Proposals for external funding should be submitted through the Office for Sponsored Programs. OSP can support proposal preparation by helping with budget creation, identifying required forms, explaining submission requirements, and guiding electronic research administration.
Agreements needed for unfunded collaborations should be submitted through the Office for Research & Technology Agreements. ORTA will assist in drafting, reviewing, negotiating, and implementing unfunded and collaborative research efforts.
Proposal Development
The Office for Sponsored Programs can support researchers throughout the proposal preparation process.
Subawards
The Office for Research & Technology Agreements assists in forming agreements between UA and other institutions.
When part of the research or substantive effort of the prime award is transferred to another institution or organization, the forms below must be reviewed and completed.
- Subrecipient vs. Contractor Form: A form is required to document whether a proposed relationship should be classified as a subrecipient or contractor. This determination is based primarily on the type of work proposed, not solely on the type of entity. It is important that the correct determination is made early in the process; the information provided below will assist you in determining the appropriate classification.
- Subrecipient Commitment Form: Commitment form to be completed by entities who will be subrecipients to UA.
Please refer to the chart below for helpful identifying factors in guiding the determination:
| Subrecipient | Contractor |
|---|---|
| Performance measured in relation to whether objectives of project scope are met | Does not have significant involvement in the overall design of the research project, and uses little to no discretionary judgement in performing the project scope |
| Responsible for programmatic decision making | Provides similar goods or services to many different customers within normal business operations |
| Does not operate in a competitive environment | Normally operates in a competitive environment |
| Will usually own the intellectual property it develops | UA will own the IP generated under the project |
| Technical lead would be considered co-PI on the UA award | Technical lead would not be equivalent to a Co-PI on the UA award |
| Technical personnel will author/co-author project publications | Technical personnel will not contribute to project publications |
Budget Preparation
Budget Preparation
- Budget Guidance
- Budget Template
- FY 25 FA Rate Agreement
- Fringe Benefit Rates
- GRA Costs & Course Fees (Under “Minimum Cost of Graduate Assistant”)
- GRA Tuition Rates
- GRA Health Insurance
- Graduate Student Stipend Schedule
- Graduate Student Stipend Schedule, Culverhouse
- Institutional Base Salary
Language for Proposals
When the agency limits the budget and cost share is not required, our best recommendation is to reduce the scope of the project to match the allowable budget.
However, if this is not feasible, our next best recommendation is to describe the available institutional support in the facilities and resources section of the proposal without using quantifiable information. For example, you may wish to use something similar to the following language:
As a part of my appointment in the College of Education, a portion of my time is protected for research purposes, which may be used in support of this project.In support of the education mission of the University, the effort of a graduate research assistants may also be used in support of this project.
Federally Approved Fringe Benefits Rate
The fringe benefits rate is expressed as a percentage of salary and the dollar amount is calculated by applying the appropriate rate to each UA employee’s salary to be charge to the grant. The proposal fringe rates to be used vary based on employee classifications such as full or part-time. See proposal fringe benefit rates and GRA health insurance information.
Salary Requested on an Hourly Basis
The University does not pay or record time for Faculty, Postdocs, or GRAs on an hourly basis as it is subject to the cost principles it the Federal Uniform Guidance found at 2 CFR 200 and allocates salary charges based on a percentage of effort. An individual’s hourly rate, therefore, may go up or down depending on the number of hours worked in a particular month. The numbers of hours and hourly rates are only estimates.
3 Months Summer Salary
The payment of summer salary obligates the faculty member to provide the proposed percentage of effort work on the sponsored program for the full period for which compensation is paid. A faculty member who requests summer salary for 100% effort on sponsored program activities during the summer must forego vacations, proposal writing, departmental work and other related UA administrative duties.
Faculty members often receive multiple grants or have instructional or teaching requirements. It is essential to ensure salary is not charged to one project while expending effort on a different project or on institutional related teaching and administrative activities. Failure to account accurately for salary charges to various projects or institutional funding can result in significant disallowances.
Therefore, it is important to keep in mind that during the summer months, the effort a faculty member expends should coincide with where the salary is charged. If a faculty member charges an entire 1/9th of their academic salary to a grant, they must expend 100% of their effort for that month towards that grant. In other words, he/she cannot take significant time off for vacation while being paid from a grant. Nor can he/she spend any time writing new grant proposals, developing new course curriculum or performing any non-research related work.
Paid summer effort is also certified through effort reporting and audited and must align with actual work perform on those projects. Therefore, it is very hard to justify that a faculty member is not checking email or doing other UA related work so we discourage charging the entire 3 months to be charged to an award so that we do not get in a situation to be out of compliance and have to pay back funds that could hinder funding to UA for future projects.
Proposal Submission
- Cayuse Research Suite: Electronic research administration system that PIs and administrators use to prepare proposals for internal processing, review, and submission.
- Conflict of Interest: Resources to help identify potential conflicts of interest, plus information about training, the institutional committee, and disclosure FAQs.
- Proposal Timeline Calculator: Calculate internal deadlines for proposal routing following the Proposal Routing and Review Policy.
Institutional Neutrality
The University of Alabama System Board of Trustees has codified UA’s longstanding practice of institutional neutrality. This policy requires that UA remain neutral on political and social issues unless the issue directly affects any aspects of the university’s core operations as determined by the Board of Trustees. UA's commitment to respecting the academic freedom of faculty should not be construed as an endorsement by UA of any particular research topic or proposal. It is, therefore, important that UA faculty conducting research refrain from making representations suggesting that UA as an institution endorses the subject matter or findings of any particular research.
Unfunded Research
Unfunded Agreements
Generally, an unfunded agreement refers to a research-related agreement that does not have incoming monetary compensation or funding attached. UA faculty researchers often engage in activities or collaborations that do not involve funding from Sponsors. These activities may include preliminary confidential discussions with potential research sponsors, requests for research materials from external sources, or data sharing consortiums.
Unfunded Research Activities
Unfunded research activities are generally carried out under written contracts that set out each of the parties’ expectations and specific responsibilities. Coordination of unfunded research activities can be complex, and some may require University approvals for the use of University property, space, faculty effort, students, or compliance committee approvals for protocols involving human or animal subjects. ORTA assists in negotiating, drafting, and implementation of unfunded research activities.
Common examples of Unfunded Agreements are Nondisclosure Agreements (NDA), Material Transfer Agreements (MTA), Datu use and Sharing Agreements (DUA/DTUA), and Memorandum of Understanding (MOU).
Frequently Asked Questions
Q: What are Data Use and Data Sharing Agreements?
A: A data sharing agreement is an agreement between two or more parties that outlines which data will be shared and, most importantly, how the data can be used.
Q: Is there a difference between a data use agreement (DUA) and a data sharing agreement (DSA)?
A: While the terms are often used interchangeable, a DUA focuses on the permitted uses and disclosures of data, while a DSA emphasizes the terms and conditions of data exchanged between parties.
Q: What is the different between PHI data and PII data?
A: Protected Health Information (PHI) is any health information that includes any of the 18 elements identified by HIPAA. Personally Identifiable Information (PII) is defined as data used in research that is not considered PHI and is therefore not subject to the HIPAA Privacy and security Rules. If you are going to have either involved in your project, it must be disclosed.
Typical DUA Provisions
Q: What does a typical DUA address?
A: At a minimum, a DUA should address:
- The permitted uses and disclosures of the limited data set:
- Who may use or receive the information;
- Prohibitions on the recipient’s use or disclosure of information, except as permitted by the agreement or as otherwise permitted by law;
- Recipient’s requirement to use appropriate safeguards to prevent unauthorized use or disclosure not contemplated by the agreement;
- Recipient’s requirement to report the covered entity any use or disclosure to which it becomes aware;
- Recipient’s requirement to ensure that any agents to whom it discloses the information will agree to the same restrictions in the agreement, and
- Prohibitions on the recipient from identifying the information or contacting the individuals.
Q: Who may sign a DUA?
A: Only authorized signatories of the University of Alabama may sign.
Obtaining a DUA
Q: Do I need a DUA?
A: If you are handling sensitive, confidential, or proprietary information that is going to be exchanged between institutions, a DUA is likely necessary to ensure proper handling and compliance with regulations.
Q: How do I begin the process of obtaining a DUA?
A: Complete the attached power form with the required information. The Office for Research and Technology Agreements will keep you updated.