Standard Operating Procedures Cost Share Updated January 11, 2024 Overview Cost sharing is the portion of the total costs of a sponsored project that is borne by Arkansas State University rather than the sponsor. Cost sharing (sometimes called match ) can take the form of salary support for project personnel or other material contributions such as funds to purchase supplies or equipment. It can also include in-kind contributions from a third party (not A-State) in support of the sponsored project objectives. A specific and quantifiable offer of cost sharing in a proposal becomes an obligation that the university must fulfill. Generally, the university seeks to minimize these obligations because a voluntary commitment to cost share: Increases the requirements for auditable record-keeping by imposing a substantial tracking, monitoring, recording, and documenting burden on the PI and university administrators. Redirects departmental, school, college, or central resources from other mission-critical uses to support sponsored agreements. Has an adverse effect on the university’s Facilities and Administration (F&A; also known as Indirect Cost or IDC) In the calculation of the F&A rate, the denominator is the university’s organized research base – the direct costs associated with sponsored projects and non-sponsored research. The numerator is the university’s research pool expenses, or the facilities and administrative costs associated with supporting organized research. The total amount of the university’s cost-sharing must be included in the denominator. The increase in the denominator serves to decrease the university’s overall F&A rate. Increases the university’s exposure to audit liability. Cost sharing commitments are subject to audit, and a failure to provide the level of cost sharing reflected in the approved award budget may result in a disallowance of award costs, refund of award funds to the sponsor, and possible termination of the award. Cost sharing must comply with federal, university, and sponsor requirements. Cost sharing should only be engaged in when mandated by the sponsor, if needed to reflect the required effort to complete the project, or when the funding announcement emphasizes cost share as a competitive advantage. Types of Cost Share Mandatory – Mandatory cost sharing is required by the sponsor as a condition for proposal submission and award acceptance. A mandatory cost sharing requirement will be specified in the sponsor’s published request for proposals. If the mandatory level of cost sharing is not included in the submitted proposal, the sponsor will return the proposal without review. Voluntary Committed – Voluntary committed cost sharing is cost sharing that is offered in the proposal but not required by the sponsor as a condition of proposal submission. Once offered by the institution in the proposal budget and agreed to by the sponsor, it becomes an obligation the university must fulfill. Voluntary Uncommitted – Voluntary uncommitted cost sharing is cost share that is over and above an amount that was committed and budgeted for in a sponsored research agreement. It is neither pledged explicitly in the proposal nor stated in the award documents but occurs in the course of executing a project. This is not required to be documented or tracked by the university. Procedure Cost share eligibility For federal awards, they must be allowable under 2 CFR 200 Verifiable from recipient’s records Not used as match for another project Not paid by the federal government Provided for in the approved budget Necessary and reasonable for accomplishment of the project Principal Investigators (PIs) must obtain prior approval from their Chair or Dean, in writing, to commit cost-share on behalf of the University. Research and Technology Transfer will aid in determining if the cost share meets the above cost share eligibility guidelines, and obtain appropriate documentation of approval from the PI's chair/dean before submitting the proposal. All proposals with cost share must include the Director of Sponsored Programs Accounting in the approval chain in Cayuse for review. This must be added manually before the approval of Research and Technology Transfer and Authorized Organizational Representative (AOR). Any deviation from this above procedure must be approved by the Executive Director of Research or the Vice Provost of Research, Innovation, and Discovery. Preferred Methods of Cost Share Salary/Fringe Benefits F&A costs associated with any cost shared direct cost Unrecovered F&A when F&A rate is waived or reduced by the sponsor Third-Party In-Kind contributions For Researchers Interacting with RTT (Pre-Award) Updated March 14, 2024 NOTE: RTT needs proposal documents from PIs 10 business days or more in advance of the sponsor’s deadline. Overview The staff in Research and Technology Transfer (RTT) are your campus collaborators for preparing proposals for submission to federal and state agencies and other sponsors that provide external funding for research, creative endeavors, public service projects, contractual agreements, and fixed-fee agreements. Our expertise allows you to focus on the specific project, and we will assist to ensure all submitted applications are complete and all documents are prepared to the sponsor’s specifications and in compliance with university policy and state and federal law. RTT’s pre-award team wants the highest-quality, most competitive proposals to be submitted, and we will work with each scholar to ensure the development and submission of the best proposals. Proposal Development Tools: The proposal development process requires access to various types of information to prepare the required proposal documentation.  Assistance can be found at the RTT website under the Investigator's Toolbox & Institutional Profile . Proposal Submission Portal: Cayuse is the official submission portal used by Arkansas State University for proposal preparation, proposal approval, sign-off by the Vice Provost for Research, Innovation, and Discovery and submission to the sponsored agencies’ systems for electronic submission of sponsored funding proposals. What RTT will provide: Thorough review of the grant solicitation (aka the request for proposals or RFP) to understand the specific sponsor requirements Assistance with the development of certain aspects of the proposal, including the budget (with an eye toward allowable and unallowable costs, cost share [aka match], and other budget complexities), the budget justification, boilerplate language about the institution and region (NOTE: If you have any questions, reach out directly to 870-972-2694 or research@astate.edu .) Review of all application materials Feedback to the investigator(s) on required additional elements or edits before submission Feedback on optional elements and best practices before proposal submission Regular communication with the investigator(s) throughout the proposal preparation process Upload to our internal approval system (Cayuse), which is required in advance of proposal submission Submission of the proposal to the sponsor (NOTE: This is not the responsibility of the investigator, as only RTT has the authority to enter into an agreement with the sponsor.) Communication about recommendation for funding or resubmission from a sponsor What the Principal Investigator (PI) will provide to RTT: As much notice as possible (preferably 3 months – 1 year) regarding intent to submit a proposal (NOTE: The longer the lead time, the more RTT can assist with proposal development.) Completing the Proposal Notice Form on the RTT Research Development website ( https://www.astate.edu/a/ortt/index.dot ): https://app.smartsheet.com/b/form/5dcc5d258518469683b30a9c10b7abe1 Regular communication with RTT staff well in advance of the submission deadline if plans change or if the PI needs assistance in proposal development All required documents for proposal submission to RTT at least 10 business days in advance of the sponsor’s deadline All PIs must use the A-State Budget Template for all proposals. When another format is required for a submission, RTT will handle entering or transferring the budget for PIs into the sponsor-required format Timely responses to RTT requests for additional information in the lead up to a proposal submission Other important elements of the proposal development process Approvals for submission must be documented in Cayuse by the investigator, chair, dean, and RTT prior to proposal submission. RTT will complete the proposal submission no later than 24 hours in advance of the sponsored agency’s deadline date and specified time to ensure agency’s receipt of proposal in acceptable form. Award receipt to the University, including review and negotiation of terms and conditions when necessary, is conducted by RTT. Investigators are not allowed to receive awards or sign agreements and contracts on behalf of the University. Funds are awarded to the University and the signature of the Vice Provost for Research, Innovation, and Discovery is required for legally binding purposes.   Important Reminders and Final Points RTT needs proposal documents from PIs 10 business days or more in advance of the sponsor’s deadline. This is a firm requirement, and investigators may be denied grant submission and asked to wait for the next funding cycle if the internal deadline is not met. This requirement necessitates a lot of planning and coordination with collaborators in advance of a proposal submission. Please review the sponsor’s proposal solicitation, determine the sponsor’s deadline, and calculate and use the RTT deadline of 10 business days in advance of submission as your firm deadline. Starting in FY24, RTT’s revised goals were to grow the number of submissions, increase the proportion of high dollar-value submissions, and increase interdisciplinary submissions. We have already been successful in this goal, which is a result of creative and innovative faculty members and their hard work. Thank you! It also means that the complexity of the requests and the sheer number of submissions has increased, and to collaborate with you effectively, we need your cooperation in the external funding pipeline. Again, our mission is to submit the highest quality proposals possible. This requires time to prioritize, review, edit, load, receive internal approvals, and submit proposals. Limited Submission Updated November 21, 2025 Purpose This procedure applied to all faculty and staff at Arkansas State University eligible to submit proposals to funding mechanisms with limited submission requirements. This document outlines Arkansas State University’s process for managing limited submission opportunities, where the number of proposals an institution can submit is restricted by the funding agency. This ensures the strongest proposals move forward for submission. Procedure 1. Call for Applications The Research and Technology Transfer (RTT) office announces an internal competition via email to identify proposals for submission to the funding agency. The announcement includes details about the funding opportunity, submission limits, and internal deadlines. The announcement will be shared with the college deans, carbon copying the members of the Faculty Research Awards Committee, so they are aware of their upcoming responsibility in the process. The deans are responsible for broader dissemination to the departments. RTT will also provide a 3-day Daily Digest notification of the limited submission opportunity for direct, campus-wide dissemination. 2. Submission Interested applicants must submit a one-page project summary via email to research@astate.edu . The summary should include the elements below, as they pertain to the solicitation: Description of the proposed project and its An estimate of the cost, including any plans for academic year buy- Faculty research activities that will be enabled by the Student research training Preparatory activities completed for the Intellectual merit and broader impacts of the proposed research A letter of commitment from the relevant dean or department chair, indicating support for the project based on the RTT-provided template, must be included. 3. Internal Review Process The internal review process consists of two steps: Eligibility Review : RTT will review the project summaries to ensure they meet the funding agency's program requirements and that the applicant is eligible to apply. Committee Review : The Faculty Research Awards Committee (FRAC) will review eligible project summaries to select the strongest proposal(s) for submission. FRAC will use a 1 (strongest) – 10 (weakest) scoring system to evaluate the The mean of the scores will be used to determine the top scoring proposal. 4. Notification of Selected Proposals RTT will notify applicants of the outcome of the internal competition. This notification will include next steps for the selected applicant to prepare the full proposal. Timeline An example timeline is provided below for the Limited Submission process. This may be modified depending upon the time between original notice and sponsor deadline for full submission. Announcement of Internal Competition : As soon as RTT is notified of the opportunity Submission Deadline for Project Summaries : Two weeks after initial notification Internal Review Period : Two RTT will send a reminder to FRAC members who have not completed their scores one week before the deadline and one day before the deadline. Notification of Selected Proposals : One business day after the deadline for internal review Finalized Proposal Documents: Must be sent from the PI to RTT 10 business days before the sponsor deadline Submission Deadline to Funding Agency : One business day before sponsor deadline   Participant Support Costs Updated January 11, 2024 Overview Participant Support Costs are defined in Uniform Guidance 2 CFR 200.I as direct costs for items such as stipends, or subsistence allowance, travel allowances, and registration fees paid to or on behalf of participants or trainees (but not employees) in connection with conferences or training projects. Definition of Participant A participant is defined as a non A-State employee who is the recipient, not the provider, of a service or training associated with a workshop, conference, seminar, symposium, other short-term instructional or information sharing activity, or are the training beneficiary of a sponsored project. Participants do not perform work or services for the project or program unless it is for their own benefit. Participants may include: students, scholars, scientists from other institutions, teachers, state or local government personnel, or representatives from private-sector organizations. Employees of Arkansas State University are not eligible to receive participant support. Unallowable Costs The intent of participant support is solely to provide financial assistance for participants to attend conferences or defray the cost of participating in training programs. Unallowable Costs Include: Honoraria for guest speakers Expenses for the PI, project staff, or collaborators Incentive payments for recruitment or participation of research subjects Costs associated with housing the training or conference F&A on participant support expense Procedure Participant support funding is typically restricted and exempt from F&A, requiring separate accountability from the rest of the award. Participant support costs should be accounted for in a separate sub-budget as indicated on the Research and Technology Transfer budget spreadsheet, and will be issued a separate fund for expenditures upon award set up. RTT will monitor proposal budgets to ensure that participant support costs are identified clearly and are appropriate and allowable. Re-budgeting of participant support costs requires the prior approval of the sponsor. Re-budgeted costs may be subject to F&A if moved into the main grant fund. Additional Information See RTT SOP regarding Stipends for questions about stipend payments to participants/students Sponsored Programs Accounting Participant Support Costs Guidelines: https://www.astate.edu/a/controller/spa/files/participant-support-costs-ug-edition.pdf   Combined Fellowship and Off-Campus Duty Assignment Support Updated June 17, 2025 Arkansas State University encourages its faculty to apply for prestigious fellowships to further their research efforts. This procedure outlines the circumstances in which a faculty member can apply for off-campus duty assignment (currently referred to as compensated leave in the Faculty Handbook) while also accepting a prestigious fellowship that requires their leave of absence from their academic appointment. The purpose of off-campus duty assignment is to provide opportunities for eligible faculty members to engage in professional activities that enhance their tenure at A-State while receiving regular salary. Such activities, in turn, also enhance the faculty members’ service to the university. In accordance with the stated purpose, off-campus duty assignment may be granted for research, writing, other professional creative activities, graduate study leading to advanced degrees, travel for student/research, retraining tenured faculty members who teach in programs being phased out, or for further study to upgrade specific program(s). Eligible faculty are encouraged to apply for off-campus duty assignment to initiate, continue, or complete research or creative activities. For more information, please visit the Faculty Research Awards Committee website or the Faculty Handbook. Timeline for University Off-Campus Duty Assignment Requests: August: Off-Campus Duty Assignment solicitation is announced October: Faculty Research Awards Committee (“FRAC”) deadline Late October/early November: FRAC meeting, discussion of expectations November: FRAC application review December – January: Decisions announced August or the following January: Off-Campus Duty Assignment begins. See below for more information. Off-Campus Duty Assignment Cycle: October – Applications received in October should be made for the next Fall semester (August, 10 months in advance) or Spring semester (January, 15 months in advance). Approved requests provide salary support to faculty at a rate of half-pay for an academic year or full-pay for a semester. Combined Fellowship and Off-Campus Duty Assignment Principles: The expectations of faculty member’s off-campus duty assignment request must align with the fellowship sponsor guidelines. The purpose is to promote professional development and success of faculty and to raise the research profile of the institution. All fellowships with an anticipated external funding source or commitment outside of faculty contractual obligations must go through FRAC for approval as an off-campus duty assignment request. Off-Campus Duty Assignment requests can be reviewed and considered by FRAC outside of the standard annual review cycle when a sponsored fellowship is awarded that provides support for the faculty member’s research or creative endeavors. External funding of a fellowship with fixed dates will be considered by FRAC when they are notified of the award. Faculty members should work with Research and Technology Transfer (“RTT”) staff to load fellowship applications into Cayuse so there is a record of internal approvals for fellowships awarded to individuals. All requests, questions, and consideration for off-campus duty assignment should go through the RTT office. If appropriate, RTT will delegate the request to Advancement for further assistance. If a faculty member is approved for off-campus duty assignment in conjunction with a sponsored fellowship, there are several circumstances for which flexibility can be granted with approval from the chair, dean, and RTT: Proposed start and end dates. If the fellowship is awarded on a timeline that does not align with university fiscal year, the period of off-campus duty assignment can be adjusted to align with the fellowship. If the off-campus duty assignment request will be dependent upon the faculty member acceptance of a sponsored fellowship, this request can be deferred for up to two annual review cycles while a faculty member awaits a response from the fellowship sponsor. Scope of work. The scope of work for the off-campus duty assignment request can be adjusted if there are discrepancies with the expectations of the sponsored fellowship program. o These requests should be initiated with RTT to facilitate the process. Teaching reassignments are made at the department and college level and are not reviewed as part of the FRAC process.     Stipends Updated January 11, 2024 Overview Participant Support Costs are defined in Uniform Guidance 2 CFR 200.I as direct costs for items such as stipends, or subsistence allowance, travel allowances, and registration fees paid to or on behalf of participants or trainees (but not employees) in connection with conferences or training projects. Definition of Participant A participant is defined as a non A-State employee who is the recipient, not the provider, of a service or training associated with a workshop, conference, seminar, symposium, other short-term instructional or information sharing activity, or are the training beneficiary of a sponsored project. Participants do not perform work or services for the project or program unless it is for their own benefit. Participants may include: students, scholars, scientists from other institutions, teachers, state or local government personnel, or representatives from private-sector organizations. Employees of Arkansas State University are not eligible to receive participant support. Unallowable Costs The intent of participant support is solely to provide financial assistance for participants to attend conferences or defray the cost of participating in training programs. Unallowable Costs Include: Honoraria for guest speakers Expenses for the PI, project staff, or collaborators Incentive payments for recruitment or participation of research subjects Costs associated with housing the training or conference F&A on participant support expenses Procedure Participant support funding is typically restricted and exempt from F&A, requiring separate accountability from the rest of the award. Participant support costs should be accounted for in a separate sub-budget as indicated on the Research and Technology Transfer budget spreadsheet, and will be issued a separate fund for expenditures upon award set up. RTT will monitor proposal budgets to ensure that participant support costs are identified clearly and are appropriate and allowable. Re-budgeting of participant support costs requires the prior approval of the sponsor. Re-budgeted costs may be subject to F&A if moved into the main grant fund. Additional Information See RTT SOP regarding Stipends for questions about stipend payments to participants/students Sponsored Programs Accounting Participant Support Costs Guidelines: https://www.astate.edu/a/controller/spa/files/participant-support-costs-ug-edition.pdf   Subrecipient vs. Contractor Updated January 11, 2024 Overview Arkansas State University faculty, staff, or students on the premises of the University conduct most of the work on sponsored agreements. However, it may be necessary to collaborate, partner, or outsource portions of the work to other entities, individual consultants, or others outside of the University. In these cases, a legal agreement outlining the relationship between the parties and the University is required and may take the form of either a subaward or an agreement with a contractor for purchase of services. The determination between Subrecipient and Contractor should be made early in the proposal preparation stage to ensure compliance with sponsor guidelines and to minimize impacts to the budget, F&A determination, and grant narrative. Before entering into a relationship with another entity under a sponsored award in which the other entity will provide goods or services of substantive, programmatic work to Arkansas State University as the prime recipient of funding, a determination must be made as to the nature of the legal relationship between A-State and the other entity. This decision is significant in determining the legal agreement required to establish the relationship, the allocation of responsibilities and influences of the third party, and the application of indirect cost rates. A-State Responsibility In the case of a subaward, A-State is responsible, as the prime institution, to ensure that the Subrecipient(s) conduct their portion of the research projects in compliance with all applicable terms and conditions of the externally sponsored agreement, and that the project costs incurred by the Subrecipient(s) are reasonable and allowable. Agreements with contractors for the purchase of services typically do not bind vendors to the full set of sponsor terms and conditions, and are subject to competitive bidding procurement practices, to assure that funds paid to vendors do not exceed fair market value. Both agreements should have a clear purpose and cost. Uniform Guidance 200.331 Subrecipient and Contractor Determinations 200.22 Contractor and 200.92 Subaward Determination Guidelines Subrecipient Substantive, programmatic work or an important or significant portion of the research program or project is being undertaken by the other entity. The research program or project is within the research objectives of the entity. The entity retains some element of programmatic control and discretion over how the work is carried out. The entity commits to a good faith effort to complete the design and conduct the research. The entity participates in a creative way in designing and/or conducting the research. The entity makes independent decisions regarding how to implement the requested activities. A principal investigator has been identified at the entity and functions as a coinvestigator. There is the expectation that the entity will retain ownership rights in potentially patentable or copyrightable technology or products that it produces in the course of fulfilling the scope of work. Publications may be created or co-authored at the entity. The entity provides cost sharing or matching funds for which it is not reimbursed by A-State. (if applicable) The entity regards itself, and/or is regarded by A-State as “engaged in research” involving human subjects under the Common Rule and therefore requires approval for its interactions with human subjects. Subawards should have a detailed scope of work and a budget that specifies salary, fringe, supplies, equipment, and other direct costs, as well as appropriate F&A costs consistent with the subrecipient’s indirect cost rate. Terms and conditions from the prime agreement are typically imposed on the subrecipient to the same degree that they are imposed on A-State as the prime recipient. Subrecipient Approval and Negotiation To establish a subaward with an outside institution, the following must be received by Research and Technology Transfer via the appropriate institutional official at the subrecipient Institution 10 business days before the submission of a proposal: A letter of intent from the collaborating institution from the appropriate institutional official. The signed Subrecipient Questionnaire form (to be issued by A-State to the collaborating Institution). Scope of work Approved budget Approved budget justification Other documents as required by the sponsoring agency Subawards must be reviewed and negotiated by Research and Technology Transfer. Contractor The entity is providing specified services in support of the research program. The entity has not significantly participated in the design of the research itself, but is implementing the research plan of the A-State PI The entity is not directly responsible to the sponsor for the research or determining research results. The entity markets its services to a range of customers, including those in non-academic fields. Little or no independent decision-making is involved in the design and conduct of the research work being completed. The agreement only specifies the type of goods/services provided and the associated costs. The entity commits to deliverable goods or services, which if not satisfactorily completed will result in nonpayment or requirement to supply The entity does not expect to have its employees or executives credited as co-authors on papers that emerge from the research. The expectation is that the work will not result in patentable or copyrightable technology or products that would be owned by the entity. In the case of an individual vendor of consulting services, the person has no employment relationship with A-State, either academic or administrative in nature, and has not in the previous 12 months. It is the responsibility of the PI to determine whether the price is competitive and reasonable for agreements with both subrecipients and contractors. In either case, however, the agreed-upon cost is not relevant in determining whether the relationship is that of a Subrecipient or Contractor. It is required by federal grant terms and conditions and by good business practices that competitive bids are sought for goods and services from multiple vendors, whenever possible and when the cost exceeds $10,000. Sole-source contractor relationships may be prohibited by the conditions of the prime award, and if allowed, are typically subject to specific conditions and procedural requirements. Procurement Services guidelines can be found here: https://www.astate.edu/a/procurement/index.dot Contractor Agreement Approval Once it is determined that the nature of the relationship between A-State, as the prime award recipient, and the entity involved in providing goods or services is a true contractor agreement, the relationship should be treated as that of purchaser and contractor. A-State Procurement Services is the sole purchasing authority of the University. Please consult with Procurement Services before entering into any agreement with a Contractor. The office of Sponsored Programs Accounting ensures compliance with all procurement practices on externally sponsored agreements, and monitors the reasonability, allocability, and allowability of the contractor costs. Responsibilities PIs and RTT work together to determine the appropriate determination of Subrecipient or Contractor during the pre-award stage. Should A-State be awarded, the Director of Contracts and Agreements within Research and Technology Transfer will work with General Counsel to draft an agreement with the subrecipient. PIs are not authorized to issue agreements between the University and other entities. After an agreement has been awarded and handed off from RTT, if modifications are needed, the Office of Sponsored Programs Accounting will aid in the determination of Subrecipient or Contractor, as well as the allowability to establish these relationships in the post-award phase of the agreement. Definitions Contractor : an entity that receives a contract. A contract is a legal instrument by which a non-federal entity purchase property or services needed to carry out the project or program under a federal award (UG 200.22, 200.23) Subrecipient : a non-federal entity that receives a subaward 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 Subrecipient may also be a recipient of other federal awards directly from a federal awarding agency (UG 200.93) RTT Proposal Stage Process Once receiving notification from the PI that a subaward/contractor will be utilized in the proposal, the proposal specialist will issue a checklist to the PI r to make an appropriate determination of Subrecipient vs Contractor. Once determination has been made, the proposal specialist will read through the RFP and appropriate Federal and Agency guidelines to determine the allowability of the Subrecipient or Contractor. If it is determined that a contractor will be used, the proposal specialist will request a justification in writing from the PI as to the appropriateness and reasonability of the contractor's services. If it is determined that a Subrecipient relationship will be established, the proposal specialist will request the contact information of the outside entity’s sponsored programs office to request/issue the following information: A letter of intent from the collaborating institution from the appropriate institutional official. The signed Subrecipient Questionnaire form (to be issued by A-State to the collaborating Institution). Scope of work Approved budget Approved budget justification Other documents as required by the sponsoring agency All information must be received by the appropriate institutional official and must not be accepted from the collaborating institution’s Co-PI to ensure all work has been reviewed and approved by the appropriate officials Once all documents have been received, the proposal specialist will review the contents for compliance with the RFP, Agency Guidelines, and Federal regulations. As appropriate, the proposal specialist will submit all approved award documents of the Subrecipient with the prime proposal. Deviations from these procedures should be approved in writing by the Executive Director for Research or the Vice Provost of Research, Innovation, and Discovery.