Summarized Steps to Writing a Grant Proposal by ilu15146


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									Grant Submission Process
You’ve identified a potential sponsor for your area of research; now it is time to write and submit your proposal. The pro-
posal preparation managers in the Office of Research and Sponsored Programs (ORSP) are highly trained and familiar
with the intricacies of applying for external funding. In general, the submission of a proposal for external funding can be
summarized in six easy steps:

           Inform of intent to               Submit budget
       submit with guidelines.          for ORSP approval.

                                                 Complete                          Complete
                                             sponsor forms.           transmittal form (TF).

                                                                           Submit proposal               Submit proposal
                                                                          and TF to ORSP.                before deadline.

The following information provides assistance with creating and submitting a grant proposal as identified in the steps
above, as well as answering any other questions related to the pre-award grant process. For further clarification or for
questions unanswered by this guide, consult the appropriate proposal preparation manager listed in the back of this guide.

Principal Investigator (PI)/Project Director (PD) Eligibility

                                                                                                                                  Grant Submission
When a proposal is submitted and/or accepted by OHIO for research or other sponsored activity, the University assumes
significant financial and legal obligations. Although projects are funded based on the expertise of the PI or PD, the formal
award is made to OHIO. The PI/PD of a project is an individual who has the primary responsibility for the technical compli-
ance, completion of programmatic work, fiscal stewardship of sponsor funds and administrative compliance of the project.
Given the magnitude of responsibility, the University has to ensure that the individuals serving in the PI/PD capacity have
the technical and administrative competence to carry out the sponsored project. OHIO considers individuals in the follow-
ing categories eligible for PI/PD status: Group I & II faculty, directors of university approved institutes, centers or
full time adminstrators.

On a case-by-case basis, in conjunction with the sponsoring agency, department chairs, school directors, and deans, the
following individuals may attain PI/PD status: Emeriti faculty, adjunct/visiting faculty, students (with eligible PI mentor),
post-doctoral fellows. In some cases, a sponsoring agency may have restrictions as to who may serve as a PI/PD on a
particular project or program that is more stringent than OHIO defines above. In these cases, the sponsor’s requirements
take precedence over the institutional procedure for that project. In the case where a sponsor may require, allow or expect
an individual to serve as a PI/PD, who under OHIO definitions would otherwise not be eligible, the individual will have a
tenure track faculty member serve as Co-Principal Investigator for internal purposes and assume responsibility for compli-
ance with sponsor and institutional requirements.

If a department chair or school director and dean are confident in the abilities of an otherwise ineligible individual to serve
as PI/PD, the department head, school director or dean may request that the Vice President for Research consider a
deviation from procedure. Such requests must be submitted in writing and contain a statement by the department head or
school director and dean that he or she will assume full responsibility for the actions of that individual in their capacity as
                   Guideline Interpretation

                   Once a decision has been made to apply for external funding, a PI/PD must review the guidelines or instructions for ap-
                   plication. This may come in hard copy form from a prospective sponsor or may be available on the sponsor website in a
                   downloadable and printable format. Faculty, staff and students must take the time to read this, as information pertaining
                   to font size, margins, page limits, eligibility, funds availability, budgeting, deadlines and delivery is contained in guide-
                   lines. Failure to address all the stipulations in the proposal guidelines most often results in an ineligible proposal that is
                   sometimes returned without review. In all instances, a PI/PD should provide his or her respective ORSP manager with a
                   copy of the proposal guidelines or a link to the funding agency’s website for specific proposal preparation instructions. The
                   proposal preparation managers at ORSP are well trained at interpreting guidelines that are often highly specific and some-
                   what confusing. They deal with many programs on a consistent basis and can offer advice based on previous submissions
                   from OHIO, which may not be included in the guidelines.


                                         Failure to address all the requirements in proposal guidelines often results
                                             in an ineligible proposal that is sometimes returned without review.
                                                            READ THE GUIDELINES THOROUGHLY!

                   Timeliness of Submissions

                   The ORSP can be a highly valuable resource to faculty, staff and students provided that ample time is allotted for as-
Grant Submission

                   sistance. Contacting the manager assigned to your home unit in advance allows him or her to schedule and devote ample
                   time to assist you. Ohio University policy #19.050 requires that 48 hours advance notice be provided to ORSP by investi-
                   gators applying for external funds. This timeline allows for projects to be prioritized, form preparation and signatures to be
                   completed, a budget to be created and/or approved and format approved either in paper form or electronically. Failure to
                   give ample notice may result in a late submission or a withdrawal of a proposal with inaccurate budgets or university infor-
                   mation. If one week or more notice is given, along with a complete package for submission, ORSP will gladly submit your
                   proposals and any copies required through certified US Mail on your behalf. Submission of proposals with short notice
                   requiring overnight delivery are the responsibility of the PI/PD.


                                          With one week’s notice, ORSP will gladly make any required copies and
                                                    submit your proposal to the sponsor via US Mail.

Budget Preparation

 OHIO’s external federal awards are governed by the US Office of Management and Budget Circulars A-110 and A-21. Cir-
 cular A-110 sets forth instructions for uniform administration of federal grants for institutions of higher education. Circular
 A-21 dictates the cost principles related to grants and contracts. This document identifies categories of expenditures that
 are allowable and unallowable on grants and contracts. Federal cost accounting standards require that the management
 of restricted funding be standardized at OHIO. As a result, the University applies the same fiscal principles to all grants
 and contracts, regardless of their source of funding.

 Often an excellent starting point in writing your proposal is to determine your financial needs. If a potential sponsor, in
 its proposal guidelines, limits the amount of funds available, your research goals must be tailored to meet those limits.
 If there are unlimited funds available for your proposed project, your assigned pre-award manager will work with you to
 translate your research or project goals into a proposed budget that will allow you complete those objectives.

 Budget accuracy is highly important when submitting a proposal to a potential sponsor. Should the proposal be funded,
 some sponsors allow for very few changes from the proposed budget. Some sponsors allow for a great deal of flexibility
 without prior approval. When developing your budget, working with your ORSP manager will be of great assistance as
 he or she can assist you in identifying which sponsors have stringent budget revision guidelines should the proposal be
 funded. In addition to the managers being an excellent resource, the ORSP staff has posted budget templates in Excel
 form that are updated as rates and policies change:

 Some federal agencies are adapting “modular budgets.”              modular budget: a non-detailed budget in
 These sponsors do not require that you detail each of              increments of $25,000, only allowable if
 your costs at the proposal stage, but rather, estimate             specified by the sponsor.

                                                                                                                                        Grant Submission
 the cost of completing your proposed project based on
 $25,000 increments. While this allows for great flexibility, it is important to note that in order to estimate how many mod-
 ules are needed, you will need to begin by creating a detailed budget. This is especially helpful, as many sponsors often
 request the budget detail at the time of award.
            R   GE T

                          Modular budgets do not eliminate the need for a comprehensive budget planning process.

                          OHIO requires a budget detailed enough to satisfy general ORACLE FMS categories.

When budgeting for a project, a PI/PD must mesh OHIO policy and procedure with sponsor guidelines. The following
expenditure categories are accounted for in OHIO’s financial management system. Definitions and subcategories can be
found at: Of these, sponsor policy dictates the allowability of such

                       • Salary and Wages                                     • Postage
                       • Fringe Benefits                                       • Telephone (long distance only on grants)
                       • Other Personal Services                              • Miscellaneous (e.g.- animal costs, room & board)
                         (e.g. – consultants, honoraria, service contracts)   • Participant Costs
                       • Supplies and Materials                               • Scholarships
                       • Travel (International & Domestic)                    • Subcontracts
                       • Communication                                        • Repair and Maintenance
                         (e.g.- publications, membership dues, advertising)   • Equipment
                       • Printing (including photocopying)                    • Indirect costs

                   Salary and Wages

                   When considering whether to request external funds to support your salary or the salary of a graduate student, technician,
                   etc., you should first consult your program guidelines. In certain instances, sponsors dictate that principal investigators or
                   their staff may not include salary as part of the proposal. For those sponsors that allow salary to be included in a proposal,
                   several federal guidelines and university policies must be meshed to calculate the amount to be requested.

                                      R   GE T

                                                 Federal regulations prohibit compensating persons on grants greater than 100% of their

                                                 time, unless officially approved in writing by a sponsor.

                   Federal regulations prohibit compensating persons on grants greater than 100% of their time, unless officially approved
                   in writing by a sponsor. That means, should you include salary time on your grant for the academic year, your contract
                   with OHIO will be modified to temporarily reduce the portion that the university pays by the amount corresponding to the
                   percentage of time funded by the grant. At no time shall payment from a federal grant exceed 100% of your faculty base
                   salary. Effort exceeding 100%, referred to as “overload” by OHIO, is prohibited on federal grants and is dealt with later in
                   this section.
                                                                                          release time: used level of effort for which
                   Faculty members who are subject to a nine-month appoint-           you have been contracted during the aca-
                   ment are eligible to receive up to three months of summer          demic year in order to devote more time to
                   salary, depending on sponsor regulations. The National Sci-        your research project.
                   ence Foundation, for example, limits summer salary requests
                   to two months, whereas the National Institutes of Health allow for three to be requested. Some sponsors require time
                   commitment to be expressed as a percentage. A PI/PD may discover that the work proposed in an application requires
Grant Submission

                   that his/her teaching load be reduced during the academic year to accommodate travel plans for the research or to devote
                   more time in order to achieve the goals and objectives set forth in the proposal. Sponsors will pay for this effort, which,
                   the university deems “release time.” In order to accomplish this, however, the PI/PD must obtain approval of such release
                   time from academic year duties from his/her chair or director and dean. This is done through the signature process of the
                   Transmittal Form, which is discussed later in this section.

                                                    The National Science Foundation (NSF) only allows for requests of two
                                                   months of summer salary for 9-month appointed faculty members. Every
                                                   sponsor has different rules, so check the budget allowability guidelines!

                   Now that you’ve decided upon a time commitment, you need to calculate the corresponding dollar value of that time. The
                   rate of pay on grants and contracts must be calculated on an individual’s regular base salary. Although you may not be
                   employed in the summer at OHIO, you may not charge more than what you would make during the academic year. Simi-
                   larly, if you happen to hold a department chairperson, school director or dean appointment, you may not use the admin-
                   istrative add-on compensation as part of your regular salary base for calculation purposes. This addition of duties usually
                   increases a nine-month appointment to an eleven or twelve month appointment. When calculating how much to request
                   from a sponsor, you must also keep in mind inflation factors (sometimes limited by sponsor). OHIO applies cost of living
                   adjustments and merit raises when appropriate each July. So, if you are applying in January for a grant to begin paying
                   you in July, you will need to increase your base pay by 3-5%, depending on university climate and sponsor regulations.
                   When budgeting, remember to inflate salary for each succeeding year. For assistance in calculating salaries, you may
                   refer to a “Salary Cheat Sheet” linked here: Please refer
                   to the following examples that illustrate the text above:
           Joe Bobcat, PhD, Assistant Professor on 9-month appointment of $50,000/year, wants to request two
           months of summer salary from NSF beginning next July:

                                           $50,000 x 1.03%    = $51,500
                                           $51,500 / 9 months = $ 5,722 per month
                                           $5,722 x 2 months = $ 11,444

           So, if Dr. Bobcat wants NSF to fund two months of research in the coming summer, he would have to
           request salary of $11,444.

           Joann Bobcat, PhD, Professor and Chair of Linguistics, hired in 1981, is on an 11-month appoint-
           ment at $80,000/year, with $10,000 of that for her chairperson duties. She wants to request 3 months
           academic release time from NIH for March, April and May of the next year.

                                           $70,000 x 1.03% = $72,100
                                           $72,100 /11 months= $ 6,555 per month
                                           $ 6,555 x 3 months = $19,665

           So, Dr. Bobcat must request from NIH $19,665 for her release time.

                                                                                                                            Grant Submission
           John Bobcat, PhD, Post Doctoral Fellow on a 12-month appointment at $45,000/year, wants to re-
           quest 45% release time from the US Department of Energy to participate in an international collabora-
           tion this fiscal year.

                                           $45,000 x 45%        = $20,250

           Since John is participating in the meeting this year, there is no need to inflate his salary. A straight
           percentage of his 12-month appointment will suffice for calculation of salary.

                     On multi-year proposals, be certain to adjust salary rates for each succeed-
                      ing year by 3%. If tenure approval or promotion is expected in one of the
                                        succeeding years, budget accordingly.

As a general rule, secretarial support may not be proposed in a grant budget. These pooled costs of support are funded
through the university’s recovery of indirect costs on grants. An exception to this rule may be granted if the support is
directly related to the grant (e.g. – a Center that is financed strictly through grant funds or a significant

percent of secretarial effort is required for a short duration). Examples and definitions of salary and wages can be found

                   Fringe Benefits

                   Any support for salaries being requested from a sponsor must include corresponding fringe benefits. With the excep-
                   tion of graduate students and undergraduate students (provided that they are enrolled for a minimum of 5 credit hours
                   for graduate students and 6 for undergraduate students, per quarter, including summer), which only require worker’s
                   compensation benefits to be included, all other employees (staff or faculty) must have retirement contributions, Medicare
                   (for those employees hired after 1985), and worker’s compensation. The above fringe benefit categories are charged as
                   a percentage of the salary amount requested. Please note that the retirement percentage for faculty members who con-
                   tribute to State Teachers Retirement System at OHIO is different than that of staff, who contribute using the Ohio Public
                   Employee Retirement System rate. Even if you’ve opted for an alternative retirement, these contribution rates remain the
                   same. The remaining fringe benefit is group health insurance. This is a flat rate fringe benefit that the University pays from
                   October through June. If you are on a 9-month appointment, and requesting summer salary compensation from a spon-
                   sor, you do not need to include this benefit. If, however, you are on an 11 or 12-month contract, or are requesting salary to
                   cover release time during the contract period, you must prorate the annual health care cost (over 9 months) and include
                   that in the fringe benefit section.


                                             If you are budgeting for someone on a 9-month appointment who is
                                             requesting summer salary, health insurance need not be budgeted.

                   Rates can change annually, especially healthcare. When budgeting for multi-year grants, please increase health insur-
Grant Submission

                   ance costs by 5-10% for each of the succeeding years beyond the first. Please refer to this web address to find the most
                   current fringe benefit rates approved by OHIO’s Vice President for Finance and Administration:
                   orsp/orsp_SBER.html. A quick reference guide is available at the bottom of the linked page.

                              Joe Bobcat, PhD, Assistant Professor on 9-month appointment of $50,000/year, wants to request two
                              month of summer salary from NSF beginning next July:

                                                            $50,000 x 1.03%    = $ 51,500
                                                            $51,500 / 9 months = $ 5,722
                                                            $ 5,722 x 2 months = $ 11,444

                                                            $11,444 x 16.155% = $ 1,849
                              (16.155% represents 14% STRS retirement rate, 1.45% Medicare rate & 0.7052% Workers compensation rate)

                              No health care is assessed in this instance because Dr. Bobcat is requesting support for summer sal-
                              ary, which does not require health insurance to be paid in the summer.

          Joann Bobcat, PhD, Professor and Chair of Linguistics, hired in 1981, has an 11-month appointment
          at $80,000/year, with $10,000 of that for her chairperson duties. She wants to request 3 months aca-
          demic release time from NIH for March, April and May of the next year.

                                         $70,000 x 1.03% = $72,100
                                         $72,100 /11 months = $ 6,555
                                         $ 6,555 x 3 months = $19,655

                                         $19,665 x 14.705% = $2,892
                                         (14.705% represents 14% STRS retirement rate & 0.6719% workers compensation rate)

                                         ($8448 / 9) x 3         = $2,816 (rounded to nearest dollar)
                                         (health care insurance FY05-06 (rates change each year))

                                         subtotal fringes        = $5,708

          Since Dr. Bobcat was hired prior to 1985, Medicare fringe benefits are unnecessary. Because Dr.
          Bobcat is requesting funds in order to release her from her regular university duties during the aca-
          demic year, health care insurance has been assessed for that portion of time.

          John Bobcat, PhD, Post Doctoral Fellow on a 12-month appointment at $45,000/year, wants to re-
          quest 45% release time from the US Department of Energy to participate in an international collabora-

                                                                                                                                  Grant Submission
          tion this fiscal year.

                                         $45,000 x 45%           = $20,250

                                         $20,250 x 15.580% = $ 3,155
                                         (15.580% represents 13.42% PERS retirement rate, 1.45% Medicare

                                         rate & .7052% workers compensation rate)

                                         $8,448 x 45%            = $3,802 (rounded to nearest dollar)
                                         (health care insurance FY05-06 (rates change each year))

                                         subtotal fringes        = $6,957

          Although Post Doctoral Fellows may assume many of the same duties as a faculty member, they pay
          into the Public Employees Retirement System, not the State Teachers Retirement System. In this
          example, health insurance was also charged since John is requesting release time from his normal

In the rare instance that fringe benefits are unallowable on a proposal for external funds, the PI/PD must inform their chair/
director and dean and provide an alternative source of funds to cover the expenses incurred in writing to the ORSP. In cas-
es where fringe benefits are omitted or calculated incorrectly and charges of salary are made on an awarded proposal, the
actual amount that is needed to satisfy OHIO policy is automatically charged. Unless the funding agency restricts the real-
location of proposed funds without prior written approval, this automatic fringe benefit charge results in a reduced amount
of funds available for other expenditure categories proposed. In the case of agency restriction, the PI/PD must garner funds
for the fringe benefits from another source such as a department account, dean account or research incentive account.
                                     R      GE T

                                                   In cases where fringe benefits are omitted or calculated incorrectly and charges of salary are

                                                   made on an awarded proposal, the actual amount that is needed to satisfy OHIO policy is auto-
                                                   matically charged. Unless the funding agency restricts the reallocation of proposed funds without
                                                   prior written approval, this automatic fringe benefit charge results in a reduced amount of funds
                                                   available for other expenditure categories proposed.

                   The inclusion of release time in a proposal means that the salary and wages plus fringe benefits requested from a spon-
                   sor releases the funds already committed by the university to pay you. These funds that have been freed up are used
                   to hire a replacement faculty or staff member or an instructor to carry out those duties that cannot be completed in your
                   absence, such as classroom instruction. In some cases, a chairperson or dean may not be able to locate someone to
                   replace you in your release time that they have approved. In this case, they may offer you the chance for an “overload”
                   contract. It is deemed overload because it is a contract that compensates you for work over and above your institutional
                   commitment. Definitions can be found at .

                   Overload Appointments

                   As stated earlier, at no time shall payment from a federal grant exceed 100% of your base salary, unless approval is
                   received in writing from a sponsor. That being said, the state funds that have been set aside for compensation from your
Grant Submission

                   university appointment that are then released back to the college as a result of incoming grants funds, can be used to
                   compensate you for greater than 100% effort. This “overload” contract is for the duties assumed (e.g.- teaching) that you
                   were already released from with the acceptance of your grant.


                                                   Overload contracts paid using grant funds are unallowable. Overload con-
                                                   tracts can only be paid using university operating accounts. Application of
                                                   the overload rule differs by department/college. Consult your chairperson/
                                                                      school director for more information.

                   If you are on a nine-month appointment, the three months in the summer are not considered overload. Any effort above
                   100% during your full time appointment is considered overload. While there is no defined standard about what full time
                   is, the generally accepted principle is that 40 hours per week is full time. It is highly important to remember that the ac-
                   ceptance of this “overload” cannot diminish your attention to and effort on your proposed project. The use of “overload”
                   contracts is discussed in more detail in the Ohio University Faculty Handbook:

                                     R      GE T

                                                   It is highly important to remember that the acceptance of an “overload” cannot

                                                   diminish your attention to and effort on your proposed project.

Other Personal Services

Expenditures related to consultants, honoraria, service contracts, non-employee travel ( for example) fall under what
OHIO deems other personal services. Sometimes sponsors will also use a term similar for such cost items. It is important
to note that any person on an OHIO contract cannot be a consultant. These people may perform a service similar to that
of a consultant, but they must be included in the budget as personnel with the appropriate fringe benefits assessed. The
use of consultants is discussed in a later section. Definitions of categories under Other Personal Services can be found at:

Supplies and Materials

OHIO defines a supply as anything that is expendable (a useful life of less than one year) and costs less than $2500 per
item. If, for example, 1000 beakers are purchased at ten dollars per item, this would be categorized as a supply expendi-
ture because each beaker was less than $2500. Or, you
                                                                  OHIO defines a supply as anything that is
could purchase $5000 worth of a gas to be burned in an
                                                                  expendable (a useful life of less than one
experiment, but because the useful life of the gas is less
                                                                  year) and costs less than $2500 per item.
than one year, it is considered an expendable supply. If
a computer system, however, is purchased with various pieces costing less than $2500 individually, but with a cumula-
tive cost greater than $2500, it is still considered equipment, as it is purchased as a system. In addition, unless large
quantities of expendable supplies such as paper, envelopes or toner will be used for project tasks like a mailing or survey,
general office supplies are not to be included in grant proposals. Office supplies should be purchased for the department
through funds recovered via indirect costs.Definitions of supplies can be found at:

                                                                                                                                Grant Submission
This expenditure category is strictly for travel costs related to OHIO employee travel, not visitors or guests of OHIO
employees. Sometimes a granting agency will restrict the use of funds and only allow domestic travel. Please consult
your program guidelines to see if this is applicable to your proposal. Although OHIO considers travel to both Mexico and
Canada as foreign travel, individual funding agencies may not. The National Science Foundation, for example, considers
travel to Mexico, Canada and other US Territories as domestic. Please consult your program guidelines for more informa-
tion regarding the allowability of foreign travel. If business meetings are a part of your proposed budget, the costs associ-
ated with this (e.g. – room charges, food and non-alcoholic drinks) fall under the expenditure category of travel.


                      The National Science Foundation, considers travel to Mexico, Canada and
                                         other US Territories as domestic.

Travel forms for the purpose of estimation of costs can be found at
xls. Please check the Vice President for Finance and Administration website for current mileage determinations and per
diem rates. Definitions of travel can be found at:


                   There are several subcategories used in the University’s financial system that fall under the communication se-
                   ries. These are discussed briefly below, with definitions available at

                             General Communication and Information – Items here include publication costs, professional member-
                             ship dues and advertising. PI/PD’s must be sure to consult their program guidelines before requesting
                             funds, as some sponsors will not fund professional membership dues. Subscriptions to journals and
                             relevant scientific publications that are beneficial to the project may be allowable by the sponsor. Be
                             sure to consult the program guidelines before including such a request in your proposed budget.

                                       Some sponsors will not fund memberships to professional organizations. Be
                                            certain to consult your guidelines before including such a cost.

                             Telephone – Long distance telephone charges may be requested in a grant proposal. Local telephone
                             lines and charges may not be requested because these costs are covered as part of the indirect cost
                             recovery requested of sponsors.

                             Printing – Large quantities of photocopying (e.g. – surveys, bulk mailings) or special printing projects
                             fall under this subcategory of communication. General photocopying costs should not be requested in
Grant Submission

                             a proposed budget as those costs are part of the university’s indirect cost recovery on external funds.

                             Postage – US mail and courier services costs that may arise during the period of your proposed work
                             may be requested. These costs may be associated with the shipment of goods and materials, gasses,
                             documents to and from the sponsor or a collaborator. Please plan accordingly as large quantities of
                             materials may require significant courier costs.

                   Repair and Maintenance

                   Should a piece of equipment vital to the successful completion of your proposed project need to be repaired, a sponsor
                   may allow for the use of grant funds to complete the repair. If you know in advance that a piece of equipment requires
                   annual maintenance, it is appropriate to include these charges (or a reasonable portion of the annual cost) in your budget
                   request from a sponsor. Definitions of repair and maintenance can be found at:


The expenditure category of miscellaneous has a number of subcategories that the OHIO financial management system,
as well as a number of sponsors, track separately. Please consult your program guidelines to determine how to represent
these common grant costs for your proposal:

                Miscellaneous – This is an actual subcategory used for items such as animal care costs (including
                animal housing) and room and board for students/visitors. Scientists often consider animals as a
                supply, which is correct; however, costs associated with the housing, care and disposal of animals
                must be included in your grant proposal. For more information, visit the Compliance with University
                Policies section of this handbook, or the Office of Compliance website linked here: http://www.ohiou.
                edu/research/compliance/. Lodging on campus for participants or visiting scholars falls under the
                subcategory of room and board and will fall under the miscellaneous expenditure category.


                            If you are using animals as a part of your research, you must include care costs
                             that allow for your animals to be housed, fed and disposed of when necessary.

                Scholarship – Should you request tuition to          stipend – payment to a student for work
                support a graduate or undergraduate student to       performed on a grant or other activity
                be employed on your grant should it be funded,

                                                                                                                                 Grant Submission
                the appropriate amount of tuition should be          scholarship – this is a waiver of tuition that        is
                included. Indirect costs are not assessed on         required to attend Ohio University.
                scholarships. Scholarship is the tuition required
                for a student to attend OHIO. When budgeting for tuition on a grant, be certain to anticipate a 5-6%
                increase for each succeeding year. A stipend, on the other hand, is payment to a student for work
                performed on a grant or other sponsored project. This is handled as salary for a student and requires
                certain fringe benefits as discussed above in Salaries and Fringe Benefits in this section.

                OHIO recommends that PI/PD’s request tuition from a sponsor that allows such costs. In the event
                that tuition is not an allowable cost on a grant, OHIO may provide tuition waivers for each quarter that
                a stipend is funded through external sponsorship. For more information, please consult policy 19.050
                and the Associate Provost for Graduate Studies eligibility criteria and procedure linked here: http://
       The university’s tuition waiver policy and the pay-
                ment of graduate students on grants are can be found in coming sections.

                 R   GE T

                            OHIO recommends that PI/PD’s request tuition from a sponsor that allows such

                            costs. In the event that tuition is not an allowable cost on a grant, OHIO may
                            provide tuition waivers for each quarter that a stipend is funded through external

                             Human Subject Payments – For researchers completing experimental or clinical research involving
                             the use of human subjects, you may be able to ask a sponsor for funds to be used for paying humans
                             for their participation in a study. Institutional Review Board approval must be given before a study
                             can begin and payment be made. For more information on how to pay human subjects, consult the
                             Personnel section of this handbook.

                             Participant Costs - Participant support costs are    Participant support costs are those costs
                             those costs paid to (or on behalf of) participants   paid to (or on behalf of) participants in
                             of meetings, conferences, symposia, and work-        meetings, conferences, symposia, and
                             shops, when there is a category for participant      workshops. A category for participant
                             support costs in the award budget. These costs       costs must exist in your approved bud-
                             can include registration fees, travel allowances,    get. These costs are not assessed indirect
                             manuals, supplies, tuition and stipends. These       costs.
                             costs are not subject to indirect costs.

                             Subcontracts – If you are planning on col-
                             laborating with another institution or business, you must include subcontract funds as a part of your
                             proposed budget. Indirect costs (discussed below) are only assessed on the first $25,000 of the life
                             of each subcontractor in the proposal. For more information on subcontracting, please refer to the
                             Subcontracts/Consultants portion of this section in the handbook.

                             Indirect Costs – OHIO considers indirect costs as a miscellaneous cost. Sponsors most often sepa-
Grant Submission

                             rate this cost from other miscellaneous cost categories. For more information on the use of indirect
                             costs in a proposal, consult the Indirect Cost section below.

                   Indirect Costs

                   Ohio University has a negotiated indirect cost rate agree-       Modified Total Direct Cost (MTDC) Base: To-
                   ment with the US Department of Health and Human                  tal direct costs less equipment, scholarship,
                   Services                participant costs, subcontracts over $25,000
                   htm. Also referred to as Facilities and Administration Costs     and patient care costs charges.
                   or Overhead, these costs, if allowed by the sponsor, must
                   be included in your proposal. The indirect costs recovered are used by the university for items such as pooled secretarial
                   and technical support, utility and building fees, and general office supplies. Because the maintenance of buildings and
                   administrative support are crucial for ongoing research, all proposals for external support of research and other sponsored
                   programs must include the maximum recovery of indirect costs allowed by the sponsor.

                   Indirect costs are assessed as a percentage of all direct costs associated with the proposed project less equipment charg-
                   es, scholarship, participant costs, subcontracts over $25,000 and patient care costs. Total project costs, less any of the
                   above costs, are considered a Modified Total Direct Cost base. It is on this base that indirect costs should be assessed.
                   In few instances, indirect costs can be taken on the above categories. Please contact your ORSP proposal preparation
                   manager for more detail. The example below illustrates how to assess indirect costs in a budget:

                                               Supplies             $10,000
                                               Travel               $ 5,000
                                               Printing             $ 1,000
                                               Equipment            $15,000

                                               Total Direct Costs   $31,000
                                               MTDC           $16,000 ($31,000 - $15,000 (equipment))
                                               Indirect Costs $ 7,520 ($16,000 * 47%)
                                               TOTAL PROJECT $38,520

ORSP will accept a reduction or cost sharing of indirect costs on a proposal if there is sufficient information in writing, that
is publically available, indicating that this is the standard practice from a sponsor. All reductions or cost sharing via waiver
on a proposal to sponsors willing to accept full indirect costs require a written request to the Director of ORSP two weeks
prior to the submission of the proposal. Failure to get endorsement on a proposal with reduced or waived indirect costs
in a budget may result in the withdrawal of that proposal, or if funded, a rebudget of direct funds to cover the shortage or
a different research incentive (Awards Management section) distribution formula. The Vice President for Research has
established several pre-approved reductions of indirect cost rates. For more information see policy #19.053.

               R   GE T
                          All reductions or cost sharing via waiver on a proposal to sponsors willing to ac-

                          cept full indirect costs require a written request to the Director of ORSP two weeks

                                                                                                                                   Grant Submission
                          prior to the submission of the proposal.


OHIO defines equipment by using a threshold of $2500 or greater and having a useful life of one year or more. In many
cases, the federal agencies may define equipment by a threshold of $5000. In all of these cases, they will defer to the
university policy of the lower threshold. Equipment purchased on grants is subject to Ohio University policy #19.055 and
is discussed again in the award management section of this handbook. Equipment purchased using grant funds is not
subject to indirect costs. For information on the different categories of equipment, please visit:

The ORSP managers are very experienced in budget-               OHIO defines equipment by using a thresh-
ing for external support of programs. It is recommended         old of $2500 or greater and having a useful
that you think about the above expenditure categories as        life of one year or more.
they relate to your proposed scope of work and contact
your assigned manager to begin the budget creation process. All proposal budgets must be approved prior to receiving
an endorsement from the ORSP Director. Once the budget has been created in-house, it often has to be adapted to a
sponsor’s form or format. The completion of this form, along with other forms, which may or may not require a signature, is
a primary service of the managers.

                   Subcontracting and Consulting

                   Subcontracting to Another Entity
                   There may be a time when you are asked to participate in a proposal with a colleague from a different institution who is
                   applying for a grant. If the joint effort will result in credit to a publication and a significant portion of effort, your work will be
                   categorized as a subcontractor. Most institutions or businesses that are conducting services that are vital to the outcome
                   of the proposed project will be a subcontractor. If you are being asked to contribute your expert opinion for a very limited
                   time, for example, you will be considered a consultant to the project. At no time can you be a consultant if you are us-
                   ing university resources to complete the portion of work assigned to you.

                   If you are asked to be a subcontractor on a proposal, you must obtain approval to participate from ORSP. This will be
                   treated as a proposal to an external sponsor, most likely a corporation or another university. Before approval can be given,
                   you will need to provide an ORSP approved budget, transmittal form, and a letter of collaboration, signed and generated
                   by the ORSP Director. In some cases, you may also need prime sponsor forms completed and signed by the ORSP Direc-
                   tor. An ORSP manager will assist you with the creation of budgets and required paperwork for sponsors.

                   If you leave OHIO, and wish to collaborate with another OHIO employee on a grant or contract, you may not act as a con-
                   sultant to OHIO before a two-year separation window has lapsed. You may, however, subcontract to the university through
                   your new institution.

                                     R   GE T

                                                If you choose to collaborate with another who is a former OHIO employee with

                                                a separation date of less than two years, he or she may not act as a consultant.
                                                You may, however, subcontract with that person’s new institution or company.
Grant Submission

                   Subcontracting with Another Entity
                   If you are creating a proposal and wish to use the services of a colleague from a company or another institution you will
                   need to include a subcontract budget with your proposal. In addition, many sponsors require a curriculum vita for each
                   subcontracting senior personnel and completed university/business authorized documents. At OHIO, we require that you
                   provide, at a minimum, a detailed budget, letter of commitment (signed by the authorizing institutional official, not the
                   PI/PD), statement of work and any applicable, endorsed sponsor forms. For more information, consult policy 19.050.

                   When budgeting for subcontractors, the subcontracting entity must be sure to include its indirect costs as a part of its
                   total budget. Federal rules allow for OHIO, as the lead institution, to collect indirect costs on the first $25,000 on the life of
                   each subcontract. These costs are used to defray the costs of managing a subcontractor. Any amount over the $25,000
                   threshold is not assessed indirect costs.


                                                  Subcontractors to OHIO need to include their indirect costs as part of their
                                                           total estimated costs to complete the work assigned.

Use of Consultants
If you are in need of a service or specialization that cannot be found at OHIO, you may use a consultant on your project.
After an award has been made to OHIO, ORSP managers will work with you to create a legally binding agreement to
conduct work on your grant. Please remember that if you are planning to use another OHIO employee, he or she cannot
act as a consultant on your grant. If you are planning to use a former OHIO employee and his or her separation date from
the university is less than two years, he or she may not be used as consultant, but you may use him or her as a subcon-

                              An Ohio University employee cannot be a consultant on your grant. If their
                             services are needed, they must be budgeted for as an employee, inclusive of
                                                     all applicable fringe benefits.

Cost Sharing

Cost sharing or matching funds are cash or in-kind com-             Cost sharing or matching funds are cash or
mitments from the University or a third party for which the         in-kind commitments from the University
University is responsible for tracking. Cost share is only          or a third party for which the University is
appropriate when mandated by a sponsor with such a                  responsible for tracking.
mandate in writing in the proposal guidelines. When cost

                                                                                                                                 Grant Submission
share is required, in-kind services such as time and effort of faculty or cost shared indirect costs must be used before
cash is committed. If a third party is contributing, a letter of commitment from an authorized official of the third party must
be given to the ORSP before endorsement will be given to a proposal. Each party at OHIO committing the cost share
must sign off on the transmittal form before the ORSP approval will be given. In addition, should a university cash match
be used, a valid university account number must be provided. Some examples of unallowable cost-share are already
purchased equipment, office space and administrative personnel time.

                 R   GE T
                            Cost share is only appropriate when mandated by a sponsor with such a mandate

                            in writing in the proposal guidelines. When cost share is required, in-kind services
                            such as time and effort of faculty or cost shared indirect costs must be used be-
                            fore cash is committed.

Form Preparation
From the smallest grant to the largest, some variety of forms must be completed. In most cases, these forms contain
budget information, PI/PD information, institutional information, project information and an institutional endorsement. The
ORSP proposal preparation managers are intimately familiar with information that is needed to complete the necessary
forms for submission and acceptance of a proposal. The ORSP has created a proposal aid website http://www.ohiou.
edu/orsp/budget/sponforms.html which houses a number of sponsor forms that are already pre-filled with institution
identifying information. More recently, the required forms are part of an electronic proposal submission process. The
ORSP managers are available to assist you with electronic submissions and may need to set up the PI/PD with access to
a particular system. Please contact your designated ORSP manager in advance of an electronic deadline as registration
with a system may be necessary.

                                                   Many electronic submission systems require OHIO to pre-register before a
                                                 proposal can be accepted into their system. Please consult your assigned pre-
                                                award manager to obtain access and assistance with using the specific system.

                   In many cases, program guidelines or a request for proposal offer instruction and definition of terms that will assist in the
                   completion of the forms. When there is clarification needed, the ORSP managers can provide guidance and assistance.
                   Some common institutional identifiers used on forms can be found at:
                   htm, or in the Frequently Asked Questions section of the handbook. With the assistance of ORSP, you’ve now completed
                   a budget, your proposal and any applicable sponsor forms. The last step before your proposal is submitted through the
                   mail or electronically is the completion of Ohio University’s internal Transmittal Form for Proposal Review and Approval.

                   Transmittal Form for Proposal Review and Approval

                   This internal document can be accessed at A Transmittal Form is re-
                   quired for each proposal that is submitted for external support. One is also needed for supplemental funds that are being
                   added to an existing grant or contract. Information provided by you on this form helps ORSP maintain a database that can
                   be queried at any time, such as for tenure review, or to report on an individual, department or college level’s external sup-
Grant Submission

                   port record. Because your department chairperson/school director and dean are responsible for performance and growth
                   at OHIO, they are required to endorse each project for which external support is sought.

                   Instructions for completion of this form are available electronically at, or
                   you can refer to the information on the following pages in the your completion of the Transmittal Form.

                                     R   GE T

                                                A Transmittal Form is required for each proposal that is submitted for external support.

                                                                                                                           Section 1


                                        4                                                            5

Basic Contact Information for Lead PI/PD: Lead
PI/PD name first followed by Co-PIs. Student name
                                                              6   5 Choices:
                                                                  New (new proposal to a sponsor)

                                                                                                                                         Grant Submission
required on student support proposals only. Include               Resubmission (resubmission of a proposal to a
affiliation with a University approved Center or Insti-                 sponsor that was previously rejected by the
tute as applicable. UT # is assigned by ORSP at time                   same sponsor)
of submission.                                                    Preliminary (also called pre-proposal or white-
                                                                       paper - this is usually an abbreviated pro-

                                                                       posal. Should the preliminary proposal be
Project title as proposed to sponsor.                                  accepted by the sponsor, you will be asked
                                                                       to submit a full proposal)

                                                                  Supplement (a proposal to add additional funds
Full Name of Sponsor (no acronyms, please). Spon-                       from the sponsor to an existing grant)
sor is from whom OHIO will directly receive funding. If           Renewal (a proposal to renew/continue an exist-
OHIO is a subcontractor, the sponsor may be another                     ing proposal through the next grant cycle)

institution, not an agency.

                                                                  5 choices:
The date the proposal is due to the sponsor. Refer to             Research
application guidelines, Broad Agency Announcement                 Instruction/Training
or Request for Proposals instructions.                            Public Serivce

                                                                  Student Aid
3 choices:                                                        Construction
Receipt (must be received by sponsor on or                        (select the type of activity that best describes your proposal)

         before that date)
Postmark (must have U.S. mail or courier                          Indicate the proposed start and end date of
         postmark date on envelope on or                          your project.
         before the deadline date for
Electronic (all submission documents must
         be submitted to a sponsor’s elec-
         tronic submission system by 5 p.m.
         on the deadline date)

                                                                                                                              Section 2




                   1    Indicate whether you would like to pick up signed
                        original documents from ORSP, or if you would like         3
                                                                                   Indicate the space used to complete the proposed
                        ORSP to mail your proposal. Complete the appropri-         work. Must include building names and room num-
                        ate sections to the right of the checked box. ORSP         bers. Any space used for research that is located
                        will send your proposal via US Certified Mail, but if       off campus must be indicated. At a minimum, office
Grant Submission

                        you desire express mail such as Federal Express or         space shall be listed.
                        UPS, you must provide an OHIO account number or
                        courier account number to bill.

                   2    Indicate the amounts requested from sponsor,
                        amounts committed as cost share by the University
                        under Ohio University, the amounts committed by
                        a third party under Other. The “Total” columns are
                        automatically generated.

                                                                                                              Section 3






Ohio University has a policy of providing a tuition
waiver for each quarter of a graduate stipend brought
                                                           4   If you need to use space to complete the goals of
                                                               your project other than what is listed in section 2,
in from external funds. This is managed by the As-             number 3, select yes, and include the space and who
sociate Provost for Graduate studies. Students must            is responsible for managing that space.
meet minimum eligibility requirements linked here:

                                                                                                                              Grant Submission            a. If on campus space is needed that is not yet com-
Select Y or N and indicate the number of quarters,                mitted to the grant (e.g.- an unused building or
plus the schedules (e.g. – F04, W05, etc)                         laboratory), you must obtain the signature and ap-

                                                                  proval of the Director of Space Management.
Cost sharing or matching funds are cash or in-kind
commitments from the University or a third party for           b. If you are using an off-campus space that will
which the University is responsible for tracking. Cost            result in a lease agreement for that space, check
share is only appropriate when mandated by a spon-                yes.

sor with such a mandate in writing in the proposal
guidelines. When cost share is required, in-kind ser-          If you need renovations to an existing university
vices such as time and effort of faculty or cost shared        space, select yes, then detail the space renovations
indirect costs must be used before cash is committed.          and sources of funding to complete it if not proposed
If a third party is contributing, a letter of commitment       in the grant budget.

must be given to ORSP before endorsement will be
given to a proposal. Indicate, in this field, sources and       Indirect costs must be charged on external funding
amounts of cost share. Each party committing the               proposal if the sponsor allows it. See Indirect Costs
cost share must sign off on the transmittal form before        section above. If the sponsor is willing to pay less
ORSP approval will be given.                                   than the OU federally negotiated rate, select Yes and

                                                               Limit. If the sponsor forbids the inclusion of indirect
Academic release time occurs when a PI/PD is                   costs, select Yes and Forbid. If you’ve selected yes,
requesting a percentage of their academic year com-            you must provide written documentation from the
mitments in their university contract be reduced and           sponsor indicating the limitation or refusal. Some lim-
replaced by time spent on an externally sponsored              ited recoveries are pre-approved. See policy #19.053.
program. When release time is requested and subse-
quently funded by external sponsorship, the PI/PD’s
university contract will be modified to reduce the
university portion by the release time requested and
amended to include the grant effort.

                                                                                                                                       Section 4






                   1    If you are subcontracting a portion of your grant work
                        to another institution or company, select yes and
                                                                                    4   The Federal Government has issued strict regulations
                                                                                        regarding the use and transfer of information and
                        identify the subcontractor. For more information on             materials to Foreign Nationals. In some cases the use
                        subcontractors, reference the Subcontracting/Consult-           of a foreign national colleague or student may result in
                        ing section above.                                              the need for approval and/or licensing by the govern-

                                                                                        ment. For more information, consult the Awards Man-
                        If this proposal is a result of Ohio University being a         agement section of this handbook. Respond yes or no
Grant Submission

                        subcontractor to another institution or company, select         to the following questions relating to export control:
                        yes and then indicate who is the Prime Sponsor to our
                        sponsor. For example, if NSF is funding a proposal              a. Has the topic of Export Control come up in any
                        from Michigan State University and Ohio University                 form in connection with this proposal?
                        is a subcontractor to MSU, the Prime Sponsor is the
                        National Science Foundation.                                    b. Will your project involve communication with a

                                                                                           US embargoed country or their citizens? (see list
                        If you have an international component to this pro-                of Embargoed countries at
                        posal (e.g.- hosting international students, internation-          offices/enforcement/ofac/sanctions/index.html)
                        al exchange of professors, coordinating international
                        conferences, research done internationally), select             c. Will your project require the shipment of equipment
                        yes and obtain the signature of the Associate Provost              or materials outside of the US?

                        for International Studies.
                                                                                        If your proposal contains proprietary information that
                                                                                        needs to be protected in case of a future patent,
                                                                                        select yes and contact the Technology Transfer Office.
                                                                                        For more information on patents and TTO services,
                                                                                        consult the Technology Transfer section of this

                                                                                                       Section 5



Select the appropriate response to the following
                                                         Select the appropriate responses to the following            Grant Submission
Environmental Health and Safety Questions. This          Research Compliance questions. Human subjects
information is transferred to the Director of Environ-   and Animal subjects approval may be pending. For
mental Health and Safety. For more information on        more information on the Office of Research Compli-
EHS, please consult the Compliance with University       ance, please consult the Compliance with University
Policies section of this handbook. All questions must    Policies section of this handbook. All questions must
have a selected yes or no.                               have a selected yes or no.

                                                                                                                                    Section 6

                                         1                                       1       2                  3

                    1   Print the Lead PI’s name in the first slot, followed by       2
                                                                                     For each person listed in number 1 above, assign a
Grant Submission

                        all Co-PI’s. Also complete the department or school          corresponding percentage of responsibility for this
                        affiliated with each listed person. Each person listed        project. This does not need to be split evenly among
                        must check either:                                           investigators. This percentage will be used to divide
                                                                                     the PI portion of recovered indirect costs, should there
                        Conflict of Interest A = if they have not relationships       be more than one investigator. The amounts from
                        or financial interests that could be perceived to be in       each person should total 100%. If percentage of effort
                        conflict with the duties and responsibilities at OU and       is omitted, even distribution among personnel listed in
                        this project                                                 Section 1 will be applied.

                                                 - Or -                              Each person listed in number 1, above, must sign
                                                                                     their name and date in this section. Failure to obtain
                        Conflict of Interest B = if there is a potential conflict      signatures will result in the transmittal form to be
                        of interest that has been disclosed. If there is a con-      returned to the lead PI. The signature in this section
                        flict that has yet to be disclosed, a Conflict of Interest     acts as your compliance to the conflict of interest
                        Assurance of Compliance form must be completed.              policy for the university.
                        For more information, visit the Compliance with Uni-
                        versity Policies section of this handbook.

                        Any transmittal forms with number 1, above, incom-
                        plete will be returned to the lead PI for completion.

                                                                                                        Section 7

                                       1                                            3


                                                                                                                      Grant Submission

For each person listed in section 6, number 1 on page
X, a signature is required for the applicable Depart-
                                                          Once all chairperson and other administrative signa-
                                                          tures have been obtained, the Dean of each person
ment Chairperson or School Director. All applicable       listed in section 6, number 1 on page X must sign in
Chair-level signatures must be obtained before ob-        the “Dean/Director” section.

taining the Dean’s and ORSP Director’s signatures.

                                                          Once all sections of the transmittal have been com-
IIf you are in a Department or College that has a grant   pleted, the Director of ORSP will endorse the proposal
administrator or other administrator that must provide    by completing this section. Once given, a unique
endorsement on a proposal, they will sign in this         identifier, the Uniterm Number (UT), will be assigned.
“Other Administrative Officers” section. If someone        This number should be used in all references to the
other than the Department head or College Dean is         project with the ORSP office.
committing cost sharing to this proposal, a signature
must be obtained from that person in this category.

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