims.
b) Significant changes in approach, methodology, or number of participants.
c) Transfer of Principal Investigator.
d) Significant new contracting or otherwise transferring the research project effort.
e) Naming of new or replacement Principal Investigator or key personnel.
f) A change in the annual percentage effort of a principal Investigator that exceeds a variance of 25% (increase or decrease) of the approved effort.
g) Budget adjustments that cause a change within any budget category that exceeds a 25% variance (increase or decrease) from the total amount approved for that category as set forth in the approved budget.
h) No budget adjustment shall cause the indirect cost rate to exceed the approved rate.
- Required Notifications:
a) Absence of a Principal Investigator or key personnel for a time period exceeding three continuous months or a change in the overall time to be spent on the research project by 25% or more of the approved effort.
b) Conflicts of interest that recipient becomes aware of during the term of and related to this contract.
- Record Retention Financial records, supporting documents, statistical records, and other records relevant to this contract and performance under it must be retained for 5 years from the
a) submission of the final progress report
b) date of the final payment
c) conclusion of any audit or litigation related to this contract.
- Equipment should not exceed 10% of the total budget
- No faculty salary is allowed, although research assistants are permitted.
- Travel is not permitted unless clearly needed to collect data.
- Should not be used to cover normal department operating expenses.