Have a Grant or Contract

• Coordinates proposal preparation and submits proposals on behalf of the University.
• Sets grant policies and procedures; administers the approved policies and procedures.
• Coordinates the kick–off meeting for the start-up of new grant projects and ensures the PI and other personnel are aware of grant management policies, procedures and expectations.
• Approves expenditures prior to sending requests to Accounts Payable (A/P). If there are questions about the allowability of an expenditure, the Grants Administrator will resolve that with the PI before documentation is forwarded to A/P.
• Monitors award spending via the Financial Data Warehouse (FDW). Resolves issues of allowable costs if necessary.
• Recommends action steps for issues of grant performance identified in monitoring activity.
• Coordinates requests to the sponsor for change in scope of scope, extensions, budget modification, etc.
• Remains up-to-date federal regulations, compliance/audit requirements and University policies and procedures.

Spending 

Once the PI has worked with their ORSP Grant Administrator to set up a budget for the project, they can usually begin to make expenditures. All expenditures on a project must correspond to an approved spending category in the budget approved by the funding agency (as received in the award notification letter).

Typical ways to spend grant funds include paying people, travel and hospitality expenses, and the purchase of project-related equipment and supplies. There are a multiple mechanisms that can be used to spend grant funds, depending upon what is being paid for or purchased. Please visit the buying stuff page if you are confused about which form to use for your purchase.
 

Budget Revision

General information about budget revisions for the most common funding agencies is listed below. Please refer to your project's specific funding regulations to determine whether budget revision is allowable; contact your Grants Administrator with any questions and to initiate the process.

US Department of Education

Recipients are required to both report and request prior approvals for deviations from awarded budgets and program plans. For non-construction awards, prior approval is required for any of the following program or budget related reasons:

• Change in key personnel specified in the application or award documents
• Change in the project's scope / objective, even if there is no associated budget revision
• An absence of more than three months, or a 25% reduction in time devoted to the project, by the approved PI
• Need for additional Federal funding
• Transfer of funds budgeted for indirect costs, or vice versa, if approval is required by the Secretary
• The inclusion, unless waived, of costs that require prior approval in accordance with Code of Federal Regulations Title 2 Subtitle A Chapter II Part 200, Subpart E Cost Principles (for awards after Dec. 26, 2014)
  The inclusion, unless waived, of costs that require prior approval in accordance with OMB Circular A-21-Cost Principles (for awards before Dec. 26, 2014)
• Transfer of funds allotted for training allowance (direct payment to trainees) to other categories
• Unless described in the proposal and funded in the approved award, the subaward, transfer, or contracting out of any work under an award; this provision does not apply to the purchase of supplies, material, equipment, or general support services

National Science Foundation (NSF)

Unless otherwise specified in the award, prior written approval is required for the following activities and expenditures, and must be submitted electronically through NSF's Fastlane System:

• Significant Project Changes
  • Transfer of project Effort
  • Change in objective or scope
  • Absence or change of PI
  • Change in the amount of cost sharing reflected on Line M of the award budget
  • Rearrangement/alteration aggregating $25,000 or over (Construction)
• Reallocation of funds provided for participant or trainee support

National Institutes of Health (NIH)

NIH grantees are allowed some flexibility to rebudget within and between categories; some types of changes require prior written approval while others do not. Grantee-initiated changes that require prior approval from the designated NIH official include: Change in scope

• Change in key personnel
• Change of grantee organization
• Equipment purchases exceeding $25,000/unit, regardless of amount of NIH funds involved
• Alteration and renovation (A&R) (rebudgeting into A&R cost exceeding 25% of total approved budget for a budget period)
• Transferring amount from trainee costs
• Capital expenditures (construction, land, or building acquisition)
• Need for additional NIH funding

View Financial Reports

SF State's Fiscal Affairs provides a finance reporting application referred to as "Finance Data Warehouse (FDW)". This reporting solution is available to all Principal Investigators with grants and contracts, and their administrative staff if requested.  To request access, complete the Finance Data Warehouse Access Request form located at Fiscal Affairs' Accounting webpage.

Access the financial reports at the FDW Login.  Use your SF State ID number and SF State password (the same as your SF State email password) to login. You will also need your Two-Factor Authentication (2FA) passcode [more information on 2FA can be found at the Information Technology Services (ITS) website.

Contact Information Technology Services by submitting an online Service Request Ticket, via email to report issues or problems.  One can also contact Cathy Liu, Associate Controller at Fiscal Affairs or at ORSP for Rowena Manalo, Info & Rptg Specialist and for LCD, Kari Wong, Senior Grant Human Resources Administrator. 

Basic Instructions for accessing your financial reports (for more detailed instructions, go to Fiscal Affairs’ Accounting webpage):

• Login to Finance Data Warehouse (FDW) using your UIN, password and 2FA passcode.
• For 3080-Grants & Contracts, use the following dashboards: Sponsored Programs, Labor Cost Distribution, and Transaction Inquiry
• For assistance pre-setting your FDW reports or further one-on-one training, contact Cathy Liu or Rowena Manalo.  More information can be found in the FDW FAQs and Setup Guidelines.
• Contact your assigned Grant Administrator if you have any questions about any details you see in your financial data.

Finance Data Warehouse (FDW) login

Fiscal Affairs’ Accounting webpage

Information Technology Services (ITS) website

FDW Login and Training Materials

FDW Frequently Asked Questions (FAQ) and Setup Guidelines

Two-Factor Authentication (2FA)

Data Security and FERPA login

Data Security and FERPA information

Finance Data Warehouse Access Request form

ITS online Service Request Ticket, via email

Cathy Liu at Fiscal Affairs, or ORSP for Rowena Manalo, Kari Wong or your assigned Grant Administrator

If you expect a delay in receiving your award or in getting the contract fully executed, but need to start your work, you can request a Fund Advance. This spending mechanism provides Principal Investigators (PIs) an opportunity to initiate research and to begin incurring project-related expenses prior to institutional acceptance of an externally-sponsored award.

Requests for Fund Advances must be approved by the PI's Dean and the ORSP Director. Fund advances may be approved because of an established relationship with the sponsoring agency and/or because the sponsor has indicated confidence that the project will be funded.

There are two types of Fund Advances:

Pre-Award Spending Account

• To incur pre-award costs up to 90 calendar days prior to the award start date.
• Applies only to federal sponsors that allow pre-award spending.
• All award terms and conditions apply to pre-award expenditures.

Advance Account

• When an award letter for a new grant has not yet been received
• For a new budget year of a continuing grant
• For a contract which has not yet been finalized
• Advance Accounts will be established for 120 calendar days. Extensions beyond 120 calendar days must be approved by the Dean and the ORSP Director.
   

Fund Advance Request Form

• PIs must obtain their Dean's approval prior to submitting the Fund Advance Request form to their ORSP Grants Administrator. Supporting documentation, including copies of communication with the sponsor, a list of projects that have been recommended for funding, and/or a short history of the project and the nature of the relationship with the sponsor, should be included as it may assist the Dean and ORSP in making a decision about the Fund Advance.

Travel Expenses

Note: This page attempts outlines some of the most common aspects of travel at SF State. Please review carefully and refer to the SF State Travel Center Website for more information. If you have any questions, please contact your ORSP Grant Administrator.

Prior approval is required for all travel by CSU employees

Travel must be properly authorized via the Request for Authorization to Travel/Travel Advance (ATEA) for ORSP Projects form. This form must be completed and signed by the PI & the traveler (if not the PI), approved by the College Dean, then submitted to ORSP prior to making any reservations for airlines, car rentals or hotels.

• This form is also required for mileage reimbursement if the traveler will be driving outside a radius of 25 miles from SF State (the definition of "a state of travel")
• All Authorization to Travel request forms must be approved at the Associate Vice President (AVP)/Dean level
• Please contact your GA directly if you need to request a travel advance for group travel
• If your travel is international:
  In addition to the ATEA form, please also include a Request for Foreign Travel Insurance form signed by the PI, the traveler (if the PI is not the traveler), the Department Chair, and the Dean of the College (for the project that will be charged for travel expenses). A Release of Liability Packet is also required for students and non-employees. ORSP will review and inform the traveler of approval before the traveler can make their travel reservations. Completed forms must be received in ORSP 45 days prior to travel.
• For more information about international travel, please visit the Enterprise Risk Management website.
  Summary of Approval for International Travel
• U.S. Bank Personal Liability Travel Card Policy and Application

Reimbursements

Use the Combined Travel Claim and Itemized List of actual Expenses form (“Travel Claim” form) to get reimbursed for approved travel-related expenses upon the completion of a trip.

• For travel by air, travelers may book their flight using either their US Bank Travel card or personal credit card. Reimbursement works the same for both methods, as the traveler is responsible for paying the balance on the US Bank Travel card.
• For car rental, travelers must book reservations through Concur Travel using either their US Bank Travel Card or personal credit card. Travelers must have completed SF State’s defensive driving course to be reimbursed for car rental (see below).
• For travel in private vehicles, any employee driving a private vehicle on official University business must be certified by the Department of Environmental Health and Operational Safety (EHOS) and must have adequate liability insurance. See requirements for driving a private vehicle on University business. Please note that the EHOS does not grant any exemptions for drivers who have not met the qualification requirements.
• The standard mileage reimbursement rate is 54 cents ($0.54) per mile for travel on or after January 1, 2016

Reimbursement for overnight trips

Travelers book their lodging accommodations and will be reimbursed for expenses via the Travel Claim form upon completion of the trip. Submit original receipts and a copy of the bank or credit card statement showing charges hitting the traveler's account.

• Receipts are required for any expenses $75 or more (except subsistence claims, see below)
• Subsistence is limited to $55 per day for travel in the continental US. Travelers pay for their meals and are reimbursed by noting meal expenses on the Travel Claim form.
  • Do not submit receipts for food unless it is to claim full reimbursement for any meals over $25.00 (not to exceed $55.00) on the first and last day of travel (partial days)
  • Incidentals are capped at $7.00 per day, and cannot be claimed during the first 24 hours of travel
• Domestic lodging reimbursement is limited to $ per night
• See caps and restrictions on areas outside the continental US
• If travel is to attend a conference, a copy of the conference agenda must be attached to the travel claim packet

Fill out the Travel Claim form once your trip is over, noting that information entered on the Subsistence tab in the Excel file will auto-populate the coversheet. Attach receipts for lodging, car rental (if used), airfare, and shuttle / taxi (if more than $40). Also include receipts for business expenses (e.g. internet / fax at hotel, printing, copying, registration fees) and itemize those costs in the "Business Expense" column of the form.

Submit the completed Claim directly to the SF State Travel Office within 30 days. Include all required signatures (note: a PI can be both the Traveler and the Claimant) and include a sentence with a verb in the "Purpose of Trip" description. If you submit the form to your ORSP approver first, please note that it will be forwarded to the Travel Office for initial review prior to receiving ORSP approval.

SF State's Travel Center Website

Note:

• Domestic Travel Insurance: The purchase of domestic travel insurance is not allowed on sponsored projects. 
  • All travel must be pre-approved on the ATEA form
  • Domestic travel requires approval from your Dean and ORSP
• International Travel requires approval from your Department Chair and Dean
• Local travel (more than 25 miles) can be covered by bundled/blanket approvals for a given time period
• Submit your completed Claim directly to the SF State Travel Center within 30 days of travel
• Travel expenses can only be charged to a project if travel was itemized in the funded budget
• Pay conference registration fees by check or with your P-Card; do not use a personal credit card
• Do not use your P-Card to pay for food, hotel, airfare, or car rental
• Drivers must be authorized by EHOS to drive on University Business; Defensive Driver Training is completed on-line; approver must verify that employee has a current Std 261 on file in the department
• The In State Travel account code is 606001; Out of State Travel is account code 606002
• Reimbursements of $100.00 or less will be handled through Petty Cash (use the form below)
• If you submitted a request for payment and have confirmed with your GA that the check is missing, you should complete as much information as possible on an Stop Payment/Check Replacement Application form, and submit to your ORSP GA
• For details on meals without travel or federal awards:
  The cost of meals or food within the local area (less than 25 miles from campus) is typically not allowed as a direct charge to a federal grant because the employee or trainee is not "traveling" and the cost is therefore considered a personal expense. In general, meals without associated travel are difficult to justify as a direct cost to a federal award of any type.

  When a food or beverage cost meets the following three criteria, and the PI provides written justification of the business purpose of the expenditures and how they relate to the specific research project (including purpose of the meeting, list of attendees, beginning and end times), such costs may be allowable on a sponsored project:

  • The cost must be allowable under both the provisions of Uniform Guidance (2 CFR §200) AND the terms of a specific award
  • The cost must be allocable, that is, the project which pays the expense must benefit from it. More specifically, the food and beverage must be integral to a project-related event.
  • The cost must be reasonable, by reflecting what a "prudent person" would pay in a similar circumstance
• Example of an allowable food charge:
  Lunch and refreshments provided for an all-day meeting of collaborators on a project (with formal agenda and participants from different locations)

  Examples of unallowable food charges:

  • Lab personnel meeting weekly to discuss progress on the grant
  • PI has lunch/dinner with a colleague and discusses research

(ATEA Form) Request for Authorization to Travel/Travel Advance for ORSP Projects

Combined Travel Expense Claim Form

Foreign Travel Insurance Information

Release of Liability form

Subsistence Summary

Petty Cash form

Business Expense / Hospitality Expenses

Use the Business Expense Reimbursement Request Form (Reimbursement/Hospitality) to pay a hospitality-related bill or invoice (if no Purchase Order was set up), or to get reimbursed for out-of-pocket hospitality-related or business goods expenses. Common examples of hospitality expenses include food and beverage, space rental, catering, and miscellaneous supplies (e.g. forks, napkins, tablecloths).

Procedure

• The payee / requestor must fully complete the *NEW* Business Expense Reimbursement Request Form (Reimbursement/Hospitality), include all required signatures, and populate the Chartfield information (the Account Code, Fund Code, Department ID, Program Code (if available), and the Project number to which the charges should post)
• Select type of reimbursement: Non - Travel and Non -Hospitality Business Expenses  or  Hospitality Expenses
• For hospitality expenses, please also list the event attendees if there are 25 or fewer participants; if this won't fit in the space provided, use the List of Employees/Guests form (see below). If there are more than 25 participants, you don't need to list attendees.
• Attach the original receipt(s) or invoice(s) to the form and submit to ORSP for review and approval
• ORSP submits to Accounts Payable for final review and processing
• The associated check will either be mailed to the requestor or they will be asked to come pick it up, according to the disbursement method selected on the form
• Payment can be made to a vendor in advance of the event by using this process: submit the invoice / written quote at least two weeks prior to the date of the event to allow time for processing

SF State's Accounts Payable Hospitality Website

Note:

• Hospitality expenses can only be charged to your project if hospitality was itemized in the funded budget on the award
• You cannot put hospitality expenses on your P-Card
• You can also use a Purchase Order (PO) to pay for catering, or setup a blanket PO to pay for recurring catering expenses (paying from the blanket PO with an invoice for each event, as they occur)
• If the payee / requestor is a new vendor in our system, they must also complete and submit a Vendor Data Record form to accompany the Direct Payment Request
• Maximum rates for hospitality per person are as follows:
  Breakfast $15.00
  Lunch $25.00
  Dinner $40.00
  Light Refreshment $10.00
• If you submitted a request for payment and have confirmed with your GA that it is missing, you should complete as much information as possible on an Application for Replacement of State Agency Trust Check form, and submit to your ORSP GA.

*NEW* Business Expense Reimbursement Request Form (Reimbursement/Hospitality)

List of Employees / Guests for Meal reimbursement

SF State Policy on the Payment or Reimbursement of Hospitality Expenses

Hospitality Purchasing Procedures

Commonly Used Account Codes

Direct Payment Request form

Vendor Data Record form

Application for Replacement of State Agency Trust Check

Request for Authorization to Travel ORSP (PDF)

A  Direct Payment Request form may be made for Unviersity oblicagation for which little or no valuse can be added by processing the tranaction through standard procurement procedures.

Use a Direct Payment Request form to pay a bill or an invoice (if no Purchase Order was set up), or to get reimbursed for out-of-pocket expenses. Common expenses that this form is used for include advertisements, postal and mailing charges, reimbursements, book, subscriptions, publications, registration fees, medical exams, insurance premiums, rent/utilities, membership fees, accreditation fees, etc.

The following are prohibited transactions:

• Expenses / invoices over $5,000
• Reimbursement over $1,000
• Rental of any type
• Service of any type regardless of where the services are performed
• Reimbursement requests submitted more than 90 days after the expenditure

Procedure

1. The payee / requestor must fully complete the Direct Payment Request form, include all required signatures, and populate the Chartfield information in section 3 (Account, Fund, DeptID, and the Project number to which the charges should post).
2. Attach the original receipt(s) or invoice(s) to the form and submit to ORSP, and also attach an evidence of pre-approval from the Procurement Department in the form of a Purchase Order, signed agreement, or other written approval (e.g. e-mail) authorizing this direct payment. Please refer to Direct Pay Policy for information on pre-approval instruction.
3. ORSP submits to Accounts Payable for final review and processing.
4. The associated check will either be mailed to the requestor or they will be asked to come pick it up, according to the disbursement method selected on the Direct Payment Request form.

Note:

• Direct Payment requests must be made within 90 days of the transaction
• If the payee / requestor is a new vendor in our system, they must also complete and submit a Vendor Data Record form to accompany the Direct Payment Request.
• Original receipts are always required. If a copy of a receipt is submitted, it must be certified by the PI on the project by adding and signing off on the following certification:

"This receipt is a true and correct copy of the original, which has been lost or is otherwise unobtainable. I certify that our records have been checked and this receipt has not been submitted with a previous claim."
Signature of Payee: __________________________
Signature of Approver: ________________________

• If you submitted a request for payment and have confirmed with your GA that it is missing, you should complete as much information as possible on an Stop Payment/Check Replacement Application form, and submit to your ORSP GA.

Direct Payment Request

Fiscal Affairs Direct Pay Policy

Commonly Used Account Codes

Vendor Data Record

Stop Payment/Check Replacement Application form

Request, Access, and Submit POs and Requisitions

A PO is a guarantee from the University to pay a future invoice. It can be used to purchase a variety of types of items for your project, including supplies, services, recurring charges, independent contractors, and University Corporation work orders. It should be set up in advance of the purchase (or before an invoice is issued). If an invoice has been submitted for an expense on your project, but a PO was not created first, the invoice will be paid and the PO process will not be initiated.

A PO is initiated by creating a Requisition in CFS (Common Financial System). PIs and administrative staff on projects who do not already have CFS access can request access by submitting a CFS Access Request form to their ORSP GA.

A requisition number is issued once it has been requested. The requisition goes through an electronic approval process and Procurement, the final approver in this process, creates a PO and issues PO number if approved.

Once the PO has been created and an invoice issued to the PI, the invoice(s) is submitted to ORSP with the signature of anyone with signature authority on the project, a brief statement indicating "OK to pay," and the PO number anywhere on the invoice. ORSP reviews and approves the invoice, and Accounts Payable will then issue payment.

CFS Access Request form

CFS login

Petty Cash Reimbursements

Use the Petty Cash Reimbursement Request form for reimbursements of $50 or less (exclusive of sales tax) and submit to ORSP for review/approval by the GA for your project. The following must be submitted along with the Petty Cash Reimbursement form:
 

• Original receipt(s) including date of purchase and vendor name; if the vendor name is not printed on the receipt, the vendor must provide their phone number and signature on the receipt
• PI's signature on the receipt
• If the Requestor will have someone else pick up the reimbursement money, a memo from the Requestor is needed
• An explanation justifying the relevance of each item purchased to the project

Once the request has been approved by ORSP, the GA will contact the payee to pick up the approved form and the payee will submit the claim to the Bursar's Office. Check the Bursar's Office website for location, hours of operation and contact numbers.

Note:

• For hospitality-related Petty Cash requests under $50, a Request for Payment/Reimbursement of Hospitality Expenses form must be attached to the petty cash request form before submitting to ORSP. Once the request has been approved by both ORSP Hospitality, the payee will be contacted to pick up the approved form and can then submit the claim to the Bursar's Office.
• The person approving the Petty Cash Reimbursement Request form cannot also be the requestor.

Petty Cash Reimbursement Request form

Fiscal Affairs Bursar's Office Petty Cash Procedure

Obtaining a Procurement Card (P-Card) for a Project

Procedure

• You should first discuss with your GA whether you have the ability to use a P-Card on your project and if it would be beneficial to have one (e.g. you may be eligible for a P-Card, but would not need one if you won't be purchasing supplies and services for your project).
• If your GA determines that it would be beneficial to have a P-Card for your project, you must fill out the P-Card Application Packet (ORSP users). Once you have completed these forms, submit to ORSP for review.
• After review, ORSP will forward the completed forms to the P-Card office for processing. After processing, the P-Card office will invite the PI to a mandatory orientation for new cardholders that outlines P-Card guidelines and cardholder responsibilities (e.g. monthly reporting requirements, how to use to card, prohibited items).
• After attending the orientation you are free to use the P-card once you receive it.
• The cardholder must submit monthly reports to the P-Card office (these are shared with ORSP for review).
• When your project is coming to an end, you must follow the P-Card Office's procedure for closing your card; refer to the guidelines outlined in the P-Card Handbook for more information.

Note:

• There are two levels of review on your P-Card: ORSP reviews according to the terms and conditions of your award, while the P-Card office reviews for compliance with their own guidelines.
• The following types of purchases are strictly prohibited: firearms, hazardous chemicals, hotels & transportation, pets, gifts, etc. Refer to the P-Card handbook for more information.
• Timely submission of your monthly reports is critical. If you fail to submit three monthly reports, you will lose your card privileges.
• If you need to change the default project number and/or add/delete a project number, initiate that change through your ORSP GA.
• Your P-Card is a privilege, not a right; treat it accordingly.

P-Card Application Packet (ORSP users)

SF State P-Card Handbook

SF State P-Card Training Guide

Fiscal Affairs. Procurement Card website

Forms

• Approval Limit for Expenditure Policy
• Award Set Up Procedures
• Cash Advance Policy For Projects
• Charging Direct and Indirect Policy
• CSU Single Audit Report
• CSU Travel Policy
• Direct Pay Policy
• Fiscal Affairs - Policies and Procedures Guides
• Honorarium Policy (08/2016)
• Integrated California State University Administrative Manual (ICSUAM) - Sponsored Projects Administration (04/2016)
• OMB Uniform Guidance, 2 CFR Part 200 - Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal
• SF State Intellectual Property Policy
• Travel Bulletin - February 2016
• Accounts Receivable Internal Procedure
• Accurate Reconciliation of Accounting Records Policy
• Award / Contract Acceptance and Negotiation Procedure
• Bridge Funding Support Guidelines
• Cash Management Procedure
• Closeout Policy
• University Code of Conduct for Sponsored Programs
• Cost Transfer Procedures
• Debarment and Suspension Policy
• Debarment and Suspension Procedure
• Allocation of Financial Responsibility Deficit Policy and Procedure
• Document Management Policy
• Document Management Procedure
• Electronic Withdrawal of Federal Funds Internal Procedure
• Export Controls Policy and Procedure
• Consolidated / Fabricated Laboratory Equipment Policy and Procedure
• Facilities and Administrative Indirect Cost Rate Agreement
• Financial Conflict of Interest Policy
• Fund Advance Policy & Procedure
• Institutional Transfer of Grants/Contracts
• Invoicing Internal Procedure
• Journal Entry Procedure
• ORSP Departmental Travel
• Procedure for Responding to Allegations of Research Misconduct
• Stipend Policy

Grant Administration Unit

Notice of New Award

Request to Inactivate ORSP Project

Journal Entry Request Form

PI Acceptance of Responsibility

Budget Request Routing Form

Request to Charge SF State Tuition to an ORSP Project

ORSP HR Unit

Funding Source Change Request

Student Assistant Hiring Form

Graduate Assistant Hiring Form

Salary & Benefit Rate Request Form

Faculty Intersession Pay Request

RRT Request Form

 Compliance Unit

Sub-Award Set up Request to Compliance (GA/GSC Use Only)

Upload Proof of COI Training to ORSP

RCR Proof of Training