Frequently Asked Questions

The following are questions frequently asked by researchers and administrators about Sponsored Programs.

Pre-Award

Budget Development

Post-Award

Contract Services FAQ

Subaward FAQ

Pre-Award


1. Where do I go to search for funding opportunities for my research?   
FAU uses the GrantForward search engine for searching funding opportunities.

https://www.grantforward.com/index

The Division of Research also provides other sources for funding opportunities through the Research Development Office who disseminate relevant information about funding opportunities tailored to investigator’s research interests. For assistance, contact proposaldevelopment@fau.edu.

2. Who is eligible to be a principal investigator (PI) or co-principal investigator (Co-PI) on a project?   
Under the FAU PI eligibility policy, any individual who holds the following positions can serve as PI or Co-PI on a sponsored award:
  • Tenure track faculty (full, associate and assistant professors)
  • Non-tenure track research faculty (full, associate and assistant professors)
  • Non-tenure track Clinical research faculty (full, associate and assistant professors)
  • Instructor (Instructors, if not limited by the length of their contract, and with supervisory recommendation. VPR approval is required.
  • Executive Director/Director of a state designated university pillars/institutes or university center
  • Librarians holding faculty status equivalent to or greater than assistant professor
  • Vice Presidents, Senior/Executive Associate VP, Associate VP & Assistant VP of service areas
  • Principals, Assistant Principals, Directors (Associate and Assistant) and Professors (Associate and Assistant) A.D. Henderson School and FAU High School. These proposals and awards will be under and managed by the College of Education
  • Senior Research Fellows

Individuals who are employed by FAU and hold one of the following positions may serve as a Co-Principal Investigator (Co-PI) or Co-Investigator (Co-I) when one of the individuals listed on the “Eligible Positions List” above is named as the Principal Investigator (PI).

  • Adjunct Faculty
  • Affiliate Faculty
  • Post-Doctoral Fellows
  • Visiting Faculty

Exceptions may be granted at the discretion of the Vice President for Research when the department chair and dean recommend an exception and the Assistant Vice President in the Office of Sponsored Programs and Research Integrity Office approves.

https://www.fau.edu/research-admin/research-admin/docs/policies/sponsored-programs/pi-eligibility-policy-080120.pdf

3. When is my proposal due to Sponsored Programs?   

Proposal materials, including FAU internal documents, must be reviewed and approved by the chair and dean’s office and submitted to the Sponsored Programs office five (5) business days before the sponsor’s deadline. Many colleges impose additional time to allow for the review by the chair and dean’s office.

Proposals received by the OSP at least five (5) business days prior to the sponsor/submission deadline date will receive a full review and will have priority status. Proposals submitted with less than five (5) business days will receive a limited review or no review depending on when it is received in OSP and the current workload of the assigned PCA.

https://www.fau.edu/research-admin/research-admin/docs/policies/sponsored-programs/proposal-submission-policy-rev-01-05-2018.pdf

4. Why must a research proposal be reviewed and approved by Sponsored Programs before submission?   
FAU requires that proposals be reviewed and approved by an authorized official prior to submission to a sponsor in order to ensure that the faculty and university are eligible and can comply with the sponsor’s requirements, FAU policies, and applicable state, federal or local rules and regulations. The authorized official approving the proposal certifies and assures that FAU will comply with the required regulations. Failure to comply can result in penalties to FAU and withdrawal or termination of funding. Since proposals often commit FAU resources, faculty time, office/lab space, etc., proposals also must be reviewed and approved by the chair and dean of the appropriate college prior to submission.
5. Does the Sponsored Programs Office need to review a pre-proposal, white paper, or letter of intent (LOI) before submission to a sponsor?   

Yes. The Sponsored Programs office reviews pre-proposals, white papers, and letters of intent to sponsors prior to submission even when budget information is not required at that time. The information may not necessarily need to be entered into Novelution during this time if no budget details are being submitted, but should be e-mailed to the college dean and appropriate proposal and contract administrator (PCA) in Sponsored Programs for review.

Sponsors frequently require that FAU faculty provide letters of intent, statements of interest (SOI), and preliminary proposals prior to submission of a final proposal. Such documents vary greatly in their content and use by sponsors. Some may be limited to a brief description of the project to allow the sponsor to assess whether the area of work meets their needs. Other preliminary proposals, letters and statements may be close to a complete proposal with some combination of a detailed scope of work, budget, justification, a commitment to provide matching funds, agreement to terms and conditions, sign-off by the Sponsored Programs institutional official and other requirements normally part of a final proposal. Because of this variability, all funding announcements for preliminary proposals, letters and statements must be submitted to the assigned Sponsored Programs proposal and contract administrator for review. The administrator will review and determine whether the letter, statement or preliminary proposal may be expedited or requires review and approval through FAU’s Novelution system.

Procedures:

Pre-proposals, white papers, LOIs that do not include budgetary information, cost-share commitments, subcontractors or consultants, do not need to be entered into Novelution. Rather, e-mail the document to the college dean and appropriate Sponsored Programs administrator for review and tracking.

Pre-proposals, white papers, LOIs that include budget information and/or cost-share commitments are treated the same as a full proposal. The proposal information should be entered into Novelution and routed for review by the chair, dean, and Sponsored Programs.

Pre-proposals, white papers, LOIs that a subcontractor or consultant but no budgetary information will need at a minimum an e-mail from the subcontractor and/or consultant outlining their commitment to the project before submitting to Sponsored Programs for review.

https://www.fau.edu/research-admin/docs/policies/sponsored-programs/pre-proposal-policy.pdf

6. Should students or post-docs applying for a research fellowship or other student assistance grant submit their application through Novelution?   
Please contact the Office of Sponsored Programs to determine if a fellowship application needs to be routed to OSP prior to a fellow submitting a research fellowship application.
7. Who is authorized by FAU to sign research proposals, contracts/agreements?   
Only authorized officials are permitted to sign proposals and awards for research projects. Signature authority is given by the president of the university to certain individuals to bind FAU for research grants and contracts. Contact the Office of Sponsored Programs for information on the authorized official.
8. Where can I find the FAU institutional information required by most sponsors?   
The Office of Sponsored Programs has a Frequently Used Administrative Information page on the Division of Research website that includes the most commonly requested information for proposal applications, including the authorized official contact information, check payment addresses, fringe benefit and indirect cost rates, DUNS numbers, etc.

https://www.fau.edu/research-admin/research-admin/sponsored-programs/administrative-information/

9. Can I still submit a proposal if the sponsor does not allow or limits the indirect costs?   
It is the general policy of FAU to recover full costs for all sponsored projects, (i.e. both direct and facilities and administrative [F&A] costs, which are also referred to as indirect or overhead costs). FAU’s F&A rates are negotiated and approved by the federal government through the U.S. Department of Health and Human Services. It’s important to collect full F&A costs, especially from the federal government and private sponsors, to offset the real costs of conducting sponsored projects.

However, FAU recognizes that some sponsors provide F&A rates that are less than FAU’s full rates. Sponsors that have published rates that are less than FAU’s full rates are generally accepted. When submitting a proposal to a sponsor who requires a F&A rate that is less than FAU’s established rates, a copy of the sponsor’s F&A policy must be attached to the proposal. See FAU Policy 10.2.5:

https://www.fau.edu/research-admin/research-admin/docs/policies/sponsored-programs/fa-rate-agreement-030316.pdf

10. What should I do if the sponsor limits the number of proposals allowed per institution?   
When the sponsor limits the number of proposals per institution, the Division of Research will conduct an internal (or limited submission) competition to determine who should submit on FAU’s behalf. Please contact the Research Development Office when considering applying for a limited submission proposal at proposaldevelopment@fau.edu.
11. What is the difference between a subrecipient and a consultant?   
Subrecipient
  • Subrecipients are entities who have a tax identification number and have the infrastructure and internal controls to carry-out their portion of the Scope of Work
  • A PI is identified for the subrecipient and has responsibility for programmatic decision-making and completion of reports (i.e., conduct, direction and reporting of research)
  • Must provide a letter of intent signed by subrecipient’s institutional/authorized official
  • Must provide a scope of work/statement of work
  • Must provide a detailed budget and budget justification
  • May include indirect costs when based on a federally approved rate
  • Uses the funds to carry out a program within the organization as compared to providing goods or services for a program
  • Is responsible for adhering to applicable program compliance requirements (e.g., Uniform Guidance, agency regulations)
  • Subrecipient’s PI may be a co-author on publications or may seek patent protection for inventions
  • May provide cost sharing or matching funds
  • A subaward agreement is executed between the subrecipient and the prime institution (FAU)

Consultants

  • An individual who is clearly a bona fide consultant (i.e., expert advisor) who pursues this line of business for him/herself
  • Consultants are typically individual unless they are a consulting firm or other consulting entity.
  • Do not meet the requirements for subrecipient or vendor
  • Are non-FAU personnel and not classified as an employee at FAU
  • Is paid based on a daily or hourly fixed rate
  • Considered a “work for hire” and thus all intellectual property and copyrightable information is assigned to Florida Atlantic University

For additional information on subrecipients:

https://www.fau.edu/research-admin/sponsored-programs/subawards/

12. What documentation is needed when a subrecipient is included on a research proposal?   
  • A letter of intent or National Institutes of Health form called PHS398 signed by the subrecipient’s authorizing official
  • Scope of work
  • Detailed budget and budget justification
  • Copy of the subrecipient’s approved F&A rate agreement
13. What documentation is needed when a consultant is included on a research proposal?   
  • Letter of commitment outlining the consulting services which is signed by the consultant and includes both the hourly rate and estimated numbers of hours
  • Copy of their resume
14. Do I need Institutional Research Board (IRB) or Institutional Animal Care and Use Committee (IACUC) approval prior to submitting a proposal which includes human subjects or animals?   
    In most cases, No. Sponsors typically allow proposals to be submitted while the IRB or IACUC approval is pending. When proposals submitted are pending, the proposal or application should be checked as pending on the routing form. If approval has already been received, the protocol number and approval date should be entered in grantsERA on both the proposal and routing sheet.
15. What is cost sharing or matching? How do I document cost share/match in a proposal?   
Cost share or matching is the portion of the total sponsored project costs that is not reimbursed by the sponsor. Cost share represents a commitment by FAU or a third party (i.e., a non-federal source) to a sponsored project in the form of dollars, effort or in-kind contribution.

Cost share is further classified as either mandatory or voluntary. Mandatory cost share is required by the sponsor as a condition of the award, as stated in the solicitation, program announcement or request for proposal. Failure to include mandatory cost share in a proposal makes the application ineligible for an award.

Voluntary cost share is funding of a sponsored project that is not required by the sponsor.

The FAU policy is to include only mandatory cost sharing in proposals submitted to sponsors. If cost sharing is not required for the completion of the project, it should not be included in the proposal.

The level of cost share required may be explicitly stated in the request for proposal as a matching contribution of a specific amount, a minimum percentage of the total allowable costs or a maximum sponsor percentage of participation in such costs. For example, “the applicant must provide an amount equal to the sponsor’s funds – a 50 percent or 1:1 match.” Or, “the applicant must provide 20 percent of total project costs; the sponsor will provide funds not to exceed 80 percent of the total project costs.”

Documentation for cost share in a proposal should include:

  • A copy of the sponsor’s documentation providing details of the required cost share (usually a section or page from the request for proposal)
  • Completed cost-share form signed by the PI, Chair and Dean. The cost-share (short form) is required at proposal time. If proposal is selected for funding, the detailed cost-share form will need to be completed and submitted to the Office of Sponsored Programs.
  • Third party cost share requires a letter of commitment from the authorized representative of the entity endorsing and quantifying the contribution

FAU Cost Sharing Policy 10.5.4 contains additional details on the treatment of cost sharing:

https://www.fau.edu/research-admin/research-admin/docs/policies/research-accounting/10-5-4-cost-share-policy-040315.pdf

16. If there is a conflict of interest to disclose on a proposal, can I still submit the proposal?   
Yes, PIs may still submit a proposal despite having a conflict of interest disclosure. However, all conflict of interest disclosures must be resolved and approved by FAU’s Conflict of Interest Committee before an account can be established at the award stage. Please refer to the FAU Financial Conflict of Interest in Research Policy for more information

https://www.fau.edu/research-admin/research-admin/docs/policies/research-integrity/official-signed-fcoi-policy-revision-investigators.pdf

17. How do I register with National Institutes of Health to obtain an eRA Commons or National Science Foundation ID number?   
Eligible PIs may register and obtain a NIH eRA Commons and/or NSF ID through their assigned proposal and contract administrator.

For NIH eRA Commons registration, the PI must provide the administrator his or her first and last name, institution email address and a preferred user ID. If a user ID is not provided, the standard user ID issued will contain the investigator’s first initial followed by their name if that user ID is available. Once registered, the investigator will receive an email guiding him/her through the log-in process, including establishing a unique password.

For NSF registration, principal investigators must go to Research.gov and complete the new user registration. They will be required to affiliate themselves with FAU. Once the registration has been completed, the PCA in OSP will assign the Principal Investigator role and proposals can now be created.

Budget Development


1. What are direct costs?   

Direct costs are expenses that can be directly associated with a particular sponsored project or activity. These include, but are not limited to, salaries, benefits, other personnel services, other contractual services, travel, supplies, materials and equipment.

2. What are indirect costs or facilities and administrative (F&A) costs?   
F&A costs are also referred to as indirect costs. These are costs associated with managing the contract or grant at the institution.
3. When using our federally negotiated F&A rate, what expenses are excluded from the Modified Total Direct Cost calculation?   
Equipment, capital expenditures, charges for patient care, tuition, rental costs, scholarships and fellowships, participant support costs and the portion of subcontracts over $25,000.
4. With which agency does FAU negotiate its federal F&A rate?   
The U.S. Department of Health and Human Services (DHHS).

Division of Cost Allocation
330 Independence Avenue, SW Cohen Building, Room 10-67
Washington, DC 20201

This is the agency with which FAU negotiates its indirect costs rates.

FAU Rate Agreement may be found here: https://www.fau.edu/research-admin/research-admin/docs/policies/sponsored-programs/fa-rate-agreement-030316.pdf

5. What are fringe benefits rates and how much should I include?   
The fringe benefit rate is a separate rate charged on employee wages based on employment classification (faculty, SP, AMP, OPS). Fringe benefits include FICA, retirement, worker’s compensation, unemployment compensation, health insurance, life insurance, short-term disability, and terminal leave.

FAU Rate Agreement may be found here:

https://www.fau.edu/research-admin/research-admin/docs/policies/sponsored-programs/fa-rate-agreement-030316.pdf

6. What is time and effort and who should devote effort?   
Effort is the amount of time spent on any institutional activity expressed as a percentage of the total work-related activities of the employee. Total effort for an employee must equal 100 percent and is not based on a traditional 40-hour work week. Employees who are working on a sponsored activity should devote effort appropriate to the time spent on the activity.

https://www.fau.edu/research-admin/research-admin/docs/policies/research-accounting/10-5-17-time-and-effort-2016-12-27.pdf

7. Is there a minimum amount of effort that must be devoted to the project?   
FAU requires a minimum commitment of one percent (1%) for the PI or key personnel, during the period in which the effort will be expended. This minimum effort requirement does not apply to the following:
  • Equipment and instrumentation grants
  • Doctoral dissertation grants or other student augmentation grants
  • Faculty mentors (also known as preceptors or program faculty) on institutional training grants.
    • Faculty mentor’s effort will be assigned to their specific research projects on which the trainees are involved
  • Specialty License Plates
  • Limited purpose awards characterized as Other Sponsored Activities like travel grants or conference support.

https://www.fau.edu/research-admin/research-admin/docs/policies/research-accounting/10-5-17-time-and-effort-2016-12-27.pdf

8. How can I charge my effort if the sponsor does not allow salaries?   
When the PI’s or key personnel’s effort is committed in a proposal and the related salary is not directly charged to the sponsored project, then the effort committed must be treated and documented as cost share. An Institutional Contribution Statement (ICS) form will need to be included with the proposal in grantsERA.
9. How do I convert percent effort to calendar/person months?   
These conversion charts were designed to assist departments when converting effort in the form of a percentage to calendar/person months, based on the term of appointment. These charts can be especially useful during the proposal process to determine effort commitments.

Please choose from the twelve or nine month appointment charts as appropriate.

Twelve Month Appointments (Full Time)

Percent Effort to Calendar Months

Percent Effort Calendar Months Percent Effort Calendar Months Percent Effort Calendar Months Percent Effort Calendar Months Percent Effort Calendar Months
1% 0.1 21% 2.5 41% 4.9 61% 7.3 81% 9.7
2% 0.2 22% 2.6 42% 5 62% 7.4 82% 9.8
3% 0.4 23% 2.8 43% 5.2 63% 7.6 83% 10
4% 0.5 24% 2.9 44% 5.3 64% 7.7 84% 10.1
5% 0.6 25% 3 45% 5.4 65% 7.8 85% 10.2
6% 0.7 26% 3.1 46% 5.5 66% 7.9 86% 10.3
7% 0.8 27% 3.2 47% 5.6 67% 8 87% 10.4
8% 1 28% 3.4 48% 5.8 68% 8.2 88% 10.6
9% 1.1 29% 3.5 49% 5.9 69% 8.3 89% 10.7
10% 1.2 30% 3.6 50% 6 70% 8.4 90% 10.8
11% 1.3 31% 3.7 51% 6.1 71% 8.5 91% 10.9
12% 1.4 32% 3.8 52% 6.2 72% 8.6 92% 11
13% 1.6 33% 4 53% 6.4 73% 8.8 93% 11.2
14% 1.7 34% 4.1 54% 6.5 74% 8.9 94% 11.3
15% 1.8 35% 4.2 55% 6.6 75% 9 95% 11.4
16% 1.9 36% 4.3 56% 6.7 76% 9.1 96% 11.5
17% 2 37% 4.4 57% 6.8 77% 9.2 97% 11.6
18% 2.2 38% 4.6 58% 7 78% 9.4 98% 11.8
19% 2.3 39% 4.7 59% 7.1 79% 9.5 99% 11.9
20% 2.4 40% 4.8 60% 7.2 80% 9.6 100% 12

Nine Month Appointments (Full Time)

Percent Effort to Calendar Months

Percent Effort Calendar Months Percent Effort Calendar Months Percent Effort Calendar Months Percent Effort Calendar Months Percent Effort Calendar Months
1% 0.1 21% 1.9 41% 3.7 61% 5.5 81% 7.3
2% 0.2 22% 2 42% 3.8 62% 5.6 82% 7.4
3% 0.3 23% 2.1 43% 3.9 63% 5.7 83% 7.5
4% 0.4 24% 2.2 44% 4 64% 5.8 84% 7.6
5% 0.5 25% 2.3 45% 4.1 65% 5.9 85% 7.7
6% 0.5 26% 2.3 46% 4.1 66% 5.9 86% 7.7
7% 0.6 27% 2.4 47% 4.2 67% 6 87% 7.8
8% 0.7 28% 2.5 48% 4.3 68% 6.1 88% 7.9
9% 0.8 29% 2.6 49% 4.4 69% 6.2 89% 8
10% 0.9 30% 2.7 50% 4.5 70% 6.3 90% 8.1
11% 1 31% 2.8 51% 4.6 71% 6.4 91% 8.2
12% 1.1 32% 2.9 52% 4.7 72% 6.5 92% 8.3
13% 1.2 33% 3 53% 4.8 73% 6.6 93% 8.4
14% 1.3 34% 3.1 54% 4.9 74% 6.7 94% 8.5
15% 1.4 35% 3.2 55% 5 75% 6.8 95% 8.6
16% 1.4 36% 3.2 56% 5 76% 6.8 96% 8.6
17% 1.5 37% 3.3 57% 5.1 77% 6.9 97% 8.7
18% 1.6 38% 3.4 58% 5.2 78% 7 98% 8.8
19% 1.7 39% 3.5 59% 5.3 79% 7.1 99% 8.9
20% 1.8 40% 3.6 60% 5.4 80% 7.2 100% 9

Conversion of percentage of effort to person months is straight-forward. To calculate person months, multiply the percentage of your effort associated with the project times the number of months of your appointment. The percent effort conversion can be calculated using the effort calculator.

https://www.fau.edu/research-admin/research-admin/sponsored-programs/time-and-effort-calculator/

10. When a budget includes graduate student salaries, why should I also include tuition?   
Graduate students who are employed as graduate research assistants, graduate teaching assistants, graduate research associates, graduate teaching associates, or graduate student workers are eligible to receive tuition benefits up to 27 credit hours in a given academic year provided they meet the requirements of the Tuition Benefits Policy for Graduate Students.

Please refer to the following link for eligibility and policy guidelines:

http://www.fau.edu/graduate/tuition-benefits/pdf/Tuition_Benefits_Policy_for_Graduate_Students.pdf

Post-Award


1. Where can I find my award information?   
Workday is FAU’s financial accounting system. Once an Award Number, SmartTag number, and Grant (GT) Number have been established for an award, a Workday notification will be generated for the PI, Business Manager, Financial Manager, Sponsored Programs, and Research Analyst. These notifications can be viewed directly from Workday or you can setup your Workday account to send “real-time” emails when Workday notifications or inbox items are received. Once Research Accounting has completed the set-up of the Workday account, the award document and post-award worksheet will be uploaded into Novelution where both the PI and department administrator can view.
2. My award is here – but IRB/IACUC/IBC, FCOI have not been approved yet. What should I do?  

Prior to a Workday account being fully setup, all sponsored projects involving humans, animals or biohazardous materials must have an IRB, IACUC or IBC protocol approval on file. The PI should contact the Research Integrity Office for guidance on obtaining approval.

If a researcher discloses a financial conflict on the Disclosure of Financial Interest Form, the potential conflict must be reviewed by the FCOI prior to the set-up of a Workday account. The FCOI committee will review the conflict and determine if there is a financial conflict of interest and if a management plan should be established.

If IRB/IACUC/IBC or FCOI is still pending, the Office of Sponsored Programs will prepare the post-award paperwork and forward to the Research Accounting Office as a “SP HOLD”. Research Accounting will establish the Workday account, but will not authorize spending on the account until the pending compliance approvals have been received. Once all compliance approvals are in place, the Office of Sponsored Programs office will notify Research Accounting to finalize the Workday account.

http://www.fau.edu/research-admin/research-integrity/

3. What is a no-cost extension (NCE)? How do I request one?   

A no-cost extension is requested when additional time is needed to complete the research. The request is submitted to the sponsor and, if approved, it allows the PI additional time to complete the scope of work of his/her project without additional funding.

Before requesting a no-cost extension, PIs should be sure that there are sufficient funds still available for the PI to maintain the same level of effort during the no-cost extension period. If sufficient funds are not available, approval from the sponsor may be needed to reduce the effort during this time. Contact the proposal and contract administrator in the Office of Sponsored Programs for guidance on how to submit a request for a no-cost extension.

4. Can I request a no cost extension (NCE) for my project and not allocate salary and effort for the PI?  
No. NCEs are requested when there is work remaining to be conducted on the project. The proper effort and salary corresponding to the PI/Co-PI, etc. must be allocated to that project to ensure compliance with effort reporting.
5. Can I request a no cost extension (NCE) for my project if the work has been completed, but I still have funding available?  
No. If the project has been completed and the final report has been submitted, a NCE is not appropriate as the project has been finished.
6. How is payment to subjects on a research project made?   

Research study subjects are individuals who agree to participate in a research study funded either internally or externally (sponsored) and who will receive payment for their participation as allowed by the programmatic guidelines and approved by the funding agency. There are two types of payment methods for study subjects:

University payment through accounts payable – FAU prefers the use of FAU EFT/ACH (Electronic Fund Transfer/Automatic Clearing House) when compensating research study subjects. Although this method may require incremental administrative effort, it substantially minimizes the risk of loss or misappropriation of funds.

Gift cards purchased after receiving an advance via accounts payable – The distribution of gift cards to research study subjects in exchange for participation in a research study may be appropriate based on the perceived preference of the recipient population. Gift cards are considered cash or cash equivalents and are subject to the university’s expenditure guidelines and could be considered income to the individual for tax purposes.

For more information regarding study subject payment, please refer to the Accounting for Payments to Research Study Subjects, Including Gift Cards policy at: https://www.fau.edu/research-admin/research-admin/docs/policies/research-accounting/10.5.1-gift-card-policy.pdf

7. What is a Sponsored Programs Exemption Form and when is it necessary?  

As a state university, FAU is required to follow the State of Florida’s procurement requirements when purchasing materials, supplies, equipment or services for research purchases. This requires obtaining an additional quote from another vendor/company when purchasing an item or service that is $20K or more. Certain provisions in federal law allow state universities to exempt the requirements when certain conditions are met.

For federally funded project, one or more of the following criteria should be included to support the justification:

  • Item is available only from a single source and is not available from other sources;
  • A public exigency or emergency for the requirement will not permit a delay resulting from competitive solicitation;
  • The federal awarding agency expressly authorizes noncompetitive proposals in response to a written request from non-Federal entity (FAU);
  • After a solicitation of a number of sources, competition is determined inadequate.

In most cases, an SP Exemption form is used for exemption C. When a specific vendor/service is named in the proposal and the awarding agency approves and awards the project, this has met the requirements of exemption C.

For exemptions A and D, the procurement office must deem the vendor/item as a sole source or inadequate solicitation.

When a purchase is $20K or more and meets one of the above criteria, the PI should complete a Sponsored Programs Exemption Form and certify that the purchase is necessary for the efficient or expeditious execution of the research project and forward to the Office of Sponsored Programs for approval.

https://www.fau.edu/research-admin/research-admin/docs/forms/sponsored-programs/post-spexemption-march2019.pdf

A Sponsored Programs exemption shall only be used when the purchase is fully funded from sponsored funds.

8. Who do I contact if a change to the scope of work is needed?  
When a change to the scope of work is needed, the PI should first contact the sponsor’s program official to discuss the need for the change and the process for submitting a revised scope of work. If the sponsor approves the revised scope of work, it should be forwarded to the Office of Sponsored Programs.
9. Can I re-budget funds within my project and if so, how do I do this?  

Permission to re-budget from one budget category to another budget category depends on the terms and conditions outlined by a sponsor and/or stated in the award document. If the sponsor allows the re-budgeting, the PI or his/her designee should submit a budget amendment request by using the following form:

https://www.fau.edu/research-admin/research-admin/docs/forms/sponsored-programs/budget-amendment-request-form-02-14-2017.pdf

Once the college approves the request, it may be submitted in Workday for review and approval by the Sponsored Programs office.

10. What is a work-for-hire project and why doesn’t FAU want to accept these types of projects?   

Work-for-hire projects are typically solicited by industry sponsors who require very specific deliverables and desire to enter into a more commercial type of purchasing agreement with FAU. In most cases, the sponsor expects to own all of the intellectual property developed under the agreement and may also restrict publication and require warranties on the work.

Conversely, FAU typically conducts research projects that promote public interest and usually lead to publishable research or provide for educational opportunities. Such agreements must permit the disclosure and publication of university research results, although limited delays in publication for patent filing may be acceptable.

It is FAU’s policy, except in unusual cases, to require that works and inventions developed in the course of university research sponsored by private persons, business and not-for-profit entities, and state and local governmental agencies, be the property of FAU. See the Office of Technology Development website for more information: http://www.fau.edu/research-admin/technology-development/

Additionally, FAU research projects are performed on a best-effort basis, and by its very nature, the results of research may not be guaranteed. Publication restrictions from any source can lead to significant risks, such as loss of the fundamental research exemption and the not-for-profit purpose of the organization.

When presented with a work-for-hire project, the PI should consult with the Office of Sponsored Programs. FAU’s Sponsored Research Agreement template will be offered to more suitably frame the project in terms of academic research.

11. Do I need to provide quotes with my proposal for equipment purchases or other large purchases?   
It is prudent to obtain quotes for equipment, ship time, and other large purchases at the proposal stage to ensure that the budget is as accurate as possible and that sufficient funds will be available for these purchases should the project be funded. Some sponsors will require quotes to be included with the proposal, in which case the Office of Sponsored Programs will require the quotes as part of the complete proposal documents. The quotes would then need to be uploaded in Novelution. If quotes are not required by the sponsor and are not included in Novelution, the budget narrative should explain how the figures for such purchases have been derived (i.e. PI experience with similar purchases, phone call).
12. Who is my Proposal and Contract Administrator?