Research Proposal Preparation

Preparing a Proposal for Submission

The submission of a proposal is the common avenue of approaching potential sponsors for support of research or other projects. The process of writing proposals—which clearly defines the ideas, concepts, and solutions, as well as the problem, and states the advantages or benefits to be gained as a result of the efforts proposed—is an important task. The burden of proposal writing rests with the faculty member who will be designated as the principal investigator (PI) or project director and who will be responsible for the project upon award. Prior to preparation of a formal proposal, there is a considerable amount of preliminary work which should be accomplished to avoid unnecessary effort.

GCA does not guarantee the submission of proposals that do not allow for sufficient time to complete the necessary review and navigate an appropriate proposal submission. There is a 6-business-day deadline in which the PI must submit all required proposal documents in order to receive a full comprehensive review from GCA. If an award is made based on a late submission of a proposal, the PI and the department or other university unit will be responsible for covering costs incurred by UNT as a result of any proposal errors. Such costs might include cost sharing commitments, inaccurate rate calculations for indirect costs, or unallowable commitments of UNT resources. UNT reserves the right to review and request changes prior to acceptance of an award or to decline an award if the budget or other commitments contained in the proposal do not conform to UNT specifications or requirements.

Common Sponsored Project Information

The University of North Texas has standard Institutional Information that is commonly required for proposal submissions. Frequently used information for proposals can be found on the GCA Website: https://research.unt.edu/research-services/grants-and-contracts/codes-and-numbers

Preliminaries to Proposal Preparation

Preliminaries to Proposal Submission

Roughly develop the proposed project, as well as its scope, methods, and objectives, to the point where personnel, equipment, facility, and other support requirements can be estimated. If appropriate, discuss these plans with the department chair in order to assure consistency with departmental objectives and availability of necessary resources. This may also require discussions with the dean of the school/college, and, if the project is interdisciplinary, with other department chairs and deans.

The PI may have informal contact with representatives of an outside sponsor to explore the possibility of receiving the sponsor’s support. While such contacts are encouraged, no commitments binding UNT may be made until a formal proposal has been processed and approved by GCA. 

Sponsored Research Agreements with Commercial Entities

Sponsored Research Agreements with Commercial Entities

RCA has developed a standard Sponsored Research Agreement (SRA) for use with industry, which is available upon request, and as applicable, may be provided to industry counterparts. PIs should sign a non-disclosure agreement (NDA) prior to any substantial conversations. Negotiation of an SRA should consider the various stakeholder groups involved in the process. The interests and needs of UNT from the perspective of a non-profit, tax-exempt research and educational institution with a mission of public service are to be contrasted with the commercial, for-profit goals of corporate sponsors. The SRA is beneficial to both parties participating in research collaboration. Faculty members learn about industrial technologies, their research receives substantial support, and they contribute to the development and transfer of technologies that benefit the public. Sponsors gain access to the expertise of the faculty and the facilities of UNT.

Prior to preliminary proposal discussions, submit a request for a Grants and Contracts Specialist. The Grants and Contracts Specialist will discuss a timeline for submitting documents to GCA for the administrative review process. It is best to refrain from delving into budget details any more than necessary to define the general or tentative cost of the project during preliminary proposal discussions. In estimating the total cost, be sure to include both direct costs and F&A costs at the current federally negotiated research rate.

It is helpful if GCA is made aware of informal proposals (white papers) or correspondence being exchanged with potential sponsors. This may be accomplished by sending informational copies to GCA. This is particularly true when large or complex projects are being discussed or there are unusual aspects to a proposal that may require University consideration prior to approval.

General Requirements

General Requirements

The requirements for content and format of proposals differ markedly among the various sponsoring agencies. Some require the use of preprinted agency forms; others will accept a proposal in any format as long as it presents all of the required information. Many sponsors make their proposal guidelines and forms available electronically. Other sponsors should be contacted prior to writing the proposal. Whatever its form, the proposal document is a communication instrument that will be evaluated by the proposed sponsor to determine whether or not the project merits support. 

Content of Proposal

Content of Proposal

The PI is responsible for the technical content of the proposal and for compatibility of the proposed research along with her or his other professional duties. It is important to remember that if a project is funded, the sponsor will expect the work to be carried out substantially as proposed, with significant deviations requiring prior approval.

Generally, every proposal should include the following:

  1. Title Page—Unless a specific format is supplied by a sponsor, the following format may be used: 
    1. Name of the entity to which the proposal is being submitted. 
    2. Legal name of the university, University of North Texas. 
    3. Title of the proposed project. 
    4. Name of the principal investigator and any co-investigators, with the departmental and school/college affiliations of each. 
    5. Signature of the principal investigator, and signature of the authorized University official. 
    6. Date of submission, and proposed project period. 
    7. Standard information about the University, e.g., taxpayer identification number (FEIN), DUNs number, etc., which may be obtained from GCA.
  2. Technical Abstract—Depending on the scope and complexity of a project, an abstract may be of assistance to a prospective sponsor. The technical abstract should be a condensed version of the project. State concisely the significance of the project, what is expected to be accomplish and how, and the period of performance of the project. The abstract is extremely important in creating a favorable first impression of the proposal. 
  3. Table of Contents (optional) 
  4. List of Tables (optional) 
  5. List of Figures (optional) 
  6. Introduction—The introduction, or statement of need, emphasizes the importance of the project. The proposal should be set within a background framework of previous related research and have a theoretical orientation. The relationship of the project to the interests of the funding agency may be stressed tactfully. The introduction sets forth the focus of the proposal. 
  7. Objectives—The problem should be stated as specifically as possible and should be related to the background information provided. The importance and rationale of the proposed research should be well specified. It is important that the objectives, both general and specific, are well conceived. If they are poorly defined, it may be found that the timeframe is unrealistic or that the budget is inadequate. 
  8. Methods and Procedures—This section details how the research will be carried out. The procedures may be written in several different ways: by activities tied to specific procedures, by functional categories such as planning, development, and implementation, or by major time blocks. If the procedural section takes up an undue number of pages, the narrative can be reduced considerably through the judicious use of appendices, tables, and illustrations. If the agency limits the number of narrative pages, these devices can be particularly useful. Be mindful, however, that some sponsors have limitations on use of appendices and what they may contain. Although requests for equipment are usually described in a separate section, additional justification for unusually expensive or specialized equipment can be stated in this section to reinforce the budget request. 
  9. Dissemination of Findings—While projects generally result in published papers in professional journals, many agencies require additional means of disseminating the results of the research. A statement of how this is to be done should be included. Some projects may require inclusion of a plan for evaluation of the success or progress of the project. 
  10. Equipment and Facilities—Most proposals should include a section on equipment and facilities available to the research project. It is extremely important that major items of equipment which are being requested are clearly identified and their need described. 
  11. Budget and Budget Narrative (include subcontract and consultant narrative as applicable)—The principal investigator must estimate with reasonable accuracy the costs of performing the research and provide adequate justification and documentation of those costs. The Grants and Contracts Specialist may be available to assist in preparing the budget. For more details regarding proposal budget preparation, see the section on Budget Development. 
  12. Bio Sketch—These data should be submitted with every proposal to indicate the background, areas of interest, research capabilities, and publications of the principal investigator and other professional investigators. 
  13. Current and Pending—This section of the proposal calls for required information on all current and pending support for ongoing projects and proposals, including subsequent funding in the case of continuing grants. 
  14. References—Proposals should include a list of references to pertinent literature in the field. The list should be as current as possible at the time the proposal is prepared and should cite the most recent advances in the field. 
  15. Supplemental Documents or Appendices—Appendices may be used to indicate data of peripheral benefit to the research, e.g., reprints of articles, letters of support (as required by the RFP), tabular data, and graphs. The use of appendices is recommended, particularly when a sponsor limits the length of the proposal to a specified number of pages. 
  16. Certifications—Federal agencies require a number of representations and certifications from UNT which typically must accompany each proposal. Some agencies such as NSF and NIH have incorporated these in their forms, while others such as DOD, NASA, DOE and EPA have separate certification forms which generally must be completed, in part by both the PI and GCA. 

Public Access to Research Using Data Management Plans

Public Access to Research and Data Management Plans

Federally funded researchers are required to make their published results available and manage their data. 

Background: On February 22, 2013, the Office of Science and Technology Policy (OSTP) released a memorandum entitled “Increasing Access to the Results of Federally Funded Research.” It directed Federal agencies with more than $100 million in research and development (R&D) expenditures to develop plans to make the published results of federally funded research freely available to the public within one year of publication, and it required researchers to better account for and manage the digital data resulting from federally funded scientific research.

UNT developed a framework and plan for PIs and staff to implement that will increase public access to publications and data per the OSTP directive.   

  • The concept of using a Data Management Plan (DMP) as the vehicle to implement Public Access became a widely shared result. The DMP becomes the obligation to those who receive these grants, the obligation of what the institution must meet.  
  • Awards to institutions will include conditions to implement this public access requirement. Principal Investigators must ensure that all researchers who work on projects funded in whole or in part by federal grants or cooperative agreements comply with the public access requirements, including public access to data being maintained by the university and maintained going forward. Even though this is a shared responsibility, it is the primary responsibility of the PI to execute the public access to the data and publications. 
  • The Grants and Contracts Administration office created a process for Public Access to Research using the DMP, in partnership with the library. The philosophy is that data and publications be placed in the appropriate location for a designated discipline with the location of the data and publications housed at the library.
  • This Public Access to Research process will be fully implemented by Jan 1, 2021. Every outgoing federal grant will have a DMP associated with it, and every incoming federal grant will have a direct link to a library record and where the information is located, based on the DMP.

This process is required for Researchers with Awards at all Federal Agencies as well as any other non-federal award listing “data management” or “public access” on an RFP, an award document, or on a sponsor’s website. 

Data Management Procedure

  1. At the proposal stage, the Proposal Team will email the PI letting them know a Data Management Plan (DMP) is required, and that the PI is responsible for developing the plan.

        Resources to assist PI with DMP:

    • Follow sponsor agency guidelines on data management storage (example: upload data to NIH PMC database)

    • Know what the PI’s field/societies utilize

    • Follow expectations of PI's field and discipline 

If a form/format is not provided by the sponsor, it is expected the PI use the tool provided by the UNT Library. 

By this process, UNT declares to all UNT university principal investigators that UNT will only recognize the distribution plan for data as detailed in the DMP. The DMP is the formal obligation. regarding public access to data and no other parts of the proposal document will obligate this institution to alternative requirements.

The Proposal Team will set up an email introduction between datamanagementplans@unt.edu and the PI, and suggest they discuss the Data Management Plan and the availability of the Data Management Plan (DMP) tool. Library staff receiving email to datamanagementplans@unt.edu and the GCA Specialist should be copied on the email introduction.  

If the Proposal/award’s funding source is Federal Flow Through, then a separate DMP is not required by our office, unless required by the sponsor. 

Other situations that do not require a DMP: 

  • “Export Control” associated Proposals/Awards 

  • Proposals/Awards that have research formally designated as “Controlled Unclassified” or otherwise deemed by the sponsor as “sensitive.” 

  • Proposals/Awards carrying an IRB protocol with personally identifiable information. 

  • Proposals/Awards with a PI declared “expected intellectual property” exception Requires approval from Research Commercial Agreements (RCA) 

In these situations, a DMP would be submitted listing the appropriate exception.

  1. If the grant is awarded, but before GCA sets up the award in their recordkeeping systems, Proposal Team will send the DMP to the GCA Specialist stating an award with a DMP requirement has been received. 

    Included with the DMP should be:

    • PI name 

    • Federal Agency (or non-fed sponsor requiring a DMP) 

    • Project Title 

    • Agency grant number 

  2. GCA Specialist will send email to PI and to untrepository.grant-inventory@unt.edu with DMP and award information attached, congratulating PI on receiving award and telling the PI that we are working to post an online copy of the DMP and establish a Persistent Grant Identifier (PGI) in the UNT Digital Library.  

    The email will include a reminder that the establishment of the DMP and the PGI is required before an award can be set up. 

  3. Library staff receiving email to untrepository.grant-inventory@unt.edu creates a record in the UNT Digital Library that contains the PGI and associated copy of the DMP; once the PGI is established, library staff will email the PI, and copy the GCA Specialist, that the DMP and PGI have been set up.  

    The email will include the blank inventory template, with the award information inserted, which is to be used when submitting data and/or publications to the UNT Libraries, with a reminder to include the PGI, or agency grant number with all data and/or publications submitted to the UNT Libraries.  

  4. The GCA Specialist will enter the DMP and PGI in institution system, and the Proposal Team will be notified that the award can officially be set up and sent to Post Award.  
     
    • The DMP and PGI will be saved in the institutional record for these awards. 
       
  5. A Data Management Plan reminder will be sent annually for data and publication updates: 
     
    • GCA Specialist will email PI, copying untrepository.grant-inventory@unt.edu, with the reminder to deposit data and publications and with a recommendation to the PI to submit all available data, publications, and permalinks to content hosted elsewhere (as required by the DMP). 

      If the PI has not yet reported any data or publications to the UNT Digital Library, the attached template can be used. Otherwise, the PI will be asked to add to the last version of the inventory template that was submitted to untrepository.grant-inventory@unt.edu, and to make any applicable submissions at this time rather than waiting until grant closeout.  PIs are reminded that they must include the PGI, or agency grant number when submitting data, publications, and permalinks to content elsewhere. 
       
    • PI submits any data, publications, and permalinks, including the PGI, Project ID#, or agency grant number, to untrepository.grant-inventory@unt.edu.  
       
  6. A Data Management Plan reminder will be sent when the award ends: 
     
    • GCA Specialist will email PI, copying untrepository.grant-inventory@unt.edu, encouraging PI to submit any data, publication, and permalinks to content hosted elsewhere, that has not already been submitted.  


      If the PI has not yet reported any data or publications to the UNT Digital Library, the attached template can be used. Otherwise, the PI will be asked to add to the last version of the inventory template that was submitted to untrepository.grant-inventory@unt.edu.  

      The GCA Specialist will also let PI know there will be 2 additional reminders sent, one 12 months after closeout and the final reminder 36 months after closeout, as final opportunities to submit data, publications, and/or permalinks.  

    • PI will be required to submit a statement confirming all data and publications have been disclosed to the library and all conditions of the DMP policy have been fulfilled. This statement can be submitted at any time after closeout and would end future reminders about required data and publications from GCA Specialist. 

    • Following the process described under section (6) above, the PI submits data, publications, and permalinks, to untrepository.grant-inventory@unt.edu.  

  7. A Data Management Plan reminder will be sent 12 months after award closeout:
     
  8. Data Management Plan final reminder to be sent 36 months after award closeout:

    • GCA Specialist will email PI copying untrepository.grant-inventory@unt.edu as in the previous sections. Then, following the process described under section (6) above, the PI submits data, publications, and permalinks to untrepository.grant-inventory@unt.edu. 

      A confirmation email from the PI is required at this time stating all data, publications and permalinks have been submitted. 

  9. Should UNT Post Award specialist determine that the PI failed, after 36 months post award closeout, to post the data as stipulated in the formal DMP, the PI will be restricted from access to the UNT pre-award proposal submission process until and unless the VPRI approves a reconciliation.  

Note:  If there is a change to the primary PI on an award with a federal agency, or other award requiring a DMP, the GCA Specialist will contact the new PI about the institutional obligations of the DMP. 

Updated 12/23/20 

Proposal Preparation

Proposal Preparation

The primary responsibility for the origination, development, and preparation of proposals rests with the Principal Investigator (PI). The development of the proposed project, its scope, methods and objects, personnel, equipment, facility, and other support requirements should be estimated by the PI and discussed, when appropriate, with the department chair in order to assure consistency with departmental and university objectives and availability of necessary resources. This may also require discussions with the dean of the school/college, and, if the project is interdisciplinary, with other department chairs and deans.

The Principal Investigator (PI) is responsible for: 

  • Identifying funding sources. 
  • Reading the Request for Proposal (RFP) and/or other applicable application guidelines. 
  • Requesting a Grants and Contracts Specialist. 
  • Engaging their department, college, and GCA as early in the process as possible and preparing the proposal in sufficient detail and sufficiently in advance to allow for adequate reviews. 
  • Developing and preparing proposals in accordance with sponsor guidelines and University policies. 
  • Ensuring the proposal is complete, accurate, and meets all programmatic, administrative, and compliance requirements. 
  • Knowing the elements of proposals that could necessitate review and approval by other UNT offices and obtaining those approvals before the GCA deadline. 
  • Receiving approval for cost share and matching, teaching buyouts or releases, new space or renovations, and any variance from standard F&A (IDC) distribution. 
  • Completing, certifying, and routing an electronic GRAMS Funding Proposal for each proposal. 
  • Routing a complete proposal package in GRAMS and obtain needed Department and College, approvals before the GCA internal deadline.  A complete proposal package includes all proposal materials or a PDF of the assembled application from a sponsor’s portal, as well as all internal forms, such as the budget justification, sub awardee documents, and other required documents as applicable. If applicable, all proposal materials must be uploaded in the GRAMS 424 application or into other agency electronic proposal systems (i.e.,Research.gov) and access to the assembled proposal should be granted to GCA for review.  
  • Finalizing edits to the narrative by 8:00 am the day of submission.  GCA may modify this request based on the time the proposal is due. 
  • If the proposal is required to be mailed, the PI is responsible for mailing (including appropriate number of copies) to the sponsor once the proposal has been reviewed and authorizing signatures secured. When a proposal is being mailed in hard copy rather than electronically, and will be mailed, express mailed, or shipped with an overnight delivery service, the PI is encouraged to secure the routing number and evidence of pick-up and delivery.

GCA does not guarantee the submission of proposals that do not allow for sufficient time to complete the necessary review and navigate an appropriate sponsor submission. If an award is made based on a late submission of a proposal, the PI and the department or other university unit will be responsible for covering costs incurred by UNT as a result of any proposal errors. Such costs might include cost sharing commitments, inaccurate rate calculations for indirect costs (F&A), or unallowable commitments of UNT resources.

Preparing Proposal Budgets

Preparing Proposal Budgets

Preparation of the budget is an important part of the proposal preparation process. Sponsors and peer reviewers are responsible for comparing the level of funding requested to the work proposed. Therefore, the budget section of the proposal should reflect, as accurately as possible, the funding needed to carry out the project. 

Proposal Budgets are drafted electronically within Grants module of tthe GRAMS system. The GRAMS budget is the budget of record for the proposal.

A cost-of-living adjustment or allowance can be budgeted in order to cover expected cost increases ranging from raises for salaries and generic inflationary forces for other direct costs. A standard 3% increase can be used for budget categories when appropriate.

Salaries and Wages

Salaries and Wages

To determine total salaries and wages, list the percentage of effort to be spent by each faculty, staff, and students. Effort should be entered into GRAMS in-terms of an annualized percent effort

It is important to consider each individual’s commitments to all other sponsored projects. Some sponsors will review an individual’s total committed effort to both funded and pending project support.

Sponsored activities may not result in any employee receiving compensation in excess of their authorized salary. Faculty members are paid by state funds to perform research, instruction, and public service activities. Subsequently, state funds are provided to pay administrative support for these activities in the offices of the department chair and dean. The department chair or dean may choose to use indirect cost recovery funds to support additional administrative support. Compensation levels and new job classifications must conform to UNT Personnel Classification Guide. Include incremental increases for professional and nonprofessional personnel on proposals extending more than one year. If specific incremental increase figures are not available, estimate a 3% increase per year.

Postdoctoral Compensation on Research Grants

Postdoctoral Compensation on Research Grants

The tax treatment of compensation and the applicability of employee benefits to postdoctoral researchers are dependent on specific circumstances and the nature of services performed or expected. 

Employee Benefit Costs

Employee Benefit Costs

Employee benefit rates are calculated as a percentage of employee salaries and wages and are established by the State of Texas.

Fringe Benefit Rates used for proposal budgets are based on average Fringe Benefit rates. Current rate information regarding the average Fringe Benefit rates used for proposal budget can be found on the GCA website.

Graduate Research Assistants

Graduate Research Assistants

Salaries for Graduate Research Assistants/Fellows (i.e., graduate students performing research) should be budgeted for based on the VPAA Graduate Student Pay Schedule published on UNT’s VPAA website. Graduate Research Assistants are encouraged. The budget should include:

  • Graduate Research Assistantship—support in an amount directly proportional to the amount of necessary work the student performs on the project 
  • Tuition—for graduate students supported on sponsored research grants and contracts, the proposal budget should include the cost of tuition in an amount proportionate to the amount of compensation (GRA support described above) 

Tuition remission is the payment of tuition expense as part of the compensation to students performing necessary work on a sponsored project. If the student is working on more than one project, salary/support and tuition must be paid by each project in an amount commensurate with the work being performed on that project.

Consultants

Consultants

The use of paid consultants may be justified when the project calls for expertise of a well-defined nature for a fixed period of time. By definition, consultants are not employees of UNT. Consultants should be budgeted only for tasks where on-campus expertise does not exist or is not readily available.

Some sponsors do not permit payments to consultants and some restrict or limit such payments. If in doubt as to the allowability of or rates paid to consultants, check the sponsor’s guidelines or contact GCA.

Principal investigators are expected to anticipate and indicate the need for consultants in grant applications or contract proposals. The proposal should include the following:

  • Consultant name. 
  • Description of services to be provided. 
  • Number of days, or hours, of anticipated consultation. 
  • Rate of compensation, and/or travel, per diem, etc. 
  • Resume or curriculum vita. 

Sponsors may require a letter from the consultant confirming their role in the project, and the daily/hourly rate. PIs must ensure the following conditions are met when considering a consultant: 

  • Services the consultant will provide are essential to the project and cannot be provided by persons receiving salary support under the grant or contract or who are otherwise compensated. 
  • Selection process has been followed to select a qualified consultant available to perform the required services. 
  • Fee is commensurate with the qualifications of the consultant and the nature of required services 
  • Consultant meets the requirement of an independent contractor as defined by the Internal Revenue Service. 

Travel

Travel

Reimbursement for travel expenses is subject to University policies and sponsor regulations. Include as much information as available for each proposed trip, including destination, transportation costs, number of days, and purpose. “Domestic” and “Foreign” travel should be separately identified and budgeted. “Domestic” travel includes trips within the U.S. and US territories. On federally funded projects, all foreign travel, including those that are cost shared, should utilize US flag air-carriers whenever possible and regardless of cost or convenience. These costs need to be fully justified in the budget and any exceptions to the “Fly America Act” requirements or under the “Open Skies Act” may only occur under exceptional circumstances and as/if approved.

Capital Expenditures/Non-Expendable Equipment

Capital Expenditures/Non-Expendable Equipment

Non-expendable equipment is defined by UNT as personal property having a unit acquisition cost of $5,000 or more and a useful life of one year or more. Items having a unit cost of less than $5,000 should be budgeted under “Supplies.”

Budget all equipment needed to perform the proposed tasks (including estimated freight and installation). Most sponsors will not support the purchase of general-purpose equipment, such as office furniture, etc.

List each specific item in the budget, justify its need, and provide information on how the amount requested was derived, (i.e. catalog price, quote, or bid). 

Expendable Supplies and Equipment

Expendable Supplies and Equipment

A research project will usually consume expendable supplies and laboratory items, teaching materials, etc. 

Note: Office supplies are typically not allowable. 

Publication Costs

Publication Costs

Budget the anticipated cost of publishing the results of the research, keeping in mind that page charges may vary from journal to journal. Consider both page charges and reprint costs. It is important to justify the need for these costs. 

Sub-recipients

Sub-recipients

When a portion of the programmatic scope of work is proposed to be completed by a collaborating institution or organization, generally the entity involved is considered a sub-recipient. When investigators from another institution or organization participate in the research, their home institution or host organization will be the sub-recipient, and their proposal related documents are required by UNT prior to submission of the proposal.

The sub-recipient’s proposal must contain, at a minimum, the following:

  • Statement or scope of work. 
  • Budget (including applicable indirect costs—F&A). 
  • Period of performance (start/end dates). 
  • Letter of collaboration/commitment signed by authorized person (not PI or Co-PI). 
  • Copy of negotiated F&A Rate Agreement, when applicable

The sub-recipient should provide the Federal Employer Identification Number (FEIN), confirmation of current SAM registration, and any required certifications.

The sub-recipient proposal is then incorporated into UNT’s primary proposal. A list of the sub-recipient’s total costs should be included under Sub-recipients (or Subcontract category) of the budget depending on the sponsor’s requirements. The first $25,000 of sub-recipient’s costs will be included in UNT’s base for F&A assessment.

GCA review of the proposal will include review of sub-recipient documents. 

Other Direct Costs

Other Direct Costs

Other direct costs may include contractual or vendor services, and/or other costs allowed by the sponsor. 

Representations and Certifications

Representations and Certifications

For some proposals, special representations, certifications, and acknowledgments may be required. GCA will work with the PI to complete these forms. 

Facilities and Administrative Costs

Facilities and Administrative Costs

Facilities and Administrative (F&A) costs, also called overhead or indirect costs, reimburse UNT for laboratory and office space, utilities, administrative services (e.g., Department and Dean Administrators, Purchasing, Accounting, Human Resources, Security, etc.), custodial services, buildings, and other general use of UNT facilities. In other words, these include costs essential to support sponsored activities that cannot be specifically identified and directly charged to a specific research grant or contract. F&A cost percentages are determined periodically from actual cost records through a detailed cost accounting procedure and are audited and approved by the federal government.

Full F&A costs should be charged on all projects, the only exceptions being for those sponsors who have a published policy that limits indirect cost recovery. Any exceptions to full F&A cost recovery must be approved by the VPRI or his/her designee. The F&A amount is calculated by multiplying the modified total direct cost total (MTDC) by the F&A rate.

The MTDC total is determined by subtracting the following costs, if any, from the total direct costs.

  • Capital expenditures and Equipment (non-expendable equipment estimated to cost $5,000 or more and with a useful life of 1 year or more).
  • Patient care charges (not typically included on UNT Denton projects).
  • Rental costs.
  • Tuition remission (see section on Graduate Research Assistants for explanation on tuition relating to sponsored research grants and contracts).
  • Participant Support costs.
  • Sub-award costs in excess of $25,000 (any portion above the initial $25,000 per sub-award, over the lifetime of the project).
  • Scholarships and Fellowships.

An off-campus F&A rate may apply for projects where more than 50% of all proposed activities and project related effort will be performed in, or on, non-university owned or leased space during the project period.

If a project is carried out in space leased by UNT and the rent is not charged to the grant or contract, the on-campus rate prevails. 

Cost Sharing

Cost Sharing

Some sponsors require UNT to contribute to the cost of the project and will require a financial accounting of UNT’s contribution. In addition to such mandated cost-sharing, any quantified contribution to a project included in the proposal, either in the budget or the text, will be considered voluntary committed cost-sharing which UNT must document. UNT account(s) to which such cost sharing will be charged must be identified prior to approval of the sponsored project budget as well as proposal submission.

University contributions in terms of personnel effort and the associated employee benefit costs, other direct expenses, and the F&A costs calculated on these expenses at the approved F&A rate may be shown as cost sharing, unless the sponsor’s published guidelines specifically state otherwise. Any difference between F&A costs at a sponsor’s limited rate and UNT’s negotiated rate may be used to meet a cost share requirement if permitted by the sponsor. UNT discourages cost sharing unless mandated by the sponsor. All proposed cost-sharing must be approved by the responsible Chair(s) and Dean(s), and as applicable, by the Division of Research and Innovation. 

Deadlines for Proposals

Deadlines for Proposals

The University review process takes time. A complete proposal should be submitted to GCA, including a reasonable draft of the narrative, a minimum of 6 (six) full business days prior to the sponsor’s submission deadline. The final narrative should be finalized and received by GCA by 8:00 am the day of the sponsor’s submission deadline. GCA may modify this request based on the time the proposal is due.

GCA will review proposals for which the technical portion is still in draft provided that all other proposal elements are complete and final and all required reviews and approvals by the appropriate Chair, Dean, and other applicable approvers have been received in GRAMS.

Proposals will normally be processed in order of receipt. It is the responsibility of the PI to ensure that a proposal is received by GCA in time to meet any established sponsor deadline.

Late proposals will not receive priority over proposals complying with the required lead times. 

Proposals and documents received after the six-day deadline will receive a modified level of review.

GCA does not guarantee the submission of proposals that do not allow for sufficient time to complete the necessary review and navigate an appropriate sponsor submission.  UNT reserves the right to review and request changes prior to acceptance of an award or to decline an award, if the budget or other commitments contained in the proposal do not conform to UNT specifications or requirements. 

Electronic Submission of Proposals

Electronic Submission of Proposals

A number of sponsors require electronic submission of proposals.

The electronic proposal preparation process may be time consuming for the PI, particularly the first time a sponsor’s electronic portal or system is used. Prior to the first submission of a proposal using any form of electronic proposal portal or system, the PI must contact GCA. In addition, the PI may need Adobe Acrobat and/or PDF capability on their computer.

GCA must approve the proposal before it may be submitted. Proposals for electronic submission (or online submission) must meet the GCA internal deadline, the same as proposal submissions by any other method.

GCA may review a very large volume of proposals for any given sponsor deadline, so it is important to submit proposals to GCA well before the deadline to allow for appropriate review. Failure to do so may jeopardize a successful or timely submission of the proposal. 

Required Copies of Proposals

Required Copies of Proposals

The number of copies of proposals required by a sponsor may vary.  The PI should review proposal instructions and contact GCA with any questions. In addition to the copies required for submission to the sponsor, one additional copy is required for the proposal file kept in GCA.

The PI is responsible for providing GCA with any and all copies of proposals required for submission (photocopies and/or digital copies such as DVDs). GCA does not make copies of proposal documents. 

Multiple Solicitations

Multiple Solicitations

The submission of the same proposal to two or more sponsors is typically allowable provided this is clearly disclosed in each proposal application; however, some agencies may specify otherwise and may not accept proposals submitted to other potential sponsors.

Review and Approval Channels

Review and Approval Channels

The PI must route their proposal for department and college review and approval, before it may be submitted to the sponsor by GCA. A review may include the following:

  • Commitment of faculty, staff, and student time, as well as any other UNT resources. 
  • Personnel salary/fringe (i.e. reimbursement of academic year and/or provision for summer support).
  • Space and facilities requirements. 
  • Budgeted costs, including F&A assessment, are in accordance with federal/state regulations, UNT policies and sponsor guidelines. 
  • Specific project activities which require compliance review and approval prior to award, such as the use of human subjects, animals, biohazards, radioactive materials, lasers, export control, and intellectual property, etc. 
  • Disclosure of any potential financial conflicts of interest by the PI or any other person responsible for the design, conduct, or reporting of the proposed project. 

Proposal review and approval required by the following:

  • Department Chair 
    • Approval by the Chair constitutes endorsement attesting to the academic purposes of the proposed research or other sponsored activity, departmental compatibility, appropriateness in the context of budget, faculty time available to carry out the project, and availability of space and research equipment. As/if approved by the Chair, the proposal is then typically submitted to the Dean of the college for review and approval. 
  • Dean 
    • Approval by the Dean relates to the substance and merit of the proposal as well as to the budget, including salaries and employment of present and proposed personnel, as well as any other aspect of the proposal which may affect the teaching, research, and use of both school and University space and facilities. The Dean's approval of a F&A recovery rate less than the federally negotiated F&A rate indicates acceptance of reduced F&A cost recovery to the school. As/if approved, and endorsed by the Dean, the proposal is then typically submitted to GCA. 
  • Grants and Contracts Administration (GCA) 
    • Review by GCA is for accuracy and compliance with applicable guidelines and regulations (institutional, local, state, federal, etc.) pertinent to the specific submission, as well as to confirm the proposal is complete and required internal approvals have been received by GCA. Proposals and documents received after the GCA six (6) full business day deadline will receive a modified level of review. 
    • GCA cannot guarantee a successful submission of proposals that do not allow for sufficient time to complete the necessary review and navigate an appropriate sponsor submission. UNT reserves the right to review and request changes prior to acceptance of an award or to decline an award, if the budget or other commitments contained in the proposal do not conform to UNT specifications or requirements. 
  • Vice President for Research and Innovation 
    • Proposals that appear to deviate from University policy are submitted by GCA to the Vice President for Research (VPRI) for review. If the VPRI finds the proposal acceptable, it is approved and returned to GCA for submission to the sponsor. If questions exist as to possible noncompliance with University policy, the VPRI will contact the PI or Dean for recommendation.