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Basics

Sponsored projects include all extramurally funded research, instruction, service, or scholarly activity binding the University to a defined scope of work or set of objectives that provides a basis for sponsor expectations. All sponsored projects are managed through the University to assure compliance with these terms as well as applicable State and Federal laws and regulations.

External organizations may include government agencies, foundations, nonprofits, universities and private sector companies or organizations.

The funding restrictions are the obligations and terms set in the project description of the proposal or agreement.  A gift is generally unconditional and unrestricted.  Some conditions that are typically included in a sponsored project are:

  • A defined purpose and scope of work
  • Terms and conditions
  • A specified period of performance
  • Limited funding
  • Fiscal accountability and/or administrative reporting to account for expenses
  • Deliverables, such as a final technical report
  • Possible restrictions on ongoing usage of purchased property

The term “Sponsored Program” is synonymous for:

  • Grant
  • Contract
  • Cooperative Agreement
  • Subcontract
  • Purchase Order

Sponsored Project awards often contain complex requirements:

  • Intellectual Property
  • Insurance & Indemnification Provisions
  • Return of Unused Funds
  • Other matters establishing a quid pro quo relationship with grantor

Funding for sponsored projects may be received from individuals, corporations, foundations, and/or governmental entities (federal, state, local or tribal government).

Proposals generally are submitted through a formal “Request for Proposal” (RFP) process and have significant auditing and/or reporting requirements. Proposals to all local, state, tribal, or federal government agencies, including government established foundations (such as the National Endowment for the Arts and the National Science Foundation), automatically fall within the purview of SPARC. Additionally, all proposals to contractors or grantors in the private sector (i.e., corporations and foundations) requiring specific performance objectives, detailed expenditure reporting, intellectual property, or confidentiality terms will be handled by SPARC.

Grants and contracts are made to the institution, UNCW, not the Principal Investigator (PI).  Proposals obligate not only the PI, but also university facilities and resources. The legal relationship that is defined in any project or proposal exists between a sponsor and the university. Therefore, UNCW institutional approval and involvement is required.

When SPARC reviews and approves a proposal on behalf of the University, it signifies that the project information, including costs and available University resources have been confirmed by the respective individuals who control those resources, typically the PI’s department chair, dean/director, and the Provost.

To complete a thorough review, it is essential that the complete proposal is received by SPARC at least five business days prior to the sponsor’s deadline.

Sponsors are external entities that contract with or provide grants or cooperative agreements to the University for a particular project. Agreements can be as simple as a one-page letter that may or may not be co-signed, or hundreds of pages. The common element is that the terms are binding on the University.

  • Individuals, non-profit foundations or organizations, for-profit companies, and Federal, state, local or tribal government entities. Awards from governmental entities are ALWAYS considered sponsored projects.
  • Private sector entities may act as either donors or sponsors depending on how the funds are conveyed.

Sponsored projects are classified into one of three categories of University functions, these categories affect the calculation of UNCWs Facilities and Administrative (F&A) Rate:

  • Organized Research
  • Instruction
  • Other Sponsored Activities


OMB's Uniform Guidance 2 CFR Part 200 Appendix III Indirect (F&A) Costs Identification and Assignment, and Rate Determination for Institutions of Higher Education (IHEs) requires the institution to organize its sponsored expenditures into certain defined functional activities. These costs are then used to develop the Facilities & Administrative (F&A) rates, negotiated with the federal government, to reimburse F&A costs for the activity.


Organized Research – all research and development activities of an institution that are separately budgeted and accounted for. Organized Research includes:


Sponsored Research – all research and development activities that are sponsored by federal and nonfederal agencies and organizations. This term includes activities involving the training of individuals in research techniques (commonly called research training) where such activities utilize the same facilities as other research and development activities and where such activities are not included in the instruction function. Examples of sponsored research include:

  • awards to UNCW faculty and principal investigators (PIs) to support research activities
  • external Faculty “Career Awards” to support the research efforts of the faculty
  • external funding to maintain facilities or equipment and/or operation of a center or facility that will be used for research
  • external support for writing of books, when the purpose of the writing is to publish research results


University Research – all research and development activities that are separately budgeted and accounted for by the institution under an internal application of institutional funds, such as gifts, technology licensing income, or cost sharing expenditures which are committed bot be borne by UNCW rather than the sponsor. For purposes of the Uniform Guidance and development of the F&A research rate, University research shall be combined with sponsored research under the function of Organized Research.


Instruction –  Except for research training, as described above, the term instruction includes all teaching and training activities of an institution whether offered for credits toward a degree or certificate or on a noncredit basis, and whether they are offered through regular academic departments or separate divisions, such as a summer school division or an extension division.


Sponsored Instruction and training means specific instructional or training activity established by grant, contract, or cooperative agreement. For purposes of the cost principles, this activity may be considered a major function even though an institution’s accounting treatment may include it in the instruction function. Sponsored Instruction includes:

  • any project for which the purpose is to instruct any student at any location; recipients of this instruction may be UNCW students or staff, teachers or students in elementary or secondary schools, or the general public
  • curriculum development projects at any level, including projects that involve evaluation of curriculum or teaching methods; such evaluation may be considered “research” only when the preponderance of activity is data collection, evaluation, and reporting.
  • projects that involve UNCW students in community service activities for which they are receiving academic credit.
  • activities funded by awards to departments or schools for the support of students.
  • dissertation work funded by grants, including grants for travel in relation to a dissertation.
  • Upward Bound Program, bringing local students on campus for classes.
  • general support for the writing of textbooks or reference books, videos, or software to be used as instructional materials.


Other sponsored activities – programs and projects financed by federal and non-federal agencies and organizations that involve the performance of work other than instruction and organized research. OSA may include:

  • Travel grants
  • Support for conferences or seminars
  • Support for University public events
  • Support for students, staff, or teachers in elementary or secondary schools, or the general public, through outreach-related activities
  • Projects that involve UNCW faculty, staff, or students in community service activities (where the UNCW students are not receiving academic credit for their involvement)
  • Support for projects pertaining to library collections, acquisitions, bibliographies, or cataloging
  • Programs to enhance institutional resources, including data center expansion, computer enhancements, etc.
  • Support of certain Evaluative Testing activities
  • Federally-sponsored Clinical Trials


These defined categories, as well as determining whether the activity will take place on-campus or off-campus, impact the calculation of UNCW’s F&A rates.

Federal Contracts

  • A mechanism for procuring a product or service with specific obligations for both sponsor and recipient.
  • Typically, a research topic and the methods for conducting the research are specified in detail by the sponsor, although some sponsors award contracts in response to unsolicited proposals.
  • A legally binding document.
  • Project conceived by agency.
  • Agency exercises direction or control
  • Agency procures services.
  • Agency closely monitors.
  • Funds are provided through an agreement signed by both parties.

Federal Grants

  • A type of financial assistance awarded to an organization to conduct research or other programs as specified in an approved proposal.
  • A grant, as opposed to a cooperative agreement, is used whenever the awarding office anticipates no substantial programmatic involvement with the recipient during the performance of the activities.
  • Project conceived by investigator.
  • Performer defines details and retains scientific freedom.
  • Agency support in the form of Assistance
  • Agency maintains cognizance.
  • Funds may be provided through unilateral funding mechanism.

Cooperative Agreements

  • A funding arrangement in which the sponsor's staff may be actively involved in proposal preparation and anticipates having substantial involvement in research activities after the award has been made.

Non-Federal Agreements

  • Sponsors - Foreign, State and local governments, industry, foundations, other non-profit research institutions
  • Project conceived by investigator and refined through discussions with sponsor to create a consensus proposal.
  • Performer defines details but sponsor helps shape direction and objectives.
  • Performer retains scientific freedom.
  • Agency exercises direction and closely monitors progress.
  • Funds are provided through an agreement signed by both parties.
  • Agreement defines rights and obligations of both parties with regard to conduct of research and rights to use the research outcomes and deliverables.

Funding opportunities arise through many formal and informal means. Generally, sponsored applications or proposals are:

Solicited

  • Program Announcements (PAs) – No specific resources are set aside at the agency for the PA, but an area of research interest in a general discipline or subdiscipline is described
  • Request for Applications/Proposals (RFAs/RFPs) – Specific resources have been allocated at the agency or sponsor for a given objective, and a public request has been issued with directions for proposers
  • Request for Quote (RFQ) – A standard request for price quotations from competing procurement sources
  • Informal Requests – non-federal sponsors and non-competing projects - the sponsor's representative and MIT's investigator together develop the proposal and agree to a budget

Unsolicited – An open request for applications with general submission guidelines

  • Examples – Investigator-initiated proposals to the NSF; R01 applications to the NIH

Limited Applications – Some requests for proposals limit the number of applications that may be submitted from the Institute. These cases are coordinated through the Vice President for Research.

Rules and regulations pertaining to sponsored projects are similar in some instances, but may vary widely in other instances, depending on multiple factors.  To ensure compliance with all the requirements related to your award, it is essential that you understand where to seek out the necessary guidance to navigate the various layers of policies, procedures, and laws.  All work regardless of sponsor or program must function within the framework of University Policy and Procedures as well as Public Law.  Beyond that, guidance can be found in each of the items listed in the Order of Precedence Pyramid below.  All awards are different, so the specific award terms and conditions for each project take precedence over other referenced guidelines.

Different regulations govern federal awards based on whether they are grants, cooperative agreements, or contracts.

  • Federal grants or cooperative agreements: Subject to the Uniform Guidance.
  • Federal contracts: Subject to the Federal Acquisitions Regulation (FAR) and Subpart E and Subpart F of the Uniform Guidance. Use Uniform Guidance for cost principles only, not record retention.

To determine if the FAR is applicable, consult the funding opportunity announcement (FOA) or your assigned SPARC officer. In the absence of clear grants policy guidance from the sponsoring agency, the University will refer to the OMB Uniform Guidance for the overarching guiding principles.

Uniform Guidance

Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards is a comprehensive grants management policy. Abbreviated OMB Uniform Guidance at 2 CFR part 200, Uniform Guidance, or UG, it consolidates 8 federal circulars (A-102, A-110, A-89, A-21, A-87, A-122, A-133, A-50).  

To search Uniform Guidance, use eCFR. The eCFR site provides extensive guides to navigation and search capability.


Commonly used Uniform Guidance reference points via eCFR: 


Federal Register
Though eCFR is the easiest way to search, the full Uniform Guidance is available through the Federal Register. It is divided into subparts:


Federal Acquisitions Regulation


The Federal Acquisitions Regulation (FAR) governs the acquisition or contracting actions of all federal agencies.


To search the FAR, use the FAR Smart Matrix to filter applicable FAR clauses based on type of contract.

The following fundamental principles underlie the University’s policies and practices pertaining to sponsored programs administration. Deviations in associated policies, including acceptance of terms and conditions inconsistent with these fundamental principles, require the approval of the Associate Provost for Research.

Academic Freedom

The right to choose the manner and direction of research must reside with the researcher. While the agreement resulting from an application or proposal submitted can require the completion of a statement of work proposed, no sponsor may direct a faculty member or student to perform a specific task.

Publication Rights

Sponsors may not restrict the right of the faculty or students to publish the results of their research.  A reasonable delay, to secure protection of intellectual property or to assure that no confidential or proprietary information is included in manuscripts, may be granted on a case-by-case basis.  Normally, a “reasonable delay” is defined as 60 days.

Student Participation

An important part of the University’s educational mission is student involvement in research.  Highest priority is given to projects that provide support for graduate student participation in research or instructional activities.

Copyright/Patent Rights

The rights of faculty and students as inventors and creators must be protected.  Additionally, the University must meet its obligations to the sponsors of research projects, particularly federal sponsors. 

Data and Property Rights

The ownership of these items may be retained by the sponsor provided that the University is given the unrestricted right to use all information in its research and educational activities.

Classified and Proprietary Information

  • University policy prohibits the conduct of classified research on its premises.  No classified information may be stored on campus or retained by the researcher nor can the results of any research be designated as classified.
  • Proprietary information will be afforded the same level of protection that the University affords its own similar confidential information, provided that:
    • prior to disclosure, the sponsor provides written notification identifying the proprietary information and persons to receive it;
    • the University has signed an agreement to protect the information and filed it with SPARC or the Technology Transfer office; and
    • the receipt of such information will not prohibit publication.

Consulting

University faculty members cannot serve as “consultants” on any agreement awarded to the University but must be compensated for grant or contract work through payroll. Faculty members may serve as consultants for third parties in accordance with University policy.

Workload

No faculty member may be committed to more than 100 percent effort responsibilities, whether compensated by the University, a sponsor, or combination of both, i.e. 9 months during the academic year or 3 months during the summer period.

University Name and Trademark

The University’s name, seal, or logo by non-University parties may not be used without the express written permission of the appropriate University officials.

Public Disclosure

No agreement may prohibit disclosure of the project or the source of support.

A grant application is best described as a marketing tool that presents a compelling justification for your funding request and inspires a sponsor to invest in your project. A complete application may include many elements, but the main element the project narrative, should present in a clear, cohesive and well-written manner:

  • What your idea is;
  • Where your idea fits in the current state of knowledge/respective field (context);
  • How your idea will be accomplished (e.g., what methods, techniques, approaches will be used, and the feasibility of your plans);
  • Why your “how” is the best strategy to take (i.e. rationale for each approach, method, technique, etc);
  • What challenges might be encountered and how you would overcome them;
  • What success looks like; and
  • What is the significance of your idea — how accomplishing it will advance your field, or otherwise contribute to society.

In addition, either the narrative or other components of the application should clearly convey that:

  • The applicant team is qualified and all necessary expertise is available to ensure successful completion of the proposed project
  • All necessary resources required to perform the proposed project are available (i.e. space, equipment, access to special collections, infrastructure, etc.);
  • The financial resources requested are reasonable and appropriate for the scale of the proposed project and the approaches used and the total financial support from all sources is adequate.

During the development and composition of the application, principal investigators (PIs) and other writers need to consider the target audience, typically consisting of merit or peer reviewers. However, it may also encompass program managers, foundation board members, consumer advocates, and others.

Applicants should familiarize themselves with the review and selection process, understanding the expertise and roles of assigned reviewers, as well as the review settings. For instance, proposals may be sent to experts for leisurely review, allowing access to extensive resources. In such cases, detailed information is crucial. Conversely, a reviewer may assess numerous applications during a panel meeting, reading them without prior access to resources. In such situations, clarity and organization are vital for the reviewer to easily prepare comments and strongly support the application.

Understanding the review process aids in crafting a focused, compelling application that is informative and reader-friendly. Despite reviewers being from the same field, they may lack expertise in the specific topic. Thus, proposals should educate and present ideas clearly. Formatting should be user-friendly, avoiding potential irritants like fully justified text or small fonts without sufficient white space.

In the competitive funding landscape, ensuring adherence to instructions, maintaining precision, and employing a visually appealing format are essential. Common reasons for sponsors rejecting otherwise fundable proposals include:

  • failure to follow instructions,
  • sloppy presentation with errors,
  • overly dense narratives without headers or white space,
  • poor organization,
  • lack of feasibility in the work plan,
  • and inadequate rationale for approaches or analytical methods.

To maximize the chances of funding, it is crucial to address these considerations and present a compelling project that aligns with the sponsor's expectations.

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