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  • GIM 7 - Sponsored Programs Subaward Policy
    of Sponsored Programs Payables Administration and Grant and Contract Accounting University Policy To ensure compliance with the prime sponsor funding regardless of the grant or contract fund source the Office of Sponsored Programs OSP prepares and administers subawards in accordance with Federal policy found in OMB Circulars A 110 A 21 and A 133 and sponsor policies found in the prime award to the University Subawards cannot be issued until the University has received and processed the prime award e g the prime funding is in a processed status and has received a budget number and the related purchase requisition subrecipient supporting documents and other information requested from the subrecipient are provided to OSP Subawards may only be issued on behalf of the University by the institutional officials with delegated signature authority within the Office of Sponsored Programs Procedures and Guidance Identification of Need and Selection of subrecipients Preparing a proposal that includes proposed subrecipients Small Business Subcontracting Plans Subaward issuance Title to equipment under a subaward Audit compliance by subawardees Subaward monitoring and payment Termination and closeout of subaward Responsibilities Office of Sponsored Programs OSP Final review of the prime proposal including making sure an authorized official has signed the subaward proposal especially to ensure the correct Facilities Administrative F A cost rate has been used in the request for funding Issuance of the subaward including negotiation of terms Execution and distribution of copies of the subaward and encumbrance ordering of funds in the payables system Coordination of the proper close out of the subcontract including final technical report final invoice and close out certification the latter where necessary Principal Investigator PI is responsible for initial proposal documentation including Presence of all subcontractor proposal materials including budget budget justification and letter of commitment Reasonableness of budget in light of

    Original URL path: http://www.washington.edu/research/osp/gim/gim7.html (2014-06-24)
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  • GIM 15 - Transfer of Expenditures Between Budgets
    Federal agencies as well State and public auditors use similar audit guidelines when reviewing nonfederal grants and contracts Since the University has a stewardship responsibility for all funds made available for research and training these cost transfer guidelines are applied consistently to all sponsored agreements Frequent or inadequately explained cost transfers raise serious questions about the propriety of the transfers themselves as well as the overall reliability of the department s cost distribution system and may result in a comprehensive audit by internal and or external auditors Departments must have procedures in place which ensure accurate accounting for costs and timely correction of errors Persons Offices Affected UW Principal Investigators and Departments Subrecipients Office of Sponsored Programs Payables Administration and Grant and Contract Accounting University Policy Cost transfers into a sponsored programs budget must be made within 90 days of when the error is discovered If however the transfer is requested more than 120 days after the transaction date an explanation for why the transfer is late must be included The 120 days is from when the transaction posted to the originating budget to when the transfer is submitted When it is necessary to correct these errors departments must provide convincing evidence that the goods and or services are properly allocable and that the budget receiving the transferred cost actually received a benefit from the goods and or services involved A single cost is not to be transferred more than once Procedures and Guidance Transfer of Goods and Services Transactions Documenting Salary Transfers Cost Transfer Compliance Consistency Between Payroll Documents and Activity Reports Late Awards Responsibilities Principal Investigator Authorizes the proposed budget for submission to the sponsor Monitors expenditures on a sponsored program Authorizes transfers when appropriate Ensures sponsored program maintains a tracking system to account for salary expenditures and

    Original URL path: http://www.washington.edu/research/osp/gim/gim15.html (2014-06-24)
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  • GIM 27 - Use of Experimental Animals: Regulations
    University s policies and procedures concerning the use of animals in research teaching and other activities are set forth in the University Handbook Vol IV Part II Chapter 3 and in the Administrative Policy Statement 12 4 The definition of animal for this purpose is any live vertebrate animal used or intended for use in research experimentation testing training or related purposes In order to assure compliance with University policies and applicable governmental regulations all proposals involving the use of animals are reviewed and approved by the University s Animal Care Committee This review must be completed before the proposal is submitted for final review by the Graduate School Office of Sponsored Programs Investigators obtain approval for their proposals involving animals through the Executive Secretary of the Committee Department of Comparative Medicine T 149 Health Sciences Center Each proposal is reviewed according to Committee procedure and approval is indicated by the appropriate official signing a concurrence on the GC 1 form Please note that a completed Project Review Form and a file copy of the grant abstract are required by the Animal Care Committee before the review can be completed and the concurrence signed Questions about the preparation or handling

    Original URL path: http://www.washington.edu/research/osp/gim/gim27.html (2014-06-24)
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  • PO, Executive Order No. 34, Grant and Contract Support of University Activities
    full time effort during the summer employment period The same policy applies to faculty on appointments greater than nine months i e 9 1 2 or ten month appointments Those periods of the appointment which are in excess of nine months shall be included in the calculation of the summer appointment entitlement outlined above G 1 A retired faculty member must submit applications for grant or contract support of research in the manner as indicated in Subsection C of this section Such applications will be reviewed in terms of criteria applicable to other requests for approval of grant or contract research 2 A retired faculty member may be reemployed under and receive compensation from a research grant or contract in accordance with Employment and Administrative Policies Chapter 115 The University Retirement Officer should be consulted to determine the possible effect of such employment upon the retired faculty member s University retirement income 2 Grants and Contracts from Non University Funds All proposals to outside agencies for support of research and research facilities University administered traineeships and fellowships institutes and special teaching programs and other University activities which are to be supported wholly or partially with non University funds shall be submitted with the Form GC 1 Request for Approval of Application for Grant or Contract through the Vice Provost for Research or his or her designee who is the person officially designated to approve sign and transmit such proposals The University will not honor any obligations expressed or implied which have not been properly authorized The usual procedures are as follows A A proposal for a grant or contract or the renewal thereof which is made by or to a department of the University or members of its staff and which involves agencies or sources outside the University is submitted for approval through the department chair Budgetary information and statements concerning the use of personnel space and facilities for the contemplated activity must accompany the proposal as specified in the Form GC 1 The chair s review relates to the substance and merit of the proposal as well as to budgetary and administrative considerations and approval by the chair constitutes an endorsement of all aspects of the proposal B The proposal is submitted by the department chair to the dean of the school or college for review and approval The dean s review should relate to the substance and merit of the proposal as well as to the budget to the salary and employment of present personnel or proposed new personnel and to any other aspect of the proposal which may affect the teaching the research and the use of space and facilities of the department and the college C Following approval and endorsement by the department chair and the dean of the school or college the proposal is transmitted to Grant and Contract Services a unit under the Vice Provost for Research for review of the proposal and determination of its conformity to the University s policies If appropriate

    Original URL path: https://www.washington.edu/admin/rules/policies/PO/EO34.html (2014-06-24)
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  • GIM 19 - Deadlines for Proposals to Outside Agencies
    though the description of the Scope of Work SOW may still be in a draft form Note however that the SOW must be far enough along to allow for the accurate identification of any potential compliance issues vis a vis export controls or the use of humans or animals in the research The SOW submitted must be the SOW affiliated with the business proposal Proposals received seven days or more in advance of the sponsor s deadline will receive a detailed review by OSP to provide greater assurance that the proposal can be submitted error free Proposals that fail to meet this deadline and requirement will be subject to substantive review to the extent reasonable given the nature of the proposal and arrival date in OSP Three 3 Business Days in Advance OSP must receive the final application in complete form and ready for submission to the sponsor i e Ready to Submit three business days prior to the sponsor deadline Ready to Submit means a full and complete application in final format that is ready for submission to the Sponsor Proposals received by 5 00 pm three 3 business days in advance of the sponsor deadline e g Monday by 5 00 pm for a sponsor deadline on Thursday that have all elements completed business and science will be reviewed by OSP staff to the extent necessary to assure the proposal is transmitted to the Sponsor for review In addition such proposals will be reviewed for accuracy completion and compliance with Sponsor University and Federal and State requirements to the extent reasonable given the nature of the proposal when the proposal was first received by OSP and when received by OSP in Ready to Submit status All proposals both paper and electronic received by OSP after 5 00 pm three 3 business days prior to the sponsor deadline will be returned to the PI and department contact and will not be submitted to the Sponsor unless a waiver to the deadline is granted by the Assistant Vice Provost for Research Any proposal submitted under such a waiver will be reviewed by OSP only to the extent necessary to assure the proposal is transmitted to the Sponsor for review Non competing Continuations Non competing continuations e g NIH progress reports received by OSP after 5 00 pm three 3 business days prior to the Sponsor deadline will be reviewed and submitted by OSP within five business days of the date the GC 1 is received in OSP and is Ready to Submit Exceptions and Waivers Waivers to the three 3 business day rule will be made only for official university closure e g inclement weather due to PI or Co PI serious illness injury or death of a key personnel or if documented notification of the funding opportunity was made less than two 2 weeks prior to the deadline Any proposal received by OSP under an approved waiver will be submitted to the sponsor however for those proposals requiring submission

    Original URL path: http://www.washington.edu/research/osp/gim/gim19.html (2014-06-24)
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  • Faculty Grants Mangement
    requirement for PIs who have attended at least one in person FGM workshop Act Register now for the in person General Workshop Begin the Online Training Workshop If you have questions email fgm uw edu or call POD at 206 543 1957 View complete FGM attendance guidelines Learn more about UW fiscal management and procedures through POD s classes or fiscal certificate POD classes are available to UW faculty and staff for a fee Explore Workshop Overview The General Workshop reviews the PI s role and responsibility for administering sponsored agreements explains established policies and procedures and provides an overview of the central support services available to the principal investigator Instructors for the in person workshop include Lynne Chronister Assistant Vice Provost for Research and subject matter experts from Research Accounting Analysis and Internal Audit The Online Training Workshop covers the grants management process from preparation of a grant proposal to fiscal report preparation through final audit Topics covered in FGM include Proposal and Award Process Grants Information Memoranda Electronic Initiatives in the Office of Sponsored Programs Faculty Effort Certification Federal Audit Focus Common Audit Findings Compliance Salaries Personnel Purchased Goods Services Costing Policy Departmental and PI Responsibilities Resources Both the in person and online workshops are updated as new compliance and audit issues arise Attendance Guidelines Initially all PIs must attend an in person General Workshop within four months of receiving written notification of the award Then at least once every four years PIs must attend another in person General Workshop or complete the Online Training Workshop This ensures that PIs remain current on grants administration processes and changes New PIs may use the online training as a resource but not to fulfill the FGM requirement New PIs can only satisfy the initial FGM requirement by attending the in

    Original URL path: http://www.washington.edu/admin/hr/pod/fgm.html (2014-06-24)
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  • GIM 7 - Termination and closeout of subaward
    the time of completion to assure that all necessary amendments or other closing actions have been achieved including receipt of audit reports and the Close Out Certification form as applicable Thirty 30 days following the end date of the subaward the subaward team sends a reminder memo to the PI and listed eGC1 departmental contacts regarding close out matters and the remaining responsibilities of the PI and staff After the

    Original URL path: http://www.washington.edu/research/osp/gim/gim7.termination-and-closeout-of-subaward.html (2014-06-24)
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  • Office of Sponsored Programs - How to Fill Out a Purchase Req. for a Subcontract in PAS
    New Budget Setup Budget Extension Research Performance Progress Report RPPR Forms Learning Learning Acronyms and Abbreviations Faculty Orientation to Research Faculty Development Series Policy Procedures Guidance Policy Procedures Guidance Export Compliance Outgoing Subcontracts Small Business Subcontracting Plan Preparation Instructions SBIR and STTR Programs NIH Designation of Multiple PIs Joint Agreements Contact OSP Contact OSP Directions to OSP Select a Topic Clinical Trials Cost Sharing Export Compliance Grants gov Applications Joint Agreements and Outgoing Subcontracts Working with Industry How to Fill Out a Purchase Req for a Subcontract in PAS Search The instructions below are specific to requesting a purchase requisition for an outgoing subcontract Step 1 Enter 1 Requisition Entry Step 2 Enter the primary budget number to be used to fund the subcontractor Note More than one 1 budget cannot be used Prime sponsor funding cannot be co mingled with other funding Step 3 Confirm auto populated fields Always select No for attachments Note The service begin and end dates must align with the prime sponsor budget period and available funding Step 4 Record the Purchase Requisition PR number when you get to this screen so that you are able to return to PAS and find this requisition in the future Step 5 OSP outgoing subcontract staff cannot complete the subcontract without an official signed work scope and budget approved by the UW PI or designee Step 6 Look up the vendor s name in PAS using Vendor Search Enter 7 in Action box Select the appropriate vendor name Note The vendor name is the same as the Subcontractor Step 7 Enter the dollar amount in the Unit Price box do not include pennies Always enter 03 62 in the Object code box If you enter another object code the requisition will not be processed by OSP Staff Note

    Original URL path: http://www.washington.edu/research/main.php?page=pasreqentry (2014-06-24)
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