Policies, Procedures, and Resources
Administration of Externally Funded Projects Policy
Regulations:
- Costs must be reasonable. This is defined as the action a prudent person would have taken under the circumstances.
- Costs must be allocable to sponsored agreements under the principles and methods described in the Uniform Administrative Requirements, Cost Principles and Audit Requirements for Federal Awards issued by the Office of Management and Budget (Uniform Guidance). Costs are incurred to benefit the specific sponsored project and able to be assigned to the project with a high degree of accuracy.
- Costs must be given consistent treatment through the application of generally accepted accounting principles appropriate to the circumstances. Similar costs are normally treated as either Direct or Indirect across the University.
Federal regulations identify specific categories of costs that cannot be charged, directly or indirectly, to federally sponsored agreements.
The following list covers costs specifically designated as allowable or unallowable in the . This is a quick reference guide and PIs should consult with ORSP about the allowability of costs.
CFR |
Item of Cost |
Allowable |
Unallowable |
§200.421 |
Advertising and public relations. |
X* |
|
§200.422 |
Advisory councils. |
|
X |
§200.423 |
Alcoholic beverages. |
|
X |
§200.424 |
Alumni/ae activities. |
|
X |
§200.425 |
Audit services. |
X** |
|
§200.426 |
Bad debts. |
|
X |
§200.427 |
Bonding costs. |
X |
|
§200.428 |
Collections of improper payments. |
X |
|
§200.429 |
Commencement and convocation costs. |
|
X |
§200.430 |
Compensation—personal services. |
X |
|
§200.431 |
Compensation—fringe benefits. |
X |
|
§200.432 |
Conferences. |
X |
|
§200.433 |
Contingency provisions. |
|
X |
§200.434 |
Contributions and donations. |
|
X |
§200.435 |
Defense and prosecution of criminal and civil proceedings, claims, appeals and patent infringements. |
|
X |
§200.436 |
Depreciation. |
X* |
|
§200.437 |
Employee health and welfare costs. |
X |
|
§200.438 |
Entertainment costs. |
|
X |
§200.439 |
Equipment and other capital expenditures. |
X** |
|
§200.440 |
Exchange rates. |
X* |
|
§200.441 |
Fines, penalties, damages and other settlements. |
|
X |
§200.442 |
Fund raising and investment management costs. |
|
X |
§200.443 |
Gains and losses on disposition of depreciable assets. |
X* |
|
§200.444 |
General costs of government. |
|
X |
|
Gift Cards |
X | |
§200.445 |
Goods or services for personal use. |
|
X |
§200.446 |
Idle facilities and idle capacity. |
|
X |
§200.447 |
Insurance and indemnification. |
X* |
|
§200.448 |
Intellectual property. |
X* |
|
§200.449 |
Interest. |
X* |
|
§200.450 |
Lobbying. |
|
X |
§200.451 |
Losses on other awards or contracts. |
|
X |
§200.452 |
Maintenance and repair costs. |
X |
|
§200.453 |
Materials and supplies costs, including costs of computing devices. |
X* |
|
§200.454 |
Memberships, subscriptions, and professional activity costs. |
X* |
|
§200.455 |
Organization costs. |
|
X |
§200.456 |
Participant support costs. |
X |
|
§200.457 |
Plant and security costs. |
X |
|
§200.458 |
Pre-award costs. |
X** |
|
§200.459 |
Professional service costs. |
X* |
|
§200.460 |
Proposal costs. |
X |
|
§200.461 |
Publication and printing costs. |
X** |
|
§200.462 |
Rearrangement and reconversion costs. |
X |
|
§200.463 |
Recruiting costs. |
X* |
|
§200.464 |
Relocation costs of employees. |
X* |
|
§200.465 |
Rental costs of real property and equipment. |
X* |
|
§200.466 |
Scholarships and student aid costs. |
X |
|
§200.467 |
Selling and marketing costs. |
X*** |
|
§200.468 |
Specialized service facilities. |
X |
|
§200.469 |
Student activity costs. |
|
X |
§200.470 |
Taxes (including Value Added Tax). |
X* |
|
§200.471 |
Termination costs. |
X* |
|
§200.472 |
Training and education costs. |
X |
|
§200.473 |
Transportation costs. |
X |
|
§200.474 |
Travel costs. |
X |
|
§200.475 |
Trustees. |
X* |
|
* - Allowable under limited Circumstances
** - Allowable only with prior permission from the grantor
*** - Allowable only as a direct cost with permission from the grantor
Cal State East Bay has an Institutional Biosafety Committee (IBC) that helps facilitate research by reviewing, approving, and monitoring research projects that involve biological materials that may otherwise pose risk to health and safety of plants, animals, or humans. This includes:
- Biohazardous agents (e.g bacteria, viruses, fungi, protozoa, prions)
- Human and/or nonhuman primate source material (e.g. blood, tissue, primary and established cell lines)
- Recombinant or synthetic DNA or RNA (rDNA) (SNA)
- Infectious agents
- Hazardous Waste
All Cal State East Bay researchers are expected and required to abide by federal, state, and local regulations and federal agency guidelines while conducting biological research, even if their individual grant or lab does not receive funding from a federal agency. Failure to abide by the Guidelines can result in suspension or termination of funding for all government-supported research at Cal State East Bay.
Research and use of certain materials must be disclosed to and reviewed, and approved by the ÂÌñ»»ÆÞ IBC. This is done through the Biological Use Application (BUA), a document that describes the important regulatory and safety information for the biological research performed by your lab. Contact Lyanh Luu for additional information - lyahn.luu@csueastbay.edu
Centers and Institutes Policy
Centers and Institutes Website
Centers and Institutes Charter Application or Renewal Procedural Guide
Centers and Institutes Charter Application or Renewal Reference Guide
Centers and Institutes Annual Report Procedural Guide
Centers and Institutes Annual Report Reference Guide
or New/Renewals and Annual Reporting
Conflict of Interest Policy 20-21 CR 8 (Replaced 2019-2020 CR 3 and 2007-08 CR 3)
Conflict of Interest Procedures (Revised 10/25/2022)
Regulations
Forms
- 700-U Statement of Economic Interests for Principal Investigators
- NSF COI Form - see Cayuse for submittal
- NIH COI Form - see Cayuse for submittal
- DOE COI Form - see Cayuse for submittal
- Disclosure Chart
Cost Transfers (expenditure transfers from one project or account to another) for federal grants and contracts are subject to federal uniform guidance (2-CFR-200).
"Direct cost allocation principles: If a cost benefits two or more projects or activities in proportions that can be determined without undue effort or cost, the cost must be allocated to the projects based on the proportional benefit. If a cost benefits two or more projects or activities in proportions that cannot be determined because of the interrelationship of the work involved, then, notwithstanding of this section, the costs may be allocated or transferred to benefited projects on any reasonable documented basis. Where the purchase of equipment or other capital asset is specifically authorized under a Federal award, the costs are assignable to the Federal award regardless of the use that may be made of the equipment or other capital asset involved when no longer needed for the purpose for which it was originally required. See also through and ."
Allowable transfers are limited to approved cost reimbursable items on the approved budget. There are limitations regarding transfers of remaining funds or funds to cover deficits. "Any excess of costs over income under any other award or contract of any nature is unallowable. This includes, but is not limited to, the non-Federal entity's contributed portion by reason of cost-sharing agreements or any under-recoveries through negotiation of flat amounts for indirect (F&A) costs. Also, any excess of costs over authorized funding levels transferred from any award or contract to another award or contract is unallowable. All losses are not allowable indirect (F&A) costs and are required to be included in the appropriate indirect cost rate base for allocation of indirect costs. "
ORSP Policy and Procedures (in revision)
- this includes links to areas in which NIH has sharing policies.
- : you can find recordings and resource slides and training opportunities for NIH sharing policies. They will continue to post additional resources, so be sure to check back frequently. This website includes: webinars, slide sets, policy-at-a-glance, and a decision tool that will help to figure out which policies are applied to your research.
- to the NIH policy for data management and sharing: selecting a repository for data resulting from NIH supported research.
- You will find official NIH statements, reports, and guide notices on policies related to data sharing.
- page is available to stay in the loop as new resources and events are announced.
Debarment and Suspension Policy 20-21 CR8 (Replaced 19-20 CR3 and 2007-08 CR 2)
Debarment and Suspension Procedures
Effort Policy
Regulations
Forms
- FTE Earnings Distribution Request (To ensure all grant employees are charged to correct fund)
- Faculty Additional Employment Request (2403) Procedure Guide with Form Workflow
- Effort Certification Form
Resources:
- Academic Affairs - Faculty Additional Employment Guidelines
Faculty Support Grants Administration Guide
Additional information about the FSG program is available on Faculty Support Grants page.
FFATA Reporting Guidance
Click for the Federal Funding Accountability and Transparency Act Subaward Report System
Intellectual Property Policy 22-23 BEC 6
Also see:
- Council on Government Relations (COGR) October 2021 update of
- Invention Disclosure Form
Some external sponsors limit the number of proposals that may be submitted by an institution. This policy provides guidance on the selection of proposals for submission.
Limited Submission Policy
Research Misconduct Policy and Procedures
Regulations:- for PHS Policy on Research Misconduct
- for NSF Policy on Research Misconduct
Research participant incentives are provided to the subjects of human research to motivate their participation. IRB approval is required for the payment of participant incentives.
Guidance for Providing Research Incentive Payments
Research Incentive Payment Request Form
Acknowledgement of Receipt Form (also available via AdobeSign workflow)
Hospitality Form - via AdobeSign workflow (Note: a hospitality form is also needed per the updated campus )
Responsible Conduct of Research Policy
(33 Minutes)
Regulations:
NIH Policy: "This Notice applies to the following programs: D43, D71, F05, F30, F31, F32, F33, F34, F37, F38, K01, K02, K05, K07, K08, K12, K18, K22, K23, K24, K25, K26, K30, K99/R00, KL1, KL2, R25, R36, T15, T32, T34, T35, T36, T37, T90/R90, TL1, TU2, and U2R." "This policy also applies to any other NIH-funded programs supporting research training, career development, or research education that require instruction in responsible conduct of research as stated in the relevant funding opportunity announcements."
Allows for training by video-conference, but an in-person face-to-face component is also required. Updated subject matter components (see listing at link above).
"NSF expects institutions to be able to verify that those students (undergraduates and graduates) and postdoctoral researchers who receive NSF funds (support from salary and/or stipends to conduct research on NSF grants) will obtain RCR training. However, NSF anticipates that institutions will develop their RCR training programs in a manner that helps prepare the next generation of researchers, including the consideration of risks or other factors associated with student and postdoctoral researcher participation in research."
"The RCR training requirement applies to new proposals submitted, or due, on or after January 4, 2010, to conduct research, which excludes, for example, conference, symposium, workshop, or travel proposals."
"The RCR training plan must be in place at the time of proposal submission."
"In accordance with sections 2, 3, and 8 of 2 CFR Part 422, institutions that conduct USDA-funded extramural research must foster an atmosphere conducive to research integrity, bear primary responsibility for prevention and detection of research misconduct, and maintain and effectively communicate and train their staff regarding policies and procedures." "The general content of the ethics training will, at a minimum, emphasize three key areas of research ethics: authorship and plagiarism, data and research integration, and reporting misconduct."
Online Training: Students and faculty can access CITI courses at
There are 3 different online courses for the Responsible Conduct of Research:
- Biomedical Responsible Conduct of Research Course 1. (ID: 31479)
- Social and Behavioral Responsible Conduct of Research Course 1. (ID: 31480)
- Physical Science Responsible Conduct of Research Course 1. (ID: 31481)
Please choose the course appropriate to your discipline/project. More information about online training courses can be found on the ORSP training website
Sexual Harassment and Assault Reporting Procedures
Cal State East Bay is committed to creating and maintaining an educational, working, and living environment free from all forms of harassment and sexual misconduct.
Resources:
- Cal State East BayTitle IX website
- Off-campuses Resources
- Letter template for NSF-sponsored conferences
Regulations:
- (Rev. 2022)
- Student Conduct Procedures
- ) regarding NSF-funded conferences
Subrecipient Monitoring Policy
Subrecipient Monitoring Internal Procedures
Subrecipient Frequently Asked Questions (FAQS)
Regulations:
Forms:
- Subrecipient Commitment Form
- Purchase Request Form to establish subcontract
- Subrecipient Monitoring Report
Operation of Unmanned Aircraft Systems (UAS) and Unmanned Aircraft Vehicles (UAV) Policy
UAS/UAV Use Application The UAS/UAV application must be submitted at least 60 calendar days before the proposed flight date to allow sufficient time for review and approval.
External Regulations
2 CFR 200 Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards