Proposal Process and FAQs

Proposal Submission Procedure

All proposals for extramural support must be submitted for review, approval and submission by the Office of Research and Graduate Studies (ORGS). Faculty are advised to notify the ORGS via email – CVMORGS@auburn.edu ‐ of intent to submit proposals to extramural sponsors. This will insure that the ORGS staff can obtain necessary information to facilitate proposal development, review and submission.

Faculty are advised to submit complete proposals to the ORGS at least 10 calendar days, and not less than three (3) business days prior to the date and time that the proposal is due to the funding agency or sponsor. This allows time for the ORGS staff to complete a thorough review of the proposal and obtain required institutional approvals prior to the submission deadline as defined by the sponsoring agency. Proposals received less than three (3) business days before deadline will be processed as time permits. Circumstances may prohibit the processing and submission of late proposals.

Proposals submitted for review and approval by the ORGS must include a final budget with budget justification, and all required supplemental materials (ex. letters of support/collaboration, material transfer agreements, and other appended information as required by the sponsor). The body of the proposal (research plan) need not be in final form for budget review, but should be as complete as possible. The complete, final proposal should be submitted to the ORGS no later than three (3) business days prior to the deadline for submission defined by the sponsor.

Pre‐proposals and/or letters of intent (LOI) that include budgetary commitments should be submitted to the ORGS at least three (3) business days prior to the date and time they are due as defined by the sponsoring agency. Pre‐proposals and/or LOIs that do not include budgetary information need not be submitted through ORGS, but should be copied via email to the ORGS.

The ORGS observes the Auburn University Holiday Schedule, and is closed on approved holidays. Faculty should factor the Holiday Schedule into their proposal submission plans in keeping with procedures outlined here.

Faculty are encouraged to contact the ORGS (HH501; Phone: (334) 844‐3700, CVMORGS@auburn.edu) with questions concerning proposal development, review and submission.

Frequently Asked Questions

The College of Veterinary Medicine (CVM) is one of the six (6) colleges that are decentralized and approved by the Vice President for Research to submit proposals on behalf of the university. CVM ORGS coordinates and directs efforts and activities associated with development, acquisition and management of externally funded contracts and grants. https://www.vetmed.auburn.edu/research/

Topic: Office of Research & Graduate Studies (ORGS) – Pre‐Award Services

Pre‐Award Services refers to all administrative activities that take place prior to a grant or contract award. These may include but are not limited to application guidance, review, and approval, facilitate award receipt, negotiation, acceptance, etc.

Who do I contact to submit a proposal?

Contact ORGS as soon as you decide to submit a proposal so they can add you to the schedule (board). cvnorgs@auburn.edu or 844-3700.

How much notice do I need to provide?

Faculty are advised to complete proposals to the ORGS at least 10 and not less than 3 business days prior to the due date of the funding agency or sponsor.

What does ORGS do to assist faculty?

ORGS provides faculty support for pre‐award to post‐award for all CVM extramural and intramural awards.

What entity are you applying to?

I will review the entity website to ensure AU is eligible to apply.

Are you responding to an announcement/solicitation?

I will download the program guidelines and put them in a folder on g: orgs_grants/private/yourusername created just for you. Just look for your username.

Who can help with the budget?

I will provide a budget worksheet specific to the entity you are applying to. I will need to know the personnel involved and the effort each person will have on the project, as well as equipment, supplies, travel and other direct cost.

How do I calculate my effort?

You will need to determine how much time you will spend on this project but take into account your overall workload when making the determination.

What do I need send to ORGS or Teresa?

Proposals submitted for review and approval must include a statement of work, final budget with budget justification and all required supplemental materials (ex. Letters of collaboration/support and other appended information as required by the sponsor.

What if there are multiple investigators from other departments and colleges?

If there other PI’s on the proposal they will be listed on the Proposal e‐Cover form. They along with the Department Head and Associate Dean will be asked to review and approve the proposal. Notify your Department the proposal will be forthcoming for approval.

When other investigators are involved how do I budget their salary, students, and materials & supplies?

We will create two (2) separate budgets for each College. This way if awarded we will request separate accounts.

What is a subcontractor?

Another organization’s activities performed involve a substantive portion of the work effort of the project with a specific scope of work to conduct in conjunction with the proposed projects. Example of costs: salary, fringe, materials and supplies, travel, equipment, other direct costs and indirect costs.

Are there subcontractors involved?

Provide me administrative contact information and I will ensure the administrative portion is completed for all subcontractors. Documentation needed: Completed AU Commitment Form, Statement of WorkBudget, Budget Justification, Biosketch(s)

Are there collaborators/consultant(s) involved?

You will need to obtain a letter of intent on their letterhead and signed by the consultant.

Do I have to include tuition?

If the guidelines indicate this is an allowable costs. All stipend/assistantship support for graduate research assistants must include tuition support at a rate of 10% or 40% of the stipend/assistantship.

What is the indirect cost rate?

Auburn University (AU) has a Federally‐negotiated indirect cost rate agreement in place for the purpose of covering indirect expenses to externally funded projects. This agreement assesses the institution’s expenses associated with the “cost of doing business.” Indirect costs are expenses such as administrative expenses, utilities, physical plant, maintenance, library facilities, etc.

What is cost share?

“Cost share” is also called “match”, which refers to the resources contributed or allocated to a sponsor project.

Who do I go to for the cost share?

Contact your department head.

Are there different types of cost share?

Yes, there are four (4) types of cost share:
1.) Cash Cost Share – a cash expenditure on a specific sponsor project. These expenditures are separately budgeted and account for.
2.) In-Kind Cost Share – described as non-cash contributions, such as volunteer time or donation of goods and services. This may come from the college, department or third parties.
3.) Third Party Cost Share – may be cash or non-cash. Non-cash contributions are the values of contributed goods and services directly benefiting the project. All non‐cash contributions must be verifiable/documentable.
4.) Indirect costs. Educational institutions may use unrecovered indirect costs as allowable cost sharing.

Topic: Compliance

Adherence to the requirements imposed, often by federal regulation, and the responsibilities that institutions assume in their receipt of funding. The institution signs certifications or representations regarding compliance for most proposals or awards. It is important that the institution have systems in place to ensure compliance and maintain adequate records to demonstrate compliance.

Do I have to have an approved IACUC before submitting a proposal?: You do not have to have an approved IACUC protocol at the proposal stage unless the guidelines require it.
If I am not using animals but my subcontractor is, do I have to submit an animal protocol?: The subcontractor will complete the AU commitment form which will provide AU Compliance with the active IACUC protocol along with their Animal Welfare Assurance Number and whether they are AAALAC Accreditation Number and USDA registration number (if applicable).
If my statement of work does not include human subjects but my subcontractors statement of work does, do I have to submit an IRB?: The subcontractor will complete the AU commitment form which will provide AU Compliance with the active IACUC protocol along with Federalwide Assurance Number or indicate if this Research is exempt.
Does this project include use of recombinant or synthetic nucleic acid molecules, or other biological agents including bacteria, viruses, toxins, blood borne pathogens?: You do not have to have an approved BUA at the proposal stage unless the guidelines require it.
If I am not using recombinant or synthetic nucleic acid molecules, or other biological agents including bacteria, viruses, toxins, blood borne pathogens but the subcontractor is, do I need to submit a BUA?: The subcontractor will complete the AU commitment form which will provide AU Compliance with the active IBC protocol number, approval and expiration date or indicate if this Research is exempt.
If I am not using Ionizing radiation, but the subcontractor is, do I need to obtain approval?: The subcontractor will complete the AU commitment form which will provide AU Compliance with the License or Registration number, approval and expiration date or indicate if this Research is exempt.
What compliance tasks do I need to do to apply to NIH?: Before AU will submit a proposal to NIH the PI and Co‐PI’s will need to take the required Conflict of Interest CITI Training and complete a Disclosure. https://cws.auburn.edu/OVPR/pm/compliance/fcoi/phs
What compliance tasks do I need to do to apply to for NSF?: Before AU will submit a proposal to NSF each investigator will need to complete the NSF Conflict of Interest Disclosure Form and on an annual basis if awarded. https://cws.auburn.edu/OVPR/pm/compliance/fcoi/nsf
What compliance tasks do I need to do to apply to USDA?: Nothing needs to be done at the proposal stage. However if you receive an award from USDA‐NIFA all personnel involved with the project will need to complete the Responsible Conduct of Research (RCR) Training. https://cws.auburn.edu/OVPR/pm/compliance/rcr/usdanifa
What if AU is the subcontractor to another institution submitting to NIH, NSF or USDA?: You will still need to complete a statement of work, budget, budget justification and any required compliance task(s) as indicated above. I will complete any administrative documents and obtain AU authorized representative signature.

Topic: Non‐Federal vs Federal Proposal Process

The proposal creation and submission of responding to another entity can be streamline as to federal sponsor and foundation OR having to use outside standard practices when dealing with corporations.

How do I process a proposal to a federal agency?: We will be working together on any federal proposals. You will save the final documents on the g‐drive. Once all the documents are finalized, I upload the documents into the application module through grants.gov. We can meet to do a final review. Then I submit the application on behalf of AU to the federal agency. A submission confirmation is email back to AUOSP and the PI to confirm receipt.
How do I process a proposal to a Foundation?: You can send me a draft statement of work, finalized budget and budget justification. I will complete the Proposal e‐Cover form and submit for approvals. Once all approvals have been obtained, I will send you an email notifying you the proposal can be submitted and to send me a copy of the final for our records.
How do I process a proposal for a corporation/industry?: Usually when a corporation makes contact with a faculty member they already have an idea of the research they are wanting. The corporation will work with the faculty member on the statement of work. A budget is development using the research indirect cost rate 51%. In some cases, it would be better to provide a “Fully Burden Budget” (I will assist) to the representative of the corporation does not meet pitfalls when seeking approvals. If we have an established relationship this is not an issue. At this time we may also involve expertise from other offices such as the Office of Innovation, Advancement and Commercialization (IAC) for input on MTA’s, MOU, IP, etc. If other expertise is needed we will bring them to the table so everyone will be involved at the beginning in order to facilitate and streamline the negotiation process and develop a long‐term relationship.

Topic: Office of Research & Graduate Studies (ORGS) – Post Award Services

Post Award Services refers to all administrative activities that take place after a grant or contract has been awarded. These may include but are not limited to establishing new funds, ensuring expenditure compliance, financial reporting, effort reporting, billing and collecting, account closeout, project management, award changes related to carry‐forward; grant transfers; change of PI; considerable re‐budgeting, extensions, etc.

Who will set‐up the account?: Contracts & Grants Accounting will set‐up the account known as a FOP (Fund, Organization # [aka Department), Program Code) and will send an email to you, me and your departmental person with the account information.
Who do I give my invoices to?: Departmental contacts:
AHR – Tammy Bauer
APP – Hatti Alvis
CPS – Karen Galik
DCS – Teri Dunaway
SRRC – Joni Coffman
VPB – Karie Dalton
Who will be handling or reconciling my account?: The Departmental contact listed above. However ORGS will be reviewing and monitoring all financial activity on a monthly basis. If we notice a discrepancy we will contact the department to make the correction.
I need a no‐cost extension who do I contact?: ORGS or Teresa. Please provide a “reason” for the extension. I will put together the letter, cover form and obtain all approvals. Then I will send the all the paperwork to the Office of Sponsored Programs Contract Administrator (CA). The CA will obtain AU’s authorized representative signature and send to the sponsor.
Who can I contact with any questions about the account (FOP)?: You can contact ORGS. We will be happy addressing any question and resolving any issue.