Frequently Asked Business Questions
Grants
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What is a grant?
A grant is a legal agreement between the University and an external institution to conduct a particular research or educational program for a specified period of time and for a specified amount of money. At the instigation of a member of the faculty, the University formally proposes a scope of work, aims, and a budget to the potential funder. Proposals that are accepted and funded become grants to the University under the direction of the faculty member, who serves as principal investigator.
Grants, gifts, and endowments are varieties of restricted funds. Grants have specific aims, budget periods, and substantive and financial reporting requirements. Gifts may have specific purposes but generally have neither formal reporting requirements nor funder-mandated budget periods. Endowments may have a specific purpose, but because only current earnings are made available for spending, the original gift amount continues to generate earnings so that funding continues in perpetuity. Grants differ also from contracts in which the University agrees to sell a specified product to an external funder. The distinction largely depends on the extent to which the end can be known and specified in advance. Since research by definition concerns matters that are not yet known, almost all external funding arrangements take the form of grants.
You may also hear of internal grants. Sometimes this means that an external funder has delegated authority for funding decisions to the University, generally to the PI or Program Director. In other cases “internal grants” result from the internal competition for unrestricted or endowment resources allocated for research purposes. This is usually also the sense in which travel grants are made to students and others.
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What is a principal investigator?
A principal investigator is a member of the academic staff or faculty who bears responsibility for the intellectual leadership of a project. The principal investigator accepts overall responsibility for directing the research, the financial oversight of the award's funding, as well as compliance with relevant University policies and sponsor terms and conditions of award.
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Who can serve as a principal investigator?
Academics with the following titles are eligible to serve as principal investigator on proposals submitted to any outside funding agency in support of research, training, or other sponsored activities: Professor, Associate Professor, Assistant Professor, Instructor, Senior Scientist, Senior Research Associate, Research Scientist, or Research Associate with parenthetical rank of Assistant Professor, Associate Professor, or Professor. Please refer to this link.
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How can my student get grant support without an academic appointment?
Your student can get a grant if you as a faculty member or advisor submit a proposal on his or her behalf. The faculty member is the Principal Investigator and the student is the Co-P.I. Normally such proposals are for Fellowships or Doctoral Dissertations.
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Who can assist me with grant preparation?
Your Faculty Service Representative in the SSD Local Business Center.
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Who is the Dean’s representative for SSD grant proposals?
The SSD Grants Specialist, Adrienne Thomas, Kelly 205, 773-834-8205, athomas1@uchicago.
- Where can I find funding opportunities for my research?
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What is Grants.Gov?
Grants.gov is a government-wide grant portal for Federal grants.
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What systems requirements do you need to prepare grants using Grants.gov?
Please refer to the link here.
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Can I still submit a National Science Foundation proposal in fastlane?
Yes, some applications are still accepted in fastlane. Refer to your program announcement.
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Where can I find Grant forms?
- How do I request a protocol for human subjects?
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What’s the deadline for submitting a proposal to University Research Administration?
In order for proposals to receive a full review prior to submission, the hard copy of the proposal is due to URA at least three full business days in advance of the electronic submission deadline. For all electronic submissions, final ready-to-submit proposals are due in URA no later than noon the business day before the sponsor deadline. This includes the final version of the science. Consult with your Faculty Service Representative.
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Who is the Authorized Institutional Officer?
Carol Zuiches, Associate Vice President for Research Administration and Director, University Research Administration
970 East 58th Street Chicago, Illinois 60637
(773) 702-8604 voice
(773) 702-2142 FAX
czuiches@uchicago.edu - I’m applying for a grant which, if funded, will require additional space or technology resources. How do I request these resources so I can do the work if an award is made?
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Can I reduce my teaching obligation by getting externally-funded salary support?
In general, no. The Division expects that faculty members will devote one-half of their effort to teaching and one-half to research during the nine-month academic year. This institutional support sufficiently covers effort on most research projects because most projects require less than 50% effort. In addition, most faculty members choose to request external salary support for summer rather than academic year effort, since summer work can increase pay. For these reasons there is generally no cause to reduce teaching because of externally-funded salary support. Faculty members who nevertheless believe it is necessary to seek grant support for teaching reductions to pursue the research must discuss their intent with their department chairs before submitting the proposal. This includes faculty who seek external funds to support leaves of absence. Chairs should discuss such proposals with the Dean prior to any recommendation. Teaching reductions require Dean's approval, as do grant applications that support such reductions. Please refer to the Social Sciences faculty research leave program.
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Does the Principal Investigator have to have effort on a research grant?
Yes, the University must adhere to Office of Management and Budget Circular A21 requirement that faculty have some committed effort on research grants.
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How do I apply for a grant that has a limited funding opportunity?
Please refer here. Contact the SSD grant specialist with questions.
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What is a NIH modular grant format?
The modular grant application format is an extension of the National Institute of Health's streamlining and reinvention initiatives. The modular grant initiative was designed to focus the attention of investigators, their institutions, peer reviewers, and NIH staff on science rather than budget details. Complete information on modular grant applications is available here.
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National Science Foundation proposals require you to address Intellectual Merit. What’s the right way to do this?
Get this right or your proposal will get rejected at the start. You have to answer these questions. How important is the proposed activity to advancing the knowledge and understanding within its own field or across different fields? How well qualified are you and your team to conduct the project? To what extent does the proposed activity suggest and explore creative, original, or potentially transformative concepts? How well conceived and organized is the proposed activity? Is there sufficient access to resources?
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What are F&A rates?
F&A stands for Facilities and Administration. F&A rates reimburse the University for expenses associated with but not directly charged to sponsored programs. F&A rates are also known as indirect cost rates. Rates vary by sponsor, time period, award type, award location, and, within awards, expense type.
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Are F&A rates a tax on my research activity?
No. F&A rates reimburse the University for legitimate costs incurred in the course of conducting sponsored activities. Indirect costs pay for a share of lights and heat, building maintenance, library books and operations, and a myriad of other things that are essential to research and teaching. F&A rates reimburse us for expenses we wouldn’t have if we didn’t have the sponsored activity. F&A rates are reviewed by the Grants specialist to ensure that the proper University rate agreement is used.
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Can I waive F&A costs in my proposal?
As a rule, no. Waiving F&A costs is tantamount to voluntarily cost-sharing because if an award is made, we will incur the F&A expenses associated with the proposed activity. Getting agreement to waive F&A costs thus means finding somebody at the University willing to fund the cost-share. Do you have other funds you can commit to this purpose? In almost every instance, it’s sensible to ask the sponsor to pay the full cost of the activity you propose to conduct if an award is made.
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When do I begin to use the new Federal F&A rate?
For new and competing Federal proposals with a budget period start date of 07/01/2008 or after, the indirect cost rate is 56%. F&A rates are listed here.
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Do I use these new F&A rates on all proposals?
The new F&A rates must be used on all new, competitive renewal proposals, and supplement proposal that required budget negotiation from sponsor. Non-competing renewal proposals will continue to use the originally approved F&A rates.
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Do I use the new F&A rate on the non-competing renewal proposals?
No. Please use the old (originally approved) F&A rate on the non-competing renewal proposal until the end of the competing segment.
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What is cost-sharing?
Cost-sharing is the general name for that portion of a project’s costs, direct or indirect, not borne by the Federal agency, foundation, or other sponsor. Shared costs may be contributed by the University or by third parties. The most common example of cost-sharing is unrecovered faculty effort, that is, faculty time in research that the sponsor is not paying for. Please see the SSD Cost Sharing policy.
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What happens to my application if I don't get funded?
This varies by agency. For National Institutes of Health proposals, your application is active for up to two years from the original date of submission, during which time it may be considered again for funding if the priority score was in a fundable range.
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If don't get funded, can I apply again?
For most ongoing Federal grant programs, you may submit up to two revisions of your application. The steps for preparing an amended application are described below. Applications submitted in response to a Request for Proposals cannot be submitted as amended applications. Talk to your program officer about options for these applications.
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Should I revise and reapply or start over on a new grant?
This depends on the nature of the specific weaknesses or problems in your proposal. Some "fatal flaws" are fairly straightforward and simple to identify and correct; others are less so. When reviewers assess an amended application, they look to see how shortcomings identified in the summary statement are addressed, but will also review the proposal as a whole.
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What do I have to do to submit a revised proposal?
This varies by funder or agency. In general, check with your program officer. For National Institutes of Health grants your amended application must contain all the parts of the original application, plus an Introduction of three pages or less that specifies significant changes made to the application. Follow the instructions in Public Health Service form 398, Section 9. The Introduction to the revised application should summarize additions, deletions, revisions, and your responses to criticisms in the summary statement. All changes in the body of the research plan should be highlighted typographically, e.g., by bracketing, bolding, or italicizing. If the changes are so extensive as to include most of the text, this exception should be explained in the Introduction. If nothing has changed in the budget, resources section, or biosketches, you may use what was submitted with the original. You should incorporate an updated description of any relevant work performed since the original submission, and updated letters of support. Please refer here.
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Do I have to make every change the reviewers suggested?
You don't have to make all the changes suggested by the reviewers. In the Introduction to the revised application, you should respond to all reviewer concerns and explain your rationale for making or not making recommended changes.
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What happens to my original application when I submit a revised proposal?
For National Institutes of Health proposals, the revised application replaces the prior unfunded version in the administrative data system.
- Where can I find Department of Education Regulations? http://www.ed.gov/policy/fund/reg/edgarReg/edgar.html
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How will I know if my application is funded?
The Notice of Grant Award, the official notification that your grant has been funded, is sent to our sponsored research office, University Research Administration, with a copy to the principal investigator. For Federal awards, this notification occurs by e-mail. The program officer assigned to the grant may contact you with informal notification, but the Notice of Grant Award is the official documentation.
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What should I do first when the Notice of Grant Award arrives?
Meet with your Faculty Service Representative to compare the proposed and awarded budget and resolve differences. Review the terms and conditions of the award. Confirm payroll expenses. Consider operational questions that may have been glossed over during a fast-and-furious proposal submission process.
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Why didn't I get the budget I requested?
After the scientific merit of your proposal is completed, the reviewers may make recommendations that elements of it be reduced or augmented. Program staff may also reduce the budget for programmatic reasons or because available funds are not sufficient to provide full funding.
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My Notice of Grant Award says the grant is excluded from "expanded authorities" - what does that mean?
For certain types of grants, National Institutes of Health, National Science Foundation, and The Department of Education have waived the requirement for its prior approval of certain expenditures and activities. If your grant is excluded from expanded authorities, you must seek prior approval for budget carryover and no-cost extensions.
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My Notice of Grant Award says the grant is subject to Streamlined Noncompeting Award Procedures (SNAP) - what does that mean?
If your grant is subject to SNAP, some reporting requirements for your annual progress report are relaxed. Please consult with your Faculty Service Representative.
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My award includes cost-sharing. How do the accounts get set up to support this?
Your Faculty Service representative will set up the associate account and charge the proper contra account. You will be notified via e-mail.
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When can I start spending?
You can spend after you have reviewed the award document, confirmed that you have a valid protocol, checked your budget, and received the grant account number.
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How do I make sure I don’t overspend my budget?
As soon as you get your Notice of Grant Award, meet with your Faculty Service Representative to review your budget and plan spending. Monitor your monthly accounting reports (“ledgers”). Keep your FSR informed of changes as they occur. As you near the end of your budget period, meet again with your FSR to plan final expenditures. Three months before the end of the grant is generally a good time for this meeting.
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What is an Unallowable Cost?
An unallowable expense is one that cannot be charged directly or indirectly to federal funds. One common unallowable cost is business meals. Provisions in Office of Management and Budget Circular No. A-21 prohibits the University from charging federal funds, either directly (i.e., charges to Ledger 5) or indirectly (i.e., charges via cost pools), for certain unallowable costs and require the University to certify that no unallowable costs are included in the indirect cost proposal it submits to the Federal Government. For additional information on the various types of unallowable costs refer to University Financial Policy #1013.
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Can I extend the period of my grant?
In most instances, the grant's project period can be extended without additional funds. If the grant is included under the special provisions of expanded authorities or the Federal Demonstration Partnership; then the appropriate administrative official need only notify the agency that the grant will be extended. Keep in mind that we can only do this within a certain time period; requests after the deadline require agency approval. Contact your Faculty Service Representative if you anticipate needing additional time to finish your work.
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What if I need more money?
Budget supplements may be allowed, depending on the priority of the project and the availability of funds. Contact the Program Staff responsible for your grant to discuss the availability of a budget supplement.
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Can I carry over funds from one year to the next?
In most instances, funds can be carried over from one budget period to the next. You can find this out by reading the terms and conditions of the grant. Please consult with your Faculty Service Representative.
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What kinds of changes require pre-approval by Agency?
Changes in scope of work, key personnel, most changes in key personnel level of effort, and grantee organization always require prior approval. Prior approval to re-budget funds varies by agency. Contact your Faculty Service Representative.
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What documentation is needed to make changes to my grant?
A request for a change of principal investigator is made via a countersigned letter (signed by the principal investigator and the administrative official listed on the face page of the grant application). Most other changes can be negotiated through electronic communication with program staff assigned to your grant. Consult your Faculty Service Representative.
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If I change institutions during the grant, can I take the grant funding with me?
The University reviews requests to transfer grant funding to a new institution in order to ensure that costs incurred here are fully reimbursed and that the University complies with the terms of the award. Prepare a transfer request to the funding agency and submit it with departmental endorsement to the Divisional Grants Specialist. Include a relinquishing statement and a final invention statement with your request. Coordinate effort certification with the Divisional Grants Specialist. Consult with your Faculty Service Representative.
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What is an annual effort certification statement?
Annual effort certification is a mandatory accounting of effort spent on sponsored projects and other activities by monthly employees. Federal funding depends on proper certification, so the University and the Division take this obligation seriously.
Certification statements are distributed in late November. The effort period being certified is the University’s fiscal year, July 1 through June 30, and so does not coincide with most grant budget periods. Certification figures refer to effort, not hours. Effort figures may fail to correspond to your expectations for other reasons as well.
Review your statements. If acceptable, approve them and send them to the Divisional Grants Specialist by the stated deadline. If in doubt, talk right away to your Faculty Service Representative.
If you receive certification statements for employees who are not yours, or who did not work on your grants, return them without delay to the Grants Specialist.
If you leave the University, expect to certify effort for people paid from your grants, preferably in advance, before statements arrive, or according to the regular late-autumn schedule. Make sure your FSR knows how to contact you after your departure. You committed to this obligation when you accepted external funding.
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What kinds of reports are required during the grant period?
Requirements vary by funder. Check your application, Notice of Grant Award, and the funder’s web sites. For National Institutes of Health and National Science Foundation awards, a progress report is due two months before the end of each year of grant-funded activity. Your program officer may request a progress report at any time.
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What kinds of final reports are required after the grant ends?
Three reports are due when grant funding ends: a Financial Status Report prepared by the Comptrollers office restricted funds department a Final Project Progress Report, and a Final Invention Statement prepared by Principal Investigator. Please consult with your Faculty Service Representative.
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What is a closing memo?
A closing memo is an internal request to our Comptroller to submit the information and the documents needed to close the award. Closing memos are submitted by your Faculty Service Representative.
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If I invent something during my grant, who owns the invention?
The University owns it. If research findings result in inventions, grantees have the right to retain title to these inventions, as long as they abide by the provisions of the Bayh-Dole Act of 1980, as implemented in 37 CFR 401, for their utilization, commercialization, and public availability.
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Who owns the equipment and material purchased with grant funds?
As the grantee, the University owns equipment and material purchased with grant funds after the award ends unless the Notice of Grant Award specifies something different. While the award is active, the sponsor owns the equipment so it generally moves with the award if the principal investigator moves to a different institution.