Research Administration
Research administration is comprised of many facets and serves as a central resource to support the research community at UD by providing guidance and stewardship for the researchers and administrators on all campuses.
Our mission is to provide excellent administrative support to investigators in their pursuit of research and other scholarly activities while ensuring compliance with federal, University and private sponsor regulations, terms and conditions.
Proposal Development
It takes time and effort to develop a successful proposal — in fact, proposal success rates average 20–33%, depending on the field. Funding agencies reject half the proposals they receive because the applicant did not follow instructions or the proposal did not match the funding program.
However, the rewards for garnering research funding can be great, enabling you to explore new frontiers, instruct your students in the conduct of research, and yield new discoveries and knowledge of benefit to society. Use these resource to get started.
PeopleSoft Reference Guides
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Proposal
Proposal Budget
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Proposal Approval
All proposals submitted to external sponsors from the University of Delaware, regardless of the amount, source of funding or the type of project must be reviewed and approved by the Research Office in accordance with UD policy External Sponsorship and Grant.
In order for a proposal to be submitted, a proposal record must be created in the UD grants module system in order to originate a proposal approval form to route for approval of the proposal submission.
Award Setup
After receipt of a new sponsored award or continuation from a sponsor, the Research Office will prepare the award for spending. We work with departments and PIs to finalize project budgets, setup backend access and prepare your award to.
Setting up your files at the beginning of an award will help to keep you organized throughout the life of the award and make close-outs and audits a much simpler task. You may find it useful to set up a PROJECT ID folder to track transactions. Subfolders for each budget category or type of transaction allow you to further organize your transaction backup documentation.
When a new purpose is set up by the Research Office for a new project, a copy of the Research Office Chart of Accounts Notification is sent to the PI and department account administrator or department representative (this varies by department). This document is a valuable resource for you to retain to help you in administering your award. The Purpose, Project, Contract, and Proposal IDs are all listed. You will need these IDs to run queries and track your transactions. Validate the accuracy of this report and discuss any discrepancies with the Research Office.
Administrator Directory Search
Award Management
The University of Delaware is committed to supporting efficient and compliant award management. It is a shared responsibility of the PI, department, college and core offices to ensure that the award is set up in a manner to best support understanding of award conditions and University policies, meet sponsor expectations for deliverables and prior approvals, and meet financial controls and reporting requirements of the Sponsor.
Each award has unique terms and conditions and the best way to manage an award is to understand the requirements for each.
All federal sponsored awards and many non-governmental sponsors and University policy are based on 2 CFR 200, otherwise known as Uniform Guidance or the UG. These rules are the fundamental basis for most sponsored projects requirements in place at UF.
Many Federal Grants fall under the “Research Terms and Conditions”. Your award will specifically identify if it falls under the Research Terms and Conditions. These conditions provide additional flexibility to UF.
Award Transfer
The two main considerations when transferring to another institution are whether the investigator’s funded projects remain at the University under the direction of a new investigator, or whether the funding is transferred to the new institution where the project is then continued. As all sponsored funding is formally awarded to the University and not to the PI, the University must be involved in any decision to transfer funding to another institution.
Investigators who resign from the University of Delaware have several options to consider if they have sponsored funding.
In addition, new faculty coming to University of Delaware who intend to continue their active sponsored research will have similar considerations.
It is very important to contact your Research Office as soon as possible to discuss these considerations and next steps to ensure a smooth transition.
Subawards
Subawards are awards provided by a pass-through entity to a subrecipient for the subrecipient to carry out part of a Federal award received by the pass-through entity. It does not include payments to a contractor or payments to an individual that is a beneficiary of a Federal program. A subaward may be provided through any form of legal agreement, including an agreement that the pass-through entity considers a contract.
When UD’s Proposal Includes a Subaward for an Investigator at Another Institution
ITEMS REQUIRED FROM SUBRECIPIENTS FOR A UD PROPOSAL:
- Look up the institution in the FDP Expanded Clearinghouse database located at: https://fdpclearinghouse.org/organizations
- Obtain the items listed in the applicable table below, depending on whether or not the subrecipient institution is a member of the FDP Expanded Clearinghouse (see below for explanation).
Table A Table B MEMBER OF FDP Expanded Clearinghouse* NOT A MEMBER of FDP Expanded Clearinghouse* - Provider Category Determination Worksheet
- Scope of Work
- Budget
- Budget Justification
- UD FDP Letter of Intent signed by Authorized Official at the subrecipient institution (do not send a Subrecipient Commitment form)
- Provider Category Determination Worksheet
- Scope of Work
- Budget
- Budget Justification
- UD Subrecipient Commitment Form signed by Authorized Official from the subrecipient institution
- Contact Info in Attachment 3B Subrecipient Contact Form (A two page fillable pdf form which both pages must be completed)
- Subrecipent institution’s indirect costs (F&A) rate agreement
- Include the above items as Attachments to the proposal in the UD Financials Grants System
When UD is a Subrecipient in a Proposal Being Submitted by Another Institution
- Look up the other institution in the FDP Expanded Clearinghouse database located at: https://fdpclearinghouse.org/organizations
- If the institution is a member of the FDP Expanded Clearinghouse:
- Attach a completed UD FDP Letter of Intent to the Attachments Tab of the UD proposal when routed for internal approvals, to be signed by the Research Office Contract and Grant Administrator.
- Do not complete a Subrecipient Information form for the other institution. If they request that you do, politely remind them that UD is a member of the FDP Expanded Clearinghouse (other institution can obtain UD’s data from the Clearinghouse).
- If the institution is not a member of the FDP Expanded Clearinghouse:
- Attach a completed UD non-FDP Subaward Cover Letter to the Attachments Tab of the UD proposal when routed for internal approvals, to be signed by the Research Office Contract and Grant Administrator.
- The other institution may request that we complete their Subrecipient Information form.
Federal Demonstration Project (FDP) Expanded Clearinghouse Participation
 
- Who determines if the other institution is a member of the FDP Expanded Clearinghouse?
- The Department Administrator or PI looks up the other institution in the FDP Expanded Clearinghouse database when preparing the proposal.
- Where do I get a user ID and password for the FDP Expanded Clearinghouse?
- You do not need a user ID or password to be able to access the FDP Expanded Clearinghouse data.
- How do I let the Research Office Contract and Grant Administrator know that the subaward institution is a member of the FDP Expanded Clearinghouse?
- Attach the other institution’s FDP-style Letter of Intent to the UD Financials Grant proposal.
- Do I need to send UD’s Letter of Intent template (LOI) to the other institution for them to complete?
- Maybe. Member institutions are likely to have their own institution’s LOI to use for proposals with other member institutions. However, you can send them UD’s LOI to use as a sample if they ask for one.
- Does the other institution’s Letter of Intent (LOI) need to follow the same format as UD’s FDP LOI?
- No, but, it should provide essentially the same project-specific information, it should not request completion of data that can be obtained from the FDP Expanded Clearinghouse, and it should be signed by the Authorized Official for the subrecipient institution.
- What do I do if another FDP Expanded Clearinghouse member institution asks me to complete their Subrecipient Commitment Form?
- Politely inform them that UD is a member of the FDP Expanded Clearinghouse and that you will provide them with a signed FDP Letter of Intent instead.
- When UD is a subrecipient under an institution that is not a member of the FDP Expanded Clearinghouse, can I send them a UD FDP Letter of Intent?
- Yes.
- Who uses the Letter of Intent (LOI)?
- The LOI is intended for internal use to represent institutional endorsement of the proposed subaward budget and scope of work by the Subrecipient’s Authorized Official. It is not designed to meet any specific sponsor’s proposal requirements, although it may be used in the proposal submitted to the sponsor if desired. The wording of the LOI may be altered slightly to add sponsor-specific requirements if it is acceptable to both institutions.
Award Closeout
The last step in a grant or contract’s life cycle, whether cost reimbursable or fixed price, is project closeout. The key feature to any closeout is the on-time submission of all technical, financial, and other required reports to the sponsor.
On-Time Reporting
Typically final reports of federal awards are due no later than 90 days after the expiration date of the award. Final reports for NSF and NIH awards are due 120 days after the expiration date of the award.
For non-federal awards (i.e. state, industry, non-profits), the closing procedures vary, depending on the policies of the sponsor. Most often, final reports have a shorter timeline than the federal rule.
Guides and Grant Resources
This information is designed to assist departmental research administrators — professionals who work with researchers in their unit and with contract-and-grant experts in the Research Office in establishing, maintaining, and closing out research awards. If you are seeking guidance on developing a proposal and its budget, please see the Proposal Guide.
PeopleSoft Reference Guides
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Proposal
Proposal Budget
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Proposal Approval
Effort Admiministration
Effort Certification is defined as the reporting and confirmation of an employee’s time spent conducting any University activity, expressed as a percentage of the total institutional compensated based time — Institutional Based Salary (IBS). The University of Delaware has an online Effort Certification System. Training documents related to Effort and the Effort Certification System are available here.
Employees must review, and if correct, certify their total effort on all sponsored projects for each effort-reporting period. Effort supporting a sponsored project but not funded by the sponsor is considered cost share. Please see the University’s effort reporting policy and procedures here for detailed explanations and instructions.
UD's research enterprise depends on funding from federal and state agencies, private foundations, organizations, and industry. The University's electronic Effort Certification System is the principal means of verifying that salaries and wages charged to or contributed to a sponsored project are fulfilled in a manner consistent with the award documentation and compliant with the federal regulations for which the University is held accountable.
If you need assistance in identifying your effort administrator, please see the Department Administrator Directory within our Staff Directory. To learn more about administering the effort certification process in your department, check out these training opportunities.
Effort
Effort training is available on the Research Office website here and through ConnectingU. New grant administrators must attend the next available “Introduction to Effort Administration” class. The class is offered throughout the year – at a minimum in March and September. Log-in to ConnectingU for course times and to enroll.
Effort Training Material Effort Online Training Material
Billing
Billing to sponsors and cash received from sponsors is handled by the Research Office. Cash and Billing transactions can be viewed in the Financials queries. It is important to note that cash received prior to the Grants and Billing modules going live in July 2004 is reflected differently than cash that has been received after 7/1/2004. To view all cash received for a Project, it may be necessary to run all three cash queries to get a total.
GMQ_CASH_NOT_PS_BILL Cash received outside of PS Billing — This query gives all Cash received outside of the Billing module.
GMQ_CASH_PS_BILLED Sum of PS billing activity — This query gives you all Cash received as a result of a Billing in PS module.
GMQ_CASH_THRU_2002 Total Cash as of 7/1/02 — This query gives you a total of all cash received prior to 7/1/02 (prior to Financials go-live date).
Budget Justification Templates Budget Salary Caps F&A RatesFringe Benefit RatesSalary IncrementsTuition Rates
Cost-Share
Cost-share is defined as funds committed for the project that are not budgeted from grant funds. Some examples include equipment, personnel effort, and tuition. If there are cost-share commitments, contact the departments or colleges that have committed funds. Some cost-share will require companion Purposes; others may be tracked using cost-share Speedtypes or UD Userfields. We will go into more detail on different ways to track cost-share transactions in the section on Maintaining Your Award. The cost share policy can be found here. If the cost-share is from a third party, contact the source and outline requirements for documentation so that you can report these transactions along with the internal cost-share expenses. Specific guidance on cost-sharing in relation to federal grants is in the OMB Circular A-110, Subpart C.23 or UG Subpart D.
What's new
- NSF Update 23-1 PAPPG 1-10-2023
- NIH’s new Data Management and Sharing Policy: Resources and Expectations Presentation 12-15-2022
- NIH’s new Data Management and Sharing Policy: Resources and Expectations Slides 12-15-2022
- Required Use of Research.gov for Preparation and Submission of Proposals 3-22-2022
- Summer DHHS Salary Cap and DHHS Salary Cap Pay Guidance Now Available 2-14-2022
- Subaward Document Changes Now Online 2-14-2022
Administrator Directory Search
A tool designed to aid UD researchers locate contracts and grants, and effort reporting staff assigned to their departments.
Research Notices and Announcements
1. NSF Update 23-1 PAPPG (Wednesday, January 11, 2023)
A revised version of the NSF PAPPG (NSF 23-1) has been issued and can be accessed at: Proposal & Award Policies & Procedures Guide. The new PAPPG will be effective for proposals submitted or due on or after January 30, 2023.
Significant changes to the PAPPG include the following:
NSF Biographical Sketch (Biosketch) and Current and Pending (Other) Support (C&P):
- Updates have been made to increase standardization with the Common Disclosure Form for the Biosketch and C&P documents that have been developed in compliance with National Security Presidential Memorandum 33 (NSPM-33) Implementation Guidance.
- Senior Personnel will be required to certify that the information provided in their Biosketch and C&P is accurate, current, and complete (certification included in both SciENcv and the NSF fillable format).
- In accordance with NSPM-33 Implementation Guidance, NSF Program Officers will request an updated C&P prior to making a funding recommendation.
- Effective October 23, 2023, the use of SciENcv will be required to prepare the Biosketch and C&P documents.
Concept Outlines:
Certain NSF proposal types or funding opportunities will require submission of a Concept Outline prior to submission of a full proposal. These will be submitted either by email to a designated address or via the online Program Sustainability and Proposal Concept Tool (ProSPCT), as specified in the solicitation.. . A concept outline will be required to submit the following proposal types:
- Planning Proposal
- Rapid Response Research (RAPID)
- Early-concept Grants for Exploratory Research (EAGER)
- Research Advanced by Interdisciplinary Science and Engineering (RAISE)
Off-Campus or Off-Site Research:
A new checkbox will be included on the NSF Cover Sheet to identify Off-Campus or Off-Site Research. When this box is checked, a plan for the proposal must be in place regarding a safe and inclusive working environment. For purposes of this requirement, off-campus or off-site research is defined as data/information/samples being collected off-campus or off-site, such as fieldwork and research activities on vessels and aircraft. The organization’s plan for the proposal must be disseminated to individuals participating in the off-campus or off-site research prior to departure. Proposers should not submit the plan to NSF for review.
Research Security:
In accordance with NSPM-33, NSF requires the following post-award updates to current support after issuance of an NSF award:
- If an organization discovers a PI or co-PI on an active NSF award failed to disclose current support or in-kind contribution information as a part of the proposal submission process, the AOR must submit the information within 30 calendar days of the identification of the undisclosed current support or in-kind contribution via the Notification and Request Module in Research.gov.
- PIs and co-PIs on active NSF awards must indicate if there has been a change in active other support since submission of the proposal or the last reporting period in their annual and final project report. If there has been a change, the individual must submit a revised current and pending support document prepared in SciENcv as a part of the project report.
All Announcements
2. NIH’s Data Management & Sharing Policy — Resources & Expectations Presentation (Thursday, December 15, 2022)
Dear Colleagues:
On December 15, 2022 the Research Office, Library, IT and Museums and Press hosted a virtual info session entitled “NIH’s new Data Management and Sharing Policy – Resources and Expectations.” This session was recorded for those unable to attend and for those who would like to use this presentation as a resource.
This info session provided an overview on what should be included in data management and sharing plans at proposal submission as well as the resources available through the Library, Museums and Press and UDIT Research Cyberinfrastructure.
Please use the following links to access the recorded presentation and the slides used:
INFO SESSION VIDEO | SLIDE PRESENTATION
Sincerely,
Jeffrey Friedland
National Science Foundation
3. Required Use of Research.gov for Preparation and Submission of Proposals (Tuesday, March 22, 2022)
Dear Colleagues:
In accordance with Important Notice No. 147, many National Science Foundation (NSF) program solicitations now require the use of Research.gov for the preparation and submission of proposals. Please be advised that NSF will now start requiring the use of Research.gov for the preparation and submission of proposals in response to program descriptions. As a reminder, FastLane is targeted to be removed as a submission option from all funding opportunities when the Proposal and Award Policies and Procedures Guide (PAPPG) goes into effect in January 2023. Grants.gov will remain a submission option for most NSF proposals.
Program Descriptions in Research.gov
To assist the research community, NSF developed a dynamic listing of program descriptions that require submission in Research.gov. Follow these steps to determine if your proposal for a specific program description must be prepared and submitted in Research.gov:
· Access the relevant NSF.gov program description page (e.g., Magnetospheric Physics, PD 98-5750).
· View the advisory in the Program Guidelines section on the right side of the program description page and click on the link in the advisory:
Alert: Many NSF programs are only accepting proposals in Research.gov or Grants.gov. FastLane may no longer be a submission option. For more information, please visit Program Descriptions that Require Proposal Preparation and Submission in Research.gov or Grants.gov.
The document will identify program descriptions requiring Research.gov preparation and submission and the associated effective date. This document will be updated on an ongoing basis as FastLane will be removed from all program descriptions as a proposal preparation and submission option when the PAPPG goes into effect in January 2023.
Since many program solicitations also require submission in Research.gov, proposers should pay close attention to the requirements identified in those specific funding opportunities.
Research.gov Proposal Capabilities and Transition from FastLane Proposal Preparation
Nearly all FastLane proposal preparation and submission capabilities are now available in Research.gov. For details about the remaining proposal features that will soon be added to Research.gov, please see the Proposal Submission Capabilities table on the Research.gov About Proposal Preparation and Submission page. To stay informed about Research.gov and FastLane changes, we invite you to join our System Updates listserv. Sign up by sending a blank email to: system_updates-subscribe-request@listserv.nsf.gov.
NSF strongly encourages proposers to prepare and submit all supported proposals in Research.gov now, to facilitate a smooth transition from FastLane proposal preparation to Research.gov over the next several months. In addition, NSF relies on your vital feedback to help ensure the system is working as intended and to identify areas of improvement. Feedback may be submitted athttps://www.research.gov/research-web/feedback.
Research.gov Proposal Preparation and Submission Training Resources
· Research.gov About Proposal Preparation and Submission page
- Frequently Asked Questions (FAQs) by topic
- Video Tutorials
- How-to Guides
· Research.gov Proposal Preparation Demo Site (See the demo site FAQs on the Research.gov About Proposal Preparation and Submission page for access information and demo site features.)
· Research.gov Update and Demonstration presentation from the Fall 2021 NSF Virtual Grants Conference
Questions? If you have IT system-related questions, please contact the NSF Help Desk at 1-800-381-1532 (7:00 AM – 9:00 PM ET; Monday – Friday except federal holidays) or via rgov@nsf.gov. Policy-related questions should be directed to policy@nsf.gov.
Regards,
National Science Foundation
4. Summer DHHS Salary Cap and DHHS Salary Cap Pay Guidance Now Available (Monday, February 14, 2022)
Guidance relating to summer pay on NIH grants for faculty members on academic year contracts has been released by the Research Administration Team regarding supplemental compensation. Additionally, guidance regarding salaries for employees whose Institutional Base Salary (IBS) exceeds the DHHS salary cap is also available in this guidance with recommended procedures. Please click below to download this DHHS guidance document or visit our website to learn more.
5. Subaward Document Changes Now Online (Monday, February 14, 2022)
The Research Office has updated some of the supporting documents for subawards. The Subrecipient Commitment Form (non-FDP) and Attachment 3B have been updated to include a field for the UEI number. The new forms should be used effective immediately for all subawards. This change is in response to the U.S. Government transitioning from the use of the Dun & Bradstreet (D&B) Data Universal Numbering System (DUNS) nine-digit number as an entity identifier throughout the federal awarding process to the Unique Entity Identifier (UEI). The Federal Demonstration Partnership (FDP) Expanded Clearinghouse has also been updated to include the UEI number for all registered organizations effective October, 2021.
6. UPDATE: Provisional F&A Rate Agreement (Tuesday, June 29, 2021)
June 29, 2021
Dear Colleagues,
The University of Delaware’s new Negotiated Rate Agreement is now available, which includes FY22-FY25 Facilities & Administrative (F&A) Rates and FY22 Fringe Benefit rates. The new rate agreement with the Department of Health and Human Services is located on the Research Office (RO) website for your reference. You will also find the new rates on the RO website in the UD Proposal Development Guide (see Budgets & Rates).
Effective immediately, all new proposals will use the fixed fringe and predetermined F&A rates, which have been programmed into PeopleSoft. The FY22 fixed fringe rates will be applied to existing awards. Existing awards will continue at the F&A rates at which they were awarded, unless there are competing segments.
Several job aids have been revised for use by the research community regarding the F&A and fringe rates:
- Please find an updated FY21-22 Salary Reference Sheet
- The Research Office has modified the budget template found on our website under Frequently Asked Questions, Getting Started, “How do I construct a budget?” to include the updated rates.
- The Research Office has also updated the budget justification template found on our website under Budgets & Rates, Budget Justification Template.
- Please find an updated excel F&A rate chart for FY20 to FY25 found on our website.
If you have any questions, please contact your Contract & Grant Analyst.
Sincerely,
Jeffrey Friedland
Associate Vice President,
Research Administration
7. Updated Guidance to NIH’s Biographical Sketch and Other Support Changes (Monday, May 24, 2021)
In an effort to support strong collaboration between Federal research agencies, NIH has made every effort to align the Biographical Sketch (Biosketch), Other Support format page and Application Form Instructions with guidance issued by the Office of Science and Technology Policy Joint Committee on the Research Environment.
As a result, NIH has updated its application forms and instructions to support the need for applicants and recipients to provide full transparency and disclosure of all research activities, foreign and domestic.
If you have questions regarding this guidance, please contact your Contract & Grant Analyst.
8. UD Exchange Roll-Out News (Monday, May 24, 2021)
As part of the UD Exchange (UDX) roll-out, internal controls have been improved for requisitions using sponsored program funds. UDX requisitions that use sponsored program funding will route to RO for approval as follows:
- Subcontracts or Consultants: a C&G will review
- Other Accounts:
If the requisition total is > $10,000, an SRA will review - Additional Project End Dates Controls:
Between 90 days prior to the end of the project through the project end date, equipment requisitions will route to an SRA; 1-45 days after the end of the project will only allow requisitions for publications, printing or subcontracts; 46-60 days after the end date of the project will only allow subcontracts; requisitions 61+ days after project end date will not move forward.
We look forward to the decreased compliance risk brought about with these changes and invite you to contact your Contract & Grant Analyst with any questions.
9. Monthly VPFIN Sponsored Program Expenditures Report (Monday, May 24, 2021)
As a reminder, the report tabs of the VPFIN Sponsored Program Expenditure Report, has drill down functionality. The report is available in COGNOS for you to run based on your business needs. Information regarding COGNOS can be found on the IRE website. The reports/ folders are located in COGNOS Public Folders/Research Office Financial Reports/Monthly Reports/Summary Pages. The folders are summary pages that include drill throughs, summaries and detail reports. The COGNOS role of BUSINESS MANAGER has been applied to each folder.
For questions on how to run a COGNOS report, please contact IRE. If you have questions regarding the data, please contact Devora Frisby
10. Effective March 22: NSF Enabled Three New Proposal Types (Thursday, March 25, 2021)
March 25, 2021
Dear Colleagues,
Effective March 22, the National Science Foundation (NSF) enabled three new proposal types in the Research.gov Proposal Submission System and in the recently launched Research.gov Proposal Preparation Demo Site. These are the Facilitation Awards for Scientists and Engineers with Disabilities (FASED), Equipment, and Travel proposal types. New automated compliance checks and associated error and warning messages for these proposal types were also implemented. In addition, proposal withdrawal functionality was added for both single submission (with or without subawards) and separately submitted collaborative proposals from multiple organizations. New training resources have also been added to the Research.gov Research.gov/About Proposal Preparation and Submission page.
FASED, Equipment, and Travel Proposals
- Proposers can now select a FASED, Equipment, or Travel proposal type in the Research.gov Proposal Submission System proposal setup wizard, in addition to the existing Research.gov proposal type options:
- Research
- Rapid Response Research (RAPID)
- EArly-concept Grants for Exploratory Research (EAGER)
- Research Advanced by Interdisciplinary Science and Engineering (RAISE)
- All supported proposal types are available in the Research.gov Proposal Preparation Demo Site.
- New automated compliance checks for FASED, Equipment, and Travel proposal types have been added to Research.gov and are listed on the Research.govAutomated Proposal Compliance Checks for Proposals dated March 22, 2021 on the Automated Compliance Checking of NSF Proposals page.
- A reminder: Error messages prohibit proposal submission to NSF, whereas warning messages still permit proposal submission.
- Refer to the Proposal & Award Policies & Procedures Guide (PAPPG) (NSF 20-1) for FASED, Equipment, and Travel proposal requirements.
Proposal Withdrawal Functionality
- Proposing organizations can now withdraw both single submission (with or without subawards) and separately submitted collaborative proposals from multiple organizations in Research.gov.
- Organizations no longer need to contact the NSF Help Desk to initiate Research.gov proposal withdrawal actions.
- A new Proposal Withdrawal section has been added to the Frequently Asked Questions (FAQs) on the Research.gov About Proposal Preparation and Submission page left navigation menu.
- Refer to PAPPG Chapter IV.A. for proposal withdrawal requirements.
Training Resources
- New and updated system-related FAQs by topic are available on the Research.gov About Proposal Preparation and Submission page left navigation menu.
- A new 16-minute Research.gov proposal demo video has been added to the Research.gov About Proposal Preparation and Submission page Video Tutorials section.
- The video highlights key proposal preparation steps including:
- Setting up a proposal
- Uploading a document and compliance messaging
- Preparing Proposal File Update/Budget Revisions
- The video highlights key proposal preparation steps including:
- A new How-to Guides section has been added to the Research.gov About Proposal Preparation and Submission page left navigation menu. The initial topic-specific guide is posted, and new guides will be added to this section going forward.
What's Ahead?
Research.gov is being developed incrementally, and features are expanding to support the transition of all proposal preparation and submission functionality from FastLane to Research.gov in accordance with NSF Important Notice 147: Research.gov Implementation Update issued September 22, 2020. Please refer to theResearch.gov Proposal Submission Capabilities to see what is in development.
Questions? If you have IT system-related questions, please contact the NSF Help Desk at 1-800-381-1532 (7:00 AM – 9:00 PM ET; Monday – Friday except federal holidays) or via rgov@nsf.gov. Policy-related questions should be directed to policy@nsf.gov. or contact your assigned UD Contract & Grants Specialist.
Principal Investigators Eligibility
Principal Investigators and Co-Principal Investigators have primary institutional responsibility for providing scientific/technical leadership and administrative and financial management of sponsored projects. As such, the University has designated the following personnel as eligible to serve as Principal Investigator or Co-Principal Investigator on sponsored projects*
- All full-time faculty regardless of academic rank
- Visiting faculty/visiting scientists during the time they draw salary support for the performance of the sponsored project through the University
- Adjunct faculty during the time they draw salary support for the performance of the sponsored project through the University
- Full-time, academic non-administrative professionals in classified positions at or above Level 31E
- All full-time postdoctoral fellows* and researchers
- Under exceptional circumstances documented in writing, other qualified individuals may be designated as a PI. Such designation requires the approval of the Vice President for Research, Scholarship and Innovation, and must be endorsed by the chair of every unit and the dean of every college in which the research project is to be performed. If granted, this PI designation is limited to the proposed research project under consideration, i.e. it does not afford blanket status to serve as a PI on other proposals. To qualify for an exception, the following criteria must be met:
- Only individuals identified to the external sponsor as a PI or CPI in the submitted proposal need to have the PI eligibility approval form completed
- The proposed research must be a programmatic priority of the University
- There must demonstrably be no qualified member of the UD faculty who is capable of serving or available to serve as the PI
- The proposed PI must possess the academic and experiential qualifications that are prerequisite to service as a PI at UD, and his or her participation as the PI must be demonstrably necessary for the successful funding and execution of the research project
- The proposal PI must enter into a signed contract with the University assuring that (a) the work will be conducted in accordance with the high standards of quality expected of all PIs; (b) the PI will comply with all University policies relating to the conduct of research; and (c) the research project will be conducted consistent with all federal laws, rules, and regulations relating to the conduct of research
- Completion of the Research Office PI approval form and submission of a curriculum vitae (CV)
- Completion of the Proposal Development Assistance Request Form if you are requesting proposal development assistance.
Process for submission of PI Eligibility Form:
- Form should be completed and all signatures obtained
- CV must be included with form
- Email the completed form and CV to your Contract & Grant Analyst who will obtain the required Research Office approval signature
- Contract & Grant Analyst will return executed form to department administrator
* Principal Investigator/Co-Principal Investigator status may be rescinded for cause.
*A PI approval form is required to permit postdoctoral fellows to serve this role
*A Proposal Development Assistance Request Form is required to to be submitted for proposal development assistance.
If an exception is made to make someone an eligible PI and that person isn't a full-time University employee, the chair or dean must be a co-PI on all proposals for that person.
Retired Faculty Serving as Principal Investigators
Some faculty members wish to continue their research programs after retirement from the University, but do not qualify for status as principal investigators because they are no longer full-time UD employees. Retired faculty members may apply for PI status using the existing Research Office PI approval form.
If the request is approved, retired faculty members may serve initially as co-PIs on proposals with a full-time faculty member as PI (this would typically be the department chair or another senior faculty member). If the proposal is funded and the retired faculty member is hired to work on that grant, he or she may then serve as the PI during the life of the grant. At the time of hiring, the retired faculty member may be appointed to an appropriate professional staff position (such as, for example, senior research fellow), but under no conditions may be re-hired on the faculty (as, for example, a research professor).
Graduate Students as Principal Investigators
The Research Office acknowledges the importance of permitting graduate students to lead sponsored projects where appropriate. There are several sponsors who offer pre-doctoral grants whereby the work is conceived of and carried out entirely by a graduate student. In these cases, a faculty member is identified as a mentor and oversees the project nominally. (examples: NASA: Harriett G. Jenkins Predoctoral Fellowship Program (JPFP), NIH: Ruth L. Kirschstein National Research Service Awards for Individual Predoctoral Fellowships (F31) to Promote Diversity in Health-Related Research, NIH: Predoctoral Training at the Interface of the Behavioral and Biomedical Sciences, DOE: The National Methane Hydrates R&D Program - Graduate Fellowship Program).
To that end, the eligible PI approval form may be used at the time of proposal routing to permit the graduate student to have this role. Also, please have the department administrators ensure the graduate student’s supervisor code is associated with a chair and dean code. This will allow the proposal approval web form to be routed appropriately. The required completed form must be sent to the Research Office at least ten (10) working days before the deadline for submittal of the proposal to the funding agency.
There are still other sponsors for whom the need for submission and approval from an Authorized Representative of the University is not required. The student may submit these applications directly to the sponsor without coordination with the Research Office or a PI eligibility form (examples include: NSF Fellowship, Ford Foundation Diversity Fellowships for Achieving Excellence in College and University Teaching).
If there are questions concerning which type of funding the grad student is applying, contact the Research Office for guidance.
Responsibilities of a Principal Investigator
Serving as a Principal Investigator (PI) at the University of Delaware brings significant rewards & confers concomitant responsibilities. PIs are responsible for the intellectual direction of research and scholarship and for the education and training of students. In carrying out these critical tasks, PIs are also responsible for compliance with laws and regulations that touch on all aspects of the research enterprise.
To ensure compliance with applicable rules, regulations, and contract requirements the University of Delaware requires all PIs to receive training in the financial management of sponsored projects. Developed for PIs already at the University, the University's training program focuses on stewardship of funds, mandatory reporting requirements and particularized training in the fundamentals of federal grant and contract accounting. PIs must complete mandatory training before the University will release project funding.
OMB Uniform Guidance
OMB Uniform Guidance Overview
The federal Office of Management and Budget (OMB) has made a major change to the underlying guidance by which university recipients of federal awards have operated for decades. OMB combined eight separate circulars, applicable to different types of grantee organizations, into a single document, "CFR Title 2, Part 200: Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards," commonly referred to as the Uniform Guidance (UG).
The three previous circulars applicable to universities are: A21 – Cost Principles for Educational Institutions, A110 – Administrative Requirements for Grants and Agreements with Institutions of Higher Education, Hospitals and other Non-profit Organizations and A133 – Audits of States, Local Governments and Non-Profit Organizations. There are similar documents applicable to states, local governments and Indian Tribes. The UG includes portions from all of the previous documents as well as new sections and some deletions. While much of it is similar to the previous guidance, there is the potential for both major and minor changes to university recipients of federal awards. In addition, the OMB document is actually guidance to federal agencies and each granting agency must issue its own implementing regulations. While agency implementation plans were due to OMB in June, final versions have not yet been published.
The effective date is December 26, 2014 and is applicable to new grants and funding increments.
The UG encompasses a wide variety of compliance areas, including what constitutes an allowable charge to a federal award, what costs may be included in the Facilities and Administrative Cost Rate, minimum information required in funding announcements, information needed in equipment records, how long records must be retained, requirements for monitoring subrecipients, the frequency and minimum content of programmatic reporting and a host of other topics.
The University of Delaware must be compliant with the UG in order to remain eligible to receive federal awards. The University’s comprehensive implementation plan is described below. The University community will be kept informed of progress through this website, the research-admin listserv, the newly created UD Research Administrators E-Newsletter and topic specific trainings. Your participation and feedback is encouraged.
OMB Uniform Guidance Presentation
UD's Implementation
In preparation for the December 26th, 2014 implementation date, we have created working groups based on each of the subparts and the appendices. Each working group has a chair, as well as representation from colleges and central administration (including staff from outside of the research community for some parts). The groups are responsible for determining the impact of the new regulations to existing policy and process, creating new training materials and revising policies where needed, and ensuring broad and effective communication strategies. Work plans and other materials will be posted as they become available.
OMB Uniform Guidance Presentation
- Uniform Guidance Procurement Standards Update (7/9/2018)
- Federal Register - Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards
- Uniform Guidance electronic Code of Federal Regulations (e-CFR)
- Uniform Guidance Impact Table (6/16/2015)
- UD: Award Modification Matrix (5/7/2015)
- NSF Webinar: Proposal and Award Policies and Proceedures Guide
(Video - January 27, 2015) (3/17/2015) - Eye on NIH Policy: OMB Uniform Guidance - What it Means for NIH & You
(Video & Interactive Q & A - March 12, 2015) (3/10/2015) - University of Delaware: Closeout and Budget Justification video recording (2/02/2015)
- University of Delaware: Uniform Guidance Justification Guidelines (1/23/2015)
- University of Delaware: Uniform Guidance Justification Template (1/23/2015)
- Faculty Video from Deputy Provost, Research & Scholarship (12/26/2014)
- University of Delaware: Recorded uniform guidance training session (12/09/2014)
- University of Delaware: PDF of uniform guidance presentation slides (12/09/2014)
- University of Delaware: Implementation of new uniform guidance (Revised 11/12/2014)
- University of Delaware: Implementation Timeline (Revised 9/22/2014)
- COGR Guide to the OMB Uniform Administrative Requirements,
Cost Principles, and Audit Requirements for Federal Awards (Revised 9/17/2014)
External Resources
Office of Management and Budget
- The interim joint final rule implementing the Uniform Guidance (UG) is now available in Federal Register (Vol. 79, No. 244, Friday, December 19, 2014).
- OMB Policy Statements: Uniform Grant Guidance
- Uniform Guidance Crosswalk from Existing Guidance to Final Guidance
- Uniform Guidance Crosswalk from Final Guidance to Existing Guidance
- Cost Principles Comparison Chart -- 2 CFR Part 225 (A-87), 2 CFR Part 220 (A-21), 2 CFR Part 230 (A-122), and Final Uniform Guidance
- Audit Requirements Comparison Chart -- OMB Circular A-133 and Proposed Uniform Guidance Subpart F
- Definitions Comparison Chart
- Administrative Requirements Comparison Chart
Other Federal Resources
- COFAR's FAQs on Uniform Guidance 8/29/14
- COFAR's FAQs on Uniform Guidance 2/12/14
- NSF's Draft Proposal & Award Policies and Procedures Guide
Council on Governmental Relations (COGR)
- COGR's response to the NSF implementation in the NSF PAPPG (July 1, 2014)
- Proposed FAQs with answers to OMB (June 26, 2014)
- COGR/COFAR Review: OMB Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards (June 23, 2014)
- COGR/FDP White Paper on the Uniform Guidance (June 6, 2014)
- COGR Guide to the Uniform Guidance (April 24, 2014)
- COGR Implementation Plan for a Major Research University (April 24, 2014)
- COGR Preliminary Assessment - OMB Uniform Administrative Requirements (January 14, 2014)