Grant Tool Box
Proactivity Tools
Budget Tools
SPA has One Source-friendly budget templates that incorporate account codes into the budget development process. Associating the sponsor’s budget with the OneSource account codes will reduce the number of budget errors once the project is awarded in the financial management system. We have a simple budget and a detailed budget.
UGA/UGARF have many industry sponsors (and other sponsors if applicable) who do not require a detailed budget, will not require an itemized invoice/financial report, and will fund UGA/UGARF via a fixed price or a deliverable-based schedule. In these cases, a fully burdened budget template can be used. A fully burdened budget displays each account code/budget line and has the appropriate indirect cost applied to each line, instead of showing indirect cost as a separate budget line. Please feel free to use the fully burdened budget template when developing these types of proposal budgets. For questions about the fully burdened budget template or working with industry sponsors, please contact Nick Hinson, Contract Manager in the Sponsored Projects Administration, at 706-542-3650 or nhinson@uga.edu.
More information on the use of these budget templates can be found here.
Budget Allocations in the Grants Portal: When the PI/Unit receives an indication that an award will be made, they should login to the Grants Portal and create a budget allocation for that award using the Budget Allocation tool in the Grants Portal. Making the Budget Allocation in the Grants Portal eliminates the guesswork involved in translating sponsor budget categories like “Other Direct Costs” to USG/UGA budget categories and allows for the project to be awarded quickly and for purchases to move smoothly throughout the life of the award. Check out the Budget Allocation Job Aid for more information.
If your proposal anticipates the use of UGA research facilities, it is imperative you incorporate into the proposal budget the current facility rates. Where rates are not publicly available, you should contact the relevant facility and obtain reasonable estimates. This page maintains a list of links to rate and contact information for many of those research facilities.
Cost Share Process Flow
More information on the use of these cost share process flow can be found here.
Industry Collaboration Pathways
SPA offers assistance in working with corporate sponsors. The University of Georgia has a long history of successful industry collaborations, and we offer a variety of pathways for our researchers to engage with companies at all stages of research and development. See the available options here. For questions or more information, please contact Nick Hinson, contracts manager in the Sponsored Projects Administration, at 706-542-3650 or nhinson@uga.edu.
Visit the Industry Collaboration Pathways page here.
Roles and Responsibilities
PI | Dept. Adm. | Dept. Head | Dean | SPA Pre-Award | SPA Post-Award | Compliance | |
---|---|---|---|---|---|---|---|
Review, interpret, and disseminate policies from sponsors | X | X | |||||
Review, interpret, and disseminate policies from research compliance oversight agencies (Human Subjects, Biosafety, IACUC, etc.) | X | ||||||
Serve as expert resource on knowledge of policies and act as liaison with sponsors or oversight agencies | X | X | X | ||||
Develop institutional training curricula | X | X | X | ||||
Provide training in areas of research compliance | X | X | X | ||||
Monitor effectiveness of training programs | X | X | X |
PI | Dept. Adm. | Dept. Head | Dean | SPA Pre-Award | SPA Post-Award | Compliance | |
---|---|---|---|---|---|---|---|
Advise PI on funding search tools and use | X | ||||||
Identify funding opportunities | X |
PI | Dept. Adm. | Dept. Head | Dean | SPA Pre-Award | SPA Post-Award | Compliance | |
---|---|---|---|---|---|---|---|
Provide proposal forms and application materials | X | ||||||
Prepare technical proposal and identify the need for subcontracts/subagreements | X | ||||||
Prepare proposal budget and budget justification | X | ||||||
Provide help to PI on budget preparation | X | X | |||||
Communicate changes in fringe benefit rates | X | ||||||
Request matching/cost share funds and/or identify in-kind contributions | X | ||||||
Identify Program income | X | ||||||
Approve departmental matching funds | X | ||||||
Approve Dean's matching funds | X |
PI | Dept. Adm. | Dept. Head | Dean | SPA Pre-Award | SPA Post-Award | Compliance | |
---|---|---|---|---|---|---|---|
Prepare and route Proposal Transmittal Form | X | ||||||
Help PI prepare and route Proposal Transmittal Form | X | ||||||
Review and approve proposal for scientific merit, resource utilization, etc. prior to submission to Sponsored Projects | X | X | |||||
Approve F&A split(s) | X | ||||||
Identify and approve on- and off-campus space needs for project and request modifications | X | ||||||
Review proposals for completeness and adherence to sponsor and other regulations, including Uniform Guidance | X | ||||||
Determine appropriate F&A rate | X | ||||||
Approve proposals | X | ||||||
Submit proposals electronically | X | ||||||
Submit proposals (paper versions) | X | ||||||
PI | Dept. Adm. | Dept. Head | Dean | SPA Pre-Award | SPA Post-Award | Compliance | |
---|---|---|---|---|---|---|---|
Comply with federal, state, and University policies governing sponsored programs and misconduct in research | X | ||||||
Identify conflicts of interest and provide appropriate disclosures | X | ||||||
Complete appropriate forms for all relevant compliance committees and ensure compliance in accord with protocol applications | X | ||||||
Review COI disclosures and approve management plans and ensure compliance | X | ||||||
Perform required review and approval of protocol | X | ||||||
Conduct investigations into adverse events | X | ||||||
Maintain records on protocol approvals (including continuations, amendments, and revisions) | X | ||||||
Prepare reports of expired protocols | X |
PI | Dept. Adm. | Dept. Head | Dean | SPA Pre-Award | SPA Post-Award | Compliance | |
---|---|---|---|---|---|---|---|
Negotiate and accept awards and determine project type | X | ||||||
Communicate all terms and conditions to PI/Project Director | X | ||||||
Negotiate and establish subcontracts | X | ||||||
Approve pre-award chart strings | X | ||||||
Establish pre-award chart strings | X |
PI | Dept. Adm. | Dept. Head | Dean | SPA Pre-Award | SPA Post-Award | Compliance | |
---|---|---|---|---|---|---|---|
Establish restricted award chart strings | X | ||||||
Communicate restricted award chart string details to PI and department | X |
PI | Dept. Adm. | Dept. Head | Dean | SPA Pre-Award | SPA Post-Award | Compliance | |
---|---|---|---|---|---|---|---|
Conduct sponsored project and provide oversight for all project activity | X | ||||||
Review programmatic changes to the project | X |
At the Outset | PI | Dept. Adm. | Dept. Head | Dean | SPA Pre-Award | SPA Post-Award | Compliance |
---|---|---|---|---|---|---|---|
Confirm availability of project funds | X | X | |||||
Maintain local oversight of project budget | X | X | |||||
Set up payroll on awards | X | ||||||
Hire and/or terminate project personnel | X | ||||||
Track current and pending effort commitments | X | ||||||
Ensure award expenditures comply with OMB Uniform Guidance and University and state policies | X | ||||||
Receive contractor invoice(s) | X | ||||||
Coordinate the Single audit and all other audits | X |
During Project Period | PI | Dept. Adm. | Dept. Head | Dean | SPA Pre-Award | SPA Post-Award | Compliance |
---|---|---|---|---|---|---|---|
Review and Certify Annual Payroll Reports | X | ||||||
Provide local oversight for Payroll Report certification | X | ||||||
Document cost transfer requests | X | ||||||
Request re-budgeting, carry-forward, changes in personnel, no-cost extensions, etc. to sponsor for administrative or programmatic changes | X | ||||||
Obtain sponsor approvals for re-budgeting | X | ||||||
Approve re-budgeting requests not under expanded authorities | X | ||||||
Propose resolution of award overdrafts | X | ||||||
Review and approve cost transfers and resolutions to overdrafts | X | ||||||
Receive contractor invoice(s) | X | ||||||
Approve work done by subcontractor | X | ||||||
Monitor receipt of program income | X | ||||||
Identify and evaluate issues related to program income | X | ||||||
Use monthly reports for financial monitoring and identify and resolve errors | X | X | |||||
Approve carry-forward and endorse requests to sponsor for administrative or programmatic changes initiated by PI | X |
Post-Award Accounting Actions | PI | Dept. Adm. | Dept. Head | Dean | SPA Pre-Award | SPA Post-Award | Compliance |
---|---|---|---|---|---|---|---|
Prepare and submit invoices to sponsors and letter of credit draws, manage accounts receivable | X | ||||||
Report cost sharing on projects | X | ||||||
Process payment of all invoices from subcontractors and providers | X | ||||||
Submit all interim and certify all final financial reports | X | ||||||
Coordinate the Single audit and all other audits | X | ||||||
Resolve payment problems with sponsors | X | ||||||
Subrecipient monitoring | X |
PI | Dept. Adm. | Dept. Head | Dean | SPA Pre-Award | SPA Post-Award | Compliance | |
---|---|---|---|---|---|---|---|
Provide information for or submit all interim and final technical reports in accordance with award terms and conditions | X | X | |||||
Notify PI of account termination | X | ||||||
Identify uncollectibles, inactivate or close out accounts | X | ||||||
Relinquish awards | X | ||||||
Work with departments and PIs/Program Directors when reports are delinquent | X | X | |||||
Retain the scientific data | X | ||||||
Retain Grant Document of Record | X | ||||||
Retain Financial Information | X |
PI | Dept. Adm. | Dept. Head | Dean | SPA Pre-Award | SPA Post-Award | Compliance | |
---|---|---|---|---|---|---|---|
Maintain institutional database of proposals and awards | X | X | |||||
Request Residual Balances | X | ||||||
Invention, patent, licensing, commercialization-Innovation Gateway | X |
Pre and Post Award Disclosures: Other Support
Many federal agencies require specific disclosures in the Biographical Sketch, Other Support/Current and Pending Support and Facilities, Equipment, and Other Resources. The required disclosures vary by sponsor, but may encompass all resources made available to a researcher including grants and contracts, consulting activities (paid and unpaid), participation in foreign “talent” or similar programs, financial support for laboratory personnel, to include graduate students, post-docs, and visiting researchers and scholars, high-value materials that are not freely available (e.g., gifted biologics, chemicals, etc.) and in-kind contributions, and collaborations with researchers outside of the University.
For grant and contract proposals, the University and individual investigators, may be required to confirm the Other Support information and verify the accuracy of the disclosures. An employee’s outside activities should be reported and are subject to approval under the UGA Conflicts of Interest, Conflicts of Commitment and Outside Activities. Other activities, personal interests, and foreign relationships, both with and without remuneration, need to be reported in the Grants Portal in the Significant Financial Interest Disclosure or within various Proposal Smartform questions.
Resources:
National Security Presidential Memorandum-33
National Security Presidential Memorandum-33 Implementation Guidance
FY 21 National Defense Authorization Act Sect 223
Agency Specific Guidance
Pre and Post Award Disclosure requirements may vary with different federal agencies. Although under National Security Presidential Memorandum-33, there should be a harmonization of these disclosure requirements over the next one to two years. Below you will find links to the specific guidance and links to relevant federal agency websites. Please carefully review disclosure requirements when applying for research funding from these federal agencies.
Who Must Report:
All key personnel must disclose current and pending support in grant applications related to research and research-related educational activities.
What to Report:
DOD requires full disclosure of current and pending support from domestic and non-domestic sources.
Proposers shall submit the information below for all key personnel, including individuals whose effort will not be supported by the DOD project funds:
- A list of all current projects the individual is working on, in addition to any future support the individual has applied to receive, regardless of the source.
- Title and objectives of the other research projects.
- The percentage per year to be devoted to the other projects.
- The total amount of support the individual is receiving in connection to each of the other sponsored and non-sponsored projects or will receive if other proposals are awarded.
- Name and address of the agencies and/or other parties supporting the other sponsored and non-sponsored projects.
- Period of performance for the other sponsored and non-sponsored projects.
This information shall be included in the Senior Key Person Profile form included in the Notice of Funding Opportunity (NFO) and will not be included in the overall proposal page limits. Failure to submit this information may cause the proposal to be returned without further review.
Please note: DOD proposals for other types of awards may have different requirements.
The Defense Advanced Research Projects Agency has published a DARPA-specific matrix analysis for Risk-Based Measures to Assess Potential Undue Foreign Influence, Conflicts of Interest, or Conflicts of Commitment
DARPA Countering Foreign Influence Program (CFIP) Frequently Asked Questions (FAQ)
Who Must Report:
PI and senior/key personnel, including sub-awardees, must report current and pending support and participation in foreign government-sponsored talent recruitment programs.
What to Report:
DOE requires full disclosure of current and pending support from domestic and non-domestic sources.
Unlike NSF and NIH, DOE requires research gifts, with or without terms and conditions, to be included on Current and Pending Support. DOE also requires the use of the Current and Pending Support format approved by NSF.
Please note that specific requirements for other DOE Offices may differ.
Foreign Government Talent Recruitment Programs
Department of Energy Directive O 486.1A restricts Department of Energy Employees and Contractor Employees from participation in Other Foreign Government Sponsored or Affiliated activities of a Foreign Country of Risk. Disclosures of pending and current participation is required and exemptions for participation may be granted.
Who Must Report:
PIs and Co-PIs must provide all ongoing and pending projects and proposals (regardless of salary support) in which they are performing or will perform any part of the work. Co-Investigators (Co-Is) proposing to spend 10% or more of their time to the proposed effort must provide a list of ongoing and pending projects and proposals (regardless of salary support) that require a significant share (more than 10%) of their time. Proposals do not need to include the current proposal on the list of pending proposals unless submitted to another funding opportunity (NASA or another sponsor).
What to Report:
NASA requires full disclosure of current and pending support from domestic and non-domestic sources with the following information:
- Title of funded project or proposal title
- Name of PI on award or proposal
- Program name (if appropriate) and sponsoring agency or organization, including a point of contact with their telephone number and email address
- Performance period
- Total amount received by that investigator (including indirect costs) or the amount per year if uniform (e.g., $50 k/year)
- Time commitment by the investigator for each year of the period of performance.
The proposing PI must notify the NASA Program Officer immediately of any successful proposals that are awarded for substantially the same research/scope of work as proposed to NASA, any time after the proposal due date and until the announcement of NASA’s selections.
Current and pending support is not required for Co-Is at non-U.S. institutions. Current and pending support is usually not required for students. It may be requested, depending on the specifics of the Notice of Funding Opportunity (NOFO).
Prohibition on Bilateral Activity with China
NASA also maintains restrictions on bilateral participation, collaboration, or coordination with China or any Chinese-owned company or entity. Chinese government or Chinese companies means the People’s Republic of China (PRC), any company owned by the PRC, or any company incorporated under the laws of the PRC. Chinese universities and other similar institutions are incorporated under the laws of the PRC and, therefore, the funding restrictions apply to grants and cooperative agreements that include bilateral participation, collaboration, or coordination with Chinese universities. The restriction applies to individuals, including graduate students, post-doctoral fellows, or other investigators that are affiliated with an institution of the Chinese state. The prohibition applies to an affiliation with an institution of the Chinese state, rather than the individual’s nationality.
Resources:
NASA Guidebook for Proposers Responding to a NASA Notice of Funding Opportunity
NIH Pre-award and Post-award Disclosures Table
Not sure whether a particular activity should be reported in the biosketch, other support, or annual project reports? Review the NIH Pre-award and Post-award Disclosures Relating to the Biographical Sketch and Other Support and the NIH Other Support & Foreign Components FAQs.
**The NIH Table states that “Consulting that falls outside of an individual’s appointment; separate from institution’s agreement” must be disclosed. The NIH FAQ states that “Consulting activities that involve research and fall outside of an individual’s appointment, separate from institution’s agreement, must be disclosed as Other Support.” It is recommended that individuals following the broader scope of disclosure noted in the Table.
Updated Requirements for Recipients (NOT-OD-21-073), Effective January 25, 2022:
NIH requires the following:
- Supporting documentation, which includes copies of contracts/agreements specific to senior/key-personnel foreign appointments and/or employment with a foreign institution for all foreign activities and resources that are reported in Other Support. If the contracts/agreements are not in English, recipients must provide translated copies.
- Immediate notification of undisclosed Other Support. When a recipient organization discovers that a PI, or other Senior/Key personnel, on an active NIH grant failed to disclose Other Support information outside of Just-in-Time or the RPPR, as applicable, the recipient must submit updated Other Support to the Grants Specialist named in the Notice of Award as soon as it becomes known by a Singing Official for the institution.
Additional information on Other Support can be found in the Grants Policy Statement.
https://grants.nih.gov/grants/forms/othersupport.htm
Definition of Other Support:
Other Support includes all resources made available to a researcher in support of and/or related to all their research endeavors, regardless of whether they have monetary value and regardless of whether they are based at the institution the researcher identifies for the current grant.
Who Must Report:
- All individuals designated in an application as senior/key personnel, except Program Directors, training faculty, and other individuals involved in the oversight of training grants
- Individuals categorized as Other Significant Contributors
- All senior/key personnel, excluding consultants, in progress reports when there has been a change in active other support, except Program Directors, training faculty, and other individuals involved in the oversight of training grants
What to Report:
- Resources and/or financial support from all foreign and domestic entities that are available to
the researcher. This includes but is not limited to financial support for laboratory personnel, and provision of high-value materials that are not freely available (e.g., biologics, chemical, model systems, technology, etc.). Institutional resources, such as core facilities or shared equipment that are made broadly available should not be included in Other Support but rather listed under Facilities and Other Resources.
- Consulting agreements, when the consulting activities fall outside the PI’s or other senior/key personnel’s University appointment.
- In-kind contributions, such as:
- Office/laboratory space
- Equipment
- Supplies
- Employees or students supported by an outside source
If the time commitment or dollar value of the in-kind contribution is not readily ascertainable, the recipient must provide reasonable estimates.
- Other support does not include training awards, prizes, or gifts. Gifts are resources provided
where there is no expectation of anything (e.g., time, services, specific research activities,
money, etc.) in return. An item or service given with the expectation of an associated time
commitment is not a gift and is instead an in-kind contribution and must be reported as such.
What to Include as Supporting Documentation with your Other Support Disclosure:
- Appointment letters or employment agreements with non-domestic entities.
- If you are included on grants/contracts that are received by the non-domestic entity you have an appointment with, these grants/contracts need to be provided.
- Agreements from non-domestic entities for resources such as:
- Lab space
- Access to personnel
- Equipment
- Any in-kind resources
Resources:
NIH Pre-and Post-Award Disclosures
NIH Other Support
NIH Protecting U.S. Biomedical Intellectual Innovation
Implementation of Changes to the Biographical Sketch and Other Support Format Page
NIH Upcoming changes to the Biographical Sketch and Other Support Format Page
NSF Pre-award and Post-award Disclosures Relating to the Biographical Sketch and Current and Pending Support
Not sure whether a particular activity should be reported in the biosketch, other support, or annual project reports? Review the NSF Pre-award and Post-award Disclosures Relating to the Biographical Sketch and Current and Pending Support.
Definition of Current and Pending Support:
Information must be provided about all current and pending support, including this project, for ongoing projects, and for any proposals currently under consideration from any source, irrespective of whether such support is provided through the proposing organization or is provided directly to the individual.
Who Must Report:
Individuals designated as senior personnel on the proposal.
What to Report:
All projects and activities, current or proposed, that require a time commitment from the individual must be reported, even if the support received is only in-kind (such as office/laboratory space, equipment, supplies, employees, students). The total award amount for the entire award period covered (including indirect costs) must be provided, as well as the number of person-months (or partial person-months) per year to be devoted to the project by the senior personnel involved.
- Current and pending support includes:
- All resources made available to an individual in support of and/or related to all of
his/her research efforts, regardless of whether they have monetary value.
- In-kind contributions, such as:
- Office/laboratory space
- Equipment
- Supplies
- Employees
- Students
In-kind contributions not intended for use on the project/proposal being proposed also must be reported.
Resources:
FAQs related to Current and Pending Support
NSF Chart on Pre-Award and Post-Award Disclosures Relating to the Biographical Sketch and Current and Pending Support