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Sponsored Programs Main Page
Proposal Approval and Submission
- What is a sponsored project?
- I am a new faculty
member in Genetics (or Special Education or History, or Crop & Soil
Sciences, etc.). Who in Sponsored Programs will help me?
- What’s the difference between the Office for Sponsored Programs (OSP) and Contracts and Grants (C&G)?
- Who’s eligible at UGA to submit proposals? I’m
a post doc and I have a proposal I want to submit; can
I?
- I am PI of my first research grant. What is the University
going to hold me responsible for?
- What is an RFP? What is a RFA?
- How do I know whether to submit my proposal in the name of
the University of Georgia Research Foundation, Inc.
(UGARF) or the University of Georgia?
- What is the difference between the University of Georgia Foundation
and the University of Georgia Research Foundation,
Inc.?
- I’ve written
a proposal to the XYZ Foundation, a private organization. From
whom do I
have
to get permission
to submit it - - Sponsored Programs or the UGA Foundation?
- I just want to send a letter of inquiry to a foundation I
think will fund my project. Do I have to go through
OSP for that?
- What’s a DUNS number? What’s
our EIN number? What congressional district are we in? There
has got to be someplace
where overworked faculty can get this information quickly
and easily.
- My sponsor requires that I submit my proposal electronically.
How do I do that?
- My sponsor of choice will only accept one application annually
from the University of Georgia. How can I be sure that
my proposal will be the one UGA accepts for submission?
- What if I didn’t
tell my OSP Grants Officer about a proposal I sent to a potential
sponsor.
Is
that OK?
- What is the difference between a grant and a contract?
- What is “academic credit”? What is “center/institute
credit”?
Budget Development
- What is “cost sharing” and
how does it work?
- What is the problem
with offering cost sharing to “sweeten
the pot”? It’s not as though we really have
to come up with those dollars and, besides, it will help
me
get my grant funded.
- Why should I have
to pay Facilities & Administrative (F&A)
costs on my grant? That’s just taking away from
what the sponsor is giving me. And just what happens
to those
dollars anyway?
- What F&A rate
do I use on my proposal?
- My sponsor won’t pay indirect or F&A
costs. What can I do and who do I have to see to get a waiver?
- What does MTDC mean?
- How do I know what fringe benefit rates to
use in my sponsored project proposals?
Compliance Issues
- I’ve got animal subjects in one study I’m proposing,
human subjects in another; and I’ll be using recombinant
DNA and select agents in yet a third. Who gives me the
permissions I need for these studies?
Account Set-Up and
Spending Issues
- What is the difference between a restricted
account and a state account?
- I heard from the sponsor that
my project will be funded, but it will take a few weeks to
get the paperwork
in order.What can I do to start spending on a
sponsored project before
the
award actually reaches the University?
- What are preaward costs and when can they be incurred?
- I wrote the proposal and
I got the grant; the funds belong to me and I can decide
how to spend them,
right?
PROPOSAL APPROVAL AND SUBMISSION
1. What is a sponsored project?
A sponsored project (classified as Instruction,
Research, Public Service, or Cooperative Extension) is funded by
an external entity
usually on the basis of a written proposal or a written scope of
work. The proposal must be submitted through the Office for Sponsored Programs (OSP) in order to gain the Authorized Institutional Official’s
approval and signature, which are required for submission to the
sponsor. Restricted accounts are established based on the terms of
the agreement and project-related expenses are paid out of the restricted
accounts.
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2. I am a new faculty member in Genetics
(or Special Education or History, or Crop & Soil Sciences,
etc.). Who in Sponsored Programs will help me?
While anyone in Sponsored Programs can assist
you, each academic department and administrative unit, and many
centers and institutes,
have one OSP staff member assigned to help you. Click here to find
the OSP person responsible for your department, etc. Note, as well,
that Contracts and Grants also assigns one staff person to each department
or unit. The OSP and C&G employees will guide you through the
entire grants-getting-continuation --- from seeking a sponsor to
final grant financial close-out and technical reporting.
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3.
What’s the difference between the Office for Sponsored Programs
(OSP) and Contracts and Grants (C&G)?
The majority of universities have an Office for Sponsored Programs to help with “pre-award” activities
(i.e., finding sponsors, preparing proposals and budgets, approving
proposal submissions,
negotiating agreements, and accepting awards). This office usually
reports through the academic arm of the institution. Here at UGA,
this office reports to Dr. David Lee, Vice President for Research.
The majority of institutions also have a “post-award” office
wherein the accounting and fiscal oversight activities of externally
sponsored programs and projects are monitored. At UGA this office
is the Contracts and Grants Division, and it reports organizationally
to the Controller, Ms. Holley Schramski, and up through the Senior
Vice President for Finance and Administration.
OSP is located on the sixth floor of Boyd
Graduate Studies Research Center. C&G is located at 745 North Lumpkin Street in downtown Athens.
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4. Who’s eligible at UGA to submit proposals? I’m
a post doc and I have a proposal I want to submit; can I?
Click
here for the UGA Eligibility to Submit Proposals
Policy to
determine whether you can be a principal investigator. Only certain
categories of employees can be principal investigators. As a post
doc, you can serve as a co-investigator, so long as an eligible employee
is the designated PI. Post docs who wish to be principal investigators may be allowed to do so if they follow the requirements of the Eligibility
to Submit Proposals Policy, and get approval from the Vice President
for Research or the Director of Sponsored Programs.
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5. I am PI of my first research grant. What is the
University going to hold me responsible for?
Although UGA or UGARF is legally the official recipient
of a grant or contract, the Principal Investigator (PI) is responsible
for its
proper fiscal management and conduct. To assist the PI in this very
important responsibility, the University provides administrative
support services and has established procedures to help meet both
sponsor and university requirements. The University is legally and
financially responsible and accountable to the sponsor for the performance
of the activity funded---but without the full cooperation of the
PI, the University would fail in its stewardship role. There are
clearly defined roles and responsibilities for principal investigators
of projects, as well as for co-investigators and co-principal investigators. Click here to learn what your specific responsibilities are.
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6. What is an RFP? What is a RFA?
These
are acronyms that stand for Request for Proposals and Request
for Applications, respectively. The terms refer to the announcement
mechanisms the Federal government and many other sponsors use to
let the University community know that they are seeking proposals
relating to a specific topic or broad program. RFPs and RFAs detail
the scope of the program the sponsor wishes to fund, who is eligible,
how much money is available, when to apply, what to submit, etc.
They are the guides or roadmaps faculty members need to prepare proposals.
RFPs are usually associated with requests for grant proposals and
RFAs are usually associated with contract proposals.
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7. How do I know
whether to submit my proposal in the name of the University of
Georgia Research Foundation, Inc. (UGARF)
or the University
of Georgia?
Staff in the Office for Sponsored Programs
determine project classification, and base their determination
partially on where faculty lines are
budgeted. For example, cooperative extension faculty may be doing
research, but the project would be classified as cooperative extension
because the faculty members aren’t budgeted for research time.
All research proposals are submitted in the name of the University
of Georgia Research Foundation, Inc. Proposals of other types (i.e.,
Instruction, Public Service and Outreach, and Cooperative Extension)
are submitted in the name of the University of Georgia. Click
here to access a matrix of signatory authorities and submitting entities
for all types of proposals.
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8. What is the difference between the University
of Georgia Foundation and the University of Georgia Research Foundation,
Inc.?
The University of Georgia Foundation (UGAF)
and the University of Georgia Research Foundation (UGARF) are separate
from the University
of Georgia. Each is a 501 (c) (3) organization (i.e., non-profit).
UGAF can accept gifts and non-federal grants with no “strings” attached
and which do not constitute exchange transactions (i.e., where something
of value is given in exchange for a gift or grant). UGARF submits
proposals for and receives gifts, grants, contracts, and agreements
in support of all research projects at UGA.
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9. I’ve written a proposal to the
XYZ Foundation, a private organization. From whom do I have to
get permission to
submit it - - Sponsored
Programs or the UGA Foundation?
Contact Sponsored Programs or the UGA Foundation
before putting the proposal together to avoid wasted effort. All
proposals that
are submitted to private foundations must first be “cleared” by
the UGA Foundation. It is important that you gain clearance from
the UGA Foundation because your submission may inadvertently derail
some other institutional effort to garner funds from the XYZ Foundation.
With respect to which office you utilize to submit
your proposal to the XYZ Foundation, you have a choice. For projects
submitted
to private foundations, you may either work through OSP or the UGA
Foundation. Both have trained staff to help you.
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10. I just want to send a letter of inquiry
to a foundation I think will fund my project. Do I have to go through
OSP for that?
Contact Sponsored Programs or the UGA Foundation before putting the proposal together to avoid wasted effort. All
proposals and letters
of inquiry that are submitted to private foundations must first be “cleared” by
the UGA Foundation. It is important that you gain clearance from
the UGA Foundation because your submission or query may inadvertently
derail some other institutional effort to garner funds from the XYZ
Foundation.
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11. What’s a DUNS number? What’s
our EIN number? What congressional district are we in? There has
got
to be
someplace where overworked
faculty can get this information quickly and easily.
Click here for an exhaustive table of information
you will always need when developing and submitting proposals.
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12. My sponsor requires that I submit my
proposal electronically. How do I do that?
Your assigned Grants Officer in Sponsored Programs will help you
with your electronic proposal submissions, whether they are required
by the National Science Foundation (i.e., through FastLane) or the
Department of Energy or another organization.
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13. My sponsor of choice will only accept
one application annually from the University of Georgia. How can
I be sure that my
proposal will
be the one UGA accepts for submission?
It is critical that you take time to read
through all the application guideline materials to determine whether
the competition limits submissions.
Then call your Grants Officer immediately upon learning that that
any grant competition has limited submissions. Only by knowing that
UGA will have two or more applicants vying for a given number of
submission slots can Sponsored Programs mount and manage an internal
selection process. Failure to notify Sponsored Programs of a planned
proposal under a limited competition has, in the past, resulted in
disappointed PIs whose proposals were never submitted. Don’t
take a chance---call your Grants Officer and state your interest
in ensuring that your project proposal is officially sanctioned.
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14. What if I didn’t tell my OSP Grants
Officer about a proposal I sent to a potential sponsor. Is that
OK?
No, only staff at OSP have the delegated authority to approve and
sign proposals being submitted to potential sponsors, including pre-proposals,
and bind UGA or UGARF to contract or agreement terms and conditions.
Call us immediately and let us assist you in gaining the proper institutional
approvals you will need in order to receive funding. We can help
you avoid problems if we are given the opportunity to point them
out early in the process. More and more frequently, the mere submission
of a contract bid is made contingent upon UGA or UGARF agreeing to
terms prior to the submission of a proposal. In such cases, you are
urged to contact your Grants Officer immediately and certainly before
submitting a proposal.
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15. What is the difference between a grant
and a contract?
A grant is a financial assistance mechanism a sponsor uses to award
funds for conducting a specified, approved project. The responsibility
for the performance of the project rests primarily with the grant
recipient. Most university awards are grants, because they afford
the Principal Investigator a greater degree of latitude to implement
changes or mid-course corrections. If the outcome of your project
is not as expected, you do not have to return the funds (although
you might not get funded by this sponsor again!).
A contract is an award instrument establishing a
legally binding procurement relationship between the sponsor and
the recipient. It
obligates the recipient to furnish a project outcome or service that
is defined in detail in the written contract, and it binds the sponsor
to pay for it. There is less room for innovation and change; thus,
contracts are typically not as highly favored as grants by university
faculty. Contract negotiation often is lengthy and contracts are
restrictive. More and more frequently, the mere submission of a contract
bid is made contingent upon UGA or UGARF agreeing to terms prior to the submission of a proposal. In such cases, you are urged to
contact your Grants Officer immediately and certainly before submitting
a proposal.
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16. What is “academic credit”? What
is “center/institute
credit”?
Academic
Credit---Academic Credit is a method
for Sponsored Programs to capture for departments (on behalf of
the deans of their respective
colleges and schools) the involvement of faculty in interdisciplinary
or center/institute activities. It is important data, and we urge
you not to overlook providing it to us. Academic Credit is defined
as a measure of an investigator’s intellectual contribution to a given project. Total project intellectual contribution is always
100%, and this 100% can be apportioned across as many faculty members
as participate and in whatever manner the collaborating faculty agree
to. Academic Credit is generally awarded to an investigator’s
home academic department, regardless what budgetary unit (i.e., another
department or a center or institute) manages the award.
Center/Institute Credit---Sometimes centers
and institutes help faculty conceptualize and develop a proposal,
but the award is designated
to be managed by the faculty member’s academic home department.
In an effort to help capture for centers and institutes their involvement
in projects they end up NOT managing, we give investigators the opportunity
to “credit” one to three centers for their assistance.
After all, their involvement likely made the award possible! Only
centers or institutes should be identified here, and if there was
no center or institute involvement, this section should be left blank.
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BUDGET DEVELOPMENT
17. What is “cost sharing” and
how does it work?
Cost sharing is any cost associated with a
project that is not paid by the sponsor. It can be a contribution
of real dollars or it can
be “in kind” (i.e., offering employee time or other contributed
goods and services). It can be mandatory (required by the sponsor)
or voluntary (offered or performed by the University or a 3rd-party
entity). When cost sharing is referred to in any way in the proposal
or its budget, it becomes a condition of the agreement and will be
treated as such (whether mandatory or voluntary). A a companion account
will be established by the Contracts and Grants Department to track
cost sharing at the time the account is established. For example,
if you commit 10% of your state-funded salary to a project, an account
will be established for you and 10% of your state-budgeted salary
will be moved into this companion account. Your salary will then
be paid proportionally from the state and the cost share accounts. Click
here for the University's cost sharing policy.
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18. What is the problem with offering cost
sharing to “sweeten
the pot”? It’s not as though we really have to come up
with those dollars and, besides, it will help me get my grant funded.
Click
here to read the
September 2002 Research Newsletter article on cost sharing.
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19. Why should I have to pay Facilities & Administrative
(F&A)
costs on my grant? That’s just taking away from what the
sponsor is giving me. And just what happens to those dollars anyway?
Click
here to read the
Research Matters article What
Happens to F&A at
the University of Georgia.
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20. What F&A rate do I use on my proposal?
Your Grants Officer in the Office for Sponsored Programs can help you determine this, but you can determine the
appropriate rate yourself
by clicking here for the handy F&A
table we have on our website.
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21. My sponsor won’t pay indirect
or F&A
costs. What can I do and who do I have to see to get a waiver?
Click
here to see the policy on F&A.
It describes those situations for which you have to formally request
a waiver and those for which you don’t.
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22. What does MTDC mean?
Not all direct costs for a project are subject
to Facilities and Administrative (F&A) or overhead charges. The basis for calculating
F&A is to modify the cost items to exclude equipment, capital
expenditures, patient care charges, tuition remission, rental costs
of off-site facilities, scholarships and fellowships, and the portion
of each subgrant or subcontract in excess of $25K.
The direct cost items of a budget remaining after the excluded items
are removed are termed Modified Total Direct Costs (MTDC). MTDC costs
include salaries and wages, fringe benefits, materials, supplies,
services, travel, and subgrants and subcontracts up to the first
$25K of each subgrant or subcontract, regardless of the period covered
by the subgrant or subcontract. MTDC costs are the only direct cost
items in a budget on which UGA can collect F&A expenses. The
excluded items, detailed in UGA’s/UGARF/s Rate Agreement with
the Federal government
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23. How do I know what fringe benefit rates
to use in my sponsored project proposals?
Click here for the current fringe benefit rates for a specified
category of employee. Fringe benefits typically change each year
and are distributed early in November each year. These rates are
estimates, and are for budget development purposes only. Fringe benefit
rates in effect for a given employee will be charged to the restricted
account based on actual expenditures.
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COMPLIANCE ISSUES
24. I’ve got animal subjects in one
study I’m
proposing, human subjects in another; and I’ll be using recombinant
DNA and select agents in yet a third. Who gives me the permissions
I
need for these studies?
The Office for Research Compliance in OVPR handles
animal and human subjects protection issues. Call 2-5933 for the Institutional Animal
Care & Use Committee (IACUC) and 2-6514 for the Human Subjects
Institutional Review Board (IRB). Click
here for the IACUC
website and click
here for the IRB website.
The UGA Biosafety Officer, can assist you with issues related to recombinant DNA/infectious agent research and select Select Agent clearance. Contact the UGA Biosafety Officer at 2-7265. Click
here for the Biosafety
website.
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ACCOUNT SET-UP AND SPENDING ISSUES=
25. What is the difference between a restricted
account and a state account?
A restricted (or R) account is established
by the Office of Contracts and Grants on a PI’s behalf in response to an awarded external
grant or contract. The final budget your sponsor approves must be
restricted or “protected” so that the funds are spent
during the time period of the project (not before or not after) and
in accordance with the terms and conditions of the award. Thus, the
funds are restricted in their use and must be accounted for separately
from the general revenue funds awarded to UGA through the Board of
Regents. State (or G) accounts are subject to state rules and regulations.
They lapse at the end of each fiscal year, with any unspent funds
in a state account reverting back to the state on June 30th. Restricted
accounts are more flexible in that balances remaining on June 30
can typically be carried over from year to year, per the terms and
conditions of the project agreement signed with the sponsor.
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26. I heard from the sponsor that my project
will be funded, but it will take a few weeks to get the paperwork
in order. What can
I
do to
start spending on a sponsored project before the award actually
reaches the University?
In cases where you are virtually 100% certain
that your project will be funded, you may request that a pending
award be established
so you can get started right away. You and your department head should
complete the “Pending
Award Request Form” and forward it to your Grants Officer. This form serves as a letter
from the department head guaranteeing that, should the award not
be received, the department is responsible for all unreimbursed expenditures.
This mechanism should be used as the last resort since it significantly
increases the associated administrative effort (the award has to
be handled twice – once to create the pending account and again
when the final award is processed). Additionally, it is important
that costs incurred during the “Pending Award” status
fall within the final approved award project period; thus, you couldn’t
start spending in June if your award date is July 1.
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27. What are preaward costs and when can
they be incurred?
Preaward costs are costs that need to be incurred by the Principal
Investigator for a specific project prior to the actual start date
the project. Several federal programs permit, at the risk of the
grantee (i.e., the University or UGARF), preaward costs to be incurred
within the 90 calendar day period immediately preceeding the effective
date of an award. Note that pre-award spending is not allowable by
all sponsors, so you should contact your Grants Officer for more
information.
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28. I wrote the proposal and I got the grant;
the funds belong to me and I can decide how to spend them, right?
Wrong. All awards are made to the University
of Georgia or the University of Georgia Research Foundation, Inc. Click
here for a chart depicting those
legal entities and who at UGA has authority to submit proposals and
receive funding.
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