UD Proposal Development Guide
Remember, 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.
INSTITUTIONAL INFORMATION
Animal Welfare Assurance Number |
D16-00457
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Cognizant Federal Agency |
Department of Health and Human Services
Steven Zuraf (301) 492-4855 |
Congressional District |
DE-00
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DHHS Human Subjects Assurance Number |
FWA00004379
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DS-2 Latest Filing Date |
7/1/2016
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E-mail for Electronic Award Notifications | |
Federal Interagency Commission on Education (FICE) Number |
001431
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Fiscal Officer’s Title |
Vice President for Research, Scholarship & Innovation
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Indirect Cost Agreement Date |
05/21/2024
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Indirect Cost Rate Type |
Predetermined
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Fringe Benefits Rate Agreement Date |
05/16/2023
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IPES SID Number |
1000170
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Misconduct in Research, Latest Annual Report |
02/27/2018
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North American Industry Classification System (NAICS) code |
611310
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PHS Entity Number |
1516000297A1
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SAM Registration Expiration Date |
10/15/2025
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State of Delaware Organizational Code |
90-01-01
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University IRS Number |
51-6000297
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University of Delaware Commercial and Governmental Entity Code (CAGE) |
015X1
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University of Delaware Date of Incorporation |
02/05/1833
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University of Delaware DUNS Number |
05-900-7500
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University of Delaware Unique Entity ID Number (UEI) |
T72NHKM259N3
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University of Delaware Fiscal Officer |
Dr. Miguel Garcia-Diaz
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Institutional Address: University of Delaware Research Office 210 Hullihen Hall Newark, DE 19716-0099 |
RO Phone: 302-831-2136
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Payment Mailing Address: University of Delaware Attn: Cashier’s Office 30 Lovett Ave. 116 Student Services Building Newark, DE 19716-0099 |
NIH PROPOSAL CHECKLIST (download pdf)
Forms H effective January 25, 2023
Category | Items |
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SF424 RR – REQ’D |
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RR Performance Sites – REQ’D |
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RR Other Project Information – REQ’D |
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RR Key Persons – REQ’D |
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NIH Salary Cap |
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RR Budget – Use when required or allowed by the solicitation |
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PHS Human Subjects and Clinical Trials Information – REQ’D when research involves human subjects |
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PHS398 Modular Budget – Use when required or allowed by the solicitation |
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RR Subaward Budget Attachment – REQ’D when a subaward is included and the RR Budget is used PHS398 Cover Page Supplement – REQ’D PHS398 Research Plan – REQ’D only for Research, multi-project, and SBIR/STTR applications |
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PHS Assignment Request – OPT’L Additional Forms |
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Feature | Notes |
---|---|
Font | Use an Arial, Helvetica, Palatino Linotype, or Georgia typeface are recommended, although other fonts (both serif and non-serif) are acceptable. Font size must be 11 points or larger. (A Symbol font may be used to insert Greek letters or special characters; the font size requirement still applies.) |
Type Density | Type density, including characters and spaces, must be no more than 15 characters per linear inch. Type may be no more than six lines per vertical inch. |
Paper Size and Margins | Use standard paper size (8 ½" x 11). Use at least one-half inch margins (top, bottom, left, and right) for all pages. No applicant-supplied information can appear in the margins. |
Page Formatting | Use only a standard, single-column format for the text. Do not include any information in a header or footer of the attachments, including page numbers. |
Text Color | No restriction, although black and other high-contrast text colors are recommended since they print well and are legible to the largest audience. |
Figures, Graphs, Diagrams, Charts, Tables, Figure Legends, and Footnotes | may have a smaller type size but it must be readily legible and follow the font typeface requirement. |
File Attachments | All proposal attachments should be in PDF form. File names can contain the following: A-Z, a-z, 0-9, underscore, hyphen, space, period, parenthesis, curly braces, square brackets, tilde, exclamation point, comma, semi colon, apostrophe, at sign, number sign, dollar sign, percent sign, plus sign, and equal sign. NIH recommends avoiding the use of ampersand. Filenames must be 50 characters or less (including any spaces between words) and you can only have single spaces between words in filenames. |
Hyperlinks and URLs | Hyperlinks and URLs are only allowed when specifically noted in the solicitation. The use of them is typically limited to citing relevant publications in biosketches and publication lists. They are almost always prohibited in page-limited attachments. |
Page Limits | Adhere to page limits as defined by the solicitation or here: https://grants.nih.gov/grants/how-to-apply-application-guide/format-and-write/page-limits.htm |
NSF PROPOSAL CHECKLIST 24-1
PAPPG 24-1 Effective May 20, 2024 (download pdf)
Category | Items |
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Cover Sheet |
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Project Summary – REQ’D |
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Project Description – REQ’D |
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References Cited – REQ’D |
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Biosketch – REQ’D for Senior Personnel (No page limit) |
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Current & Pending (C&P) – REQ’D for Senior Personnel |
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Budget – REQ’D |
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Budget Justification – REQ’D |
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Facilities, Equipment & Other Resources – REQ’D |
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Supplementary Documentation |
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Suggested Reviewers* |
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Collaborations and Other Affiliations – REQ’D |
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Synergistic Activities – REQ’D for Senior Personnel |
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Mentoring Plan – as REQ’D |
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Data Management Plan – REQ’D |
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Feature | Notes |
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Font | Use Arial (not Arial Narrow; mac users may also use Helvetica and Palatino), Courier New, or Palatino Linotype at a font size of 10 points or larger; Times New Roman at a font size of 11 points or larger; or Computer Modern family of fonts at a font size of 11 points or larger. A font size of less than 10 points may be used for mathematical formulas or equations, figures, tables, or diagram captions and when using a Symbol font to insert Greek letters or special characters. Other fonts not specified above, such as Cambria Math, may be used for mathematical formulas, equations, or when inserting Greek letters or special characters. |
Type Density | When printed, text in the entire proposal (including figure captions) may be no more than six lines per vertical inch. |
Paper Size and Margins | Standard page size (8.5 x 11 or 11 x 8.5) with 1 inch margins in all directions required. |
Page Formatting | Single column format for the text is strongly encouraged. Do not include page numbers (the system will automatically paginate a proposal). |
These requirements apply to all uploaded sections of a proposal, including supplementary documentation.
PI 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 defined who is eligible to serve as Principal Investigator or Co-Principal Investigator on sponsored projects.
PROPOSAL DEVELOPMENT ASSISTANCE
The Research Development team is pleased to offer the following services. Please note that this is not an exhaustive list. Our grant facilitators work with faculty PIs to understand the specific requirements of the project and how best to meet their needs. Interested PIs should complete the Proposal Development Assistance Request form.
Services Offered
- Project Management
• Project Schedule, Attribute List/Task Outline, or Gantt Charts
• Internal/External Stakeholder Coordination
• Facilitate UD/Industry Connections & IP/MOU Development
• Facilitate Consultant Services - Narrative Assistance
• Content Editing (organization, logic, flow, presentation, or structure)
• Copyediting (phrasing, grammar, or spelling)
• Final proofreading (consistency of text & formatting) - Supplemental Document Development
• Data Management, Evaluation, Workforce Development & DEIA Plans
• Facilities & Equipment document
• Biosketch Narratives - Graphics Support
- Letters of Support
PROPOSAL INFORMATION
This form is provided as a guide to use when preparing a proposal for submission through the Research Office. Download Proposal Information Form.
Proposal Checklist
To process a proposal, Research Office requires the following items:
- Fully approved FIN Proposal Approval Summary Web form with necessary attachments
- Statement of Work and/or Abstract
- Detailed Budget AND Budget Justification being presented to the sponsor
- 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
UD is a member of the FDP, a non-profit organization comprised of Universities and other research institutions along with representatives of several research-oriented Federal Agencies. Among other activities, the FDP develops tools for its members to streamline the administration of research. One of those tools is the FDP Expanded Clearinghouse, a nation-wide database containing institutional profiles and data of 200+ member institutions. The member institutions agree to obtain the institutional data needed to prepare subrecipient agreements from this database rather than requiring each other to prepare administrative informational forms for every proposal they jointly submit. This saves a great deal of administrative work for all of the participating institutions and provides them with an easily accessible, up-to-date source of this data. 
- 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.
- Program Solicitation
- Any forms and/or sponsor certifications that require Research Office signature
- Conflict of Interest form must be in good standing at the time of submission (see Conflict of Interest (COI) Policy and Web COI Form)
Items 2, 3, and 4 can be attached in the Attachments tab of the UD Grants System (PeopleSoft 8.9) and will appear on the web form. (If any item is too large to be attached to the UD Grants system please use the UD Drop Box.)
Other items that can be attached to the Documents section:
- Any notes/information on cost sharing – please see Third Party Cost Share Documentation.
- Human Subject, Recombinant DNA, Radiation, and Animal Use Protocol approvals Work
- The full proposal
Sample Proposal Timeline
The table below outlines a suggested timeframe and key target dates for standard research proposals. Additional lead time beyond the sample timeline below is necessary for proposals which:
• Are large/complex in nature (ex: Major Research)
• Involve multiple departments/colleges/institutions (ex: Instrumentation Proposals)
• Require special institutional approvals/sign-offs (ex: Research Office Cost Share, Waived F&A, Graduate Tuition Exceptions)
8 WEEKS |
6 WEEKS |
4 WEEKS |
3 WEEKS |
2 WEEKS |
3 DAYS |
1 DAY |
8 WEEKS
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6 WEEKS
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4 WEEKS
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3 WEEKS
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2 WEEKS
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1 WEEK
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3 BUSINESS DAYS (8:00 am)
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1 BUSINESS DAY (8:00 am)
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PROPOSAL WRITING RESOURCES
- Agency for International Development (USAID)
- American Council of Learned Societies (ACLS)
- Corporation for Public Broadcasting
- Department of Agriculture (USDA)
- Department of Education (ed.gov)
- Grant Application Technical Assistance Resources
- Grant Writing 101
- Department of Energy
- Environmental Protection Agency
- Foundation Center
- National Endowment for the Arts
- National Endowment for the Humanities
- National Institutes of Health (NIH)
- Grant writing tips from NIH
- Common Mistakes in NIH Applications
- Planning your NIH Application and Searching for the Right Funding Mechanism
- NIH - Types of Grant Programs
- Writing your NIH Application
- Sample R01 and R21 Applications & Summary Statements from NIAID
- Due Dates & Submission Policies
- Side-by-Side Comparison of Enhanced & Former Review Criteria
- Review Criteria at a Glance (for Parent Announcements)
- Peer Review Videos for Applicants and Reviewers (videocasts)
- Scoring System & Procedure
- NIH Fellowships, Training Grants and Career Development Awards
- National Science Foundation
- Social Science Research Council (SSRC)
- General Proposal Resources
- Proposal Writing Resources (UD Morris Library)
- How to Fail in Grant Writing (The Chronicle of Higher Education)
- Proposal Writers Guid (University of Michigan)
- The Guide for Writing a Funding Proposal (University of Michigan)
- Some Frank Advice on Submitting an Individual Research Grant Proposal in the Humanities (University of Kansas)
- Writing Successful Proposals (Virginia Tech)
- Institute for Scholarship in the Liberal Arts
3-BUSINESS-DAY INTERNAL PROPOSAL DEADLINE POLICY
UD investigators must provide their proposals to the Research Office according to the 3-Business-Day Internal Proposal Deadline Policy. This policy requires items below be provided to the Research Office 8:00am, at least three business days prior to the agency deadline – or they are not guaranteed to be submitted to the sponsor.
- SCOPE OF POLICY
This policy addresses the internal deadline set forth for proposal review and submission by the Research Office, and applies to all departments, faculty, and staff involved in externally sponsored research at the University of Delaware (UD).
UD investigators must have their proposals to the Research Office by 8:00am, at least three business days prior to the agency deadline – or they are not guaranteed to be submitted to the sponsor.
Currently, the Research Office processes over 1,800 proposals per year at UD, and of that number, between 600 and 700 proposals typically are funded by a wide range of sponsoring agencies. Successful proposals account for an influx of more than $161 million in research expenditures each year.
Depending on the funding agency and program, these proposals, with their required text, cited references, budgets, forms and appendices, may range in size from a few pages for a small proposal to more than a thousand pages for large, multi-institutional efforts. The Research Office conducts a thorough review of proposals prior to submission to increase their funding success rate. Due to the large volume of proposals submitted, the 3-Business-Day Internal Proposal Deadline Policy has been established to facilitate this review and ensure a smooth and successful proposal submission process at UD.
- DEFINITIONS
- Funding Opportunity – A formal request by an external sponsoring agency to request participation in an upcoming project, outlining project-specific goals, deadlines, eligibility, and deliverables.
- Proposal – A formal application by UD to participate in an externally-sponsored project, made in response to a funding opportunity.
- Sponsor or Sponsoring Agency – A external entity responsible for providing project funding if UD’s proposal is accepted and an official award agreement is subsequently executed.
- Proposal Review and Submission – The process by which a proposal is formally reviewed by UD and submitted to an external sponsoring agency.
- Internal Proposal Deadline – The deadline by which proposals must be provided to the Research Office for full review prior to the sponsor proposal deadline.
- Funding Opportunity – A formal request by an external sponsoring agency to request participation in an upcoming project, outlining project-specific goals, deadlines, eligibility, and deliverables.
- Sponsor or Sponsoring Agency Proposal Deadline – The deadline by which a UD proposal must be submitted to an external sponsoring agency for review and consideration, typically outlined via the funding opportunity.
- POLICY STATEMENT The Research Office is committed to facilitating the submission of proposals of the highest quality to increase the probability of research funding success at UD. The 3-Business-Day Internal Proposal Deadline Policy allows the Research Office to conduct a meaningful review of the final proposal package prior to submission. This includes a thorough review for compliance with sponsor and UD rules and regulations, while allowing time for principal investigators and their administrators to finalize the scientific content.
- POLICY STANDARDS AND PROCEDURES
- Internal Deadlines for Proposal Submission
- UD investigators must have their proposals to the Research Office by 8:00am, at least three business days prior to the agency deadline – or they are not guaranteed to be submitted to the sponsor. Recognizing that the proposal’s technical content requires maximum time to develop, the Research Office accepts proposal packages for review excluding the final technical component/narrative. This allows the proposal package to be prepared and readied for submission while the technical content is finalized. Final technical content must be provided to the Research Office no less than 9 business hours prior to the agency deadline to ensure all formatting requirements are met and potential submission issues are avoided.
- Submitting departments, units, and schools may have their own review timeline that is outside the scope of the Research Office deadline. Both the Research Office and the Principal Investigator’s submitting department/unit need adequate time to review and approve proposal submissions. Proactive coordination is important to ensure all complexities are understood and addressed well in advance of the sponsor deadline, especially for complex awards.
- Proposal Packages
- Proposal packages must contain all elements listed below for review by the Research Office. If any of the elements below are missing, the proposal will be considered incomplete, and will be returned to the Principal Investigator:
- Program Solicitation
- Fully-Approved Proposal Webform
- Statement of Work (SOW) and/or Abstract.
- Final Science/Technical content must be provided to the Research Office no less than 9 business hours prior to the agency deadline.
- Detailed Budget
- Budget Justification
- Subaward Documents (SOW, Budget, Budget Justification, etc.)
- Up-to-Date Conflict of Interest Disclosure (per the COI Policy)
- Other Components (per Sponsor and UD requirements)
- Proposal packages must contain all elements listed below for review by the Research Office. If any of the elements below are missing, the proposal will be considered incomplete, and will be returned to the Principal Investigator:
- Proposal Review and Submission
- Proposals received prior to the 3-Business-Day deadline will take precedence over those received after the internal deadline. After all proposals received on-time have been processed and submitted, the Research Office will review and submit, to the best of its ability, all other proposals.
- The Research Office follows a “staggered” review process wherein the date a proposal is received dictates the level of review provided per below:
- Full Review if received at least 3 business days prior to the sponsor deadline.
- Limited Review if received 2 business days prior to the sponsor deadline.
- Minimal Review if received 1 business day prior to the sponsor deadline.
Full Review ≥3 Business Days
Limited Review 2 Business Days
Minimal Review ≤1 Business Day
PI Eligibility
Fully-Approved Proposal Webform
UD, Federal, and State Compliances
Sponsor Guidelines, Terms, and Conditions
Consultation with Other UD Administrative Offices
Proposal Details
Other Management Plans
- Proposals received after the 3-Business-Day internal deadline will be submitted to external sponsors with “Minimal” or “Limited” review per above. Any proposal submitted without “Full” review is subject to the following:
- If any grave errors are found (i.e. budget and/or compliance) upon full review post-submission, the application will be withdrawn by the Research Office.
- The submitting department/unit agrees to assume responsibility for any budget errors/omissions made in the proposal.
- The submitting department/unit acknowledges that proposals may contain terms and conditions that may be non-negotiable and, if not resolved, may require UD to decline an award.
- Proposals submitted with insufficient review present a greater risk of being rejected/invalidated from the sponsor and/or becoming subject to various adverse scenarios such as:
- Risk of proposal rejection due to non-compliance with sponsor guidelines
- Risk of proposal rejection due to electronic system failure
- Risk of department/unit incurring financial burden due to budget errors or omissions
- Risk of UD withdrawal of proposal post-submission or UD rejection of the award
- Internal Deadlines for Proposal Submission
CATEGORIES OF SPONSORED ACTIVITIES
This guidance document illustrates the major categories of sponsored projects, i.e., organized research, other sponsored activities and sponsored instruction.
TYPE |
DEFINITION |
NOTES |
Organized Research |
Research activities include the inquiry, experimentation, or investigation to increase the scholarly understanding of the involved discipline. The project is making a creative contribution to solve a problem in its field. All research and development activities that are sponsored by federal and nonfederal agencies and organizations (including University research, which is research and development activities that are separately budgeted and accounted for by the institution under an internal application of institutional funds). This term includes activities involving the training of individuals in research techniques (commonly called research training) where such activities utilize the same facilities as other research and development activities and where such activities are not included in the instruction function. |
Organized Research may be appropriate if you can answer yes to any of the following:
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Other Sponsored Activities |
Other Sponsored Activities include programs and projects financed by Federal and non-Federal agencies and organizations which involve the performance of work other than Instruction and Organized Research beneficial to individuals and groups external to the University of Delaware (UD). Examples of such programs and projects are health service projects, community service programs, non-credit instruction/community education, conference/seminars, cooperative extension services, or outreach projects. UD classifies Service and Testing Agreements as Other Sponsored Activities. Service Agreements do not involve a creative contribution to solve a problem. A Service Agreement creates or modifies tangible or intangible things (e.g. materials, ideas, reviews, processes, etc.) to assist the requested party in optimizing its knowledge. This may include repetitive, quantitative, non-experimental measurements under physically controlled conditions for which the data produced are expected to be within a pre-determined range of values or of reproducibility. |
Other Sponsored Activities may be appropriate if you can answer yes to any of the following:
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Sponsored Instruction/Training |
Except for research training, as described above, the term Instruction includes all teaching and training activities of an institution whether offered for credits toward a degree or certificate or on a noncredit basis, and whether they are offered through regular academic departments or separate divisions, such as a summer school division or an extension division. Examples include student instruction at any location, curriculum development, or projects where UD students receiving academic credits. |
Research training should be considered research for purposes of UD PeopleSoft entry. Instruction may be appropriate if you can answer yes to any of the following:
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NSF SAFE AND INCLUSIVE ENVIRONMENT PLAN (download pdf)
Effective January 30, 2023 with the implementation of PAPPG 23-1, all proposals submitted to the National Science Foundation (NSF) which include off-campus or off-site research will require a plan for a safe and inclusive working environment.
For purposes of this requirement, NSF defines off-campus or off-site research as data, information, and/or samples being collected off-campus or off-site, such as fieldwork and research activities on vessels and aircraft.
The preparation and distribution of the plan is the responsibility of the UD Principal Investigator. A plan template with instructions is available at the link below. The plan should be specific to the proposed research project and provided to the Research Office prior to proposal submission. Please note that the plan should not be submitted to NSF.
If awarded, the plan must be disseminated to all individuals participating in the off-campus or off-site research prior to departure. The plan should be revised during the life of the award as needed.
Please direct any questions to your Contract & Grant Analyst in the Research Office.
BUDGET CATEGORIES
Proposal budgets are itemized by budget categories. The categories map to accounts when the proposal is awarded. Use this budget category list to guide the proposal budget process.
Updated: 6/12/2024
Budget Category | Account | Budget Item | Budget Item Description | No F&A in MTDC | Fringe (for Personnel) |
---|---|---|---|---|---|
Personnel | 123000 | CLERK | Administrative Salaries: Non-Exempt Employees* | 58.0% | |
Personnel | 122600 | GRADST | Graduate Student | 12.3% | |
Personnel | 122610 | GRADTR | Graduate Trainee | 0% | |
Personnel | 122700 | GRDFL | Graduate Fellow | X | 0% |
Personnel | 120200 | OSRPER | Professional Staff (also Postdoctoral Researchers) | 41.9% | |
Personnel | 125200 | OTPERS | Miscellaneous Wage | 8.6% | |
Personnel | 120400 | OTPROF | Professional Staff: Supplemental Pay | 8.6% | |
Personnel | 121800 | PERSON | Faculty Summer Pay** | 41.9% | |
Personnel | 120800 | PSTDOC | Postdoctoral Associate | 0% | |
Personnel | 121100 | SRPERS | Faculty Academic Pay | 41.9% | |
Personnel | 126000 | STUWG | Student Wages | 0% | |
Personnel | 126000 | UNGRAD | Undergraduate Student*** | 0% | |
Fringe Benefits | 129000 | FRINGE | Employee Benefits | ||
Travel | 130000 | DOTRAV | Domestic Travel | ||
Travel | 130500 | FOTRAV | Foreign Travel | ||
Materials and Supplies | 140000 | SUPL | Materials and Supplies | ||
Other | 140190 | ANIMAL | Animal Care Costs (Per Diem, Housing) | ||
Other | 150300 | EQMAIN | Equipment Maintenance/Repair | ||
Other | 145611 | FOOD | Catered Food (Not Per Diem Meals)**** | ||
Other | 140001 | OTHER | Other Direct Costs | ||
Other | 149250 | PARTCOMP | Human Subjects Participant Compensation | ||
Other | 148300 | PBLCTN | Publication Costs | ||
Other | 146195 | PTCARE | Patient Care Costs | X | |
Other | 150000 | RENO | Building Alterations/Renovations | ||
Other | 154200 | RENTAL | Building Rental (Not On-Campus) | X | |
Other | 155200 | RVSHARP | R/V Sharp Service Center | X | |
Other | 146800 | SHIP | UD Owned Boat Ops | X | |
Tuition | 149000 | TUITIO | Graduate Student Tuition***** | X | |
Participant Support | 146190 | PTOTHR | Participant Support Costs: Other Vendor | X | |
Participant Support | 146115 | PTSTIP | Participant Support Costs: Students | X | |
Participant Support | 146100 | PTSUBS | Participant Support Costs: Non-Employees | X | |
Participant Support | 146190 | PTTRAV | Participant Support Costs: Travel Vendor | X | |
Equipment | 160000 | EQUIP | Capital Equipment | X | |
Equipment | 153100 | FABCAT | Parts for Equipment Fabrication | X | |
Subawards | 153200 | SUB<25 | Subaward Costs up to $25,000 | ||
Subawards | 153300 | SUB>25 | Subaward Costs after the initial $25,000 | X | |
Consultants | 146000 | CONSLT | Consultant Fees | ||
F&A | 195000 | FACADM | Facilities and Administrative Costs (F&A) |
* Duties must comply with 2CFR200.413(c)
** Use 121900 without retirement benefits (9.8%) in the summer
*** Use 125200 for undergraduate students not enrolled
**** RARELY allowable on Federal funds
***** See UD Tuition Policy: 40% must be budgeted to the sponsor.
BUDGET JUSTIFICATION GUIDELINES
Below are category definitions for common budget justification items you may need to include in your justification. Tailor to meet sponsor specific requirements, as appropriate. If you have questions about the information below, clarify the information with your Contract & Grant Analyst.
BUDGET JUSTIFICATION TEMPLATE
This template is used to justify a budget and should be used to draft expectations of a project. It includes everything from equipment to PI information.
Click here to download this template.
6/12/2024, 10/05/2023, 6/26/2023, 5/18/2023, 1/25/2023, 7/27/2022, 7/12/2022, 7/6/2022, 6/25/2021, 2/04/2021, 1/14/2021, 7/10/2020, 07/02/2020, 11/22/2019, 07/02/2019, 05/2019, 04/2019, 03/2019, 07/2018, 04/2016, 12/2014, 04/2013
BUDGETING SALARY-DHHS CAPS
Instructions for budgeting salary on DHHS proposals for employees with salaries over the DHHS salary cap:
Departments are responsible for ensuring that employees are paid in accordance with all sponsor policies, terms and conditions, including any salary limitations they may impose. The National Institutes of Health (NIH), as well as certain other operating components within the Department of Health and Human Services (DHHS) are legislatively required to impose a cap on salaries that can be paid from the funds awarded by those agencies. The salary cap is usually adjusted on an annual basis and the current salary limit should be determined by consulting the Salary Cap Summary on the NIH website when developing budgets1.
Salaries for employees whose Institutional Base Salary (IBS) exceed the DHHS salary cap should be budgeted using the cap amount and include a statement in the budget justification indicating that the salary has been budgeted at the cap. The amount of the employee’s salary that exceeds the DHHS cap must be funded from non-sponsored sources. No sponsored project may be used to cover the difference in salary between the cap and the actual salary amount.
In order to document that the salary cap is not being exceeded and the full amount of committed effort is being provided, the difference between the employee’s actual Institutional Base Salary (IBS) and the cap must be shown as cost-sharing in the PeopleSoft budget. While these charges must be coded in the same manner as cost-share in order to be recognized as effort applied to the grant, they do not constitute true cost-share because payments above the cap are unallowable for the grant. Reducing the amount of salary requested from the sponsor or reducing the committed effort percent does not affect the need to cost-share the amount over the cap. Because the individual is receiving salary that exceeds the allowed annual salary, every dollar of effort for that individual is comprised of the portion of his/her salary that can be directly charged to the award plus the portion that must be paid from another non-sponsored source as “salary cap cost-share.”
1Operating divisions within the DHHS that are subject to the salary cap include but are not limited to: the National Institutes of Health (NIH), the Agency for Healthcare Research and Quality (AHRQ), the Substance Abuse and Mental Health Services Administration (SAMHSA) and the Health Resources and Services Administration (HRSA). The cap is mandated by Congress in the annual federal appropriation to DHHS and as such the components of DHHS to which it applies may change from time to time. It is therefore prudent to check the policy of the component of DHHS that is awarding the grant to determine if the salary cap applies. For assistance, contact your Contract and Grant Administrator in the Research Office.
To determine if a salary is over the cap
Since the DHHS salary cap is based on a 12 month salary, we must annualize the employee’s salary to determine if the employee’s salary exceeds the cap. For example, if an employee’s full time salary for a nine month contract is $170,000, you annualize the salary by dividing it by 9 and then multiplying by 12 ($170K/9*12=$226,667). If the employee’s annualized salary amount is greater than the salary cap amount, his/her salary is over the cap. When this is the case, you must determine how much of the salary can be direct charged to the federal award and how much must be cost-shared on a non-sponsored source.
To calculate salary allocation splits
The portion of effort which can be charged to the grant = effort * salary cap/annualized salary. The portion which must be recorded as cost-share = effort * (1 – (salary cap/annualized salary)).
Example: A PI has an annualized salary of $226,667, the applicable salary cap is $185,100, and the PI has committed 25% effort to the project. How much of the 25% effort can be charged to the grant and how much must be recorded as cost-share?
The portion of salary which can be charged to the grant:
0.25 * 185,100/226,667 = 20.4%
The portion of salary which must be cost-shared from non-sponsored source(s):
0.25 * (1 – (185,100/226,667)) = 4.6%
How to enter in the proposal budget:
The percent of the employee’s effort being committed to the proposed project is not the same as the percent of the salary cost being direct charged to the award funds. The effort being committed to the project by the employee is the sum of the percent of the salary direct-costed to the award + the percent paid as cost-share. The breakdown into the two percentages allocated to each funding source is not specified in the proposal budget or budget justification.
Example: 20.4% from award funds + 4.6% from cost-share funds = 25% effort from all sources
The proposal budget and budget justification should show 25% effort (3 months effort) However, the dollar amount budgeted in the Sponsor’s proposal budget for the employee’s committed effort should be the amount that will be direct costed on the award only.
Example:
25% effort committed to this proposal for this employee. Only 25% of the salary cap can be budgeted in the Sponsor’s proposal budget. Salary requested in the budget = the salary cap * committed effort = $185,100 * 0.25 = $46,275
Questions?
Please contact the Research Office Jeff Friedland.
ADMINISTRATIVE SALARIES
Administrative Salaries
Administrative salaries as direct charges to federal or federal flow through awards Administrative salaries should normally be treated as indirect costs but at times may be appropriate as direct charges if certain conditions are met (2 CFR 200.413):
- Integral to a project or activity
- Individual(s) involved can be specifically identified with the project or activity
- Costs are included in proposal budget and awarded by sponsor or have prior written approval from sponsor
- Costs are not also recovered as indirect costs
Salaries that are determined to be administrative and meet the criteria above must included in the budget and justification at the time of proposal. The budget justification template in the UD Proposal Development guide (see Budgets & Rates) provides template language for these costs. They must also be budgeted accordingly in the UD financial system. For professional administrative staff, the budget category to use in the PeopleSoft (PS) proposal is OSPRER and for salaried administrative staff the budget category to use in PS is CLERK.
For professional administrative staff, the budget PS account to use is 120200. The individual should be paid from the appropriate salary expense PS account. For salaried administrative staff, the budget PS account to use is 123000 with the appropriate salary expense PS account used for expenses.
Budget Category | Budget PS Account | Expense PS Account |
---|---|---|
CLERK | 123000 | 123XXX |
OSRPER | 120200 | 120XXX |
If administrative salaries were not included in proposal submission and funds awarded by the sponsor, you may need prior approval from the federal or federal flow through sponsor before you allocate administrative salary expenditures to the award.
Revisions to sponsored project budgets that require sponsor prior approval must be reviewed and approved by the Research Office. Once approval is received from the sponsor, if the budget revision is to be done within one project a FIN Budget Revision – Contracts and Grants webform should be processed by the department. This will rebudget the funds into the correct budget PS accounts. If the budget revision is to be done between sponsored projects on the same award, the process will be managed by the Research Office.
EQUIPMENT
The Facilities and Administrative Cost-Rates Agreement defines “equipment” as an article of non-expendable tangible personal property having a useful life of more than one year and an acquisition cost of $5,000 or more per unit. Please direct any questions relating to this policy to your Contract and Grant Administrator.
FACILITIES AND ADMINISTRATIVE COSTS FY21-FY25 PREDETERMINED RATES
The University of Delaware Facilities and Administrative (F&A) rates below are for use on grants, contracts and/or other agreements issued or awarded to the UD. These predetermined rates are effective July 1, 2021-June 30, 2025.
Type of Activity | Unit | Site of Activity | Sponsor | FY 2020 Rate | FY 2021 Rate | FY 2022-2025 Rate |
---|---|---|---|---|---|---|
Organized Research | College of Agriculture and Natural Resources | On Campus | Federal | 46% | 51% | 51% |
State | 38% | 38% | 38% | |||
Industry | 46% | 51% | 51% | |||
Off Campus | Federal | 28% | 28% | 28% | ||
State | 28% | 28% | 28% | |||
Industry | 28% | 28% | 28% | |||
All Other Units | On Campus | Federal | 59.5% | 60% | 60% | |
State | 38% | 38% | 38% | |||
Industry | 59.5% | 60% | 60% | |||
Off Campus | Federal | 28% | 28% | 28% | ||
State | 28% | 28% | 28% | |||
Industry | 28% | 28% | 28% | |||
Other Sponsored Activities (Public Service) | All Units | On Campus | Federal | 38.4% | 38.4% | 38.4% |
State | 32% | 32% | 32% | |||
Industry | 38.4% | 38.4% | 38.4% | |||
Off Campus | Federal | 26.3% | 26.3% | 26.3% | ||
State | 26.3% | 26.3% | 26.3% | |||
Industry | 26.3% | 26.3% | 26.3% | |||
Sponsored Instruction (Training) | All Units | On Campus | Federal | 48.6% | 48.6% | 48.6% |
State | 32% | 32% | 32% | |||
Industry | 48.6% | 48.6% | 48.6% | |||
Off Campus | Federal | 33% | 33% | 33% | ||
State | 33% | 33% | 33% | |||
Industry | 33% | 33% | 33% |
ABOVE RATES: These rates are applied to the Modified Total Direct Costs (MTDC) base. Click here to download an excel version.
F&A Waivers and
Institutional Letters of Support
Procedure for Requesting Letters of Support and Cost Share Commitments from the Research Office
Principal investigators (PIs) are encouraged to review UD’s Cost Sharing Policy. Cost share letters and or commitments require sufficient preparation and often a long lead time. PIs should start this conversation with their respective department chairs, or college research office/deans as early as possible. All proposals that require cost share commitments and/or letters of support from UD leadership (President, Provost, VP Research) should follow the steps outlined herein. Please route all the requests for cost shares and letters of support requiring UD leadership support through the Associate Vice President for Research Development. Encourage the PI’s and Research Deans to engage with the Research Office (RO) as early as possible through the Research Development Office. Use email researchdev@udel.edu for communication to the Research Office. The timeline depends on the complexity of the cost shares/commitments and level of letters of support and is specified below:
Please route all the requests for cost shares and letters of support requiring UD leadership support through the Associate Vice President for Research Development. Encourage the PI’s and Research Deans to engage with the Research Office (RO) as early as possible through the Research Development Office. Use email researchdev@udel.edu for communication to the Research Office.
The timeline depends on the complexity of the cost shares/commitments and level of letters of support and is specified below:
Cost Sharing and F&A Modifications:
- Standard equipment match requests should follow the Equipment Cost Share policy and be communicated to the RO at least 1 week in advance of the submission date.
- RO should be notified at least 2 weeks from the submission date for proposals with substantial match such as non‐equipment match. Large/complex proposals, such as Major Research.
- Instrumentation grants, or proposals involving more than one college, generally require very substantial university cost share commitments and therefore need even more lead time.
- Unless F&A is limited by the sponsor, any reductions of F&A, including its use as cost share need to be communicated to the RO at least 2 weeks in advance.
Letters of Support (LOS):
- Letters of support that involve language for cost shares need to follow Cost Share schedule noted above. See also #3 below.
- At least 5 business days before proposal submission date for letters of support that need President or Provost signature. 3 business days for letters of support that need VP for Research support.
- The PI and/or respective Research Dean must provide a draft summary for such letters and key points that must be emphasized in the LOS paying careful attention to the solicitation’s guidelines.
FRINGE BENEFIT RATES
Updated: 6/12/2024
Type | From | To | Personnel Category | FY 25 Rate | For Agriculture 3A Funding (only) | Location |
---|---|---|---|---|---|---|
Fixed | 7/1/24 | 6/30/25 | Faculty/Professional Employees | 41.9% | 34.7% | All |
Fixed | 7/1/24 | 6/30/25 | Staff Employees | 58.0% | 39.7% | All |
Fixed | 7/1/24 | 6/30/25 | Graduate Students | 12.3% | 12.3% | All |
Fixed | 7/1/24 | 6/30/25 | Other* | 8.6% | 8.6% | All |
Provisional | 7/1/25 | Until Amended |
*Excludes student wages exempt from FICA
The full Fringe Benefits Rate Agreement can be found here.
MODIFIED TOTAL DIRECT COSTS (MTDC)
Modified Total Direct Cost (MTDC) consists of: salaries and wages, fringe benefits, materials and supplies, services, travel, the first $25,000 of each subaward, Equipment (defined as an article of nonexpendable tangible personal property having a useful life of more than one year and an acquisition cost of $5,000 or more per item), capital expenditures, patient care costs, rental costs, tuition, scholarships and fellowships, participant support costs and vessel (ship) costs.
The following expenditures are excluded from the MTDC Base.
Account | Description |
---|---|
122700 | Graduate Fellow – Non-Taxable |
126300 | Stipends |
146100 | Participant Support Non Employee |
146115 | Participant Support Student |
146190 | Participant Support Vendor |
146800 | CEOE Ship Charges |
148100 | REU Scholarship Support |
148800 | Audit Fee |
149000 | Tuition |
149300 | Financial Aid |
153100 | Equipment Fabrication |
153300 | Subcontract Payments > $25,000 |
154200 | Rental Cost of Offsite Facilities |
155200 | RVSHARP Ship Charges |
16xx | Equipment > $5,000 |
19xxx | Overhead & Credits |
TUITION RATES
Graduate Students Tuition Rate
Current University of Delaware graduate per credit base and adjusted rates for specific programs can be found on the Graduate and Professional Education Office’s website. UD Deans have made adjustments to the base tuition rate in specific programs that reduce the per credit cost. Tuition costs paid by another source (e.g. a student) are not allowable costs on a sponsored project.
Graduate Tuition Policy
- SCOPE OF POLICY
This policy sets forth graduate tuition requirements for proposals and awards, and applies to all departments, faculty, and staff involved in externally sponsored research at the University of Delaware.
- POLICY STATEMENT
The Research Office requires graduate tuition to be budgeted to grants and contracts at a minimum rate of 40% of the full-time tuition, per student proportional to effort, at the university base rate of $1,069 per credit hour for the fall and spring semesters. Exceptions to this policy may be granted under specific circumstances as outlined per this policy.
- POLICY STANDARDS AND PROCEDURES
- Budgeting Requirements
- Graduate tuition must be budgeted as a direct charge to all grants and contracts at a minimum rate of 40% of the full-time tuition, per student, at the university base rate of $1,069 per credit hour for the fall and spring semesters.
- Full tuition is considered 9 credit hours per semester at the university rate of $1,069 per credit hour.
- If a graduate student is being budgeted at less than 100% of their stipend, the rate of the tuition should be prorated proportionately across all proposals, if applicable.
- For example, for a student budgeted at 50% of their stipend, a minimum of 20% shall be and up to 50% of the tuition may be budgeted on the proposal. Or, for a student budgeted at 50% of their stipend on two proposals (25% on each proposal), a minimum of 10% shall be and up to 25% of the tuition may be budgeted on each proposal.
- If a sponsor provides a stated amount for cost of education, the full amount as stated by the sponsor may be budgeted.
- If a graduate student is being budgeted at less than 100% of their stipend, the rate of the tuition should be prorated proportionately across all proposals, if applicable.
- Budgeting Requirements
- Policy Exception Requests
- Exceptions to this policy may be granted with approval of both the PI’s Dean (or designee) and the Vice President for Research, Scholarship, and Innovation (or designee) in cases where:
- the funding organization has a written policy precluding or limiting the charging of graduate tuition to awards, or
- the total funding available to the PI(s) for the project is less than $75,000 per year.
- Exception Requests During Proposal Submission: A request for an exception to the graduate tuition policy should be processed via the Proposal Approval Summary Webform.
- If the request is due to a written sponsor policy, the sponsor policy should be attached to the UD Financials: PeopleSoft Proposal Attachments page using the naming convention “[ProposalID]_Tuition_other”. This will feed into the webform for review.
- If the request is for an exception is due to the PI project being less than $75,000, the Dean (or designee) and the Vice President for Research, Scholarship, and Innovation (or designee) will review and approve the exception via the proposal approval form routing prior to submission
- Exceptions Requests During Award Establishment: If a proposal that did not originally meet the exception criteria is subsequently awarded for less than $75,000 per year, an email approval from the Dean (or designee) should be routed to the Contract & Grant Analyst during award establishment. The request for an exception will be sent to Vice President for Research, Scholarship and Innovation (or designee) for review and approval.
- Exceptions to this policy may be granted with approval of both the PI’s Dean (or designee) and the Vice President for Research, Scholarship, and Innovation (or designee) in cases where:
- Post-Award Requirements
- The allocation of tuition costs must be allowable per the award guidelines and must not exceed the distribution of effort as reported through salary charges.
- Any re-budgeting of graduate student stipends should include the proportionate re-budgeting of tuition.
- Department/college research administrators should routinely reconcile tuition expenses for fiscal compliance.
- The Research Office will review tuition expenses during the closeout process for the fall and spring semesters referencing the following student salary expense account codes:
- 122600 GRADUATE ASSISTANT (O/H CHARGE)
- 122610 GRADUATE TRAINEES
- 122700 GRADUATE FELLOW
- 126900 GRAD STDT-ENROLLED < 1/2 TIME
OFF-CAMPUS DEFINITION
For all activities performed in facilities not owned by the institution, the off campus rate will apply. (For all activities performed in facilities rented with institution funds, the on campus rate will apply). Grants or contracts will not be subject to more than one indirect cost rate. If more than 50% of a project is performed off campus, the off campus rate will apply to the entire project.
SUBAWARD PROPOSAL INFORMATION
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.
SUBAWARD MONITORING
The Role of the Department Administrator
“Subaward monitoring” is a popular buzz phrase in the research administration world. But many of us hear that and think, Am I supposed to be doing something about that? And, what does that mean, anyway? The truth is, the Department Administrator plays a key role in carrying out effective subaward monitoring. Below you will find resources from the session covering this topic at the 2018 Research Administration Conference.
FEDERAL DEMONSTRATION PROJECT (FDP) EXPANDED CLEARINGHOUSE PARTICIPATION
UD is a member of the FDP, a non-profit organization comprised of Universities and other research institutions along with representatives of several research-oriented Federal Agencies. Among other activities, the FDP develops tools for its members to streamline the administration of research. One of those tools is the FDP Expanded Clearinghouse, a nation-wide database containing institutional profiles and data of 200+ member institutions. The member institutions agree to obtain the institutional data needed to prepare subrecipient agreements from this database rather than requiring each other to prepare administrative informational forms for every proposal they jointly submit. This saves a great deal of administrative work for all of the participating institutions and provides them with an easily accessible, up-to-date source of this data.
- 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.
SUBAWARD PROPOSAL FORMS
Below you will find a list of the various forms referenced in the Proposal Checklist for proposals involving subawards. Please refer to the table in “Subaward Information” to see which forms are appropriate for UD being the recipient or distributer of the subaward
- UD Subrecipient Commitment Form signed by Authorized Official from the subrecipient institution
- Attachment 3B Subrecipient Contact Form (A two page fillable pdf form which both pages must be completed)
- Budget Justification Guidelines
- Provider Category Determination Worksheet *Download this PDF to your desktop to use the “attach” function.
- Small Business Innovative Research (SBIR)/ Small Business Technology Transfer (STTR) Letter of Intent (LOI)
- UD FDP Letter of Intent
- UD Subaward Commitment Form
- UD non-FDP Subaward Cover Letter
- Statement of Work
- Subs IDC Agreement
Gifts vs. Sponsored Project
There often exists a question over whether funds from a foundation or other non-federal organizations are to be treated as gifts or sponsored projects. The two are very much intertwined. In certain situations, a gift may be administered by the Research Office (RO) or jointly with Development & Alumni Relations (DAR). Ideally these determinations are made at the time of proposal submission; however, at times, the gift or sponsored project determination may not be feasible until funding arrives.
To help identify which UD office (DAR or RO) should administer and process funds, please review and complete the Gifts vs. Sponsored Project Checklist. If you have any questions or are uncertain of the determination, please review with DAR or your assigned C&G Analyst.
DATA MANAGEMENT PLANS
Many federal agencies, including the National Institutes of Health (NIH) and most recently the National Science Foundation (NSF), are requiring that grant applications contain data management plans for projects involving data collection. Beginning January 18, 2011, proposals submitted to NSF must include a supplementary document of no more than two pages labeled “Data Management Plan” (DMP). This supplementary document should describe how the proposal will conform to NSF policy on the dissemination and sharing of research results. According to the NSF Grant Proposal Guide, the DMP will now be reviewed as an integral part of the proposal. Proposals that do not include a DMP will not be able to be submitted.
Elements of a Good Data Management Plan include:
- Data description: Brief, high-level description of the information to be gathered; the nature, scope and scale of the data that will be generated or collected.
- Content and Format: Formats in which the data will be generated, maintained, and made available, including a justification for the procedural and archival appropriateness of those formats.
- Access and sharing: Indicate how you intend to archive and share your data and why you have chosen that particular option. This should include a description and rationale for any restrictions on who may access the data under what conditions and a timeline for providing access. This should also include a description of the resources and capabilities (equipment, connections, systems, expertise, repositories, etc.) needed to meet anticipated requests. These resources and capabilities should be appropriate for the projected usage, addressing any special requirements such as those associate with streaming video or audio, movement of massive data sets, etc.
Statement of plans for metadata content and format, including description of documentation plans and rationale for selection of appropriate standards. Existing, accepted standards should be used where possible. Where standards are missing or inadequate, alternate strategies for enabling data re-use and re-purposing should be described.
- Intellectual Property Rights Protection: Statement of plans, where appropriate and necessary, for protection of privacy, confidentiality, security, intellectual property and other rights.
- Security: A description of technical and procedural protections for information, including confidential information, and how permissions, restrictions, and embargoes will be enforced.
- Selection and Retention Periods: A description of how data will be selected for arching, how long the data will be held, and plans for eventual or termination of the data collection in the future.
- Archiving and Preservation: Description of plans for preserving data in accessible form. Plans should include a timeline proposing how long the data are to preserved, outlining any changes in access anticipated during the preservation timeline, and documenting the resources and capabilities (e.g., equipment, connections, systems, expertise) needed to meet the preservation goals. Where data will be preserved beyond the duration of direct project funding, a description of other funding sources of institutional commitments necessary to achieve the long-term preservation and access goals should be provided.
- Storage and Backup: Storage methods and backup procedures for the data, including the physical and cyber resources and facilities that will be used for the effective preservation and storage of the research data.
- Responsibility: Names of the individuals responsible for data management in the research project.*This particularly important when working with multiple PIs and/or collaborative partners.
- Budget: The costs of preparing data and documentation for archiving and how these costs will be paid. Requests for funding may be included, depending on the agency (i.e., NSF guidance)
INSTITUTIONAL LETTERS OF SUPPORT
Institutional Letters of Support
Procedure for Requesting Letters of Support and Cost Share Commitments from the Research Office
Principal investigators (PIs) are encouraged to review UD’s Cost Sharing Policy. Cost share letters and or commitments require sufficient preparation and often a long lead time. PIs should start this conversation with their respective department chairs, or college research office/deans as early as possible. All proposals that require cost share commitments and/or letters of support from UD leadership (President, Provost, VP Research) should follow the steps outlined herein. Please route all the requests for cost shares and letters of support requiring UD leadership support through the Associate Vice President for Research Development. Encourage the PI’s and Research Deans to engage with the Research Office (RO) as early as possible through the Research Development Office. Use email researchdev@udel.edu for communication to the Research Office. The timeline depends on the complexity of the cost shares/commitments and level of letters of support and is specified below:
Please route all the requests for cost shares and letters of support requiring UD leadership support through the Associate Vice President for Research Development. Encourage the PI’s and Research Deans to engage with the Research Office (RO) as early as possible through the Research Development Office. Use email researchdev@udel.edu for communication to the Research Office.
The timeline depends on the complexity of the cost shares/commitments and level of letters of support and is specified below:
Cost Sharing and F&A Modifications:
- Standard equipment match requests should follow the Equipment Cost Share policy and be communicated to the RO at least 1 week in advance of the submission date.
- RO should be notified at least 2 weeks from the submission date for proposals with substantial match such as non‐equipment match. Large/complex proposals, such as Major Research.
- Instrumentation grants, or proposals involving more than one college, generally require very substantial university cost share commitments and therefore need even more lead time.
- Unless F&A is limited by the sponsor, any reductions of F&A, including its use as cost share need to be communicated to the RO at least 2 weeks in advance.
Letters of Support (LOS):
- Letters of support that involve language for cost shares need to follow Cost Share schedule noted above. See also #3 below.
- At least 5 business days before proposal submission date for letters of support that need President or Provost signature. 3 business days for letters of support that need VP for Research support.
- The PI and/or respective Research Dean must provide a draft summary for such letters and key points that must be emphasized in the LOS paying careful attention to the solicitation’s guidelines.
UD FINANCIALS: PEOPLESOFT
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Getting Started
Am I eligible to serve as a principal investigator (PI) on a research proposal?
What is a conflict of interest and do I have a conflict?
As defined in the University of Delaware's Policies and Procedures Manual, "a conflict of interest occurs when there is a divergence between an individual's private interests and his or her professional obligations such that an independent observer might reasonably question whether the individual's professional actions or decisions are influenced by considerations of personal gain, financial or otherwise. A conflict of interest depends on the situation, and not on the character or actions of the individual.” For further information on conflict of interest click here.
Where can I find Funding Opportunities?
An excellent way to identify potential sponsors is to network with faculty, industry representatives, and government agency personnel. Funding opportunities for sponsored research are available to UD-eligible principal investigators from a variety of federal and state agencies and private foundations. Information on limited submission opportunities, General University Research (GUR) grants and UD Research Foundation (UDRF) grants are also available on the Funding Opportunities page.
Another excellent tool for identifying potential funding opportunities is the Pivot database, which is available to UD employees through a paid subscription from UD's Morris Library. Library staff periodically offers workshops on effective use of the database.
What should a researcher do before submitting for funding? Or I've found a funding opportunity that is the right match for my research. What are my next steps?
How do I develop a competitive proposal?
You need to have good, innovative ideas, an understanding of the funding agency's mission and goals, and pay careful attention to the theme and requirements specified in the funding announcement. A good proposal should be compelling, understandable, well-organized, grammatically correct, exhibit correct spelling, and it must meet the due date, formatting, and length requirements specified in the agency's guidelines.
If you've carefully read the agency's funding announcement and have specific questions about a proposal idea, consult the program officer at the funding agency for advice or clarification.
Most proposals contain common elements, such as the following:
- A project summary that should clearly articulate the significance and innovation of the research and its expected outcomes
- A project description that details the goals of the project and how you will accomplish them, often including how you will evaluate the project and disseminate the research to various public audiences to meet "broader impacts" requirements
- References cited
- A budget that is in line with the award range of the funding program along with a detailed budget justification that has been developed in compliance with UD's current rates (see the "Proposal Tools and Data" sidebar on this Web page); Biographical sketches of the project team, and
- Letters of commitment/support from appropriate administrators and partnering institutions
Please note:
To request a letter of support from the UD Research Office, the Provost, or President, please follow this procedure:
- Draft the letter of support
- E-mail the letter to your Contract and Grant Administrator in the Research Office. To locate the correct staff member, see the Department Administrator directory in the Staff Directory
If changes to the letter are required, you will be notified.The Research Office will shepherd the letter and proposal to the appropriate UD administrator for signature and provide a copy to you for your files.
If your proposal requires an evaluation component, an excellent resource to consult on campus is the Center for Research in Education and Social Policyr. If your proposal requires "Broader Impacts" in informal public education and outreach, contact the Research Communications Initiative in the UD Office of Public Relations for advice. The office participates in selected proposals and also is aware of other units on campus who are involved in public education and outreach that may be available to assist you.
As you draft your proposal, make sure to cross-reference your content with key themes and requirements indicated in the funding announcement. Ask colleagues with experience writing winning proposals to read your draft and provide constructive criticism. You might also ask to serve on an upcoming proposal review panel for a particular agency to gain further insight into how proposals are evaluated.
Developing competitive research proposals is hard work, but the rewards can be great in terms of future discoveries. It's important not to be discouraged if your proposal is not funded, but to learn from the experience and prepare for the next opportunity.
The solicitation requires that my proposal be submitted electronically. How do I obtain access to various electronic submission site (example: Fastlane, ERA Commons, NSPIRE, etc)?
FASTLANE
If you are intending to submit a proposal to NSF you will need access to Fastlane. Please send an email request to your Contract and Grant Administrator with the PI's name, birth date, type of degree and the year it was received so the new PI can be added to FASTLANE. Please note Fastlane will provide the PI with a NSF login number that will become part of their personal logon process.
NIH eRA COMMONS
If you intend to submit a proposal to NIH, please send an email request to your Contract and Grant Administrator (CGA) (https://www.udel.edu/research/about/directory.html ) to create ”User Name”. You will need to provide the following information: