The term sponsored research can be defined as University research that receives funding from an external source or a "sponsor." While that is a very simple definition, sponsored research encompasses much more, including considerations that may affect the University financially and legally. Therefore, the Office of Sponsored Programs (OSP) is not the only office concerned with elements of sponsored research and projects; however, it is considered the central, definitive resource.
Management of sponsored research is a combined effort of the University of North Carolina System Office (UNC-SO), the University proper, the sponsors that provide their support to research efforts at the University, and the Principal Investigators (PIs) who spearhead the research itself. The Office of Sponsored Programs (OSP) considers the policies, regulations, and requirements issued by State, University, and Federal offices for every individual sponsored research project.
The Office of Sponsored Programs (OSP) at UNC-Chapel Hill provides control of the administrative and financial aspects of sponsored research and maintains consistency with the University's mission to acquire and disseminate knowledge. OSP is established in adherence with the UNC System Office policies governing sponsored research (Chapter 500).
This operating standard establishes the Office of Sponsored Programs (OSP) as the institutional authorized signatory to enter into legal commitments regarding sponsored research support on behalf of the University.
Since sponsored research is at the core of the University’s mission, it is essential that highly qualified individuals are designated to serve in the role of Principal Investigator (PI) in a manner consistent with the Board of Governor’s policy regarding the appropriateness of University Research, and aligned with the University’s policy on ethics in research.
For any employee who is not a full-time, permanent EHRA employee, a request to waive the University’s Principal Investigator (PI) eligibility operating standard must be submitted and approved by the Office of Sponsored Programs (OSP).
This operating standard establishes the overall responsibility of Principal Investigators (PIs) in undertaking sponsored research projects and related components of those projects.
This operating standard establishes the overall responsibility of Department Administrators (DAs) in monitoring sponsored research projects and related components of those projects.
This operating standard recognizes the roles of lead administrators at the onset of proposed sponsored research and balances the responsibilities of the Principal Investigator (PI), deans, directors, and department heads.
Research Administration Management System and eSubmission (RAMSeS) is used to create and manage the official University record for each sponsored project in a consistent, efficient manner. Each record contains both financial and compliance information necessary for proposal submission as well as award management once an award is funded.
To manage administrative approval rights and data access concerning research activities maintained in Research Administration Management System and eSubmission (RAMSeS), the Office of Information Systems (ORIS) created a portal named "Backbone." Each University department, center, and institute has one or more designated Role Manager(s) responsible for creating, assigning, and managing administrative roles for their unit.
Designating specific responsibilities regarding proposal review and approval prevents duplication of effort and helps maintain the flow of information for the entire proposal system.
Maintaining master agreements with sponsors streamlines the review and approval of several projects under one agreement. This operating standard establishes the master agreement as the prime agreement between the University and the sponsor who provides funding for task orders under that agreement.
This operating standard establishes the internal deadline for providing Office of Sponsored Programs (OSP), the Sponsored Programs Office (SPO), and the Office of Clinical Trials (OCT) with completed proposals and any other materials required for submission to the sponsor.
The Proposal Dashboard within RAMSeS creates the University’s official record for each sponsored research project. The RAMSeS Internal Processing Form (IPF) is required for each research proposal of a grant, contract, or cooperative agreement and it is used to collect financial and compliance information and documentation needed for internal review and approval.
In accordance with all relevant ethical, legal, and regulatory obligations, the University has established this operating standard demonstrating the University's commitment to have all required compliance-related elements in place before expending funds.
This operating standard mandates the University’s compliance with the Federal requirements defined in 2 CFR §200 Subpart E - Cost Principles. It emphasizes the University’s use of consistent financial accounting and compliance measures from the beginning to the closing of each research project. These preventative measures minimize non-compliance issues and audit disallowances that may impede or detrimentally affect the University research community.
In assisting the University's departmental research administrators, this operating standard provides guidelines for budget planning of direct costs in accordance with Federal regulations.
In assisting the University's departmental research administrators, this operating standard provides guidelines for budget planning of direct personnel costs in accordance with Federal regulations.
Salary calculations can be based on a percentage of effort (Percent Effort Model) or the number of months of effort (Person-Months Model) dedicated to the sponsored project. Guidelines for both are listed below. Summer salary, normally considered three (3) months, is added compensation to nine month employees, therefore, it is calculated separately. Some sponsors limit the effort allowed for summer salaries. Thus, it is very important to read the sponsor guidelines carefully.
Salary caps, generally seen with Public Health Service funding, limit the amount of funding the agency will provide for an individual’s salary. The current NIH salary cap amount is reviewed annually. When an individual’s projected salary exceeds an agency-mandated salary cap, the administrating University department is responsible for funding the difference.
Fringe benefit rates are expenses directly related to employment. They are determined by an employee’s classification and applied as a percentage of the employee's proposed annual salary. These rates serve as the baseline figures used to calculate fringe benefits. Social Security rates may vary for post-docs and graduate students depending upon the University’s operating standard and the type of award.
Health insurance estimations are based on the percentage of effort the employee will work on a project and can differ depending on the classification of the University employee. Health insurance covers a 12-month period. Effective in Summer 2018, budgeting of health insurance costs on faculty compensation outside of their 9-month appointment (summer salary) may be included in proposals.
Most funding agencies require a proposed budget that estimates the total costs of the project, with a breakdown of cost per year. A budget based on hourly rates is one that includes the Institutional Base Salary (IBS), fringe benefits, health insurance, and Indirect Costs (F&A) together in a lump sum. It is most often found in subrecipient budgets and must be calculated and shown at the proposal stage.
In assisting the University's departmental research administrators, this operating standard provides guidelines for budget planning of direct non-personnel costs in accordance with Federal regulations.
In assisting the University's departmental research administrators, this operating standard provides guidelines for budget planning of indirect costs in accordance with Federal regulations.
This standard establishes the expectations for post-submission requests that need to be submitted to the sponsor.
The Office of Sponsored Programs (OSP) approves Just-in-Time (JIT) Requirements for National Institutes of Health (NIH) awards through eRA Commons.* The Principal Investigator (PI) first supplies the information in eRA Commons and in Research Administration Management System and eSubmission (RAMSeS), then notifies OSR, who then reviews and approves the information before submitting the approval to NIH and updates University records.
The Research Administration unit in the Office of Sponsored Programs (OSP) delineates specific tasks regarding award establishment and financial administration to maintain accurate, current award records, and other requirements of sponsored program management, as mandated by Federal, State, and University regulations.
The purpose of this standard is to reinforce the prohibition on administrative communications with sponsors without involvement by a central office.
This standard is to properly inform Principal Investigators (PIs) and Departmental Administrators (DAs) of their responsibilities when receiving sponsored projects and the steps required at project setup.
Completing successful award management is dependent on establishing solid monitoring mechanisms maintained by the department receiving the award. Monitoring is an essential activity throughout the life of the project and is particularly important for financial management. These processes should be established for each award at the receipt of funding. Departments may use the monitoring mechanisms that work best for their department to maintain financial and personnel data for each sponsored proje
This operating standard establishes the Office of Sponsored Programs (OSP) as the designated division responsible for accepting, administrating, negotiating, and managing sponsored awards on behalf of the University.
This operating standard establishes the Office of Sponsored Programs (OSP) as the designated division responsible for accepting, administrating, negotiating, and managing sponsored awards on behalf of the University.
This operating standard protects the University from fraud and misuse of funds by defining the instances where Pre-Award spending may be allowable. It also establishes the Office of Sponsored Programs (OSP) as the authorized University office responsible for establishing Pre-Award spending.
A Financial Guarantee is prepared and submitted electronically through Research Administration Management System and eSubmission (RAMSeS) in order to request Pre-Award spending.
This operating standard serves to inform researchers and research administrators at the University of the legal standards mandated by the Federal government for sponsored research, to which faculty, staff, and students must adhere.
Providing such general responsibilities clarifies expectations and specific tasks of award management that are ascribed to Principal Investigators (PIs) and Departmental Administrators (DAs).
This operating standard is established to adhere to the University’s obligations as a recipient of sponsored projects specifically under 2 CFR §200.308 and the Federal Research Terms and Conditions.
The reason for this standard is to detail the compliance activities that are conducted for expenses on sponsored projects.
The purpose of this standard is to identify the guidelines for handling personnel costs on sponsored projects.
This operating standard defines Institutional Base Salary (IBS) for sponsored research projects and effort reporting purposes. The University is committed to ensuring that personal compensation charges on sponsored projects are based on an individual’s IBS consistent with the requirements of Federal regulation 2 CFR §200.
In conjunction with Federal regulations governing allowability, the University offers this operating standard to provide clarification and guidance as to University practices regarding cost share for sponsored projects.
The University offers this operating standard to provide clarification and guidance as to University practices regarding expenditure inquiries regarding equipment, in conjunction with Federal regulations governing allowability and allocability.
This operating standard assists University researchers supported by sponsored funding in determining the appropriate action with transfers, loans, or sales of capital equipment.
The University offers this operating standard to provide clarification and guidance as to University practices regarding expenditure inquiries regarding travel, in conjunction with Federal regulations governing allowability.
This standard is to establish the methods and means the University uses to establish Subrecipient Agreements. These agreements are legally binding and constitute the method to enforce the requirements of collaborative relationships with other institutions.
This operating standard assists faculty and staff in ensuring that independent contractors conduct their portions of research projects in compliance with applicable regulations and their expenses are reasonable and allowable.
The purpose of this standard is to document the Federal and University requirements for tuition remission costs on sponsored projects.
Cash Advances are required to allow business to be conducted in specific situations. It is necessary to determine the acceptable circumstances to use this process and the methods by which they must be managed.
This procedure details the steps to request and reconcile a Cash Advance related to a sponsored project. The UNC Finance Division’s Policies and Procedures Manual should be followed for requesting and reconciling cash advances for non-sponsored activities.
The University offers this operating standard to provide clarification and guidance as to University practices regarding expenditure inquiries about non-personnel issues in conjunction with Federal regulations governing allowability.
The purpose of this standard is to document Federal and University practice involving Cost Accounting Standards (CAS) exemptions.
Prepaid cards allow business to be conducted more efficiently and effectively in specific situations. It is necessary to determine the acceptable circumstances to use this process and the methods by which they must be managed.
This procedure details the steps to request and reconcile prepaid cards related to a sponsored project.
This operating standard establishes the Office of Sponsored Programs (OSP) as the appointed authority in accepting and initiating changes to the terms and conditions of any research contract, grant, or cooperative agreement on behalf of the University.
This operating standard defines and emphasizes the actions necessary for completing budget revisions to sponsored accounts.
The purpose of this standard is to provide guidance on the treatment of cost transfers and document Federal and University expectations. The University has stewardship responsibility for all sponsored funds and proper management of sponsored project expenditures is essential to meet this obligation. The University recognizes that cost transfers may be necessary to correct bookkeeping or clerical errors and to allocate closely related work that may support more than one project.
The following cost transfer procedures have been established to comply with the requirements of Uniform Guidance, 2 CFR Part §200, Subpart E, the National Institute of Health (NIH) Grants Policy Statement, and the requirements of other Federal sponsors.
Careful consideration of reporting variables combined with scrupulous accounting practices is necessary to safeguard the University's integrity and provide maximum recovery of Facilities and Administrative Costs (F&A) for balances remaining at the end of a sponsored project.
To receive funding, the University must adhere to Federal, State, and University guidelines regarding financial oversight of sponsored projects.
After the Office of Sponsored Programs (OSP) notifies the department of unallowable costs or an overdraft on a sponsored project, the department will be given an opportunity to resolve the issue before expenditures are moved to the administering department’s unrestricted chartfield string.
Timely compliance of reporting requirements sustains the University’s integrity in research, maintains continuity of sponsor support, prevents the threat of debarment to the University research community, and protects the University-Sponsor-Research Team relationship from being compromised.
Financial reporting is significantly important to assist the University in avoiding non-compliance issues. This operating standard defines the responsibilities of the Office of Sponsored Programs (OSP) in partnership with the Principal Investigators (PIs), Departmental Administrators (DAs), and sponsoring agencies, in order to cultivate positive relationships with sponsors for continued support for research at the University.
This operating standard describes general responsibilities for Principal Investigators (PIs) and Department Administrators (DAs) in maintaining essential data for reporting requirements.
An awareness of the co-dependent relationship between departments and the Office of Sponsored Programs (OSP) underscores the significant impact each has in producing accurate, timely reports to sponsors and helps maximize expenditures efficiently. This operating standard provides common protocols for maintaining sponsored award accounts that uphold the integrity of research at the University.
The University must adhere to Federal, State, and University guidelines regarding financial oversight of sponsored projects to receive funding. The purpose of this Operating Standard is to ensure that effort statements completed in connection with University sponsored projects are accurate, reasonably reflect the actual level of effort expended on a sponsored project, and comply with sponsor requirements.
This operating standard presents various types of final reports requested at the end of a project period to close out a sponsored project, with emphasis on collaboration amongst central offices, Office of Sponsored Programs (OSP), and the Principal Investigator (PI) in providing and reconciling all pertinent information.
This operating standard encourages reconciliation of sponsored project accounts in a timely, accurate fashion and places responsibility for irreconcilable accounts with the departments.
Accepting a fixed price agreement involves a degree of risk because the University must complete all work even if the costs exceed the amount of the agreement. In addition to mitigating the risks associated with accepting fixed price agreements, the University must also ensure that relevant costs are assigned to the appropriate project and that the necessary processes are in place to assure consistency in estimating, accumulating, and reporting costs.
Residual balances on a sponsored project may be transferred to an unrestricted department residual fund account to be used to further University academic, research, and service missions.
All performance under sponsored project agreements at the University is subject to internal and external audit according to the guidelines published in 2 CFR §200 Subpart F. This operating standard establishes general foundations for audits of sponsored agreements at the University.
Research Service Centers (RSCs), also known as cores, core facilities, recharge or service centers, support the research enterprise by providing researchers and scientists with access to infrastructure, scientific technologies, and services that are normally beyond the technical or financial capability of individual Principal Investigators (PIs). Universities that perform Federally-funded research are required to have costing policies that comply with 2 CFR §200 Subpart E.
The purpose of this standard is to document the expectations and treatment of Research Service Centers (RSCs) at the University.