Proposal Preparation and Submission

Q     What materials do I need to provide to OSP in order to          submit a proposal?

Q     When there are co-PIs or co-PDs from more than one          department, what signatures are needed?

A     All PIs or PDs, co-PIs or co-PDs, all of the respective         department chairs, and all of their deans or deans'         designated representatives must sign the Internal         Processing Form.

Q      How long does OSP need to process my proposal?

A      The length of time depends on your proposal and on the          number of other proposals pending at the time yours is          received by OSP. OSP staff review proposals as          expeditiously as possible, generally in the order they are          received. Often there are several proposals to be submitted          for a particular deadline, which makes it especially          important to provide materials well in advance. Please send          all materials to OSP at least 5 days in advance of the          mailing deadline. If, due to unforeseen circumstances, you          have a shorter turnaround time, contact OSP and we will do          our best to help you meet your deadline.

Q     If the proposal is to be submitted electronically, do I still         need to complete the internal paperwork and send it to OSP         for review in advance of submission?

A     Yes.

Q     How do I construct a budget?

A     Use the standardized OSP Budget Worksheet.  Include all of         the possible costs of conducting the project, including         personnel salaries, student assistants, supplies, equipment,         travel, and other expenses. These categories are included in         the worksheets. The worksheets are Excel spreadsheets that         will automatically prorate salaries and will calculate         appropriate fringe benefits and indirect costs. Be sure to         consult the sponsor's instructions for guidance and any         limitations. The section on Budget Preparation contains         information for developing budgets. OSP staff are happy to         provide assistance.

Q     What fringe benefits should be included in my budget?

A     Fringe benefits include the University's share of Social         Security, retirement, and health insurance. Standard rates,         and how to apply them, are included in the OSP Budget         Worksheets available on the OSP Webpage. Also see the         Benefits, F&A and Inflation Rates.They are subject to change         from time to time and OSP will update them as changes         occur. The Worksheets automatically calculate benefits         using current rates.

Q     My project requires cost sharing or matching funds from the         university. How can I obtain these?

A     First, consult your department chair for advice and possible         assistance. If funds are unavailable from the department,         the chair may endorse approaching the dean with your         request. If the dean cannot provide the funds, he or she may         in turn endorse approaching the appropriate Vice         Chancellor. Your request should be in writing and should         provide an explanation of need and benefits, accompanied         by a copy of your proposal and budget.

Q     What are indirect costs/overhead/F&A costs?

A     Indirect costs, also called overhead or facilities and         administration (F&A) costs, are real costs that are not         directly associated with the project, but are expenses the         university incurs to support the project and enable it to be         conducted. They include the expenses of buildings and         utilities, maintenance, libraries, purchasing, human         resources, research administration, and others. These         expenses are averaged over all projects and official rates are         established through negotiation with the Federal         government. Current F&A rates can be found on the OSP         webpage under Benefits, F&A and Inflation Rates.

Q     The sponsor doesn't pay overhead/indirect costs/F&A costs,         or pays them at a reduced rate. May I submit a proposal         anyway?

A     Since indirect costs are real costs, they do not disappear if a         sponsor declines to pay them. They must be paid by         someone. ECU's policy is to recover full indirect costs from         the sponsor of the project whenever possible. However, when         a nonprofit sponsor has an official, written policy regarding         indirect costs, the university will usually agree to honor it         and "share the costs" of the project with the sponsor, as long         as the same policy is uniformly applied to all grantees. For         sponsors who pay reduced, or no, indirect costs, the PI         should complete OSP's Cost Sharing form and attach a copy         of the sponsor policy.

Q     Do full indirect costs/F&A costs/overhead always need to be         included in a proposal to a for-profit company?

A     Yes.

Q     Do preproposals, preliminary proposals, and "letters of         intent" require OSP review prior to submission?

A     Any of the above that include a dollar amount of any kind -         whether a complete budget, a rough estimate, or even just a         bottom-line figure - require OSP review. Sponsor         requirements vary greatly for preproposals, preliminary         proposals, concept papers or "white papers," and letters of         intent. Please contact OSP in advance regarding submission         of any such materials.

Q     Is review by the university's human subjects committee         (IRB) required for behavioral or social sciences research         projects involving questionnaires, surveys, interviews,         and/or focus groups?

A     Yes. Go to the UMCIRB webpage at www.ecu.edu/irb and         follow the procedures for behavioral/social science projects.

Q     Do I need to obtain approval by the IRB (human subjects         committee) or the IACUC (Animal Care and Use Committee)         prior to submitting the proposal, or later?

A     Sponsor requirements vary. Most do not require approval of         the use of human or animal subjects at the time of         submission of a proposal; however, there are a few         exceptions, and all sponsors require official approval before         an award is made. Official, written, final approval of the IRB         or IACUC must always be obtained before you begin any         work on the project. OSP will not sign a contract, or         authorize establishment of an account for your project,         until the PI provides proper documentation of approval.

Q     I plan to collaborate on a project with a colleague at         another institution. What procedures do I need to follow?

A     Be sure to contact OSP as early as possible-well in advance         of the deadline-since preparing and submitting         collaborative proposals frequently requires considerably          more time than single-institution proposals. Above all,         don't wait until after a proposal is submitted by the other         institution, or until the other institution is notified of an         award! You and your colleague need to work out mutually         agreeable arrangements as to who will do what on the         project, and which institution will be designated to receive         the "prime" award if the sponsor decides to fund the project.         The other institution will receive a subcontract from the          prime institution for their part of the work. Each colleague         should construct a budget for his or her part of the work,         and submit it to his or her own institutional office of         sponsored programs, or the equivalent office, for review and         approval. If ECU is to be the prime awardee, you will need to         obtain the other institution's approved budget from your         colleague and include the total as part of your own budget;         then follow the standard internal procedures for submitting         a proposal. If ECU is to be the subcontractor, you should         follow the same procedures for OSP review as if you were         applying directly to the sponsor. Please provide OSP with         the name and phone number or email address for a contact         person in the sponsored programs office of the other         institution.

        If ECU is the lead institution in a consortium of several         institutions wishing to submit an application, ECU requires         institutional letters of intent and proposed budgets from the         other participating institutions before the application can         be approved for submission. If a grant is awarded, OSP will         then prepare and negotiate the necessary subcontracts to         transfer funds to the participating institutions.

        If another institution is to be the lead institution in a         consortium in which ECU will be a participant, submission         of an institutional letter of intent and a proposed budget         (and any narrative material) from ECU to the lead         institution will be required. OSP will provide the letter of         intent after reviewing the PI's materials, including the         budget and administrative forms. This submission is         considered to be administratively equivalent to a proposal.         Thus, the PI should follow all of the above steps, including         the completion of appropriate university forms, before OSP         can issue a letter of intent. If awarded, ECU's funding will be         in the form of a subcontract and will be processed through         OSP as described in ECU Administrative Procedures for         Contracts and Cooperative Agreements.

Award Processing

Q     How soon will I get an account number after I receive an         award?

A     OSP reviews and processes awards as soon as possible after         they are received. For simple grants, this is usually         accomplished within a day or two. For contractual         agreements, especially with private for-profit sponsors,         negotiation of acceptable terms often requires additional         time. If required approvals, such as human or animal         subjects, are lacking, award processing will be delayed. OSP         forwards awards and related materials by campus courier to         the Office of Grants and Contracts Administration, where         accounts are established as expeditiously as possible,         usually within a couple of days.

Q     I just received a phone call from the sponsor informing me         that my proposal will be funded. When can I start spending         money?

A     OSP must receive official, written notification of an award         from the funding agency's authorized official containing         complete information on the amount, time period, and         other terms and conditions of the award. Upon receiving         this notification, OSP will review the award document         (grant notice, contract, cooperative agreement, or other),         check the proposal file and contact the PI for any needed         approvals such as human or animal subjects, and if         necessary, contact the funding agency to negotiate         acceptable terms and conditions. The award document will         then be forwarded along with the budget and a copy of the         proposal to the Office of Grants and Contracts         Administration for account establishment. Once this         information is received by Grants Administration, an         account is usually established within a couple of days.

Q     What if my award is delayed?

A     It is fairly common for an official award document to be         delayed, even though funding has been informally assured         by an official of the sponsor. The university must always         have a written commitment from a source of funds in order         to pay expenses of the project. One way to do this is for the         PI to request a "Guarantee of Funds" letter from a person         who is able and willing to cover temporarily the         expenditures of the project (usually a department chair or         other unit head with access to resources), while awaiting the         final commitment of funding from the external sponsor. The         letter should state the guarantor's commitment to cover         expenses of the project, should an award fail to materialize.         (The letter may set limits on the amount and time period         that will be covered; this time period should be within the         anticipated time period of the official award.) Copies of the         letter should be forwarded to both OSP and Grants         Administration. OSP will then provide Grants         Administration with documentation from the proposal file.         As soon as official award notification is received from the         sponsor, the guarantor may then be reimbursed from the         project budget for any expenses incurred.

Q     How long do clinical trial agreements take to negotiate?

A     Clinical trial agreements are legally binding contracts that         are typically issued by for-profit sponsors (pharmaceutical         companies). They involve research with human subjects,         which requires review and approval by ECU's IRB. There are         also liability, confidentiality, intellectual property, and         other issues which affect the core interests of the university         and the PI. OSP is responsible for review and negotiation of         these issues on behalf of the University. The negotiation         process may require considerable time, even weeks,         particularly if changes must be approved by the company's         legal staff.

General

Q     "Effort certification" - what's that?

A     Federal Government regulations require grantees, including         universities, to track and certify the time and effort of         employees, including faculty, staff, and students, who are         either 1) paid from grant or contract funds, or 2)         contributing their time and effort to grants and contracts at         no charge to the sponsor. Please contact the Office of Grant         and Contract Administration or the School of Medicine         Business Office (for medical school personnel) for         information on how to maintain records of time and effort.         The university is currently in the process of developing an         automated system that can be used by faculty and         departmental administrators to accomplish this process.

Q     What happens to the overhead/indirect costs/F&A costs         paid to the university?

A     F&A costs are distributed according to policies developed by         the Vice Chancellors and subject to state laws and         regulations. Currently, ten percent of all recovered F&A         costs for a project are returned to the unit originating the         project, and an additional 10 percent is available for the use         of the PI and co-PIs.