Policies

Project Periods/Budget Periods

Budget periods are based on the federal fiscal year and run from October 1 to September 30. No expenditures may be incurred before the starting date or after the termination date of the budget period. Unused funds from one budget period may not be carried forward to the next budget period. In addition, to insure prompt and appropriate closure of each fiscal year and meet the reporting requirements set forth by the U.S. Department of Agriculture.

Fiscal Responsibility

Capacity funded projects are subject to the provisions of the Uniform Guidance and Federal Assistance Policy Guide. In addition, capacity funding must be spent in accordance with the rules and regulations set forth by the University of Wisconsin and by the State of Wisconsin.

Use of Assigned Funds to a Project

Principal investigators should use capacity funding assigned to their approved projects for necessary direct costs related to the project and as outlined WISER. WAES approval is required for any request to purchase capital equipment, request to purchase computer/printer and non-consumable related items, and request should be sent to Casey Hillmer at casey.hillmer@wisc.edu.

Capacity Grant Policies

See specific policy information below.

ITEM	Rule	Policy/Comment
Appointments	Project Assistants, Post-Docs, and Technicians are Typically Unallowable on Capacity grants. Faculty or Academic Staff appointments are Unallowable on Animal Health grants.	Individuals paid on the project, MUST be working on that project. Justifications may be requested at any time.
Binding (Thesis)	Unallowable
Books	Allowable only if directly related to research Prior Approval Needed from WAES	Prior approval and strong justification required. Submit requests, with justification, to casey.hillmer@wisc.edu and include identification of matching funds (amount and Fund-Project number) for the purchase.
Capital Equipment $5,000 and over	Prior Approval Needed from WAES and NIFA. Equipment purchases in the last year of a project are Allowable, but require strong justification. See RSP definition of “equipment”.	Submit requests to casey.hillmer@wisc.edu. Include a re-budget request, justification, and identification of matching funds (amount and fund-account number) for the purchase. Depending on the item and use, only 50% of the cost is allowable on the project.
Carryover of Un-obligated Funds	Unallowable
Cell Phones or Related Charges	Unallowable	If items are crucial in order to carry out the project, an exception may be made. Submit a request, with strong justification, to casey.hillmer@wisc.edu.
Change in Scope/Objectives	Prior Approval Needed from USDA	Request must be initiated by PI, signed by PI and department chair, and submitted to casey.hillmer@wisc.edu.
Change in PI	Prior Approval Needed from USDA	Request must be initiated via email by PI and approved by the department. Submit requests to casey.hillmer@wisc.edu.
Computer Access Charges	Typically Unallowable	Exceptions require prior approval and strong justification. Submit requests, with justification, to casey.hillmer@wisc.edu.
Computer/Printer Purchases (including iPads/Tablets) *Hardware Only*	One computer and printer over the life of a project are Allowable, if required to conduct the research. Funds can be used to fund up to 50% of the total purchase price. Computer/printer purchases are Unallowable in the last year of a project.	All requests to purchase computers/printers require prior approval from WAES.Submit requests to casey.hillmer@wisc.edu. Requests should include justification of need, request to re-budget (if required), and identification of matching funds (amount and Fund-Project number) for the purchase.
Computer/Printer Accessories/Servers	Usually 50% of the cost is allowable, but not always. Servers are NOT allowable	If items are crucial in order to carry out the project, an exception may be made. Submit a request, with strong justification, to casey.hillmer@wisc.edu.Items considered accessories include, but are not limited to: software, memory (RAM), hard drives, DVD burners, and projectors.It a memory card is needed, use best judgement within department for approval.
Copy/Printing Costs	Allowable, for research-related copy costs only (print cards, copy chargebacks, etc).
Equipment under $5,000	Prior Approval maybe Needed if item is questionable. Large equipment purchases in the last year of a project are Unallowable, unless needed to complete the project. See RSP definition of “equipment”	Submit requests, along with justification, to casey.hillmer@wisc.edu and include identification of matching funds (amount and Fund-Project number) for the purchase.
Human Subject Incentive Payments	Allowable with justification	Submit requests, along with justification, to casey.hillmer@wisc.edu. See this document, Payments to Research Participants for further clarification.
Pre-Spending	Unallowable	Spending will not be allowed on the grant until the proposal has been fully approved by the USDA.
Publication/Distribution Costs	Maybe allowable if directly related to the project	Expenses associated with editorial assistance and page charges are considered legitimate publication costs. Contact Casey Hillmer-casey.hillmer@wisc.edu if you have questions or if you incur costs after your project has ended. All publications must include acknowledgement of USDA support. See Formula Grants FAQ for required acknowledgement statement.
Purchasing Card/ Direct Charges	Allowable with detailed documentation, including date(s) of service, item description, and cost.	A 142 account cannot be used as default for purchasing cards
Re-budgets	Prior Approval Needed from WAES for Research Assistant re-budgets. Supplies, travel and LTE can be re-budgeted amongst each category. Fringe and Capital Exercise amounts cannot be re-budgeted to other categories.	During the lifetime of the award, up to 25% of RA allocation can be re-budgeted to other categories (other appointment types, supplies, travel, and LTE). See WAES Receipt and Re-budget Submission Procedures for additional re-budget policy information. Submit requests to Casey Hillmer at  casey.hillmer@wisc.edu.
Research Assistant Appointments	Up to one 50% Research Assistant per month Allowable Prior Approval Needed for deviations so budgets can be adjusted.	Exceptions require prior approval and strong justification. Submit exception requests, with justification from the principal investigator, to casey.hillmer@wisc.edu. Expenditures are not allowed until a request has been approved. Unused RA salary and fringe revert to CALS Research Division administrative control on a quarterly basis.
Research Related Supplies	General office supplies are Unallowable Supplies related to direct research costs approved in the original proposal are Allowable	If there a need to exceed the maximum, prior approval is required. Submit requests, with justification, to casey.hillmer@wisc.edu prior to exceeding the maximum.
Subscriptions/Memberships	Typically Unallowable Subscriptions directly related to the research that provide datasets available only to subscribers may be Allowable. Professional memberships are Unallowable unless required in order to purchase a subscription meeting the above criteria.	Submit requests, with justification, to casey.hillmer@wisc.edu
Telephone or Communications Charges	ONLY telephone charges related to the Formula Grant are Allowable. All other types of telephone and line rental costs are Unallowable and should be treated as indirect costs (F&A), per OMB Circular A-21 guideline F.6.b.(3) and J.18.a (4).	Allowable telephone charges are processed via non-salary payment transfers.Submit a non-salary transfer form and a copy of the phone bill with calls related to the project highlighted to your departmental contact.
Travel
Data Collection	Allowable for data collection in and out of state *Foreign travel on McIntire-Stennis awards needs NIFA prior approval.	Justification of travel is required when submitting documentation/receipts for review and approval.
Conference Travel	Allowable ON HATCH ONLY-for PI and research assistant only if presenting research results are directly related to a Hatch Grant. Conference travel NOT allowed on Multistate projects. *Foreign travel on McIntire-Stennis awards needs NIFA prior approval.	Conference materials should acknowledge NIFA support.
Multi-state meeting Travel	Allowable for 2 appointed WI representatives attending annual Multi-state meeting.	Substituting a WI representative for Multi-state travel requires prior approval from WAES. Submit requests to casey.hillmer@wisc.edu
Tuition Remission	Unallowable
Vehicle Maintenance and Repair Costs	Typically Unallowable	Exceptions require prior approval and strong justification. Submit requests, with justification, to casey.hillmer@wisc.edu.