Policies of the Botanical Society of America, Incorporated
Updated November, 2022
Table of Contents
NEW – 4 years = 12 pages per Volume, including free color figures
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(c) Author Support for Immediate Open Access Publication - per Article
The corresponding author is a BSA member and their institution holds a current American Journal of Botany subscription.
The corresponding author is a BSA member and their institution does not hold a current American Journal of Botany subscription.
The corresponding author is not a BSA member and their institution holds a current an American Journal of Botany subscription.
The corresponding author is not a BSA member and their institution does not hold a current an American Journal of Botany subscription.
Part 5. Pro-Rating Dues – There is no pro-rating of dues.
Part 1. Annual Conference and All Member Business Meeting – The annual all member business meeting shall be held during the annual botanical conference, arranged and administered annually by the Society. The Society also gives out the majority of its awards at the annual conference. The conference is at a new site each year.
Part 2. All Member Business Meeting(s) – The Officers and Executive Director shall be responsible for organizing the Annual All Member Business Meeting and any Special Meetings of the Society’s membership. They shall be responsible for providing adequate information so that members may understand information and make decisions.
Part 3. Notice of Meetings – The Society Office is responsible for coordination of notice to members for all meetings and for keeping a record of that notice as the date-of-record.
Election and Appointment of Officers and Board members -- The President-Elect, Secretary, Treasurer, Program Director, Directors at large to the Board for Education, Publications, and Development, Council Chair and Student Directors to the Board are elected by the members of The Society according to the following procedures:
(1) After the annual meeting the Past President activates the Election Committee.
(2) The Election Committee through the Business Office canvasses each voting member of The Society for nominations for offices to be filled that year.
(3) The Election Committee prepares a slate of two names for each office. The candidates for each office shall be selected from a combination of persons nominated by the membership at large and selected by the Election Committee. Consent to serve, if elected, is obtained from all nominees.
(4) An election is carried out by the committee at that time each year which seems most expedient in the overall program of The Society. The Executive Director’s office is responsible for receiving, opening, and tallying the ballots. The candidate for each office who receives the largest number of votes is recognized as elected to that office. (5) In the event of a tie vote, the Executive Committee votes to resolve the tie vote. The chair of the Election Committee conducts the voting.
(6) Results of the election are reported by the Election Committee chair to the President and to the Secretary of The Society. The Secretary promptly notifies each candidate of the outcome of the election. The President invites each officer-elect to attend the annual meeting of The Society. Results of the elections are announced to the membership at the annual business meeting and are published in the Plant Science Bulletin.
Part 1. President – Chairs the Executive Committee, and serves in an ex-officio capacity on the Finance Advisory, Education, Human Diversity, Investment, and the Merit Awards Committees.
Part 2. President-Elect –Serves on the Executive Committee, Chairs the Committee on Committees. Responsible for the presidential address at the annual conference.
Part 3. Immediate Past-President –Serves on the Executive Committee, Chairs Election Committee and the Corresponding Members Committee. Responsible for the nominating and election processes.
Part 4. Secretary –Serves on the Executive Committee. Responsible for the minutes of the Board of Directors and General Membership meetings. Responsible for the Membership Directory and coordination of awards.
Part 5. Treasurer –Serves on the Executive Committee, serves on the Finance Advisory Committee, serves ex officio on the Development Committee and Investment Committee. Oversees the financial aspects of the society, including the financial reports and the budget.
Other Elected Board of Director positions
Part 6. Program Director –Serves on the Executive Committee and Annual Meeting Program Committee. Responsible for actively collaborating with Sections and the scientific community to promote a productive experience through the presentations at the annual conference.
Part 7. Advisory Council Chair – The Advisory Council Chair serves as liaison between members, sections, and the Board and will attend any meetings of the Board of Directors and shall maintain open communications in order to facilitate Section relations, gathers reports from the sections and submits requests from the sections to the Board, and oversees the Young Botanist (undergraduate) nominations.
Part 8. At-large Directors of the Board – The at-large directors shall represent the Mission, Objectives, and current Priorities and Programs of the Society and it shall be a policy of the Society to nominate three individuals who bring forward the diverse skills to represent those areas on the Board of Directors. As such, at-large directors shall represent the current priority areas of education, development and publications.
Part 9. Student Directors of the Board – The Student Directors shall represent the student members of the Society in relation to the Mission, Objectives, and current Priorities and Programs of the Society. Student Directors serve on Committees as requested by the President.
Part 10. Job Descriptions –The Society shall maintain job descriptions for the elected offices which shall be available to all members. The Board of Directors shall review and approve the job descriptions, which shall be developed by the Executive Director. Individuals holding the offices are responsible for reading, understanding and carrying out the responsibilities described.
Part 11. Vacancy –
(a) If the office of President becomes vacant, the President-Elect becomes President and serves out the term of the former President leaving a vacancy in the office of President-Elect. Whenever the office of President-Elect is vacant, during the next regular election both a President and President-Elect are elected, and the succession of President-Elect to President is reestablished.
(b) If both offices of President and President-Elect become vacant simultaneously, the Secretary immediately calls for a Special Election by reactivating the most recent Election Committee to nominate both a President and President-Elect. The successful candidates for election assume office immediately and serve the unexpired terms of the vacated posts plus the next full term of office. For the second annual banquet, the President-Elect, having already presented one banquet address, is relieved of that duty and the Board of Directors arranges for an alternative event as appropriate.
(c) If any other elective office becomes vacant, the President with ratification of the Board of Directors designates a successor to fill the unexpired term.
Part 1. The Editor-in-Chief of the American Journal of Botany - Serves on the Advisory Council and the Publications Committee.
Part 2. Editor of the Plant Science Bulletin – Serves on the Advisory Council and the Publications Committee.
Part 3. Editor of Applications in Plant Science – Serves on the Advisory Council and the Publications Committee.
Part 4. Selection & Vacancy –
(a) Selection of the Editor-in-Chief of the Journal is the responsibility of the Board of Directors. To fill a vacancy in this office, the President appoints a committee consisting of at least three members of The Society. This committee solicits nominations for Editor-in-Chief, evaluates the candidates and makes recommendations to the Board of Directors, who then appoint the Editor.
(b) Selection of the Editor of the Plant Science Bulletin is the responsibility of the Executive Committee. To fill a vacancy in this office, the President appoints a committee consisting of three members of The Society and the incumbent Editor, ex officio. This committee solicits nominations for Editor, evaluates the candidates and makes recommendations to the Executive Committee, which then appoints the Editor.
Part 1. Confidentiality – The minutes of the meetings of the Board will be open for information to all members of the Society, unless personnel or sensitive issues are to be discussed. In these cases, the board may vote to go into executive and closed session and all board members will keep confidential any and all information relating to discussions at closed meetings unless compelled by legal process to disclose such information, or as otherwise agreed by the board. Board members acknowledge that any violation of this policy would cause harm to the Society and frustrate board deliberations. Therefore, any board member who violates this policy shall be subject to termination of his/her board position pursuant to the Society’s Bylaws.
Part 2. Conflict of Interest – A fiduciary obligation of a Society officer, elected leader, director and committee member is to avoid "conflicts of interest". A "conflict of interest" is generally defined as a transaction in which, because the individual is, either directly or indirectly, a party to the transaction or possible beneficiary of the transaction, there is or may be a conflict between the individual's fiduciary obligations to the Society and the individual's personal or business interests. Additionally, we see a "conflict of interest" in instances where an immediate family member “is, either directly or indirectly, a party to the transaction or a possible beneficiary of the transaction” and/or when "an organization to which an individual belongs will be a direct or indirect beneficiary of the transaction." To avoid potential conflict of interest problems, the Society implements the following procedures:
(a) In any transaction involving the Society and a Society officer, director or committee member, or Society and any corporation, partnership or other entity in which an individual is an officer or director has or expects or intends to have a financial or other beneficial interest, such individual, prior to any discussion or decision concerning the transaction, shall fully disclose to the Society board or the Society committee considering the transaction the material facts of the transaction and the individual's interest or relationship.
(b) Upon such disclosure, the individual shall take no further part in the meeting during which time the proposal is considered and voted upon.
(c) After receiving such disclosure, prior to approving the transaction, the Society board or Society committee must conclude that the transaction is "fair to the Society" and must approve the transaction without the participation or the vote of the interested individual.
(d) The interested individual's presence at the meeting may be counted in determining whether a quorum of the board or committee is present, but that individual shall not vote on the transaction.
(e) At the start of each term of office and annually thereafter, officers will review and sign the acknowledgement that they are in compliance with the COI policy for the Society. This form is supplied as an appendix at the end of this document.
Part 3. Non-Compensation of Directors – Directors and others serving in volunteer roles in the Society may not be compensated by the Society for service. The exceptions are the Editor of the American Journal of Botany and the Editor of the Plant Science Journal, who receive annual stipends of $3,000 and $1,500 respectively. Directors and volunteers may receive remuneration from others (fees, honorariums, expenses) for other services which may be gained as a result of their position as representatives of the Society.
Part 4. Non-Performance – Board members, including officers and other elected leaders, who do not fulfill their duties, may be removed from office. This may occur by formal complaint to the President who will conduct an investigation of the complaint. Should the complaint be against the President, the President-Elect will conduct the investigation. The complaint may also be made to the executive Director who will forward the complaint to the appropriate Officer. The complaint and the complainant will be held in confidence. Complaints will be addressed within 60 days of receipt.
Part 5. Voting – Voting by the Board of Directors is by simple majority; the President abstains in all votes unless there is a tie. In that case, he/she votes to break the tie.
The Advisory Council represents the Sections as a whole, and shall make reports and recommendations to the Board of Directors throughout the year regarding the issues and concerns of the Sections. The Advisory Council Chair is responsible for coordinating and submitting these reports.
Part 1. Sections
Part 1. Executive Committee
Part 2. Committees
Part 3. Annual Meeting Program – This committee consists of the program officer and staff members who work together to provide a program for the annual meeting and who work closely with the program officers of societies meeting with BSA that year. This committee works with the Student Committee of the BSA to coordinate student activities at the meeting.
Part 4. Committee on Committees – This committee works with President-Elect to populate the committees with appropriate members. Society members may volunteer on an annual basis to serve on committees and the Committee on Committees with the President –Elect also solicit members for service on committees.
Part 5. Development – This committee works with the Development Officer and the Board of Directors to develop and enhance resources for the Society to support its programs. It serves as the liaison between the society and the development officer and between the society and the Legacy Members. The committee provides society perspective on policy, potential foundations, businesses and society members to the Development Officer. The Development Representative to the Board serves as the Board liaison to the Development Committee.
Part 6. Education – The Education Committee studies and reports to the Board of Directors through the Education Board Member on all matters relating to teaching, training, and professional education in the plant sciences, including informal, K-12, undergraduate and graduate biology education and presents a resource assessment on the impact of any new activities for the society to the board. The Education Committee develops recommendations to the Board of Directors for specific initiatives. The committee works with sections of the society especially the teaching section, to promote education activities across the society, to encourage publication of education related articles in PSB or AJB as appropriate, to create or encourage appropriate educational material on the BSA web site, to create and maintain connections between research and education, and to enable collaborations and discussions among society members of BSA and between BSA and other societies.
Part 7. Election – The Election Committee prepares a slate of names for each office. The candidates for each office shall be selected from a combination of persons nominated by the membership at large and selected by the Election Committee. Consent to serve, if elected, is obtained from all nominees. The committee carries out an election at that time each year, which seems most expedient in the overall program of The Society. The Executive Director’s office is responsible for receiving and tallying the ballots. The candidate for each office who receives the largest number of votes is recognized as elected to that office. In the event of a tie vote, members of the Executive Committee vote to resolve the tie. The Chair of the Election Committee oversees the voting.
Results of the election are reported by the Election Committee chair to the President and to the Secretary of The Society. The Secretary promptly notifies each candidate of the outcome of the election. The President invites each officer-elect to attend the annual meeting of the Society. Results of the elections are announced to the membership at the annual business meeting and are published in the Plant Science Bulletin.
Part 8. Finance Advisory – This committee works with the treasurer on society finances and reporting of finances to the society. The committee performs an advisory role for issues determined by the treasurer of the society and may provide advice to the Treasurer and the Board on the financial impact and value of various society activities.
Part 9. Human Diversity in Botany – This committee works with the board to develop programs and avenues of support for members with diverse backgrounds and works to increase outreach to botanists of diverse backgrounds to make them aware of BSA and its activities. This committee arranges the Diversity Lunch at the annual meetings and any other meeting activities in this area. The PI/Director/Head of the PLANTS program for undergraduate/graduate students shall be a member of the Human Diversity in Botany committee, whether the PLANTS program for undergraduate/graduate students is externally funded (e.g., an NSF award for PLANTS to the BSA) or funded by other BSA funds. The PI/Director of PLANTS shall consult with the committee and inform the committee annually of PLANTS activities. If PLANTS is not externally funded, the director/PI of the PLANTS program will be named by the Executive Director with the approval of the BSA Board. The committee seeks and advises the board on new activities to promote human diversity and presents a resource assessment on the impact of any new activities for the society to the board.
Part 10. Information Technology – Keeps the society informed regarding IT support needs of members, works with the IT staff to preview new programs or beta test new programs developed for member services, suggests ways BSA can better serve its members through IT support, and offer suggestions to improve the society’s web presence. In advance of the annual meeting, the committee should review the BSA web site as part of suggesting improvements for members. In addition this committee will keep the society informed about advances in informatics in the botanical sciences, encourage researchers to publish informatics papers in AJB, work with sections on sessions, workshops, etc. at the annual meetings when requested and present a resource assessment on the impact for IT of any new activities for the society to the board.
Part 11. International Affairs – Works with other botanical societies outside the U.S. to provide a link for those societies and the BSA to promote common goals. Keeps the BSA informed of international activities and events in botany and especially provides a link to the International Botanical Congress and keeps the BSA members up to date on announcements about this meeting. The committee seeks to support young botanists attending the IBC and other important international meetings. The committee informs the society regarding international activities impacting the study of plants, such as international regulation through the Convention on BioDiversity or other international agreements.
Part 12. Investments – This committee oversees the investments of the BSA, particularly the endowment fund, works with the finance committee when advice is requested, and consults with the development officer and the development committee on proper investment and designation of funds raised through development activities. The committee is responsible for determining long-term investment strategy for the Society.
Part 13. Publications – This committee provides the link between the various publication activities of the society, the staff and the board through the Publications Board Member. The committee seeks to elevate the BSA to be one of the most influential publishers of scientific content in plant biology, examines the role of all BSA publications such as AJB, PSB and the web pages and works with outside evaluators on assessment of the journals. In addition, the committee will coordinate with the editors and associate editors on issues regarding their publications and consider and advise on new activities and initiatives, present a resource assessment on the impact of any new activities for the society, address issues impacting the publications, such as online vs. print copies, subjects to be covered, and other matters arising from the publications. This committee will interact with the Information Technology Committee to be sure the BSA web presence is representing the society publications appropriately.
Selection of the Editor-in-Chief of the Journal is the responsibility of the Board of Directors, with the Publication Board Member acting as the liaison for this activity. To fill a vacancy in this office, the President appoints a committee consisting of at least three members of The Society, including the chair of the Publications Committee. This committee solicits nominations for Editor-in-Chief, evaluates the candidates and makes recommendations to the Board of Directors, who then appoint the Editor.
Part 14. Public Policy – The committee addresses issues of public policy to effect change, educate and influence decision makers, provides input from the BSA perspective on public policy documents, strategic plan documents from federal agencies and reports requesting input from plant biologists. The committee works closely with AIBS and CSSP and other societies regarding public policy issues, advises the Board on public policy matters when response is needed from the society, encourages BSA members to become informed about presenting botany to the ‘public’ including legislators through programs such as the AIBS training for congressional visits, suggests ways for the members to become active across the public community, and presents a resource assessment on the impact of any new activities for the society to the board.
Part 15. Early Career Professional Development Committee: This committee oversees student activities throughout the society by working with the Student Representatives on the Executive Board. Areas of concern for the committee are professional development and mentorship for early career researchers including undergraduates, graduates, postdoctoral fellows, and new faculty. The efforts of this committee should include, but are not limited to, implementing mentorship programs within BSA in regards to peer review and grant writing, creating general training opportunities for early career members, and maintaining early career membership. This committee will collaborate with the Student Representatives on student activities, including CV reviews and Careers in Botany Luncheon, at the annual meeting and throughout the year.
Part 16. Awards and Honors Committees – Nominations for the various awards and honors are solicited by the BSA President each year through a series of messages to the membership and through announcements on the BSA web pages, and in addition the individual committees overseeing the awards and honors seek nominees. The BSA Office coordinates all nominations received and distributes them to the various committees where appropriate. The various committees are responsible for making the selection of the awardees, communicating these names to the BSA board, and preparing the statements on the awards to be presented at the annual banquet and/or published in PSB. The awards and honors committees will follow the guidelines for these honors as prescribed under the individual honor listed on the BSA web pages. These honors and awards are corresponding members, BSA Merit awards, BSA Graduate Student Research Awards, Charles Edwin Bessey Teaching Award, Darbaker Prize, Esau Award, Grady L. Webster award, Kaplan Lecture Presentation, Moseley Award, and Pelton Award
Part 17. Committee Authority – Any Committee shall have authority to act only to the extent provided in the Articles of Incorporation, Bylaws or in these Policies. Acts outside of a Committee’s authority shall be void. No individual or committee shall incur any financial obligations not included in the budget without approval of the Board of Directors.
Part 18. Committee Reporting – All Committees report to the Board of Directors. Minutes of meetings including all actions must be sent with 30 days of the meeting date to the Society Office. Minutes are open to Society members.
Part 19. Committee Records – All Committees will keep a written record of their actions, to be available in the Society Office within 30 days of the meeting date for review by members.
Part 20. Committee Voting – Voting by Committees is by simple majority.
Part 21. Committee Membership:
Unless otherwise stated, the Committee on Committees, whose chair is the President-Elect, appoints the members for the committees and the President-Elect appoints the committee chair.
Unless noted below, terms of membership for all committee members is three years.
Each committee may have student representation at the discretion of the committee and the Executive Board of the Society.
BSA Graduate Student Research Awards (including the J. S. Karling Award) – The committee consists of an appointed chair and five additional members with one or two new members appointed each year. Members should be drawn from different Sections of The Society.
Cheadle Award – Three members with one new member appointed each year.
Committee on Committees – There are six appointed members on this committee. The President-Elect serves as the Chair of the committee. The student member of the Board who is completing their two year term on the Board serves a one year term on this committee.
Corresponding Members – The committee consists of the immediate Past President as chair and the two preceding Past Presidents.
Darbaker Prize –The committee consists of a chair, who is the senior appointed member, and two to four other members with one or two new members being appointed by the President-elect each year. Appointments to the committee and the recipient of the award will be selected in consultation with the Phycological Society of America and membership on the committee may be drawn from either the BSA and/or the PSA in order to achieve a balance of expertise for the selection of the awardee
Development Committee – The committee consists of six members with a chair selected by the President-elect. The Development member of the Board, the Development Officer, Executive Officer and the Treasurer are ex officio members. Two new members are appointed each year.
Education – The committee consists of a chair appointed by the President and five other members all serving three-year terms with two new members being appointed each year. The Education representative to the Executive Board, Chair of the Teaching Section, Editor of the Plant Science Bulletin, and the immediate past chair of the Education Committee are members, ex officio, of this committee.
Election – The committee consists of the immediate Past President as chair, the Secretary of the Society, ex officio, and three appointed members selected after the annual meeting. The Committee on Committees recommends one new member each year to replace the outgoing member.
Esau Award - The committee consists of an appointed chair and two members, chosen by the President-elect in consultation with the Developmental and Structural Section chair, with one new member being appointed each year.
Financial Advisory Committee –The committee consists of three members and one student member selected from the membership of the Society who serve as voting members, the Treasurer and two ex-officio members who are the President, and the Executive Director. The chair shall be selected by the President-elect. One new member is appointed each year.
Grady L. Webster – The committee consists of a chair appointed by the President and two other members, each serving four-year terms with one new member being appointed every two years.
Human Diversity – There are six members of this committee with two new members appointed each year. The President-Elect, the Program Director, the staff person who oversees Membership and the Executive Director of the Society are ex officio members of the committee. There shall be one student representative appointed to the committee serving for two years.
Information Technology – Three members are appointed to this committee with one new member appointed each year. The Secretary and Executive Director of the Society and the IT staff members are ex officio members of this committee.
International Affairs – Three members of the committee with one new member appointed each year. The President, Program Director, and the Executive Director of the Society serve as ex officio members.
Investment – Three members serve on the committee with one new member appointed each year. Members may serve multiple terms. The President, the Treasurer, and the Executive Director of the Society are members ex officio.
Public Policy Committee: The immediate past President of the society assumes the chair of this committee for one year. Three committee members, including a student representative, are appointed to this committee with one new member appointed each year.
Merit Awards – The committee consists of an appointed chair and two other members with one new member being appointed each year. The President of The Society is ex-officio a member of the committee.
Moseley Award – The committee consists of an appointed chair and two other members, chosen by the President-elect in consultation with the Developmental and Structural Section and Paleobotanical Section chairs, with one new member being appointed each year. The committee chair informs the Society President and both sectional chairs of the award results.
Pelton Award – The committee consists of an appointed chair and two other members, with one new member being appointed each year.
Publications – The committee consists of a chair and five other members with the American Journal of Botany editor, Plant Science Bulletin editor, Publications member of the Executive Board, Managing Editor, Publication Editor, Webmaster and Executive Director as ex-officio. One or two new members are appointed each year.
Part 1. – Publications – All publications of the Society support its Mission and Objectives.
(a) The Society publishes a peer-reviewed scientific journal called the American Journal of Botany;
Scope and Aims of the Journal: The American Journal of Botany (AJB), a fully refereed journal founded by the Society in 1914, publishes significant, novel research of interest to a wide audience of plant scientists in all areas of plant biology (structure, function, development, diversity, genetics, evolution, reproduction, systematics), all levels of organization (molecular to ecosystem), and all plant groups and allied organisms (cyanobacteria, algae, fungi, and lichens). In addition to reports of original research, the Journal contains Brief Communications and Special Papers, which include reviews, critiques, and analyses of controversial subjects.
Method of Subscription: An online subscription is included in each annual membership fee. Apart from members, institutional subscribers (clients) also purchase the publication.
(b) The Society publishes a quarterly newsletter, Plant Science Bulletin;
Scope and Aims of the Bulletin: The Plant Science Bulletin is an informal communication published four times a year, which also accepts refereed articles with information on upcoming meetings, courses, field trips, news of colleagues, new books, and professional opportunities. It provides a means of advertising items or materials wanted. It also serves as a forum for circulating BSA committee reports, for distributing innovative teaching approaches and methods, and for discussing issues of concern to Society members such as environmental policy and educational funding.
Method of Subscription: An online subscription is included in each annual membership fee.
(c) The Board of Directors may authorize other publications from time to time as need arises
(d) The Society supports the availability of information to members through the internet in order to promote science and the interaction of scientists. A nominal fee may be charged for cost recovery.
(e) The Society supports an open access e-publication “Primer Notes and Protocols” which allows rapid publication of new techniques.
Part 2. Websites – The Society supports web presence for the organization including the operation of three websites which are managed by the Society: www.botany.org; www.amjbot.org; and www.PlantingScience.org. The IT, Publications, and Education Committees of the BSA will oversee the scientific/educational content of the BSA websites
Part 3. Open Access – As a scholarly, not-for-profit publisher, we affirm our commitment to innovative and independent publishing practices and to promoting the wide dissemination of information in our journal. Not-for-profit scientific, technical, and medical publishers are an integral part of the broader scholarly communities supporting scientists, researchers, and clinicians. We work in partnership with scholarly communities to ensure that these communities are sustained and extended, science is advanced and that research meets the highest standards.
We continue to support broad access to the scientific literature through the following publishing principles and practices.
(a) As a not-for-profit publisher, we see it as our mission to maintain and enhance the independence, rigor, trust, and visibility that has established the American Journal of Botany as a reliable filter of information emanating from our members’ research.
(b) As a not-for-profit publisher, we reinvest the revenue from our journal in the support of science worldwide, including scholarships, scientific meetings, grants, educational outreach, advocacy for research funding, the free dissemination of information for the public, and improvements in scientific publishing.
(c) As a not-for-profit publisher, we have introduced and will continue to support the following forms of free access:
(d) We will continue to work to develop long-term preservation solutions for online access to our journal to ensure the ongoing availability of the scientific literature.
(e) We will continue to work with authors, peer-reviewers, and editors for the development of robust online and electronic tools to improve efficiency of their important intellectual endeavors.
(f) We strongly support the principle that publication fees should not be borne solely by researchers and their funding institutions, because the ability to publish in our journal should be available equally to all scientists worldwide, no matter what their economic circumstances.
(g) As a not-for-profit publisher, we believe that a free society allows for the co-existence of many publishing models, and we will continue to work closely with our publishing colleagues to set high standards for the scholarly publishing enterprise.
Part 4. Immediate Open Access Support for Authors, AJB Terms and Conditions –
Part 1. Account Tracking & ProRata Share – Special fundraising & award accounts which have been set up to provide scholarships, awards and other benefits to both members and non-members, and have a minimum average balance of $1,000 or greater during the year (excluding Allotment accounts) will be allocated their pro-rata share of any investment increases or decreases that occur during the year including both realized and unrealized gains.
The following Special funds have specific directed donations that need tracking each year: BSA Unrestricted Funds. BSA Endowment Funds, BSA Educational Funds, BSA Botanical Friends Fund, BSA Planting Science Fund, Vernon I. Cheadle Fund, Michael Cichan Fund, Conant Travel Fund, Isabel Cookson Fund, Leasure K. Darbaker Fund Katherine Esau Fund, Donald R. Kaplan Memorial Lecture Fund, John S. Karling Fund, Margaret Menzel Fund, Aaron J. Sharp Fund, Maynard Moseley Fund, Winfried and Reneta Remy Fund , Grady L. Webster Fund.
Part 2. Contracts –All contracts will be maintained at the Society Office for five years. Contracts over $100,000 will be subject to legal review prior to signing –
Contracts are negotiated by Executive Director & other staff members and submitted to Botanical Society of America President for signature.
Part 3. Endowment Funds
Part 4. Funding
(a) Reserve Fund - The Society maintains a reserve fund balance of $100,000 in support of operating expenditures.
(b) Authority - The Executive Director may authorize expenditures up to $50,000 or $100,000 on matters of the American Journal of Botany or processing of payroll. Expenditures over $50,000 (with the above exceptions) shall also be authorized by an Officer other than the Executive Director. Executive Director may authorize expenditures over $50,000 if a contract has been approved by an Officer other than the Executive Director prior to the time of payment. Deposits and transfers below $100,000 in Reserve Funds; and capital expenditures under $25,000 may be approved by the Executive Director. Transactions exceeding this amount must be approved by the President or another member of the Executive Committee.
(c) Internal Control - All checks are signed by two parties and the Treasurer receives a general ledger monthly to review all expenditures.
Part 5. Competitive Bidding –
(a) Purchases under $25,000: Competitive bid not required, but competitive pricing can be sought at discretion of the Executive Director and/or Treasurer.
(b) Purchases over $25,000: Formal competitive bidding process is required. Bid package should be sent to a minimum of three qualified bidders. Controller can obtain three quotes verbally if approved by the Executive Director. A single purchase may not be divided for the purpose of avoiding bid procedures.
(c) Exceptions to Bidding Requirements:
Part 6. Fiscal Year - The fiscal year of the Society shall be October 1 to September 30.
Part 7. Grants – It is the policy of the Society to seek out granting organizations which match our Mission and Objectives, Strategies and Programs, in order that we may most fully achieve the criteria and enhance the reputation of the Society. The Society fully complies with all granting agent policies and procedures and produces all required reports on time and to the detail requested.
The Society operates separate accounting classes for the exclusive tracking of grant monies. Payments issued against these grants are tracked in the accounting records and the funds are transferred from the grant account to the general operating account to reimburse only actual expenses incurred (following the specifications of each grant).
The Society’s policy is to incur the costs and to pay vendors/sub-recipients upon receipt and review/approval of invoice. We then request reimbursement of those costs from the granting agency.
The Society’s policy is to submit cash requests to all granting agencies on a monthly basis.
Part 8. Expense Reimbursement – The Society provides payments for the reimbursement and/or the costs associated with a 1.) The Executive Committee, the Board of Directors, including the student members of the board, and the Chair of the Council, 2.) BSA and/or Section sanctioned activity, 3.) travel awards sanctioned by the Society and/or a Section, 4.) Society and/or Sectional Awards (non-travel), and for the 5.) payment of BSA and/or Sectional sanctioned honoraria. The Society requirements, in line with IRS requirement, for each class of payment are as follows:
Expenses may be reimbursed for committees or individuals when pre-approved by the Board of Directors. Expenses must be submitted to the Society Office within 90 days of travel and must follow the Travel Policies as follows: All reimbursed expenses must be for Society business, be necessary, be of a reasonable nature, and be properly submitted and approved in accordance with the requirements of this policy. It is the responsibility of the traveler to adhere to the specifics stated in this policy.
(a) Airlines: Travelers must make travel arrangements as soon as the details of the trip are known since lower fares often require early reservations. All travelers are to book reservations with the airline offering the lowest, reasonable, and prudent fare class. Travelers are to make arrangements for obtaining passports, medical examinations, immunizations, and visas as required for foreign travel.
Travelers are required to book discounted fares when available. This includes penalty fares when the cost savings is greater than the potential penalty for cancellation. Saturday night stay-over often generate significant savings in fares. If these savings are in excess of the cost for meals and lodging, the Saturday night stay-over is encouraged.
(b) Car Rental: A rented car must be justified as a business need and not as a matter of personal convenience. The rental car should be in the compact or economy range. Domestic renters should decline the optional insurance coverage offered by the rental car agency, as the Society has adequate domestic insurance coverage. Proof of insurance is available from the Society Office.
(c) Personal Auto: The Society reimburses authorized travelers for business use of their personal automobile in keeping with IRS regulations. The rates are established annually by the U.S. Government and these will apply.
(d) Tolls & Parking: These expenses should be listed separately on the Expense Report; Receipts should be included.
(e) Other Transportation: Travelers will be reimbursed for the receipted cost of taxis, buses, and other means of public transportation while on Society business. Airport shuttles and hotel transportation should be used when consistent with traveler's business plans. Receipts are to be obtained.
(f) Hotels: The Society will pay the reasonable and necessary lodging costs while on Society business. A single room in a business class/economy hotel is the standard. Hotel bookings may be guaranteed for late arrival. However, hotel charges resulting from the traveler's failure to cancel a guaranteed reservation will not be reimbursed. Detailed bills itemizing hotel expenses charged to a personal credit card will be reimbursed through an Expense Report.
Only Society-related telephone calls are to be submitted on your Expense Report.
(g) Meals: The Society will provide meal reimbursement for approved travelers on Society business that vary with travel destinations. Daily maximum amounts are not to exceed the M&IE (meals and incidental expenses) rate shown in the IRS’s “Maximum Federal Per Diem Rates” as described in Publication 1542 “Per Diem Rates” available on the internet at www.irs.gov or from the Controller. Reimbursement is by receipt, subject to the daily maximum. Per diem rates are not paid.
Requests for meal reimbursement from the Society must include the purpose of the luncheon meeting as well as the names of those who attended.
The Society does not reimburse for bar tabs unless entertaining for business purposes.
(h) Non-Reimbursable Expenses: Personal telephone calls, mini-bar charges, in-room movies, cleaning charges for clothing, fines for parking and/or moving violations, and other charges for personal items are not considered reimbursable. Charges of personal items must be clearly marked and deducted from bills submitted with your Expense Report.
(i) Misc. - When personal travel is combined with business travel, the traveler will be reimbursed for only the business portion of the trip. Spousal and family travel expenses will not be reimbursed by the Society.
Part 9. Expense Reports -- Requests for reimbursement must be submitted on an Expense Report Form provided by the Society Office, or a reasonable substitute form with the same accounting information. Expenses must be submitted within 90 days of the end of travel, or expense date, to be eligible for reimbursement.
Part 10. Personnel – Society staff are employed through an HR/Payroll relationship with the Missouri Botanic Garden (MOBOT) and fall under the MOBOT umbrella for fringe benefits, including retirement, workers compensation coverage, and sick and vacation time. The BSA reimburses MOBOT for their out-of-pocket costs on these employees. The Executive Committee performs the function of a personnel committee (See Executive Committee).
Part 11. Time Reporting – All Society staff working on sponsored projects will submit a monthly project acitivity report that allocates percentage of time spent on each sponsored project. A signed electronic copy will be returned to the office for assessment by the 5th of each month. This information is used to charge the correct percentage of time to each grant or sponsored project. The Executive Director must approve any amendments to the signed forms and place a discrepancy report alongside the signed copy. The Society Office will maintain these records for pertinent staff.
Time reporting and PTO approval for all staff is performed through the Missouri Botanical Garden's online Dayforce system. Supervisors (Director of Publications, Director of Education, and Executive Director) submit biweekly time reports for each of their direct reports through approval in Dayforce. The reports are used by the Missouri Botanical Garden for payroll purposes.
Time Usage Tracking Sheet - http://www.botany.org/governance/reports/BSATimesheet.xls
Part 12. Section & Award Allocation – Sectional allotments were established to place a greater emphasis on the annual meeting and to provide Sections with more resources to support their activities. Allotments are in increments of $1,300 and $400, with each amount determined based on the Section’s activity at the last annual meeting. $1,300 is allocated to disciplinary Sections organizing one or more full contributed paper sessions (approx 10-12 presentations). The remaining disciplinary and regional Sections shall be allocated $400. Since the activity of some Sections at the annual meeting is variable and dependent upon the presence of a co-convening society, the allocation may vary from year to year. In an effort to keep funding and participation synchronous, in those years when a co-convening society (e.g. but not limited to, Association for Tropical Biology, American Bryological and Lichenological Society, Phycological Society of America) meets with the BSA the allocation for the affiliated Section will be $1,300 for that fiscal year. If the co-convening society does not meet with the Society in the following year, the allocation to the appropriate affiliated Section will return to the lower level. The Executive Director will notify Sections of their allocational status and available funds and clarify that these allotments are for the current fiscal year only. Unused funds will revert to the general society funds at the end of the fiscal year.
If an allotment is unused for two years, the funds will revert to the Society, and the annual allocation will cease until the Section petitions the Society Treasurer for an allocation by presenting a proposed activity and budget (invited speaker, social, symposium, etc.) for fund use. Allocational funds will not be transferred to any other Sectional accounts or societies.
Part 13. Use of Allotments -- Allotments are administered by the Executive Director in accordance with policies established by the BSA Board of Directors. Direct payments of awards and honoraria are made to the recipient Sections. Officers of the Section or chairs of the award committees must provide the name of the award recipients, name and address of the awardee to the Business Office prior to the 4p.m. on the day of the BSA banquet for the awardee to receive their award at that time. Expenses may be billed directly to the Business Office with prior notification by a Section officer. All other expenditures are handled as reimbursements supported by receipts. All payments to non-society members must be submitted by a Section officer.
For accounting purposes, these monies are never given directly to the Section, are only for the current fiscal year, and may not be carried over for use in the future. If an allotment is not spent during the fiscal year in which it was given, the allotment reverts to the general society fund. Dues and donations are accounted for as part of the normal dues collection process and reported in the financial statements. Section expenses are submitted to the BSA office and paid from the general operating account.
Part 1. Ethics – The Society holds to a set of Guidelines for Professional Ethics, which shall be considered guidelines for the professional behavior of its Members. In conducting their research, teaching, and service, botanists often must confront difficult ethical issues related both to their field of specialty, data collection needs and methods, and to the dissemination and use of their findings both in research and teaching. Because botanists are a diverse group with varying scientific backgrounds and professional affiliations, their ethical problems are both diverse and complex. The Guidelines set out measures for responsibilities to the public, to the research community, to host governments and host institutions, and to the profession. The Society promotes ethical practices and shall distribute the Guidelines for Professional Ethics to its membership and the scientific community. In addition, all nominated award winners, panelists and invited speakers are expected to abide by the Guidelines and follow the procedure for Ethical Guidelines for Nominated Awards and Invited Speakers/Panelists which includes the use of a Professional Conduct Disclosure Form.
Part 2. Anti-Harassment – The Society has adopted a zero-tolerance policy toward discrimination and all forms of unlawful harassment, including but not limited to sexual harassment. This policy means that no form of unlawful discriminatory or harassing conduct by or towards any employee, member, vendor or another person in our workplace or meetings will be tolerated. The Society is committed to enforcing its policy at all levels within the Society. Any Officer, Director, employee or member who engages in prohibited discrimination or harassment will be subject to discipline, up to and including immediate discharge from employment or removal from leadership for a first offense.
This policy absolutely prohibits harassment or discrimination based on sex, age, disability, perceived disability, marital status, personal appearance, sexual orientation, race, color, religion, national origin, veteran status or any other legally protected characteristic.
This policy protects against sexual harassment including offensive and unwelcome sexual invitations, and particularly when spoken or implied quid pro quo for sexual favors as a benefit of employment or continued employment; offensive and unwelcome conduct of a sexual nature including sexually-graphic spoken comments, offensive spoken comments, offensive comments transmitted by email or other messaging systems, or the possession/use of sexually suggestive objects; offensive and unwelcome physical contact of a sexual nature including touching of another’s body, the touching or display of one’s own body, or any similar contact.
Any individual who believes she/he has been subjected to unlawful harassment of any kind has the responsibility to report the harassment immediately to the Executive Director. If, for any reason, the individual is uncomfortable with reporting to the Executive Director, the incident must be reported to the President.
The Society will make a reasonable effort to promptly and impartially address and resolve the issue, with every effort to maintain confidentiality. The complainant and the accused will be informed of the results of the investigation. If the Society finds that its policy has been violated, it will take appropriate corrective action, up to and including discharge, and/or similarly appropriate action towards offending vendors, contractors or members.
No Society employee will be retaliated against for reporting harassment. This no-retaliation policy applies whether a good faith complaint of harassment is well-founded or ultimately determined to be unfounded.
No Officer, Director or manager is authorized or permitted to retaliate or to take any adverse employment action against anyone for reporting unlawful harassment or for opposing any other discriminatory practice in the workplace.
Part 3. Non-Discrimination -- The Society shall not discriminate in any manner against a person by reason of race, color, creed, sex, sexual orientation, national origin, religious or political affiliation, disability, familial status or marital status.
Part 4. Political Activity – The Society may engage in efforts intended better to inform the public on issues pertaining to plant science and the influences of plants on people as an element in the biosphere. The Society may not allow any part of its activities to become those of lobbying or espousing particular political or religious doctrines or dogmas. The Society shall not participate in, or intervene in (including the publishing or distributing of statements), any political campaign on behalf of a candidate for public office.
Part 5. Records Retention - All membership, check disbursement and banking records shall be maintained for a minimum of 7 years.
Part 6. Whistleblower – The Society is committed to high standards of ethical, moral and legal business standards. In line with this commitment, the Society provides protection to its employees, Board members, members, vendors or other persons who might seek to raise concerns. The Society provides protection from reprisals or victimization for whistle-blowing. This policy is intended to cover protections regarding incorrect financial reporting unlawful activity, activities that violate Society Bylaws or Policy, or activities that amount to serious improper conduct.
It is the policy of the Society to seek out granting organizations which match our Mission and Objectives, Strategies and Programs, in order that we may most fully achieve the criteria and enhance the reputation of the Society. The Society fully complies with all granting agent policies and procedures and produces all required reports on time and to the detail requested. The Society will...
Part 1. Compliance – The Botanical Society of America will comply with all grant requirements and these must be referenced/included in all contracts/subcontracts, in specific we note the following for Federal Funding Agencies:
Definitions - What are participant support costs?
If a grant supports a conference, meeting, workshop, seminar, symposium, or training program, then the direct costs associated with an individual’s participation in these activities may be allowed under the sponsoring agency’s program guidelines as participant support costs. A number of grants awarded by the National Science Foundation (NSF) and the U.S. Department of Education allow budgeting for these costs.
Participant support costs are direct costs for items such as stipends or subsistence allowances, travel allowances, and registration fees, paid to or on behalf of, participants or trainees (but not employees) in meetings, conferences, symposia, workshops or training projects.
This budget category is not used to request funds to pay for the costs of the project staff to travel to a conference, the costs of bringing collaborators together in one location to work on a project, or the costs of the PI to attend a seminar. These payments are not to be confused with payments made to research subjects as an incentive for recruitment and participation in a research project. Students and project staff members who are participating in a grant-funded training program and who are receiving compensation directly or indirectly from the grant typically cannot also be reimbursed for participant support costs. Moreover, in the case of federal grants, individuals may not be reimbursed for participant support costs if they are receiving compensation from any other federal government source while participating in the project.
Who is a participant?
A participant is defined as a non-Botanical Society of America employee who is the recipient, not the provider, of a service or training associated with a workshop, conference, seminar, symposium, or other short-term instructional or information sharing activity. Participants are not required to provide any deliverable to the university and they are not subject to Botanical Society of America employment policies (e.g., they cannot be terminated for failure to perform). Participants may include students, scholars, and scientists from other institutions, representatives of private sector companies, teachers, and state or local government agency personnel. A person classified as an intern would be paid as an employee and not as a participant, because the intern, while receiving certain training, is also providing services to the organization, to the grant sponsor, or to a third party.
What costs can be included in participant support costs?
Participant support costs include the direct costs for items such as the following:
All costs that are reimbursed to or paid on behalf of participants must be incurred within the project period and specifically allowed by the sponsoring agency. Participant support costs are budgeted in a separate line and must be accounted for separately. Funds provided for participant support costs that are not spent cannot be rebudgeted for use in other categories except with the prior written approval of the sponsor. In most cases, unspent participant support costs must be returned to the sponsor.
Participant support costs do not include the following types of payments:
It is recommended that the PI inform participants prior to the initiation of the project about any costs associated with their participation in the project that are not covered.
Are incentive payments to research subjects considered participant support costs?
An incentive payment to encourage an individual to participate as a human subject in a research study is not a participant cost and must be budgeted differently in the project proposal.
Can participant support costs be included in a subcontract with another institution?
If a PI will collaborate with colleagues at another institution to serve as a subcontractor to provide training services to participants, then participant support costs can be included in the subcontract with the collaborating institution. A subcontract proposal must be prepared and routed with appropriate approvals to BSA for submission to the prime contractor. In all cases, the guidelines concerning participant support costs from the original funding agency (i.e., the sponsor of the project, not the collaborating institution) must be followed.
Can participant support costs be included as direct costs for the calculation of F&A cost recovery?
Most federal agencies do not allow participant support costs to be included as direct costs for the calculation of F&A cost recovery for a sponsored program. This is an agency-specific rule, however, and not a general rule for all participant support costs.
Because practices vary from sponsor to sponsor and from program to program, BSA will check sponsor guidelines carefully to determine whether participant support costs can be included in the project budget as direct costs for which F&A costs are recovered.
How are participant support costs paid and accounted for?
When the proposal is developed for a sponsored program that includes the payment of participant support costs, these costs should be separately identified within the proposal budget. A grant award that includes participant support costs will be established by BSA and the determination of F&A cost recovery on these costs will be made at that time. All expenditures made against this budget category will be identified as participant support costs in the financial reports provided to the sponsor.
BSA “Guidelines for Disbursement of Funds” are followed. The disbursement guidelines can be found at
To make participant support payments to an individual, the PI’s department should prepare and submit requests to BSA Finance Director for processing. The Principal Investigator approves the participant payments to the individuals before payments are made. Checks are made payable to the participant and mailed directly to the participant’s mailing address (P.O. boxes are not acceptable).
If the participant support payments are made as a reimbursement of allowable participant expenses, the PI’s department should submit a voucher that itemizes expenses together with copies of receipts to BSA Finance Director for review and processing of payment. In such cases, no 1099 reporting is required. If the participant support payments are made as a stipend or allowance (e.g. without receipts), BSA will report participant support cost payments to the individual on IRS Form 1099-Misc at the end of each year according to policy.
Part 3. Accounting and Reimbursement – The Society operates separate accounting classes for the exclusive tracking of grant monies. Payments issued against these grants are tracked in the accounting records and the funds are transferred from the grant account to the general operating account to reimburse only actual expenses incurred (following the specifications of each grant).
The Society’s policy is to incur the costs and to pay vendors/sub-recipients upon receipt and review/approval of invoice. We then request reimbursement of those costs from the granting agency.
The Society’s policy is to submit reimbursement requests to all granting agencies on a monthly basis.
Part 4. Rebudgeting – The Society as the grant recipient (and/or the PIs) may determine that for efficient performance of the project, it is wise to rebudget funds from one budget line or category to another. Most federal agencies have delegated authority to approve these changes or modifications to the grant recipient (BSA). A guide called the "National Science Foundations Research Terms and Conditions Prior Approval and Other Requirements Matrix" can be found at http://www.nsf.gov/bfa/dias/policy/rtc/priorapproval_oct08.pdf.
Some federal awards and sponsors require that the Society formally submit a budget modification to the sponsor with an explanation of the need for the budget modification and the anticipated impact, if any, on the conduct of the work. The Society will notify the project sponsor as a courtesy in all instances of rebudgeting,
Guidance on applicable rebudgeting and prior approval procedures is presented in the "Sponsor Regs" summary document included with the award materials. The PI or his/her designee should first check the sponsor’s award documentation to see if the sponsor has specific guidelines for when a revised budget for rebudgeting is required. When required, it should be submitted to the BSA Board and Executive Director for review. The Executive Director will work with PI/program staff as necessary on the revision and submission of budget modification to the sponsor.
Part 5. Expenditure Monitoring –The PI has the responsibility for verifying that charges on his/her awards are allowable. S/he may receive assistance from the Finance Director on financial tasks, but the PI will retain responsibility for the review and approval, on a transactional basis, of charges assessed to his/her sponsored project(s).
The PI should be able to support that all transactions:
Part 7. Cost Transfers –The Botanical Society of America has established the following policy and procedures for the processing of cost transfers to comply with the requirements of Office of Management and Budget (OMB) Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards (“Uniform Guidance”) and federal agency policies and procedures.
A cost transfer (CT) is a journal entry that transfers an expense onto or from a federally-funded sponsored award that was previously recorded elsewhere in Botanical Society of America’s QuickBooks system.
Reason for Policy
In accordance with OMB, it is necessary to explain and justify transfers of charges onto federally funded sponsored awards, when the original charge was previously recorded elsewhere. Timeliness and completeness of the explanation of the transfer are important factors in supporting allowability and allocability in accordance with federal requirements.
Roles and Responsibilities
Principal Investigators (PIs) take primary responsibility for ensuring compliance with federal regulations as well as the monitoring of expenditures, timely correction of errors, and proper allocation of expenses.
Finance Director ensures that the costs transferred are allocable, allowable, and reasonable, and prepares a journal entry with supporting documentation.
Process: Cost Transfers should be completed in a timely manner, within 90 days of the original date the transaction was recorded in the QuickBooks system. If a cost transfer is not completed within 90 days, additional reasons for the transfer must be provided, including an explanation of the delay. In order to request a Cost Transfer, the PI must make request in writing to the Finance Director and copy the Executive Director for oversight. The Finance Director confirms that the transfer has been made in writing to the PI and copies the Executive Director.
The Finance Director may also discover a potential error and alert the PI in writing with a copy to the Executive Director with a request to make a change to another account line.code.
How to Correct Errors in Charges Posted to Sponsored Awards
A journal entry is a way to record a transaction in a financial system. Journal entries are also used to correct previously recorded expenditures.
Part 8. Accounting for Allowable Direct and Indirect Costs – The Society follows the requirements of 2 CFR 200. Allowable costs are perhaps most easily defined by what is unallowable. The federal government identifies specific activities or transactions that are not allowed to be charged to sponsored research. The following costs have been specifically identified by the government as unallowable on government grants and contracts. The list below is not all-inclusive. Individual agency and program requirements may list other “unallowable” costs.
__ Advertising for general promotion of the Society (200.421)
__ Public Relations Costs except pertaining to specific accomplishments which result from performance of sponsored agreements (200.421)
__ Society or fundraising activities (200.442)
__ Alcoholic beverages (200.423)
__ Entertainment/Social events (200.438)
__ Fines and penalties (200.441)
__ Commencement expenses (200.429)
__ Bad debt write-offs (200.426)
__ Goods or services for personal use (200.445)
__ Charitable Contributions (200.434)
__ Lobbying (200.450)
__ Memberships in civic, social, community or commercial organizations/clubs (200.454)
__ Selling or marketing products or services of the Society (200.467)
Part 9. sub-recipient monitoring – As a condition of its acceptance of funding from sponsors, the Society is obligated in its role as primary recipient to undertake certain stewardship activities as well as comply with federal, state and local regulations. In addition, the Society is obligated to follow the subaward monitoring guidance provided in 2 CFR 200.330-332 and Appendix II for all awards made after December 26, 2014. When the Society assigns responsibility for conducting a portion of the work sponsored by an award to a subrecipient, it remains responsible to the sponsor for management of funds and meeting performance goals. Thus, the monitoring of technical and financial activities associated with a subrecipient is an integral part of the Society's stewardship of sponsor funds. This policy applies to all subawards issued under sponsored awards made to the Society and without regard to the primary source of funding.
This policy seeks to:
This policy does not apply to consultant agreements or procurements of goods or services from vendors.
The Society monitors the programmatic and financial activities of its subrecipients in order to ensure:
Compliance with the terms and conditions of all agreements will be monitored during the life of the agreement. When a Principal Investigator has an interest in or a relationship with the subrecipient entity, it shall be disclosed and, where appropriate, managed by the Society’s Conflict of Interest policy. Principal Investigators must request and document review of single audit reports/financial statements of subrecipients that expend $750,000 or more in federal funding within a fiscal year.
Subrecipient means a non-Federal entity that expends Federal awards received from a pass-through entity to carry out a Federal program, but does not include an individual that is a beneficiary of such a program. The term may include not-for-profit corporations, institutions of higher education, for-profit corporation and foreign or international organizations (such as agencies of the United Nations) at the discretion of the Federal awarding agency. A subrecipient may also be a recipient of other Federal awards directly from a Federal awarding agency. It is assigned to the legal entity to which a subaward is made and which is accountable to the Society for the use of the funds provided in carrying out a portion of the its programmatic effort under the sponsored project.
A subaward (also referred to as a subgrant if the prime award is a grant or subcontract if the prime award is a contract) is financial support from the Society to a qualified organization for the performance of a substantive portion of a program funded under the prime award. The term also includes awards made by a subrecipient to a lower tier subrecipient. It does not include procurement of goods and services funded by a prime award, i.e., vendors are not considered subrecipients.
Pre-Qualification of Subrecipients
The Society will assess the subrecipient organization’s financial status and internal controls and will establish terms and conditions in the subrecipient agreement consistent with the level of perceived risk. The PI will send the Executive Director documentation verification of debarment and suspension status prior to entering into agreements with subrecipients. Refer to Subaward Notification, Preaward Approval and Subrecipient Risk Assessment Checklist for documenting approval.
The Society will perform the following stewardship activities with regard to subrecipients of its sponsored awards (refer to Sub-Recipient Monitoring Report for template for documenting this stewardship annually):
The Society may purchase and maintain insurance on behalf of any person who is a Director, Officer, employee or agency of the Society or is serving at the request of the Society against any liability asserted against that person and incurred by that person in any such capacity. This insurance will include Directors and Officers liability insurance at the level and employment practices liability at a level of $5 million. The Society will not be responsible for a person or persons acting in bad faith. Commercial general liability coverage shall be $5 million.
The Board of Directors can amend these Policies at any time through a majority vote. A vote to amend requires a quorum of no less than two-thirds (9). Any change must be communicated to the full membership within 30 days. Notification may be though mail, fax, internet, newsletter or any electronic means. The Board of Directors is responsible to the membership of the Society for enforcement of the Policies which shall be enforced reasonably and without discrimination. The policies should be reviewed regularly (optimally every 3 years) for changes needed.