The Research Office

Wilson Hall
371 Wilson Boulevard
Rochester, Michigan 48309-4486
(location map)
(248) 370-2762
(248) 370-4111
research@oakland.edu

Grant & Contract Administration

General
Allowable Direct Costs Under the Uniform Guidance (UG)

The Office of Management and Budget Uniform Guidance (UG) sets forth principles for determining costs applicable to Federal grants, contracts, and other agreements with education institutions.  The UG prescribes which costs are allowable and not allowable for recovery and of the costs considered allowable, whether the institution most appropriately should classify the costs as direct or indirect.

 

The expenses listed below are considered unallowable as direct charges to federally sponsored programs:

 
Generally unallowable as a
direct charge to sponsored account

 Account Description

  Books and periodical subscriptions
  General purpose office equipment, i.e., printers, copiers, etc.
  Office supplies
 

Always unallowable as a
charge to sponsored account

 
  Bad debts
  Losses on other sponsored agreements
  Alcoholic beverages
  Meals and entertainment
  Fines and penalties
  Donations and contributions


In order to justify classification of normally indirect charges as direct, the cost must be:

a)  budgeted as a direct cost as a clear indication of the planned need with sufficient justification (refer below to item c); and
b)  not prohibited by sponsor restriction as a direct charge; and
c)  used in quantity or circumstances beyond normal activity or in delivery of a major program.

 

All requests are subject to final approval by The Research Office.


Cost Allocation Standards

Identification of Direct and Facilities & Administrative Costs Under Sponsored Agreements

Costs attributable to sponsored agreements categorically include all:
  • salaries & wages
  • fringe benefits
  • travel
  • supplies & materials
  • equipment
  • other direct costs
  • facilities & administration

Direct costs are charged as actually incurred to implement program objectives.

Salaries & Wages:


For salary personnel, Oakland allocates charges based on the effort apportioned in accordance with the plan-confirmation methodology approved under the OMB Uniform Guidance (UG). Timecard personnel are charged as confirmed by supervisory approval of the bi-weekly timesheet.

Fringe Benefits:

Allocated based on the salary/wages directly charged. Fringe benefit rates are federally approved through the Department of Health and Human Services as the cognizant agency.

Travel Expenses:

Direct charges as actually incurred. Mileage reimbursements are based on the federal per diem rate.

Supplies & Materials:

Direct charged as actually incurred.

Equipment:

Equipment is direct charged. The capitalization threshold for equipment is $5,000 with a useful life of more than one year.

Other direct costs:

Other expenses are direct charged as actually incurred.

Facilities and Administration:

Oakland University has an approved Indirect Rate funding agreement established with the Department of Health and Human Services.

Distinguishing a Grant from a Gift

The following list is a summary of evaluative factors to be used in determining whether an award may be considered a grant or a gift.  The list is not exhaustive or a substitute for professional judgment.  The factors shaded in gray may require balanced consideration of other factors.  All gifts and grants in support of research activity must be considered organized research expenditures.  For questions regarding grant applications or management of an existing project, contact The Research Office.  Development and Alumni Relations should be contacting on issues regarding gifts.

GRANT

GIFT

Penalty may exist for non-performance of proposed research; agreement states that a technical report or other outcome is expected to fulfill obligation.

No penalty exists for non-performance. Gift may be given in support of research or other activity without expectation of specific outcome.

 

Funding is contingent upon university’s commitment to expend effort or resources in fulfillment of the specific proposal.

 

Agreement does not define a quid-pro-quo return or definitive outcome in exchange for consideration.

 

Activity involves the use of human subjects, laboratory animals, radioactive materials or biological hazards.

 

Gifts do not involve the use of materials or subjects requiring institutional approval.

 

Disposition of rights to intangible property, i.e., data, licenses, patents, copyrights, are specified in the agreement.

 

Gifts do not involve the transfer or negotiation of rights to intangible property.

 

Sponsor is a governmental entity.

 

Sponsor is an individual.

 

Period of performance is defined by the sponsor.

 

A period of performance is not defined by the sponsor. 

 

Unexpended funds are usually returned to sponsor.  Grants may allow retention of unexpended funds for a specific purpose.

 

 

Gifts are irrevocable.  The obligation to return unexpended funds after a period of time indicates a grant.

 

Sponsor is a private foundation or business entity – Entity type is not a distinguishing characteristic of a grant vs. gift.  Private foundations and businesses offer grants and gifts in support of research or other activities.

 

 

Proposed scope of work binds the researcher to a specific line of inquiry or supported activity – Defined scope of work is proposed and awarded.  If proposal is the result of a solicitation for proposals, then the award is a grant.  Unsolicited proposals should be evaluated by the preponderance of other factors enumerated on this list.

 

 

A line item budget is substantive part of proposal – A line item budget may be provided as evidence of responsible stewardship.  The existence of a line item budget is not sufficient in itself to differentiate between a grant vs. gift.  If penalty for deviations exist, the agreement should be considered a grant (performance indicator).

 

 

A financial report is expected or required by sponsor – A financial report may be provided as evidence of responsible stewardship.  This requirement is not sufficient in itself to distinguish a gift vs. grant.

 



Patent Policy and Procedures

While it is recognized that the results of university research are, in the vast majority of cases, reported to the public through various professional channels, it is possible that some investigators may conclude that best use of their findings will require patenting.

The University has no desire to constrain investigators in the disposition of their inventions except where the University has an obligation to a third party under a grant or contract agreement. In order to assure that its obligations are met in such cases, the University requires that all inventions emanating from Oakland University, regardless of the source of support, be reported in a prescribed manner in order that possible third-party proprietary interests may be identified.

When any member of the University community (e.g., faculty, staff, student), in pursuance of their University duties, makes a discovery or invention which has some promise of patent-ability, he or she should promptly report the following information in writing to the Director of Research:

  1. description of discovery;
  2. sources and amounts of external support, if any; and
  3. recommendation of inventor on the matter of patent protection.

The Director of Research has the responsibility for judging whether the investigator has any obligation to assign rights to an invention to any third party. In cases in which a third-party interest is deemed to exist, the Director may be able to provide the inventor with assistance in obtaining patent releases, but because of the University's contractual obligations, any and all negotiations with third parties must be conducted through the Office of Research and Academic Development.

If it is determined that no third party has a proprietary interest in an invention (or the third party chooses not to exercise their right), the inventor will be free to dispose of the invention as she or he wishes. Generally speaking, three options are available:

Option 1:

The inventor may place the invention in the public domain by publishing the findings. (An invention may be patented within one year after public disclosure. Oddly enough, during this time, the right to file is not limited to the inventor.)

Option 2:

The inventor may, on their own initiative, obtain patents on the invention and thereafter administer, dispose of, or license such patents in whatever manner seems to be appropriate.

Option 3:

The inventor may ask the University to apply for a patent. In this case, the University will normally turn to a non-profit patent management firm, such as Research Corporation, for advice and assistance. If a patent is obtained, the inventor is to receive 35% of the gross licensing proceeds; the University 22.5%; and the non-profit patent management firm 42.5%, with the understanding that the non-profit firm is to pay all normal expenses of evaluating, patenting, and licensing the process or invention. Any unusual and special expenses connected with litigation on the validity or scope of the patent are to be deducted from the gross proceeds before any division only if the inventor and the University give their approval prior to the incurring of such expenses. The University reserves the right not to seek a patent if the prospects for return are not favorable. In that case, the inventor may elect Option 1 or 2.

Oakland University Administrative Policy #465 governs the administration of patents.  


Statistical Software

Oakland University now has two campus-wide site licenses to support research efforts:  SAS (Academic Version 9.3) and the latest version of JMP Statistical Discovery and Data Visualization Software (from SAS).  These research software tools will be made available to all Oakland University students and faculty.   Follow the Quick Start instructions for downloading and installing the JMP software for installation on your computers.

Faculty can install SAS on their PCs or can make a request to their IT staff to provide the software on DVDs.   Another approach for faculty and students is to use SAS® OnDemand for Academics, which provides immediate online access to SAS software at no cost – with no configuration or support concerns.   However, if you choose to use SAS® OnDemand, please be sure to read and comply with the terms and conditions.

In addition to the above campus-wide availability of SAS and JMP, SPSS offers four primary licenses that are used on campus. These licenses have specific license usage restrictions that will determine the correct license type for your request.  Please refer " SPSS Frequently Asked Questions" on the UTS website for more information.

Proposal Development Assistance

Pre-Peer Review

The Chief Research Officer provides incentives for the pre-peer review of certain federal grant proposals to be submitted by OU investigators. Reviewers receive a stipend for a timely review based on the criteria established by the funding agency. This incentive program includes financial rewards for both the reviewer and the investigator if the proposal is successful (i.e. funded). The PI must allow sufficient time for the review, and should plan their timetable accordingly.

Any OU investigator who is planning to submit a grant proposal to a federal sponsor (e.g. NIH, NSF, DoD) can apply for the pre-peer review program.  The total direct costs for all years of the grant must be at least $200,000. Please direct your request to Dr. David Stone, at dstone@oakland.edu.

Research Development Officers

Research Development Officers bring a set of strategic, proactive, catalytic, and capacity-building skills, designed to facilitate individual faculty members and teams of researchers in attracting extramural research funding, creating relationships, and developing and implementing strategies that increase institutional competitiveness. Please direct your request to Dr. David Stone, at dstone@oakland.edu

ANNOUNCING ARMS - Advanced Research Methodology Services

The Research Office is launching Advanced Research Methodology Services (ARMS), which aims to help faculty improve the quality of the research design and data analysis sections of their grant proposals. The ARMS team will assist with research and analysis upon receipt of funding. We are in the process of building an ARMS team, and are seeking faculty to serve as methodological consultants in areas of their expertise. Contact ARMS Coordinator Dennis Condron to join the team, or to access ARMS for assistance with your own proposal.
Word documents with more information can be downloaded with the links below:

  • ARMS Recruitment (for faculty who would like to be part of the ARMS team)
  • ARMS Summary (for faculty who would like assistance with their grant proposal)
Pre-Award
Contact Information

Grant & Contract Support:
Andrea Buford, Director of Sponsored Programs - abuford@oakland.edu (248) 370-3789
Bonnie Kwit, Grant & Contract Officer – kwit@oakland.edu  (248) 370-4116
Ying Zhang, Grant & Contract Officer – yingzhang@oakland.edu   (248) 370-4110 
Adeline Gonzales, Grant & Contract Officer – gonzales@oakland.edu   (248) 370-2753

Post-Award
Overview of Post-Award Administration

Post-award consists of processes that occur between award inception and award close-out. During this period, Research Office staff, the Principal Investigator, and departmental administrators must continually monitor the award fund to ensure the project is running smoothly.

Some of the most often utilized post-award activities include:

Expenditure Approval
Expenditures charged to a sponsored project are reviewed and approved by the Research Office to confirm that the expense is consistent with the terms and conditions of the award and to identify that sufficient documentation and justification is provided.

An expense is allowable on a sponsored project if it meets the following criteria:

  • Reasonable – a prudent person would have purchased this same item and paid same price; an arms-length arrangement.
  • Allocable – expense is allocated to a project in proportion to the benefits derived to the program objectives; the investigator is the responsible person who determines the proportional charge to the project.
  • Consistently Treated – like expenses are treated the same by the institution given same circumstances.
  • Allowable – all three above criteria met and the expense is permitted as a direct cost per the terms and conditions of the award.

Expenditures on Federal agreements are subject to the provisions of the OMB "Uniform Guidance (UG) 2 CFR 200 Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards." If you have questions regarding the allowability of an item, you are encouraged to contact the Research Office prior to placing the purchase. Read UG Restrictions for a notice regarding expenditures on Federal awards.

Cost Transfers

  The Research Office assists with proposal budgeting and reviews costs that are charged to sponsored projects at Oakland University.  This process ensures a fair degree of reasonable allocation and allowability of costs to sponsored projects.  However, occasionally errors in posting and allocation occur in any accounting system.  It is the responsibility of the Principal Investigator to periodically review and ensure the reasonable allocation and accuracy of costs charged to the sponsored project.  A periodic review should occur within a reasonable period of 30 days from posting to the ledger.  Generally, error corrections should be completed within 60 days.

Error corrections initiated beyond  60 days or after the project end date are continually an area of audit scrutiny, also requests that appear to use a remaining balance on a fund near or beyond the project end date may be questioned.  Losses or disallowed costs on other sponsored projects are not allowable cost transfers.  To ensure the fiduciary duty of Oakland University as a responsible financial steward of sponsored funding, unusual circumstances in timing or amounts will be scrutinized for propriety and denied without adequate justification and documentation.  It is preferred that a positive, proactive approach to managing sponsored funding is taken by Principal Investigators and supporting administrative personnel.  If you require assistance with reviewing financial reports, reconciling costs to planned budgets, system or report accessibility, or tracing an error in posting, please contact the Research Office for assistance.

Budget Monitoring/Amendment
The Principal Investigator is responsible for expenses charged to his/her award and should meet with the departmental administrator periodically to review the program. As a result of this review, a need may arise to amend the program budget. Sponsors have differing guidelines for budget modifications and whether or not sponsor approval is required. You are encouraged to contact the Research Office for advice in this instance.

No-Cost Extensions

To discuss the processes related to the above areas, please stop by the office or contact Research Office staff.


Fund Number Set Up for New Awards

When a grant or contract proposal has been approved for funding by the agency, OU will receive an official award notification or a fully executed contract.

If the award notification is received by the Principal Investigator (PI), please inform the Research Office as soon as possible. Please note: it is important to forward the entire award notification package to the Research Office including any payments received, acceptance letters to be returned to the agency, etc. These items will be processed by the Research Office.

Upon receipt of the award letter, the Research Office will request a fund number from the Accounting Office. It takes 3 to 5 working days for Accounting to process the request and assign a fund number. The Research Office will send the PI and department/school Budget Manager an e-mail providing the fund number, a copy of the award notification, and a summary of any special terms and conditions. A signature card will be sent separately through campus mail. Please feel free to contact the Research Office with any questions regarding your new award.

Oakland University Expenditure Guidelines

A Quick Overview of A-21 Requirements for Charging Administrative Costs to Sponsored Agreement.

Circular A-21 sets forth a few key requirements that apply to direct costs and administrative costs must meet these requirements in order to be considered direct costs.

 Overview of Uniform Guidance (UG).doc 
Close-out of fixed price agreements.doc

Expenditure Approval

Expenditures charged to a sponsored project are reviewed and approved by the Research Office to confirm that the expense is consistent with the terms and conditions of the award and to identify that sufficient documentation and justification is provided.

An expense is allowable on a sponsored project if it meets the following criteria:

  • Reasonable – a prudent person would have purchased this same item and paid same price; an arms-length arrangement.
  • Allocable – expense is allocated to a project in proportion to the benefits derived to the program objectives; the investigator is the responsible person who determines the proportional charge to the project.
  • Consistently Treated – like expenses are treated the same by the institution given same circumstances.
  • Allowable – all three above criteria met and the expense is permitted as a direct cost per the terms and conditions of the award.

Expenditures on Federal agreements are subject to the provisions of the OMB Uniform Guidance (UG) "Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards."  If you have questions regarding the allowability of an item, you are encouraged to contact the Research Office prior to placing the purchase.  Read the UG Restrictions for a notice regarding expenditures on Federal awards.


Cost Transfer Requests

The Research Office assists with proposal budgeting and reviews costs that are charged to sponsored projects at Oakland University.  This process ensures a fair degree of reasonable allocation and allowability of costs to sponsored projects.  However, occasionally errors in posting and allocation occur in any accounting system.  It is the responsibility of the Principal Investigator to periodically review and ensure the reasonable allocation and accuracy of costs charged to the sponsored project.  A periodic review should occur within a reasonable period of 30 days from posting to the ledger.  Generally, error corrections should be completed within 60 days.  

Error corrections initiated beyond  60 days or after the project end date are continually an area of audit scrutiny, also requests that appear to use a remaining balance on a fund near or beyond the project end date may be questioned.  Losses or disallowed costs on other sponsored projects are not allowable cost transfers.  To ensure the fiduciary duty of Oakland University as a responsible financial steward of sponsored funding, unusual circumstances in timing or amounts will be scrutinized for propriety and denied without adequate justification and documentation.  It is preferred that a positive, proactive approach to managing sponsored funding is taken by Principal Investigators and supporting administrative personnel.  If you require assistance with reviewing financial reports, reconciling costs to planned budgets, system or report accessibility, or tracing an error in posting, please contact the Research Office for assistance.

Budget Monitoring/Amendment

The Principal Investigator is responsible for expenses charged to his/her award and should meet with the departmental administrator periodically to review the program. As a result of this review, a need may arise to amend the program budget. Sponsors have differing guidelines for budget modifications and whether or not sponsor approval is required. You are encouraged to contact the Research Office for advice in this instance.

Procedure to Request Salary Payment from Sponsored Funding

The Summer Pay Request (SPR) form should be used for faculty employees who have an academic year appointment.  For employees who have full calendar year appointments, a Change of Status (COS) form or online request should be used. 

 

The faculty member should complete the Summer Payment Request (SPR) form for External Grants or Contracts.  This form should be submitted with the Faculty Special Pay form and reviewed by the Dean’s Office before submission to the Research Office.  The Dean’s Office will route the required forms to the Research Office for all grant or contract funding requests.

 

Oakland University guidelines for payments to faculty employees outside the regular service period stipulate that no more than 45% of base salary may be paid for teaching and other related duties over the course of the entire summer term.  Any payment request should comply with the Oakland University guidelines and sponsoring agency restrictions, if applicable.  

  1. Enter the identifying information for the employee who will be working during the summer term.  Please be aware that the home department for the employee may be different than the unit responsible to approve charges to the fund.  The Faculty Special Payment (FSP) form requires signatures of the persons responsible to approve charges.

  2. The Summer Payment Request must be signed by the employee who will receive payment during the summer term.

  3. Either the payment amount or the percentage of efforts should be completed; both are not necessary.
  4. An Earnings Code of 324 and Subaccount C053 must be used for the transaction to correctly allocate fringe benefits.

  5. The Banner transaction number is a required field on the form and should be entered prior to sending the forms to the Research Office.  If the amounts change due to the 45% limit or sponsored restrictions, the electronic transaction will be sent back to the Dean’s Office with comments.  The transaction should be corrected online.

  6. Submit a Faculty Special Payment form for each funding source.  Please note the following:

a. An FSP form has only one funding source indicated because the signers on the FSP are the persons responsible for oversight of the single fund. 

            
b. The signatures obtained on the FSP certify that the fund fiduciaries approve of the commitment against the fund.  However, the signature obtained on the SPR is confirmation of the employee's commitment to perform activity during the summer term.  If the employee becomes aware of a change prior to the 10th workday of the month, an email notification should be sent to ougcsr@oakland.edu to stop payment. 

            
c. The employee will receive an Effort Certification report at the end of the summer term to confirm the activity actually performed during the summer term.  If there is a significant difference of planned vs. actual activity, a refund may be due to the sponsoring agency. Summer payments are made for activity that occurs during the summer term only.  It is not appropriate to request payment for work completed during the academic term in the summer; to do so is a violation of compliance with grant/contract terms and Oakland University policy.

            
d. The limit of 45% applies to all activity during the summer term, including teaching and other related professional duties.  Salary above the base academic term amount is unallowable for a comparable period of time, i.e., $50,000 academic pay would limit summer pay to $22,500 (45% x $50,000), however, if only 1/2 the summer term is worked, the limit would be $11,250.  If a faculty member received $4,800 for teaching during this time, research pay would be limited to $6,450.

            
e. Sponsor restrictions override Oakland University policy.  If the sponsor does not permit summer pay or restricts pay and/or benefits, Oakland University will not approve payment of the sponsor funds in excess of these restrictions.

The Research Office fax number is (248) 370-2973.  Emails may be sent to ougcsr@oakland.edu for questions related to summer salary approvals.


Meal Policy

The Research Office Guidelines on Allowability of Meals (non-travel status)for Reimbursement on Sponsor Funded Agreements

The University recognizes meals as an appropriate expense of University funds if hosting activities of outside guests contribute to, or result from, legitimate university-related business.  Federal and state funded agreements reimburse meal expenses only while an employee is in travel status or when meal expense is an integral part of the program and is included within the sponsor-approved budget.

Meals that are in accordance with university policy must be reviewed by the Research Office if reimbursement is requested from a grant or contract.  The terms of the grant or contract agreement will govern whether reimbursement is approved by the Research Office.  If business meals are unallowable per grant or contract restriction, employees should consult with their departmental budget manager prior to engaging in the activity.

Allowable meal expenses per university policy #208 “Business Meals and Hosting Expense” (non-travel status):

  1. Local business meals and meal expenses incurred by employees while hosting university guests within the constraints of good taste and reasonableness; 
  2. When employees are required to participate in a non-recurring event such as a retreat, workshop or seminar;
  3. When employees are required to participate in a business meeting outside of the regular work hours of 8 to 5 p.m.;
  4. When students are involved in a meeting for advancement or training purposes.

Guidelines for Reimbursement from Federal and State Sources

 

Federal and state guidelines allow meals while employees are in travel status, for subjects and patients under study, or where specifically approved as part of the project activity, provided that such charges are not duplicated in per diem or subsistence allowances.

 

Meals provided to a potential recruit are not reimbursable from a federal source, but the university may reimburse this hosting expense from non-federal sources.  Federally reimbursable employee recruitment costs are limited to help-wanted advertising costs, costs of travel by applicants to and from pre-employment interviews for a specific assignment, and the travel costs of university employees while engaged in recruiting personnel. 


Meeting and conference costs, including meals, are only allowable if such costs are specifically and clearly identified in the proposed scope of work and budget, as modified and approved by the sponsoring agency.  When certain meals are an integral and necessary part of a conference (e.g., working meals where business is transacted), sponsor funds may be used for such meals.  Federal or state funds are not otherwise to be spent for meals or coffee breaks for intramural meetings of an organization or any of its components, including, but not limited to, laboratories, departments and centers.


Travel Regulations

Charging International Travel to Federal Sponsors

 

The Federal Travel Regulations establish requirements for charging travel costs to federally funded grants, contracts, and other agreements.  Of special concern is the restriction on use of foreign carriers.  If you are making travel arrangements that require the use of foreign carriers you must adhere to the following requirements (cost savings is not a valid exception to these requirements):

 

You are required by 49 U.S.C. 40118, commonly referred to as the “Fly America Act,” to use U.S. flag air carrier service for all air travel funded by the U.S. Government, unless:

 

    1)  You cannot purchase a ticket in coach class of service on a U.S. flag air carrier, and a seat is
            available in coach class of service on a foreign air carrier; or

    2)  [for non-stop direct service] such use would extend your travel time, including delay at origin, 
            by 24 hours or more; or

    3)  [where non-stop service is not used] such use would

  • Increase the number of aircraft changes you must make outside of the U.S. by 2 or more; or
  • Extend your travel time by at least 6 hours or more; or
  • Require a connecting time of 4 hours or more at an overseas interchange point.

The code of a U.S. flag air carrier must be noted as part of the flight number on the airline ticket, flight coupon (boarding pass), or passenger receipt.  A two character code is designated just to the left of the flight number.  Compare the airline codes on the ticket with those on the list below to determine whether or not the flight is on a US Flag air carrier.  For proposed travel, you may wish to consult with your travel agent or the Research Office.


Alaska Airlines (AS)

Continental Airlines (CO)

Frontier Airlines (F9)

United Airlines (UA)

American Airlines (AA)

Delta Airlines (DL)

Northwest Airlines (NW)

US Airways (US)

Airtran Airways (FL)

American West (HP)

American Trans Air (TZ)

Hawaiian Airlines (HA)

Midwest Express (YX)

Southwest Airlines (WN)

Spirit Airlines (NK)

 

 

All requests are subject to final approval by The Research Office.


Invoicing

  The Research Office completes all invoicing for sponsored projects.  If an invoice is needed for an awarded project please contact the Research Office for assistance. 

Grant Financial Reporting

All financial reports are submitted by the Research Office. No financial report should be forwarded to a sponsor without the approval of our office.

Grant Close-Out

At the end of a sponsored project the fund will be reviewed for any errors. During this process if any unallowable expenses are discovered the charges must be transferred to a departmental fund. Cost Sharing and Effort Reports will be verified and deficits need to be cleared. Additionally, any open encumbrances must be closed. If the project is fixed price and a balance exists, the Research Office will close-out the fund according to the Close-Out of Fixed Price Agreements instructions.

Sub-Recipient Payments & Monitoring

Sub-recipients submit invoices directly to the Research Office. After initial review the Research Office forwards the invoice to the Principal Investigator/Department for approval. Invoices should be processed through accounts payable as any other expense to the grant.

Before the invoice is approved by the PI it should be reviewed to insure that charges are correct and allowable for the billing period in question. If the PI does not agree with any charges the invoice should not be approved and the sub-recipient should be notified of any issues. Invoices should only be approved if the work is satisfactory to the PI.

Extension Request

 
Requests for Performance Period Extensions

 

Sponsor funded agreements contain a number of provisions that govern the performance expectations of all parties.  These provisions become obligations upon acceptance of Oakland University whether the funding mechanism is a grant, contract, cooperative agreement, or other restricted funding type.  The performance period is almost always clearly outlined in a sponsoring agreement or within the proposal.  Oakland University, unless permitted to extend the end date by the terms of the sponsored agreement, will require the explicit permission of the sponsor to extend the performance period.  Under some federal grants, the university has “expanded authority” to extend the performance period one time for one year or less.

 

To request an extension of the end date of a sponsored agreement, you will need to provide the following:

1. Provide a request or notification to the Research Office Grant Officer prior to the end date of the award. 

a. Federal agreements that permit expanded authority must be made at least 10 days prior to the end date. 

b. Other requests should be made at least 30 days prior to the end date to allow time for the sponsor to respond.

c. If the sponsoring agreement grants explicit permission to extend the end date and you wish to exercise this provision, you must adhere to the notification requirements specified in the terms of award.

2. Provide a justification that succinctly outlines the basis for the extension request and the follow-on activity planned during the extension period.  A request solely to expend unused funds will be denied unless the sponsor terms of award specify that the project may be extended until the funds are exhausted.  Unspent funds at the end of the project performance period are either returned to the sponsor or closed out to an unrestricted fund if permitted under the terms of award.

3. Provide a concise budget for use of the remaining funds.

If you have questions regarding this policy, you may contact the Research Office at (248) 370-2552 or email your inquiry to research@oakland.edu.

 

All requests are subject to final approval by the Research Office.
Time & Effort
Report
Principal Investigators on sponsored projects must complete Time & Effort Reports three times per year according to the following schedule; at the completion of fall term, at the completion of winter term, and at the completion of summer term. Principal Investigators will be contacted by The Research Office when the reports are available in the on-line Time & Effort report system.


Step-by-step instructions for completing the Time & Effort reports:

  1. Access the on-line Time and Effort Report system.
  2. Login using your NetID (OU email) name and password.
  3. Select the reporting period.
  4. A list of grants/funds for which you are listed as the Principal Investigator will be displayed. 
  5. Click the fund number (Note: Adobe Acrobat Reader, available free from www.adobe.com, is required to read the effort report).
  6. Each effort report is divided into 3 sections: Bi-Weekly, Monthly and Graduate Assistants. 
  7. For monthly employees and graduate assistants, each employee’s effort on various activities/positions numbers (teaching, department chairs, grants, etc.) is presented in percentages. For monthly employees, totals for all position numbers should equal 100% for each employee. Review and verify these percentages.  As Principal Investigator, you are only expected to determine the reasonableness of the allocation of effort.
  8. For student and bi-weekly employees, compare the total hours to the hours per your records.  Only hours charged to the fund are visible, so you are only expected to gauge the reasonableness of the hours reported.  Recall that a time card was previously certified for the employee's time.  
  9. An adjustment column is provided to make corrections to the percentage effort reported if necessary.  For significant changes, a justification should be recorded in the comments.
  10. The Principal Investigator should sign and date the report.

    Completed reports should be sent via campus mail to The Research Office, ATTN:  Bonnie Kwit, 529 Wilson Hall.