Institutional Approvals and Policies

Each grant application or contract must be routed through the university before it is sent to the funding agency. Funding agencies award the University the grant and the PI works on the grant for the university. While the PI is responsible, any positive or negative result of the project reflects on the University as a whole.

Routing Process

• An Internal Coordination sheet must accompany each proposal or grant. Download Here
• This sheet, along with the proposal, must be routed to and signed by each PI from the University of Alabama, as well their department head and dean.
• Internal Coordination Sheet basics (Link to come)
  
  • Shared Credit: Assign a percentage of credit to each PI (total 100%) for the project. The percentages should reflect how much of the project each PI is responsible for, and will be the guide to how Facilities and Administration costs are divided among the PI’s.
  • F&A (Facilities and Administration Costs): F&A are those costs that allow the university to run and that cannot be charged directly to a grant. They fund lights, support staff, space, office supplies, etc. There are a variety of rates depending on the type of project (hyperlink to rates), but the University will not waive F&A. The only exception is if the funding agency has a stated policy against paying F&A (indirects) or has a set rate (i.e. 8% for NRSA grants). Typically, F&A costs are based on the principles of Modified Total Direct Costs (MTDC). MTDC takes the total direct costs and subtracts all tuition, equipment, and patient care cost to get the base, which is then multiplied by the appropriate F&A rate.
  • Cost Sharing: The University does not cost share unless it is required by the funding agency. Cost Sharing Policy If it is required, than the PI must gain the proper approvals before the grant is submitted. Cost Sharing Form. These approvals consist of their department head, dean, and the Vice president of research and typically involve face-to-face meetings with at least the department head and dean.
  • Compliance Reviews:
    Compliance
    Conflict of Interest Policy
    Supplemental Compensation Policy
    IACUC
    IRB
    NDA policy
    Export Control Regulations Policy
    Hazardous materials policy
    
  • Sub-Contracts: All sub-contracts on a project must have a budget, budget justification, scope of work, and letter of commitment for routing.
  • Sub-Contract: If the proposal is a sub-contract from another institution, it still must be routed through the university. Even if there are no required signatures, the university still has to sign off on it and requires everything they require for a normal proposal. (Even without required signatures, the university will still draft and sign a letter of commitment to the prime agency).

Proposal Submission:

Back to Proposal Development | Next: Award Acceptance & Negotiation