Campus-Specific References

• Institutional Information

  Institutional Information

  Sponsored Programs Administration

  Charles Greer, Associate Vice Chancellor for Research Administration & Compliance
  E-mail: charles.greer@ucr.edu

  Institutional Name and Address

  The Regents of the University of California
  Sponsored Programs Administration
  245 University Office Building
  University of California
  Riverside, CA 92521-0217
  (951) 827-5535 voice
  (951) 827-4483 FAX
  E-mail: awards@ucr.edu
  URL address: research.ucr.edu
  County: Riverside

  Type of Institution

  Public, nonprofit educational institution exempt under Section 501(c)(3) of IRS code. As of FY2024, UCR is designated as a Hispanic Serving Institution (HSI) for federal grants. (Eligibility Letter). Subject to special program requirements, UCR may apply for new grants under Title III and/or Title V programs.

  Checks should be mailed to:

  University of California, Riverside
  Main Cashier's Office
  900 University Avenue
  Student Services, Bldg., Room 1111
  Riverside, CA 92521
  (951) 827-3208 voice
  (951) 827-7976 FAX

  Political District (Riverside campus)

  U.S. Congressional District: 39th
  State Assembly District: 61
  State Senate District: 31

  Cognizant Federal Audit Agency

  Department of Health and Human Services (HHS)
  Office of the Inspector General, Region IX
  Office of Audit
  90 7th Street 
  San Francisco, CA 94103
  
  CASB Disclosure Statement (DS-2)
  Date Filed: August 27, 2021
  Filing Location: Same address as listed above

  A-133 Audit Reports

  Link to A-133 Audit Report

  IRS Employer Identification Number

  1956006142A1 - National Institutes of Health
  956006142W - All others

  Other Institutional Identifiers

  Awardee Organizational Code: 0013169000
  California Corporation Number: C0008116
  Commercial and Government Entity (CAGE) Code: 4W611
  Contractor Establishment Code (CEC): 62-870-752D
  Data Universal Numbering System (DUNS) Number: 62-779-7426
  DHHS-PMS PIN: 6J62
  Federal Interagency Committee on Educational Institutions (FICE) Code: 001316-9
  National Center for Educational Statistics (NCES) ID Number: 110671
  NIFA Automated Standard Application for Payments (ASAP) Recipient ID Number: 0623505
  NIH Institutional Profile Number: 0577506
  North American Industry Classification System (NAICS) Code: 611310
  UCRJ-1 Visa Designation: P-1-3122
  Unique Entity Identifier (UEI): MR5QC5FCAVH5
  U.S. Department of Education, Hispanic Serving Institution Number: OPEID-00131600

  Defense Contract Management Agency (DCMA)

  DCMA Santa Ana
  34 Civic Center Plaza
  Room 5001
  Santa Ana, CA 92701-4056
  (714) 565-7100
  dcmasantaana@dcma.mil

  Defense Contract Audit Agency (DCAA)

  Cherie Kechour, Office Manager
  DCAA - San Gabriel Valley Branch Office
  1000 E. Lakes Drive, Suite 400
  West Covina, CA  91790-2900
  (626) 918-5922
  dcaa-fao4901@dcaa.mil

  Important Compliance Numbers

  1. HRRB Institutional Federal-Wide Assurance number: 00001965
     Effective July 27, 2021, Expires July 27, 2026
  2. Animal Welfare Assurance Number: D16-00278 (A3439-01)
     Effective August 1, 2019, Expires August 31, 2023, Renewed every four years
  3. Scientific Misconduct Assurance Number: 0577506
     Effective January 3, 2012, Renewed annually
  4. AAALAC Institutional number: 000637
     Effective: June 27, 2018, Renewed every three years

  For additional Institutional compliance numbers not listed above, click here.

• Benefits

  Employee Benefit Projections – Composite Benefit Rates

  UCR’s payroll/ personnel processing was transferred to UCPath effective January 1, 2018. Consistent with the UCPath goals of standardizing processes and increasing efficiency, UCR has established fringe benefit rates that are based on a percentage of an employee’s salary according to Employee Groups that do not vary by individual employee benefit selections. These rates are commonly referred to as Composite Benefit Rates (CBRs).

  All proposals shall include the following CBRs:

  	Approved by DHHS			For Planning Purposes Only - Estimated Rates
  Employee Classification	FY 2023	FY 2024	FY 2025	FY 2026	FY 2027	FY 2028	FY 2029	FY 2030	Note(s)
  Faculty	35.6%	35.2%	36.0%	36.0%	36.0%	36.0%	36.0%	36.0%	Note 2
  Faculty Summer	12.0%	7.9%	7.9%	7.9%	7.9%	7.9%	7.9%	7.9%	Note 2
  Health Science Compensation Plan (HSCP) Faculty	27.3%	27.6%	30.0%	30.0%	30.0%	30.0%	30.0%	30.0%	Note 2
  No Benefit Eligibility	4.0%	1.8%	2.10%	2.10%`	2.10%	2.10%	2.10%	2.10%
  Other Academic	44.2%	43.1%	43.7%	43.7%	43.7%	43.7%	43.7%	43.7%	Note 2
  Partial Benefit Eligibility	4.0%	1.8%	2.10%	2.10%	2.10%	2.10%	2.10%	2.10%	Note 2
  Post-Doctoral Researcher	20.4%	20.5%	22.3%	22.3%	22.3%	22.3%	22.3%	22.3%	Note 2
  Staff Exempt	44.2%	43.1%	43.7%	43.7%	43.7%	43.7%	43.7%	43.7%	Note 2
  Staff Non-Exempt	53.6%	52.0%	49.9%	49.9%	49.9%	49.9%	49.9%	49.9%	Note 2
  Student	4.0%+ GSHIP and Fee Remission + Tuition Remission, if applicable	1.8%+ GSHIP and Fee Remission + Tuition Remission, if applicable	2.10%+ GSHIP and Fee Remission + Tuition Remission, if applicable	2.10%+ GSHIP and Fee Remission + Tuition Remission, if applicable	2.10%+ GSHIP and Fee Remission + Tuition Remission, if applicable	2.10%+ GSHIP and Fee Remission + Tuition Remission, if applicable	2.10%+ GSHIP and Fee Remission + Tuition Remission, if applicable	2.10%+ GSHIP and Fee Remission + Tuition Remission, if applicable	Note 1

  *For proposal submissions that include the Estimated Rates, please add the following statement to your budget justification:

  The rates requested are based on the University's estimated Composite Benefit Rates which have been submitted to, and are currently pending approval from, the University's Cognizant Federal Agency, DHHS.

  Vacation Leave Accrual (VLA) costs cannot be included in proposal budgets as such costs constitute budgeting for a contingency, which is expressly disallowed in federal awards. Therefore, for consistency across all sponsors, VLA’s are not to be included in the proposal budget.  As vacation leave is accrued, departments should encourage employees to take their annually earned vacation; otherwise, the department will need to adjust other charges as allowed by the terms of the award to adjust for the VLA expense.

  Notes:
  
  1. This rate is for all students (graduate and undergraduate). The rate does not include GSHIP, Tuition, and Fee Remission and they should be added for graduate student researchers, if applicable. (See the Tuition, Fee Remission, GSHIP tab in the Quick References section of this website for more information.)

  2. For Non-Federal Sources, the Interest on Retirement Plan was not included in the CBR and should be assessed the following:

  INTEREST ASSESSMENT AS % OF ALL NON-FEDERAL SOURCES OF COVERED COMPOSITION (ASSESSED OUTSIDE OF CBR)	ASSESSMENT RATE
  July 1, 2017	0.20%
  July 1, 2018	0.65%
  July 1, 2019	1.28%
  July 1, 2020	0.77%
  July 1, 2021	0.30%
  July 1, 2022	0.30%
  July 1, 2023	0.68%

  Example: FY Faculty - Faculty Rate (FY2024) 35.2% + .68% = Benefit Rate of 35.88%

  See the Composite Benefits Rate Frequently Asked Questions for additional information on CBRs. You may also email questions to CBRINFO@ucr.edu.

  For information on Benefit Rates and Calculations prior to January 1, 2018

• Tuition Fee Remission GSHIP

  Tuition Fee Remission GSHIP

  Please see the Graduate Student Fees and Tuition Remission page on the Office of the Registrar's website for remission eligibility criteria.

  Facilities and Administrative Costs (indirect costs) are not assessed on fee and tuition remission when using the modified total direct cost (MTDC) base described in UCR's Rate Agreement with the Department of Health and Human Services.

  RATES AND ESCALATION FACTORS	2022/23	2023/24	*2024/25	**2025/26 & Beyond escalate by:
  Partial Fee Remission -- Resident and Non-Resident Students, which consists of Tuition, Student Services Fee, Campus Fee, and Student Technology Courses Fee, is broken down as follows:   Tuition      + Student Services Fee             + Campus Fees (1)             + Student Technology Courses Fee (1)	$4,284/qtr $12,852/yr   $3,900/qtr $11,700/yr   $384/qtr $1,152/yr	$4,849/qtr $14,547/yr   $4,088/qtr $12,264/yr   $402/qtr $1,206/yr   $299/qtr $897/yr   $60/qtr $180/yr	$5,041/qtr $15,123/yr   $4,254/qtr $12,762/yr   $418/qtr $1,254/yr   $299/qtr $897/yr   $70/qtr $210/yr	3%
  Non-Resident Supplemental Tuition Remission (NRSTR)	$5,034/qtr $15,102/yr	$5,034/qtr $15,102/yr	$5,034/qtr $15,102/yr	5%
  Not Advanced to Candidacy/10th quarter and beyond after advancing to candidacy	$5,034/qtr $15,102/yr	$5,034/qtr $15,102/yr	$5,034/qtr $15,102/yr	5%
  Advanced to Candidacy (2)	$0	$0	$0	0%
  Graduate Student Health Insurance (GSHIP)	See (3) /qtr $3,841.68/yr	$4,574/yr	$1,794/qtr $5,382/yr	7%

  (1) Effective 10/1/2023, the Partial Fee Remission amount that gets charged to awards includes a Campus Fee and a Student Technology Courses Fee.  

  (2) UC Office of the President policy provides for a one hundred percent (100%) reduction in nonresident tuition for eligible doctoral students for the nine quarters following advancement to candidacy. After nine quarters, non-resident doctoral students are subject to full tuition.

  (3) 2022/23 GSHIP Fee by Quarter: $1,392.17/Fall qtr; $1,318.17/Winter qtr; $1,380.63/Spring qtr

  * Keep in mind, these are estimates based on currently approved amounts. These figures may not be final. Actual tuition, fees and charges are subject to change by The Regents of the University of California as determined to be necessary or appropriate. Final approved amounts (and a student's final balance due) may differ from the amounts shown. Some or all instruction for all or part of academic year may be delivered remotely. Tuition and mandatory fees have been set regardless of the method of instruction and will not be refunded in the event instruction occurs remotely for any part of the academic year.

  ** The escalation rates appearing in this column represent pre-pandemic projections and have not been updated. Due to the global uncertainty caused by the COVID-19 pandemic, projections for the annual rate of inflation in future years is uncertain. (As of June 2022, the annual rate of inflation in the U.S. for the next five years is projected to average 3.30%).  Each department or college will need to determine how much of an escalation to utilize in the out years. 

• Indirect Cost Rates

  Indirect Cost Rates

  Implementation of New Facilities and Administrative (F&A) Rates - Effective July 1, 2023

  DHHS agreement dated July 28, 2023 replaced DHHS agreement dated March 14, 2018, establishing the facility and administrative cost rates for the period of July 1, 2023 through June 30, 2024. 

  The new DHHS agreement dated April 9, 2024 replaces the DHHS agreement dated July 28, 2023.

  New Facilities and Administrative (F&A) Cost Rates 

  Negotiated Federal F & A Cost Rates*	7/1/24 - 6/30/28**
  Organized Research - On Campus	57.5% MTDC
  Organized Research - Off Campus	26.0% MTDC
  Instruction - On Campus	45.0% MTDC
  Instruction - Off Campus	26.0% MTDC
  Other Sponsored Activities - On Campus	32.0% MTDC
  Other Sponsored Activities - Off Campus	17.0% MTDC
  * Facilities and Administrative Cost Rates are "Predetermined for the period July 1, 2024 through June 30, 2028," and provisional thereafter.  **From July 1, 2028 until amended, use the same rate and conditions as those cited for fiscal year ending June 30, 2028.

   

  Previously Negotiated F&A Cost Rates from the DHHS agreement dated March 14, 2018 are Included in the chart below for historical purposes.

  Negotiated Federal F & A Cost Rates *	7/1/13 - 6/30/15	7/1/15 - 6/30/16	7/1/16 - 6/30/18	7/1/18 - 6/30/19**
  Organized Research - On Campus	52.0% MTDC	54.0% MTDC	55.0% MTDC	55.50% MTDC
  Organized Research - Off Campus	26.0% MTDC	26.0% MTDC	26.0% MTDC	26.0% MTDC
  Instruction - On Campus	58.5% MTDC	51.0% MTDC	51.0% MTDC	51.0% MTDC
  Instruction - Off Campus	26.0% MTDC	26.0% MTDC	26.0% MTDC	26.0% MTDC
  Other Sponsored Activities - On Campus	44.0% MTDC	51.5% MTDC	51.5% MTDC	51.5% MTDC
  Other Sponsored Activities - Off Campus	18.0% MTDC	10.60% MTDC	10.60% MTDC	10.60% MTDC
  * Facilities and Administrative Cost Rates are "Predetermined for the period July 1, 2013 through June 30, 2019," and provisional thereafter.  **From 7/01/2019 until amended, use the same rate and conditions as those cited for fiscal year ending June 30, 2019.

   

  Other F & A Cost Rates Approved for Use by UCOP

  Agricultural Marketing Order Boards - California Dept. of Food and Agriculture (CDFA) Marketing Orders and Marketing Agreements are not required to apply the UC Rate for the indirect costs that would normally be applied to State of California funded projects - per this link. (Instead, use IDC Rate Exception #131503.) For non-CDFA Marketing Orders that restrict indirect costs to zero, please submit indirect cost rate exception requests to SPA. UCOP will review each on a case by case basis. Note: Agreements from an agricultural marketing board established by the USDA are not covered by IDC Rate Exception 131503 (Instead, use F&A agreement, as prescribed in 2 CFR 200.414.)	0%
  California Department of Food and Agriculture (excluding Marketing Orders and Marketing Agreements) - Please refer to All other State of California Agencies section below.
  All other State of California Agencies - For all State of California agreements, except the CDFA Marketing Orders and Marketing Agreements (see above), and absent express approval from UCOP's CFO, a UC Rate of 30% of the federally-defined Modified Total Direct Costs (MTDC) should be applied to funding through June 30, 2023; and that rate will increase gradually increase until it reaches 40% MTDC, as illustrated in the column to the right, and such 30% MTDC rate should be used for all proposed budget periods. (The increased rate would also apply to previously unencumbered funds added by amendment to existing projects after this date.) Link. For "training" activities, a reduced rate of 8% MTDC will be accepted, consistent with NIH's F&A limitation for institutional training grants.  This rate may be used for training grants that are in support of UC's eduational mission, and does not apply in instances where a UC campus provides training to a state agency. The authority to approve indirect cost exceptions for State of California agreements remains with the Office of the President.  Regardless of a published policy by a State of California agency, recovery less than the UC Rate, or the rate specified in CDFA-specific guidance, requires an indirect cost exception under the Chancellor Approval procedure (i.e., requests must include a clearly stated rationale for a reduced indirect cost recovery and must document approval by the Chancellor or designee).  No exception will be considered without following these special procedures and without the consent of UCOP's CFO - per UCOP Guidance Memo (RPAC-17-07) RPAC-17-07. Unless a CA State-agency program has a published F&A rate policy stated in a funding announcement or federal regulation (applicable to federal flow-through funds), UCR must use the UC Rate.  Exceptions: Proposals to the California Energy Commission (CEC) will use the IDC rate of 25% MTDC.  For EPIC Programs, use IDC exception # VSP-173717. For all non-EPIC programs, such as PIER, use IDC exception # VSP-158473. Proposals to California Institute for Regenerative Medicine (CIRM) will use the rate published in the funding announcement.  Verified Sponsor Policy (VSP) exceptions exist for the following programs:  CIRM Bridges to Stem Cell Research Awards (Bridges Awards) (VSP-168902, 10% TDC of Trainee expenses and program administration and educational enhancement, less the costs of tuition and fees) CIRM Educational Training Grants (VSP-167337, 10% TDC) CIRM Funding Opportunity for Conference Grants (VSP-131531, No IDC permitted) CIRM Program for Shared Research Laboratories & Stem Cell Techniques Courses (VSP-131530, 25% of operating costs for personnel and supplies plus O&M, but not for the costs of space development and equipment) If your proposal is being submitted to a funding announcement for a CIRM program not listed above, an IDC exception based upon sponsor policy must be obtained.	EFFECTIVE PERIOD On-Campus Off-Campus July 1, 2019 through June 30, 2023 30% MTDC** 25% MTDC** July 1, 2023 through June 30, 2026 35% MTDC** 25% MTDC** July 1, 2026 and beyond 40% MTDC** 25% MTDC** ** The F&A rate utilized in the proposal will remain in effect for the life of the project (i.e., all years will include the F&A rate in effect for the initial budget year). For example, a proposal submitted for a 5 year on-campus project with a start date of July 1, 2019 should apply the 30% MTDC indirect cost rate for all five budget years. Note:  An amendment to an award that includes additional money and time is the same as a new agreement for the purposes of determining the appropriate F&A rate. As such, a new budget with the appropriate indirect cost rate in effect at the time of the amendment must be provided to the State agency.
  Clinical Trial - As an exception to recovery of our Federally-negotiated F&A cost rate applicable to organized research, costs applicable to research at UCR which meets the definition of a clinical trial (i.e., "the controlled, clinical testing in human subjects of investigational new drugs, devices, treatments or diagnostics, or comparisons of approved drugs, devices, treatments or diagnostics, to assess their safety, efficacy, benefits, costs, adverse reactions, and/or outcomes"), and for which is not funded with Federal funds, are subject to a 26% indirect cost rate on a total direct costs basis. Link	26% TDC

   

• Salaries

  Salary Useful Links

  • UC Academic Salary Scales
  • UCR Academic Salary Scales & Salary Rates
  • UCR Human Resources Title & Pay Plan Information
  • Collective Bargaining Contracts
  • Post-Doctoral Researcher Benefits Rate

  Salary Escalation Projections

  The table below shows projected salary increases and should be used in calculating contract and grant proposal budgets where actuals are unavailable.  For faculty, other academic employees and staff employees in a step-based pay plan, budget for range adjustments first, then add merit increases where applicable. For staff employees in merit-based pay plans, budget an average increase with no separate calculations for cost-of-living and merit increases.

  Faculty
  Range Adjustment	4%
  Merit Increase	5% if applicable
  Other Academic (1)
  Range Adjustment	3%
  Merit Increase	5% if applicable
  Staff
  Step Based Staff
  Range Adjustment	2%
  Merit Increase	3% if applicable
  Merit Based Staff
  Pool Increase	3.5%

  1. "Other Academic" titles include professional researchers, research assistants, post graduate researchers, physical education instructors, acting instructors, lecturers other than those with security of employment, visiting professors, visiting astronomers, librarians, specialists, and those with "recalled" in their titles. This is not an exhaustive list but should include most "other academic" titles likely to be employed under an extramural agreement.

Other References

• Proposal Development Module within Kuali Research

  Proposal Development Module within Kuali Research

  The Proposal Development module (PD) within Kuali Research (KR) is where a new, renewal, continuation or supplemental proposal for extramural funding is prepared and submitted into routing for internal approvals and submission to a sponsor. The PD contains critical information presented in an efficient review format needed by several UCR constituents, such as PIs, Co-Investigators, Chairs, Deans, and Research and Economic Development staff. It also documents certain mandatory PI certifications and assurances.

  The PD is electronically routed to everyone who needs to provide review and/or approval. Having logged in to KR with your UCR NetID and password, campus approvers are able to review the proposal utilizing the 'Summary/Submit' tab in PD.  Once reviewed, the campus approver can select the blue 'Approve' button which will then affix their electronic signature along with a time/date stamp. The proposal will then route to the next approver, ultimately arriving in the Proposal Workload Assignments queue within KR for assignment to a RED Officer for review, approval, and submission to the sponsor. Approvals of a proposal in PD certify that the proposed work is consistent with University objectives, and that all faculty involved in the proposal have agreed to participate, to accept the obligations and commitments described in the proposal, and to perform the work in accordance with University and sponsor policies.

  For more information regarding the PD process, please go to UC Learning Centerand search for "Kuali SP: Proposal Development" to view a step-by-step tutorial.

• Common Elements of a Proposal

  Common Elements of a Proposal

  Most sponsors specify proposal forms or formats and provide guidance about content, page limitations and numbers of copies that should be submitted. To ensure the best chance for a successful proposal, follow the sponsor's guidelines when preparing and submitting a proposal.

  Proposals typically contain the following basic elements:

  •  Proposal Development module within Kuali Research 
    The Proposal Development module (PD) within Kuali Research (KR) is where a new, renewal, continuation or supplemental proposal for extramural funding is prepared and submitted into routing for internal approvals and submission to a sponsor. The PD contains critical information presented in an efficient review format needed by several UCR constituents, such as PIs, Co-Investigators, Chairs, Deans, and Research and Economic Development staff.  It also documents certain mandatory PI certifications and assurances.
    
    The PD is electronically routed to everyone who needs to provide review and/or approval. Having logged in to KR with your UCR NetID and password, campus approvers are able to review the proposal utilizing the 'Summary/Submit' tab in PD.  Once reviewed, the campus approver can select the blue 'Approve' button which will then affix their electronic signature along with a time/date stamp.  The proposal will then route to the next approver, ultimately arriving in the Proposal Workload Assignments queue within KR for assignment to a RED Officer for review, approval, and submission to the sponsor.  Approvals of a proposal in PD certify that the proposed work is consistent with University objectives, and that all faculty involved in the proposal have agreed to participate, to accept the obligations and commitments described in the proposal, and to perform the work in accordance with University and sponsor policies.
    
    For more information regarding the PD process, please go to UC Learning Center and search for eCourse 6 - Kuali SP: Proposal Development to view a step-by-step tutorial.
     
  •  Financial Disclosure Forms, if applicable 
    The appropriate Financial Disclosure form(s) must be completed and signed by the Principal Investigator and/or personnel responsible for the design, conduct and reporting of the scope of work. For more information about the financial disclosure process and its related forms, please visit the Promoting Research Objectivity (PRO) Committee webpage.
     
  •  Application Cover Page 
    The application cover page is an integral part of the proposal -- first because of the information it captures, and second because it bears the signatures that are required to make the proposal a formal, certified document. Most sponsors still issue printed forms for proposal submission; these should be used whenever they are required. However, a large number of sponsors now require that proposals be submitted in electronic form, usually using the sponsor's electronic proposal submission system. Use of such systems are usually mandatory. However, some sponsors require both electronic and paper submissions of the same proposal.
    
    The original application pages that require institutional endorsement need to be completed and submitted to Sponsored Programs Administration (SPA). If the sponsor does not issue a printed form or require a specific format for providing institutional information, SPA will issue and sign a cover letter to include with the application.
     
  •  Abstract 
    The abstract, which describes the major objectives of the proposed research and the research strategy to meet the objectives, is used for a variety of purposes. Sponsors often use the abstract to assign the proposal to the appropriate study section for review. Reviewers use the abstract to gain an initial perspective of the key concepts of the study and its significance. After funding is secured, the abstract may be used for entry in national databases and its keywords are picked up for quotation indexes.
     
  •  Statement of Work 
    The Statement of Work is the most important part of any proposal. Simply put, the Statement of Work should include sufficient information needed for evaluation of the project, independent of any other document.
    
    The Statement of Work is a detailed program description, including an explanation of the objectives and a description of the research activities to be performed.
     
  •  Budget and Budget Justification 
    A detailed budget identifying all proposed costs needed to conduct the research must be prepared in compliance with the sponsor's guidelines, applicable cost principles and UCR policies.
    
    A budget justification is one of the most important sections of the proposal. A budget justification identifies the need for a particular cost and how the cost was estimated. The need for a particular piece of equipment, for instance, may be implied in the project description, but the implication is not necessarily apparent to a non-specialist reviewer or a contract and grant specialist. The need must be made explicit. The place to do this is in the budget justification.
     
  •  Biographical Sketch 
    A Biographical Sketch is a brief summary of a researcher's CV, or curriculum vitae (resume) and is typically required for all key personnel. A Biographical Sketch highlights specific research experience, related publications and other important biographical information with regard to professional personnel.
     
  •  Other Support - Current and Pending 
    Virtually all sponsors require information on the Principal Investigator's present support and pending proposals, inclusive of all extramural funding sources. The same type of information must be supplied both for active awards and for pending proposals and typically includes the sponsor of the project, the title of the project, the project period, the total project costs, and the percentage of effort devoted by the investigator on the project. This requirement applies not only to the Principal Investigator, but to all other key personnel formally committing effort to a proposed project.
     
  •  Facilities and Resources 
    This section of the proposal identifies and describes the facilities and resources that will be used in the proposed research. If unique facilities exist with regard to the proposed research it is important to emphasize this in the proposal - describing capacities, relative proximity and the extent of availability to the project. Information can also be provided on university-wide facilities or support services such as the library, computer centers, or specialized centers.
    
    If there are multiple performance sites, then resources available at each site should be described.
• Obtaining Institutional Review and Endorsement

  Obtaining Institutional Review and Endorsement

  Overview

  UC Presidential policy requires that employees who receive any part of their salary through the University, or whose activities use any University resources or facilities, must submit their proposals for extramural support to the appropriate local contracts and grants office for review and institutional approval prior to submission to the sponsor. At UCR, the local contract and grant office is Sponsored Programs Administration (SPA), housed in Research and Economic Development (RED).
  
  This policy is applicable even if a sponsor does not require an authorized institutional official's signature on its proposal application or does not require that proposal applications be submitted by an authorized institutional official, whether electronically or by other means. This includes, but is not limited to sponsors such as marketing order boards and UC-wide funding programs (e.g., Division of Agriculture and Natural Resources, UC MEXUS, Pacific Rim Research Program, UC Energy Institute, UC Discovery Program, Tobacco-Related Disease Research Program, etc.).
  
  Institutional review is the process performed by SPA to: i) identify and resolve institutional issues (i.e., concerns or problems that may pose increased risk to UCR), ii) ensure that all proposals comply with University, federal, and/or state requirements; and iii) confirm that institutional commitments have been approved by the responsible official for the unit making the commitment. Institutional review and approval of a proposal cannot be completed at the last minute before a proposal submission deadline, especially if the sponsor requires electronic proposal submission. It is in a PIs best interest that they notify their unit Contract and Grant Analyst and SPA as soon as possible after learning of a funding opportunity.
  
  The institutional review process includes, but is not limited to the following:

  • Reviewing sponsor solicitations and guidelines to:
    • Verify institutional eligibility
    • Identify problematic award terms, if any
    • Identify institutional issues or requirements such as cost sharing, Facilities and Administrative (F&A) cost rate limitations, certifications and assurances, special signature requirements, limited submission requirements, etc.
    • Clarify ambiguous language, terms, conditions or requirements
  • Verifying principal investigator eligibility issues.
  • Verifying the correct use of institutional identifiers.
  • Confirming that proposed costs are consistent with campus and federal cost principles and that the correct F&A rate is applied based on the proposed activity and the location of those activities.
  • Confirming that cost sharing commitments have been approved by the responsible official for the unit making the commitment.
  • Verifying that proposed subcontractors and consultants are eligible to receive federal funding.
  • Identifying export control issues, if any.
     

  Pre-proposals

  Most sponsors use pre-proposals as a way to screen potential projects. Those projects that are promising and consistent with the sponsor's programmatic goals are then invited to submit a full proposal. In most cases, pre-proposals do not need to be submitted to SPA for institutional review and approval. However, pre-proposals should be submitted to SPA for institutional review if any of the following apply:

  • The pre-proposal must be signed by an authorized institutional official.
  • Submission of a cost sharing commitment letter signed by an institutional official is required, or the sponsor will use institutional commitments evidenced by a signed letter (or equivalent) as a selection criteria to determine which applicants will be invited to submit full proposals.
  • A detailed budget is required by the sponsor, or the pre-proposal contains a detailed budget that i) does not include facilities and administrative (F&A) costs or ii) F&A costs are calculated using an F&A rate other than those rates contained in UCR's F&A cost rate agreement or for which there is no currently approved waiver.
  • Pre-proposals submitted in response to a sponsor's solicitation that indicates that the sponsor may fund awards based on pre-proposals (i.e., the sponsor reserves the option to forego requesting a full proposal).
  • Pre-proposals that must be submitted to the sponsor by SPA via an electronic proposal submission system (e.g., NSF FastLane, Grants.gov, etc.).
     

  Submitting Pre-proposals or Proposals to RED

  Our goal is to ensure that the institutional review and approval process is completed in a timely manner and to ensure that proposals are submitted to sponsors before submission deadlines.

  The Proposal Development module (PD) within Kuali Research (KR) is used for the routing, approval and submission of proposals to SPA or Corporate Sponsored Research, as applicable, in RED. The PD will facilitate the submission of all documents necessary to enable institutional review by an authorized organizational representative in RED (RED Officer).

  Even when a sponsor requires the submission of a paper proposal, PD is the system used for routing, approval and submission of such a proposal to RED. In such cases, any documents that require a pen and ink signature of an authorized institutional official should be forwarded to the RED Officer assigned to the proposal. (Note: The assigned officer is noted in the top left corner of each proposal in PD, on the Summary/Submit tab, and is highlighted in red.)

  The PD provides information about the documents necessary to enable the RED Officer to conduct the intuitional review. It also prompts users to attach these documents to their proposal in PD.
   

  Lead Times for Submitting Proposals

  The proposal in PD and Final Proposal (all components in final form and ready for submission) must be received in RED at least two (2) full business days before the sponsor’s submission deadline.

  Two (2) Business Day Examples:

  Sponsor Due Date/Time ~ RED Due Date/Time

  Friday, September 1^st at 5 p.m. (PST) ~ Wednesday, August 30^th at 5 p.m. (PST)

  Monday, July 1^st at 1 p.m. (PST) ~ Thursday, June 27^th at 1 p.m. (PST)

  If SPA receives a proposal in PD and the Final Proposal with less than two (2) full business days of sponsor’s deadline, the proposal will be returned in PD and will not be submitted to the sponsor, absent exceptional approval.
   

  Prioritizing Proposals for Review

  Once a proposal is advanced to Research and Economic Development's queue in PD, it is reviewed in the order received by the applicable RED Officer assigned to the department/unit that submitted the proposal. Please keep in mind that each RED Officer provides sponsored programs services to a large number of units on campus, all of which are also submitting proposals. If a proposal is received after RED's internal deadline, the RED Officer may not be able to complete his/her review and provide institutional approval in time to meet the sponsor's deadline.

  In those instances when the above prioritization methodology would jeopardize the timely submission of a proposal to meet a sponsor's deadline, and where circumstances outside of the control of the PI and department/unit prevent the submission of a proposal in accordance with SPA's established lead times, an exception to the above prioritization methodology should be coordinated directly through the assigned RED Officer. The RED Officer will forward the request to the Vice Chancellor for Research and Economic Development (or designee) for consideration.  Should an exceptional approval be granted, the RED Officer may then submit the proposal provided their schedule permits (e.g., not at the expense of the review and submission of other proposals due that same day yet were timely routed to SPA).
   

  Special Considerations: Electronic Submissions

  Please note that most sponsor electronic proposal submission systems require the submission of complete and final forms. In addition, such systems usually require that the electronic proposal be submitted by the authorized institutional official. Therefore, please be sure to submit the final electronic files or grant SPA access to your proposal in the sponsor's on-line system far enough in advance to ensure that the proposal can be submitted prior to the sponsor's deadline. Please note that SPA and other contract and grant offices at other universities across the nation have experienced a variety of problems/issues in using these electronic proposal submission systems, and it is a PI's best interests to plan on submitting their proposals to SPA as early as possible.

  Often, sponsor electronic proposal submission systems require institutional registration, maintenance of institutional profiles and user registration (e.g., PIs and support staff involved in preparing proposals). SPA is responsible for institutional registration and maintaining institutional profiles. User registration is handled in accordance with each sponsor's guidelines.

  For more information regarding e-proposal submission and other electronic research administration systems, please visit the Electronic Research Administration section of this web site.

   

• Preparing Proposal Budgets & Budget Justifications

   

  Preparing Proposal Budgets & Budget Justifications

• Proposing Cost Sharing

  Proposing Cost Sharing

  Background

  As a recipient of Federal funds, when making cost sharing/matching commitments, UCR must propose the cost sharing in a manner consistent and in accordance with federal regulations.

  Definitions

  • Cost sharing (also called matching) is any portion of the total costs of a project or program not borne by the sponsor. Cost sharing typically takes the form of in-kind resources (e.g., contributed project personnel effort) or cash.
  • Cost sharing commitment means any cost sharing that is offered and quantified anywhere in a proposal.
  • Cost sharing contribution means the use or expenditure of any in-kind resource or cash to fulfill a cost sharing commitment in the course of performing the scope of work under an extramural award.

  Proposing Cost Sharing Commitments

  If cost sharing is quantified in any part of a proposal that has been submitted to an extramural sponsor, a cost sharing commitment has been made and the administering department/unit is responsible for fulfilling the commitment in the event that the sponsor makes an award.

  Cost sharing is considered quantified when UCR records, in conjunction with information contained in a proposal, are sufficient to calculate the amount of the cost sharing commitment. For example, if a proposal states that a researcher will contribute 10% of her time to a project during the first budget period, but her salary will not be charged to the award, then UCR has committed to cost share the dollar amount equal to 10% of the researcher's salary, plus associated fringe benefits. The dollar amount of the researcher's salary for the first budget period can be calculated using the information contained in the proposal, as well as payroll and personnel documents available to UCR.

  Principal investigators and departments should refrain from making cost sharing commitments unless cost sharing is required by the sponsor or necessary to ensure the competitiveness of a proposal. Sponsors treat cost sharing as an eligibility requirement, not a merit review requirement. Thus, offering cost sharing in the absence of a sponsor's programmatic requirement to cost sharing does not enhance the competitiveness of a proposal unless the following circumstances are present:

  • The sponsor's program guidelines limit the maximum amount of funding (i.e., awards may not exceed a specific dollar figure); and
  • The total estimated project costs (direct and F&A) will exceed the sponsor's maximum funding per award.

  In such cases, cost sharing the difference between the total estimated project costs and the maximum award amount allowed by the sponsor does enhance the competitiveness of the proposal.

  Cost sharing commitments involve increased administrative burden (associated with tracking/reporting shared costs) and are subject to audit. Consequently, principal investigators, chairs, directors, deans and other UCR officials should carefully consider the cost effectiveness and the expected benefits of each cost sharing commitment prior to making such an offer.

  Occasionally, the competitive nature of a funding opportunity may necessitate describing resources that are not eligible, allowed or offered as cost sharing, but will be made available to the proposed project/program. In such cases, these resources may be described as "resources available at no direct cost to the project" or "resources that will benefit the project". In addition, the proposal should not indicate or disclose the dollar value of any such resources. Examples of such resources include, but are not limited to:

  • Equipment in the possession of UCR at the time a proposal is submitted to a sponsor or that will be in the possession of UCR prior to the effective date of an award;
  • UCR-owned space; and
  • Time and effort of collaborators serving solely in an advisory or mentoring capacity.

  Cost Sharing on Contract Proposals

  Because of the procurement nature of contracts, especially federal contracts, cost sharing commitments should not be made or offered in proposals that will lead to contract awards. However, it may be appropriate to make cost sharing commitments in proposals that will result in another institution issuing a subaward (e.g., subagreements, subgrants or subcontracts) to UCR where the prime award is a grant or cooperative agreement.

  Proposing Project Personnel Effort (UCR-paid Salaries/Fringe Benefits) as Cost Sharing

  UCR policy permits faculty members to devote a reasonable portion of their UCR-paid time and effort to accomplish their research projects. Therefore, the most appropriate cost sharing commitments/contributions are UCR-paid salaries and fringe benefits of faculty directly engaged in the project.

  When offering project personnel effort as cost sharing, the proposed level of effort must be realistic (i.e., neither overstated nor understated) and reasonable (i.e., total percent of effort devoted to all sponsored programs and other UCR-related duties does not exceed 100%). In determining the appropriate level of cost shared effort, principal investigators must consider the following:

  • the sponsor's requirement for cost sharing;
  • the percentage of time spent on other sponsored programs;
  • the amount of effort devoted to other functions such as teaching and public service; and
  • the size of the project.

  UCR Personnel as Collaborators

  It is important to remember that quantifying UCR personnel effort anywhere in a proposal constitutes a cost sharing commitment. Therefore, if a project involves UCR personnel acting as collaborators, where such collaborators are serving solely in an advisory or mentoring capacity, and the department/unit does not intend to offer the collaborator's personnel costs as cost sharing, then the collaborator's effort should not be quantified.

  Eligibility Criteria for Shared Costs

  The following eligibility criteria apply to all costs proposed (and ultimately accounted for) as cost sharing:

  • The costs must be able to be documented and verified based on UCR's records;
  • The costs must not be included as a cost sharing commitment related to any other project or program (i.e., the same costs may not be proposed as cost sharing for two or more projects);
  • The costs may not be committed, or contributed, from another extramural award, except where specifically authorized by Federal statute or the sponsor (e.g., costs incurred under a NIH grant may not be proposed or accounted for as a cost sharing contribution under a NSF grant or any other federal or non-federal grant);
  • The costs must be necessary and directly related to the project objectives;
  • The costs must be incurred during the same performance period as the award supporting the project;
  • The costs must be allowable and allocable under federal cost principles and the terms of the sponsored agreement; and
  • The costs must be identified in the approved budget or award (either directly or incorporated by reference) when required by the sponsor

  Costs Generally Allowed as Cost Sharing

  • The effort of the principal investigator and project personnel devoted to the performance of an award, in the form of contributed salary, wages and fringe benefit costs;
  • The acquisition cost of equipment necessary for the successful completion of the project;
  • Laboratory and project supplies necessary for the successful completion of the project;
  • Travel necessary for the successful completion of the project or for the purpose of reporting research results;
  • Other direct costs necessary for the successful completion of the project (e.g., purchased services, alterations or renovations necessary to conduct the project, equipment maintenance, the cost of setting up equipment necessary for the successful completion of the project);
  • Facilities & Administrative costs associated with the direct cost elements proposed as cost sharing; and
  • Third-party contributions.

  Costs Generally Not Allowed as Cost Sharing

  • Administrative salaries, services and supplies, except when such costs will be incurred in the performance of a non-Federal award, or where special purpose or circumstances exist, which would allow for treating such costs as direct costs in accordance with federal cost principals under 2 CFR Part 200;
  • Salary costs above a regulatory cap (e.g., National Institutes of Health salary rate cap);
  • General purpose equipment;
  • Equipment in the possession of the University at the time a proposal is submitted to a sponsor or that will be in the possession of the University prior to the effective date of an award;
  • Unallowable costs as defined in 2 CFR Part 200; and
  • UCR facilities.
• Limited Submissions

  Limited Submissions

  In Limited Submission programs, the sponsor restricts the number of applications or proposals a campus may submit. Sometimes known simply as "Limiteds," these types of competitions require institutions to screen internal proposals or nominations and select only the most competitive to go forward.

  Learn More About Limited Submissions

   

• SPA's Internal Procedure for Conducting a Proposal Review

  SPA's Internal Procedure for Conducting a Proposal Review

• Who's Who on my Sponsored Project - Chart

  View the chart

• Financial Disclosure Forms, if applicable 

  Financial Disclosure Forms, if applicable

  The appropriate Financial Disclosure form(s) must be completed and signed by the Principal Investigator and/or personnel responsible for the design, conduct and reporting of the scope of work. For more information about the financial disclosure process and its related forms, please visit the Promoting Research Objectivity (PRO) Committee webpage.

Useful Proposal Preparation and Submission Resources for Principal Investigators

• Principal Investigator Eligibility

  Principal Investigator Eligibility

  Background

  Proposals submitted for the extramural funding of research, training, and public service projects, and extramural awards received for such projects, must name an eligible UCR employee to serve as Principal Investigator. The Principal Investigator has primary responsibility for the design, conduct, management and reporting of a research, training, or public service project and is significantly involved in the project.

  Who is Eligible to Serve as Principal Investigator?

  Academic appointees in the following title groups are eligible to be Principal Investigator, UCR Co-Principal Investigator or UC Co-Principal Investigator, as defined in UCR's Research Policy 527-003:

  • Members of the Academic Senate, including emeriti.
  • Appointees in the Agronomist series, including emeriti.
  • Appointees at 50 percent or more of full time in the Adjunct Professor series.
  • Appointees at 50 percent or more of full time in the Clinical Professor series.
  • Appointees at 50 percent or more of full time in the Professional Research series.
  • Appointees at 50 percent or more of full time in the Cooperative Extension Specialist series.
  • Appointees at 50 percent or more of full time in the Cooperative Extension Advisor series.

   

  What Appointments Require the Submission of the "Eligibility to Submit Proposals" form?

  Anyone who wishes to serve as Principal Investigator, UCR Co-Principal Investigator, UC Co-Principal Investigator or Non-UCR Co-Principal Investigator, as defined in UCR Research Policy 527-003, but does not meet the eligibility criteria described above and set forth in Policy 527-003, should complete and route the new "Request for Exception to Policy Regarding PI Eligibility" Kuali Build form along with a biosketch. Examples of individuals who would need to submit a request for exception include:

  • Academics with visiting appointments
  • Academics with non-tenure track appointments at 49 percent or less of full time
  • Students, postdoctoral fellows, and postdoctoral trainees

  
   

   

• Grants.gov Overview

  Many federal agencies require the use of the Grants.gov system for the submission of proposals. As of July 1, 2017, UCR requires the use of Cayuse Proposal (S2S) as the submission portal for proposals that are sent to Grants.gov. Cayuse Proposal simplifies the creation, review, approval, and electronic submission process.

  Learn More about Cayuse