PI Tools & Resources

New Investigators

FAQs

Why do I need to provide proposal information in Cayuse if the sponsor does not require it?

Who is my OSP contact for proposal related requests?

Who is my OSP contact for award related requests?

When do I need to notify OSP that I intend to submit a proposal?

What information should I provide OSP in my proposal notification?

What budget information does OSP notification require?

The sponsoring agency sent me notice that my proposal was selected for funding, why hasn’t OSP released my award funds?

What proposals require OSP review and approval?

I received an email from OSP notifying me that award funds had been released, now what?

I was told by a sponsor that my proposal was selected for funding, can I start work?

Why does OSP have to review and negotiate the terms and conditions of Award Agreements prior to signing?

I need access to information or materials which is subject to Export Control laws in order to complete my research, do I need OSP approval?

Why is my Department Chair’s approval required prior to proposal submission?

Why does the Division’s Research Accounting need to approve my proposal prior to OSP submission?

Why can a portion of my academic effort be committed as Cost Share/Matching Funds, but not my summer effort?

How do I know when my technical reports or project deliverables are due?

Can I include a cost share/matching funds commitment in a proposal for Federal funding?

The Federal funding opportunity I’m applying to requires Cost Share, what can I use to meet the commitment?

Do I have to include Indirect Costs in my project budget?

Who can help me find funding opportunities?

Can OSP assist me in writing my proposal?

What areas of a proposal submission is OSP responsible for?

How do I know if I can apply to a specific funding opportunity?

I’m going to submit a proposal to an opportunity that states only one application can be submitted per institution. How do I get approval to submit?

What is the difference between Federal Contracts, Cooperative Agreements and a Grants?

What is a PI?

If I do not meet the requirements act as PI on a project, can exceptions be made?

Why do I need to provide proposal information in Cayuse if the sponsor does not require it?

UC Santa Cruz is required to track and report specific proposal and award data both internally and externally. OSP is responsible for insuring that we have recorded the required data correctly, and received certain internal approvals, prior to submitting a proposal on behalf of The Regents of the University of California.

Who is my OSP contact for proposal related requests?

The OSP Proposal Analyst assigned to your Department can be found here.

Who is my OSP contact for award related requests?

The OSP Grants Officer assigned to your Department can be found here.

When do I need to notify OSP that I intend to submit a proposal?

The Office of Research requires internal deadlines be met in order for OSP to support and submit a proposal on behalf of UC Santa Cruz.

What information should I provide OSP in my proposal notification?

OSP proposal notification must include the RFP or sponsor guidelines, a list and contact information for any subrecipient collaborators, and preliminary budget information.

What budget information does OSP notification require?

Please provide a list of budget line items you would like included in your budget. You will need to provide the name (if known), title, and level of effort for each position.

The sponsoring agency sent me notice that my proposal was selected for funding, why hasn’t OSP released my award funds?

Sponsors often send out notice that proposals are selected for funding prior to releasing the formal grant or contract agreement. OSP can only release the award funding after we have received (and accepted) the formal award documents.

What proposals require OSP review and approval?

OSP should be contacted whenever you are preparing to submit a proposal. OSP will assess the funding source and related terms and conditions to determine if the proposal requires OSP processing and approval.

I received an email from OSP notifying me that award funds had been released, now what?

Once OSP has distributed the final award funding, contact your Research Accountant for post-award financial assistance.

I was told by a sponsor that my proposal was selected for funding, can I start work?

Work should not begin on a project until the award agreement is accepted and distributed by OSP. In certain circumstances OSP can process a Firm Commitment based on the sponsors assurances that an award is forthcoming. Work should not begin on a project until the award agreement is accepted and distributed by OSP. In certain circumstances OSP can process a Firm Commitment based on the sponsors assurances that an award is forthcoming.

Why does OSP have to review and negotiate the terms and conditions of Award Agreements prior to signing?

Sponsors do not always identify the terms and conditions that will apply to funds if a proposal is selected for funding. Prior to signing the funding agreement, OSP Contract and Grant Officer’s review the terms to insure the campus is able to meet the requirements of the agreement. If revisions are needed in order to comply with UC Policy or campus procedures, OSP will work with the sponsor in negotiating terms acceptable to both parties.

I need access to information or materials which is subject to Export Control laws in order to complete my research, do I need OSP approval?

Export Controlled material or information must be identified in a Research Agreement. Any Export Controlled material or information requires a management plan in place prior to acceptance to insure compliance with the required security.

If the level of security required is above what the campus is able to manage, acceptance may be denied. For information on Export Control, ITAR and EAR regulations, review, and management please contact Steve Cambell, AVC.

Why is my Department Chair’s approval required prior to proposal submission?

UC Contract and Grant Manual requires proposals have the signed approval the Principal Investigator, Department Chair, and Unit Head or Dean prior to OSP’s submission on behalf of The Regents.

Why does the Division’s Research Accounting need to approve my proposal prior to OSP submission?

OSP assists in budget preparation to insure compliance with the sponsors RFP, OMB Uniform Guidance and UC Policy. The Divisional Research Accounting offices provide a final review prior to submission to assure that, if selected for funding, the project budget can be administrated as proposed.

Why can a portion of my academic effort be committed as Cost Share/Matching Funds, but not my summer effort?

Faculty members on a 9-month Academic Appointment can commit a portion of their effort, and the associated cost, Cost Share/Matching Funds in support of a sponsor funded research project. This is allowable because a portion of their Academic Appointment, paid by UCSC, includes time for their research efforts.

Summer salary, however, is not guaranteed by UCSC. Summer salary funded by sponsored projects and the effort must be allocable to the project which it is being charged to.

How do I know when my technical reports or project deliverables are due?

It is the PI’s responsibility to review the terms of their awards and assure that the technical obligations are met. Prior to OSP accepting a Research Agreement, the PI should review the Scope of Work and Technical Deliverable requirements to insure they accurate and reasonable.

Can I include a cost share/matching funds commitment in a proposal for Federal funding?

Per the OMB Uniform Guidance, Cost Share commitments can only be included in Federal project proposals if they are specified as required in the funding opportunity.

The Federal funding opportunity I’m applying to requires Cost Share, what can I use to meet the commitment?

Cost Share on Federal funds with Federal funds is not allowable. Cost Share contributions must come from unrestricted sources, and meet all of the criteria listed in OMB Uniform Guidance.

Do I have to include Indirect Costs in my project budget?

Yes. Indirect Costs must be included in project budgets. UC Office of the President will allow an exception only if the sponsoring agency is a non-profit organization and has a written policy limiting Indirect Costs.

Who can help me find funding opportunities?

The Research Development Office can assist you in finding opportunities for funding in your research focus area.

Can OSP assist me in writing my proposal?

OSP can not assist in preparing the technical portions of a proposal.

What areas of a proposal submission is OSP responsible for?

Generally OSP is responsible for budget preparation, organizational administrative assurances (both internal and external), and reviewing final proposal documents for compliance with the sponsors requirements. The extent of OSP’s involvement will vary depending on the sponsoring agency, program, and size of project.

How do I know if I can apply to a specific funding opportunity?

If you find a funding opportunity you would like to submit to, bring the RPF or guidelines to OSP’s attention. OSP will review the agency’s standard terms and conditions or program restrictions to be sure they are in compliance with UC Policy.

I’m going to submit a proposal to an opportunity that states only one application can be submitted per institution. How do I get approval to submit?

Limited submission selections are completed by the Office of Research. Please contact the Associate Vice Chancellor for Research.

What is the difference between Federal Contracts, Cooperative Agreements and a Grants?

Federal Grants are instrument of financial assistance to support a public purpose. They are awarded with minimal restrictions.

Federal Cooperative Agreements, like Grants, are instruments of financial assistance in support of a public service. However, Cooperative Agreements include substantial involvement of the sponsoring agency throughout the project.

Federal Contracts are binding agreements used to procure goods and services. Terms are far more restrictive than grants, with an emphasis placed on the delivery of results, product or performance.

What is a PI?

Principal Investigator (PI) is an individual who has primary responsibility for the design, execution, and management of a research project and who will be involved in the project in a significant manner. Eligibility to submit a proposal as PI is limited to specific academic appointees, which can be found here.

If I do not meet the requirements act as PI on a project, can exceptions be made?

In order to determine if your appointment is eligible to apply for an Exception to Policy for PI Status, please review the requirements here.