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College of Engineering

Getting Ready

The pre-award phase begins when the researcher identifies a funding opportunity and ends when the proposal’s final funding status is determined. There are several steps in between these two actions, called the Pre-Award Lifecycle. For the College of Engineering, those steps are as follows:

Step 1: Identify Opportunities

Below are some resources for finding and identifying funding opportunities. This is not an exhaustive list, but a great starting point.

Internal:

External:

Step 2: Review Solicitation

The college’s Office of Research Administration recommends the following key items in the solicitation be identified and addressed, as applicable. Keep in mind that these are the most common key items, not an exhaustive list.

  • Confirm that the university (an Institute of Higher Education (IHE) and the PI(s) are eligible to apply
  • Confirm the deadline date and time for the direct sponsor and the prime sponsor, when applicable
  • Confirm the deadline type, for example, receipt, target, or postmark.
  • Determine if the solicitation is a limited submission. If so, please review further information actions HERE.
  • Identify any additional links or references, such as supplemental instructions (i.g, NSF’s PAPPG).
  • Identify any additional submission mechanism instructions (i.g, “General Instructions for NIH and other PHS Agencies). Ensure that each party involved with the proposal and submission understands these guidelines and seeks clarification if needed.
  • Ensure all appropriate parties have the necessary profile accounts for the sponsor and/or submission mechanism, if the PI or department is responsible for submission. Also, confirm that the person is comfortable submitting via that mechanism.
  • Identify the maximum and/or minimum total amounts that can be requested from the sponsor.
  • Identify the maximum and/or minimum total amounts that can be requested from the sponsor, including whether the amount is identified in US dollars or if it is listed as another foreign currency. If the currency is other than US dollars, conversion documentation will be required for PINS (or PD).
  • Determine if there are any further budgetary restrictions, such as any parameter limitations for the amount requested (i.e., total amount requested per year) and/or limitation of certain costs (i.g, PI salary and fringes, tuition)
  • Identify any cost-share requirements, specifically the level of cost-share (i.e., 1:1) and how it is calculated or determined. Further, are there any restrictions on what types of cost-share can be included?
  • Determine whether the federally negotiated indirect cost rate can be used and whether the sponsor has any restrictions. If so, what are those restrictions, and ensure proper documentation from the sponsor is included in PINS (or PD).
  • Review the solicitation, sponsor forms, application, website, and any other applicable materials for potentially problematic terms and conditions (i.e., ‘red flag’ terms). If any such terms are identified, provide the PI with the questionnaire—if it has not already been completed—for their response. Based on the PI’s input, follow the document’s instructions for any required follow-up actions. Additional information can be found on the SPARCS Research Compliance website
  • Ensure to identify and complete any required forms or documents, including those requiring an AOR signature. Once completed, provide the unsigned forms to your assigned college consultant for signature.
  • No solicitation, no problem! Here are some other options:
  • Use an email from the sponsor/program officer, which may include instructions, required forms, or other documents needed for the submission.
  • Apply the general guidelines from NC State, State of NC, Uniform Guidance, and Sponsor.
  • Keep in mind that a standard proposal consists at a minimum of an LOI, SOW, budget, budget justification, and biosketch.

Proposal Development Unit (PDU) – supports faculty teams in the development of large-scale (>$1M), interdisciplinary research proposals. Request their services via the website

Step 3: Create and initiate a PINS (or PD) record

  • PINS (or PD) is expected to follow the college’s 8-day/2-day policy; otherwise, it will fall under the rush policy, as stated in the memo.
  • PINS (or PD) is also expected to follow SPARCS Prompt Policy; otherwise, SPARCS cannot ensure they will meet the requested requirements by the sponsor’s deadline.
  • All information and fields in the PINS (or PD) record are complete and without error(s) before initiating it.
  • PINS (or PD) must also include at least the minimum documents and documentation, as applicable:
    • Solicitation/RFP/BAA or Sponsor’s email request
    •  Budget breakdown (WRS format)
    •  Narrative budget justification
    • Cost Share commitment(s)
    • Documentation for the sponsor’s F&A requirement when it deviates from the university’s federally negotiated rates. Keep in mind that ‘requested’ is not the same as required.
    • ORI’s endorsement confirms their approval of the PI responding to the limited submission solicitation.
  • PINS (or PD) can then be initiated, but NOT approved by the PI. This will allow the PI and department continuous access to the record for any necessary edits once the college processor provides the preliminary review.
  •   COI/NOI: Ensure the Principal and Co-Principal (s), when applicable, must have a completed and current record on file.

Step 4: Proposal (Build, Review, Complete, Submit)

Types of proposed sponsored projects

  • Research:. Investigation or experimentation aimed at the discovery of new knowledge or that builds upon existing knowledge. The creation of new knowledge and/or the use of existing knowledge in a new and creative way, resulting in new concepts, methodologies, and understandings.
  • Instruction:.The dissemination of knowledge or information through teaching and non-research training activities. These activities include developing or compiling course and curriculum materials/programs.
  • Other Sponsored Activities: The dissemination of known knowledge or processes. Service is performed for the benefit of the public. A program that geographically extends the resources of the institution to entities or persons otherwise unable to take advantage of such resources.

Further information at Research Administration and Compliance.

Build the proposal

  • The PI or department will begin building the proposal in accordance with the solicitation, the sponsor’s guidelines, and the submission mechanism requirements. Keep in mind that NC State University, the State of NC, and college guidelines apply to sponsored research projects.

Review the proposal

  • The assigned college consultant will review the initiated PINS (or PD) record and provide a preliminary review, including any recommendations and additional information.
  • The PI or department and the college will work together to address the preliminary review action items and provide a response to the college consultant.

Complete the proposal

  • The PI and/or department will complete the proposal with the most current information.
  • The final proposal must be sent to the CRO (preaward-coe@ncsu.edu) for final review if the proposal will be submitted by the PI or department via email or other electronic means, such as the sponsor’s website.
  • The PI and/or department must ensure that the final proposal is error-free in the sponsor’s system if the proposal must be submitted via the sponsor’s portal or another electronic mechanism. Keep in mind that warning notifications may be errors; therefore, you must ensure the final proposal is fully compliant before requesting submission.
  • Ensure the college consultant and AOR have access to the application for final review and approval when the proposal requires a submission by a university-authorized organizational representative (AOR).

Submit the proposal

  • The PI or department must explicitly confirm by email (preaward-coe@ncsu.edu) that the college/university has permission to submit the final proposal or application when it is ready.
  • The college consultant will conduct a final review of the proposal and offer any final recommendations based on the complete proposal. Once these are resolved, the proposal will be provided to the AOR for their final review and any recommendations.
  • Then the AOR will submit it and provide confirmation to the college processor, who will inform the PI and/or department.
  • The CRO (preaward-coe@ncsu.edu) must be copied on the submission if the proposal will be submitted by the PI or department via email.

Confirmation of submission must be sent to preaward-coe@ncsu.edu if the PI will submit the proposal electronically via the sponsor’s website or portal.

Step 5: Funding status

MONITOR

  • PI and department should monitor for any sponsor updates.
  • If the sponsor needs additional forms or information to further consider your proposal for funding, please involve the original college consultant via preaward-coe@ncsu.edu. If it requires an AOR signature, they can secure it for you. They will also update the Research Enterprise Data (RED) system with any additional or revised proposal documents.

AWARD

  • If the sponsor provides notice of their intent to fund the project and requests any additional forms or revisions, please work through our Sponsor Request email at sponsorrequests-coe@ncsu.edu.
  • If the sponsor provides an agreement directly to the PI and/or department, please forward it to preaward-coe@ncsu.edu, who will ensure SPARCS receives it for immediate attention.

NON-FUND

  • If the sponsor provides notification of non-funding status directly to the PI and/or department, we ask that the notification be forwarded to preaward-coe@ncsu.edu (include an NC State reference, such as PINS (or PD) or PAM) and that the PI and department update their internal records.[LP7]  The college will ensure the Research Enterprise Data (RED) system is updated.

Limited Submission

  • The solicitation will state or indicate that it limits or restricts the number of proposal submissions. The limitation can be the number of proposals per institution, college, sponsor, research area/topic, or PI and/or CoPIs, to name a few.
  • If the PI is selected, he/she will be notified by email. That endorsement must be included in the PINS (or PD) record for the actual proposal submission to the sponsor.
  • NOTE: If the solicitation is not on their website, or if you have general questions about the limited-submission process, contact limited-submission@ncsu.edu.
  • CRO will not submit a proposal without the endorsement notification.

Conflict of Interest and Notice of Intent

Completed Conflict of Interest (COI) certification is vital to compliance and the integrity of the research project. Effective May 12, 2020, any person having effort (paid or not) on a sponsored project must have a current, completed, and approved COI through the RED system. This includes EHRA faculty, non-faculty, and any SHRA employees, GRAs, PostDocs, and hourly employees on a sponsored project. This process is required annually on the anniversary of the certification’s initial approval.

Notice of Intent (NOI) certifications protect employees and the university whenever an employee participates in any External Professional Activity for Pay (EPAP). These activities are not included within one’s primary or secondary university employment duties, are performed for any entity, public or private, other than the university, are undertaken for compensation, and are based upon the employee’s professional knowledge, experience, and abilities. The university is also required to compile and report this information in the aggregate to the UNC System annually.

To complete a COI and NOI disclosure, use your Unity ID and password to access the Research Enterprise Data (RED) system.

For training on the Research Enterprise Data (RED) system, please visit the RED Training page.

Related Links