Troy University
SACS Reaffirmation of Accreditation
3.10.5 The institution maintains financial control over externally funded or sponsored research and programs. (Control of sponsored research/external funds)
 
X Compliance   Partial Compliance   Non-Compliance

Narrative:  

Troy University is in compliance with this Comprehensive Standard.

The institution maintains financial control over externally funded or sponsored research and programs. Specific details of Troy University policy regarding sponsored programs and externally funded research can be found in Section 500 of the University’s ePolicy Manual and at the Office of Sponsored Program Web site.

Troy University has policies concerning the monitoring and fiscal responsibility of externally and internally sponsored research programs. Troy University’s oversight for external funded programs is the responsibility of the Office of Sponsored Programs. The goals of the Office of Sponsored Programs are to help faculty and administrators secure funding, to limit the burden of regulations to a minimum, and to ensure programmatic and fiscal accountability for all sponsored programs. The Office of Sponsored Programs also has the responsibility for assuring that all agency guidelines and Troy policies are followed.

Because applicants for sponsored programs are representatives of Troy University, all proposals must pass through a review and submission process established by the University. The University maintains oversight of the proposal process from its beginning until it is signed as accepted by the appropriate University officials.

Upon notification of the intent to apply for a sponsored research project, the applicant is required to complete a transmittal sheet. The transmittal sheet details all of the information regarding the proposal. All proposals must pass through the review process established by the University to ensure conformity with established University policies and procedures before being submitted to an agency for funding consideration. If not in compliance, the Office of Sponsored Programs, the principle investigator and the sponsoring agency must renegotiate the arrangements to be in compliance with University guidelines.

Cost allocation for externally funded or sponsored research and programs

A major concern of funded proposals is the allocation of proposal costs, The Office of Sponsored Programs manual clearly provides guidelines that delineate how specific proposal expenses are to be allocated. These items include:

  • Travel. All travel (either in-state or out-of-state) is governed by the University's travel policy as stated in the Troy University ePolicy Manual Section 706. The traveler is required to complete an Application for Travel Approval Form for approval and upon returning must complete an Expense Account Form as shown in the travel guidelines.
  • Indirect Costs Also known as facilities and administration costs, indirect costs are defined as costs that have been incurred for common or joint objectives of Troy University and the sponsored program.

Supplies and equipment

The Office of Sponsored programs suggests that contract writers contact Sponsored Program Purchasing prior to the budgeting of supplies and equipment in a proposal. Purchasing activity for Sponsored Programs adheres to the guidelines of Troy’s general purchasing policies and procedures. Policies and guidelines are also available for interdepartmental transfers, permanent equipment and inventory and property control.

After meeting Troy guidelines, submission to the sponsoring agency and the receipt of a fully executed contract or grant award, the Office of Sponsored Programs contacts Sponsored Programs Accounting to obtain a restricted account number for the project. The Office of Sponsored Programs also prepares an Account Notification Packet that outlines the restricted number and the budget breakdown and position numbers tied to the account. The Office of Sponsored programs also forwards the packets to the appropriate University officials. Complete information regarding accounts is provided on the Office of Sponsored Programs Web site.

Fiscal oversight of external grants

Sponsored Programs Accounting maintains fiscal oversight of ongoing proposals. The principal investigator of each project has access to a regularly updated status report of transactions that have been posted to the account through the financial records system. To further monitor the financial reporting on the sponsored project, the Office of Sponsored Programs provides a financial and technical report based upon the requirements of the sponsoring agency. Periodically sponsored project accounts are audited by external agencies. When performing these audits, the University applies the guidelines cited in applicable Office of Management and Budget circulars below:

OMB Circular A-21 establishes the principles for determining costs applicable to grants, contracts and other agreements with colleges and universities. These principles are to be used as a guide in the pricing of fixed price agreements and apply to direct costs and indirect costs.

OMB Circular A-110 provides a public declaration of the standards to be used by federal agencies and colleges and universities in the administration of grants and other agreements. This does not include contracts that are administered under procurement laws and regulations.

OMB Circular A-133 states audit requirement and provides policy guidance to federal agencies and colleges and universities regarding the institutions' financial records, internal control structure and compliance with applicable laws and regulations.

Sponsored research - Personnel

University writers are asked to contact Sponsored Program Human Resources prior to the budgeting of positions in a proposal. All personnel who are paid salaries or wages from a sponsored project account must be paid in accordance with Office of Sponsored Programs and University personnel guidelines.

 

Supporting Documentation Location
ePolicy Manual http://sacs.troy.edu/reference/epolicy/
OMB Circular A-21 http://www.whitehouse.gov/omb/circulars/a021/a021.html
OMB Circular A-110 http://www.whitehouse.gov/omb/circulars/a110/a110.html
OMB Circular A-133 http://www.whitehouse.gov/omb/circulars/a133/a133.html
Sponsored Programs http://www.troy.edu/osp/

 

Last Updated: 08/26/2008