Submission of proposals  

The Office of Grant and Contract Services (OGCS) is the central administrative office responsible for authorizing and submitting proposals for extramural funding. This authorization assures that what is proposed is consistent with Arizona Board of Regents (ABOR) policies, state, and federal laws, and that commitments made in proposals have been authorized by the appropriate administrators. After a proposal has been submitted, OGCS also negotiates and accepts the award as well as provides administrative oversight the funded project. 

All proposals for extramural funding must be reviewed and approved by the principal investigator (PI) or Project Director (PD), co-PIs/PDs, participating department or unit chairs, and academic deans and/or directors prior to submission to the sponsor. 

The Office of Grant and Contract Services is responsible for submitting proposals on behalf of the university. All proposals for extramural funding must be authorized for submission by an individual who is authorized to sign documents on behalf of the Arizona Board of Regents.

Completed proposals are now routed through Cayuse 424 for institutional approval. Proposals must be submitted to OGCS at least five working days prior to the sponsor’s deadline, or with prior review, three days in advance of the deadline. More time is needed for:

  • large proposals
  • proposals submitted through Grants.Gov
  • major deadlines

Late proposals may not be forwarded to the agency due to lack of time to review or, if forwarded, may be withdrawn if a problem is discovered after submission.

Procedures for preparing and routing proposals through Northern Arizona University

1. Notification

Notify OGCS that you are preparing a proposal by completing the Early Proposal Notification.

This form provides information we need to review and submit the proposal, including the:

  • name of the sponsor
  • website to review the program/solicitation announcement
  • mailing deadline

A. You will receive an e-mail acknowledgment from OGCS containing the name of the responsible Grant and Contract Administrator (GCA), the OGCS tracking number assigned to the proposal, and the web address for all required internal forms and guidelines.

B. For solicitations that restrict the number of proposals the university may submit, the form is essential in assessing whether an internal selection committee will be required.

C. Indicate how the proposal will be submitted, including through:

  • Grants.Gov
  • another electronic portal
  • paper

Proposals that are submitted through Grants.Gov require two to three days additional time for preparation, review, and submission to the sponsor.

2. Contact for questions/concerns

Contact OGCS to discuss your proposal and any particular concerns you may have, such as:

  • Grants.gov proposal submission. If your proposal will be submitted through Grants.Gov, the proposal “form set” must be downloaded and completed, including uploading all required forms, prior to submission. Multiple instruction packages, including Grants.Gov, the Sponsor’s general submission guidelines, and the specific RFP guidelines, will need to be followed.
  • Institutional and/or PI eligibility. Northern Arizona University is not eligible to submit proposals for some opportunities (for example, those restricted to 501(c)(3) entities). Other constraints may include a limit on the number of proposals that may be submitted by the university, or criteria restricting who may serve as the principal investigator. 
  • Program guidelines. 
  • Budget preparation and review (salaries, ERE rates/requirements, F&A rate, etc.).
  • Requirements for requesting cost share and/or matching contributions (required and/or voluntary cost share, committed cost share, etc.).
  • Procedures for requesting a waiver or reduction of the indirect cost rate.
  • Personal, institutional, and/or agency deadlines or other scheduling constraints. Large or complex proposals or a heavy proposal volume for a particular date may require additional review time.
  • Use of the OGCS number to track the proposal and to identify all electronic data files associated with the proposal special needs/requirements for electronic or multi-institution submissions. We may need to register Northern Arizona University and the participating faculty on the agency’s website, or submit or secure authorizations from partner institutions, etc.
  • Regulatory/compliance requirements, if applicable.

3. Secure clearance

Secure clearance from the Office of University Advancement for Proposals to private foundations, or to request a corporate donation. The principal investigator is responsible for requesting prospect clearance from the Office of University Advancement for proposals to private foundations or seeking corporate donations. Prospect clearance assures that the foundation is aware of all potential submissions, so that proposals can be managed to maximize gift funding. In limited cases, faculty may be requested to delay submission so as not to conflict with a planned or current solicitation.

4. Follow proposal guidelines

Prepare the proposal according to sponsor guidelines. The principal investigator has primary responsibility for the technical content of the proposal, including the budget, and all required sponsor and internal forms. The GCA will work with the investigator to review the proposal and assist with budget preparation and review, and may be able to assist with sponsor forms and proofreading/ editing the proposal if requested and if time allows. A few caveats include:

  • Statistical data presented about the university, our programs, faculty and students, enrollment and graduation rates, etc. must be verifiable. The best source for this data is the Office of Planning, Budget, and Institutional Research (928-523-5804, www.nau.edu/pair). We strongly advise that you review your source material with your GCA prior to submitting the final proposal.
  • Requests for cost share and/or indirect waivers or reduction must be submitted to the Vice President for Research at least two weeks prior to the proposal deadline.

5. Follow budget guidelines

Prepare the budget according to sponsor guidelines.

  • The proposal budget is generally divided into two sections:
  • direct costs
  • facilities and administrative costs
  • Direct costs are those costs that can be identified specifically with a particular project, or that can be directly assigned to such activities easily with a high degree of accuracy. OMB Circular A-21, Cost Principles for Educational Institutions, establishes the principles for determining costs applicable to grants, contracts and other agreements between educational institutions and the federal government. Section J. contains an extensive list of allowable and unallowable expenditures on federal awards. To be eligible as a direct cost, a cost must be:
  • allocable to the project
  • allowable under the cost principles
  • charged consistently

For non-federal sponsors, follow the policies established by the sponsor.

  • Facilities and administrative costs are general operating costs incurred by the university in support of research, instruction, and other sponsored activities. Typically, these costs cannot be readily attributed to, or directly charged to, specific individual projects; for example:
  • administrative/clerical salaries
  • office supplies
  • basic telephone service
  • routine postage as well as building maintenance, heating, lights, etc. (OMB Circular A-21, Section E.1).
  • The university’s policy is to request our federally approved rates for all sponsored projects, unless a different rate has been specified by the funding agency. Effective 7/1/2005, the base for calculating indirect costs shifted from a salaries and wages base to a modified total direct cost base. The MTDC base consists of all salaries and wages, ERE, materials and supplies, operating costs, travel, and the first $25,000 of each sub-recipient award. The base excludes capital expenditures, tuition, rental costs of off-site facilities, scholarships and fellowships, and the amount above $25,000 for each sub-recipient award. Copies of the rate agreement and Northern Arizona University’s facilities and administration policy are available at http://www.nau.edu/grants. The new rates are as follows:

 

Type

From

To

Rate (%)

Location

Applicable to:

PRED.

07/01/06

06/30/08

48.0

On-campus

Organized Research

PRED.

07/01/06

06/30/08

26.0

Off-Campus

Organized Research

PRED.

07/01/06

06/30/08

51.2

On-Campus

Instruction

PRED.

07/01/06

06/30/08

26.0

Off-Campus

Instruction

PRED.

07/01/06

06/30/08

28.5

On-Campus

Other Sponsored activity

PRED.

07/01/06

06/30/08

26.0

Off-Campus

Other Sponsored activity

PRED.

07/01/08

Until amended

Use the same rates and conditions as those cited for the fiscal year ending June 30, 2008

 

  • The off-campus rate is applicable to those projects conducted in facilities not owned or leased by the university. However, if the project is conducted in leased space and lease costs are directly charged to the project, then the off-campus rate must be used. A project is considered off-campus if more than 50 percent of its salaries and wages are incurred at an off-campus facility. If a project is determined to be off campus, it shall be considered wholly off-campus. Separate on and off-campus rates will not be used for a single project.
  • Northern Arizona University requires sponsored project costs to be funded, to the greatest extent possible, by the sponsors. The university’s decision to authorize the use of internal resources to supplement funding of a sponsored project is based on the availability of funds and the relative importance of the project in furthering the mission of Northern Arizona University. Requests for cost share, either in the form of a waiver or reduction of facilities and administration, or cash match, must be approved prior to routing the proposal for final approvals by the chair/director/dean and the authorized institutional representative.

6. Document commitments and approvals 

Complete the Northern Arizona University Proposal Approval Form (PAF) to document institutional commitments and approvals by the PI/PD, Co-PIs/PDs, and chairs/directors and/or deans to submit the proposal. The lead investigator is responsible for assuring that the completed proposal and PAF with all required signatures are submitted to OGCS by the Northern Arizona University internal deadline.

7. Approval for waivers

Secure approvals for a waiver or reduction of the university’s facilities and administrative

 (indirect cost) rate.

  • A facilities and administration waiver or reduction request must be approved by the cognizant chairs, directors, and deans prior to consideration by the Vice President for Research. The written request must justify the reduced rate, explaining the benefit to the university for accepting the project at the reduced rate. Waiver or reduction requests should be submitted at least two weeks prior to the proposal deadline.
  • Only indirect costs recovered at the fully allowable rate (i.e., the rate established by the sponsor as the fully allowable rate) are available for distribution. Indirect costs recovered at less than the fully allowable rate are retained by the Vice President for Research.

8. Approval for funds

Secure approvals for cost share and/or matching funds. Northern Arizona University requires sponsored project costs to be funded, to the greatest extent possible, by the sponsors. The university’s decision to authorize the use of internal resources to supplement funding of a sponsored project is based on the availability of funds and the relative importance of the project in furthering the mission of Northern Arizona University. 

  • There are two types of cost share:
  • mandatory cost share, which is required by the sponsor as a condition for submitting proposal quantified in the proposal budget and budget narrative
  • voluntary committed cost share which is not required by the sponsor but is quantified in the proposal budget and/or the budget narrative
  • Inclusion of cost share in proposal budgets requires prior approval and documentation of all cost share and/or matching funds. Cost share requests from the Vice President for Research should be submitted at least two weeks prior to the proposal deadline.
  • Tuition waivers represent foregone revenues to the institution, and are a form of cost share which must be approved by the responsible chairs, directors, and deans prior to consideration by the Vice President for Research.
  • Requests for cost share from the Office of the Vice President for Research must be submitted at least two weeks prior to the deadline for submitting the proposal.
  • All cost shares must be listed on the PAF, including the amount and source of the cost share or match. Approvals for internal cost share and match are provided by the authorizing signatures on the second page of the routing form. For external sources, a letter of specific support should be submitted.
  • If the proposal is funded, the PI will be responsible for tracking and reporting cost share amounts to Sponsored Project Services.

9. Fill out an approval form

Complete the Proposal Approval Form (PAF). The PAF is an internal document used to secure approvals from the PIs, chairs or director, and deans to submit a proposal, document cost share, and/or indirect cost approvals, and indicate required certifications from investigators and academic administrators. The form also is used to collect and summarize information about the proposal. The PAF is not submitted to the sponsor. The PI is responsible for completing and routing the PAF and proposal for internal review and approval.

  • Investigators’ signatures document their agreement to collaborate on the project, certify the accuracy of the submission, acknowledge their responsibility to manage the project in conformance with the terms and conditions of the award and applicable laws and regulations, and their concurrence with the required drug-free workplace, debt and debarment, lobbying, and financial disclosure certifications.
  • Signatures of department chairs, directors, and academic deans document their review and approval of the proposal, as well as their awareness of and commitment to providing the necessary resources.
  • All cost share commitments must be listed on the routing form along with authorizing signatures (for internal cost share) or letters of commitment (for external cost share)
  • Authorizations are required for proposals that include animal use, human subjects, radiation or biosafety, or require additional space.
  • Depending on the proposal and/or sponsor, other forms may be required:
  • Investigator Disclosure Form (NSF and NIH proposals)
  • Request to Issue a Subcontract
  • Justification for Direct Charging Clerical and Administrative Salaries
  • For proposals involving several academic units, the investigator may route several copies of the PAF to secure all required signatures.

10. Designate a person in case of your absence

 If you will be unavailable prior to final submission of the proposal, please identify a person who will be responsible for answering questions and making any necessary modifications in your absence.

11. Submit the proposal

Submit the proposal and following documents to OGCS at least five working days prior to the sponsor’s deadline, or with prior review, three days in advance:

The original proposal and an electronic copy of the proposal and budget (the electronic files can be e-mailed directly to your GCA or to ogcs@nau.edu).

  • PAF with all required signatures.
  • a copy of the program guidelines, including instructions for copying and mailing the proposal to the sponsor
  • unless there is no deadline, we request you hand deliver your proposal to OGCS rather than using campus mail

12. Institutional review and authorization of the proposal

The proposal is reviewed by an OGCS grant and contract administrator, and, once any concerns have been addressed with the PI, is submitted to the Director of OGCS or other Authorized Organizational Representative (AOR).

The AOR’s signature documents institutional approval to submit the proposal on behalf of the investigator and certifies the university’s commitment to provide the stated resources to support the proposal, as well as to any certifications and attestations required by the sponsor.

In the case of electronic submission, policies and procedures are changing very quickly and vary widely from agency to agency. Most federal sponsors require institutional submission of the proposal and the authorization/submission procedure typically is seamless, with review and submission by the authorized representative after the PIs complete the uploading process. Other sponsors place the responsibility for securing institutional approvals squarely with the PI; in these cases, it is critical to work with your grant and contract administrator to assure proposal review and authorization prior to submission.

13. Final step

OGCS will copy, package and mail the proposal to the sponsor, unless another method is requested. If color prints or special inserts are required, we request you provide complete sets for each copy of the proposal.

All proposals are sent by overnight courier for standard or priority delivery, depending on when the proposal is received and the sponsor’s deadline. In order to reduce mailing costs, we mail most proposals two days prior to the deadline using standard overnight delivery.

The pickup deadline for FedEx is 3:30 p.m. and the Woodlands Boulevard location closes at 5:15 p.m. 

We will do our best, but cannot promise to copy or mail proposals received after the deadline. In this case, the signed proposal will be returned to the PI for copying and mailing to the sponsor. Late arrival of a proposal to OGCS may result in an incomplete review in order not to miss the sponsor’s submission deadline. If, in consultation with the PI, it is subsequently determined that the proposal is incomplete or does not conform to university or sponsor requirements, the proposal may be withdrawn.

Our office takes great pride in providing proactive service and we look forward to working with you on your projects.