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Principal Investigator Manual

I. PREFACE

II. INTRODUCTION

III. FREQUENTLY ASKED QUESTIONS (FAQ SHEET)

IV. PROPOSAL DEVELOPMENT (PRE-AWARD)ACTIVITIES

  A. Idea Generation and Development
  B. Locating Funding Sources
  C. Selecting the Funding Source
  D. Pre-application Contacts
  E. Organizing and Writing the Proposal

      1. Title Page
      2. Table of Contents
      3. Abstract or Summary
      4. Project Narrative or Description

          a. Introduction
          b. Statement of Need and Significance of Project
          c. Goals and Objectives
          d. Methodology
          e. Evaluation
          f. Dissemination

      5. References
      6. Budget

     a. Personnel/Salaries and Wages
            b. Personnel/Fringe Benefits
            c. Expendable Supplies
            d. Equipment
            e. Travel
            f. Communications
            g. Publication
            h. Subcontracts
            i. Consultants
            j. Other Direct Costs
            k. Indirect Costs
            l. Cost Sharing
            m. Appendices

V. SUBMITTING THE PROPOSAL and PROPOSAL REVIEW

  A. Necessary Forms and Approvals
  B. Special Reminders

        1. Processing Time
        2. Application Instructions/Guidelines
        3. Specialized Information
        4. Format Guidelines

  C. Proposals Requiring Special Review

        1. Human Research Subjects
        2. Animal Subjects
        3. Hazardous Materials

  D. Site Visits
  E. Declination

VI. POST-AWARD GRANT ADMINISTRATION

  A. Acceptance of the Award
  B. Award Document
  C. CCU Accounts
  D. Post Award Activity

        1. Rebudgeting
        2. Changes Requiring Funding Agency Approval

                a. Change in Principal Investigator
                b. Changes in Scope of Work
                c. No-Cost Extensions

        3. Grant Expenditures
        4. Foreign Travel
        5. Equipment
        6. Purchasing
        7. Personnel
        8. Miscellaneous Information

                a. Patents and Inventions
                b. Co-Mingling of Funds
                c. Change of Grantee Institution
                d. Final Reports

VII. APPENDICES

  A. Office of Grants and Sponsored Research Organization Chart
  B. Pre-Award Step Summaries
  C. Pre-Award Proposal Development Flow Chart
  D. Things You Must Be Aware Of
  E. Regulations for Travel Reimbursement
  F. Post Award Responsibilities
  G. Contacts for Campus Services
  H. Important Information about Coastal Carolina University
  I. Kimbel Library Resources
  J. Sample Forms

      1. OGSR-1
      2. OGSR-3

  K. Fringe Benefits for Grant Employees
  L. University Policies and Procedures Dealing with Grants

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I. PREFACE

This manual has been prepared by the Office of Grants and Sponsored Research (OGSR), Coastal Carolina University, to help faculty and staff in the preparation and submission of grant proposals and the administration of grant awards. Material contained in this manual is relevant to any kind of project or granting agency.

OGSR assists Coastal Carolina University faculty and staff in the development of proposals to support research, public service, training, and equipment acquisition as well as institutional and departmental activities.

A sponsored project is defined by any or all of the following criteria: the proposed project binds the University to a specific scope of work as evidenced by required progress, technical or final reports or other deliverables; the project has a specified performance period or completion date; a report of expenditures or billing is required.

OGSR is responsible for the final review of all proposals to make certain they conform to the current regulations of the University, the State and the sponsoring agency before they are signed by a signatory officer of the University and submitted to the proposed sponsor. No proposal is considered official without such a signature and the University may, at its discretion, refuse any awards made for proposals that do not follow this submission procedure. In such a case the faculty member may be held personally liable for any financial obligations made on behalf of the University. Official and binding pre-award and post-award negotiations with sponsors must also be performed through OGSR.

Upon receipt of an award from a funding agency, OGSR initiates the internal paperwork to establish a University account and works jointly with the Principal Investigator, University administrative offices, and the sponsor to complete the project in conformance with all contractual terms and agreements. OGSR monitors the project until its completion and the submission of final technical and fiscal reports.

The contents of this manual are also available on the World Wide Web at the Office of Grants and Sponsored Research's home page http://www.coastal.edu/grants . The most current information such as fringe benefit rates will be posted to this site as soon as they become available and may be downloaded to keep your manual up-to-date. The site also includes other grant related information, copies of Grant*Talk newsletters as well as links to other universities and funding agencies. Because this manual is printed from the Web Site it includes links, such as those at the bottom of this section, which can be ignored in the printed version.

The staff of OGSR is pleased to have an active role in working with faculty and staff in the complex process of proposal preparation, submission and award and strive to provide the best possible service to the Coastal Carolina University community.

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II. INTRODUCTION

A PROPOSAL is any written request for financial or other support for a project made to a prospective sponsor. The role of the proposal is to convince the sponsoring agency that:

· the proposed activities are within the scope of the established program objectives of the agency

· the proposed activities will solve an immediate problem or extend existing knowledge in the field and will eventually aid in the solution of an identified problem

· the proposer is well acquainted with the state of the art, that he or she knows what has been accomplished in the field and is qualified to perform the described activities and that all necessary personnel and facilities are available;

· the importance of the anticipated results sufficiently justify the expenditure of the proposed time and money.

While the proposal will be accepted or rejected primarily on its substantive merit, the manner in which it is presented can significantly affect the outcome. While the most important part of any good proposal is a good idea, the best idea in the world inadequately described and unimaginatively presented can be misinterpreted or overlooked in the proposal review process. Likewise, the most well prepared application cannot turn a poorly conceived project into an inspired idea.

The objectives of the potential sponsor are usually set out in written or verbal instructions. It is essential to always follow whatever instructions the sponsoring agency provides. Two rules of good proposal writing are 1) the sponsor is always right, and, 2) if in doubt, refer to Rule 1. Although these rules may seem somewhat facetious, they should be obeyed. Remember, the sponsor will have the final say on whether or not your proposal is funded.

OGSR is prepared to help review draft proposals for organization and content, however, a detailed peer review by colleagues in your own discipline will greatly increase the probability of funding.

At Coastal Carolina University a GRANT is defined (modified from the Federal definition) as:

"An award of financial assistance in the form of money, or property in lieu of money, made by an outside agency, organization or individual to Coastal Carolina University which is budgeted and administered through the University." The term does not include assistance to individuals, such as a fellowship or other lump sum which the University or recipient is not required to account for on an actual cost basis."

What this means to you:

Grants-in-aid, stipends, fellowships and other awards made directly to the individual and which are not deposited into University accounts are specifically excluded from this definition.

Payments to individuals for services as consultants are excluded from this definition. Faculty and staff may use their offices and any equipment or services that are normally a part of that office (lights, telephone, desktop PC) to support their work as consultants, however, projects which make use of university facilities, equipment, vehicles, or personnel are defined as contracts and require approval from an authorized college or university official.

No individual may accept money on behalf of the University or make commitments on behalf of the University without proper authorization from the President or other University Officials designated by the President.

University and State purchasing and procurement regulations must be used when spending grant funds - you must get APPROVED purchase requisitions, travel authorizations etc., PRIOR to the expenditure of funds.

The Coastal Education Foundation, Inc. is a private eleemosynary corporation which exists to solicit and receive funds on behalf of the University.

This guide is designed to assist the principal investigator in the application process from the generation of an idea through the actual award of funds and subsequent administration of the grant or contract.

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III. Grants FAQ Sheet (Frequently Asked Questions)

How do I know whether a grant application should be submitted through the University's Office of Grants and Sponsored Research, the Coastal Education Foundation, or just directly to the funding agency?

The application should be submitted by whichever body will receive and administer the grant funds. If funds will go into any University Account or if the proposed project will make use of any University facilities beyond your office or entail any commitment or expenditure of funds by the University, the application must be submitted through the Office of Grants and Sponsored Research. If there are any personnel costs aside from payments made directly to you, as in the case of most fellowships or consulting positions, then the application must be submitted by the Office of Grants and Sponsored Research. If you are not sure of how your application should be submitted, contact the Office of Grants and Sponsored Research.

What am I, as the Principal Investigator, responsible for?

The Principal Investigator / Project Director is responsible for the overall direction and successful completion of project. To insure that all project objectives are accomplished within the allowed time frame and budget, the project director must take on a series of administrative responsibilities related to such matters as fiscal management, purchasing and personnel. It is also the responsibility of the Principal Investigator to insure that cost sharing funds are properly spent and accounted for.

The Principal Investigator maintains contact with the sponsoring agency's Program Officer who is responsible for the discipline related and technical aspects. The Program Officer is also the Principal Investigator's contact for programmatic concerns, changes in scope of work, etc.

The Principal Investigator is responsible for submitting a final and any other required progress reports. Financial reports will be submitted by the Grants Accounting Office. In most cases the University has ninety (90) days from the end of the grant to submit all required reports. If there are any questions as to the reporting requirements, OGSR or the granting agency should be consulted.

Go to Appendix No. 2: Pre-Award Step Summaries

Why do I have to fill out University paperwork such as Purchase Order Requisitions, Travel Authorizations etc. in order to spend my grant money?

In general, grants are made with the expectation that the University will apply the same standards of accountability to grant funds as it does to public funds. Federal and State grants require this and most private funding sources expect it. If the University fails to apply these standards to the expenditure of grant funds it may be required to return part or all of the grant funds or the institution (including all faculty and students at the University) can lose eligibility to receive future grants.

Go to "Purchasing"

I am applying for a grant and the application forms asks for the signature of my "Department Chairperson, or other University official." Who should I get to sign?

If grant funds are to be deposited in a University Account or if the University is required to make any commitment of funds, facilities or personnel-time, the application must be signed by the official University signatory authority, the President or a University Official designated by the President. Such a proposal must be submitted through the Office of Grants and Sponsored Research.

Who types my proposals, reports, etc. for me?

Coastal Carolina University policies (INST 6.00 - Preparation of Proposals and Reports and 6.04 - Grants and Sponsored Research - Routine

Go to Appendix No. 12: University Policies and Procedures

I am required to submit eight copies of my proposal. Who makes these copies?

The Office of Grants and Sponsored Research will make the necessary copies, plus any others required for campus distribution. Letting OGSR make the copies will help assure that all changes and corrections which may be made prior to submission are included in the copies sent to the granting agency.

What do the signatures on the" Grant Proposal/Award Processing Form" (OGSR-1) mean?

The principal investigator's signature indicates they have reviewed the proposal and gives their approval for its submission. Their signature also certifies that he or she is in compliance with CCU's policies on Debarment and Suspension and Conflict of Interest in Federally Sponsored Projects. The appropriate Dean or Director's signature constitute their awareness of and agreement with 1) the relation of the project to the mission of the School and the University, and 2) commitments of time, personnel and other costs to the School. The Provost's signature (and other university officials, if required) indicates the proposal is appropriate to the overall mission of the university.


Go to Appendix 10: OGSR-1 Form

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IV. PROPOSAL DEVELOPMENT (PRE-AWARD) ACTIVITIES

A. Idea Generation and Development

The proposal process begins with an idea for a project or activity that cannot be undertaken without securing funds from outside the University. OGSR has lists of projects that have previously been funded by many different sponsors. Reviewing such lists is often a good step in determining whether or not an idea is "potentially fundable."

After the idea has been generated, discuss your goals and objectives as well as the general ramifications of the project with your colleagues, Department Chair, Dean and other institutional officials in order to insure institutional cooperation and coordination. OGSR has prepared several forms (OGSR-1 and OGSR-3 in the appendices) that are necessary to document these contacts and approvals.

Before discussing your ideas or seeking institutional approvals, it is usually a good idea to develop your ideas as a CONCEPT PAPER. The Concept Paper is an outline of your project. A complete Concept Paper should always contain:

- a statement of the problem

- a statement of the objectives of the proposed project

- a description of the methodology to be used and the roles of the principal project staff

- a summary highlighting the benefits of the proposed project and qualifications of the proposer, other staff identified in the proposal and the institution

- an outline of the project's needs and estimated costs

The Concept Paper then serves as the focal point of your discussions and should be modified as your ideas take shape.

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B. Locating Funding Sources

The most common reason that grant proposals are turned down is because the applications do not fit the requirements of the agency to which they are submitted. Applications that are received too late (and sometimes too early), that are in the wrong format, or which do not address the objectives of an agency stand no chance of being funded. Therefore, once you have begun the development of your idea, you will need to find a funding source whose objectives match those of your proposed project.

The Office of Grants and Sponsored Research has many sources of information available to help you. The Kimbel Library maintains a "Grants Table" where some of this information is kept. Other information is kept in the Reference Section. Appendix 9 provides a list of materials in the Kimbel Library. If you have trouble locating any of this information just ask a librarian, they're always very helpful.

Catalog of Federal Domestic Assistance - A comprehensive catalog to all federal programs authorized under public law. Copies are available at OGSR and in Kimbel Library.

Federal Register - Official daily news publication of the federal government. Announces upcoming proposal deadlines, often including the complete grant guidelines and application kit, new or changed rules and regulations. Photocopies of most current guidelines are available from OGSR. Back issues of the complete publication are kept in Kimbel Library.

Commerce Business Daily - Contains announcements of upcoming contracts and requests for proposals as well as listing those selected for these awards. Available in Kimbel Library.

Federal Grants and Contracts - Weekly summary of Federal Register, C.B.D. and other grants announcements. Includes periodic supplement on private foundations.

The Foundation Directory - The Foundation Center. Listing of all private foundations in US, gives data on geographic and other restrictions. Updated periodically. Available in Kimbel Library and on-line through the OGSR Home Page.

The Grant Advisor - PC an electronic database available over the campus Local Area Network (LAN) that provides information on upcoming deadlines. Listings of sources arranged by general categories are placed on the network each month. Individuals without access to the LAN or with specific requests should contact the Office of Grants and Sponsored Research.

Sponsored Program Information Network (SPIN) - A computerized database of funding opportunities (federal, non-federal and corporate) designed to assist faculty and administrators in identifying sources of external support. Searches are available at no cost to Coastal faculty. Contact OGSR for more information on this service.

Grant*Talk - A monthly newsletter listing upcoming proposal deadlines for various funding agencies. Descriptions of the programs are given along with information on contacting the funding agency.

In addition to these publications, OGSR maintains a large file of current guidelines and application booklets for many State and Federal agencies and private Foundations.

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C. Selecting the Funding Source

In selecting a funding source, the proposer will need to review the source information to determine which potential sources offer the best funding opportunities.

In reviewing the funding literature, the proposer should look for the following information:

o the correct name and address of the potential source

o the areas of interest

o funding priorities and review procedures

o size of grants (both maximum and average)

o restrictions, if any

o cost sharing requirements

o application deadlines and any special conditions for proposal submission

o name of contact person or office

o whether there are guidelines and required forms

Once this information is compiled, the proposer should select agencies using the following criteria:

o whether you and your institution are eligible to apply for this program

o whether the proposal idea fits within the basic philosophy of the source and its funding priories

o whether the proposed costs are within the allowed range

o whether matching or cost sharing funds are required and if so, what kind

o whether funding is long- or short-term and whether renewals are possible

o whether there is a funding cycle, and if so, the deadlines for proper submission can be met

o whether a draft or pre-proposal or concept paper is required or whether one can be submitted for review prior to formal submission of the proposal

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D. Pre-application Contacts

In a study of over ten thousand applications for grants made to Federal Agencies, the ONE factor which clearly separated successful from unsuccessful proposals was whether the applicants had consulted with the funding agency before submitting their application. Most foundations and private sources also welcome pre-application contacts. Some discourage contact other than requests for general information but others require it, so be sure you know the foundation's preferences before making such contact. Pre-application contacts are not intended to influence the funding agency to make a favorable decision, but to allow you to best "tailor" your application to meet their requirements. Frankly, information is not always written down in the guidelines and application instructions so some direct contact with the agency is the only way to become knowledgeable of these important details. Finally, being known to the agency usually helps.

In addition to determining whether your proposal fits within the agency's current guidelines and funding priorities, it is important to find out how much "new" money an agency has available (as opposed to money that is restricted to funding continuation projects). This can be important in helping you decide whether or not it is worthwhile to submit a proposal to a particular agency. Most agencies are also prepared to make suggestions about alternate sources of funding should your ideas not be appropriate for them. Don't hesitate to ask for this information.

When dealing with public agencies you should be able to request a list of previous grantees. Many private foundations will also supply this information. Not only will you be better able to judge the nature and size of previous awards, but you will also have a list of institutions and people who you can contact. Most Project Directors are willing to discuss their projects, some will be willing to share copies of proposals and other types of experiences relevant to the grant writing process.

In addition to a list of previous awardees, you may be able to obtain copies of proposals that were funded. Some agencies provide "model" proposals, others provide copies of actual proposals. Any proposal funded with public funds becomes part of the public domain and you have a right to see it. However you should be prepared to pay copying charges or to visit the agency to examine these yourself.

Another excellent source of information that can improve your chances of being funded is to find out something about the reviewers - how they are chosen, what qualifications does the agency look for? You may be able to get a list of recent reviewers. If so you can contact these people to learn what it is they are told to look for as well as what mistakes they commonly see that lead to proposals going

Pre-application contacts are usually made by telephone, by letter or by personal visit. TELEPHONE contact is certainly the quickest and is often the best way to confirm whether your project falls within the funding priorities of a particular agency. Telephone calls are also appropriate as follow-ups from written communications or personal visits. Don't expect a telephone call to substitute for these latter forms of contact. Don't try to read your proposal over the phone or expect a detailed review back.

WRITTEN COMMUNICATIONS can take several forms:

- a short preliminary proposal (required by some programs) giving the Program Title, the name of the submitting organization, a needs statement, objectives, methodology, resources, personnel and budget

- a letter of intent (also required by some programs) containing a description of the proposed project, an estimated budget and some information about the applicant

- an abstract of the proposed project together with a carefully composed letter of transmittal containing information about the applicant, the institution and budgetary requirements.

These forms of written communication are merely the commonest. Details will probably need to be modified to meet the specific requirements of different funding agencies.

PERSONAL VISITS should always be preceded by either a telephone call and/ or written communications. Always make an appointment and always come prepared with an agenda: specific questions or a planned presentation. Few government or foundation officials have the time to just sit and chat about your ideas, however personal visits can be productive for the funding agency as well as yourself. Agencies need to know what investigators are doing and thinking as this helps them stay on the "cutting edge."

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E. Organizing and Writing the Proposal

Most funding agencies require the same basic information although the details and required forms will vary. Whether or not application forms are provided or you are given only sketchy details, a well-written proposal contains the following:

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1. Title Page

Most Federal and State agencies have their own title page forms which they require you to use. Whether a form is provided or not, a title page should supply the following:

o Title of Proposal

o Name of Proposed Funding Source

o Date of Submission

o Beginning and End Dates of the Project (or Project Duration)

o Total Funds Requested (and first year funds for multi-year proposals)

o Name, Institution's address, Telephone Number(s) and Signature(s) of both the Project Director/Principal Investigator, an Institutional Official(s) with the Responsibility for the Administration of Funds, and Designated Endorsement of the Institution.

Titles should be brief and descriptive of the project. A title that emphasizes your intended result will grab the reader's attention and focus it where you want it. A poor title is simply boring and lets the reader make unnecessary assumptions. Don't call your proposal "Request for Equipment" or "Adult Education Project", make it "Equipment for a Genetic Engineering Curriculum" or "Promoting Literacy Among Senior Citizens."

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2. Table of Contents

This is not always necessary on very short, i.e. 4-5 page, proposals, however, a table of contents serves as a good outline of the proposal as well as helping the reader locate specific sections and information. Remember, the individuals who judge your proposal will have many others to read as well and a table of contents can be quite helpful in reducing the time and effort required to evaluate your proposal.

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3. Abstract or Summary

Often the Abstract is the first thing a reviewer reads. It sets the tone for the rest of the proposal. A well constructed abstract tells the reviewer the significance and need for the project, the specific objectives, the general procedures and evaluation methods that will be employed, the anticipated impact and expected benefits in 100 - 300 words. Abstracts of proposals to Federal and State agencies are commonly distributed to legislators and other governmental officials as a means of keeping them informed of how each agency is spending the taxpayer's money.

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4. Project Narrative or Description

This is the main body of your application in which you must convince the reviewers that: 1) there is a problem, 2) it can be solved using the methodologies which you are proposing provided you receive the support requested and 3) nobody but you will be able to do this as well. Many unsuccessful proposals lack this last ingredient.

In writing the narrative, pay attention to any and all requirements given in the guidelines. The First Rule of grant writing is that THE SPONSORING AGENCY IS ALWAYS RIGHT. The Second Rule is that, WHEN IN DOUBT, REFER TO RULE ONE. Page limitations are very important. Some agencies simply reject any application that exceeds the limits. Others penalize you in some way. In either case your application will not be among the top ones which get funded.

Write in English. Avoid "bureaucratese" or jargon. Avoid using abbreviations or acronyms. If you must use them, always spell them out fully at first. Your writing must convey your enthusiasm for this project so say what you need to say as forcefully but as simply as you can. Never assume that the reader knows anything about you, your institution, the problem, or your solution that you have not provided in your application.

Always check your proposal for spelling and typographical errors. Modern word processing equipment and software can even check your grammar and style and suggest changes.

Lastly, the final copy should be cleanly printed or typewritten. Modern photocopiers can produce copies that are as good as the original, but if the original is illegible the copies won't be any better. Avoid, if at all possible, using a dot matrix printer.

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Include the following in the project narrative or description:

A. Introduction

Introductions are not always required and some guidelines do not allow enough space or page allocation for one, but the introduction can be one of the most important parts of your entire proposal. Like the Abstract, this is often the first part read and so it can set the tone for the rest of the proposal. If the reviewer is confused by or otherwise doesn't like your Introduction, he/she will feel the same about the rest.

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B. Statement of Need and Significance of Project

Good needs statements are often one of the hardest parts of the proposal to write. Everyone is needy, but you must not only establish a need, you must also relate that need to the funding priorities of the intended sponsor. A research proposal needs to emphasize that the problem, question or hypothesis being addressed is timely and of interest to a larger community of scholars. A service proposal must emphasize that it provides a workable and cost-effective solution to the need or problem.

Include the necessary data to substantiate your need. Don't rely on just one source and if possible be sure and include data generated by the proposed sponsor. Most State and Federal agencies compile statistics and issue reports on problems and needs in their own fields. These reports are not only good sources of data but also help you establish that your problem is one that is also recognized at the State

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C. Goals and Objectives

Goals point to a general direction that must be taken to achieve the desired outcome. Objectives are specific statements of desired outcomes. Good objectives should have a clear deadline or endpoint, should be expressed in measurable terms and should have clear criteria for success.

Terminology differs depending on the field and other details, but objectives which meet the three standards mentioned above are often called Outcome Objectives, Performance Objectives or Behavioral Objectives. In contrast, "Process Objectives", which describe outcomes in non-measurable terms without reference to a standard for success are really your methods. One general rule is if you have written an objective that can only be accomplished in one way, then you have probably written a method.

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D. Methodology

Describe in as much detail as practical the approach you will use to achieve your objectives. Describe all activities in a step-by-step sequence, including time- estimates whenever possible. Do not hesitate to use figures or tables to help clarify your point. Be certain that each proposed activity can be related back to an objective and that there are no unnecessary or superfluous steps. If the proposed activity will require an unusual amount of funds, explain this is detail.

Unless the guidelines specify otherwise identify important staff persons and their responsibilities and provide job descriptions for personnel who will need to be hired in the Methods section.

A final topic which may be addressed in Methods, or in a separate section as required by the guidelines is program continuation. No one wants to see a project which they funded just disappear when their money runs out. Continuity may require long-term commitments from the Institution, but remember that a successful project solves or substantially reduces the problem and so should provide the institution with savings in the long-term.

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E. Evaluation

This section tells how you will assess on-going process towards achieving your objectives and the overall outcome of the project. If your objectives are well constructed (truly "outcome" oriented), evaluation will be much simpler. Evaluation should address three functions:

- It will monitor progress to determine whether the project is being conducted as planned.

- It will assess actual outcomes to measure whether objectives are actually being achieved.

- It will provide constructive feedback to assess whether modifications to the project are required.

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F. Dissemination

Most funding sources require that knowledge or experiences gained through your project be made available to others. This may be through presentations at meetings, publication or other dissemination of printed reports, or through special workshops or conferences which you will conduct. Dissemination exposes the results of individual or local projects to a national or regional audience and should stimulate ideas, suggestions and constructive criticism from these groups.

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5. References

If required or if allowed, references should only be provided if literature has actually been cited in the proposal narrative. Research proposals usually require an extensive literature review as a means of demonstrating one's knowledge of the "State of the Art". Otherwise keep references to a minimum. An alphabetical or numbers list of any other "standard" bibliographic format is generally acceptable.

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6. Budget

The needs of your project should determine your budgetary needs. The key word in budget development is CONSISTENCY. Consistency with the guidelines is absolutely necessary. No unallowable costs or items can be included (remember, the Sponsor is Always Right). Secondly, there must be consistency with your objectives and methods. Each item in the budget must relate to a program detail. No extraneous costs are allowed.

Budget information is generally presented in two different formats:

o Summary by general category of Direct Costs, Indirect Costs and Cost Sharing, and

o Budget justification or narrative, a detailed line-item explanation of all costs showing how each total cost is derived and relating each cost element to a program element. This is also the section of the budget in which any unusual costs associated with the proposed project must be justified. If the proposal narrative is well developed, explaining in detail the activities and anticipated objectives, the justification should be straightforward. Such items as annual salary increases, equipment costs, unusually high supply or travel costs, and stipend costs should be included.
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Typical Cost Elements Included in a Budget Narrative:

a. Personnel / Salaries and Wages

All wages and salaries for personnel who will devote any time to the project must be included. For key personnel, provide the name, title, amount of time to be spent on the project, base salary and total amount to paid to the individual. Names of supporting personnel are not usually necessary. Rates of compensation for individuals are generally limited by institutional policies or State and Federal law. Please contact the Office of Grants and Sponsored Research for specific information. Federal grants and contracts will not allow salaried personnel to be paid for over-time, overload or extra-compensation unless this is specifically stated in the proposal and awarded in the grant.

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Go to Appendix No. 4: Things To Be Aware Of

b. Personnel / Fringe Benefits

Fringe benefits must be paid for all individuals receiving salary or wages from a grant. Fringe benefits must be included for ANY compensation, except honorariums. The exact rates for fringe benefits change annually (sometimes semi-annually) so it is best to always check with the Office of Grants and Sponsored Research for the current rates. Appendix 11 provides a break down of fringe benefit rates as of 1 July, 2003.

State and Federal Regulations require that Fringe Benefits be paid on all salaries charged to a grant. State Law requires that fringe benefits be paid from the same source as salaries. If you have questions regarding the correct rates or amounts of fringe benefits contact the Office of Grants and Sponsored Research or the Human Resources Office.

Go to current institutional information: http://www.coastal.edu/grants/rates.html

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c. Expendable Supplies

This category may include a variety of consumable supplies such as office supplies, glassware, chemicals, and educational supplies. Depending on the requirements of the sponsoring agency a single total for this category may be all that is necessary. However, be prepared to supply a detailed breakdown of unit costs if requested. Generally the State imposes a 5% use tax on all supplies and materials purchased from outside suppliers. This tax will also be charged against your grant.
Go to "Purchasing"

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d. Equipment

Equipment, both purchased and leased, must be itemized with unit and total costs. Most federal agencies now define equipment as an item of property that has an acquisition costs of $5000 or greater and an expected service life of two or more years. Coastal Carolina University follows State guidelines which has also set a $5000 limit for equipment items. Many funding agencies do not allow the purchase of equipment, especially general purpose office equipment, from grant funds. If you are in doubt about whether or not equipment purchases are allowed, careful reading of the guidelines and preapplication consultation with the funding agency should clarify the question for you. Again, the State imposes a 5% use tax on all equipment purchased with grant funds. Remember to include these taxes in your budget.

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Go to "Purchasing"

e. Travel

The type and extent of travel and its relationship to the project's objectives should be specified. Generally you should specify the purpose of travel, mode of transportation, length of travel, and costs of transportation, meals, lodging and other travel-related costs. Reimbursement for travel is based on the State's and institution's travel policies, so requests should be in line with these.

Many agencies have special restrictions on foreign travel. Pre-application contact with the funding source is the best way to make sure you are familiar with these restrictions and regulations.

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Go to Appendix No. 5: Regulations for Travel Reimbursement

f. Communications

Telephone, telegraph, cable, and messenger charges associated with your project are included here. Some agencies also include postage costs. If there is no separate category for Communications and/or Postage these should be included under "Other Direct Costs."

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g. Publication

The costs of preparing and publishing reports of program activities including printing and photocopying, art, photography and graphic work, reprint costs and page charges.

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h. Subcontracts

This category should contain any contractual arrangements to be made by the University with another institution, agency or corporation. Subcontracts should resemble a proposal in that they must contain much of the same information as the full proposal. An officially endorsed subcontract proposal with a complete breakdown of subcontract costs should be included in the full proposal.

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i. Consultants

Consultant services must be justified and information furnished on each consultant's name and expertise, organizational affiliations, compensation rate, and numbers of days or percent of effort devoted to your project. Federal regulations prohibit faculty from being paid as consultants if they are in the same department as the principal investigator. In order to receive compensation, consultation must be across departmental lines and in addition to the normal work load. Employees of Coastal Carolina University or of any other state agency can only be paid for consulting according to the State's Dual Employment policies which set limits on the amounts that can be earned and requires that fringe benefits be paid on any compensation.

Go to Appendix No. 4: Things You Must Be Aware Of (Consultants and Honoraria)

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j. Other Direct Costs

Other miscellaneous costs which do not fit the above or other required categories in your budget can be placed here. Stipends to participants, copying fees, postage, maintenance and repair costs and computer charges are examples of the types of costs normally found here.

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k. Indirect Costs

Indirect costs are the overhead costs incurred by the institution in the general support and management of the proposed activities that cannot readily be determined by direct measurement. Indirect costs include the costs of general administration, such as accounting, personnel, payroll, plant operation and maintenance including utilities, janitorial services, and routine repairs and maintenance, depreciation and use allowances for existing buildings and capital equipment, research administration and departmental administration in support of your project. Coastal's Indirect Cost rate is negotiated with the federal government but must be applied to all grants and contracts unless an agency has a written policy prohibiting the payment of Indirect Costs or Overhead. CCU will use the full amount of indirect costs recovered from its research grants and contracts to further faculty research and development. Costs generated by grants and contracts in the Service or Training (Instruction) categories go to the State Treasury's General Fund. Coastal's approved Indirect Cost Rate (effective July 1, 2004) is forty-nine point two percent (49.2%) of the total salaries, wages and fringe benefits. PLEASE CONSULT THE OFFICE OF GRANTS AND SPONSORED RESEARCH BEFORE CALCULATING THE INDIRECT COST RATE.

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l. Cost Sharing

Some agencies require that grantee institutions commit to share in the overall costs of a sponsored program. The University's share of the project must be shown in the proposal budget and then documented as the program proceeds. There are several ways that agencies deal with cost sharing. The most common is for the agency to specify what percentage of the program must be paid for by the grantee. This amount can range from as little as 1% to as much as 50%.

The most common and easiest method of cost sharing from the University's standpoint is the purchase of equipment and faculty release time. These methods allow for maximum accountability with relatively simple tracking procedures.

It is the responsibility of the Principal Investigator to insure that cost sharing funds are properly spent and accounted for. However, advance approval from the Dean or Department Chair is required before cost sharing funds can be either committed or expended.

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m. Appendices

The appendices should contain information that will strengthen the basic concept developed in the narrative section of the proposal. Included are items that could have been put in the main body of the proposal, but in the interest of conciseness are appended. Examples are: expanded resumes, letters of support, list of supportive data, publications, etc.

Go to Appendix No. 2: Pre-Award Step Summaries

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V. SUBMITTING THE PROPOSAL and PROPOSAL REVIEW

A. Necessary Forms and Approvals

Before submitting any proposal to the Office of Grants and Sponsored Research the principal investigator should be certain that he or she has received the approval from the appropriate Dean or Director as indicated by that person's signature on the Proposal/Award Processing form (OGSR-1). This signed form must accompany all proposals turned in to the Office of Grants and Sponsored Research. In addition the Principal Investigator must also sign the OGSR-1. Signing this form indicates that the Principal Investigator has reviewed the proposal and gives their approval for its submission and certifies that he or she is in compliance with CCU's policy on Debarment and Suspension in Federally Sponsored Projects. Other required signatures on the OGSR-1 form will be obtained by the Office of Grants and Sponsored Research before submitting the proposal to the funding agency.

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B. Special Reminders

1. Processing Time

Please submit proposals to OGSR at least five working days prior to the deadline. This is the minimum time required to ensure a complete review and University endorsement. Some proposals may require additional lead time. Be sure you have discussed with OGSR whether your proposal will require additional time well in advance of the deadline.

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2. Application Instructions/Guidelines

If the proposal is being submitted to other than a federal agency or as special "one-time project" within a federal agency, please include a copy of the application instructions and any other written instructions you have received from the funding source. This is particularly important for foundations, professional societies, smaller special interest organizations, industry programs, or for RFP's. OGSR needs this information in order to determine such things as allowable overhead rates, correct mailing addresses, special restrictions, and other unusual requirements.

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3. Specialized Information

Occasionally, an application (for example, Department of Defense and US AID forms) will require a large number of certifications, special assurances, or financial statements from the University. If you are working on a proposal of this type, please send OGSR a copy of these requirements prior to submitting the proposal to OGSR for review. This will save you time since it often takes several days to put together the material for specialized information requests.

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4. Format Guidelines

Investigators should read all application guidelines very carefully. Many agencies and programs have strict policies concerning the number of pages, type size, format, etc. Failure to prepare proposals in conformance with guidelines can lead to rejection of the application.

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C. Proposals Requiring Special Review

While preparing a proposal it is important to keep in mind that certain special reviews and approvals may be necessary to ensure compliance with University and sponsor requirements. The review and approval procedures listed below are mandated by federal statute/regulations. Violations can lead to loss of federal and non-federal support. University policy requires appropriate review of all projects involving the following:

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1. Human Research Subjects

All research involving human subjects must be approved by the University's Institutional Review Board (IRB). The IRB is established in accordance with federal law and is administered by OGSR. Most funding agencies require evidence of IRB approval prior to making a grant award for a project involving human subjects. You should contact OGSR for appropriate forms and procedures for obtaining IRB review/approval.

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2. Animal Subjects

All research involving vertebrate animals must be approved by the University's Institutional Animal Care & Use Committee (IACUC). Like the IRB the IACUC has been established in accordance with federal regulations and most agencies require approval before they will make a grant for research involving animals. An Animal Use Questionnaire must be obtained from OGSR and completed in order for the committee to consider a researcher's project.

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3. Hazardous Materials

Research involving potential hazards associated with the use of toxic materials, infectious organisms, and genetic recombination must be reviewed and approved by the University. Questions concerning research involving hazardous materials should be directed to the OGSR (phone 2918).

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D. Site Visits

If the project you have proposed involves large sums of money or extended support, or if it is to be funded by an agency which has not given previous support to the University, you may be "site visited." Usually, the arrangements for these visits are made directly between a staff member of the agency and the principal investigator. The agency representative will outline the subjects to be covered and the facilities and personnel to be visited, and it will be up to the principal investigator to see that the requests are met.

Normally, site visits last only a day, but the principal investigator and other staff associated with the proposal should be well-prepared to answer questions concerning the proposed project, and the available facilities and personnel to be involved.

The OGSR office welcomes the opportunity to havea member of its staff in attendance at site visits since at least one member of most site teams is a business or administrative officer of some type.

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E. Declination

The total dollars available for sponsored programs are far exceeded by those sought by competing proposals. Declination of a proposal does not necessarily mean that it was not well-conceived or presented; indeed, it may have received favorable reviews.

It is discouraging to spend a great deal of time and effort developing a proposal only to have it declined without knowing the reasons. The proposer may want to request whatever comments are available from the agency so he/she can determine why the proposal was not funded. In many cases, the proposer may want to make appropriate changes in the proposal, based on reviewer's comments, and resubmit the proposal.

The staff of the OGSR office would appreciate the principal investigator sharing the reviewers' comments. Often, the comments will allow the OGSR office to recognize important trends in sponsor attitude which can be used throughout the University.

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Go to Appendix No. 2: Pre-Award Step Summaries

VI. POST-AWARD ADMINISTRATION

The receipt of funds from external sources means that the University, the official recipient, and the project director must take on a series of administrative responsibilities related to such matters as fiscal management, purchasing and personnel. This section of the workbook has been designed to aid the project director, working closely with the administrative staff, in the performance of these functions.

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A. Acceptance of the Award

After a proposal has been approved for support, official notification is usually sent to OGSR and the project director. Occasionally, with non-federal awards, only the project director will be notified. In such situations, it is extremely important that the project director send the original notification to OGSR immediately so that the process of establishing an account within the University system can be initiated promptly.

OGSR will check the terms and conditions of the award (grant, contract or letter of intent) with those contained in the original application. Further, the award will be reviewed for compliance with University and State regulations. If there are differences, they are resolved with the project director and the appropriate University officials, and where necessary, with the sponsoring agency. In many cases, official acceptance of the funds is required, and this must be by signature of the designated University signatory authority.

Once the terms are judged acceptable, OGSR authorizes the University's fiscal officer to open an account and a budget is established based on the award notice and the proposal budget. A start date and a termination date encompassing the period of award are also set. From this point on, the Office of Grants Accounting is responsible for keeping the fiscal records pertaining to the award and for preparing the expenditure reports to the granting agency.

The Office of Grants Accounting provides a monthly management report to the project director as an aid for fiscal management of the project. These reports cannot be expected to reflect all expenditures that may have been made on the date they are received by the project director. Often, there is a lag of several weeks. Neither can the reports "predict" expected costs which have not been committed. Relying solely on these reports as a guide to the funds remaining in the project account may lead to over-expenditures and poor long-term fiscal management. The responsible individual (project director, administrative assistant or secretary) should maintain a daily log of expenditures.

Occasionally, it is necessary to open an account before an official award document is received from the funding agency. OGSR will set up a RISK account only after determining that the proposal has been approved and will be funded by the agency and a statement from the department's chair confirming that, should the award not be made, the department would be responsible for any costs incurred. Contact the Office of Grants and Sponsored Research at Coastal Carolina University for more information regarding Risk Accounts.

Many federal agencies allow a grantee to incur expenses prior to receiving an award. This usually is in the form of a 90 day pre-award period. If an investigator has confirmed that an award is forthcoming, he/she can request in writing that OGSR set-up an account. No expenses may be incurred prior to the approval of OGSR.

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B. Award Document

The official award document varies considerably in format. Generally, however, it will give the following information:

- Amount awarded
- Project period (begin and end dates)
- Funding agency contacts:

      The Program Officer, who is responsible for
      the scientific and technical aspects - the P.I.'s
      contact for programmatic concerns, changes
      in scope of work, etc.

      The Office of Grants and Sponsored
      Research, who is the contact for
      administrativeconsiderations such as
      re-budgeting,assurances and certifications.

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C. CCU Accounts

The account number assigned to an award is comprised of two digits that denote the source of funding (31 = federal, 32 = state, 33 = county or local government, 34 = business/ commercial, and 35 = philanthropic) and four digits, the first of which identifies the purpose of the grant (1 = instruction, 2 = research, 3 = service); the second identifies the cost center (School, Center, etc.) and the final two identify a specific grant or account.

OGSR prepares an Account Memorandum and a Sponsored Project Budget Sheet which, along with the Award Document, are forwarded to the Office of Grants Accounting for entry into the University's accounting system.

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D. Post Award Activity

Post award activities likely will involve the administrative staff to a high degree. The comments that follow address some of the more usual situations you will encounter.

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1. Re-budgeting

Often it is necessary to modify budgeted line items to meet unforeseen needs or changes during a project. OGSR will help expedite required or desired budget modifications. Most major federal agencies have liberal rules concerning the transfer of funds between approved budget categories. For the most part changes can be made at the request of the P.I. with no further sponsor approval required. Other agencies (e.g., private foundations and state agencies) have stricter re-budgeting requirements and may require agency prior approval before modifying an approved budget. OGSR should be consulted as to grant/contract requirements. If prior approval is required by the funding agency, a written request processed through OGSR for University concurrence will be necessary.

Note that a budget reallocation should also consider whether indirect cost adjustment is required. Reallocating to or from personnel and fringe benefits requires an adjustment in indirect cost because Coastal's indirect cost rate is based on total salaries, wages and fringe benefits. For example, moving $1,000 from personnel and fringe benefits should also include moving $530 from indirect cost (given the current rate of 53%), so that $1,530 is available for other direct cost categories. The reverse is true if funds are moved from equipment to personnel. (Note: There are some agencies that do not allow re-budgeting of indirect costs).

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2. Changes Requiring Funding Agency Approval

As a rule, funding agency prior approval is required in the following situations. These requests should be prepared by the P. I. and routed through OGSR for university concurrence.

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a. Change in Principal Investigator (PI)

The University is required to seek approval before a substitute PI is appointed to replace an absent or departed PI. If the PI is absent from the project for a period of 3 months or more, the agency must be notified. Often a substitute PI must be proposed by the grantee and must be approved by the granting agency. The request for a substitution should include a justification for the change, the qualifications of the proposed substitute, and any budgetary changes resulting from the change.


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b. Changes in the original scope of work or research objectives

Examples of such changes include change in the specific aims approved at the time of award; change in key personnel whose expertise is critical to the approved project; or shifting of the emphasis from one research area to another.

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c. No-cost extensions

the P.I. should submit a request to the funding agency 60 days in advance of the end date. This request should justify the need for additional time and be routed through OGSR for concurrence. Having funds left is usually not justification. There are exceptions to this as many federal agencies allow extensions without requiring prior approval.

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3. Grant Expenditures

All expenditures charged to a grant or a contract must be within the time period of the award. (Exceptions: some federal agencies allow pre-award costs and end-date extension.) Payment can take place after the grant or contract terminates, but only when funds were committed prior to the effective end date.

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4. Foreign Travel

Travel costs are limited to those allowed by state policy and, in the case of air travel, less than first-class travel must be used when available. Grant recipients (federal) must comply with the requirement that U.S. flag carriers be used to the maximum extent possible when commercial transportation is the means of travel. This requirement shall not be influenced by factors of cost, convenience or personal preference. If it is impossible to use a U.S. carrier, written prior approval to use non-U.S. carriers must be received from the federal agency.

Additionally, the State of South Carolina requires that all foreign travel be reported to the Budget and Control Board.

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Go to Appendix No. 5: Regulations for Travel Reimbursement

5. Equipment

Equipment is usually defined as nonexpendable, tangible property having a useful life of more than 2 years and an acquisition cost of $5000 or more per unit. Some federal agencies view equipment in two categories:

General Purpose: Equipment not used exclusively for research, medical, or other technical activities. It is the potential use, not the actual use that must be considered. Examples include typewriters, refrigerators, freezers, computers, cameras, vehicles and office furniture.
Special Purpose: Equipment which can be used only for research, medical and other technical activities.
When purchased with federal grant funds, the title to equipment normally is vested in the University. However, agencies do reserve the right to require transfer of equipment. All equipment purchased from grant or contract funds is subject to CCU inventory controls and property management policies. Equipment purchased with grant or contract funds only may be transferred by the P.I. to a new institution should he/she leave CCU. This can be a long process. Removal of equipment from inventory requires signed approval by several divisions within the University including the Office of the President.

ONE FINAL REMINDER: Do not make large expenditures for equipment in the last few months of the project; do request equipment purchases as early as possible because of the time necessary for state bidding procedures.

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6. Purchasing

All purchases of materials and equipment with grant funds must be handled through standard University procedures (i.e., don't do anything without a purchase order).

Purchase of equipment items must follow certain procedures so it is important to allow time to meet all necessary requirements. The following is a breakdown of CCU equipment purchase requirements.

If equipment is to be purchased on a sole-source basis, the request must be justified and routed through the Purchasing Office and final approval granted by the President.

Purchasing will need a copy of the section within the grant that shows the specific item to be purchased (or the name and/or organization to perform services). Attach this to the purchase requisition.

South Carolina sales tax must be added to the purchase price of any equipment or supplies.

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7. Personnel

Hiring Procedures for grant-supported personnel must adhere to the same University and State of South Carolina guidelines, requirements, regulations, and policies that apply to all other employees hired by the University. Contact the University Human Resources Office for guidance in the proper procedures and forms to use. It must be remembered that certain procedures (establishing a new position, dual employment, upgrading a position, etc.) require several weeks for completion. Contact the University's HRAA office to obtain copies of procedures and forms for personnel related items, including how to establish a temporary grant position and how to complete the Personnel Action Form (PAF).

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8. Miscellaneous Information

a. Patents and Inventions

The University has a Patent and Copyright Committee which serves as an advisory group to the Provost. A P.I. who wishes to pursue a patent should contact OGSR for assistance (extension 2918).

University policy requires that faculty disclose inventions to the Patent and Copyright Committee at the time of discovery. Disclosure forms are available from the Office of Grants & Sponsored Research. Most federal grants allow the patent rights to remain with the University. However, all inventions must be reported to the agency. Non-federal agencies have many different requirements and each grant or contract must be reviewed to determine the appropriate policy. It is important to contact OGSR whenever a patent is being considered so that the P.I. can receive assistance in complying with the agency and the University policy as well as in preparing the required documents.

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b. Co-Mingling of Funds

Funds in one CCU grant or contract account cannot be transferred to another account. If an account has been incorrectly charged for an item or service, and if that charge should have been placed against another account number, this must be done by journal entry in Grant Accounting. A memo should be sent to Office of Grants Accounting or OGSR requesting that the charges be moved from one account to another.

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c. Change of Grantee Institution

In most cases, principal investigators may transfer their grants or contract with them when they move to a new institution. Several reports will be required (final financial reports, invention statements, equipment transfer requests, relinquishing forms, revised applications for the new institution, etc.). Since the process differs with each agency, OGSR should be contacted immediately when it is known that a new P.I. will be bringing an award to the University or when a P.I. at CCU is planning to transfer his/her award to another institution.

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d. Final Reports

At the end of a grant there are usually a number of required reports. These are a final progress report (technical), expenditure report (fiscal), invention statement, and equipment inventory. In most cases the University has ninety (90) days from the end of the grant to submit all required reports. If there are any questions as to the reporting requirements, OGSR or the granting agency should be consulted.

The final progress report or technical report should be completed by the principal investigator and should be prepared according to instructions from the granting agency. This report usually includes a summary statement of progress toward the originally stated aims, a list of significant results (positive or negative), a list of publications resulting from the project, and any other material required by the award instrument.

The final expenditure report will be completed by Grant Accounting. This report documents the financial status of the grant according to the official records of the University.

Many agencies require an invention statement whether the grant produced an invention or not. If there were inventions, the P.I. identifies them on the report and submits it to the granting agency with the P.I.'s signature and the appropriate signature from the OGSR office. If there were no inventions, the same reporting procedure is used to state that no inventions were made during the grant period.

Most agencies require that any equipment purchased with grant funds be reported. This inventory report is prepared by the University property officer in Grant Accounting.

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APPENDICES

APPENDIX NO. 1: ORGANIZATIONAL CHART

APPENDIX NO. 2: PRE-AWARD STEP SUMMARIES

APPENDIX NO. 3: PRE-AWARD PROPOSAL DEVELOPMENT FLOW CHART

APPENDIX NO. 4: THINGS YOU MUST BE AWARE OF

APPENDIX NO. 5: REGULATIONS FOR TRAVEL REIMBURSEMENT

APPENDIX NO. 6: POST AWARD RESPONSIBILITIES - ACTION MATRIX

APPENDIX NO. 7: CONTACTS FOR CAMPUS SERVICES

APPENDIX NO. 8: IMPORTANT INFORMATION ABOUT COASTAL CAROLINA UNIVERSITY

APPENDIX NO. 9: KIMBEL LIBRARY RESOURCES

APPENDIX NO. 10: SAMPLE FORMS - OGSR 1 and OGSR 3

APPENDIX NO. 11: FRINGE BENEFITS FOR GRANT EMPLOYEES

APPENDIX NO. 12: POLICIES AND PROCEDURES PERTAINING TO GRANTS