Policies, Procedures, and Resources

Administration of Externally Funded Projects Policy

Regulations:
Code of Federal Regulations 2 CFR 200 Uniform Guidance
ICSUAM 11001.00 (Sponsored Programs Administration Introduction)

1. Costs must be reasonable. This is defined as the action a prudent person would have taken under the circumstances.
2. 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.
3. 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 Uniform Guidance. This is a quick reference guide and PIs should consult with ORSP about the allowability of costs.  

* - Allowable under limited Circumstances 
** - Allowable only with prior permission from the grantor 
*** - Allowable only as a direct cost with permission from the grantor

Amendments Policy

Amendments Procedures

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 CSUEB  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

InfoReady website for New/Renewals and Annual Reporting 

Check Request Guidelines (Accounts Payable)

Forms:

• Check Request Form

Closeout policy

Regulations

• Code of Federal Regulations 2 CFR 200 Uniform Guidance (200.343)
• ICSUAM 11003.11 (Project Closeout)

See also Record Retention Policy

Conflict of Interest Policy 20-21 CR 8     (Replaced 2019-2020 CR 3 and 2007-08 CR 3)

Conflict of Interest Procedures (Updated 12/16/2024)

Cayuse Conflict of Interest - Outside Interests submittal system

Regulations 

• Code of Federal Regulations 2 CFR 200 Uniform Guidance (200.112)
• ICSUAM 11010.02 (Conflict of Interest)

Forms

• Cayuse - Conflict of Interest Module - known as "Outside Interests" - Submit your COI online.

• 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

Short Term Limited Scope Form

Short Term Limited Scope Instructions

Cost Sharing Policy

Regulations:

• Code of Federal Regulations 2 CFR 200 Uniform Guidance (200.306)
• ICSUAM 11003.07 (Cost Sharing)

• Cost Sharing Form

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 paragraph (c) 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 §§ 200.310 through 200.316 and 200.439."

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. "

Expense Transfer Form

Express Transfer Form Instructions

ORSP Policy and Procedures (in revision)

NIH

• Scientific data sharing: this includes links to areas in which NIH has sharing policies.
• Data Management and Sharing policy overview
• FAQ
• Learning Page: 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.
• Supplemental Information to the NIH policy for data management and sharing: selecting a repository for data resulting from NIH supported research.
• Statements and Notices. You will find official NIH statements, reports, and guide notices on policies related to data sharing.
• News and Events 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

• Executive Order 12549

Drawdown Policy

Effort Policy

Regulations

• Code of Federal Regulations 2 CFR 200 Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards
• ICSUAM 11003.06 (Compensated Effort)
• Board of Trustees Executive Order No. 1000
• CSU Additional Employment Policy HR 2002-05
• Technical Letter HR/Salary 2015-222 (2403 Job Code use for additional employment) CSU Collective Bargaining Agreement, Unit 3. Article 20 & 36

Forms

• ORSP Faculty Additional/Appointment Compensation (Overload)
• ORSP Reimbursed Compensation (Faculty Release Time)
• 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

Equipment Policy

Regulations

• Code of Federal Regulations 2 CFR 200.33 Equipment

See the Property Management website for more information

Export Control Policy

Regulations:

• Export Administration Regulations (EAR)
• International Traffic in Arms Regulations (ITAR)
• Office of Foreign Asset Controls (OFAC)

Resources:

• Visual Compliance
• Department of Commerce Export Control Brochure for Universities

Faculty Support Grants Administration Guide

Additional information about the FSG program is available on Faculty Support Grants page.

FFATA Reporting Guidance

Click here for the Federal Funding Accountability and Transparency Act Subaward Report System

Hospitality Policy

Indirect Cost Policy Effective 4/1/2023

Federal Rate Agreement (updated 03/27/2023)

Archived Indirect Cost Policy - prior to March 2023

Regulations:

• Uniform Guidance 2 CFR 200.56
• California Model Agreement Resources (CSU)
• ICSUAM 11003.03

IACUC Policy 20-21 CR 14

Regulations:

• PHS Policy on Humane Care and Use of Laboratory Animals  (OLAW)
• Animal Welfare Act (U.S. Dept. of Agriculture)

Resources:

• CSUEB IACUC website

IRB Policy 20-21 CR 15

Resources:

• CSUEB IRB Website

Intellectual Property Policy 22-23 BEC 6

Also see:

• Library guidance on copyright
• Council on Government Relations (COGR) October 2021 update of The Bayh Dole Act - A Guide to the Law and Implementing Regulations
• Invention Disclosure Form

International Agreements

CSU International Agreements Policy

Also see:

• International Agreements Procedures

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

P-Card Policy (Office of Procurement Services)

Resources:

• P-Card website (Office of Procurement Services)

Participant Support Costs

• NSF PAPPG (II.D.2 f (v))

Principal Investigator Policy

Request for Provisional PI Status

• CSU Procurement Policy
• Procurement and Support Services
• Purchasing
• CSU East Bay Procurement How-To Guide

Record Retention Policy

Regulations:

• CSU Executive Order 1031
• CSU Record Retention and Disposition Schedule
• 2 CFR 200.333

Resources:

• CSU Records Retention and Disposition Website

Reporting Policy

Regulations:

• ICSUAM 11002.07 (Reporting & Records Management)
• Freedom of Information Act
• Richard McKee Transparency Act
• AB 2192

Research Misconduct Policy and Procedures

• 42 CFR Part 93 for PHS Policy on Research Misconduct

• 45 CFR Part 689 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 hospitality policy)

Research Incentive Payment Distribution Form PDF  Excel

Student Account Upload Template

Responsible Conduct of Research Policy

RCR Training Plan

RCR Training Video (33 Minutes)

Regulations:

• NIH Update on the Requirement for Instruction in the Responsible Conduct of Research Training Requirement

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."

• NIH FY 2022 Updated Guidance: Requirement for Instruction in the Responsible Conduct of Research

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 Responsible Conduct of Research (RCR) Training Requirement
• NSF RCR Defined with Resources

"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."

• U.S. Dept. of Agriculture Responsible and Ethical Conduct of Research Training Requirement

"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 CITI Program for the Responsible Conduct of Research (RCR)

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
• CSU Title IX website
• NIH Anti-Sexual Harassment for Awardee Organizations and Those Who Work There
• NSF Sexual Harassment website
• Off-campuses Resources
• Letter template for NSF-sponsored conferences

Regulations:

• CSU Policy Prohibiting Discrimination, Harassment, Sexual Misconduct, Sexual Exploitation, Dating Violence, Domestic Violence, Stalking and Retaliation (Rev. 2022)

• CSU Executive Order 1098 Student Conduct Procedures

• FDA Sexual Harassment Policy Concerning Extramural Research
• NASA Reporting Requirements Regarding Findings of Harassment, Sexual Harassment, Other Forms of Harassment, or Sexual Assault
• NIFA Sexual Harassment Notification Process
• NSF term and condition regarding sexual harassment, other forms of harassment, and sexual assault
• NSF Proposal and Award Policies and Procedures Guide (Chapter II.E.7) regarding NSF-funded conferences
• USDA Anti-Harassment Policy

Subrecipient Monitoring Policy

Subrecipient Monitoring Summary

Subrecipient Monitoring Internal Procedures

Subrecipient Frequently Asked Questions (FAQS)

Regulations:

• 2 CFR 200.330 Subrecipient and Contractor Determinations
• 2 CFR 200.331 Requirements for Pass-Through Entities
• 2 CFR 200.332 Fixed Amount Subawards

 Forms:

• Subrecipient Commitment Form
• Purchase Request Form to establish subcontract
• Subrecipient Monitoring Report

CSU Travel Policy

CSUEB Travel Website (Financial Services Office)

Driving on Campus Business (Risk Management)

List of California Banned Travel States

CSU High Hazard International Travel Policy

Operation of Unmanned Aircraft Systems (UAS) and Unmanned Aircraft Vehicles (UAV) Policy

Procedures for Request and Approval of the Use of Unmanned Aircraft Systems (UAS) and Unmanned Aircraft Vehicles (UAV) on California State University East Bay (CSUEB) Campuses or on behalf of CSUEB

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.

UAS/UAV Decision Tree

American Security Drone Act of 2023