Frequently Asked Questions
Handbook Section and Topic Page Links
Section 1: Introduction
Section 2: Proposal and Budget Development
- Budgeting
- Costing
- Charging Administrative Expenses
- Accounting for Unallowable Costs
- Application of Facilities and Administrative (F&A) Cost Rates
- Facilities and Administrative (F&A) Cost Waivers
- Personnel Costs
- Fringe Benefit Rates
- Institutional Base Salary
- Cost Sharing
Section 3: Managing Awards
- Opening or Modifying a Project
- Re-budgeting
- Prior Approvals
- No-Cost Extension
- Cost Transfers
- Effort Reporting
- Salary Cap Administration
- Program Income
- Clinical Trials Financial Management
- Managing Sponsor Payments
Section 4: Travel and Procurement
- Domestic and Foreign Travel
- Memberships, Subscriptions, and Professional Activities
- Managing Subawards
- Small Business Program
- Managing Equipment Acquired with Federal Funding
- Recharge Center Policy
Section 5 Closing an Award
Find answers to common post-award administration questions.
What is the status of my new award? Has a new chartfield been established?
Send an e-mail to the respective team inbox in Sponsored Programs Administration (SPA) to request the status of the award setup.
SPA Team Inbox Email Addresses:
- Team 1: SPA.Team.1@nyu.edu
- Team 2: SPA. Team.2@nyu.edu
To identify your Team Inbox, go to the SPA Contacts page.
Once the project is established, SPA will notify the Principal Investigator (PI) and Department Administrator (DA) by sending a Project Authorization Form.
How quickly will funds be made available on my project?
Sponsored Programs Administration (SPA) will enter a temporary budget, up to the authorized agency budget, in order to allow spending at the time of project setup. Please allow three business days from time of project setup notification to activate chartfield and for the budget to post. Departments are required to either submit a detailed expense budget to SPA, or upload it through the Budget Integrated Application (BIA), as soon as the Project Authorization Form has been distributed.
How do I submit a new budget or budget modification?
Departments are required to submit the budget directly through the Budget Integrated Application (BIA). Alternatively, departments can complete the budget template (XLS) provided by Sponsored Programs Administration (SPA) and email the appropriate team inbox:
SPA Team Inbox Email Addresses:
- Team 1: SPA.Team.1@nyu.edu
- Team 2: SPA.Team.2@nyu.edu
To identify your Team Inbox, go to the SPA Contacts page.
If a temporary budget was established for direct costs (account 60000) and indirect cost (76450), the budget grid must include a line to reduce the temporary budget on the respective lines. This will prevent the overall project budget from being overstated and incurring a deficit.
Can I upload my sponsored project budget directly into the Budget Integrated Application (BIA)?
Each department must designate an individual solely responsible for uploading budgets for Sponsored Projects. A Budget Authorization Access Form (NYUHome login required) must be completed for this individual and designate the Sponsored Programs Administration (SPA) Financial Analyst assigned to that school as the Approver. The completed form should be sent to SPA for approval. SPA will forward the budget approval form to NYU IT.
Who prepares and signs off on Financial Reports?
Sponsored Programs Administration (SPA) prepares all interim and final Financial reports based on amounts recorded in the University’s general ledger, FAME. Interim reports are not submitted to departments for review unless requested in advance by the department. Any adjustments will be included at project expiration with the Final report provided appropriate justification is provided. SPA will submit the Final Financial report to the department for review.
The department should return the final financial report to SPA in a timely manner to allow SPA to review the final financial report. If the department does not respond within 48 hours prior to the reporting deadline, the report will be issued to the sponsor.
When is a Financial Status Report due?
Reporting deadlines vary by agency. Generally, Federal sponsors require a final report within 90 days of project expiration. The Sponsored Programs Administration (SPA) Deliverables Report lists reporting due dates. If you need access or training in using these reports, please email your SPA Team inbox:
- Team 1: SPA.Team.1@nyu.edu
- Team 2: SPA.Team.2@nyu.edu
To identify your Team Inbox, go to the SPA Contacts page.
How is carryover of funds treated?
If the award has automatic carryover , departments can continue spending against their existing project. If carryforward requires prior approval from the sponsor, the department should coordinate with Sponsored Programs Administration (SPA) on how to account for it. In such cases, SPA should freeze the project or reduce the budget to match expenses to prevent further spending. Departments will be responsible for any costs incurred should carryover be denied.
Are there circumstances when departments submit bills directly to sponsors?
Sponsored Programs Administration (SPA) generally prepares all invoices. Occasionally, departments may prepare invoices, however, SPA must review and sign off on all invoices prior to submission to the sponsor.
Who is responsible for the timely collection of Accounts Receivable (A/R)?
Sponsored Programs Administration (SPA) is responsible for collection with assistance from the departments. E.g., a payment may be 90 days overdue because a Progress Report has not been submitted by the Department. However, the department is ultimately responsible for any receivables which cannot be collected from the sponsor.
What research expenses have to be approved by General Counsel?
Expenses that involve legal services must be approved by General Counsel.
How can I view payment information on projects?
The Cash Position Report provides total payments received by project. If you require access to the portal, please email the appropriate SPA Team inbox.
- Team 1: SPA.Team.1@nyu.edu
- Team 2: SPA.Team.2@nyu.edu
To identify your Team Inbox, go to the SPA Contacts page.
How often is F&A calculated for projects that include overhead recovery?
F&A is calculated daily in FAME based on direct expenditures, as well as the appropriate base; i.e., modified total direct cost.
When is a sponsored project officially closed by Sponsored Programs Administration (SPA)?
SPA will close or inactivate a project when all expenses in the University's general ledger, FAME, agree to the amount reported to the sponsor, and all payments have been received.
When do I need a risk project?
A risk project would be appropriate if the official award document has not been received for a new award or continuation year funding, but the Principal Investigator (PI) would like to begin spending and has received communication from the sponsor that the award is imminent. The department should complete a Request for Risk Project by contacting Sponsored Programs Administration (SPA).
For the current process, departments must complete the Request for Risk Project form.
Where do I send a check that was mailed directly to my department?
All checks for federally funded projects must be hand-delivered for deposit to the Sponsored Programs Administration offices at 105 E. 17th Street, 4th Floor, to the attention of the Cash Management Analyst.
All Foundation and Private Sponsors checks must be hand delivered to the Office of Gifts Administration at 25 West 4th Street.
What is cost share?
These are costs that were committed in the award budget, but not funded by the sponsor. Such costs cannot be billed to the sponsor and must be separately tracked in a cost share program linked to a department operating or discretionary chartfield. The same costs cannot be shared among multiple projects with cost share commitments. Please refer to the Cost Share Policy for a complete definition of the different types of Cost Share as well as University requirements associated with proposing cost share commitments.
Who issues subawards/subcontracts?
- The Office of Sponsored Projects (OSP) executes subcontract agreements. Once the fully executed agreement is issued to the Principal Investigator (PI), a copy is sent to Sponsored Programs Administration (SPA). SPA will establish a project for the subcontract if the University (NYU) is the subrecipient. If the subaward is issued to another entity under an existing project, the department is required to submit a Purchase Order through i-Buy NYU for the subcontract amount. The Purchase Order will need to be increased and extended with each year/amendment to the subcontract agreement.
- A Subcontracts report is available to identify those projects that include a subcontract budget and determine whether a Purchase Order has been established for the proper amount. This ensures funds are encumbered and available to pay invoices submitted by the subrecipient.
- If a subcontract budget was not included in the original award budget, departments must submit a revised budget to SPA at the time the subcontract agreement is executed.
What is a negative encumbrance?
A negative encumbrance typically occurs when there are insufficient funds available for the original payroll encumbrance journal to post, or an invalid chartfield was provided. A negative encumbrance will artificially inflate the project’s available balance, and may lead to further spending resulting in a project deficit. Departments must review their Budget Exception Reports to identify the encumbrance fail and resolve immediately, as any deficits will be the sole responsibility of the department.
What if my project is in deficit?
Departments should confirm whether the correct budget is reflected in the Budget Summary Reports and should also confirm that the amount agrees to the agency authorized budget. Departments should review all expenses to ensure charges were posted to the correct project. If a deficit exists, the department must transfer those costs to a discretionary chartfield using a cost share program. Such costs are perceived as valid research costs that cannot be billed to the sponsor, but must be tracked for purposes of the Facilities and Administrative (F&A) Rate Proposal.
What if my project has a surplus?
- Departments must confirm that all appropriate expenses posted to the project.
- If the award requires funds be returned to the sponsor, Sponsored Programs Administration (SPA) will submit a Business Payment Form request to Accounts Payable (AP).
- If the award is silent or allows the balance to be retained by New York University (NYU), the department should submit a Journal Entry Management System (JEMS) request to transfer the surplus to a discretionary chartfield. Please consult with SPA on the appropriate accounts to use.
How do I correct a transaction that needs to be charged or removed from my sponsored project?
- If the transaction involves a payroll correction on a sponsored project, departments must submit an Account Change request through PeopleSync or the Effort Reporting System (ERS) if the change is being requested during the certification period.
- If this involves Other Than Personnel Services (OTPS), departments must submit the request through the Journal Entry Management System (JEMS) and check the box for Correction of Error to Fund 24/25.
- The requestor will be prompted to answer two questions if within 90 days of the first payroll check date or original journal date for OTPS, or four questions if greater than 90 days.
- The request will route to Sponsored Programs Administration (SPA) for final review and approval. Once approved, the adjustment will post to the general ledger. If rejected, the department may be asked to provide further justification.
- Please refer to the Cost Transfer Policy for further guidance.