Extramural Funding Guidelines
(Contracts and Grants)
EXTRAMURAL FUNDING CYCLE
PROPOSAL DEVELOPMENT & SUBMISSION TIMELINE
*COMMODITY PROPOSALS: Exempt from this timeline. Faculty will receive a link with instructions to submit proposals to the research office.
**Industry or less complex proposals may be reviewed and approved in a shorter period as time allows. However, please plan on at least 7 days to complete the review and approval.
Pre-Award Information
Step-by-Step Process and Timeline
START HERE: INTENT TO PROPOSE
- Find Funding Opportunities
Auburn University and the College of Agriculture offer several ways to notify faculty of potential funding opportunities. The Ag Research Office currently monitors the release of new funding notices. Once they are released, a 2 to 3-page executive summary is prepared by the Grant Writers detailing the specific content of what is being requested by the funding agency. This, plus the full RFA/RFP is then emailed to all COA faculty. The College also prepares monthly funding e-newsletters to share funding opportunities and other notes of interest to the Ag faculty.
Likewise, the central office of Proposal Services & Faculty Support issues monthly funding newsletters to share different funding announcements, limited submission applications, and internal grant opportunities.
For those who prefer searching for their research opportunities, Auburn offers free access to PIVOT, a subscription database of more than 25,000 funding opportunities from different sponsors. Faculty, students, and staff can create custom searches and notifications for active opportunities.
- Submit Intent to Propose Form (ASAP, no later than 2 weeks before the deadline)
Auburn University requires a set of institutional approvals before any extramural funding requests or proposals can be submitted. The College has implemented some internal steps to facilitate this process and assist Ag faculty in the development and submission of proposals.
All College of Agriculture and Alabama Agricultural Experiment Station faculty interested in submitting extramural funding proposals must complete a COA/AAES Intent to Propose form. The form serves as an information portal that notifies the Research Office of a faculty member’s desire to submit an extramural funding proposal, the anticipated due date, and the types of support needed. It prompts an automated notification that gets emailed to the assigned Pre-award Specialist, Grant Writers, Statistical Consultant, and any other needed staff, depending on the resources requested, to assist in the development and submission. COA/AAES Intent to Propose Form.
This requirement applies to any external funding proposals or pre-proposals that include budgetary information, including federal and state agencies, industry partners, continuation projects, etc., regardless of the method of submission (Email or Sponsor System). **
The COA/AAES Proposal Intent to Propose Form will also allow the Research Office to effectively assign resources for proposal development and track the development, approval process, and submission steps.
Principal Investigators will start working on the development of their proposal material with the assistance of the Research Office staff as requested.
Contact your assigned pre-award specialist for any questions or guidance through this process. See staff.
** Commodity Proposals are exempt from the intent to propose form and 2-week timeline. The Research Office will notify faculty members of internal deadlines and specific instructions for submission to each of the different commodity groups. The RO will collect all proposals and submit them to the commodity group point of contact.
COA Point of Contact for Commodity Proposals:
Mercedes Mckoy
mlf0015@auburn.edu
334-844-3905
- Send Initial Proposal documents to the Research Office for review (2 weeks before proposal deadline)
The Principal Investigator should email the following initial documents to their assigned pre-award contact to start reviews. The pre-award contact will review and work with the PI to address any questions or needed revisions before routing for Institutional approvals.
- Draft Scope of Work/Summary/Narrative.
- Budget (Research Office can assist in finalizing the budget)
- Budget Justification
- Subcontractor docs: AU subrecipient form signed by Sub’s authorized representative, SOW, Budget, and justification (The Research Office can assist in collecting these documents. Please provide a point of contact).
Please note: There may be additional required approvals depending on the nature of the proposal. For example, international collaborations must be approved by the Office of International Programs. The Department’s assigned pre-award specialist will guide principal investigators through the process and coordinate all needed approvals before submission.
For collaborative proposals between faculty members and/or other colleges, the investigators should decide if separate accounts would be needed and provide a budget split to their pre-award contact. Any Indirect cost, project credit, or budget split should be discussed and agreed on at the proposal stage.
Office of Research Compliance Requirements: If the proposal includes human subjects research, animal work, or biological agents, the principal investigator must work with the Office of Compliance to submit a protocol. An approved protocol is not required at the initial proposal stage but must be obtained prior to account setup.
Note: There are several university faculty resources and templates to aid in preparing these documents. See below for details.
- Route for Institutional Approvals (1 week before proposal deadline)
Once the budget is finalized, the pre-award specialist will enter the proposal information and budget into the e-coverform system in Banner to route the proposal for institutional approvals. Several AU personnel will have to review and approve it before submission. We highly encourage 7 days to complete all needed approvals. Some of the required approvals include the Principal Investigator, Co-PIs, Department Head of each department involved, ADRs, and the Research Office.
- Finalize Proposal Documents (3 days before proposal deadline)
Principal Investigators are responsible for leading the proposal development, preparing the proposal components, and providing all final documents to the pre-award specialist for review for compliance with sponsor, RFP, and institutional requirements. Grant writers and the pre-award specialist can assist as stated above.
The pre-award specialist is responsible for reviewing the full proposal package for compliance and providing feedback as needed before final review and submission. It is expected that all proposal documents, except the final narrative, must be ready for review 3 days before the deadline.
- Final Review and Submission (1-2 days before proposal deadline)
Once the final proposal documents are uploaded to the sponsor system and ready for final review and submission, the Research Office Director will do a final review and submit it to the sponsor. The PI and Grant Writer (as applicable) will be notified once the package is submitted and provided with a copy of the submitted file for their records.
For email submissions, the Research Office will notify the PI when the proposal has been approved for the PI to submit via email to the sponsor.
SUMMARY OF ROLES AND RESPONSIBILITIES OF FACULTY & STAFF
*Responsible for accurate information
AWARD & POST-AWARD INFORMATION
AWARD: AGREEMENT EXECUTION & ACCOUNT SETUP
Any new agreements must be sent to the Office of Sponsored Programs (OSP) at ospadmn@auburn.edu for review and execution. If the Principal Investigator receives the award/agreement, he/she must forward it to their pre-award specialist who will process the documents to OSP for review.
The Office of Sponsored Programs will review the terms and conditions, ensure that all compliance requirements are met, execute the project agreement, and approve the project for account/FOP setup. OSP will distribute an award package, which includes an action cover form, a copy of the executed agreement, and any internal documentation relevant to the project. This email will be sent to the contracts and grants accounting office, the college, and department administrators. The Dept. accountant will send a copy to the PI for their records.
The Contracts and Grants Accounting (CGA) office will create an account/FOP based on the documentation received from OSP. Once the investigators have their accounts set up, they can start spending on their projects.
Important! Projects that include IRB, IACUC or BUA protocols, must have an approved protocol and a congruency review complete for OSP to approve the award for account setup. The Principal Investigator is responsible for submitting protocol(s) to the Office of Research Compliance covering the work to be performed and sending a copy of the approved protocol to their pre-award specialist. OSP will request a congruency review from the Office of .
Note: CGA will NOT create an account/FOP without a successful congruency review.
POST-AWARD: MODIFICATIONS
Plans change and sometimes a budget modification, personnel change, or scope of work adjustment becomes necessary. Depending on the nature of the modification and the agreement’s terms and conditions, additional approval from the sponsor may be needed. Some other times, Auburn University may be able to review and approve the change under expanded authorities. Auburn has an internal policy governing the steps for these modifications (Rebudgeting on sponsored programs).
The Research Office will assist principal investigators with any questions or documentation needed for award modifications to their projects or approved budgets. Please contact the assigned pre-award specialist for guidance. The Research office will work with OSP to obtain any needed signatures, assist in requesting no-cost extensions, and process any appropriately revised modifications with OSP.
UNIVERSITY CONTACTS & FACULTY RESOURCES
- Research Resource Hub: The Faculty Research Resource Hub website contains a series of resources and links to the different offices involved in sponsored programs.
- Agriculture-specific opportunities: USDA/NIFA Funding Opportunities website. This details all the funding programs that are currently open and offered by USDA/NIFA. It includes a search guide that filters grant programs by topic and eligibility.
- AU Sponsored Programs: The Office of Sponsored Programs website contains all current rates to be used in extramural proposals. This includes indirect cost rates, fringe benefits, and other useful information. It also has links to different policies and forms like fixed price agreement templates, rebudgeting policies, spending policies, faculty handbook, and other important information needed to manage extramural projects.
- Templates (Box Link):
- Sponsor Checklists
- AU budget Template
- AU budget justification template
- Supplementary documents examples
FAQ
What Happens After You Submit a NIFA Proposal?
Receipt of these emails does not indicate the application has been accepted by NIFA for review by a committee of peers. NIFA staff do a preliminary review, and proposals can be rejected without an in-depth review because of issues such as exceeding narrative page numbers, noncompliance with RFP requirements, etc. NIFA notifies the PI whether the application has been accepted or rejected for review. The Office of Sponsored Programs is also notified on behalf of the Authorized Organizational Representative (AOR). Auburn’s AOR is currently Dr. Steven Taylor, Senior Vice President for Research and Economic Development.
If accepted for review, the application will be assigned a NIFA application number. The agency will send an email to the Principal Investigator and AOR with the assigned number.
Grants.gov shows the proposal status from submission until it has been received by the agency. Then, tracks the application from the time it has been received by the agency until a funding decision is made. The cycle usually takes about six months.
Can I request a FOP/account on Anticipation?
Auburn should have written evidence of the approved start date for the project. If the start date is subject to the execution of the agreement, an anticipatory account is not allowed. Additionally, any pending approvals of Compliance protocols (IACUC, IRB, BUA) or congruency review must be complete before the Office of Sponsored Programs can approve an account on anticipation.
My new award is pending a research protocol review and approval. Why can’t I get an account/FOP setup while I obtain an approved protocol?
Budget Modifications
Auburn has an internal policy governing the steps for these modifications (Rebudgeting on sponsored programs). Principal Investigators (PI) or Departmental Accountants should consult with the Research Office for questions regarding budget reallocations. If a budget change is needed, the PI or Accountant should submit the following documents to their Pre-award specialist for review and approval:
- Budget changes and revised budget per category.
- Justification of why the change is needed.
Once approved by the Research Office, the PI can submit the request or coordinate with the Research Office for submission to the sponsor.
If the budget reallocation can be processed through an electronic journal voucher per institutional policies, the Departmental Accountant or Research office can initiate the process in Banner and attach supporting documentation according to the terms and conditions of the agreement or Auburn’s rebudgeting policy mentioned above.
No-Cost Extensions (NCE)
For Federal awards, the Institutional authorized representative will typically have to submit a request in the sponsor system or notify the sponsor about the no-cost extension (NCE) when exercising expanded authorities. To request an NCE, the Principal Investigator must send an email request to their pre-award specialist with the following:
- Account/FOP number.
- Justification for the need for an extension and the length needed. The Research Office will prepare the internal paperwork needed for submission to the sponsor and for approval by the Office of Sponsored Programs.
On Industry contracts or other non-federal agreements, the Principal Investigator should reach out to their technical point of contact or grants officer noted in the agreement and request a no-cost extension, including the length of time that is being requested, and the corresponding justification. If a formal letter is needed, the Research Office can facilitate this letter and the needed signatures from the Office of Sponsored Programs.
Sponsored-approved no-cost extensions usually come as an award/agreement modification. If received by the Principal Investigator, it must be forwarded to the pre-award specialist who will process it to Office of Sponsored Programs for internal processing and to be updated in Banner.
Request a FOP to Indefinite Status
To request an indefinite status on a FOP, the Principal Investigator must notify the departmental accountant to send an email/memo to Contracts and Grants Accounting (CGA) requesting that the FOP be extended to indefinite. This email/memo must include the FOP number, confirming the project is complete, any deliverables have been submitted, and that all project-related costs have been charged to the project FOP. Auburn must also have received full payment. Contracts and Grants Accounting will review the request and extend the FOP’s end date to indefinite if approved.