THE UNIVERSITY OF ALABAMA
IN HUNTSVILLE
OFFICE OF SPONSORED PROGRAMS
PROPOSAL GUIDELINES
Revised December 2008
TABLE OF CONTENTS
1.0 Research Policies and Procedures
1.1 Office of Sponsored Programs
1.2 Procedures for Establishing Contracts or Grants
1.3 Research Facilities and Administrative Cost
2.0 Submitting Proposal through UAH’s OSP
2.1 Principal Investigator Responsibilities
3.0 Frequently Asked Questions
3.1 How do I locate a potential sponsor?
3.2 What costs should be included in the proposal budget?
3.3 Facilities and Administrative Cost (aka: Indirect Cost)
3.4 Why does my proposal need to be routed?
3.5 Who do I contact for assistance?
Exhibit B: Internal Coordination Sheet (ICS)
Exhibit C: Sample Proposal Budget
Exhibit D: UAH General Information for Proposals
1.1 Office of Sponsored Programs
UAHuntsville Policies and Procedures
The Office of Sponsored Programs (OSP) is responsible for the business administration aspects of research projects sponsored by the government, industry, or foundations in accordance with the established policies of the University.
Government sponsored research is normally carried out under contract, as a cooperative agreements, or a grant, depending on which agency is sponsoring the work and, to some extent, on the nature of the program.
Although government grants and contracts are subject to differing statutory requirements and regulations, there is no significant difference between them in terms of UAH research policy and administrative procedures. Except for federal compliance programs or regulations, the administration of contracts from private organizations does not differ markedly from that of government grants, cooperative agreements, and contracts.
1.2 Procedures for Establishing Contracts or Grants
The following procedures should be observed for a research program whether it is to be covered by a contract or grant and regardless of the potential sponsor:
a) Preliminary discussions may be carried out between a research faculty/staff member and a sponsor, but no proposals or commitments should be made.
b) A faculty/staff member proposing a sponsored research project should first coordinate their intentions with their appropriate department/center head to ensure that: i) the project is appropriate for the department/center to undertake as a part of its educational and research program, ii) adequate resarch space and facilities are available, iii) course release time is available, if required, and iv) cost share resources are available, if required, from department, college or center. Proposals will include a budget prepared by OSP. Budgets for all sponsored research should cover both direct and facilities and administrative costs (F&A) at current rates. Approval for any deviation in the current F&A rates must be obtained in writing from the VP for Research prior to budget preparation by OSP.
c) After Department/Center approval, the proposal will be submitted to the appropriate Dean, if applicable, and/or the Provost if proposing course/curriculum development and/or cost share of time during the academic year.
d) After review and approvals, as outlined in paragraphs b) and c) above, the proposal is delivered to OSP for review and signatures of the VP for Research and Director of Sponsored Programs. The approved proposal is then submitted by OSP to the funding agency in accordance with agency guidelines.
e) Renewals or extension involving additional funds must go through the procedures outlined above.
f) All awards are negotiated by OSP and signed by an official designated by The Board of Trustees of The University of Alabama. Once negotiations have been completed, OSP will establish the appropriate accounts, provide copies of the award documents to the PI, PI’s budget staff, Contracts and Grants Accounting and Co-I, if applicable.
g) Any correspondence proposing modification of the terms or conditions of a sponsored award, including changes in the scope of work or the period of performance, an increase or decrease in the total estimated costs, or a change in the level of effort of key personnel, must be submitted to the funding agency by OSP.
h) It is the responsibility of the PI to ensure all cost share proposed either directly by the PI or indirectly by other colleges, centers, departments, and/or external sources are met. In addition all cost overruns are the responsibility of the PI.
1.3 Research Facilities and Administrative Costs
In sponsoring research at colleges and universities, the federal government and other sponsors reimburse the direct costs charged to specific projects as well as the facilities and administrative (F&A) costs that support research projects generally, such as those incurred in personnel administration, accounting, physical plant operations and maintenance, the library, etc.
Since most F&A cost categories consist of “shared” costs that jointly support both instructional and sponsored research activities, they must be allocated on some equitable basis to instructional programs on the one hand and to sponsored research projects on the other. The allocation process is governed by OMB Circular A-21, the federal “Cost Principles Applicable to Educational Institutions,” and is implemented at UAH using procedures negotiated with the University’s cognizant federal agency, The Department of Health and Human Services (DHHS).
After a portion of each F&A cost category or “pool” has been allocated to sponsored research as a whole for a given fiscal year, the total amount so allocated must be charged to (or collected from) each individual research project. This prorated charge is determined by applying a fixed percentage, or F&A cost rate, to certain direct costs charged to that project during the fiscal year. Any F&A costs not charged to a particular sponsored project are not absorbed by other projects, but must be funded by the University.
The direct costs to which the F&A cost rate is applied are referred to collectively as the F&A “cost base” or “collection base.” The collection base required by OMB Circular A-21 is modified total direct cost (MTDC), i.e., all direct costs less certain exclusions such as equipment; subcontract costs after the first $25,000; fellowship stipends; and when determined by funding agency, participant support costs.
The negotiation of allowable F&A costs, the direct cost base, and the applicable F&A cost rate is the direct responsibility of the VP for Finance and Administration.
Information explaining the composition
of F&A costs and the direct cost base, and how F&A cost rates are
calculated are available from the Office of Sponsored Programs.
All proposals (to include grant applications) submitted to any sponsor, organization, or institutions on behalf of UAH are to be reviewed for compliance and signed by OSP prior to submission or transmission. Under the current system that OSP operates these are the procedures:
2.1 Principal Investigator (PI) responsibility:
Utilize the checklist, Exhibit A to ensure a smooth proposal process.
a) Contact your OSP Contract Administrator (CA) and provide him/her with the sponsor’s website, announcement number, and title (if applicable). College/Center CA assignments can be found here. The PI must read the solicitation/announcement as well as agency guidelines, if applicable.
b) Provide the CA with information to develop a draft budget and proposal title. Note: If proposing foreign nationals PI must check with the Office of Security and Immigrations to ensure individual VISA requirements are met. If the foreign national is coming to the US to work on the research project, the Office of Security and Immigration must complete the VISA process.
c) The PI must obtain all letters of support and a budget for any collaborator/subcontract proposed. The PI must also provide OSP with a quote for any equipment proposed. Please note, computers and/or laptops are not allowable as direct cost in accordance with OMB Circular A21 unless it will be integrated into a piece of equipment. The equipment (system) must be named and the PI must provide a justification explaining the integrations. For additional information on allowable cost, please refer to UAH’s cost policy at http://www.uah.edu/research/resadmin/information/compliance/costpol.html
d) If cost share is required, share your intention to submit a proposal with your department chair, dean, center director and administrative/budget assistant as soon as you become aware of the needs/requirements.
e) Cost sharing or any special approvals (e.g. tuition, release time, waving F&A, use of account code to fabricate equipment w/o F&A) requires the approval of several individuals, please coordinate these approvals in advance. Proposal will not be submitted by OSP without these approvals, if applicable. Please refer to the VP for Research policy on cost share if requesting cost share from VP for Research or requesting cost share of F&A http://www.uah.edu/research/resadmin/information/compliance/cost_sharesponsored.htm
f) If your research involves either human subjects or animals, you must obtain written institutional approval prior to the proposal being submitted through OSP. For additional information see:
§ Human Subjects: http://www.uah.edu/research/resadmin/information/compliance/humansubjects.html
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Animals http://www.uah.edu/research/resadmin/information/compliance/IACUC.htm
g) If your research involves hazardous or accountable materials, use of lasers, radiation and/or recombinant DNA, this information must be include on you Internal Coordination Sheet (ICS), Exhibit B . Note: If any of the boxes on Exhibit B are checked, PI must complete an OEHS Project Registration Form PRIOR TO OFFICE OF SPONSORED PROGRAMS PROCESSING THE AWARD. Failure to disclose this information may result in the research being suspended until the PI complies with UAH’s policies on Health and Environmental Safety in the lab.
If the proposal is to be submitted electronically (you may need to register) through National Science Foundation (NSF), Grants.gov, or NSPIRES (for proposals to NASA). The PI is responsible for reading and following agency guidelines as well as the following:
A. NSF: The PI is responsible for completing and uploading all required forms with exception of the budget page. Once all information has been uploaded into NSF Fastlane, the PI will notify the CA. The PI must give OSP access to the proposal for electronic signature/submission.
B. NSPIRES: The PI is responsible for uploading all applicable data, including the cover page (which includes the budget). OSP cannot access the proposal for submission until the PI locks the proposal for submission. Once the proposal has been locked it must be withdrawn in order to make corrections/additions.
C. GRANTS.GOV: (For proposals submitted to NIH or
DOE.) The PI is responsible for uploading all required data. PI must
download a copy of the PureEdge Viewer prior to uploading. This viewer is
compatible with both Windows and Macintosh.
The PI is responsible for obtaining all signatures on the ICS up to the Provost, if applicable, to include any Co-I and their appropriate department chair, dean and/or center director. The Provost must sign the ICS if any of the following are proposed:
§ Cost share of academic time in excess of 20%
§ Course buy out
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Course/curriculum development
h) The signed ICS and original ready to submit proposal
should be delivered to OSP for processing at least three (3) working days prior
to the date the proposal must be submitted/transmitted to the sponsoring
agency, See Memorandum Vice president for Research, dated April 10, 2008,entitled: "Sponored Research.". If other than electronic submission, the proposal will be sent via
Federal Express. The PI will be provided a copy of the document for
tracking purposes. Overnight delivery will be done at the PI’s expense,
unless approved and funded by the Dean or VP for Research.
2.2 OSP Responsibility
a) CA will review agency solicitation/announcement for budget guidance and agency compliance for submission.
b) Prepare the proposal budget from data provided by the PI, in accordance with OMB Circular A21, UAHuntsville’s cost policy and agency guidelines. A draft budget will be submitted to the PI via email not later than 2 working days from date of receipt of budget information. PI and Co-I must propose as a minimum 1% effort on all proposals unless otherwise noted in the solicitation/agency guidelines.
c) Provide the PI with a current and pending report if applicable.
Current and Pending Support: Note: NSF “requires information on all current and pending support for ongoing projects and proposals, including subsequent funding in the case of continuing grants. All current project support from whatever source (e.g., Federal, State, local, or foreign government agencies, public or private foundations, industrial or other commercial organizations) must be cited. The proposal project and all other projects or activities requiring a portion of time of the PI and other senior personnel must be included, even if they receive no salary support from the project(s). The total award amount of the entire award period covered (including indirect costs) must be shown as well as the number of person-months per year to be devoted to the project, regardless of source of support.” For additional information please refer to the NSF Grants Handbook.
d) Once the draft budget has been approved/finalized by the PI, the CA will prepare the ICS. The ICS and approved budget will be delivered to the PI. Changes in the budget in excess of 10% (this excludes cost share) of the proposal budget once the ICS has been signed will require a new ICS for signatures. Any changes in cost share regardless of the amount will require a new ICS for signatures.
e) OSP will prepare all applicable certifications and representations required by the funding agency.
f) After all applicable signatures have been obtained on the ICS, the PI will submit the completed ready to submit proposal to OSP for final processing. If the budget is accurate (no changes made by PI), the budget justification matches proposal budget, and all University, state and agency policies and procedures have been followed, OSP will obtain the VP for Research and Director of OSP signatures.
g) Submission of proposal:
(1) OSP will make all necessary copies. If color diagrams are included in the proposal, please notify the CA.
OSP has a high quality color printer.
(2) Electronic submission will be done by your contract administrator.
(3) Paper copies will be sent via Federal Express. Overnight delivery will be at the expense of the PI, unless approved and funded by the College Dean or VP for Research.
h) Once the proposal has been submitted, a complete copy of the proposal to include electronic notification of receipt and a copy of the Federal Express shipping document will be provided to the PI for his files.
There will be times when a PI learns about an opportunity and is unable to meet the three (3) working day deadline for submission. OSP will work with the PI “up to the last minute” if time and workload permits. Please inform your CA as soon as you decide to submit a proposal and provide as much information as possible. Proposals submitted to OSP less than three (3) working days prior to the due date will require the PI and his dean to sign the PI responsibility letter.
With increasingly complex proposal guidelines and submission procedures, inadequate lead-time may result in OSP submitting a proposal conditionally or not submitting a proposal for reasons that include:
- Less than three (3) working days to review.
- Incomplete budget review to assure accuracy and compliance with University cost policies.
- Incomplete review of sponsor’s announcement and/or solicitation requirements.
In very rare instances, a conditional proposal may be withdrawn if the University is unable to correct budgetary errors, or to comply with cost sharing or other conditions identified in the announcement and/or solicitation.
An official proposal must be submitted through OSP. The VP for Research and Director of OSP are the University’s representatives who are authorized to sign proposals and grant applications, and submit them to the sponsor agency. Deans, department chairs, center directors, and PIs are NOT authorized to sign nor submit proposals on behalf of the University.
3.0 FREQUENTLY ASKED QUESTIONS
3.1 How do I locate a potential sponsor:
- On the OSP website, under “Funding Source Information” click on:
The Community of Science (COS) or you can log in at http://fundingopps.cos.com. For assistance please contact Steve Parker at parkerjs@uah.edu or 2654.
The Grant Advisor or you can log in at www.grantadvisor.com/tgaplus. For assistance please contact Gloria Greene at greeneg@uah.edu or 2657
- A funding opportunity email is sent to all deans, department chairs and center directors, from the Director of OSP on all current announcements through Grants.gov.
The OSP Weekly Funding Bulletin to subscribe please send an email to subscribe please send an email to
ospweeklyfundingbulleting@uah.edu.
3.2 What cost should be included in the proposal budget?
The budget includes a reasonable estimate of the financial support required to conduct the project, including justification of budget expenses. The typical budget categories include:
Direct Costs
- Salaries: For University faculty and staff, graduate and undergraduate students, salary figures are normally based on the percentage of effort by each individual on the project applied to his/her annual salary. PI and CO-I are required to charge a minimum of 1% effort for entire proposed period.
Note: OMB Circular A21, Cost Principles Applicable to Educational Institutions, is not new. A21 makes a clear distinction between summer salary and academic year salary and academic year. Please proposal your time as you plan to work. For example, if you do not expect to commit 20% effort during the academic year, then do not proposal 20% effort.
- Fringe Benefits: The current fringe rate for estimating purposes only for faculty and staff is 33% unless otherwise noted. The academic year (AY) 08-09 fringe rate for Graduate Research Assistance (GRA) is as follows: $682/month for tuition and $75/month for health insurance. Rates are increased by 5% each year of the proposal. GRA rates are escalated in September of each year, faculty and staff are escalated in 15th October of each year. Note: Faculty salary will be escalated the third week in August (beginning of AY).
- Equipment: Any item of equipment having a unit cost of $5,000 or more (including the cost of shipping, installation, and fabrication.) and a useful life of one year or more should be a direct cost item. General purpose equipment such as office furniture, PCs, laptops, fax machines, etc., are generally not deemed allowable by most sponsors unless it is used primarily or exclusively for the research project. This must be supported by a written justification to the contract administrator at the time the budget is being prepared.
- Materials and Supplies: Expendable items with a useful life of less than two years or a cost under $5,000 are generally considered as materials and supplies. Include a description of the material or supply category (e.g. glassware) and itemized estimate of cost in the budget information provided to the contract administrator.
- Travel: Domestic and foreign travel should be shown separately. List the name, destination, and purpose of the trip. Include transportation costs (coach airfare), registration fees, per diem, and other related expenses.
- Publication Costs: Estimate the number of pages, page charges and names of journals (if possible).
- Consultants: List each consultant and their reimbursable rate, and provide their curriculum vitae/resume.
- Subcontracts: A subcontract is a contracting to other organization(s) of some scientific or programmatic aspect of the grant or contract made originally to UAH. Include in the main proposal the subcontractor’s authorized proposal, budget, and letters of support/collaboration.
- Other: Other costs typically include items such as long distance telephone charges, research publications, fees, animal costs, or other project related costs, and are usually less significant dollar amounts than are proposed in the other previously mentioned categories.
3.3 Facilities and Administrative Cost (aka: Indirect Cost)
F&A rates are negotiated with UAHuntsville's cognizant federal agency, the Department of Health and Human Services. Unless stated otherwise by the funding agency, UAHuntsville’s current negotiated rates will be used in proposals for the type of project being proposed (research, other sponsored activities, instructions). UAHuntsville’s current F&A rates which are effective through October 2012, or until negotiated are as followed:
§ 46.5% for all on-campus research
§ 46% for on campus instructions
§ 41% for on campus other sponsored activities
§ 27.5% for off campus research/instructions/other sponsored activities (within 50 miles radius)
§ 26% for off campus research/instructions/other sponsored activities (in excess of 50 miles radius)
§ 9% Intergovernmental Personnel Agreements (IPA)
Cost Sharing
Cost sharing is any cost to the project not borne by the sponsor. Only include cost sharing when specifically required under the terms of the solicitation or program announcement. All cost sharing will comply with UAHuntsville’s Cost Share Policy which is located at:
www.uah.edu/research/resadmin/information/compliance/index.html
Additional Information
Additional information may consist of, but is not limited to the following:
A. Current and pending support. Sponsor may require a listing of the PIs (and sometimes Key Personnel) current awards and pending proposals.
B. Letters of support from non-university investigators may also be required.
C. See Exhibit D for General Informationrequired on most, if not all proposals.
See Exhibit C for a Sample Proposal Budget
3.4 Why does my proposal need to be routed?
The internal review process for external funding proposals ensures compliance with federal, state, and institutional regulations and promotes accuracy in all budgetary and institutional information. Typically, the following questions are resolved at each of the indicated levels:
a) Departmental/Center:
1. Will the proposal interfere with the total effort expected and for which that person is being paid?
2. Will the teaching load be adjusted because of the faculty member’s work on the contract or grant?
3. Are there sufficient facilities and equipment available to support the proposed research?
4. Does the project fit within the overall objectives of the department?
5. Are human or animal subjects to be involved in research?
6. Have biohazards been identified?
b) College/Center:
1. Confirms that above judgments have been made at the departmental level.
2. Determines that the commitment of Institutional funds (cost share), if any, in support of the project are consistent with the college/center objective.
3. Verifies the worthiness of the project in terms of college/center objectives.
4. Reviews the budget to ensure that full and appropriately documented costs are included.
c) OSP:
1. Forwards those proposals requiring University funds not available at the department/college/center level to the VP for Research for review. Examples are funds for cost sharing/matching requirements.
2. Reviews the budget to ensure that full and appropriately documented costs are included.
3. Verifies that all involved departments/centers and compliance units (Animal Care, Human Subject, and OEHS) have approved the proposal.
4. Reviews institutional information for accuracy.
3.5 Who do I contact for assistance with my proposal and/or other sponsored research related questions?
OSP staff is assigned to a particular college or center based on the fiscally responsible UAH organization. For assistance please contact the appropriate administrator:
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College/Center |
Contract Administrator |
Phone Number Email Address |
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College of Science, Continuing Education, CMR, Provost, Office of International Programs, Academic Affairs & ISED |
Kenya Cole Sr. Contract Admin. |
824-2647 |
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All subcontracts issued by the University |
Steve Parker Contract Specialist |
824-2654 |
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NASA/MSFC Cooperative Agreement, 02K, SETAC, AMCOM Express, GSA Schedule |
Felecia Troupe Assistant Director |
824-2660 |
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Alabama Space Grant Consortium (ASGC), LMass, LSB, ITSC, NSF/EPSCoR, College of Administrative Science, College of Liberal Arts, and Humanities Center |
Glenda Barnett Contract Administrator |
824-2662 |
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College of Nursing, CAO, NMDC, PRC, CMSA and VP for Finance |
Vacant Sr. Contract Admin. |
824-26?? |
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DOD Task Order Contracts: (W31P4Q-04-C-R172 and DAAH01-01-C-R160), SMAP Center, Rotorcraft (RSESC), VP for Research, RIC/ISED, and Earth Systems Science Center (ESSC). |
Laurie Salehi Sr. Contract Admin. |
824-2649 |
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SMDC Contract (DAAH01-97-D-R005), SED Contract (W31P40-05-C-0136), Research Institute (RI), ARC, OED, Transportation Applied Science (Facility) |
Consuela Duckworth Contract Administrator |
824-2647 |
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College of Engineering, CNS, CSPAR, CMDS |
Tempi Powell (Temp)
|
824-2659 |
OFFICE OF SPONSORED PROGRAMS
PROPOSAL CHECKLIST
EXHIBIT A
Use this checklist as a handy guide to ensure a smooth proposal process. Remember to allow at a minimum three (3) working days for OSP to review/processing proposal prior to submission.
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Are you Export Control Certified? Note: You must be export control certified before you can submit a proposal through OSP. - completion time approximately 30 minutes (online certification) |
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Notified your Contract Administrator (CA) and (if applicable) C&G Coordinator of intent to submit a proposal, provide agency website or copy of announcement/ solicitation and DUE DATE. – (As soon as possible) |
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Contacted the Office of Research Security (6444) if a clearance is required; and Immigration (6078) if hiring/proposing foreign nationals (~4 weeks prior) |
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Provided CA with data to develop proposal budget. (NLT 2 weeks prior to the due date) |
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All cost has been identified in both proposal budget and budget justification. |
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Received a final approved copy of the budget spreadsheet. (~ 2 working days from receipt of data) |
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Budget and justification: (This process takes approximately 5-7 working days) |
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Obtained all applicable review/signatures/approvals to include Human Subjects (IRB), animal care and use (IACUC), and Office of Environmental, Health and Safety (OEHS) up to the Provost if applicable (course buy out, cost share of academic time an/or course development). (~ 2- 4 days) |
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Obtained all applicable signatures up to the Provost (if applicable) on ICS. (~ 1-2 working days) |
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Verified that all applicable forms are complete. (~ 1-2 working days) |
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Signed all applicable documents requiring PI’s signature. (~1-3 working days) |
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Submitted the complete ready to submit proposal and signed ICS to OSP three (3) working days prior to due date. Note: if electronic submission you may want to get proposal to OSP prior to the three working days, to avoid potential problems with the agency website. (recommended 5 days prior) |
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Received notification from OSP (email survey) that proposal has been submitted and a copy of the proposal for files. Completed email survey. (~ 1 working day after submission) |