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UD Proposal Development Guide

PROPOSAL DEVELOPMENTBUDGETS & RATES SUBAWARDS REFERENCE FAQS
Explore Research Roles and Responsibilities Where can I locate research funding opportunities? How do I develop a competitive proposal? Where do I find the UD data I need to complete my budget? You’ll find the answers here, courtesy of the Research Office. A handy proposal checklist also is provided for your convenience.

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.

*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’s External Sponsorship and Grant policy. For a proposal to be submitted, a proposal record must be created in the UD grants module system. This will originate a form to route for approval of the proposal submission.
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PROPOSAL DEVELOPMENT

Institutional Information

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NIH Proposal Checklist

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NSF Proposal Checklist

PI Eligibility

Institutional Information

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INSTITUTIONAL INFORMATION

Animal Welfare Assurance Number
D16-00457
Cognizant Federal Agency
Department of Health and Human Services
Steven Zuraf
(301) 492-4855
Congressional District
DE-00
DHHS Human Subjects Assurance Number
FWA00004379
DS-2 Latest Filing Date
7/1/2016
E-mail for Electronic Award Notifications
Federal Interagency Commission on Education (FICE) Number
001431
Fiscal Officer’s Title
Vice President for Research, Scholarship & Innovation
Indirect Cost Agreement Date
05/21/2024
Indirect Cost Rate Type
Predetermined
Fringe Benefits Rate Agreement Date
05/16/2023
IPES SID Number
1000170
Misconduct in Research, Latest Annual Report
02/27/2018
North American Industry Classification System (NAICS) code
611310
PHS Entity Number
1516000297A1
SAM Registration Expiration Date
10/15/2025
State of Delaware Organizational Code
90-01-01
University IRS Number
51-6000297
University of Delaware Commercial and Governmental Entity Code (CAGE)
015X1
University of Delaware Date of Incorporation
02/05/1833
University of Delaware DUNS Number
05-900-7500
University of Delaware Unique Entity ID Number (UEI)
T72NHKM259N3
University of Delaware Fiscal Officer
Dr. Miguel Garcia-Diaz
Institutional Address:
University of Delaware
Research Office
100 Discovery Boulevard
Suite 1000
Newark, DE 19713-1325
RO Phone: 302-831-2136
Remittance Address:
University of Delaware
ATTN: Cashiers Office
413 Academy Street, Rm 250
Newark, DE 19716
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NIH Proposal Checklist

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NIH PROPOSAL CHECKLIST (download pdf)

Forms H effective January 25, 2023
CategoryItems
SF424 RR – REQ’D
  • Remember to use 9-digit zip codes.
  • Remember standard start dates apply for NIH.
  • Field 11, Descriptive Title, is limited to 200 characters.
  • Field 15, auto filled based on data entered into the RR Budget or PHS 398 Modular Budget.
  • Field 19, Authorized Representative, email should always be udelaware-awards@udel.edu.
  • Authorized representative is determined by first year total costs (Contract & Grant Analyst: up to $250,000; Assistant Director, Contracts & Grants: up to $500,000; Associate Vice President, Research Administration: up to $1M; Provost: $up to $2M; President: over $2M.
  • Field 21, Cover Letter Attachment, NIH encourages a cover letter in certain scenarios only.  It is required for Mentored Career Development applications and Fellowship applications.
  • *Do not include Personal Identifiable Information (PII) or Protected Health Information (PHI) anywhere in the application.
RR Performance Sites – REQ’D
  • List all locations where work will be performed,
  • If 50% or more of the work will happen off-site, UD cannot claim F&A expenses under the standard rate. The off-campus F&A rate will apply.
RR Other Project Information – REQ’D
  • Complete questions 1-6. Proposals that indicate use of human subjects are required to complete the PHS Human Subjects and Clinical Trials Information (see requirements in this section below).  Proposals that indicate use of animals are required to submit Vertebrate Animals section. See PHS 398 Research Plan for more information.
  • ATTACHMENTS:
    • Project Summary/Abstract (limited to 30 lines of text)
    • Project Narrative (limited to a couple sentences)
    • Bibliography
    • Facilities & Other Resources
    • Equipment
    • Other Attachments should only be included when required by the solicitation.
RR Key Persons – REQ’D
  • PI(s)/PD(s), senior/key personnel as well as Other Significant Contributors must have eRA Commons Credential.
  • ATTACHMENTS:
    • Biographical Sketch w/ Credential (5 pages unless the solicitation says otherwise; sometimes it is 2 pages)
      • Education Block (Chronological order)
      • Section A: Personal Statement (May cite up to 4 publications or research products)
      • Section B: Positions, Scientific Appointments and Honors (Reverse chronological order – current position should be first in the list)
      • Section C: Contributions to Science (May include up to 5 contributions of up to ½ page each. Within each contribution, you may cite up to 4 publications or research products relevant to the contribution. Option to provide a federal hyperlinked URL to a full list of published work also.)
      • *Fellowship, dissertation research and candidates for diversity supplement applications only*Section D: Scholastic Performance (Predoctoral applicants must list, by institution, all undergraduate and graduate courses with grades.  Postdoctoral applicants must list, by institution and year, all graduate scientific and/or professional courses with grades.)
    • Current & Pending Support (not required unless it is mentioned in the solicitation. C&P is typically part of Just In Time information (JIT).)
NIH Salary Cap
  • Salary must not exceed NIH cap for faculty per Salary Cap Summary: https://grants.nih.gov/grants/policy/salcap_summary.htm or graduate students cannot exceed the “0 Level Post Doc” stipend rate, inclusive of stipend, fringe, and tuition. On the budget justification, include a statement indicating the PI/Other Personnel (as appropriate) are budgeted at the NIH Salary Cap
RR Budget – Use when required or allowed by the solicitation
  • Typically used when direct costs exceed $250,000 per year (excluding subaward(s) F&A). If this type of budget is used and you have subawards in your budget, you will also need to complete the RR Subaward Budget Attachment.
  • Applications due on or after 10/05/2023: : If a Data Management and Sharing Plan (DMS Plan) is required, costs to support these activities, may be requested in the appropriate cost category. Details regarding Data Management and Sharing costs must be specified in the Budget Justification attachment.
  • ATTACHMENTS
    • Budget Justification for all requested costs.
      • Applications due on or after 10/05/2023: If a DMS Plan is required, include a brief justification, clearly labeled “Data Management and Sharing Justification,” of the proposed activities that will incur costs, followed by the estimated dollar amount (total direct costs). Briefly summarize the type and amount of scientific data to be preserved and shared, the name of the established repository(ies) where they will be preserved and shared, and the general cost categories (ex: curating data and developing supporting documentation, local data management activities, preserving and sharing data through established repositories, etc.) including an amount for each category and a brief explanation. Specify in the justification if no costs will be incurred for Data Management and Sharing. The recommended page length for this section is no more than half a page.
PHS Human Subjects and Clinical Trials Information – REQ’D when research involves human subjects
PHS398 Modular Budget – Use when required or allowed by the solicitation
  • Modular budgets are applicable to certain research grant applications requesting direct costs of $250,000 or less per year (excluding subaward(s) F&A). The modular budget is applicable only to R01/U01, R03, R15, R21/UH2, R34/U34, and R15/UA5 applications.
  • For all modular budgets, request total direct costs (in modules of $25,000 up to $250,000), reflecting appropriate support for the project.
  • ATTACHMENTS
    • Personnel Justification - include the name, role, and number of person-months devoted to this project for every person on the project. Do not include salary and fringe benefit rate in the justification.
    • Consortium Justification - include the total costs (direct costs plus F&A costs), rounded to the nearest $1,000, for each consortium/subcontract. Additionally, any personnel should include their roles and person months; if the consortium is foreign, that should be stated as well.
    • Additional Narrative Justification - include explanations for any variations in the number of modules requested annually (except when responding to FOAs with direct costs that do not spread evenly across budget periods. E.g. R21 NOFOs that allow $275,000 in direct costs over two years). Also, this section should describe any direct costs that were excluded from the total direct costs (such as equipment, tuition remission) and any work being conducted off-site, especially if it involves a foreign study site or an off-site F&A rate.
      • Applications due on or after 10/05/2023: If a DMS Plan is required, the Additional Narrative Justification is required and must include a Data Management and Sharing justification clearly labeled “Data Management and Sharing Justification” within the Additional Narrative attachment, followed by the estimated dollar amount (total direct costs). Briefly summarize the type and amount of scientific data to be preserved and shared, the name of the established repository(ies) where they will be preserved and shared, and the general cost categories (ex: curating data and developing supporting documentation, local data management activities, preserving and sharing data through established repositories, etc.) including an amount for each category and a brief explanation followed by the requested dollar amount. If no costs will be incurred, enter “0” for the requested dollar amount. Also include a brief justification of the proposed activities that will incur costs. The recommended page length for this section is no more than half a page.
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
  • ATTACHMENTS
    • Introduction to Application – only required for Resubmission and Revision applications
    • Specific Aims (limited to 1 page)
    • Research Strategy (limited to 6– 12 pages) – See NIH Page Limits for full list of page limitations. Research Strategy should address (1) Significance, (2) Innovation, and (3) Approach.
    • Progress Report Publication List – only required for RENEWAL applications
    • Other Research Plan Sections
      • Vertebrate Animals – to be completed when RR Other Project Information indicates use of animals
      • Select Agent Research - to be completed when RR Other Project Information indicates use of select agents at any time during proposed project period
      • Multiple PD/PI Leadership Plan – to be completed when multiple PIs are designated on the R&R Senior/Key Persons Form
      • Consortium/Contractual Arrangements – Include if you have consortiums/contracts in your budget.  Suggested format and content: 

        “Consortium/Contractual Arrangements

        The University of Delaware will establish the necessary consortium/contractual arrangements with [entity name] (not to exceed the proposed total amount of [$XXX]) to provide funding for their portion of the project during the period covering [Date – Date].”

  • The appropriate programmatic and administrative personnel of each organization involved in this grant application are aware of the agency’s consortium agreement policy and are prepared to establish the necessary inter-organizational agreement(s) consistent with that policy.
    • Letters of Support – include any letters necessary to demonstrate the support of consortium participants and collaborators such as Senior/Key Personnel and Other Significant Contributors
    • Resource Sharing Plan – only required where the development of model organisms is anticipated
  • Other Plan(s)
    • Applicants proposing to conduct research that will generate scientific data must attach a DMS Plan (except T, F, C06, R13, Gs and Research-Related Infrastructure Program applications)
    • Applicants seeking funding for research that generates large-scale human or non-human genomic data to provide a plan for sharing of these data as part of their DMS Plan.
    • See NIH's "Writing a DMS Plan" for additional information.
  • Authentication of Key Biological and/or Chemical Resources—required if Biological and/or Chemical Resources will be used. 1 page is suggested. A negative statement is not required.
  • Appendix - Maximum of 10 allowable appendices. See NIH Notice Number: NOT-OD-18-126 for updated list of allowable appendix materials.
PHS Assignment Request – OPT’L Additional Forms 
  • PHS398 Career Development Award Supplemental Form (REQ’D only for Career Development (K) Award)
    • Letters of reference are required
  • PHS398 Research Training Program Plan (REQ’D only for Institutional Training (T) Award)
  • PHS398 Training Budget (Use when required or allowed by the FOA)
  • PHS398 Training Subaward Budget (Use when required or allowed by the FOA)
  • PHS Fellowship Supplemental Form (REQ’D only for Fellowship (F) Award)

 

FeatureNotes
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 DensityType 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 MarginsUse 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 FormattingUse 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 Footnotesmay have a smaller type size but it must be readily legible and follow the font typeface requirement.
File AttachmentsAll 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 URLsHyperlinks 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 LimitsAdhere 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
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NSF Proposal Checklist

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NSF PROPOSAL CHECKLIST 24-1

PAPPG 24-1 Effective May 20, 2024 (download pdf)

CategoryItems
Cover Sheet
  • Solicitation number, and due date (if applicable)
  • Requested effective dates should allow at least six months for NSF review, processing and decision.
  • Title follows naming convention, if required (i.e. Collaborative Research, RAPID, RAISE, EAGER)
  • If a LOI was submitted, enter the LOI ID number issued upon submission
  • If a preliminary proposal was submitted, provide the Preliminary Proposal Number
  • Funding of a Foreign Organization or Foreign Individual. List applicable countries involved if this box is checked.
  • International Research/Education/Training Activities. List the primary countries involved on the Cover Sheet.
  • Select “Collaborative Status” based on type of proposal submitted
  • Off-Campus or Off-Site Research: Check this box if UD is the lead organization and any organization participating in the collaborative activity involves data/information/samples are being collected off-campus or off-site, such as fieldwork and research activities on vessels and aircraft.
  • Co-PIs limited to 4 individuals
Project Summary – REQ’D
  • 1 page max.
  • Overview, Intellectual Merit, and Broader Impacts addressed (required headings)
Project Description – REQ’D
  • 15 pages max including images and figures
  • Includes:

    • Objectives for the period of the proposed work and expected significance
    • Relation to longer-term goals of the PI's project
    • Relation to the present state of knowledge in the field
    • Relation to work in progress by the PI under other support and to work in progress elsewhere
    • Broader Impacts resulting from proposed activities (separate heading)
    • Description of the work to be performed by the subaward must be included in the project description
    • If a foreign organization or individual is proposed, a justification must be included in the project description including:
      • Why support from the foreign counterpart’s in-country resources is not feasible;
      • Why the foreign organization or foreign individual can carry out the activity more effectively than a U.S. organization or U.S. individual
      • What unique expertise, organizational capability, facilities, data resources, and/or access to a geographic location not generally available to U.S. investigators the foreign organization or foreign individual brings to the project; and
      • What significant science and engineering education, training, or research opportunities the foreign organization or foreign individual offers to the U.S.
    • Must not include Uniform Resource Locators (URLs)
    • Results from Prior NSF Support: 

      • Include for each PI and Co-PI who has received NSF funding with an End Date or current funding (including NCEs) in the past 5 years regardless if directly related to proposal or not.
      • Limited to 5 of the 15 pages
      • If the project was recently awarded and there are no new results, describe major goals and broader impacts.
      • Required elements per PI/Co-PI:
        • The NSF award number, amount and period of support;
        • The title of the project;
        • A summary of the results of the completed work, including, for a research project, any contribution to the development of human resources in science and engineering;
        • Separate headings for Broader Impacts and Intellectual Merit
        • A listing of the publications resulting from the NSF award (a complete bibliographic citation for each publication must be provided either in this section or in the References Cited section of the proposal); if none, state "No publications were produced under this award.”
        • If the proposal is for renewed support, a description of the relation of the completed work to the proposed work.
References Cited – REQ’D
  • Each reference includes:
    • The names of all authors (in the same sequence in which they appear in the publication- no “et al”),
    • The article and journal title, book title, volume number,
    •  Page numbers, and
    • Year of publication
Biosketch – REQ’D for Senior Personnel (No page limit)
  • Must be generated through SciENcv.
  • Identifying Information: Name should be entered as Last Name, First Name, Middle Name
  • ORCID ID: Optional
  • Organization and Location: Enter City, State/Province, Country where Primary organization is located
  • Professional Preparation (REVERSE Chron. Order (highest degree to lowest degree); includes Postdoctoral appointments) including institution, location (formatted as city, state/province and country), major/area, degree and year (formatted as MM/YYYY)
  • Academic/Professional Appointments (Reverse Chron. Order):
    • Must include all titled academic, institutional, or professional appointments whether full-time, part-time, or voluntary (including adjunct, visiting, or honorary), including location (city, state/province and country)
  • Products (5 related; 5 other significant); Each product must include full citation information; however, “et al” may be used in the event that listing multiple authors makes it difficult to fit the information into the allotted space. If only publications are included, the heading "Publications" may be used.
  • Senior Personnel are required to certify that the information provided in their Biosketch is accurate, current, and complete.This includes information related to domestic and foreign appointments and positions. Certification also includes they are not a party in a malign foreign talent recruitment program.
  • For Other Personnel, proposers may include biographical information for Post Docs, other professionals, or students (research assistants) with exceptional qualifications that merit consideration in proposal evaluation.  The non-senior personnel biographical information does not need to comply with the NSF Biosketch format but must be clearly identified as ‘Other Personnel’ biographical information and uploaded as a single PDF file in the Other Supplementary Documents section of the proposal.
  • Equipment Proposals should provide for each auxiliary user a short biographical sketch and a list of up to five (5) publications most closely related to the proposed acquisitions
  • Must be uploaded as a single file per each Senior Personnel associated with the proposal
Current & Pending (C&P) – REQ’D for Senior Personnel
  • Must be generated through SciENcv.
  • Include all federal and non-federal current projects and pending projects with a time commitment even if they receive no salary support from the project(s).  
  • Include information on objectives and overlap with other projects
  • Include in-kind contributions NOT for use on the project/proposal being proposed (such as office/laboratory, space, equipment, supplies, employees, students)
  • In-kind support/contributions that are intended for the use on the project/proposal being proposed to NSF must be included in the Facilities, Equipment, and Other Resources.
  • Include funding directed to the individual (vs. UD) if it has a time commitment
  • • Disclose contracts associated with participation sponsored by foreign governments, instrumentalities, or entities, including foreign government-sponsored or affiliated activities or government-sponsored talent recruitment programs (even if through an intermediary).
  • Senior Personnel are required to certify that the information provided in their C&P is accurate, current, and complete and that the individual is not a party to a malign foreign talent recruitment program.
  • “This Proposal” submitted by PI must be listed as pending.
  • Must be uploaded as a single file per each Senior Personnel associated with the proposal.
Budget – REQ’D
  • If more than two months of salary in any one year is requested, justification for requesting more than 2 months should be included.
  • The names of the PI(s), faculty, and other senior personnel and the estimated number of full-time-equivalent person-months for which NSF funding is requested and the total amount of salaries requested per year are listed.
    • If PI/Co-PI salary is not requested, their names should not be included in the budget.
  • Participant Support requested includes information on the number of participants to be supported.
  • Subawards have a separate budget.
  • Post-docs and Graduate Students, if budgeted, require a mentoring plan in supplementary docs.
Budget Justification – REQ’D
  • 5 pages max; if subawards are included, each subaward justification is limited to 5 pages.
  • Equipment is justified, listed individually by description and estimated cost.
  • International travel is justified including countries to be visited (also enter names of countries on the proposal budget), and dates of visit, if known.
  • Definition of a salary year: “The University of Delaware effort policy defines a “salary year” as September through August” should be included
  • F&A calculation should be included
Facilities, Equipment & Other Resources – REQ’D
  • Only existing resources directly applicable to the proposed work are described.
  • Collaborators:
    • Include description of work to be performed provided, must not include any quantifiable financial information
    • Any substantial collaboration with individuals not included in the budget should be described in the Facilities, Equipment and Other Resources document (also include a letter of collaboration from each)
Supplementary Documentation
  • Any substantial collaboration with individuals. Letters of collaboration should be limited to stating the intent to collaborate and should not contain endorsements or evaluation of the proposed project.  The PAPPG suggests standard language to use in letters of collaboration. 
Suggested Reviewers*
  • List suggested Reviewers or Reviewers not to include.  Include mail address and institutional affiliation.
    *For reviewers not to include, the reason why does not need to be included.
Collaborations and Other Affiliations – REQ’D
  • Collaborators & Other Affiliations Information must be separately provided for each individual identified as senior project personnel in the proposal.
    • Must use NSF Excel template
    • Rows may be inserted as needed and the font size within a cell may be reduced to accommodate long names or other information.
    • Column size and font type must not be altered.
    • Information is not required to be sorted alphabetically.  
Synergistic Activities – REQ’D for Senior Personnel
  • 1-page max
  • Include up to 5 distinct examples that demonstrate the broader impact of the individual’s professional and scholarly activities that focus on the integration and transfer of knowledge as well as its creation.
Mentoring Plan – as REQ’D
  • If a postdoctoral researcher or graduate student is included in the budget, then a mentoring plan is required.
  • Limited to 1 page for the entire proposal.
Data Management Plan – REQ’D
  • Data Management Plan – 2-page max

 

FeatureNotes
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 DensityWhen printed, text in the entire proposal (including figure captions) may be no more than six lines per vertical inch.
Paper Size and MarginsStandard page size (8.5 x 11 or 11 x 8.5) with 1 inch margins in all directions required.
Page FormattingSingle 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.

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PI Eligibility

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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.

 

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Proposal Development Assistance

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Proposal Info/Checklist

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Proposal Writing

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3-Day Proposal Deadline Policy

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Proposal Development Assistance

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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

 

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Proposal Info/Checklist

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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:

  1. Fully approved FIN Proposal Approval Summary Web form with necessary attachments
  2. Statement of Work and/or Abstract
  3. Detailed Budget AND Budget Justification being presented to the sponsor
  4. 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:
    1. Look up the institution in the FDP Expanded Clearinghouse database located at: https://fdpclearinghouse.org/organizations
    2. 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).

       

      Necessary Documents for Subaward Contracts
      Table A Table B
      MEMBER OF FDP Expanded Clearinghouse* NOT A MEMBER of FDP Expanded Clearinghouse*
    3. 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

    1. Look up the other institution in the FDP Expanded Clearinghouse database located at: https://fdpclearinghouse.org/organizations
    2. If the institution is a member of the FDP Expanded Clearinghouse:
      1. 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.
      2. 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).
    3. If the institution is not a member of the FDP Expanded Clearinghouse:
      1. 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.
      2. 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.

     

    1. 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.
    2. 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.
    3. 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.
    4. 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.
    5. 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.
    6. 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.
    7. 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.
    8. 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.
  5. Program Solicitation
  6. Any forms and/or sponsor certifications that require Research Office signature
  7. 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:

  1. Any notes/information on cost sharing – please see Third Party Cost Share Documentation.
  2. Human Subject, Recombinant DNA, Radiation, and Animal Use Protocol approvals Work
  3. 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

  • Identify Funding Opportunity
  • Obtain/Disseminate RFP/FOA to Department/College Administrators and Research Office
  • Identify Collaborators and Initiate Participation Discussions
  • Obtain/Verify Access and Profiles for Electronic Proposal Systems (PeopleSoft, Cayuse, Fastlane, eRA Commons, etc.)
  • Initiate Setup Electronic Proposal in UD Financials: PeopleSoft and Cayuse
  • Confirm PI Eligibility and Active COI per UD Policy
  • Setup Key Words for New PIs

6 WEEKS

  • Initiate Proposal Development and Technical Content
  • Identify Title, Period of Performance, Tasks, Milestones, and Deliverables

4 WEEKS

  • Prepare/Submit Compliance Protocol Documentation (IRB, IACUC, etc.)
  • Prepare/Draft Proposal Budget
    • Identify Personnel and Effort
    • Identify Major Equipment Items
    • Identify Materials and Services
    • Identify Travel Requirements
    • Estimate Collaborator Costs (Subawards, Consultants, Vendors)

3 WEEKS

  • Obtain Final Collaborator Budget(s) and Documentation
  • Prepare/Draft Non-Technical Documentation
    • Abstract/SOW
    • Budget Justification
    • Facilities Justification
    • Biosketches
    • Current and Pending Support
    • Other Sponsor-Required Forms

2 WEEKS

  • Finalize Proposal Budget and Abstract/SOW
  • Finalize Non-Technical Documentation

1 WEEK

  • Submit Proposal Package to Department/College Administrator
  • Route Proposal Webform for Institutional Approvals

3 BUSINESS DAYS (8:00 am)

  • Submit Proposal Package and Department/College Approved Proposal Webform to Research Office

1 BUSINESS DAY (8:00 am)

  • Submit Final Science/Technical Content to Research Office
    • Ex: Specific Aims, Project Description, References Cited, Research Strategy, etc.
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Proposal Writing

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PROPOSAL WRITING RESOURCES

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3-Day Proposal Deadline Policy

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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.

  1. 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.

  2. DEFINITIONS
    1. 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.
    2. Proposal – A formal application by UD to participate in an externally-sponsored project, made in response to a funding opportunity.
    3. 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.
    4. Proposal Review and Submission – The process by which a proposal is formally reviewed by UD and submitted to an external sponsoring agency.
    5. Internal Proposal Deadline – The deadline by which proposals must be provided to the Research Office for full review prior to the sponsor proposal deadline.
    6. 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.
    7. 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.
  3. 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.
  4. POLICY STANDARDS AND PROCEDURES
    1. Internal Deadlines for Proposal Submission
      1. 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.
      2. 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.
    2. Proposal Packages
      1. 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:
        1. Program Solicitation
        2. Fully-Approved Proposal Webform
        3. Statement of Work (SOW) and/or Abstract.
          1. Final Science/Technical content must be provided to the Research Office no less than 9 business hours prior to the agency deadline.
        4. Detailed Budget
        5. Budget Justification
        6. Subaward Documents (SOW, Budget, Budget Justification, etc.)
        7. Up-to-Date Conflict of Interest Disclosure (per the COI Policy)
        8. Other Components (per Sponsor and UD requirements)
    3. Proposal Review and Submission
      1. 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.
      2. The Research Office follows a “staggered” review process wherein the date a proposal is received dictates the level of review provided per below:
        1. Full Review if received at least 3 business days prior to the sponsor deadline.
        2. Limited Review if received 2 business days prior to the sponsor deadline.
        3. 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

           

           

           

      3. 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:
        1. 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.
        2. The submitting department/unit agrees to assume responsibility for any budget errors/omissions made in the proposal.
        3. 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.
      4. 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:
        1. Risk of proposal rejection due to non-compliance with sponsor guidelines
        2. Risk of proposal rejection due to electronic system failure
        3. Risk of department/unit incurring financial burden due to budget errors or omissions
        4. Risk of UD withdrawal of proposal post-submission or UD rejection of the award
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Categories of Sponsored Activities

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NSF Safe and Inclusive Environment Plan

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Categories of Sponsored Activities

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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:

  • Are there activities being developed and evaluation that will make a creative contribution to solve a problem?
  • Will there be a scholarly inquiry, analysis, or critical study, hypothesis, or data collection?
  • Will the findings be used to contribute to generalizable knowledge (i.e. meant to have an impact on others within the discipline) inside or outside the Institution?
  • Will the results or outcomes be published, archived, presented, or viewed in some way as relevant beyond the specific participant population?

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:

  • Is the intended audience the public for receipt of or participation in a community service with no University research resources to be used?
  • Is the intended activity a conference whose participants are not students enrolled at the University?
  • Is the intended activity travel to a conference (excludes travel related to research)?
  • Is the intended activity for service or testing that does not involve a creative contribution to solve a problem?

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:

  • Will the activity support curriculum development not related to a research project?
  • Will the activity support teaching/training activities (other than research training)?
  • Is the intended audience students enrolled at the University?
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NSF Safe and Inclusive Environment Plan

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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.

 

 

BUDGETS & RATES

Budget Categories

Budget Justification Guidelines

Budget Justification Template

Budget Salary- DHHS Caps

Budget Categories

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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 CategoryAccountBudget ItemBudget Item DescriptionNo F&A in MTDCFringe (for Personnel)
Personnel123000CLERKAdministrative Salaries: Non-Exempt Employees*58.0%
Personnel122600GRADSTGraduate Student12.3%
Personnel122610GRADTRGraduate Trainee0%
Personnel122700GRDFLGraduate FellowX0%
Personnel120200OSRPERProfessional Staff (also Postdoctoral Researchers)41.9%
Personnel125200OTPERSMiscellaneous Wage8.6%
Personnel120400OTPROFProfessional Staff: Supplemental Pay8.6%
Personnel121800PERSONFaculty Summer Pay**41.9%
Personnel120800PSTDOCPostdoctoral Associate0%
Personnel121100SRPERSFaculty Academic Pay41.9%
Personnel126000STUWGStudent Wages0%
Personnel126000UNGRADUndergraduate Student***0%
Fringe Benefits129000FRINGEEmployee Benefits
Travel130000DOTRAVDomestic Travel
Travel130500FOTRAVForeign Travel
Materials and Supplies140000SUPLMaterials and Supplies
Other140190ANIMALAnimal Care Costs (Per Diem, Housing)
Other150300EQMAINEquipment Maintenance/Repair
Other145611FOODCatered Food (Not Per Diem Meals)****
Other140001OTHEROther Direct Costs
Other149250PARTCOMPHuman Subjects Participant Compensation
Other148300PBLCTNPublication Costs
Other146195PTCAREPatient Care CostsX
Other150000RENOBuilding Alterations/Renovations
Other154200RENTALBuilding Rental (Not On-Campus)X
Other155200RVSHARPR/V Sharp Service CenterX
Other146800SHIPUD Owned Boat OpsX
Tuition149000TUITIOGraduate Student Tuition*****X
Participant Support146190PTOTHRParticipant Support Costs: Other VendorX
Participant Support146115PTSTIPParticipant Support Costs: StudentsX
Participant Support146100PTSUBSParticipant Support Costs: Non-EmployeesX
Participant Support146190PTTRAVParticipant Support Costs: Travel VendorX
Equipment160000EQUIPCapital EquipmentX
Equipment153100FABCATParts for Equipment FabricationX
Subawards153200SUB<25Subaward Costs up to $25,000
Subawards153300SUB>25Subaward Costs after the initial $25,000X
Consultants146000CONSLTConsultant Fees
F&A195000FACADMFacilities 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

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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.

 

For all personnel working on the project (PIs, Co-PIs, Graduate Students, Undergraduate Students, Post Docs, etc.), include a brief description of their role in the project and the amount of effort in person months committed. Include the annual rate of the salary increase.

NOTE: Undergraduate Students- If it is anticipated that the student will be enrolled less than half time or if they will work in the summer, fringe benefits (at the miscellaneous wage rate) should be budgeted and the rate should be stated. Graduate students can only work 20 hours per week per University policy. For the most recent undergraduate rates, check with your department administrator.

There are two classifications of Post Docs at UD: Post Doctoral Researchers and Post Doctoral Fellows.
A Post Doctoral Fellow designation is used for individuals primarily doing research as independent learners and are not assigned to projects as employees. A Post Doctoral Fellow is viewed as a nonemployee by the IRS.
A Post Doctoral Researcher designation is used for researchers who are here primarily assigned to projects as employees for a limited period of time after obtaining their doctorate degrees. Post Doctoral Researchers receive fringe benefits (faculty/professional rate) and Post Doctoral Fellows receive no fringe benefits. For more information on the difference between these two designations, read the Proposal Guide FAQ, No. 6.

Administrative Salaries (see § 200.413): These costs should normally be treated as indirect (F&A) costs. Direct charging these may be appropriate if all of the following conditions are met:

  1. Administrative/clerical services are integral to a project or activity
  2. Individual(s) involved can be specifically identified with the project or activity
  3. Costs are explicitly included in the budget or have the prior written approval of the Federal awarding agency
  4. The Costs are not also recovered as indirect costs

Fringe benefits should be charged in accordance with UD’s negotiated rate. The most current rate can be found on the Research Office website here.

This category includes items of special purpose equipment equal to or greater than $5,000 and having a useful life of one year. In this section, include details such as the type of equipment, cost, and a brief narrative on the intended use of the equipment. If multiple pieces of equipment are included, list the corresponding cost of each unit. Special purpose equipment are allowable as direct costs with prior written approval of the Federal awarding agency or pass-through entity.

NOTE: F&A is not calculated on equipment costs. Software is not considered to be equipment (even if over $5,000) and should be listed in Materials and Supplies.

Equipment Fabrication: Fabricated equipment means materials purchased for the purpose of building, constructing or assembling a piece of equipment that will be identified as equipment with the final cost being at least $5,000 or more and have a useful life of one year when completed. Include the same information above for fabricated equipment. F&A is not calculated on equipment fabrication.

Computer Nodes: Computer nodes are considered equipment if the nodes are purchased and added to an existing computer cluster to give PIs access to the cluster. Clusters are existing pieces of equipment and when nodes are purchased, we are adding items to existing pieces of equipment that are more than $2,000 (in most cases). Adding nodes to a computer cluster gives PIs the ability to access massive amounts of space and horsepower on the cluster. If a PI needs access to an existing cluster to complete their work due to a need to access large amounts of space and horsepower, the nodes should be budgeted as equipment.

NOTE: If a PI would like to use the existing cluster without purchasing nodes, this would not be equipment; this should be budgeted as ‘Other’ or ‘Service’. In addition, if a PI intends to purchase nodes to use in their office (not part of the cluster), this should be budgeted as supplies (in most cases) since the PI would be purchasing a large computer (unless it was over $5,000).

Include all travel paid directly by the sponsor, including both foreign and/or domestic travel. It’s best to provide the following information: destination (if known), purpose of the travel, number of travelers, airfare, ground transportation, lodging, conference registration and meals/per diem (use GSA Rates). If traveling by vehicle include the number of miles and the current GSA mileage rate.

Note: If travel is in excess of 6 months, dependent care costs can be requested with prior approval.

Foreign travel includes a destination that requires a passport. If international travel occurs on a Federal award, Fly America must be followed. For more information see: Fly America Act. Complete the Fly America Checklist at the time the expense is made.

Participant Support Costs are direct costs for items such as stipends or subsistence allowances, travel allowances, and registration fees paid to or on behalf of participants or trainees. These costs are expressed as non‐salary expenses and carry no associated facilities and administrative costs on the grant.

These costs are allowable with the prior approval of the awarding agency. The budget justification should include the number of participants and cost per item (ex: stipend, travel/subsistence allowance, etc.).

 

List an explanation for each Other Direct Costs with an explanation of the cost and the dollar amount. Common Other Direct Costs include:

 
  1. Materials and Supplies: May include items such as software, educational or field supplies, and laboratory supplies such as chemicals, reagents, and glassware. Include a brief justification of why the material/supply is needed.
  2. Publication Costs: May include costs associated with the publishing of an article in a scientific/technical journal or other type of field/program publication, brochures, or program materials. If applicable, include student poster presentation costs.
  3. Consultants: A consultant is an individual (work-for-hire) with proven professional or technical competence, which is provided to the organization. The consultant cannot be affiliated with UD. Include the name of the consultant, his/her organization, a statement of work, and a breakdown of the amount being charged to the project (ex: number of days of service, rate of pay, travel, per diem, etc.).

    NOTE: F&A is calculated on consultants.

  4. Computational Devices: Computing devices means machines used to acquire, store, analyze, process, and publish data and other information electronically, including accessories (or “peripherals”) for printing, transmitting and receiving, or storing electronic information. Charging computing devices as direct costs is allowable for devices that are essential and allocable, but not solely dedicated, to the performance of a Federal award.
  5. Subawards (Also called Consortium or Contractual Costs): A Subaward performs substantive programmatic work under a grant or contract and bears responsibility for programmatic decision making and measurable performance requirements. A justification for the subaward should include the same level of detail as your budget justification per itemized cost category.

    NOTE: F&A is only calculated on the first $25,000 of a subaward’s total budget. If you have multiple subawards in your budget, F&A will be calculated on the first $25,000 of each subaward.

    Fixed Amount Subawards (See §200.332) – With prior written approval from the Federal Agency, pass through entity may provide subawards based on fixed amounts up to the Simplified Acquisition Threshold ($150,000), providing that the Subawards meet the requirement for fixed amount awards (See §200.201).

  6. Tuition: Tuition will be charged to all grants and contracts at a rate of 40% of the total graduate tuition per the Graduate Tuition Policy found here. Exceptions to this Policy may be granted by the PI’s dean when the total funding available to the PI(s) for the project is less than $75,000 per year or in cases wherein the funding organization has a written policy precluding charging of graduate tuition to awards, and should be documented in the proposal approval routing form Current tuition rates can be found here. Include annual percent increase in the justification.

    Note: F&A is not calculated on tuition costs

  7. Equipment Rental/Facility Rentals/User Fees:
    1. Equipment Rental – When there is a need to rent equipment for use on the project, provide the type of equipment to be rented, the purpose or use on the project, the length of time needed, and the rental rate.
    2. Facility Rental – When it is necessary to rent office or other facilities spaces for project implementation, and the space(s) are located off-site from the organization’s main facility space not owned by the recipient organization, the cost of the rent may be charged against the award if the space is used specifically for the project. Include the monthly rental and/or prorated rate. For laboratory facilities, provide a letter signed by an Authorizing Representative of the rented space attesting their agreement to allow the project to operate in the space.
    3. Land-Use Charges – When there is a charge for using land owned by others for project purposes, provide the charge per acre (or other rate charged), number of acres, and total cost.
    4. User Fees – Include the type of service being charged (ex: MRI, DBI, or NMR fees), how it relates to the project, and an explanation and breakdown of the costs.
  8. Memberships, subscriptions and professional activity costs (See §200.454): Costs of an entity’s (UD’s) membership in business, technical, professional organizations/periodicals are allowable. Costs of (individual) memberships in civic or community organizations are allowable with prior approval by the Federal awarding agency or pass through entity. Membership must be allocable and programmatically related to the project.
  9. Other: For other costs not specifically listed above. Identify and provide details of the costs involved. Some of the more common items included in this category are:
    1. Communication Costs – Include mailings, postage, survey supplies, faxes, and telephone long distance charges that are directly related to the project and are above and beyond normal business use.
    2. Photocopying – Include in-house photocopying of materials that are directly related to the project and are above and beyond normal business use.
    3. Service or Maintenance Contracts – These costs should be in direct correlation to the use of the equipment for the project and the performance period (ex: if an instrument is used 50% of the time for the project, only 50% of the service/maintenance costs may be charged to the project. A 5-year service contract cannot be charged to a 3-year award). Include service contract details, amount, and length of the service contract.
    4. Conferences/Meetings – Include costs of holding a conference or meeting. Some examples include rental of facilities and equipment for the meeting, translator, A/V fees, honorariums/fees for trainers or guest speakers, and travel and/or per diem costs for speakers. Itemize conference/meeting costs and include the amounts of each cost in the justification.
    5. FOR NIH, Data Management and Sharing - If a Data Management and Sharing Plan is required, include a brief justification, clearly labeled “Data Management and Sharing Justification”, of the proposed activities that will incur costs, followed by the estimated dollar amount (total direct costs). Specify in the justification if no costs will be incurred for Data Management and Sharing. The recommended page length for this section is no more than half a page.
    Meals: Meal costs (non‐travel) may be directly charged on a grant/contract if it is part of a formal meeting or conference where technical information, directly related to the award, is being disseminated. For more information regarding direct charging meals to an award, read this document.

    NOTE: Participant support costs do not belong in this category. See guidance above for participant support costs. For guest speaker/trainer fees, include fee/rate and a description of the services provided.

  10. Housing, housing allowances and personal living expenses (See §200.445): These costs are allowable as direct costs with prior approval of the Federal awarding agency. Examples of such costs include depreciation, maintenance, utilities, furnishings, and rent.
  11. Entertainment Costs (See §200.438): Entertainment costs (amusement, diversion, and social activities) are unallowable unless they have a programmatic purpose and are authorized either in the approved budget for the Federal award or with prior written approval of the Federal awarding agency.
  12. Exchange Rates Fluctuation (See §200.440): Cost increases for fluctuation in exchange rates are allowable with prior approval of the Federal awarding agency. If the PI anticipates working with foreign entities, include funds to cover foreign exchange rates.

    NOTE: At the time the expense is made, include documentation from a commonly used source (Ex: Oanda, XE, etc). Also see travel tools on UD Procurement website.

If the sponsor allows indirect costs, include the percentage rate used, Fiscal Year, and list exclusions from indirect costs. Include the link to UD’s negotiated rate agreement.

The same level of detail required for sponsor (Federal or Non-Federal) funds should be provided for any required cost-sharing/matching. Cost-sharing/matching that is not required should not be included on the budget.

Any cost-share/match commitments by a 3rd Party organization must include a letter signed by the contributing organization’s Authorizing Representative. The letter should state whether the costshare/match is cash or in-kind, the amount of cost-share/match, and the purpose/use of the costshare/match. If cost-share/match is required by the sponsor, describe the cost-share/match in the budget justification.

For additional information regarding UD’s cost-share/match policy, see here.

Program Income is earned income to defray the program costs of the award. With prior approval of the Federal awarding agency, program income may be added to the Federal award. Program income must be used for the purposes and under the conditions of the Federal award. With prior approval of the Federal awarding agency, program income may be used to meet the cost sharing requirement of the Federal award; however, the amount of the Federal award remains the same.

Budget Justification Template

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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.

REVISIONS:  

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

Budget Salary- DHHS Caps

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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

Equipment

Facilities & Administrative (F&A)

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Fringe Benefit Rates

Administrative Salaries

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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

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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.

Equipment Cost-Share Policy

Facilities & Administrative (F&A)

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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 ActivityUnitSite of ActivitySponsorFY 2020 RateFY 2021 RateFY 2022-2025 Rate
Organized ResearchCollege of Agriculture and Natural ResourcesOn CampusFederal46%51%51%
State38%38%38%
Industry46%51%51%
Off CampusFederal28%28%28%
State28%28%28%
Industry28%28%28%
All Other UnitsOn CampusFederal59.5%60%60%
State38%38%38%
Industry59.5%60%60%
Off CampusFederal28%28%28%
State28%28%28%
Industry28%28%28%
Other Sponsored Activities (Public Service)All UnitsOn CampusFederal38.4%38.4%38.4%
State32%32%32%
Industry38.4%38.4%38.4%
Off CampusFederal26.3%26.3%26.3%
State26.3%26.3%26.3%
Industry26.3%26.3%26.3%
Sponsored Instruction (Training)All UnitsOn CampusFederal48.6%48.6%48.6%
State32%32%32%
Industry48.6%48.6%48.6%
Off CampusFederal33%33%33%
State33%33%33%
Industry33%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:
  1. 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.
  2. 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.
  3. Instrumentation grants, or proposals involving more than one college, generally require very substantial university cost share commitments and therefore need even more lead time.
  4. 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):
  1. Letters of support that involve language for cost shares need to follow Cost Share schedule noted above. See also #3 below.
  2. 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.
  3. 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.
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Fringe Benefit Rates

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FRINGE BENEFIT RATES

Updated: 6/12/2024 

TypeFromToPersonnel CategoryFY 25 RateFor Agriculture
3A Funding (only)		Location
Fixed7/1/246/30/25Faculty/Professional Employees41.9%34.7%All
Fixed7/1/246/30/25Staff Employees58.0%39.7%All
Fixed7/1/246/30/25Graduate Students12.3% 12.3% All
Fixed7/1/246/30/25Other*8.6% 8.6% All
Provisional7/1/25Until Amended

 

*Excludes student wages exempt from FICA

The full Fringe Benefits Rate Agreement can be found here.

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Modified Total Direct Cost

Salary Reference Sheet

Graduate Tuition Rates

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Off-Campus Definition

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Modified Total Direct Cost

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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

Salary Reference Sheet

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SALARY REFERENCE SHEET

NOTE: These rates are for FY2024 and are negotiated annually.

Download Salary Reference Sheet
MS Excel  excel document    PDF   pdf document 

Graduate Tuition Rates

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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

  1. 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.

  2. 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.

  3. POLICY STANDARDS AND PROCEDURES
    1. Budgeting Requirements
      1. 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.
      2. Full tuition is considered 9 credit hours per semester at the university rate of $1,069 per credit hour.
        1. 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.
          1. 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.
        2. If a sponsor provides a stated amount for cost of education, the full amount as stated by the sponsor may be budgeted.
  4. Policy Exception Requests
    1. 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:
      1. the funding organization has a written policy precluding or limiting the charging of graduate tuition to awards, or
      2. the total funding available to the PI(s) for the project is less than $75,000 per year.
    2. Exception Requests During Proposal Submission: A request for an exception to the graduate tuition policy should be processed via the Proposal Approval Summary Webform.
      1. 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.
      2. 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
    3. 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.
  5. Post-Award Requirements
    1. 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.
    2. Any re-budgeting of graduate student stipends should include the proportionate re-budgeting of tuition.
    3. Department/college research administrators should routinely reconcile tuition expenses for fiscal compliance.
    4. 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:
      1. 122600 GRADUATE ASSISTANT (O/H CHARGE)
      2. 122610 GRADUATE TRAINEES
      3. 122700 GRADUATE FELLOW
      4. 126900 GRAD STDT-ENROLLED < 1/2 TIME

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Off-Campus Definition

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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

Subaward Proposal Info

Subaward Monitoring

Federal Demo Project (FDP)

Subawards Proposal Forms

Subaward Proposal Info

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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:
  1. Look up the institution in the FDP Expanded Clearinghouse database located at: https://fdpclearinghouse.org/organizations
  2. 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).

     

    Necessary Documents for Subaward Contracts
    Table A Table B
    MEMBER OF FDP Expanded Clearinghouse* NOT A MEMBER of FDP Expanded Clearinghouse*
  3. 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

  1. Look up the other institution in the FDP Expanded Clearinghouse database located at: https://fdpclearinghouse.org/organizations
  2. If the institution is a member of the FDP Expanded Clearinghouse:
    1. 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.
    2. 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).
  3. If the institution is not a member of the FDP Expanded Clearinghouse:
    1. 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.
    2. 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.

 

  1. 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.
  2. 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.
  3. 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.
  4. 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.
  5. 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.
  6. 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.
  7. 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.
  8. 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

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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 Demo Project (FDP)

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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.

  1. 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.
  2. 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.
  3. 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.
  4. 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.
  5. 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.
  6. 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.
  7. 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.
  8. 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.

Subawards Proposal Forms

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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

 

 

PROPOSAL REFERENCES

Gifts vs. Sponsored Project

Data Management Plans

Institutional Letters of Support

UD Financials: PeopleSoft

Gifts vs. Sponsored Project

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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

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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

Close Section

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:
  1. 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.
  2. 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.
  3. Instrumentation grants, or proposals involving more than one college, generally require very substantial university cost share commitments and therefore need even more lead time.
  4. 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):
  1. Letters of support that involve language for cost shares need to follow Cost Share schedule noted above. See also #3 below.
  2. 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.
  3. 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

 

FREQUENTLY ASKED QUESTIONS

Getting Started

Am I eligible to serve as a principal investigator (PI) on a research proposal?

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.

 

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?

Familiarize yourself with UD's Responsible Conduct of Research. Compliance with UD's code of conduct, policies, and procedures is critical. If human subject or animal subjects or will be using hazards materials, for example, would be used in your research project, you must abide by specific policies and complete specific forms and reviews as part of the proposal application. You'll find links to all of UD's policies and procedures and required forms here. Allow enough time to develop the proposal and meet the agency's funding deadline. Competitive applications often reflect the input of multiple colleagues, and large, multidisciplinary and multi-institutional projects require a great deal of advance planning even before writing the proposal can begin. Keep in mind that the Research Office needs a minimum of 72 hours — three business days prior to the agency deadline — to process your proposal or it will not be submitted to the sponsor. Submit keywords through the Employee Demographic Data (EDD) form prior to submitting a proposal. The Proposal Key Word are used to track proposals by subject category (for example: disease, avian, solar) and to link multiple science codes to projects. These identifiers are important for reporting both internally and externally by science categories. Please see your department administrator for assistance with the EDD. Know if "cost-sharing" is required by the funding agency. "Cost-sharing" refers to the University's commitment of funds, equipment, or services toward the project, beyond the funding that would be provided by the agency. Typical examples include equipment, personnel effort, and tuition. If cost-sharing is required, you need to find out if your dean would approve this cost before proceeding. Notify your departmental research administrator of your proposal plans. This individual works in partnership with a Contract and Grant Administrator in the UD Research Office. You can locate your department's research administrator on our Staff Directory Web page. This individual can help you learn the ropes by assisting you in the completion of required forms and in answering questions about cost rates and other details related to the development of your budget. If your proposal is for a federal grant and will need to be submitted via Grants.gov, this individual can help answer your registration questions. Find a faculty mentor. A junior faculty is encouraged to seek a faculty mentor. Some departments assign a mentor to a new faculty member. A senior faculty can guide a proposal process, from writing to submission.

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:

  1. A project summary that should clearly articulate the significance and innovation of the research and its expected outcomes
  2. 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
  3. References cited
  4. 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
  5. 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:

  1. Draft the letter of support
  2. 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:

PI's name, birth date, any previous NIH user names and if the PI has had any previous NIH grants, we will need the grant number. Please note the Research Office will establish the User Name but eRA Commons will provide the PI with a password.

NASA NSPIRE

If you intend to submit a NASA proposal you will need to register with NSPIRE. This registration will create a request at the Research Office to allow the new user to be affiliated with the University of Delaware.

GRANTS.GOV

The University of Delaware is registered in Grants.gov. Individuals cannot register to submit proposals on behalf of the University. Only your Contract and Grant Administrators in the Research Office can submit proposals as the Authorized Organization Representative (AOR) for the University of Delaware.

How do I route a proposal approval form for signatures?

Any time a new proposal is submitted to a sponsor, or an increase in the funding or University resources occurs (in the case of a re-budget or renewal) a Proposal Approval Form must be routed. In the case of a renewal where the resources are less than expected, or there is NO change, a form NEED NOT be routed.

A proposal record must be created in UD Peoplesoft Grants system to originate the form. Work with your department administrator to create the record and submit the proposal for routing.

I found a solicitation that limits the number of proposals that can be submitted. What is the UD Research Office proceedures on Limited Submission Proposals?

Many federal agencies and foundations offer grants, awards, and fellowships that limit the number of applications that can come from one institution. In order to increase the chances of UD succeeding in such "limited submission opportunity" applications, UD Research Office has established procedures for reviewing pre-proposals for such competitions in a timely fashion.

Do pre-proposals require UD Research Office approval?

Any time the University is obligating resources or requesting funds, the UD Research Office must be included in the submission. A Pre-proposal to a sponsor must go through the UD Research Office routing for approval and official submission through institutional signatures via a Proposal Approval Summary webform.

I am preparing a letter of intent, does it have to be signed by the Research Office?

Letters of Intent (LOI) that do not address funding amount or UD commitments (ie; time commitments/match etc.) do not require signature of the Research Office (unless required by sponsor). However, the Research Office should be copied on the LOI. Typically, the purpose of this type of intent is for sponsor to determine the amount of man hours required for review process. Keep in mind that it is helpful to notify your Contract and Grant Administrator when you become aware of any proposal submissions so they can better serve the needs of the faculty.

Who at University of Delaware signs as the authorized representative for proposal applications?

Authorized RepresentativeProposed First Year Total
Contracts and Grants AnalystUp to $250,000
Assistant Director, Contracts and GrantsUp to $500,000
Associate Vice President, Research Administration Up to $1,000,000
Vice President, Research, Scholarship and InnovationUp to $1,000,000
University ProvostUp to $2,000,000
PresidentOver $2,000,000

What basic information should be on the SF424 for a Grants.gov proposal submission?

Sample Application for Federal Assistance SF 424 (RandR) Form

The Standard Proposal Information will provide you important key elements related to the University. (example: DUNS number, Tax Identification Number/TIN, CAGE code, etc.).

What are the important points I should know when preparing an NIH Grants.gov application?

Please review the Frequently Asked Questions for Electronic Research Administrations, Question 3.

Where do I find more information about NIH Grants.gov application procedures?

NIH Grants Process Overview

Where can I find the NSF Grants.gov application guidelines?

Please access the NSF Grants.gov application guide here: NSF Grants.gov Application Guide

Where do I find information regarding sponsor guidelines?

Please review the Grants Management Guide for further information.

How do I construct a budget?

The attached spreadsheet is a guide to assist you in building a budget for your proposal. Download Excel file.

Proposal Preparation

Am I eligible to serve as a principal investigator (PI) on a research proposal?

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.

 

Where can I find research funding?

A good starting point is our Funding Opportunities page. It includes information on the Community of Science database, which is accessible by UD employees, in addition to links to the Web sites of key federal agencies that support research. Information on limited submission opportunities, General University Research grants, and UD Research Foundation grants also is available here.

I've found a research opportunity that is right up my alley. What are the next steps?

First, familiarize yourself with UD's Responsible Conduct of Research. Compliance with UD's code of conduct, policies, and procedures is critical. If human or animal subjects, for example, would be used in your research project, you must abide by specific policies and complete specific forms and reviews as part of the proposal application. You'll find links to all of UD's policies and procedures and required forms here.

From a practical standpoint, you need to make sure you have enough time to develop your proposal and meet the agency's funding deadline. Competitive applications often reflect the input of multiple colleagues, and large, multidisciplinary and multi-institutional projects require a great deal of advance planning even before writing the proposal can begin. Keep in mind that the Research Office needs a minimum of 72 hours — three business days prior to the agency deadline — to process your proposal, or it will not be submitted to the sponsor. More background on the policy is available here.

From a fiscal standpoint, you need to know if "cost-sharing" is required by the funding agency. "Cost-sharing" refers to the University's commitment of funds, equipment, or services toward the project, beyond the funding that would be provided by the agency. Typical examples include equipment, personnel effort, and tuition. If cost-sharing is required, you need to find out if your dean would approve this cost before proceeding.

With the appropriate administrative approval, the next thing to do is to notify your departmental research administrator of your proposal plans. This individual works in partnership with a contract-and-grant representative in the Research Office. You can locate your department's research administrator on our Staff Directory Web page. This individual can help you learn the ropes by assisting you in the completion of required forms and in answering questions about cost rates and other details related to the development of your budget. If your proposal is for a federal grant and will need to be submitted via Grants.gov, this individual can help answer your registration questions.

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, and 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 Vice Provost for 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 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.
    • 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 Policy. If your proposal requires "Broader Impacts" in informal public education and outreach, a great external resource is the National Alliance for Broader Impacts Guiding Principles and Questions. Internally you are encouraged to contact the Research Communications Initiative in the UD Office of Communications and Marketing 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 discouraged if your proposal is not funded, but to learn from the experience and move on, for another opportunity likely lies just around the corner....

Please follow this link to Data Management Plans.

The Research Development Office (RDO) serves as support to help faculty navigate today’s challenging research funding landscape and prepare competitive grant proposals. If you are planning to respond to a grant opportunity, big or small, and/or need help with strategizing on a research theme, please submit the Proposal Development Assistance Request form or contact researchdev@udel.edu.

My proposal has been funded! Now what do I do?

At this point, notify Research Office, your dean, and departmental research administrator with the good news, as well as the UD Office of Communications & Marketing, which may issue a news release about your award.

You should then work closely with your departmental research administrator in establishing your research project account, or "Purpose," in UD PeopleSoft. You'll find all the guidelines for setting up the award, maintaining it, and closing it out in our online Grants Management Guide.

And while you may just be beginning your grant now, be sure to review the Grant Management Guide on "Protecting Your Results," which includes our online Intellectual Property Guide and important policies, and tour the Technology Marketplace.

Also, don't miss the "Presenting Your Results" section of the Researcher's Toolbox for helpful advice on preparing for media interviews, developing scientific posters, presenting public lectures, garnering UD and external media coverage of your research, and more.

Remember, research is an important part of our mission here at the University of Delaware, and you have serious responsibilities as a UD research investigator. We want to make sure you are familiar with our requirements and help facilitate your research success. If you have any questions, contact us at udresearch@udel.edu. Good luck with your research!

What is the difference between Post Doctoral Fellow and Post Doctoral Researcher?

Post Doctoral Fellow Guidelines

The title of "Post Doctoral Fellow" is designed for people who are at the University doing research primarily as independent learners, not on assigned projects as employees; the “Post Doctoral Fellow” designation is akin to an advanced graduate student, and the IRS specifically views post doctoral fellows as non-employees.

While there are Post Doctoral Fellows at the University who fit this description, there are also some who currently have this designation but are not eligible under existing UD policy, IRS regulations, or visa status.  These people must be handled differently.

Therefore, there exists the job title of "Post Doctoral Researcher" for researchers who are here primarily to work on assigned projects as employees for a limited period of time after having obtained their doctorates.

The characteristics of Post Doctoral Researchers are:

  • Professional position
  • Fiscal appointments
  • Requires doctorate
  • Minimum full-time annual rate of $33,097
  • Benefits will be charged in the same way as other professionals (this is a significant difference from post doctoral fellows)
  • Annual appointments, renewable up to 2 times for a total of three years; exceptions may be approved by the appropriate Dean
  • HR code information:
    • Job code: 299990
    • Salary plan:272 (full-time) or 273 (part-time)
    • Salary grade: 90

Questions regarding processing forms for post doctoral researchers, tax implications, etc., should be directed to HR systems administration. Questions concerning visa status should be directed to Foreign Student and Scholar Services.

Post Doctoral Researcher Implementation Guidelines

The position of Post Doctoral Researcher should be used when appropriate instead of Post Doctoral Fellow. The question of when this is appropriate is an academic judgment to be made primarily by the Dean in the context of the individual’s actual activities and Visa status. Post Doctoral Fellows’ primary responsibilities are comparable to those of graduate students: expanding their own knowledge, and often working with and guiding graduate and undergraduate students. The responsibilities of Post Doctoral Researchers are comparable to those of employees, where payment is dependent upon fulfilling an assigned work plan.

The following guidelines should be considered by Deans making the judgments.

  1. Individuals with H1B Visa status cannot appropriately be classified as Post Doctoral Fellows.
  2. For U.S. citizens and for others when Visa status is compliant, such as permanent residents and those who hold F-1 and J-1 Visa status, initial appointments may be made for one year as a Post Doctoral Fellow, as long as the Dean approves that this is consistent with the expectations of the appointment. The letter of appointment should stipulate the responsibilities in a manner that is congruent with such an appointment and should be signed, or otherwise approved, by the Dean.
  3. Beyond the initial year, Deans will determine on an empirical basis whether the appointment should be as Post Doctoral Fellow or Post Doctoral Researcher based on the actual activities of the individual. When Visa status is compliant, two years is expected to be the maximum length of time for someone to hold Post Doctoral Fellow status, unless there is continuing external funding specifically for a Post Doctoral Fellow for a longer period.
  4. When Visa status is compliant, current Post Doctoral Fellows should be reviewed by the Dean and a judgment should be made as to whether they are appropriately classified as Fellows, or whether they should be Post Doctoral Researchers or some other classification. The timing of that review may coincide with the end of the Post Doctoral Fellow’s current funding. That is, they may continue in this classification until the end date of their current funding source, at which point the Dean should review their classification in the context of the individual’s actual activities.

How do I gain secured access to the Grants system for proposal submission and inquiry?

Send an E-mail to ovpr-access@udel.edu. Provide the following in the body of the e-mail:
Name: Employee Name
EMPLID: XXXXX
User ID:
Role Name: Identify Role Name*
Instance: FIPRD
DepartmentID (numeric):

*Access roles (indicate which one(s) needed):
Grants - Research Administrators (Proposal entry and inquiry) GM_RESEARCH_ADMIN
Grants - Proposal Data Entry only GM_DATA_ENTRY Grants - Proposal Inquiry only GM_PROPOSAL_INQ

I have a Post-Doc listed in my NSF proposal budget. What should I include in my Mentoring Statement?

The attached "Sample" Mentoring Statement is not meant to be used as a UD standard but is meant to be used as guidance to assist faculty in meeting the NSF proposal requirement.

I am preparing a NIH application that involves human subjects and I see there is an entire section of the Research Plan that is devoted to Human Subjects. What should be addressed in this section?

In this section, you’re required to address three areas: inclusion of human subjects, inclusion of women and minorities, and inclusion of children. Please see the attached document for details on this section of the Research Plan.

How do I know if I should add a project to my proposal for an individual in another department?

When working with faculty/staff in another department you should always reach out to their departmental Grants Analyst to confirm if a separate project is needed and who should be listed as approvers from the respective department and college. If you are working with a PI that manages all of their funds (i.e. does not provide projects to other departments), the departmental Grants Analyst should notify the other department as well. Departmental Grants Analysts can be found by using our Administrator Directory by Department.

What approvals are required to add or remove projects from an approved proposal?

The Proposal Approval Summary Webform (PAF) is used to collect the necessary approvals from all departments, colleges, institutes, and centers involved in a proposal. If there are changes to what was approved via the PAF, the lead departmental Grants Analyst should collect the necessary approvals for the changes being made, whether that is adding new projects or removing previously approved projects.

Proposal Submission

1. How do I obtain access to People Soft grants module?

New user's supervisor should email ovpr-access@udel.edu and provide the following in the body of the e-mail:

Name: Employee Name

EMPLID: XXXXX

User ID:

Role Name: Identify Role Name*

Instance: FIPRD

DepartmentID (numeric):

*Access roles (indicate which one(s) needed): Grants - Research Administrators (Proposal entry and inquiry)

GM_RESEARCH_ADMIN

Grants - Proposal Data Entry only GM_DATA_ENTRY

Grants - Proposal Inquiry only GM_PROPOSAL_INQ

2. How do I go about getting a letter of support for my research project from the UD administration (Deputy Provost for Research Office, Provost, or President)?

To request a letter of support from one of these individuals, please follow this procedure:

  1. Draft the letter of support
  2. E-mail the letter to your Contract and Grant Specialist in the Research Office. To locate the correct staff member, see the Department Administrator directory in the Staff Directory
  3. If changes to the letter are required, you will be notified
  4. 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

3. When do I need to route a Proposal Approval Form for signatures?

Any time a new proposal is submitted to a sponsor, there is an increase in the funding (e.g. supplemental funding), or University cost share increases (e.g. in the case of a re-budget or renewal), a Proposal Approval Summary webform must be routed. If funding and/or University cost share is awarded at a level that is less than or the same as proposed or increases by $250 or less, a webform does not need to be routed.

4. Do Pre-Proposals require Research Office approval?

Any time the University is obligating resources or requesting funds, the UD Research Office must be included in the submission. A Pre-proposal to a sponsor must go through the UD Research Office routing for approval and official submission through institutional signatures via a Proposal Approval Summary webform.

5. I am preparing a Letter of Intent, does it have to be signed by Research Office?

Letters of Intent (LOI) that do not address funding amts. or UD commitments (ie; time commitments/match etc.) do not require signature of the Research Office (unless required by sponsor). However, the Research Office should be copied on the LOI. Typically, the purpose of this type of intent is for sponsor to determine the amount of man hours required for review process. Keep in mind that it is helpful to notify your Contract and Grant Specialist when you become aware of any proposal submissions.

6. What is the process for faculty to gain access to Research.gov?

For faculty who do not already have a NSF ID, the faculty member should click on the ‘Register’ link in the top right corner of the page at Research.gov and complete the online account registration form. They should then log into their user account, complete their user profile, and request the role of PI/Co-PI at the University of Delaware.

Faculty with an existing NSF ID should log into their Research.gov user account, update their user profile to reflect their employment at UD, and request the role of PI/Co-PI at the University of Delaware. To look up your NSF ID, reset your password, or to contact the NSF Help Desk for assistance with this process, please visit https://www.research.gov/accountmgmt/assets/welcomeregistration.html.

7. Who at the University of Delaware signs as the Authorized Representative for proposal applications?

Authorized RepresentativeProposed First Year Total
Contracts and Grants AnalystUp to $250,000
Assistant Director, Contracts and GrantsUp to $500,000
Associate Vice President, Research Administration Up to $1,000,000
Vice President, Research, Scholarship and InnovationUp to $1,000,000
University ProvostUp to $2,000,000
PresidentOver $2,000,000

8. What is the procedure for a Sponsored Research Program Income?

For information on Sponsored Research Program Income Procedures, follow this link.

9. How to avoid common problems and increase submission success regarding PDF documents?

How to avoid common problems and increase submission success regarding PDF documents, we offer the following tips:

To easily create PDFs from other documents (including creating ‘flat’ PDFs from PDFs with active fields), you can use a standalone PDF creation utility such as those recommended by Grants.gov, or built-in features such as “Save as PDF” in other software programs. Give the document a short and unique attachment name using letters, numbers, and underscores.

When submitting to NIH, follow their PDF submission guidelines to prevent problems. Avoid ‘bundling’ multiple PDFs into a single file or producing PDFs by scanning printed documents. Disable any security features in the document. Do not attach PDFs that contain “stamps” (commonly used for signatures) or other comments. PDF files submitted to the eRA Commons are converted to images, and applications not following these guidelines may not convert correctly. It is always advisable to review your submitted application in the eRA Commons system and check that attachments were transmitted accurately.