Research and Sponsored Programs
There are three phases of the Program, each focusing on a specific aspect of the process. The Pre-Award step must be approved prior to beginning work on the Proposal. The Proposal phase includes the details of the proposed work. If successful, then the Post-Award activities are essential to monitor and report.
Assistant Comptroller, Grant
Phone (& Fax): 580.745.2884
Administration Building, Room 205
Office hours: Fall and Spring, 8:00 am-5:00 pm, Monday-Friday
June and July Summer hours: 8:00 am-5:00 pm, Monday-Thursday; closed Fridays
Proposal Development / Pre-Award
Once a decision has been reached to write a proposal for external funding, PRIOR APPROVAL MUST BE GIVEN to proceed. The Research and Sponsored Programs Manager must give permission for the project before the proposal is written. The “Internal Review and Approval Form” should be completed and signed to indicate that the permission for the project has been granted. A copy of this form should be given to the Research and Sponsored Programs office. ANY AND ALL Partnership grants (i.e. collaboration with another group such as the Choctaw Nation) MUST receive PRIOR APPROVAL before proposal work should begin. Please contact Research and Sponsored Programs office at extension 2142 for additional information.
This is a reminder that if you plan to do any research that involves human subjects, you must get approval of this research from the Institutional Review Board The form will be at the bottom of the page. Please complete this form and be sure to answer every question specifically by number. Include all supporting materials. The completed application should be sent to Dr. Jon Reid in the Department of Behavioral Sciences, Russell 303. Any questions should be directed to Dr. Reid at firstname.lastname@example.org or ext. 2390.
Once the project has been approved and the proposal written, the proposal should be routed for appropriate signatures AT LEAST TWO WEEKS PRIOR to the due date of the proposal in order to be sure the proposal will be approved and submitted in a timely manner. The following internal forms should be attached to the completed proposal:
- Grant Proposal/Grant Award Routing and Approval form
- Proposed Grant Summary
- Matching Funds for Grants and Contracts (if applicable)
Proposals will not be submitted until all required approvals have been obtained.
The following information is often requested on a proposal:
- EIN Number (Tax ID): 37-1785782 (Rev. 1.4.2016)
- UEI: M62FWE8AB3N9
- DUNS Number: 045590452
- Congressional District: OK-002
- NAICS code: 611310
- President’s Office Information:
- Indirect Cost Rate Information:
On-campus: 43% of Salaries and Wages (does not include fringe benefits)
Off-campus: 17% of Salaries and Wages (does not include fringe benefits)
Once an award has been made from a sponsor, the award document should be submitted for review and signature following the same routing process as the associated proposal. The Grant Proposal/Grant Award Routing & Approval form that was used to route the proposal should be attached to the award document and sent through the routing process again for review and approval. Also, attach the approved Matching form if applicable. Other Internal forms that should be completed and routed with the award document and the Grant Proposal/Grant Award Routing & Approval form are:
Other Forms (if applicable):
If release time has been granted, the Salary Distribution form should be attached to the employee transaction form(s) Once these forms have been approved and the President has signed off on the award document, the budget will be entered into the DPS system.
If this is a new grant award, a DPS application form must also be completed. The Research & Sponsored Programs office will assist you with this form. Once a year, the request for Faculty Grantsmanship Supplemental Compensation allows the faculty member directing the project to get 3% of the direct expenditures up to $1,500 (up to $2,500 for multiple project directors) and may also be awarded 50% of the net indirect cost. Please contact the Research & Sponsored Programs office for additional information.
Internal Grant Account Number – Awarded Agreements
The Office of Research and Sponsored Programs implements internal financial accounting on all externally-funded awards. Externally-funded programs are assigned a unique set of financial accounting identifiers through the Office of Research and Sponsored Programs. Budgets for externally-funded programs are uploaded to the SE POISE System by the Manager of Research and Sponsored Programs using the uniquely assigned accounting identification numbers.
Financial management of all externally funded programs must be in accordance with the state laws and procedures on accounting processes. SE, in accordance with the OMB Uniform Guidance, maintains a financial management system that provides for the following:
- SE’s financial management system meets satisfactory requirements for records documentation, preparation of reports required by general and program-specific terms/conditions and tracking of funds expensed against a program. It adheres to mandates set-forth within the Uniform Guidance.
- SE’s financial management system identifies, through unique identification numbers, information to identify Federal/Non-Federal awards received and expended. Federal program and Federal award identification will include the Catalog of Federal Domestic Assistance number (CFDA), Federal award identification number (FAIN), dates of service, the name of federal agency, and pass-through entity, if applicable.
- SE’s financial management system includes an accurate, current, and complete disclosure of the financial data of each Federal award or program that allows for preparation of reports in accordance with the reporting requirements set forth in the Uniform Administrative Guidance and state guidelines. SE uses and maintains records via the accrual method of accounting.
- SE maintains records that identity the source and application of funds for Federal award activities. This record contains information pertaining to the Federal award, authorizations, obligations, assets, and expenditures.
- SE maintains effective control for all funds, property, and other assets. Property records are managed through the Office of Finance. Audits are performed by the Office of Finance for all equipment purchases both externally funded and university on an annual basis. The tracking system records the description of equipment/property, serial number, source of funding, cost of property, acquisition date, Federal Award Identification Number (FAIN)-when applicable and condition or disposal information.
- SE maintains comparison of expenditures with budget amounts for all externally funded awards.
- SE’s financial management system meets the standards for fund control, accountability, obligation and expenditure of funds. SE strives to minimize the time elapse between transfer of funds and disbursement at all times. Externally funded programs are generally based on the cost-reimbursement method. When serving as a pass-through entity and the reimbursement method is utilized, SE makes payment within 30-45 calendar days after the receipt of required documentation which would include accurate invoicing conditions.
SE follows the general criteria allowable under Federal awards:
- Be necessary and reasonable for the performance of the Federal award and be allocable thereto under these principles.
- Conform to any limitations or exclusions set forth in these principles or in the Federal award as to types or amount of cost items.
- Be consistent with policies and procedures that apply uniformly to both federally-financed and other activities of the non-Federal entity.
- Be accorded consistent treatment. A cost may not be assigned to a Federal award as a direct cost if any other cost incurred for the same purpose in like circumstances has been allocated to the Federal award as an indirect cost.
- Be determined in accordance with generally accepted accounting principles (GAAP), except, for state and local governments and Indian tribes only, as otherwise provided for in this part.
- Not be included as a cost or used to meet cost sharing or matching requirements of any other federally-financed program in either the current or a prior period. See also §200.306 Cost sharing or matching paragraph (b).
- Be adequately documented. See also §§200.300 Statutory and national policy requirements through 200.309 Period of performance of this part.
The Office of Research and Sponsored Programs follows procurement policy and procedure set forth by Southeastern Oklahoma State University, the State of Oklahoma, and when federal funding is involved, the Uniform Guidance Part 200 and subparts. Purchases are acquired through Purchase Request/Purchase Order or Purchasing Card. The acquisition of goods or services to complete specified award activities will be competitive, fair, and prepared within a timely manner. The PI/PD will ensure that purchasing procedures are followed as referenced in the Procurement Procedures Guidelines and are actual, allowable, reasonable, and necessary for the completion of the intended scope of the award. Purchases must occur within the contract, agreement, grant, or sub-award dates of service (budget period) found on the fully-executed award agreement.
The Purchasing Department is responsible for all university procurement activity. Southeastern Oklahoma State University purchasing policy follows the guidelines of the Regional University System of Oklahoma, the Oklahoma State Regents for Higher Education, the Office of State Finance, and Oklahoma Statutes.
This policy identifies the university’s responsibilities for monitoring the programmatic and financial undertakings of the sub-recipient to ensure acceptable performance and stewardship of sponsor funds. The following policy applies to all sub-awards administered at Southeastern Oklahoma State University. The purpose is to ensure the PI/PD and financial administrators are achieving performance goals and sub-recipients comply with applicable federal laws and regulations in addition to provisions of the State of Oklahoma.
Sub-recipient – a non-Federal entity that receives a sub-award from a pass-through entity to carry out a part of a Federal program; but does not include an individual that is a beneficiary of such program. A sub-award is for the purpose of carrying out a portion of a Federal award and creates a Federal assistance relationship with the sub-recipient. A sub-recipient may also be a recipient of other Federal awards directly from a Federal awarding agency.
Pass-through entity – a non-federal entity that provides a sub-award to a sub-recipient to carry out the program goals. This entity is sometimes referred to as the “prime” organization.
Sub-award – Enforceable agreement, issued under a prime sponsor, between a pass-through entity and a sub-recipient for the performance of a portion of the program goals. It requires direct decision making and measurable performance requirements related to the prime award. The university is required by Uniform Guidance §200.207, §200.338-340 to evaluate each sub-recipient’s risk and provide guidance in the monitoring of activities of the sub-award to ensure compliance with applicable Federal statutes and regulations. The sub-recipient will be subject to audit standards set-forth under the Uniform Guidance regulations referenced in Subpart F. For non-federal awards, SE may also be required to provide evidence of due diligence in reviewing the ability of a sub-recipient to properly meet the objectives of the sub-award and stewardship of funds awarded. SE must undertake certain activities to monitor Sub-recipients including but not limited to pre-qualification, risk assessment, reporting, site-visits and regular correspondence. See Uniform Guidance §200.200-200.211 for more comprehensive guidelines. Failure to adequately monitor the compliance of sub-recipients could jeopardize current and future funding. When SE is the prime recipient, it is the university’s responsibility to ensure good stewardship of the sponsored funding. Detailed regulations on sub-recipient agreements can be found at: Uniform Guidance 2CFR Part 200—Sub-recipient Monitoring and Management Link: Code of Federal Regulation-Uniform Guidance 2CFR Part 200.
Time and Effort Reporting
Personnel on externally-funded programs are responsible for the tracking of effort committed to each federal project. Effort Reports are required on a semester basis for the duration of the award. Expenses for salary and wages to federal awards must be based on records that accurately reflect work performed. Records must be supported by a system of internal control which will substantiate that the charges are accurate, allowable, and properly allocated. They must be a part of SE’s record and reflect total activity not to exceed 100% of compensated activities according to SE’s definition of the Institutional Base Salary. For federal awards, the effort must reflect both federally assigned and all other activities compensated by SE on an integrated basis. They must comply with accounting policies and practices of SE. Effort reporting is a federal requirement.