News & Events
1.17.2018 PAMS for January 18 Postponed The Proposal and Award Management Session for Thursday, January 18, 2018 has been postponed. Watch for the rescheduled date to be coming soon. We apologize for any inconvenience.
1.8.2018 Location Change for Proposal and Awards Management Sessions The location has changed for the remaining PAMS to EML room 170. The next session will be held on Thursday, January 18 from 11:00-11:45 a.m. The topic area for this meeting is Electronic Research Administration and Compliance (ERAC). NDSU is working with Novelution Corp. on a software solution for electronic research administration and compliance which will permit faculty and researchers to build their proposals in the system and electronically route proposals for necessary approvals/signatures.
12.11.2017 Grant & Contract Accounts Receivable Procedures (Note: notice of these procedures was previously provided to Deans, Heads and Chairs on 11/30/17.) Delinquent grant/contract receivables become a risk to the PI’s department. Transfers to the department local fund are required for un-reimbursable/unallowable expenses. There are various reasons a receivable can become delinquent (progress reports not submitted on time, work not satisfactorily completed, etc.). The following Grant & Contract Accounting procedures will keep the department chairs/managers and Deans/Directors apprised of risk from delinquent receivables.
As a result of Monthly Accounts Receivable (A/R) Aging Reports, the following procedures will be applied as/when necessary:
- At 60 days – if waiting on a progress report, a Grant & Contract Accounting (GCA) Officer will email the PI and Department Chair, and cc the Director of GCA and Associate VP for SPA (include Executive Director, Corporate & Foundation Research Relations if sponsor is a private company and the award is not federal flow-through)
- At 90 days – GCA Officer will send a notification to the sponsor and cc the PI, Department Chair, Director of GCA and Associate VP for SPA (include Executive Director, Corporate & Foundation Research Relations, as necessary)
- At 120 days – GCA Director will contact the sponsor and work with the PI and Department Chair to considering putting a hold on the project – will cc: GCA Officer, Associate VP for SPA, Controller, and College Dean (include Exec Dir, Corporate & Foundation Research Relations, as necessary)
- At 150 days – project will be placed on hold until payments are current. For sponsors who reach the point of 150 days delinquent on any invoice, careful consideration should be given (1) to terms and conditions of future agreements (ex. making future awards Advance Pay, where sponsors pay in full at the time of the award execution and before work begins) or (2) whether or not it is a prudent business practice to continue to enter into agreements with that sponsor.
There are many factors to consider before taking any action, including:
- changes to the contract that made the receivable look older than it is (PeopleSoft Limitations)
- system glitches
- is the sponsor waiting on a progress report from NDSU
- if work wasn’t completed satisfactorily
- pending award changes that impact payment
If you have any questions concerning these procedures, please contact Grant & Contract Accounting (1-8357).
11.20.2017 Updated Information – Advanced Spending Updates have been made to the Sponsored Programs Administration page for Pre-Award Administration regarding Advanced Spending (formerly known as Pre-Award Spending). Sponsored Programs will review all advanced spending requests and forward approved requests to Grant and Contract Accounting. Approval is contingent on meeting advanced spending criteria as well as satisfactory completion of applicable compliance requirements (IACUC, IRB, IBC, FCOI and COI).
11.20.2017 Proposal and Award Management Session
The eighth in a series of Proposal & Award Management Sessions was held on November 16, 2017. Handouts from the session is available on the SPA website under Training.
11.6.2017 Issuance of a Revised Proposal and Award Policies and Procedures Guide (NSF 18-1)
From Jean Feldman, Head, Policy Office, Division of Institution & Award Support at NSF: a revised version of the NSF Proposal & Award Policies & Procedures Guide (PAPPG), (NSF 18-1) has been issued.
The new PAPPG will be effective for proposals submitted, or due, on or after January 29, 2018. Significant changes include:
- Addition of a new eligibility subcategory on international branch campuses of U.S. Institutions of Higher Education;
- Revision of eligibility standards for foreign organizations;
- Implementation of the standard Collaborators and Other Affiliations (COA) template that has been in pilot phase since April;
- Increase in the Budget Justification page limitation from three pages to five pages;
- Restructuring of coverage on grantee notifications to and requests for approval from NSF, including referral to the Prior Approval Matrix available on the NSF website; and
- Numerous clarifications and other changes throughout the document.
You are encouraged to review the by-chapter summary of changes provided in the Introduction section of the PAPPG.
A webinar to brief the community on the new PAPPG will be held on December 8 at 2 PM EST. Sign up to be notified when registration is available on the outreach notifications website, by selecting “All NSF Grants and Policy Outreach Events & Notifications.”
While this version of the PAPPG becomes effective on January 29, 2018, in the interim, the guidelines contained in the current PAPPG (NSF 17-1) continue to apply. We will ensure that the current version of the PAPPG remains on the NSF website, with a notation to proposers that specifies when the new PAPPG (including a link to the new Guide) will become effective.
10.24.2017 Updated Proposal and Award Management Sessions Schedule
They are as follows:
- Thursday, Nov. 16, 2017 - Cost Sharing, Effort Reporting, Recharge Centers, Service Centers
- Thursday, Dec. 7, 2017 - Grants.gov Workspace
- Thursday, Jan. 18, 2018 - Electronic Research Administration & Compliance (ERAC)
- Thursday, Feb. 15, 2018 - TBD
- Thursday, Mar. 22, 2018 - Research Integrity & Compliance - IRB, IACUC, IBC, RCR, COI, Export Controls
The topics are tentative and all sessions are from 11:00-11:45 a.m. in the Quentin Burdick Building, room 422.
10.2.2017 Proposal and Award Management Session #7
The next session in the Proposal and Award Management Series will be held on Thursday, October 19, from 11:00-11:45 a.m. in the Quentin Burdick Building (QBB), room 422. The topic area for this meeting is Research Development Services and Tools. This session will cover resources available for finding funding opportunities and assisting with the development of grant proposals.
10.2.2017 Proposal Transmittal Form (PTF) Printing Issues
Sponsored Programs Administration has recently received some Proposal Transmittal Forms (PTFs) where certain fields are not appearing on the printed form. The problem areas we have noted are: Project Title, Purpose Type, and NDSU Information Technology Considerations. At this time it is unknown why this is occurring, but we ask that PTF’s be double-checked after printing and before submission to our office, to ensure that all fields are included. For any fields that are missing, we ask that you please pencil-in those areas with the correct information. If you have any questions, please contact Cindy Eleson (231-5259 or firstname.lastname@example.org).
9.25.2017 Additional Proposal and Award Management Sessions Scheduled
They are as follows:
- Thursday, Oct. 19, 2017 - TBD
- Thursday, Nov. 16, 2017 - Cost Sharing
- Thursday, Dec. 7, 2017 - Grants.gov Workspace
- Thursday, Jan. 18, 2018 - ERAC
- Thursday, Feb. 15, 2018 - Effort Reporting/Recharge Centers/Service Centers
- Thursday, Mar. 22, 2018 - Research Integrity & Compliance - IRB, IACUC, IBC, RCR, COI, Export Controls
The topics are tentative and all sessions are from 11:00-11:45 a.m. in the Quentin Burdick Building, room 422.
9.14.2017 Proposal and Award Management Session
The sixth in a series of Proposal & Award Management Sessions was held on September 14, 2017. Handouts from the session is available on the SPA website under Training.
9.5.2017 Grants.Gov Transitions to “Grants.Gov Workspace” for Proposals Submitted After 12/31/2017
Grants.Gov is phasing out the downloadable PDF application packages used for federal proposal submissions and is transitioning to a new online application and submission system called Grants.Gov Workspace. All proposals submitted through Grants.Gov after 12/31/2017 must be completed and submitted through Grants.Gov Workspace as the PDF application packages will no longer be available for download.
Grants.Gov Workspace primary benefits/changes include:
- PIs and any other personnel that assist with application completion, will need to register in Grants.Gov as an “organizational applicant” using the following link: https://apply07.grants.gov/apply/OrcRegister.
- Applications are completed in an online system which allows multiple people to work on a proposal at one time.
- Subawardees can be added to a Grants.Gov Workspace application to assist with application completion.
- Forms within Workspace can be re-used, saving data entry time.
- Workspace improves error-checking and allows PIs to identify and correct errors before submission.
Over the next few months, Sponsored Programs will provide additional guidance to the campus community related to Grants.Gov Workspace. Please contact Sponsored Programs at NDSU.Research@ndsu.edu or 231-8045 if you have questions.
There are also resources available through Grants.gov, including a YouTube channel with Workspace training and tutorial videos: https://www.youtube.com/user/GrantsGovUS, as well as a Workspace blog: https://blog.grants.gov/category/grants-gov-workspace/.
8.28.2017 National Science Foundation (NSF) – Collaborators and Other Affiliations (COA) template use required!
On April 24, 2017, the National Science Foundation (NSF) initiated a new pilot requiring the use of a spreadsheet template for identifying Collaborators and Other Affiliations information for Principal Investigators (PIs), co-PIs, and other senior project personnel identified on proposals submitted in FastLane. The NSF Proposal and Award Policies & Procedures Guide (PAPPG) (NSF 17-1) requires PIs, co-PIs, and other senior project personnel identified on NSF proposals to individually upload Collaborators and Other Affiliations information as a Single Copy Document (see PAPPG Chapter II.C.1.e).
NSF uses this information during the merit review process to help manage reviewer selection. To expedite identification of potential reviewers, having a standard, searchable format for this information is essential. The new pilot standardizes Collaborators and Other Affiliations information across the Foundation and will ensure that the information is submitted in a searchable format. Results from the pilot will be assessed and will determine how to proceed with this section of the proposal in the future. The new template and associated instructions can be accessed at: https://www.nsf.gov/bfa/dias/policy/coa.jsp. (See also the April 17 and 24, 2017 RCA Update for additional details.)
8.25.2017 Proposal and Award Management Session
The fifth in a series of Proposal & Award Management Sessions was held on August 17, 2017. A handout from the session is available on the SPA website under Training.
7.24.2017 Award Disposition
When a faculty member or researcher is the PI on a sponsored award and they notify their Department that they are leaving NDSU, appropriate steps need to be taken in terms of award disposition well before the PI’s departure. There is a Disposition of Grants form on SPA’s website that needs to be completed. It is important that this form be completed as soon as possible after notification that a PI will be leaving, as the responsibility for continuation, management and/or transfer/relinquishment of the award rests on NDSU as the named recipient. Often awards need to remain at NDSU due to sponsor limitations, or the timing of the PI leaving NDSU. If, for instance, a PI leaves NDSU in the final 12 months of a project, it may be more practical to leave the award at NDSU and issue a subaward to the former PI at their new institution. This eliminates the long delays that are often experienced when NDSU has to relinquish an award and the sponsor has to reissue it to a new institution. It is often less burdensome on a sponsor to simply approve a replacement PI at NDSU and to approve a subaward to the new institution. Also, it is possible to have a different outcome for multiple awards to the same PI. That is, one award may be transferred in its entirety, one may be transferred but have a subaward back to NDSU, one may stay at NDSU under a replacement PI with a subaward to the former PI, and one may simply stay in full under a replacement PI. Please contact SPA at email@example.com with any questions, or to discuss specifics of award disposition.
7.24.2017 Equipment and Property Management Standards
NDSU Policy Manual Section 819 contains information on managing equipment and property purchased with external sponsored awards and internal institutional funds. In addition, if you have equipment or property that is purchased on a federal award, you may need to review the Federal Property Management Procedure Guide.
Equipment purchased on an external award is included as part of NDSU inventory. After the end of an award, or when this equipment is no longer needed by the Department, it is classified as surplus inventory and should be disposed of in accordance with the NDSU policy on surplus inventory (see NDSU Policy Manual Section 406). Departments should follow the NDSU surplus inventory process in terms of disposition. Policy 406 should be used in conjunction with the Federal Property Management Procedure Guide as necessary.
If a sponsored award is relinquished by NDSU and moved to another institution, equipment purchased by that grant may be able to be transferred to the new institution with the award. Please contact the assigned Grants Officer for assistance in equipment disposition on relinquished awards.
7.24.2017 Lab Notebooks
Since awards are made to the institution, NDSU needs to ensure that all project related property is retained by the institution. This includes lab notebooks. When an award is terminated or expires, or any project personnel leave the project or NDSU, the originals of lab notebooks would need to remain at NDSU. Often a copy of the notebook can be made to enable the departing project personnel to take it with them in order to continue project-related work at their new institution, if appropriate. Another consideration in determining the appropriateness of taking copies of lab notebooks would be the funding source. Most often, if you are transferring an external grant to another institution, then the originals stay here and the copies can go. However, if the grant is one that cannot be transferred, such as EPSCoR funding, then it may not be permissible for a copy to go, as the work stays here. (We typically cannot transfer EPSCoR funds outside the jurisdiction.) Awards are made to the institution, not to the individual PI, so the institution needs to maintain the records. Also, NDSU may need to be able to demonstrate compliance with certain award terms, including effort, which would be hampered without access to the project information and notebooks.
There are many reasons why the notebooks need to stay here, including records retention requirements for NDSU as well as any external funding agency, and project administration and close-out concerns. NDSU has had inquiries from sponsors after the completion or early termination of a project and without access to the notebooks a department may struggle to provide a sponsor with answers and/or information. Also, the notebooks are important in terms of intellectual property, and there have been instances where projects were started at another institution but then moved here with a PI, but the IP remained with the previous institution as that is where it was developed or first conceived. Conversely, with project personnel moving to another institution there could be something that is later determined to have been invented entirely at NDSU, or perhaps jointly at NDSU and the new institution. The notebooks would be an important part of that determination. Please contact SPA at firstname.lastname@example.org with any questions.
7.21.2017 Proposal and Award Management Session
The fourth in a series of Proposal & Award Management Sessions was held on July 20, 2017. Slides and the handout from the session are available on the SPA website under Training. NOTE: the location of the next session on August 17, 2017 has been changed from the QBB to Research 1, conference room 148/154.
6.26.2017 Proposal and Award Management Session
The third in a series of Proposal & Award Management Sessions was held on June 15, 2017. Slides and the handout from the session are available on the SPA website under Training. NOTE: the July date has been changed from July 13, 2017 to July 20, 2017.
5.30.2017 No-Cost Time Extensions
A no-cost extension is an extension of the period of performance without additional funds. Funding agencies will generally allow for no-cost time extensions on grant projects. Depending on its policy, an agency may allow a grantee institution to approve a time extension, or the granting agency itself may need to approve the time extension. Some agencies also require that extension requests be submitted a specified amount of time in advance of the grant expiration date. Consult your grant agreement or grant agency policy for instructions. For more information, including how to request a no-cost time extension, review SPA’s web page for Pre- and Post-Award Administration
5.25.2017 Proposal and Award Management Session
The second in a series of Proposal & Award Management Sessions was held on May 18, 2017. Slides and the handout from the session are available on the SPA website under Training.
5.8.2017 Proposal and Award Management Sessions Materials Available
The first in a series of Proposal and Award Management Sessions was held on April 20, 2017. Participants were encouranged to submit topics for future discussion to email@example.com. Each month we will select one topic and will add it to the agenda for the meeting. The session was recorded and the recording, slides, and handout, including a single page contact sheet as page 2 of the handout, are available on the Sponsored Programs website at: www.ndsu.edu/research/sponsored_programs_admin/training/.
4.20.2017 Proposal and Award Management Session
The first in a series of Proposal & Award Management Sessions was held on April 20, 2017. Slides and the handout from the session are available on the SPA website under Training.
4.10.2017 Proposal & Award Management Sessions
The Sponsored Programs Administration (SPA) and Grant & Contract Accounting (GCA) offices will be sponsoring monthly Proposal & Award Management sessions. These sessions will provide information and training on topics that are relevant to various aspects of proposal submission and award management. Anyone that participates in any way or has an interest in proposal or budget development, routing and submission of proposals, processing or approving expenditures on awards (allowable costs, payroll, equipment, materials, etc.), overall award management, award compliance, locating funding opportunities or electronic research administration is encouraged to attend. These sessions are open to all faculty, researchers and staff.
All sessions will be held in the Quentin Burdick, room 422, from 11:00am - 11:45am. This room is videoconferencing (IVN) enabled, so if you need to participate via IVN, through please contact Faye Klein in SPA (231-8045) or firstname.lastname@example.org. IVN participants will need to reserve their site and let Faye know so that SPA can set up for each requesting site. SPA will need the room name and the IP address no later than 10:00 a.m. the day prior to the session. Participants who cannot attend in person or via IVN, may be able to connect in two other ways:
1. directly from their laptop or desktop computer using a specific software application, or
2. via an audio connection that can be added to the IVN event.
Participants via personal computer or audio-only will want to contact Faye as soon as possible to ensure adequate time for connections, configuration and testing.
Here are the dates and topics for the first 6 sessions:
|April 20||Focus on Fundamentals: Sponsored Programs and Grant & Contract Accounting – general overview highlighting the services provided by each office.|
|May 18||Proposal Review - emphasis on budget review, sponsor guidelines, compliance check and NDSU policies; what SPA reviews.|
|June 15||Award Management-Part I - funding mechanisms, the negotiation process, key components and award terms, compliance verification, award hand-off from SPA to GCA.|
|July 20||Award Management–Part 2 – award set-up, GCA expenditure review, award management elements. *Date was changed from July 13th to July 20th as of 6/26/2017.*|
|August 17||Round Table Discussions – multiple discussion tables will be available with an opportunity for attendees to select three topics of interest and participate in 15 minute “mini-sessions”.|
|September 14||Reports and Queries: PeopleSoft and beyond – Review of reports and queries available to assist users in managing proposal and award activity.|
4.3.2017 NDSU Research and Sponsored Activity Handbook
The NDSU Research and Sponsored Activity Handbook was recently developed for new and established investigators to provide guidance regarding the development and administration of sponsored projects. The Handbook is available on the Research and Creative Activity Website. While it does not cover all topics that could potentially arise with various funding agencies, this guide provides general information in one location for areas typically addressed at NDSU.
3.6.2017 NDUS Office 365 Migration and the Impact on Proposals/Awards
The North Dakota University System’s Office 365 migration is scheduled to begin the weekend before spring break (see the ITS webpage for more details). In an effort to ensure trouble-free operations during this time, Sponsored Programs Administration (SPA) is requesting that any correspondence sent to the email@example.com address be submitted early, prior to March 10th, or delayed until Monday, March 13th as there may be a time delay in Sponsored Programs receiving your message. If SPA staff have not responded to messages sent to the firstname.lastname@example.org address within 2 business days following the email migration, please resend or contact SPA at 1-8045.
1.30.2017 Helpful Tips for Using Grants.gov
A grants.gov file is used by many federal agencies for grant submission. Each file is set up to load per the funding opportunity announcement. In order to avoid last minute difficulties with these files which could impact submission, please:
- download the specific package that is associated with the funding opportunity announcment. You will need the instructions and the package;
- use the Sponsored Programs Administration website for NDSU's institutional information;
- use the hyperlinks on the grants.gov coversheet to pull in the correct budget and other necessary forms.
If you need assistance with the form, call 1-8045 or email email@example.com, and we will gladly provide guidance to you!
1.9.2017 Significant Financial Interest (SFI) Disclosures
All investigators currently funded by either PHS or NSF should have received a notice last week requesting an updated SFI disclosure is a requirement of these funding agencies and the initial disclosure is done as part of the proposal process. In order to ensure there is no gap between the timing of the disclosure and any changes that may occur prior to or during subsequent funding periods, as well as to certify the continuity of oversight that is required is up-to-date, Research Integrity and Compliance has implemented an annual updating process.
If you received a notice, please complete the update process by January 31.
Please contact Julie Sherwood (1-8908; firstname.lastname@example.org) with any questions.
Check out Gear-Up-for-Grants Seminars offered during the academic year!
10.17.2016. Pre-Award Spending. Occasionally it is necessary to incur costs prior to the set-up of an award. For instructions on how to request pre-award spending, visit the Sponsored Programs Administration page for Pre- and Post-Award Administration. Sponsored Programs will review all pre-award spending requests and forward approved requests to Grant and Contract Accounting. Approval is contingent on meeting pre-award criteria as well as satisfactory completion of applicable compliance requirements (IACUC, IRB, IBC, FCOI and COI).
10.3.2016. No-Cost Time Extensions. A no-cost extension is an extension of the period of performance without additional funds. Funding agencies will generally allow for no-cost time extensions on grant projects. Depending on its policy, an agency may allow a grantee institution to approve a time extension, or the granting agency itself may need to approve the time extension. Some agencies also require that extension requests be submitted a specified amount of time in advance of the grant expiration date. Consult your grant agreement or grant agency policy to verify eligibility of a project for an extension and for additional instructions. Requests for no-cost extensions should be routed to the Sponsored Programs Administration (SPA) office. SPA will make the formal request for the extension to the sponsor. For more information, including how to request a no-cost time extension, review the SPA’s web page for Pre- and Post-Award Administration.
9.12.2016. Streamlining the Proposal Process. Proposals submitted to external entities (sponsors) for financial support of research or other activities, are required to be routed for appropriate institutional review and approval prior to submission to the sponsor. Proposals should be routed with the Proposal Transmittal Form (PTF), which can be found on the Sponsored Program Administration website under forms: https://www.ndsu.edu/research/sponsored_programs_admin/forms/. The PTF should be thoroughly completed and routed with a copy of the proposal, or at a minimum an abstract, a budget and a budget justification. Proposals are reviewed in the order that they are received, so to assure a timely review proposals must be received in SPA 3-5 business days prior to the submission deadline.
Tips for Developing Proposal Budgets.
1. Include salary for the Principal Investigator (PI) as well as other NDSU personnel who will be contributing work to the project. Amounts should be based on current or anticipated actual salaries.
2. Always include the appropriate fringe benefit amount for all salaries requested. Fully benefitted positions will have fringe benefits ranging from 30% to 84%, depending on the level of salary. Ranges are provided on Sponsored Programs Administration (SPA) website, or you can estimate the cost using a tool on the SPA website: https://www.ndsu.edu/research/sponsored_programs_admin/institutional_information/.
3. Non-NDSU personnel should be identified as either “Consultants” or “Subawards”, depending on their involvement in the project.
4. NDSU personnel cannot be “Consultants” on NDSU proposals.
5. Facilities and Administrative costs (F&A), must be included on every budget, unless the sponsor has a published guideline/limitation.
6. SPA has budgeting tools/templates for a single year or up to 5 years available at: https://www.ndsu.edu/research/sponsored_programs_admin/forms/.
What to do When Your Proposal is Selected for Funding. When you are notified that your proposal has been successful and will receive funding, please notify the Sponsored Programs Administration (SPA) office at email@example.com, or in the event of funding by private industry please notify the Business Development unit at firstname.lastname@example.org. These units are the central administration units that will review and negotiate the award, and provide the authorized institutional signature on award documents. Award documents that are signed by individuals that do not have signature authority for NDSU are not legally binding.
4.25.2016. NIH Webpage Outlines Grant Funding Programs Offered. National Institute of Health (NIH) provides the following webpage which outlines the grant funding programs offered and the associated requirements of each grant including budget information: http://grants.nih.gov/grants/funding/ac_search_results.htm. For questions, please contact Cindy Eleson (1-5259, email@example.com).
4.11.2016. IMPORTANT REMINDER - F&A Requirement. In accordance with NDSU Policy Section 813 subpart 5, the inclusion of F&A is required on every grant and contract proposal, unless such costs are specifically prohibited by the sponsor. If a funding opportunity has a limitation as to the payment of F&A, PI’s should provide a copy to SPA of the funding opportunity with that section clearly marked at the time the PTF is routed. In the absence of specific funding opportunity language, if a sponsor has a limitation as to the payment of F&A, then at the time the PTF is routed PI’s should provide a copy of that sponsor’s clear established policy that is publicly posted on their website.
Industry is expected to pay the full, applicable F&A expenses associated with every sponsored project. Any consideration of a reduction of the applicable F&A essentially means that the state is providing part of the funding for the project which would constitute a use of public funds for private benefit.
For more information regarding F&A rates, visit SPA’s website for Institutional Information.
Employment of Relatives as a COI
NDSU’s policy on employment of relatives is found in Section 110 of the NDSU Policy Manual: https://www.ndsu.edu/fileadmin/policy/110.pdf. Any employee that has a direct or indirect personal or financial interest that could create a conflict of interest or the appearance of a conflict of interest in an agreement is required to disclose the (potential) conflict of interest to their supervisor for management. (See Section 151 (3.1) https://www.ndsu.edu/fileadmin/policy/151.pdf) In terms of the submission of proposals, the “COI” box found just) with questions.
Budget Strategies When Working with Industry
When contemplating a sponsored project funded solely by an industry partner, a detailed budget and budget justification is frequently provided to the sponsor similar to what is done for any federal or other sponsored project. These budgets reflect the actual costs of performing the research, with a separate line item for the indirect costs (Facility and Administration expenses or F&A) of the project.
A preferred approach for industry sponsors is to provide a fully burdened budget, which is a budget format where F&A is included in each expense line rather than being listed as a separate line item. This budget format is more familiar to industry than the detailed budget commonly provided to federal agencies. Fully burdened budgets should include the following statement: “Budget categories are composed of fully burdened costs. Profit is not included as NDSU is a Public/State Controlled Institution of Higher Education and a non-profit entity.”
If using the fully burdened budget option, the detailed budget and budget justification is still required to be routed to Sponsored Programs with the Proposal Transmittal Form for internal review and approval, in addition to the fully burdened budget. SPA will have a form available soon which will automatically create a fully burdened budget from a detailed budget, eliminating the need to create two budgets.
Faculty and staff are encouraged to contact RCA Business Development staff (NDSU.BusinessDev@ndsu.edu) as early as possible for assistance related to working with industry partners. Business Development can offer guidance when discussing research options and NDSU policies, including IP and F&A.
Institutional commitment/support is intended to show department/college/university support that will be available to a project, without providing specific dollar amounts that could be construed as auditable cost share by a sponsor. By contrast, cost share is intended to show institutional approval of the cost share commitments listed in the budget and budget justifications. Specific dollar amounts included in budgets as cost share are considered auditable cost share.
Sponsored Programs has added samples of an institutional commitment letter and a cost share letter to the Sponsored Programs website https://www.ndsu.edu/research/sponsored_programs_admin/forms/ for use by faculty and staff. Additional guidance related to the sample letters has also been included on the Sponsored Programs forms webpage.
Please keep in mind that cost share should not be included in a proposal unless it is specifically mandated by a sponsor. And when mandated, cost share should only be provided at the required level. NDSU Policy Section 814 should also be reviewed when cost share situations arise: https://www.ndsu.edu/fileadmin/policy/814.pdf.
3.7.2016. Fiscal Year 2015 Sponsored Programs Annual Report. The Fiscal Year 2015 Sponsored Programs Annual Report has been completed and is available for viewing at the following address: https://www.ndsu.edu/research/reports/. The report provides a summary of NDSU’s proposals processed and awards received during fiscal year 2015.
Update to Conflict of Interest Disclosure and Management
There have been many questions concerning the COI Disclosure - Administrative Review Form as well as the SAMPLE COI Management Plan that were on the SPA webpage. Based on these inquiries, some modifications have been done to the forms. Updated forms have been provided on the SPA webpage (navigation SPA, Research Tools, Forms). Please pay special attention to the explanatory information on the top of the SAMPLE COI Management Plan. Please contact Val Kettner (231-9608, firstname.lastname@example.org) with questions.
2.22.2016. Financial Conflict of Interest (FCOI) Disclosures Required for PHS Agency Grants. Financial Conflict of Interest (FCOI) disclosures are required from all people named on a grant when submitting to a PHS agency. Due to the time involved between grant submission and awards, student personnel can change. For this reason, you may want to list “Graduate Student” or “Undergraduate Student” rather than a name. If/when the grant is awarded, we can get FCOI disclosures from the students at that time. Contact Julie (1-8908, email@example.com) with any questions.
Proposal Budget Format
When preparing proposal budgets to be routed through Sponsored Programs, the budget attached to the proposal transmittal form should be presented in the sponsor specified forms to ensure budgets are properly and accurately reviewed.
If a sponsor has not identified a specific budget format, one of the budget templates located on the Sponsored Programs website should be used. https://www.ndsu.edu/research/sponsored_programs_admin/forms
2.16.2016. NDSU Policy 823: Financial Conflict of Interest - Public Health Service Sponsored Research. Prior to submitting a proposal to a Public Health Service (PHS) agency, anyone identified as an investigator must have a current PHS Significant Financial Interest disclosure form on file with NDSU’s Research Integrity and Compliance Office. Only the first page of the disclosure form is required to be submitted at the proposal stage and can be found on the following webpage: https://www.ndsu.edu/research/sponsored_programs_admin/forms/. If you have questions related to NDSU Policy 823, please contact Julie Sherwood (1-8098, firstname.lastname@example.org).
Proposal Report Available in Peoplesoft
A new proposal report has been developed and is now available for use in Peoplesoft. The report can be run to identify proposals processed through Sponsored Programs and contains the following parameter options: date range, sponsor name/sponsor ID number, PI name, Co-PI name, department or college. Users can find the report by using the following navigation in Peoplesoft: Grants > Grants WorkCenter > Reports/Queries tab > Reports/Processes section > Proposal Report. Any questions related to the proposal report can be direct to Amy Scott (1-8976, email@example.com).
2.8.2016. Conflict of Interest Disclosure and Management. Section 151.1 of the NDSU Policy Manual governs External Activities and Conflicts of Interest, and applies to all full-time and part-time employees. (https://www.ndsu.edu/fileadmin/policy/151_1.pdf) Potential and actual conflicts of interest (COI) must be disclosed using the COI Disclosure - Administrative Review Form that can be found on the SPA webpage, with navigation being SPA, Research Tools, Forms. (This form is referenced under 6.2.) Under part 6 of Section 151.1, this form is to be completed and routed to the appropriate Administrative heads of units (as defined by Section 151.1, part 12.1). Upon completion of routing, the COI will either be approved, approved with oversight, or not approved. In the event the COI is approved with oversight, a COI Management Plan will need to be completed. There is a SAMPLE COI Management Plan template that can be used as a starting point and modified to fit individual circumstances. This SAMPLE is also found in the Forms section of the SPA webpage.
2.5.2016. Conflict of Interest Disclosure and Management. Section 151.1 of the NDSU Policy Manual governs External Activities and Conflicts of Interest, and applies to all full-time and part-time employees. (https://www.ndsu.edu/fileadmin/policy/151_1.pdf) Potential and actual conflicts of interest (COI) must be disclosed using the COI Disclosure - Administrative Review Form that can be found on the SPA webpage, with navigation being SPA, Research Tools, Forms. (This form is referenced under 6.2.) Under part 6 of Section 151.1, this form is to be completed and routed to the appropriate Administrative heads of units (as defined by Section 151.1, part 12.1). Upon completion of routing, the COI will either be approved, approved with oversight, or not approved. In the event the COI is approved with oversight, a COI Management Plan will need to be completed. There is a SAMPLE COI Management Plan template that can be used as a starting point and modified to fit individual circumstances. This SAMPLE is also found in the Forms section of the SPA webpage.
2.1.2016. Subscription to Federal Grant News. NDSU, through the office of Grant & Contract Accounting (GCA), holds a subscription to “A Guide to Managing Federal Grants for Colleges & Universities”. Included with that subscription is an informative monthly newsletter, the Federal Grants News. These newsletters are available to Department Administrators and Principal Investigators on the Moodle Learning page https://community.ndus.edu/login/index.php. Sign in with your NDUS sign on credentials. Navigation is NDSU, NDSU Employee Training, NCURA Toolbox for Research Administrators, and then click on Federal Grants Management Monthly newsletters. Also available on the learning page are the NCURA Life Cycle Series and other purchased webinars from SPA and GCA.
1.19.2016. Developing a Budget Justification. A budget justification provides the sponsor and reviewers information on how budget costs were estimated and justifies the need for the cost by providing a more detailed explanation of the budget items. Listed below are helpful tips when developing the justification:
- Follow the budget categories as listed in the sponsor’s budget form so that easy comparisons can be made.
- Explain why each item in the budget is necessary to accomplish proposed project.
- Keep it easy to read and include headings to separate budget categories.
- Dollar amounts listed in the justification should match the amounts listed in the budget.
- Read sponsor guidelines carefully to ensure format of budget justification conforms to any page limitations and any other sponsor specific requirements.
If you have any questions concerning budget preparation or the budget justification, please contact Cindy Eleson at 1-5259 or firstname.lastname@example.org.
12.14.2015. Communication with Sponsors. Federal agencies are emphasizing that PI’s include as a cc the institution’s signing official on any communication between the PI and an agency. This is especially important during the agency proposal review process, as all communications become part of the official grant file at the agency, and should also be included in the NDSU official file which is kept in Grant and Contract Accounting. NDSU’s signing authority for external proposals and awards is Sponsored Program Administration (SPA) and PI’s should cc the SPA internal listserv email@example.com. During the performance of an award, PI’s should limit their initiation of communication with a sponsor to only technical matters and should not initiate communication with a sponsor concerning grant or contract terms or conditions. Rather, PI’s must work with SPA to initiate requests concerning terms and conditions. This enables a faster response to sponsoring entities when terms are modified, as modifications to grant or contract terms most often require an official signature from SPA.
NSF Participant Support Costs
NSF has a very strict definition of participant support costs. Participant support costs are defined as “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 connection with meetings, conferences, symposia or training projects.” Participants are not NDSU employees. The NSF Proposals and Award Policies and Procedures Guide (PAPPG) defines participant supports costs in Part I Grant Proposal Guide (GPG), Article II.C.2.v., which can be found here: http://www.nsf.gov/pubs/policydocs/pappguide/nsf16001/gpg_2.jsp#IIC2gv.
12.7.2015. Employment of Relatives as COI. NDSU’s policy on employment of relatives is found in Section 110 of the NDSU Policy Manual: https://www.ndsu.edu/fileadmin/policy/110.pdf. Any employee that has a direct or indirect personal or financial interest that could create a conflict of interest or the appearance of a conflict of interest in an agreement is required to disclose the (potential) conflict of interest to their supervisor for management. (See Section 151 (3.1) https://www.ndsu.edu/fileadmin/policy/151.pdf) In terms of the submission of proposals, the “COI” box found just above the signature lines should be marked “Yes” if there is an “immediate family” relationship, as defined by Section 110(3), between a PI and/or co-PI(s) or other personnel that will be compensated from the award if the proposal is successful. This will enable proper oversight of the conflict of interest.
Sections of NDSU Policy 813 are of significant interest and application to all PI’s when completing a grant or contract proposal budget
Section 5. Unless specifically prohibited by the Sponsoring Agency, the inclusion of indirect costs is required in every grant and contract budget. (Please remember to provide the guidelines from the Sponsoring Agency if indirect costs are limited.)
Section 6. Of the indirect costs drawn as expenses are incurred, 42.0% will be allocated back to the generating colleges or units; 16% will be allocated back to the Office of the President (for Research); and 42.0% to the Office of the President. Allocation exceptions must be approved by the President.
11.30.2015. Fringe Benefit Rate Changes. In July of 2015, there was an increase in the fringe benefit rates applicable at NDSU. As you are preparing proposal budgets, you will need to include the higher fringe benefit rates. Please view the increased rates on SPA’s website: https://www.ndsu.edu/research/sponsored_programs_admin/institutional_information/.
These fringe benefit rates should be applied to salaries on all grants. If you have questions, please contact Cindy Eleson @ 1-5259 or firstname.lastname@example.org.
11.23.2015. Proposal Submissions. Reminder that proposals for external funding are due in SPA no later than 72 hours (3 business days) before they are due. Proposals must include a completed PTF, project abstract or summary, detailed budget and a budget justification. NDSU Policy Section 801 requires that all proposals be reviewed and approved by the appropriate NDSU authorities prior to submission to a sponsor (See NDSU Policy Manual Section 801 found at https://www.ndsu.edu/fileadmin/policy/801.pdf). Proposals will be placed in a queue in the order they are received, and late submissions will not receive priority over other proposals.
11.9.2015. Life Cycle of Awards Series Pre-Award/Budgeting – 3 Part Series.*
- Part 2, November 12, 2015
- Part 3, November 16, 2015
Century Theater, Memorial Union, 1:00pm – 2:30pm
*You may attend parts 2 and 3 even if you did not attend part 1. Part 1 was held early afternoon on November 9th. If you are interested in information from Part 1, please contact SPA, 231-8045. For more information on this series, click here.
1.22.2015. New Indirect Cost Rate Agreement. NDSU has received an updated Indirect Cost Rate agreement which is effective immediately and should be used with all new proposals. Any continuation awards or supplemental funding to an existing award should include indirect costs at the rate included in the original proposal submission. The new rate agreement has been added to the Sponsored Programs website under “forms”. Additionally, NDSU policy 813 will be updated to include the new rates, incorporate language from the signed indirect cost rate agreement and will provide updated information related to use of the on-campus/off-campus rates.
12.18.2014. Uniform Guidance. The Office of Management and Budget (OMB) has combined many federal circulars, including A21 and A110, into a single guidance document that can be used by all agencies. This combined document is known as "Uniform Guidance." Federal agencies are currently developing their implementation plans under this guidance and these new regulations will become effective on December 26, 2014. This website will provide information on how NDSU will address the impacts from these changes. Check here often for updates.
12.18.2014. Revised NSF Proposal & Award Policies & Procedure Guide. A revised version of the NSF Proposal & Award Policies & Procedures Guide (PAPPG) (NSF 15-1), is effective for proposals submitted, or due, on or after December 26, 2014.
11.7.2013. Proposal Documents Purge. Beginning January 1, 2014, all proposal documents that have been pending in Sponsored Programs Admin files for over two years without notice from the grant agency will be destroyed. Faculty and staff who would like any of the hard copy documents from their proposals should contact the Sponsored Programs Admin Office before the two year anniversary of the proposal submission.
1.24.2013. New Faculty Guide to Competing for Research Funding. This 81-page guidebook is intended to help new faculty get started. It addresses the key competitive strategies and grant writing skills new faculty need to master for funding success at federal agencies and foundations. To access the guide, you must log in using your NDSU email username and password.
11.8.2012. Export control regulations. Federal export control regulations govern what hardware, software, materials, and technology can be exported out of the country or exposed to certain foreign nationals studying and working within our programs and laboratories. The controls apply to items considered sensitive for military, security, or commercial purposes. An external consultant, Don Fischer, of Fischer and Associates, visited campus to discuss the enforcement of export control regulations at major research institutions and initiated a risk assessment for NDSU. Mr. Fischer has met with a number of administrators, faculty, and staff as part of the assessment and will provide recommendations for enhancing export control compliance at NDSU.
9.25.2012. PHS conflict of interest rules. Requirements for financial conflict of interest (FCOI) disclosure and training have been implemented for PHS proposals and awards. All project investigators must disclose their financial interests prior to proposal submission (once annually and whenever changes to financial interests occur). Upon notice of award, all investigators must also complete FCOI training. Refer to NDSU Policy 823, or contact SPA at 231-8908 for more information. Disclosure Forms are available on the SPA Forms Page.
5.2.2012. Assistance for writing Data Management Plans, now required as part of many grant proposals, can be found at the Research Data website or by contacting Kim Owen, ITS Advanced Applications Coordinator, 231-9522.
11.29.2011. USDA NIFA has revised their indirect cost rates. The rate has changed from 22% of total federal funds (equivalent of 28.205% of total direct costs) to 30% of total federal funds (equivalent of 42.857% of total direct costs) for many of the grants funded by USDA/NIFA. Since the new rate is so close to NDSU's federally negotiated rate for on-campus research (44.5% of modified total direct costs), it is suggested to calculate using both rates. The rate that results in the lowest amount of indirect costs is the rate that is to be used. For questions, contact SPA or Ona.Vig@ndsu.edu. The new rates described above do not apply to all USDA programs. See this helpful chart which displays the range of USDA programs with the indirect cost rates that apply to each: http://www.nifa.usda.gov/business/awards/indirect_cost.html