Research Office requires the following items:
- Fully approved FIN Proposal Approval Summary Web form with necessary attachments
- Statement of Work and/or Abstract
- Detailed Budget AND Budget Justification being presented
to the sponsor
- Sub-recipient documents, including:
- Program Solicitation
- Any forms and/or sponsor certifications that require Research Office
- Conflict of Interest form must be in good standing at the time of submission (see Conflict of Interest (COI) Policy and Web COI Form)
Items 2, 3, and 4 can be attached in the Attachments tab of the UD Grants System (PeopleSoft 8.9) and will appear on the web form. (If any item is too large to be attached to the UD Grants system please use the UD Drop Box.)
Other items that can be attached to the Documents section:
- Any notes/information on cost sharing - please see Third Party Cost Share Documentation.
- Human Subject, Recombinant DNA, Radiation, and Animal Use Protocol approvals Work
- The full proposal
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.
|PTSUBS (Participant Support Non Empl)||
|PTSTIP (ParticipantSupport Student)||
|PTTRAV (Participant Support Vendor)||
|146800||CMES Ship Charges||MTDC|
|PARTINC (Participant Incentive)||
|155200||RVSHARP Operations Billings||MTDC|
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.
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
Please contact the Research Office Effort Certification Manager, Dawn Yasik (firstname.lastname@example.org).
|Animal Welfare Assurance Number||
|Cognizant Federal Agency||
Office of Naval Research (ONR)
Beth A. Snyder
|DHHS Human Subjects Assurance Number||
|E-mail for Electronic Award Notifications|
|Federal Interagency Commission on Education (FICE) Number||
|Fiscal Officer's Title||
Dep Prov, Rsch and Scholarship
|Indirect Cost Agreement Date||
|Indirect Cost Rate Type||
|IPES SID Number||
|Misconduct in Research, Latest Annual Report||
|North American Industry Classification System (NAICS) code||
|PHS Entity Number||
|State of Delaware Organizational Code||
|University IRS Number||
|University of Delaware Commercial and Governmental Entity Code (CAGE)||
|University of Delaware Date of Incorporation||
|University of Delaware DUNS Number||
|University of Delaware Fiscal Officer||
Dr. Charles Riordan
- 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
Rates/IDC Calculations – Fiscal Years 2016 – 2018 The University facilities and administrative cost-rates agreement with the U.S. Department of the Navy is to be used on grants, contracts and/or other agreements issued or awarded to the University of Delaware by all federal agencies. The predetermined rate agreement provides the negotiated facilities and administrative rates from July 1, 2015 to June 30, 2018.
|Type of Sponsored Activity||Unit||Site of activity||Type of sponsor||Rate|
College of Agriculture
All Other Units
Other Sponsored Activities (Public Services)
Sponsored Instruction (Training)
|122700||Graduate Fellow - Non-Taxable||MTDC|
|146100||Participant Support Non Employee||MTDC|
|146115||Participant Support Student||MTDC|
|146190||Participant Support Vendor||MTDC|
|146800||CEOE Ship Charges||MTDC|
|153300||Subcontract Payments > $25,000||MTDC*|
|154200||Rental Cost of Offsite Facilities||MTDC|
|155200||RVSHARP Ship Charges||MTDC|
|16xx||Equipment > $5,000||MTDC||19xxx||Overhead & Credits||MTDC|
|Other (non-student miscellaneous wage and off-campus faculty)||7.9%|
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.
|Full-time Undergraduate Students||
Information on undergraduate tuition and student fees are available at the UD Billing and Collection Web site.
|Graduate Students Tuition Policy|
In order to achieve consistency in graduate tuition rates across programs and colleges at the University of Delaware, UD is implementing market-based tuition rates for all graduate students. More information on the UD graduate tuition policy and answers to frequently asked questions, as well as approved rates for tuition, room and board, and student fees are available at the UD Billing and Collection Web site.
There often exists a question over whether funds from a foundation or other (non-federal) organization are to be treated as gifts or sponsored awards. The two are very much intertwined. Awards may be received as either a gift or in the form of a sponsored agreement. In certain situations, a gift may be administered out of the Office of Sponsored Programs Administration, located in the UD Research Office, or jointly with the Development office; these determinations are made at the time of the solicitation/proposal.
For additional information download the documentation on Research-Related Gifts and Sponsored Agreements.
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 policy External Sponsorship and Grant.
In order for a proposal to be submitted, a proposal record must be created in the UD grants module system in order to originate a proposal approval form to route for approval of the proposal submission.
Proposal Guide F.A.Q. Click on the questions below to learn the answer.
Find the answer on our PI Eligibilty Web page.
A good starting point is our Funding Opportunities Web 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.
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 adminstrative 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.
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 UD Education Research and Development Center. 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.
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 section of the Researcher's Toolbox 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 email@example.com. Good luck with your research!
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 (effective 7/1/10)
• 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.
Send an E-mail to firstname.lastname@example.org. Provide the following in the body of the e-mail:
Name: Employee Name
Role Name: Identify Role Name*
*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
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.
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.