A Quick Guide to Preparing Contract & Grant Proposals at TUC      

The TUC Office of Sponsored Programs (OSP) coordinates submission of proposals and acceptance of awards for grants and contracts for Touro University of California.  Externally funded grants and contracts can come from many sources, including federal agencies, the State of California, municipal and county agencies, non-profit foundations, and corporations.  Employees who receive salary from TUC or who use University resources or facilities must submit their proposals for externally funded grants and contracts via the Office of Sponsored Programs. 

For a quick overview of submitting a grant through the OSP department please click here.

All proposals and sponsored projects, including supplemental funding not included in original proposal submission require University review and approval. Typically there are 5 levels of approvals required:

  1. Principal Investigator (always)
  2. Authorized Officials in the Office of Sponsored Programs
  3. Dean or Associate Dean
  4. Director of Fiscal Affairs and Accounting
  5. Provost

Approvals are to be collected prior to the submission of a proposal to a funding agency. In all cases the proposal review process must be approved by the Provost to allow submission of a proposal.

To collect University approvals, you must use the required forms and route to the appropriate reviewers (as applicable).  You may be required to hand carry these documents for signature so plan accordingly.  The final proposal and signed approval forms need to be submitted to the Grants Manager in OSP where she will review the proposal for compliance with University policy, Agency guidelines, and submit if electronic submission.  If this is a submission by hard copy - you will be required to secure the proposal in final hard copy format and submit by deadline.

Funding Sources

Information on funding opportunities from federal, state, local government agencies, and non-profit agencies can be found using the InfoEd search engine “SPIN” which allows you access to funding opportunities and has a link to instructions and guidelines from that funding agency.  To access this website, you can go to http://www.infoedglobal.com/

PI Salary Requirements on Federal Proposals

Federal rules and regulations do not allow for an individual's institutional base pay to be increased as a result of obtaining grant funding. NIH defines institutional base pay as: The annual compensation paid by an organization for an employee's appointment, whether that individual's time is spent on research, teaching, patient care, or other activities.  Base salary excludes bonuses, one-time payments, incentive pay or outside professional activity such as consulting. Current annual salary cap for federal proposals is $185,100.

Cost Share/Matching Commitments

Cost sharing occurs when a cost specifically benefits a sponsored project, but is not charged to a project.  Cost sharing is typically salary and benefits costs, equipment, or F&A costs (where F&A costs are waived or reduced below standard rate). Matching occurs when the Sponsor agrees to fund a portion of direct costs predicated on Touro making a predetermined contribution.  Mandatory cost share/matching is when the Sponsor requires this. When there is a request for mandatory cost share, your Dean must allocate funds to cover any F&A associated with committed cost share and lost F&A. Voluntary committed cost share occurs when the Sponsor does not require it but the Principal Investigator includes the cost share in a proposal. Voluntary cost share includes proposed faculty effort and other types of direct costs. These requirements must be tracked and approved using the appropriate forms at the Proposal stage.

COST RECOVERY IMPLICATIONS OF COST SHARING

Every dollar of cost sharing results in TUC forfeiting not only the recovery of the direct cost but also the recovery of the associated F&A cost (except in the case of cost shared capital equipment for which there is no associated F&A). In addition, in accordance with federal requirements, TUC's total amount of salary and non-salary cost sharing must be included in the denominator, or base, of the F&A rate calculation. As such, TUC must put amounts in its research base for which no direct cost reimbursement is received and it decreases the federally negotiated F&A rate. This has far-reaching, negative implications on our ability to grow the research enterprise at TUC.

How and When to Submit: 

Notify Lou van der Ree and Mallory Davis in the Office of Sponsored Programs (OSP) by email as soon as you think you will be submitting a proposal.  Please include any relevant information and RFA if there is one and website for proposal requirements. Use of the Time Table is strongly encouraged.

Electronic or Paper Submissions:

15 working days before proposal deadline OSP must have all components of the internal review documents including the abstract, draft budget, budget justification (if available), and Cost Share Request form (if required) for review and signature approvals.  Please make sure that there is 5 working days available for Provost and Director OSP review.  Start earlier if needed.  These forms must accompany the proposal and other required administrative forms which is required 5 working days before proposal deadline.

By 9am, 5 working days before proposal deadline – FINAL proposal and administrative documents are required at the TUC Office of Sponsored Programs for final review and submission.  Proposals that are received after the five-day 9am deadlines run the risk of not being submitted.

Documents required:

Proposal Approval form - signed

CHR, CAR approvals if required

FCOI - Form 1 (for PHS)

FCOI - (for NSF)

Excel Budget Template - go to the "Budgets" tab and download one of the templates that work best for your proposal. 

Effort Distribution Form - required with each proposal. This form establishes an agreement between the Dean and Faculty for release of future effort for the proposal.

Cost Share Form - if Principal Investigator requests TUC contribution of costs not provided by Sponsor, if mandatory Cost Share is required, your Dean must allocate a fund source to cover associated F&A costs.

IDC Waiver Request Form - If Sponsor or principal Investigator is requesting reduced or waived IDC to proposal vs standard agreement rate of 43% or 8% instructional rate.

Funding agency instructions (if not already given to OSP in advance)

Proposal – final version

For Subcontracts (TUC is the prime)

20 working days before proposal deadline - DRAFT of subcontract proposal (Scope of work and budget) to OSP

5 working days – signed Subrecipient Commitment Form. 

Please Note: Institution’s Officials will need to sign so start this early for signatures!

Electronic copy is sufficient.

 For TUC PI portion, follow schedule as above

Internal Review and Approval Required Prior to Submission to OSP

Each proposal brought to OSP for administrative review and forwarding to a funding agency should be accompanied by a Proposal Approval Form. This form is TUC’s internal review form that authorizes the proposal submission with the signatures of the project’s Principal Investigator, Grant Manager, Program Director/ Chair, the Associate Dean/Dean, Director OSP, Director FAA, and Provost.  The Principal Investigator must meet with his/her Dean to discuss proposal.  The PI may also need to meet with the Dean, Provost and/or Director OSP to discuss facilities and resource requirements, cost share commitments, IDC waiver, etc  for the proposal.

PI is recommended to start the routing process of this form 15 working days before proposal deadline, or earlier if necessary to guarantee that all signatures required are received at OSP with proposal 5 working days prior to agency deadline.  Attached to this form should be the abstract and draft budget. Please make sure that there are 5 working days available for Director OSP, Director FAA, and Provost review and then 5 working days for final submission to OSP with all required administrative forms signed and approved. 

Financial Disclosure

Certain federal agencies require financial disclosure of all key personnel working on a federal project.  Effective August 24, 2012, proposals submitted to the the Public Health Service (including the National Institutes of Health) must disclose their project-related financial interests. The PI's and necessary  employee's FCOI (form 1) should accompany the proposal and the OSP Approval Form submitted to OSP. All Annual FCOI forms must also be up-to-date and on file at OSP.

Proposal Preparation

Format

If the funding agency does not provide forms or other guidelines, the proposal should include such items as a cover page, an abstract, a technical narrative, a budget and budget justification, and a curriculum vitae and list of recent publications for the PI.

Budget

If the funding agency does not provide forms or other guidelines, the proposal budget should be organized to fit categories for direct costs: salaries, employee benefits, supplies, equipment (greater than $5,000), patient care costs, subcontracts and indirect costs listed as a dollar amount separate from the total direct costs.  Cost sharing (whether mandatory or voluntary) or matching should be specified in the budget if required by the funding agency. 

Proposal Assistance:

Please contact Lou van der Ree at lou.vanderree@tu.edu for assistance with budgetary issues, budget templates, cost share, IDC waiver requests,  compliance concerns, and other questions about the proposal.

If the Proposal is being submitted to eCommons:

Submit all administrative forms by hand and email the Adobe application with any additional requests

If the Proposal is not being submitted to eCommons:

Please assemble and scan the proposal packet as a PDF in the following order:

  1. OSP Approval  Form with with all required signatures.
  2. COI Documents (Each COI form must include the proposal title)
  3. Human and Animal Subject Approvals (if not specifying JIT).
  4. Radiation Safety Committee Approvals.
  5. Biosafety Approvals.
  6. IDC Waiver - if required
  7. Cost Share Request - if required
  8. Agency funding instructions, program announcement, Request for Proposals, or other agency instructions.
  9. Final version of entire complete proposal.

Internal Approval Forms

These forms below are required to allow institutional review and approval for all submissions.  Please contact Lou van der Ree early in the proposal process so she can make sure the internal forms are ready for review in a timely manner.  Proposals will not be submitted without the required institutional approval signatures.

 

For Proposals Involving Subcontracts

Subrecipient Commitment Agreement - This form is to be used when another institution is a subcontractor on TUC's proposal

TUC Consortium Agreement - This form is to be used when TUC is the subcontractor on another institution's proposal.

Institutional Profile

Some of the information listed in this document is usually required to complete the administrative portions of a proposal.  If you do not find your information in this document, please contact Lou van der Ree immediately for further assistance