Vice President for Research & Development
Vice President for Research & Development
Introduction
The Office of Research and Sponsored Programs (ORSP), is a service unit that assists University faculty, staff, and graduate students in their research and creative endeavors. The unit is responsible for coordinating and stimulating research and creative activity at The University of Montana. Working with faculty and staff to increase external funding and to provide opportunities for professional growth is critical to the overall health of the University.
ORSP staff provide assistance with the processing of proposals, including administrative review and sign-off, and assist with the negotiation of external agreements. Assistance with the development of the proposal narrative and budget is also available. ORSP post-award responsibilities include institutional financial management of grants, contracts, and other externally funded agreements beginning immediately after the award.
All proposals which use the name and resources of The University of Montana, and which may result in an award to the University, must adhere to University procedures for submitting a proposal, accepting an award, and administering the project. This booklet outlines the process by which faculty and staff may seek out and engage in externally-sponsored activities or creative work while satisfying University requirements.
Funding Sources
Unit staff can assist in the earliest stages of proposal development by identifying potential sponsors for your project. ORSP maintains up-to-date reference books, reports, directories, guidelines and newsletters from federal, state, and private agencies which can be consulted with your project in mind. ORSP can help you broaden the pool of possible sponsors by discussing your proposal design with you.
If you have a sponsor in mind when developing a proposal, current information about the program deadline, the review process, allowable costs, past and present funding priorities, and agency personnel is available through ORSP.
Submitting a Proposal
Before a proposal may be forwarded to a sponsor it must receive administrative approval. Your proposal will be reviewed by appropriate academic and ORSP personnel for its compliance with various University, state and federal guidelines.
In order to expedite the administrative review process, a cover sheet, entitled the Checklist for Proposal Approval (Form RA-100), has been developed to ensure that a proposal is properly routed, documented, reviewed, and approved. The Checklist is an internal document and should neither be stapled nor bound to your proposal, nor should it be sent to the sponsoring agency. One copy of the proposal, with a final budget, and the completed Checklist should be on file in ORSP at least five working days before your proposal is due at a funding agency.
It is the responsibility of the principal investigator to provide the specified number of copies of the proposal to the sponsor in a timely fashion.
Proposal Preparation
A good proposal has at its core a good idea; it takes considerable time and effort to flesh a good idea into a solid proposal. In general, be prepared to address the following questions as you develop a concept paper or proposal:
It is important to discuss your proposal with your colleagues, department chair, or dean as you refine it. ORSP personnel are available to review and critique your proposal as time allows.
If you anticipate a financial obligation from the University as part of your request for funding, you should contact the Vice President for Research and Development as soon as possible.
Once you have identified potential sponsors, ORSP can secure program guidelines and application materials for you. You should read carefully and follow vigorously any instructions published by a potential sponsor. If such instructions are not supplied by the agency, the following organization of a proposal can be adopted:
1. need for the project;
2. project objectives and rationale;
3. project design;
4. feasibility of the project; and,
5. project timeline.
Private foundations and corporate sponsors often request brief (2-3 page) concept papers, often in the form of a letter. Such sponsors prefer to invite applicants to submit full proposals based on the appeal of the concept paper. A good concept paper is not merely a letter of introduction or inquiry, but should reflect the form a full proposal might take.
A key factor in the development of a proposal is the creation of a credible and intelligible budget. To allow ample time for revisions, involve ORSP staff in the development of your budget sufficiently in advance of the sponsor's deadline.
Budget Development
The elements of cost in a budget must be those necessary to accomplish the proposed activity. Cost estimates of individual line items should be carefully calculated so that the requested funds are adequate but not excessive. As you develop your budget, it is important to keep in mind that sponsored project costs fall into two broad categories: direct and indirect costs. Because the definitions of "direct" versus "indirect" costs vary at each institution, no blanket definitions of these two types of costs exist.
Generally speaking, direct costs are those which can be specifically identified with a single sponsored project. At UM these costs usually include salaries and wages, equipment, communication costs, materials and supplies, and project travel.
Indirect costs are those that are incurred in conducting sponsored activity at an educational institution. At UM, these costs include services provided to the principal investigator by Purchasing, Human Resource Services, and Business Services; the use of office or laboratory space, existing equipment, library services; heat, light, power and janitorial services; administrative time spent by academic units and by ORSP. Some projects require extensive use of the University's existing services and facilities; others involve minimal use. Few projects would be considered for funding by sponsors if the combined resources of the University were not at the disposal of the principal investigators.
If payment of indirect costs is not allowed by the sponsor, a copy of the sponsor's statement to that effect should be provided with the Checklist for Proposal Approval (Form RA-100). If the sponsor has an established indirect cost rate which is different from the UM federally audited rate, as is the case with agencies of state government, this too should be noted prominently on the Checklist. Since UM's indirect cost rate is negotiated with the U.S. Department of Health and Human Services, contact ORSP for the current rate before assembling your proposal budget or check the budget information.
A budget narrative should follow your itemized budget to fully identify and explain unusual items or activities. For example, the need for the use of consultant services, use of subcontractors or other collaborating organizations, or the necessity for foreign travel should be highlighted in the budget narrative. The payment of any salary as extra compensation should be detailed in a footnote at the bottom of the budget page.
Completing the Checklist for Proposal Approval
No proposal is complete without its identifying Checklist for Proposal Approval (Form RA-100). You must secure a copy of the Checklist form and prepare it during the final stages of proposal preparation.
Copies of the Checklist for Proposal Approval are available online, from ORSP, and through departmental offices; however, it is recommended that you download as needed to be sure you are always working with lastest version. If you are submitting your proposal to more than one sponsor, you will need to complete a Checklist for each submittal.
The following instructions correspond to the numbered sections on the Checklist:
I. General Information
Sponsor Submission Deadline - Indicate the deadline for proposal submission and whether it is a postmark deadline, arrival date, or electronic submission deadline. This information is used to prioritize Checklist review as the form arrives in ORSP.
Project Director - The project director (also known as the principal investigator or PI) is responsible for the performance and management of the project described in the proposal. The project director is usually the author of the proposal. A co-director, if specified, shares direct responsibility with the project director. Key project personnel are not necessarily co-directors of a project.
Project Title - Provide the complete project title.
Project Description - In layperson's language, give a brief statement of the project's purpose. Attach a separate page if additional space is necessary.
Sponsoring Agency - Provide the full name of the sponsoring agency unless it is very well-known by its acronym (e.g., NSF, NIH, NEH). For federal proposals, provide the Catalog of Federal Domestic Assistance Number (CFDA) you are applying under. This information is normally available in the program announcement or request for proposals. If the proposal is for a subaward, list the direct sponsor where UM will receive the funding from. The prime sponsor will be listed on page 2 of the checklist. Provide sponsor's address.
Period of Performance - The agency will specify an award period or require that you specify one. Check the guidelines carefully to see which applies.
II. Summary of Funds Requested
Budget - Information for this section is generated through budget development with ORSP staff; contact ORSP before you finalize your budget. Your proposal will not be administratively approved without an approved budget.
Budgeted F&A Costs - UM policy requires that Facilities and Administration (F&A) costs be included in all proposals at the maximum amount allowed by the sponsor's written policies. The PI must include a copy of sponsor policies disallowing or limiting F&A costs when applicable. The PI is not authorized to negotiate any reductions or variances from UM's approved F&A cost rates without prior written permission from the Vice President for Research and Development.
Cost Accounting Standards - The Cost Accounting Standards (CAS) in OMB Circular A-21 requires that all costs incurred for the same purpose, in like circumstances, be treated as either direct or indirect. If you will be treating costs that are generally considered indirect (such as, administrative/clerical support, general purpose supplies and equipment, telephone equipment, etc.) as direct costs, they must be explicitly stated in the sponsor-approved budget, and the explanation for the unlike circumstance must be included in the comments section.
III. Cost Sharing/Matching Information
Cost Share - This section must be filled out if you answered "yes" to the commitment of cost sharing, whether it is mandatory or voluntary. Any cost share requests should be discussed with the appropriate department head(s) and dean(s) well before proposal submission and before requesting cost share funding from the Vice President for Research and Development. Details of the cost sharing commitments and the funding source for the cost sharing must be provided. If additional space is needed you may use the attached cost share page. Information for this section is generated during budget development with ORSP staff. Inaccuracies will delay administrative approval of your proposal.
Third Party Cost Share - If a third party, outside of UM, will be providing any portion of the cost sharing, that amount should be noted here, and the source explained in the Comments section. Third Party cost sharing may be in the form of cash or may be in-kind contributions.
Program Income - If project includes program income (revenues generated from the project) the amount should be listed here, and a description of the sources for the income should be noted in the Comments section. Any expected program income should be included in the budget submitted to the sponsor.
IV. Facilities & Administration (F&A) Costs
Description of the F&A recovery on the proposal budget must be included here. If the recovery of F&A is limited by the sponsor, that documentation must be included behind the checklist. Distributions of earned F&A should be noted in this section, including any projects that are split between departments. Note that voluntary waivers of F&A costs and any special F&A distributions require approval by the Vice President for Research and Development.
V. Comments
This section is provided to allow any special comments needed.
VI. Items Requiring Special Approval
This section identifies any items that require additional approval and commitment of non-grant resources by your department chair, dean, or other institutional officer as appropriate. Typically these items include remodeling or providing additional space as part of a proposal, the purchase of equipment with non-grant funds as part of a proposal, or ongoing maintenance of equipment beyond the life of a sponsored program.
V. Procedural Information
VI. Review and Approval
All Project Director(s) and Co-Director(s) must sign and date the Checklist before routing it to the department chair(s), dean(s), unit administrator(s), and ORSP. The proposal must be administratively reviewed and approved by ORSP before it may be submitted to a potential sponsor. If there is more than one department involved, all appropriate chairs and deans must sign the Checklist for Proposal Approval.
Notice there is an additional tab at the bottom of the page that provides space for additional signatures as needed.
PI/Co-PI Signature: The PIs and Co-PIs signatures indicate their commitment to complete the project and all required reports. The PI/Co-PI is also certifying that the project is consistent with the mission and goals of the department and university, the project complies with all relevant institutional and sponsor policies and procedures, the completed Form RA-100 accurately reflects the commitments made in the proposal, and that if an award is made he/she will fulfill the terms and conditions of the award and will administer the project in compliance with all sponsor and university policies and procedures. Their signature(s) also indicate that they have read, reviewed, understand, and accept the responsibilities outlined in the document entitled, “The Role and Responsibilities of the Principal Investigator on Sponsored Projects,” (web address: http://www.umt.edu/research/pirole.htm)
Chair/Director Signature: This is the signature of the PIs and/or Co-PIs immediate supervisor. By signing, the supervisor indicates his or her commitment of the departmental resources necessary to complete the project. This includes cost sharing commitments from departmental resources and ongoing commitments of departmental resources beyond the life of the sponsored project, as well as agreement to the F&A distributions. In addition, this signature indicates acceptance of responsibility for any cost overruns or unallowable costs on sponsored projects. For multi-departmental projects, earned F&A may be distributed equally among the PIs/departments, or separate BIN#s may be established, and F&A would be distributed based on the direct costs expenditures. Any agreement to distribute indirect costs otherwise between the chair, dean or other authorized officials must be noted in Section IV of the checklist. Any additional explanations should be attached to this checklist and signed by the appropriate officials.
Dean/Executive Officer: This signature is for the Dean or Executive Officer responsible for the departments involved in the project. This signature indicates approval for school/college or executive level commitment of resources to this project. In addition, this signature indicates acceptance of responsibility for any cost overruns or unallowable costs on sponsored projects.
Administrative Approval: This signature is for the Provost, Associate Provost for Graduate Education, Dean of Continuing Education, Associate Legal Counsel or other administrative approval that may be necessary prior to submission of a proposal in accordance with UM Policy and the above guidelines.
Sponsored Programs: This signature indicates initial review and approval by Sponsored Programs staff prior to proposal submission.
Vice President for Research: This line is reserved for the VPRD, or his/her designee, and indicates final approval for the proposal to be submitted. Generally, this signature is provided by one of the VPRD's designees in ORSP.
Award Announcement
Typically a funding agency will notify ORSP regarding its decision on a proposal. Occasionally, however, the principal investigator is contacted rather than ORSP.
If you receive an award announcement, send the original award document to ORSP immediately. Many award agreements need to be negotiated due to budget adjustments proposed by the sponsor. All awards must be processed through ORSP before award acceptance.
Likewise, if you receive notice that your project was not funded, send a copy of that notice to ORSP. If not provided, you may request reviewers' comments on your proposal. ORSP staff may be able to suggest other potential sponsors.
Request for Modified Budget
If you receive an award announcement contingent upon a budget revision or modification, any changes made to your original budget must be routed through, and approved by, ORSP.
Project Management
Upon receipt of an award, ORSP reviews the award agreement and issues an Authorization to Proceed (ATP) form, after which an organization number (Org. No.) is assigned to the project. Once you have been notified of the Org. No., you may charge project expenses against the account, in accordance with the project start date and the approved budget.
Grants and contracts are awarded to the University, and the University is administratively responsible for the successful operation of projects. Administrative authority is delegated through the deans to the academic unit in which the principal investigator holds an appointment. ORSP assists unit administrators and the principal investigator in administratively fulfilling the contract or grant requirements and is responsible for financial accounting and expenditure reporting.
The technical requirements and the day-to-day administration of the project are the responsibility of the principal investigator, under the supervision of the department chair or dean. While each sponsor may have additional reporting requirements, in general it is the responsibility of the principal investigator to:
For more specific information on the role and responsibilities of the principal investigator, read the ORSP PI guide.
Forms and Policies
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Office of the Vice President
Research & Development
University Hall 116
(406) 243-6670
Fax: (406) 243-6330
