 Section: 150-61 Effective: 05/02/1988 Supersedes: 06/25/1984 Next Review Date: Issuance Date: 05/02/1988 Issuing Office: Office of Contract and Grant Administration Organizational Prior Approval System Requirements for National Science Foundation (NSF) Research Grants |
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I. REFERENCES AND RELATED POLICIES
A. NSF Grant Policy Manual, Revised April, 1983
B. NSF Grant General Conditions (F.L. 200, October 1987)
C. UCSD Policy and Procedure Manual (PPM)
II. INTRODUCTION
The purpose of this policy is to outline the procedure to follow in completing the Request for Approval Under the Organizational Prior Approval System (OPAS) to expend funds under National Science Foundation (NSF) grants.
III. POLICY
Effective October 1, 1987, the NSF revised its Grant General Conditions, NSF F.L. 200, which allows grantee institutions to expend monies and rebudget certain funds in their research grants without referral to NSF for prior approval.
Principal Investigators or Department Administrators should request assistance from the OCGA concerning any proposed NSF related budget deviation not covered by the NSF Grant Policy Manual or by this issuance.
IV. PROCEDURES
A. Preparation of Forms
1. If the Principal Investigator (PI) has the authority to rebudget funds, in accordance with Section VII. of this issuance, a Budget Adjustment Journal is all that is required. This should be prepared according to instructions contained in PPM 380-4.
2. If authority to expend or rebudget funds must be obtained through the Organizational Prior Approval System (OPAS), the Principal Investigator then prepares a Request for Approval Under Organizational Prior Approval System (see PPM 150-65) and a Budget Adjustment Journal (see PPM 380-4). When the Principal Investigator is requesting approval to purchase an item of equipment, the Purchase Order Requisition and an Equipment Screening Certification form (if necessary) must also be attached. The entire package should then be forwarded via the MSO to the Department Chair and the Contract and Grant Officer, OCGA, for review and approval.
3. If NSF prior approval is required, the PI must prepare a letter to either of the NSF Officers, as shown on the “Grant Award”, specifying the nature of the request, its relation to the purpose of the grant, the amounts involved, and the budget categories affected. The letter should be forwarded to the UCSD Office of Contract and Grant Administration for countersignature and submission to the agency. When approval is received, the PI should prepare and submit a Budget Adjustment Journal and a copy of the NSF approval letter in accordance with PPM 380-4. The Budget Adjustment Journal should be forwarded directly to the Manager, Extramural Funds Accounting.
V. JUSTIFICATION
The Principal Investigator is responsible for providing a brief but comprehensive explanation/justification describing the scientific, technical or administrative reason(s) for all requests. As a minimum, the justification must address the following:
A. A brief description of the proposed action;
B. Scientific, technical or administrative justification for the action. (Include a statement as to the scientific benefit which will accrue to the project as a result of the request);
C. Explanation for rebudgeting from any category, why the funds are available (specify budget categories, if applicable) and how the lack of funds in this category impacts the continuous operation of the project as outlined in the original proposal.
D. For requests for travel or the purchase of equipment, the following specific areas must be addressed:
1. Travel
a. Itemization of cost i.e., airfare, per diem, registration fee, etc.;
b. Purpose, date, and place of travel;
c. Relationship to research;
d. Relationship of the traveler(s) to the research project;
e. A statement of compliance with Federal regulations regarding the use of U.S. Flag Air Carriers (foreign travel only); and
f. A copy of the travel itinerary or meeting invitation (foreign travel only).
2. Equipment
a. Description of equipment - if more than one item requested, itemize the description and cost of each;
b. Justification for the request;
c. How the proposed purchase impacts the operation of the project as outlined in the original proposal; and
d. Requests for purchase of equipment over $1000 must include a completed copy of the Equipment Screening Certificate.
It is of utmost importance that special attention be given to the above required justification(s) as it is the most critical element of the prior approval request.
VI. RESPONSIBILITIES
A. MSO
Receives request from PI, reviews for administrative purposes, initials and forwards to Department Chair.
B. Department Chair
1. Reviews and approves/disapproves the request for scientific propriety, project relevance and effective utilization of institutional resources.
2. Forwards the approved package to the Contract and Grant Officer, OCGA.
C. Contract and Grant Officer, OCGA
Upon receipt by OCGA, the Contract and Grant Officer will review the request for consistency with University and NSF policy. When fully approved, the original copy of the request is forwarded to the Manager, Extramural Funds Accounting, a copy is retained by OCGA and the additional copies forwarded to the Principal Investigator, Departmental MSO and Purchasing Division, as applicable. If any questions arise during the review, the OCGA will consult with the appropriate departmental personnel. Should the request be disapproved, an explanation will be forwarded to the Principal Investigator for informational purposes or for further action.
D. Manager, Accounting Office/Extramural Funds Division
The Manager reviews the Budget Adjustment Journal for conformance with University and NSF financial regulations and returns a copy to the departmental business office. Should additional information be required, appropriate departmental administrators will be contacted.
VII. ORGANIZATIONAL PRIOR APPROVAL SYSTEM REQUIREMENTS UNDER NSF RESEARCH
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