OSP is located in Sports Center Annex, Suite 121. The main entrance to the building is facing Leonard Hall.

Unless you have a source that is eager to fund you immediately, it is best to allow ample time, generally between 6 - 18 months, to obtain external funding. You will need to identify the proper funding sources and then submit proposals to them according to the deadlines and guidelines they have established. The sooner you get started, the sooner the funding can start to arrive.

OSP does not write proposals, but can meet with faculty and staff to edit and brainstorm on proposal narratives. Generally speaking, sponsors are interested in the thoughts and credentials of the individual applying for funding. The proposal is the best way to outline your ideas and abilities in a particular area.

OSP staff can meet with university faculty and staff to discuss opportunities and strategies in external funding. In addition, OSP can provide institutional information that is frequently requested by sponsors. This information can include: general university capability statements, lists of past awards and examples of similar projects. OSP also completes all the business forms necessary for a proposal submission and assists with sponsor requests for university financial information including: financial statements, the tax exempt letter, and the AU annual report.

You should notify OSP of any planned proposal as soon as possible. Please provide a link to or copy of the guidelines and the due date. This early notification will provide time to read the guidelines and assist with the development of a comprehensive budget. It will also provide time for the internal approval process at the university.

Assuming a reasonable length of time between proposal development and submission, you can expect that your grant and contract manager will:

• Review the guidelines and make you aware of any special or unusual requirements
• Put forward any internal pre-approval necessary
• Complete all business forms and provide general university information
• Coordinate and work with you to verify any unusual requirements or institutional commitments, like space or cost-share
• Assist with budget development
• Route the completed proposal package through the university
• Submit the proposal to the sponsor
• Check on the status of the proposal both internally (with you) and externally (upon request)
• Maintain the complete proposal file until the proposal is either accepted or declined

Faculty and staff can contact Mana Zarinejad at mana@american.edu. In addition, there are several excellent web sites that provide tutorials and general information on proposal writing. These include:

National Institutes of Health

http://www.niaid.nih.gov/ncn/grants/new/default.htm

http://www.ninds.nih.gov/funding/grantwriting_mistakes.htm

National Science Foundation

http://www.nsf.gov/publications/pub_summ.jsp?ods_key=nsf04016&org=NSF

Social Science Research Council

http://fellowships.ssrc.org/art_of_writing_proposals/

The Foundation Center

http://foundationcenter.org/getstarted/tutorials/shortcourse/index.html

It is sometimes possible with federal programs to make an appointment to see copies of previously funded proposals for a particular program. Your OSP staff member can help you ascertain whether this service is offered and can make the appointment for you. It may also be useful to have a colleague review your proposal and offer a critique.

The terms and conditions of a federal project are governed by the rules and regulations of the federal government. Programs are generally announced and have legal due dates. Proposals or letters of inquiry to Foundations are governed by the terms listed in the Foundation information. Your OSP staff member can help you with the review of the guidelines for either type of organization to determine specific requirements.

A letter of inquiry is a short (usually 1-3 pages) proposal to determine whether your idea for funding intersects with the interests of a particular organization. Any mention of a budget or other University commitment requires internal approval. Many organizations provide a letter of inquiry template which must be followed. If there is no template, a letter of inquiry generally includes:

• Summary of the request for funding (including the amount)
• Statement of need for the project or research
• General overview of the activities associated with the project
• Specific outcomes
• Credentials that highlight your ability to carry out the project

Always check the guidelines for sponsor-specific proposal content and format requirements. A generic checklist below is provided for cases in which such guidelines do not exist.

To ensure the quality of the technical proposal, Principal Investigators should prepare answers to the following:

• What title or project name will reflect the essence of the proposed research?
• What is the research problem or need for this activity? Have you reviewed current literature to determine the need for such a project or conducted a needs assessment?
• What do you hope to accomplish specifically as a result of this project?
• How will you accomplish the project goal? Why is your approach particularly suited to the problem? Discuss the activity concept, project structure, and/or formal methodology.
• How will you prove your results? An evaluation plan, complete with measures of efficiency, effectiveness, or outcomes as appropriate to the project design and methodology should be described.
• What special compliance issues and risks are associated with the project?
• Where will the project be conducted? Have space needs been evaluated?
• When will work on the project begin? When will it conclude?
• What are the qualifications for serving as the Principal Investigator on this particular project? Identify other skills and qualifications necessary to the activity and where/how you will provide that expertise.
• How much will it cost for you to perform this work? (This question can be fully answered only after the cost has been prepared with the assistance of the OSP staff. Effective technical proposals, however, should indicate bottom-line costs, along with the levels of effort to be invested by the Principal Investigator and other key project personnel.)

The university is a large organization and has many on-going initiatives to seek external funding. Submissions to private foundation are coordinated with the Development Office so that the university is aware of all requests going into a particular foundation at a given time. Some private foundations also restrict the number of inquiries that can be submitted by the same organization.

Request for this type of information is very common in grant applications. Your OSP staff member will be able to provide all this information as part of our service.

A Request for Proposal is also known as an RFP. An RFP can be issued by either a private or government organization. Typically, the RFP provides specific information about a program or line of research that the sponsor wishes to fund. The RFP also provides information about budget parameters, mandatory forms, additional information required, any restrictions, the legal due date, and submission format. Your OSP staff member can review the RFP with you to ensure that the administrative requirements are met.

The Principal Investigator or designated project staff should work with OSP on budget development. Budget development often requires dealing with confidential information and the person working with OSP should be prepared to discuss such information. The signature of the Principal Investigator is the first one required on the university approval form and signifies agreement to the scope of work and budget. The Principal Investigator cannot delegate this approval to project staff.

The Principal Investigator (PI) is the person who is responsible for the substantive and financial development, management, and oversight of a sponsored program. The PI writes the proposal, develops the budget, seeks university approval for the project, carries out the substantive work if the grant is awarded, manages the grant budget and writes any technical reports.

The Principal Investigator must be a member of the full-time faculty, professional, or senior staff, or be an administrative officer of the University.  Depending on the nature of the proposal, individuals with other University appointments may serve as Principal Investigators with the approval of the Provost and that individual's department head. 

In some cases, proposals may name an individual who is not a university employee on a grant application. Naming an individual in the proposal who is not already an employee of the University does not commit the institution to employing that individual. In most instances, it is more appropriate to have the full-time faculty or staff member who will be responsible for the management and supervision of the project serve as the Principal Investigator and name the external individual as the Project Director. 

Any exceptions to this policy must have the written approval of the Dean of the unit and the Dean of Academic Affairs.  On rare occasions, it may be in the best interest of the university to have an individual who is not an employee of the university serve as the Principal Investigator on a university proposal.  All such exceptions to policy should be discussed by the Dean of the unit with the Dean of Academic Affairs well in advance of a proposal submission.

Unless otherwise indicated in the proposal, Principal Investigators are expected to be in residence at the University during the period of project operation. Principal investigators seeking a leave of absence during this period must obtain written authorization from the sponsor through OSP. Principal Investigators must also secure the approval of their Dean and the Dean of Academic Affairs.

Examples of projects where Principal Investigators might not reasonably be in residence could include fellowships or sabbatical support.  This should be clearly outlined in the proposal and the university approval form.

Assuming a reasonable length of time between budget development and submission, you can expect that your assigned OSP staff member will:

• Review the guidelines and make you aware of any special budgetary requirements
• Assist in developing a budget that matches the scope of work
• Work with you to develop reasonable cost estimates for items like travel or the purchase of equipment
• Put the budget into an Excel spreadsheet following university formatting
• Complete any budget forms or particular sponsor budget formatting requirements
• Obtain necessary pre-approvals for budgets over $250K or budgets of any amount going to an international address
• Provide you with institutional information for the budget narrative

If you are interested in getting a jump start on developing your budget, contact your OSP Staff Member for a budget checklist.

Course releases are a matter of workload in the schools and colleges. Course releases must be individually negotiated with the Dean or Department Chair. Once the course release has been agreed upon, OSP can help price the course release(s) for the sponsor budget.

For full-time employees of the university, the full-time academic year or full year salary is used as the basis of calculation for grant applications. For those who are not employees or who are part-time employees, alert your assigned OSP staff person who will help develop a rate that conforms to university and sponsor guidelines.

No. Federal government regulations are explicit about not allowing a higher level of compensation for a grant than that which you receive from the university. Federal regulations also do not allow overload situations in which you may work more than a 100% level of effort.

AU faculty members are considered 12 month employees who fulfill their obligations to the university over a period of nine months from September through May. Faculty with these nine month appointments may make up to 3 months of additional salary during the months of June, July, and August, provided sponsor guidelines allow it. The effort expended on the project must match the time period so the work must take place during the summer months.

Proposal budgets that cover multiple years are required to budget for annual salary increases. The annual salary increase figure used by OSP is 5% per year. This increase is for budgeting purposes only. It does not guarantee this increase.

No. Your submission of a proposal through the university indicates that you are submitting as a university employee rather than a private practitioner. As such, all budgets represent your compensation through the university as well as compliance with AU Human Resources and Payroll rules and regulations.

The approved fringe benefit rate is 25.5% for full–time employees and faculty during the academic year. It is 8% for part–time employees, student employees, and faculty with nine month appointments during the months of June, July, and August.

Full–time University faculty and regular staff working on sponsored projects are eligible for University benefits.  FICA is withheld from the salaries of all employees paid through the University payroll system, including part–time staff.  Exceptions are graduate students in assistantship or fellowship categories. The employer's portion of FICA and retirement (TIAA–CREF) are charged to sponsors as direct costs.  The University and the employee share coverage for other benefits according to the options available at the time of hiring. 

Indirect costs, also known as Facilities and Administration (F&A) or overhead costs, are expenses not directly attributable to any one project and incurred by the University for its facilities and services.  Indirect costs are not profit, but are real costs to the University to support sponsored activities. Examples include building maintenance and operation, utilities, libraries, computer services and other facilities, payroll, accounting, purchasing, research administration, departmental administration, personnel services, and general administration.  The University attempts to recover these support costs through the inclusion of indirect costs in proposal budgets. All universities have indirect rates.

The Indirect Costs rate is calculated on a Modified Total Direct Cost (MTDC) basis, which means that not every budget item incurs indirect costs. Indirect costs are divided into on- and off-campus rates. The current rates are:

• 39% - On-campus indirect rate
• 13.1% - Off-campus adjacent rate (within a 50 mile radius of the university)
• 11.1% - Off-campus rate non-adjacent (beyond a 50 mile radius of the university)

The Modified Total Direct Costs (MTDC) basis excludes assessment of indirect costs on:

• tuition
• capital expenditures
• space rental
• subgrants or subcontracts after the first $25,000
• Participant support - defined as pass-through costs to support program participation directly attributable to an individual who is not an employee of AU or a consultant providing a service (such as those attending a training program).

American University has a Negotiated Indirect Cost Rate Agreement with the US Department of Health and Human Services. The current rate became effective May 1, 2005 and is through April 30, 2008. The rate is provisional after that time until it is renegotiated.   The indirect rate assesses indirect costs on a Modified Total Direct Cost (MTDC) basis.  To view the rate agreement, please see http://www.american.edu/finance/genacct/ . 

AU honors any written sponsor prohibition on recovery of indirect costs. Some private organizations and some government programs stipulate in their guidelines that they only allow a small percentage of indirect costs to be included on their grant budgets. In these cases, the budget can be developed according to these guidelines. If the sponsor has no written prohibition, full indirect costs must be included. The sponsor has the option to include less indirect costs in the legal award and the university has the right to decide if they want to accept less than full indirect costs on such projects.

Indirect costs are derived from the costs associated with administration and facilities maintained by the institution. AU's rate is competitive for the size and type of institution that it is. If you are interested in reviewing the indirect rates of other institutions, most post them on their web sites.

Occasionally, sponsors require the University to make a contribution to a project's total cost needs. Cost-share can include donated faculty time, remitted tuition, or the assistance of a graduate student. Cost-sharing must have the concurrence of the teaching unit head and School/College Dean since their budgets bear such direct costs. This approval should be arranged in advance.   Each unit has the authority to cost-share new expenses, and to commit existing "on-budget" resources for sponsored projects. OSP has no resources for direct cost-share or tuition remission.

Since cost sharing can be examined and/or audited by the sponsor organizations, the budget proposal should include the dollar value of all such services. As the tracking of cost-share is an administrative task handled in the schools and colleges, in order to ease the burden of record keeping, cost-share should not exceed the sponsor's required amount or percentage requirements. Contact the OSP staff member for assistance with cost-sharing issues.

Cost-share may also be contributed by the partners on a project. This is called third party cost-share. Even though the cost-share is offered by a third party, once it is listed on the AU budget, it becomes the responsibility of AU to document and report on it. To document third party cost-share for the proposal, AU will require a letter listing the cost-share and information about how the costs were derived. This letter must be signed by someone with the authority to commit the organization. At the award stage, the subcontract issued to an organization will include provisions for certifying and reporting on cost-share offered by the third party. Cost-share contributions from third parties are limited to organizations because they have formal tracking mechanisms. Individuals who are not employed by AU may not commit cost-share resources for an AU budget.

Cost-share is part of the proposal budget and appears in either a separate AU column or a separate column listed as "Other" for third party cost-share. Once an award is made, it is the responsibility of the School or College to track the cost-share.

Routing refers to the formal university approval process. When the proposal and budget have been finalized, OSP attaches a routing form to the package and it is signed by required signatories after review. The signatures indicate agreement to the proposal and concurrence that the proposal can be sent to the sponsor. All signatures must be obtained before the proposal can be released.

Signatures required vary with the type of project being proposed. When the Principal Investigator signs the approval form, he or she is approving the entire proposal and assuming responsibility for:

• the scope of scientific and technical effort,
• preparation of required technical reports, and
• management of the project within the budget and time constraints of the proposal in compliance with sponsor regulations and University policies.

The Principal Investigator may not delegate his or her authority to approve proposals.

Teaching unit heads and college deans certify the academic soundness of the project, facility and space availability, cost sharing (other than any indirect cost waiver that is a documented sponsor policy), course release arrangements, and the compatibility of the project's goals with the teaching unit's objectives.

Proposals are routed through the teaching unit, School/College Deans, and the Dean of Academic Affairs/Director of OSP. Depending on the type of proposal, other signatures may be required. A project involving faculty or staff from more than one unit must be routed through all units involved. Your OSP staff member can provide information about specific signatures needed for your project.

The first step should be to discuss the proposal with your Dean or Department Chair to see what they will require to review your proposal. A rule of thumb is that each signatory (there are usually at least four) should have a full day for review and signature. The institutional signatory for the Provost's Office requires 24 hours for review and signature. Private sponsors, grant requests over $250,000, and grant requests from organizations with an international address all have pre-approval procedures that may take additional time. OSP will do everything possible to accommodate compressed time frames for proposal submission but cannot guarantee that all university decision makers will be available for approval and signature.

Any document to an external funding source that mentions dollar amounts or makes a commitment of university resources, must follow the formal university approval procedure. If the document discusses only substantive issues about a project to gauge interest, it does not need to be routed.

It is best to submit the proposal at least 24 hours before it is due in order to allow for unexpected delays. Given a reasonable amount of time between proposal development and submission, you can expect that OSP will:

• Assemble the final proposal package for routing and approval
• Complete the routing form and any required sponsored forms
• Obtain signatures and coordinate the answers to any questions that the institutional signatories may have
• Package the final approved proposal and budget
• Deliver the proposal to the sponsor or arrange to have the proposal submitted electronically depending on sponsor requirements
• Retain proof of delivery

OSP maintains the university registry for several electronic proposal submission and grants administration platforms including NSF Fastlane, the NIH Commons , the GMS System for the Department of Justice, and Grants.Gov. OSP also maintains upgraded computer equipment and staff resources to assist Principal Investigators with electronic submission. Let your OSP staff member know if you plan to submit a proposal that requires electronic submission so that OSP can make sure that AU is properly registered.

Due to the difficulties inherent in the electronic submission process, OSP cannot guarantee the timely submission of proposals that are submitted less than 48 hours before the due date. Sometimes sponsor systems have difficulties or the platforms will not accept the documents as they are formatted. Proposals that do not meet the advance submission requirement of 48 hours will be accepted and OSP will attempt to send the proposal. Missing the advance submission requirement will mean that, should the sponsor system be having difficulty, OSP may not be able to make alternative arrangements with the sponsor in time for the legal due date.

Notify your assigned OSP staff member as soon as possible. Your proposal will be retroactively routed through the university approval process. All signatories will review your proposal to see if they agree with parameters, conditions, budget, and commitments that were made. In the most extreme cases, you may be asked to withdraw the proposal. The university always reserves the right to request modification of or reject an award received when there is no approved proposal on file with OSP.

Sponsor guidelines will determine this for you. If they require institutional commitments, cost-share from the university, signatures from officials in the central administration, or state that the award will be made to the university, you must submit through AU and OSP. If the sponsor guidelines refer to an "individual award," request only personal information about you, and give the funding to you directly, you do not need to go through OSP. If an individual award will impact your work at AU, through a research leave for example, it is a good idea to inform someone in your school or college that you are submitting. Even though such awards are not processed through OSP, if you need help with an individual award application, OSP staff are available to discuss it with you.

Discuss the grant with your dean or department chair and ask for their approval to begin transfer discussions with your former institution. Once you have received this approval, contact your assigned OSP staff member to arrange transfer logistics. The OSP staff will need to work closely with the staff at your previous institution so be prepared with their names and contact information. Once all the details have been agreed upon between the two institutions, the proposal, budget, and letters agreeing to accept the transferred grant will go through the university proposal routing approval process.

Before you can spend money, the award must be signed by the sponsor and accepted by the university. An award to the University from a sponsoring agency obligates the University to a contractual commitment. An award may simply be in the form of a letter issued by an authorized agent of the sponsor, or it may consist of a detailed contract. The Office of OSP normally receives notification of sponsor acceptance or rejection of proposals. If award notices or letters of rejection come directly to the applicant, original copies should be forwarded to OSP.

The University does not permit work to be performed on any proposed project until the sponsor has granted the award.  No charges may be incurred against a sponsored project until OSP has received and processed the formal award notification from the sponsor and an account number has been issued.  No commitments to personnel or subcontractors should be made prior to receipt of an official award document.  On occasion, the actual sponsor document authorizing project expenditures may be delayed.  If a short delay will impede the progress of the project, the Principal Investigator may request approval for limited early expenditures.  Such requests are channeled through OSP.  These and other exceptions to this policy are based on the written request of the Principal Investigator and the approval of the Dean of the School/College or the Unit Executive Head, and Dean of Academic Affairs.

Upon receipt of an award, the assigned OSP staff member informs the Principal Investigator. The OSP staff member coordinates with the Principal Investigator and academic unit to review the award, ensuring that it conforms to the proposal, that timetables, work statements, and deliverables are acceptable. Once everyone is in agreement, OSP submits the acceptance documents to the sponsor.

After establishing the project account number, the OSP staff member prepares and distributes a project start-up checklist, a project brief, and an authorized budget.  The checklist provides a quick review of standard policies and specific issues.   The project brief summarizes the terms and conditions of the agreement, particularly those directly affecting the Principal Investigator.  Each project brief indicates the name of the assigned OSP staff member and Accounting staff member.  The "Remarks" section details the sponsor approvals required before the University can begin expenditures.  As agreements are amended, the OSP staff will prepare and distribute revised project briefs reflecting the changes.

Summer salary paperwork is a personnel action and is initiated by the school or college. Check with your personnel administrator on the process within your unit.

Hiring someone on a sponsored program is a personnel action. It is initiated by the Principal Investigator in conjunction with the personnel administrator in the unit. Individuals hired on a sponsored program are subject to all AU policy and procedures as well as the terms of the grant agreement. Your personnel administrator will need confirmation that that the grant budget will serve as funding source for this employee and so will need the account number that has been established for your grant.

AU employees or current AU students cannot be paid as consultants. Please contact your OSP staff member and your personnel administrator for more information if you want to include these positions on your grants. The personnel action will need to be initiated by your unit.

Grant fund purchases should be made according to the approved budget that is part of the grant agreement. If you need to spend funds differently from the way it appears in the approved budget, you will need to request a rebudget of your grant funds.

The Principal Investigator must request such action from OSP in writing.  If sponsor approval is required, OSP will obtain the approval before the rebudget is authorized.  For general guidance on re-budgeting for federal projects refer to OMB Circular A-110, Section 25 - Revision of Budget and Program Plans at http://www.whitehouse.gov/omb/circulars/a110/a110.html#25

Should significant funds need to be transferred from one object code to another, the project brief will be revised.  

Consultants or subcontractors are hired to provide essential services unavailable from existing project personnel.  The Principal Investigator must discuss all proposed agreements in advance with their OSP staff member. In order to hire a consultant or subcontractor, the Principal Investigator should provide in writing to OSP: (1) The scope of work and payment milestones to be performed by the consultant; (2) the consultant's resume; (3) the consultant's address and social security number or company employee identification number (EIN); (4) the rate of pay; and (5) the duration of the Agreement.  See the checklist for consultant agreements in Attachment III-E of the Principal Investigator's Handbook. Consultant agreements are prepared by OSP in advance of the work being performed and require the consultant's signature. 

A Disbursement Request is initiated by the Principal Investigator to process consultant payments. When the disbursement request has been completed and approved by the Principal Investigator, the disbursement request, together with the consultant invoice and a copy of the consultant agreement are then forwarded to OSP. This applies to all University units except for CAS, where they are processed through the CAS Budget Office. The initiation of the disbursement request for payment indicates that the Principal Investigator is satisfied with the work and agrees to release grant funds.

The situation should be discussed with your OSP staff member as soon as it becomes a problem. The agreements with contractors are typically written so that there are clear performance and payment milestones. The longer you wait to formally bring it to the contractor's attention, the less work gets done and the more difficult the situation becomes. OSP can work with you and any other offices in the university necessary to resolve the issue.

All personnel, consultant payments, unbudgeted equipment with a value of $2,500 or more, and expenditures in excess of $5,000 total on one disbursement request or purchase order require the prior approval of OSP.  The only exception is the College of Arts and Sciences, which has its own Contract Administrator who is responsible for CAS expenditure approval and is not required to have OSP concurrence on any expenditure. 

Expenditures other than those listed above are processed through the School/College/Unit in the same way as other expenditures. OSP staff are available as a resource if those approving School/College/Unit expenditures have a question about a grant account expense.

Travel can be arranged and paid directly by the traveler, with subsequent reimbursement. However, AU strongly recommends using one of the travel agencies with which it has special agreements to arrange grant-funded travel. See http://www.campustravel.com/university/american/ . These travel agents charge fees ranging up to $35, but they can provide for the grant to be charged directly, so that no personal or AU credit cards need to be used. Researchers should contact their Dean's office for more information.

Purchase of alcohol on federal university grant sponsored activities is not allowed. The federal regulations on this are explicit as noted. OMB Circular A-21 section J.2 states that expenses for alcoholic beverages are an unallowable cost for a grant budget.

For private sponsors, reimbursement for alcohol at grant funded functions must be explicitly agreed to in the approved grant budget and those holding the event are required to follow all the policies and procedures of the AU alcohol policy. With regard to personal use of alcohol with private grant funds, the AU travel policy does not allow for reimbursement for alcoholic beverages consumed while on travel for AU business. Even if the sponsor policy on this matter is different, the AU policy governs.

The Controller's Office is responsible for the timely preparation of billings and financial reports to project sponsors.  Generally, Principal Investigators should not prepare and send billings or provide financial reports to sponsors unless the terms of the grant specify such and it has been coordinated with OSP and the Controller's Office in advance.

In some instances, the contract may have special reporting or invoicing requirements. These special cases will be coordinated in advance among the Principal Investigator, Office of the Controller, and the Office of Sponsored Programs.

The Principal Investigator prepares the technical reports. Most sponsored projects require technical reports detailing progress. These reports are part of the contractual agreement between the sponsor and the university.   Failure to submit reports on a timely basis may not only affect adversely the Principal Investigator's (and the University's) ability to receive further support from the sponsor, but may result in a loss of payment for costs already incurred.  Recently some agencies, including the Department of Education and the Department of Justice, have developed electronic submission procedures for technical reports that require certification by the Institutional Official.  In order to provide the certification to the agency, the Principal Investigator must route to the report to the Dean of the School or College.  After review and signature by the Dean, the report will be routed to the Institutional Official who will review it and authorize the electronic submission.

OSP informs Principal Investigators of due dates for technical reports and project close-out by listing those dates on the front page of the Project Brief. Due dates for reports are also listed in the award document.

As of  September 30, 2005 , all Principal Investigators with active grants are required to send copies of all technical reports to the Office of their Dean or Executive Unit Head as well as to the Office of Sponsored Programs. 

Discuss this with your OSP staff member as soon as it becomes an issue. Research shifts that create a redirection of the statement of work described in the original proposal must be discussed with the sponsor.  The Principal Investigator must obtain the approval of the teaching unit head, the college dean, and the Provost, and must send the sponsor a letter explaining the proposed change.  If the change necessitates rebudgeting or a revised scope of work, the project brief will be revised by OSP.

This is one of the issues addressed during the grant close-out period. Grant funds are to be used only for the purpose of the grant. If the work is complete, in most cases the funds must be returned to the sponsor, unless there are specific provisions in the agreement. Please check with your OSP staff member about your specific grant or contract.

The grant close-out period is the period 60-90 days before the end of the award in which the Principal Investigator reviews the technical and financial aspects of the award to make sure that all goals have been met and that all funds are properly expended.

OSP has developed an award management system to remind Principal Investigators of project close–out dates.  In order to alert Principal Investigators to an upcoming project close–out date, the assigned OSP staff member will send out a notice asking that the Principal Investigator contact OSP with regard to the project status.  Typically, the Principal Investigator would indicate the status as one of three:

• Close as scheduled
• Request a no-cost extension from the sponsor
• Put in a request for continued or additional funding

Discuss this with your OSP staff member. It may be possible to request a no-cost extension from the sponsor. Occasionally, the completion of grant or contract work may require more time than originally specified.  If no additional funds are necessary, a no–cost extension may be requested from the sponsor.  The Principal Investigator must notify OSP in writing of the need for a no–cost extension at least 60 days prior to the project expiration date so that OSP can obtain the sponsor's approval.

The University is subject to audit by sponsors for specific programs and is also audited annually for its administration of sponsored programs in accordance with the OMB Circular A-133.   Auditors representing sponsors will periodically examine the University's records for the purposes of:

• determining whether contract or grant funds were used in accordance with applicable laws, regulations, and procedures;
• making objective appraisals of the financial accounting system and administrative controls to ensure that programs are being charged with appropriate amounts; and
• determining the accuracy of the financial reports and records

Documentation of expenditures that includes original receipts is a requirement for the audit process.  The Office of the Controller, with assistance from OSP, coordinates all activities with sponsors' auditors.  Principal Investigators are required to be available during the audit process.

Any request for an audit or site visit should be discussed with your OSP staff member immediately upon receipt of the request and before agreeing to meetings with the external entity. This ensures that OSP can verify the identity of the person making the request and can coordinate with all relevant offices who need to provide information for the audit or site visit.

The Fly America Act applies to all federally-funded grants or contracts, even if the money is coming through a third party. It requires (with some limited exceptions) that all travelers use only American carriers when flying overseas. Travel on foreign carriers cannot be charged to a federally-funded grant or contract, unless one of the exceptions apply and is documented by the traveler or travel agent. Exceptions are allowed when the foreign destination is not serviced by an American carrier, or when use of an American carrier would dramatically extend the travel time. Please coordinate with OSP if there are any questions.

Travel costs can be paid as described above - through one of AU's travel agencies. Or the traveler can arrange his/her own travel and be reimbursed upon provision of full receipts. Meals can be provided, or the traveler can provide receipts for reimbursement. It is best to avoid payments of flat per diems, because such payments to foreign nationals usually entail extensive tax paperwork and filing requirements that are best avoided. Even if they are within the official U.S. government per diem rate, they are treated as taxable income. Contact your dean's office for more details or see http://www.american.edu/hr/pdf/FN_Tax.pdf

Even small honoraria to foreign nationals can require extensive documentation and tax filing. It is best to notify your Dean's office in advance, so that the paperwork can be prepared and waiting at the Payroll office for the foreign national's signature. Details are available at http://www.american.edu/hr/pdf/FN_Tax.pdf .

Sponsors receive many more proposals than they can fund. It may be a question of timing or resources. Do not always assume that something is wrong with the proposal. It is also unusual to receive external funding on your first try. As with many things, persistence is key to success.

The federal government is required to make review results available in a format of their choice. They may agree to a conference call, provide reviewer comments, or send a letter synthesizing the comments. Your OSP staff member can help you with this request although some agencies require that the request come from the Principal Investigator. Private Funding sources may or may not have the resources to provide feedback on your proposal and are not required to do so. OSP can also make this request for you.