Frequently Needed Information

FREQUENTLY NEEDED INFORMATIONGRANT/CONTRACT PROPOSALS

2004-2005

INSTITUTIONAL DATA

PLEASE ALLOW FIVE WORKING DAYS FOR THE OFFICE OF SPONSORED PROGRAMS

TO PROCESS AND APPROVE PROPOSALS

Who may become aOnly full-time faculty or full-time permanent staff may submit proposals as

Principal Investigator?Principal Investigators. Exceptions must be approved through the UAA Provost’s Office.

University officials authorized to sign proposals:

To $500,000Susan K. Harper, Manager, Office of Sponsored Programs (OSP)

No LimitDr. Kim Peterson, Vice Provost for Research & Graduate Studies

AK Business License No.:104849

DUNS Number: 07-666-4986

Employer ID Number (EIN):92-6000147

Federal Tax ID Number: 92-6000147

CAGE Code:ONVY4

(Commercial & Gov’t. Entity)

Congressional District:AK/AL (Alaska-at-Large)

Federal Cognizant Agency:Department of the Navy, Office of Naval Research

Tax Exemption Status:Exempt under Internal Revenue Code Section 115. University of Alaska is an instrumentality under the State of Alaska.

Title IV Code or FICE

Institution Code:011462

(Federal Interagency

Committee on Education)

What is the Institutional

Review Board (IRB)?The IRB reviews/approves proposed research projects involving the use of human subjects. The approval must be made prior to award. IRB guidelines and forms can be accessed through UAA Office of Sponsored Programs website: Submit IRB applications to Joanne Thordarson, 907-786-1099, . For additional information, contact the Co-Chairs: Dr. Thomas Buller, Philosophy Department,907-786-4456 or or Dr. Claudia Lampman, Psychology Department, 907-786-1619 or .

What is the Institutional

Animal Care & Use

Committee (IACUC)?The Animal Care and Use Committee (ACC) reviews/approved proposed research projects involving the use of live animals. The approval must be made prior to award. Refer to website: For additional information, contact Chair Dr. Jennifer Burns, Biological Sciences, 907-786-1527 or

BUDGET GUIDANCE AND AIDS

Presenting Budget AmountsBudget amounts are rounded to the nearest whole dollar. Do not include cents.

Salaries & WagesContact Human Resource Services to determine salaries & wages for new proposed positions. For established positions, use current salary range taking into consideration annual increases to calculate future wage bases.

Personnel CostsIncludes salaries & wages, leave allowance (annual, sick & holiday), and staff benefits.

Salary IncreasesInclude a 3% increase on salaries & wages for succeeding year budgets. For established non-faculty positions, annual step increases occur on employee’s anniversary date and should be calculated accordingly.

Leave Allowance RatesLeave Rate Table can be accessed at: Rates depend on position classification. Rates are federally negotiated and approved annually by Office of Naval Research. For budgetary purposes, leave allowance is calculated as a percentage of base salary and is included with the base when presented in the budget. Example:

Base Salary$10,000

Leave Allowance @ 20.7% of Base 2,070

Total Salary$12,070

Staff Benefit RatesStaff Benefit Rate Table can be accessed at: (Rates depend on position classification.) Rates are federally negotiated and approved annually by Office of Naval Research. For budgetary purposes, staff benefits are calculated as a percentage of salaries/wages and leave allowance. Example:

Total Salary (from above)$12,070

Staff Benefit @ 34.8% of Total Salary 4,200

Total Personnel Cost$16,270

(Staff Benefit Rate Table can be accessed as explained above.)

Subcontracting, Sole

Source Purchases, Large

Equipment PurchasesConsult the Procurement Office when proposing subcontracts, sole source purchases, and large equipment purchases. Justification for sole source purchases should accompany proposal for OSP review.

Travel CostsPer diem rates are based on maximum allowable federal rates for specific locality. Obtain rates at UAA Budget & Finance Website:

Mileage Reimbursement - $.375 per mile (Effective 01/01/04)

F&A Cost RateFacilities and Administrative Cost Rate (indirect cost) is negotiated and approved by the Office of Naval Research. The rates are effective for three years. The current rates are in effect from 7/1/04 to 6/30/07. Obtain Federal rate information at Statewide Cost Analysis Website:

The AlaskaState negotiated rates can be found at the Statewide Cost Analysis Website:

The F&A cost rate is not applied to:

Equipment (defined as having a useful life of more than one year and an acquisition cost of $5,000 or more per unit)

Capital expenditures

Patient care costs

Tuition remission charges

Long-term space rental costs

Scholarships and fellowships

Subgrant & subcontract portions in excess of $25,000 regardless of period covered. For example: If a subcontract is proposed for three years using the same entity at $35,000 per budget year, the F&A rate is applied only to the first $25,000 of Year 1.

The University expects the full F&A cost rate to be used on all sponsored projects. Some sponsors such as foundations and private industries have written policies that limit or exclude full indirect costs. The University will accept these rates when the written policy is provided, and attached to the Indirect Cost Waiver which has been approved and signed by the College’s Dean prior to the proposal submittal to OSP.

In unusual circumstances, the PI can obtain a waiver for F&A costs from the Vice Provost for Research and Graduate Studies. The waiver request is to be made prior to proposal submittal to the funding agency.

Cost Sharing/MatchCost sharing or matching occurs when the University shares in the cost of the project. If the sponsor does not require cost sharing, it should not be reflected. All cost sharing is reportable, and auditable records must be maintained. UAA’s general policy is not to approve any cost sharing that is not required by the funding agency.

REQUIRED DOCUMENTS FOR PROPOSAL SUBMISSION & UAA APPROVAL

These forms are generally available from the OSP Web-site.

Please submit a duplicate copy of your proposal for OSP review. Keep the original application at your unit.

Internal Processing FormContains basic information related to the proposal. Obtain copy from the Office of Sponsored Programs Web-site: for researchers.

Select - Internal Processing Form

Signature approvals must be obtained on the form from Principal Investigator and Dean. The Office of Sponsored Programs will obtain other remaining required signatures.

AbstractBrief one-page description of project. A document with more detail about the project is welcomed for review purposes.

Clearance Data Form –

Federal AssurancesMust be attached to Internal Processing Form when proposal is submitted to a federal sponsoring agency. Obtain copy from the Office of Sponsored Programs Web-site:

Select – Clearance Data Form

Principal Investigator

Questionnaire -Required information in the setup of the proposal in the Banner Proposal System database. Data is used by Statewide as key reporting elements. A listing of the research themes is on the OSP web-site to help you select the theme that matches your project. Obtain copy of the questionnaire and the research themesfrom the Office of Sponsored Programs Web-site:

Select – PI Proposal Questionnaire and Research Themes

Investigator Financial

DisclosureRequired by federal regulations for investigators to disclose any significant financial interest that may present an actual or potential conflict of interest in relation to externally sponsored projects. The form must be signed and must accompany the proposal submitted to OSP for review. Obtain copy from the Office of Sponsored Programs Web-site:

Select – Investigator Financial Disclosure Form.

Agreement to Assign &

Maintain Confidentiality

Of Intellectual PropertyRequired by Board of Regents Policy 10.07.05 and UA Regulation R10.07.05 as a condition of employment of every University employee and of enrollment and attendance of every University student. Form is completed one time only and is placed in the Personnel File with Human Resources.

Certificate of Cost

SharingRequired only if departmental cost sharing is proposed. The person authorized to commit departmental funds must sign the form. Obtain a copy from the Office of Sponsored Programs Web-site:

Select – Cost Share Certificate

Request for Waiver of

F&A CostsRequired only if unusual circumstances prevents full F&A rate to be included in proposed budget. Your College Dean and the Vice Provost of Research and Graduate Studies must approve the waiver request. Documentation of the sponsor’s requirement of the reduced F&A rate must accompany the waiver request. Obtain copy from the Office of Sponsored Programs Web-site:

Select – Indirect Cost Waiver Request.

Proposal & Sponsor

Signature PagesOSP keeps the proposal documents you submit for review. Provide one duplicate copy of proposal with the required number of original signature pages (including assurances and certification forms). OSP authorized representatives will sign the original signature pages and return them to the Principal Investigator. This will allow the Principal Investigator to submit the application to the funding agency with original UAA signatures. OSP will keep the duplicate file of the application as a permanent record.

Copy of Budget

Detail Work PapersThis budget allows theOffice of Sponsored Programs to readily review budget cost calculations, especially on personal service costs. OSP will review the budget prior to finaldraft of the grant application, if a detail copy is provided. When the detailed budget is submitted with the proposal to OSP it expedites the final submittal process.

Copy of RFP or

Program AnnouncementHighly recommended. Provide to OSP at the time of proposal submittal for review. The RFP or Announcement may also be referenced to a web-site address with the exact program title for the submittal. This allows OSP an opportunity to review eligibility and submittal requirements of the sponsor.

PLEASE ALLOW FIVE WORKING DAYS FOR THE OFFICE OF SPONSORED PROGRAMS

TO PROCESS PROPOSALS.

OSP KEEPS A COPY OF THE PROPOSAL IN THEIR FILES.

FOR MORE ASSISTANCE CONTACT:

SUSAN BROWNE, OSP PROPOSAL SPECIALIST, Ph: 907-786-1065;

FAX: 907-786-1021.

12/11/2018