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Instructions for University Forms
All proposals for external funding of faculty projects must be reviewed and approved by the faculty's unit and the University
prior to their submission to the Sponsor. This endorsement process requires the completion of three institutional forms (Internal
Processing Form, Abstract of Application, and HEGIS/Smithsonian Classification Form). A fourth form is required only if
special approval is requested to waive institutional indirect costs. These forms are required by the General Administration of the
UNC System of which ECU is a constituent institution. These forms are available on disk from OSP using current versions of
MS Word and WordPerfect. Upon receipt and review of the application and forms, OSP will secure the necessary signatures
of the appropriate vice chancellors or their designees.
1. The Internal Processing Form should be typed. Please complete the upper portion of the form and answer all questions
carefully. Be sure that answers are consistent, e.g., items 7 a, b, c, d, 11a, b, c, 12 and 17 must be consistent. Full
names including middle initials should be used. If you have any questions, contact OSP. The form should be signed by the
principal investigator/project director (PI/PD), departmental chair or director, and the dean of the appropriate school. Please
note: Schoolof Medicine faculty must secure signatures from both the Associate Dean for Division of Research & Graduate Studies and
from the Director of Personnel as signature designees for the Dean. Signatures of the chair and dean indicate that the academic
unit supports the project, approves any reassigned time of faculty indicated in the proposal, and that it will provide the required
staff, facilities, and matching funds, if required. If other faculty or staff (e.g., co-investigators) will be substantively
involved in the proposed project and if they are from a different department/ school other than the PI/PD, additional
signatures are required from the co-principal investigators, chairs, and deans of the appropriate departments/units and
schools. Substantive involvement is defined as any commitment of faculty or staff time, funds, equipment, space or other
resources of the department/unit. These additional signatures are required to assure the support of the cooperating departmental
unit. The Internal Processing Form also indicates additional approvals that might be required when a project includes special
subjects and materials. If it applies to your project, please read carefully the Regulatory Requirement Section of the Package.
Acknowledgment of oversight committee review is required for projects using human kind animal subjects, radioactive materials
and biohazardous materials.
2. The Abstract of Application is to be typed and limited to one page. This document may become public information and,
therefore, should not contain descriptions of proprietary or confidential information.
3. The CIP/CHESS Classification Form should be completed by the PI/PD using the CIP and CHESS Codes on pages 7 to
26 and the Smithsonian Subject Index Codes on pages 11 to 13. If nothing fits, please use the NA (not applicable)codes. Also,
please choose a classification category that most closely describe the activity you propose to carry out. A description of the
categories starts on page 5.
4. Request for Waiver of Indirect Cost must be prepared and approved by all the required signatories before a
proposal that does not include indirect costs is submitted to the sponsor. The PI/PD is responsible for obtaining signatures
of his/her chair and dean. Remaining signatures will be solicited by OSP. A copy of the sponsor's guidelines concerning indirect
costs/overhead must accompany the request form. Waivers should not be requested routinely. Almost all federal and state
agencies and many private agencies and foundations allow institutions of higher education to be reimbursed for some part of the
indirect cost to the institution for carrying out research. Utilities, libraries, building maintenance, personnel, purchasing, and
accounting are several examples of institutional costs not covered in the direct costs expended by the investigator. These
reimbursements are called "indirect costs" or "overhead" and are computed based on actual expenditures. Indirect
costs/overhead are real costs and are therefore considered legitimate by most funding agencies. Inclusion of indirect costs
should not adversely affect the review and funding of the proposal. There is little justification for East Carolina University to
forgo indirect costs since to do so places an additional burden on the operating costs of the university. Faculty are strongly
encouraged to remember this point when discussing projects with potential sponsors. If it is not clear how indirect costs are to
be included in the budget, please consult with staff members in OSP. Occasionally a sponsor, as a matter of policy, will not
provide indirect costs. When unit administrators as well as the PI/PD are of the opinion that the value of the project to the unit
or to the university justifies waiving the indirect cost, this rationale must be presented to senior university officials using this
request form.
5. Optional Budget Worksheet. A budget worksheet is provided in this packet for the benefit of those who are unfamiliar
with the budget preparation process. Budget figures should then be transferred to the sponsor's budget request form (if the
organization has one) or to a summary budget sheet for inclusion with the proposal. If you use the worksheet, please enclose it
with the proposal when you submit it to OSP.
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