This agreement is for the use of $0 joint research efforts. The collaborative research program contemplated by this agreement is of mutual interest and benefit to NC State and the collaborator. It will further NC State’s instructional and research objectives in a manner consistent with its status as a non‑profit research institution. The University and the collaborator agree to use their best efforts to perform the collaborative research described in the statement of work (SOW). The SOW clearly defines each party’s responsibilities in the research performance.

$0 Collaborative Agreement

PINS (or PD)

• Deadline Type: Target
• Total Amount Requested: $0
• F&A Rate: 52%
• F&A Basis: MTDC
• Justification for Underrecovery: F&A Fully Recovered
• Provide sponsor point-of-contact information: name and title, email address, and phone number, at a minimum.
• Documentation:
  • Statement of Work
  • Collaborative agreement, if available

HANDLING

• SPARCS will further handle and secure a fully executed agreement between both parties.

Also known as a Senior Design Project or Capstone Project, this agreement is for non-federal research applications. The Sponsor will provide a “real-life” problem suitable for classroom instruction. It is a fixed-price agreement with a $25,000 cap and a 15% modified total direct costs (MTDC) F&A rate. The sponsor must agree to the terms and conditions of the agreement, other than cosmetic or other minor changes. Before engaging in such a project, a properly processed PINS (or PD) record is required. 

Senior Project Agreement

Project Participation Agreement 

PINS (or PD)

• Project title naming convention: Sponsor’s name, semester, and year. For example, the Company XYZ Spring 2022 Project.
• F&A Rate: 15% 
• F&A Basis: MTDC
• Justification for F&A Under-recovery:  Best interest of the University
• F&A Pre-approved Justification code: XSDP-06-015-MTDC
• Sponsor’s point-of-contact information: Name and title, email address, and phone number, at a minimum.
• Documentation:
  • Statement of work 
  • Budget detail by cost category
  • Budget narrative justification 
  • Collaborative agreement, if available

HANDLING

SPARCS will further handle, negotiate, and secure fully executed agreements between both parties.

NOTES 

• This agreement may not be used for federally funded projects or as a cost match for federally funded projects. 
• Substantial changes to the standard terms and conditions of the agreement nullify the reduced overhead rate, and a standard sponsored research agreement and total overhead rate will apply.
• Each student must sign a Project Participation Agreement acknowledging the terms of the agreement. If these forms are signed after the PINS (or PD) record is processed, send them to the College Research Office (preaward-coe@ncsu.edu), which will upload them to the Research Enterprise Data (RED) system.
• Faculty and other non-student involvement MUST be limited to the duties defined in the course syllabus for these endeavors. Expansion of effort beyond the scope and expectations of the course, or the involvement of non-course enrollees, may constitute a breach of various university policies on intellectual property, publication, and confidentiality, among others.

The College of Engineering has many centers, consortia, and institutes with paying members. Membership fees support core projects that work to meet the goals of the university, the center, and its members. Some benefits to members include access to research results from the core projects, the ability to provide supplemental funding to enhance a project at a significantly low indirect cost rate, and networking opportunities.

Center PINS (or PD) activities include:

• Center memberships
• Center Core Projects
• Center Administrative Projects
• Center Enhancement Projects
• Non-core Center Projects

Centers and Institutes

CRADA is a written agreement between one or more federal laboratories and one or more non-federal parties under which the government, through its laboratories, provides personnel, facilities, equipment, or other resources with or without reimbursement (but not funds to non-federal parties). The agreement is provided to the researcher by the sponsor; NC State does not have a template for this agreement.

PINS (or PD)

• Deadline Type: Target
• Total Amount Requested: $0
• F&A Rate: 0%
• F&A Basis: Other
• Justification for F&A Under-recovery: Best interest of the University
• On-Campus Research
• Sponsor’s point-of-contact information: Name and title, email address, and phone number, at a minimum.
• Documentation:
  • Sponsor’s CRADA agreement
  • Statement of Work

HANDLING

• SPARCS will further handle and secure a fully executed agreement.

A DTUA or DUA is an agreement that governs the sharing of data between two or more research collaborators. The agreement is normally supplied by the sponsor; however, the university can start with the FDP templates.

PINS (or PD)

• Title convention: “Data Use Agreement with [Company Name]”
• Deadline Type: Target
• Complete the ‘Associated Research Enterprise Data (RED) system Project ID’ field, if applicable
• Total Amount Requested: $0
• F&A Rate: 52%
• F&A Basis: MTDC
• Justification for Underrecovery: F&A Fully Recovered
• Provide sponsor point-of-contact information: name and title, email address, and phone number, at a minimum.
• Documentation:
  • DUA agreement
  • Description of Project (if not included in the agreement)

HANDLING 

• SPARCS will further handle and secure a fully executed agreement.

Fabrication services are based on client-created designs. The university often completes these services through service centers with specialized equipment and/or capabilities.

FSA Agreement

Modification form 

NEW PINS (or PD)

• Title: “FSA: title”
• Proposal Type: “FSA”
• Deadline: Target
• F&A Rate: 0% if Non-negotiated or 33.6% if Negotiated*
• F&A Basis: “Other”
• Category: “Other”
• Justification for F&A Underrecovery: “Non-negotiated TSA/FSA (0%)” or “Negotiated TSA/FSA (33.6%)”*
• Instructions to SPARCS Section: Include the Place of Performance (Building and Room Number)
• Include contact information in the Proposal Info/Docs Tab of the PINS (or PD) record
• Documents:
  • SOW with the amount clearly stated 
  • Completed FSA Agreement 
  • *If negotiated: A detailed budget will be required

SUPPLEMENTAL PINS (or PD)

• Title: “FSA: title”
• Proposal Type: “FSA Supplement” 
• Deadline: Target
• F&A Rate: 0% if Non-negotiated or 33.6% if Negotiated*
• F&A Basis: “Other”
• Category: “Other”
• Justification for F&A Underrecovery: “Non-negotiated TSA/FSA (0%)” or “Negotiated TSA/FSA (33.6%)”*
• Instructions to SPARCS Section: Include the Place of Performance (Building and Room Number)
• Include contact information in the Proposal Info/Docs Tab of the PINS (or PD) record
• Documents:
  • Modification form 
  • SOW with the amount clearly stated 
  • Completed Agreement 
    • It is not required as it is the same as the original
  • *If negotiated: A detailed budget will be required

*If an agreement is negotiated, the F&A rate is 33.6%, and the Justification for F&A Underrecovery would be “Negotiated TSA/FSA (33.6%).” A detailed budget is required to calculate the F&A amount

HANDLING

SPARCS will handle all FSA-related actions, including securing a fully executed agreement. The college or SPARCS office will then notify the department so it can initiate the invoice for payment to the sponsor.

NOTE: A PINS (or PD) is not required for actions after an FSA has been executed, such as a revision or no-cost extension (NCE). Please email Gerardo Granillo (cc: Pat Hayes) with the following information:

• Revised FSA: Modification form and a revised SOW with the amount clearly stated
• NCE: Modification form only

Federally funded internships allow students to acquire core professional competencies and transferable skills through experiential learning opportunities. The IP agreement is executed between the university and the hosting entity, not the federal sponsoring agency; therefore, a new PINS (or PD) is required for this action. 

Visiting Student Agreement

PINS (or PD)

• Title convention: IP Agreement with [Company Name]
• Complete the ‘Associated Research Enterprise Data (RED) system Project ID’ field with the related federal project supporting the internship.
• Deadline Type: Target
• PoP: Dates must be within the PoP of the Federal award.
• Total Amount Requested: $0
• F&A Rate: Same as Federal Sponsor
• F&A Basis: Same as Federal Sponsor
• Category: Research
• On/Off-campus: Off-campus
• Justification for F&A Under-recovery: Same as Federal Sponsor
• Provide sponsor point-of-contact information: name and title, email address, and phone number, at a minimum.
• Documentation:
  • Agreement 
  • Statement of Work (if not included in the agreement)

HANDLING

• SPARCS will further handle and secure a fully executed agreement.

Like externally sponsored research projects, internally funded projects like RISF, FRPD, and GRIP should follow the solicitation guidelines, including whether indirect costs are allowable.  Indirect costs may be allowed or not, depending on the funding source, so it is important to follow the solicitation. If the solicitation is unclear, please seek clarification from the point of contact and document it in PINS (or PD). Also, most internally funded projects require PINS (or PD) before submission, but be aware that some require them only after the project has been selected for funding.  

The Intergovernmental Personnel Act Mobility Program temporarily assigns skilled personnel between the Federal Government and state and local governments, colleges and universities, Indian tribal governments, federally funded research and development centers, and other eligible organizations (“non-Federal organizations”). These assignments allow civilian employees of Federal agencies to serve with eligible non-Federal organizations for a limited period without losing employee rights and benefits. A Federal agency may document IPA assignments for intermittent, part-time, and full-time employment. They may also enter into IPA assignments on a reimbursable or non-reimbursable basis, meaning they may be cost-neutral to both agencies. The agency and non-Federal entity involved determine whether an IPA assignment is reimbursable.

Each assignment should be made for purposes that the Federal agency head, or his or her designee, determines are of mutual concern and benefit to the Federal agency and the non-federal organization. Each proposed assignment should be carefully examined to ensure it serves sound public purposes and furthers the goals and objectives of the participating organizations. Assignments arranged to meet employees’ personal interests, circumvent personnel ceilings, or avoid unpleasant personnel decisions are contrary to the spirit and intent of the mobility assignment program.

The goal of the Intergovernmental Personnel Act mobility program is to facilitate the movement of employees for short periods of time when this movement serves a sound public purpose. Mobility assignments may be used to achieve objectives such as:

• strengthening the management capabilities of Federal agencies, State, local, and Indian tribal governments, and other eligible organizations;
• assisting the transfer and use of new technologies and approaches to solving governmental problems;
• facilitating an effective means of involving state and local officials in developing and implementing Federal policies and programs; and,
• Providing program and developmental experience will enhance the assignee’s performance in their regular job.

Under the Intergovernmental Personnel Act, the legal authority for assignments is found in 5 U.S.C. sections 3371-3375. The regulations are in the Code of Federal Regulations (CFR), part 5, chapter 334.

NOTE: Before starting a PINS (or PD) record, please ensure the PI/Department completed the Cost Data form, signed it by the Department, and provided it to the Federal agency. The Federal agency will then provide the PI/Department with the IPA agreement. At this point, the PINS record should be started. Click here for further information regarding the Data Cost form.

PINS (or PD)

• Title convention:” Intergovernmental Personnel Act Agreement for [PI Name]”
• Deadline Type: Target
• F&A Rate: 0%
• F&A Basis: Other
• Category: Research
• On/Off-campus: Off-campus
• Justification for F&A Under-recovery: Best interest of the University
• Underrecovery Description: XIPA-03-000-XNA
• Provide sponsor point-of-contact information: name and title, email address, and phone number, at a minimum.
• A portion of the salary, fringes, and foregone F&A that the University bears must be included in the Cost Share tab in PINS (or PD).
• Documentation:
  • IPA Agreement 
  • Cost Data Form (original form submitted)
  • Statement of Work (if not included in the agreement)

HANDLING

SPARCS will review, sign, and return the final IPA to the PI, department, or college for submission directly to the sponsor. The sponsor will review, countersign, and return the fully executed agreement to SPARCS (sps@ncsu.edu) for the internal award.

A university employee, such as BEA Idaho National Laboratory, is requested to work on-site. It’s a formal arrangement in which a researcher has formal ties to INL and a university. These partnerships enhance collaboration as joint appointees conduct research and development at home and host institutions.

PINS (or PD)

• Title convention: Joint Appointment between [Agency Name] and North Carolina State University for Dr. [First and Last Name]
• PI is the Department Head or Supervisor
• Complete the ‘Associated Research Enterprise Data (RED) system Project ID’ field, if applicable
• Provide sponsor point-of-contact information: name and title, email address, and phone number, at a minimum.
• F&A Rate: Current federally-negotiated rate
• F&A Basis: MTDC
• Category: Research
• On/Off-Campus: On-Campus Research
• Justification for F&A Under-recovery: F&A Fully Recovered
• Documentation:
  • Sponsor’s agreement, if available
  • Statement of Work (if not included in the agreement)
  • Budget detail by cost category
  • Budget narrative justification 

HANDLING

• Unless the final agreement is provided, the PI or department will submit the final proposal. Then, the central office will review, sign, and further handle the fully executed agreement.

JFAs create space between sponsors and NC State, enabling closer collaboration to enhance the breadth of scientific research. An NC State tenured or tenure-track faculty researcher typically participates in this federal-sponsored appointment. Still, it can happen the other way around: federal research comes to NC State.

PINS (or PD):

• Title convention: Joint Faculty Appointment between [Agency Name] and North Carolina State University for Dr. [First and Last Name]
• PI is the Department Head or Supervisor
• F&A Rate: 0%
• F&A Basis: Other
• Category: Research
• On/Off-Campus: Off-Campus Research
• Justification for F&A Under-recovery: Sponsor limits or prohibits F&A Costs
• Pre-approved justification code, if applicable
• Sponsor’s point-of-contact information: Name and title, email address, and phone number, at a minimum.
• Documentation:
  • Sponsor’s agreement
  • SOW (if not included in the agreement)
  • Budget detail (cost category)
  • Representations and Certifications (sponsor provides)
  • Exhibit 2 form (sponsor provides)

HANDLING

• College AOR will sign sponsor forms and upload them to PINS (or PD). SPARCS will further handle and secure the fully executed agreement.

This agreement should attract the sponsor to work with the university, but it can be used only once. This option includes a minimum of 15% overhead, and the total project cost is limited to $50,000. Delegated authority to sign this specific agreement, without negotiations or edits, is with the college.  To avoid misunderstandings about the terms and conditions of this agreement, it is recommended that you share it with your sponsor in advance. Please also ensure your proposal receives departmental approval before beginning the process with your sponsor.

Memorandum of Agreement (MOA)

A general research MOU is a positive statement of interest between NC State University and a collaborator to explore research activities.  An MOU does not express a binding commitment to any specific activity but rather a serious intention to explore identified interests. MOUs are not encouraged unless there is a clear intent to implement a research project soon, and the MOU will support that action. There is no fixed form or content for MOUs; their content is determined by their objectives. The process for drafting, reviewing, and negotiating an MOU can be brief or lengthy, depending on the program’s complexity and the participants’ objectives for the MOU.

Office of Global Engagement

PINS (or PD)

• Title convention: “Memorandum of Understanding with [Company Name]”
• Deadline Type: Target
• Total Amount Requested: $0
• F&A Rate: 52%
• F&A Basis: MTDC
• Justification for Underrecovery: F&A Fully Recovered
• Provide sponsor point-of-contact information: name and title, email address, and phone number, at a minimum.
• Documentation:
  • MOU agreement
  • Description and purpose of the collaboration,  roles, and responsibilities of each collaborator (if not included in the agreement)

HANDLING 

• SPARCS will further handle and secure a fully executed agreement.

NIH requires recipients to use a formal tracking process for the Research Performance Progress Report (RPPR) and Final RPPR. For this reason, the University requires that these reports be processed through the internal electronic tracking system, PINS (or PD). Please follow the NIH RPPR PINS instructions or the NIH Progress Report PD Record Submission instructions.

Most funded projects secured by NC State principal investigators (PIs) are sponsored by federal, state, and local entities. Typically, NC State PIs respond to solicitations released by entities, including a submission receipt deadline. The solicitation typically includes instructions, the sponsor’s requirements for the proposal and submission process, and the sponsor’s review and selection processes.

Sometimes, submission requirements are layered, such as requiring a Letter of Intent before submitting a full proposal. Therefore, it is important to read the solicitation fully to ensure your response is compliant. However, remember that when there is conflicting information between the sponsor and NC State’s commitments, we must follow NC State and the State of NC laws and regulations.

An LOI and pre-proposal submission should follow the sponsor’s solicitation and posted guidance, including the submission mechanism. It is acceptable for the PI to submit the LOI or pre-proposal when AOR involvement is not required. A PINS (or PD) record would not be required in this case; however, the PI and/or department can choose to process a PINS (or PD) for record-keeping purposes and the PI’s 5-year reviews. 

A PINS (or PD) record must be processed when the sponsor requires a University AOR to sign any document, form, or submit. These submission types typically do not require a detailed SOW, Budget, or Justification; therefore, if the sponsor does not require it, neither does NC State. But if they do, they must be provided when a PINS (or PD) record is being processed.

It is important to keep the status of the records current. If the LOI is not invited to submit a full proposal, please update the college pre-award team by forwarding the sponsor’s notification.

When a PI has identified a solicitation to respond to, the college recommends that the PI reach out to their department’s research administrator to begin the internal process. The administrator will guide the PI through the process and provide any internal deadlines the PI must meet. The administrator may also help by reviewing the solicitation, completing proposal forms, building the online application, and communicating with the college to secure signatures. The PI and project team members’ main point of contact is the administrator.

When complete, the PINS (or PD) record must not contain any system-generated errors. Still, it must include the documents solicitation/RFP, the final proposal submitted to the sponsor, and an internal budget that includes University account codes. Further documentation and information may be needed to meet University requirements, such as:

ORI’s Limited Submission endorsement

Cost-share confirmation(s)

New Proposal: F&A Waiver or New Proposal: PI exemption

ORC endorsement for any background in Intellectual Property

SPARCS Compliance endorsement for any potential T&Cs

For more information: “Getting Ready.”

For instance, a revised proposal may be necessary if the sponsor awards a project but at a different amount than originally proposed or if the statement of work (SOW) changes significantly. The University requires a Revised New PINS (or PD) when the total project amount changes by 10% or more (increase or decrease) from the original proposed amount. 

When processing this type of PINS (or PD) because of a significant change in amount, you can use the sponsor’s notification, i.e., letter or email, instead of a solicitation. There is also expected to be a material effect on the SOW; thus, a revised SOW is needed. 

NOTE: We recommend using the available cloning feature. This feature transfers some information from the original PINS (or PD) to the Revised New PINS (or PD), saving time when completing the record.

After a project is awarded, the sponsor may grant more funding and time beyond the original award. This additional amount should not be confused with ‘incremental funding,’ which is partial funding of the total amount awarded under the sponsored project agreement, released to NC State over the project’s life. For instance, a million-dollar award may be equally funded over a five-year project in $200,000 increments. 

A supplement proposal requires a PINS (or PD) record and must follow the University’s internal processes and the sponsor’s instructions, whether it is a solicitation, general guidelines, or email. If no instructions are provided, the University minimally requires a proposal with a statement of work, budget detail, and a narrative budget justification that follows the sponsor’s original terms and conditions, NC State, and State of NC laws and policies. Keep in mind, supplemental work is beyond the original scope of work, therefore, it is not possible to reuse the same SOW.

PINS (or PD) Documentation:

• Sponsor’s supplemental request
• Proposal (SOW, Budget Detail, and Budget Narrative Justification)   
• Other documents required by the sponsor

NOTE: We recommend using the available cloning feature. This feature transfers some information from the original PINS (or PD) to the Supplemental PINS (or PD), saving time when completing the record. Ensure the PI’s name is listed on the main PINS (or PD) home page. Select “Create Supplement/Continuation/Revised Proposal” rather than the original proposal.

Graduate Industrial Traineeships provide students with hands-on learning through university partners to develop their knowledge and skills. This agreement allows for a lower facilities & administrative rate of 15% modified total direct cost (MTDC). NOTE: SAS Institute has its template for these traineeships.

PINS (or PD)

• Title: “Internship with [Sponsor name] for [GRA first and last name]”
• PI is a GRA Mentor or Supervisor
• Deadline: Target
• F&A Rate: 15%
• F&A Basis: MTDC
• Category: Public Service/Extension
• On/Off-Campus: Off-Campus Research
• Justification for F&A Under-recovery: Sponsor limits or prohibits F&A Costs
• Pre-approved justification code: XGIT-08-015-MTDC
• Sponsor’s point-of-contact information: Name and title, email address, and phone number, at a minimum.
• Documentation:
  • SOW
  • Budget detail
  • Budget justification
  • Sponsor agreement, if applicable and available

HANDLING

• SPARCS will further handle and secure a fully executed agreement.

NC State’s General Agreement

Follow the same guidelines and process as Sponsored Research Projects. When completing PINS (or PD), ensure the direct and prime sponsor fields are completed. Sometimes, there may be more than one direct sponsor. For example, NC State may be a subcontractor to the direct sponsor’s subcontractor of a federally funded project. So, the funding flow looks something like this: 

In this example, PINS will reflect NSF as the Prime sponsor, and Projects University will be the direct sponsor.

It is a binding agreement between the university and one or more organizations that jointly respond to a federal sponsor’s solicitation. The proposal submission deadline usually drives the period for reaching an agreement on a TA. TAs typically expire when the prime sponsor selects or rejects the team’s proposal.

PINS (or PD)

• Sponsor’s teaming agreement / NC State’s template
• Federal (prime) sponsor’s solicitation
• Statement of Work (Objectives, actions, and deliverables of each project team member)
• Total amount: $0

HANDLING 

• SPARCS will further handle and secure a fully executed agreement.

Clinical, diagnostic, or routine but specialized testing work based on a sponsor-driven protocol. These arrangements are most appropriate in the institution’s established service centers that provide specialized testing services for a fee. The university does not own or control any of the protocol-specific results.

TSA Agreement

Modification form 

NEW PINS (or PD)

• Title: “TSA: title”
• Proposal Type: “TSA”
• Deadline: Target
• F&A Rate: 0% if Non-negotiated or 33.6% if Negotiated*
• F&A Basis: “Other”
• Category: “Other”
• Justification for F&A Underrecovery: “Non-negotiated TSA/FSA (0%)” or “Negotiated TSA/FSA (33.6%)”*
• Instructions to SPARCS Section: Include the Place of Performance (Building and Room Number)
• Include contact information in the Proposal Info/Docs Tab of the PINS (or PD) record
• Documents:
  • SOW with the amount clearly stated 
  • Completed TSA Agreement 
  • *If negotiated: A detailed budget will be required

SUPPLEMENTAL PINS (or PD)

• Title: “TSA: title”
• Proposal Type: “TSA Supplement” 
• Deadline: Target
• F&A Rate: 0% if Non-negotiated or 33.6% if Negotiated*
• F&A Basis: “Other”
• Category: “Other”
• Justification for F&A Underrecovery: “Non-negotiated TSA/FSA (0%)” or “Negotiated TSA/FSA (33.6%)”*
• Instructions to SPARCS Section: Include the Place of Performance (Building and Room Number)
• Include contact information in the Proposal Info/Docs Tab of the PINS (or PD) record
• Documents:
  • Modification form 
  • SOW with the amount clearly stated 
  • Completed TSA Agreement 
    • It is not required as it is the same as the original
  • *If negotiated: A detailed budget will be required

*If an agreement is negotiated, the F&A rate is 33.6%, and the Justification for F&A Underrecovery would be “Negotiated TSA/FSA (33.6%).” A detailed budget is required to calculate the F&A amount

HANDLING

SPARCS will handle all TSA-related actions, including securing a fully executed agreement. The college or SPARCS office will then notify the department so it can initiate the invoice for payment to the sponsor.

NOTE: A PINS (or PD) is not required for actions after a TSA has been executed, such as a revision or no-cost extension (NCE). Please email Gerardo Granillo (cc: Pat Hayes) with the following information:

• Revised TSA: Modification form and a revised SOW with the amount clearly stated

NCE: Modification form only

When a Principal Investigator at NC State wishes to invite a scientist to conduct research at NC State, this agreement would be used. This agreement can be executed with or without funding. If the sponsor will fund NC State to host the scientist, this action must be submitted through the University’s internal system, PINS (or PD).

Either way – funded or not, there are a few steps that must always take place; they are as follows: 

STEP ONE Department/unit administrator (or host PI) submits a Visiting Scholar Questionnaire. 

STEP TWO Questionnaire is received by the Export Control Office, which reviews and provides clearance approval.

STEP THREE: Export Control Office forwards requests to the Office of Research and Innovation (ORI).

STEP FOUR ORI informs the original requesting department/unit administrator of approval.

STEP FIVE Department/unit must complete the Visiting Researcher Agreement before the visitor’s first day on campus. The visiting scientist occasionally aids the administrator if more information is needed.

STEP SIX Secure all required signatures on the VSA from the visitor, visitor’s employer (if applicable), host scientist at NC State, and host scientist’s Department Head

STEP SEVEN The fully signed agreement should be returned to group-visiting-scholars@ncsu.edu for final review and signature by the Vice-Chancellor for Research and Innovation. A PDF copy of the final signed VSA will be returned to the department/unit for their own records, and a copy will be saved in ORI.

Side notes:

• NC State employees in paid positions, or students exempt from submitting a completed and signed VSA, occasionally complete the questionnaire because it is required for a J-1 Visa application.
• Many departments/units upload the completed VSA to their no-pay Research Scholar appointments in the JAR system.

Visiting Researcher Agreement

Visiting Scholar Questionnaire

Those agreements that involve receiving funds to support visiting scientists and/or their research expenses at NC State must be processed through PINS (or PD) So, in addition to completing the PINS (or PD) record without errors, please ensure the following documents are attached:

PINS (or PD)

• Title of research project
• Deadline Type: Target
• F&A Rate: 52%
• F&A Basis: MTDC
• Justification for Underrecovery: F&A Fully Recovered
• Provide sponsor point-of-contact information: name and title, email address, and phone number, at a minimum.
• Documentation:
  • Visiting Scientist Agreement (fully executed; less ORI is acceptable)
  • SOW
  • Budget detail
  • Budget justification

HANDLING 

• SPARCS will further process the agreement and award. It is recommended that the PI and department administrator monitor the Research Enterprise Data (RED) system for any updates.

This agreement is typically used when NC State is the research institution (RI) subcontract collaborator to a small business or startup company responding to a federal solicitation for seed funding. The purpose of the seed funding is to help support and fast-track basic research to commercialization. 

This agreement may be required at the proposal stage (e.g., an STTR proposal) and will be uploaded to PINS (or PD). SBIR proposals are typically required after the federal sponsor has notified the recipient of their intent to fund the research project, but before the award is issued. Therefore, the agreement may be uploaded to the Research Enterprise Data (RED) system. So, referring to the federal sponsor’s solicitation is very important.

This agreement should be included in PINS (or PD) with the original proposal submission, or uploaded directly to RED, unless it is being processed ahead of the original proposal, in which case a PINS (or PD) would be required.

A consortium agreement is a contract that enables three or more sponsors to participate in research with an institution and to share the research outcomes equally. (If only two entities are interested in supporting a single consortium project, the Principal Investigator should contact the college research office at preaward-coe@ncsu.edu regarding executing a standard three-way agreement instead of creating a consortium with only two members.)  The agreement should be created and discussed with sponsors and collaborating partners at the beginning to ensure a complete understanding of the roles and responsibilities of all parties. The consortium can be created to establish a Center/Institute. 

A Consortium is formed following the signing of three standard non-negotiable membership agreements. Once established, the consortium operates as a central hub for memberships, core projects, enhancement projects, etc. Consortia derive most of their research project funding from annual dues paid by members, with the benefit of a lower indirect cost rate. 

STEPS:

1. The prospective Director must provide documentation demonstrating that at least 3 (three) industry, organization, and government partners expressed their intention to participate in Consortium activities. Each interested entity must sign a non-binding Letter of Intent (LOI).
2. The prospective Director submits a request to form an NC State Consortium to the Associate Vice Chancellor for Research Infrastructure and Development (AVC) and the Centers and Institutes Specialist for review.

• Letter of Intent template
• NCSU Charter Consortium Template
• Sample Consortium Bylaws (pages 1-15)
• Sample Consortium Membership Agreement (pages 16-18)
• Sample Amendment to Membership Agreement

Resource: Management Guide for Consortium

This form is required before a Federal agency will issue an Intergovernmental Personnel Act (IPA) agreement. At NC State, the department may complete and secure the required signatures from the Department Head before submitting them directly to the sponsor. A PINS (or PD) is not required for this action. Once the federal agency provides the IPA, a PINS is required. For information on submitting an IPA PINS (or PD), please refer to the information HERE.

Cost Data Sheet Template

This agreement allows a non-university employee or student (a ‘User’ in the agreement) to use a university laboratory for a specified time for a specific statement of work. The User will incur related costs to the use of the laboratory, payable within thirty (30) days of receipt of the invoice. The User is responsible for specific obligations and expectations while using the laboratory, which is specified in the agreement.

If you need help completing this form, don’t hesitate to contact the Purchasing Office at 919-515-2171. Once the agreement is completed and signed by the User, College Dean or Associate Dean for Research, and Vice Chancellor for Research and Innovation, it should be forwarded to the Purchasing Office for review, processing, and final signature by submitting the agreement HERE (it will require a Unity ID). 

Laboratory Use Agreement

When an LOI does not require an official university Authorized Organizational Representative (AOR) submission or signature, the LOI may be submitted by the PI or department without creating a PINS (or PD) record. However, if it requires AOR involvement, please refer to the Letter of Intent (LOI) / Pre-proposal.

MRAs should be sent to the COE Research Administration by email at preaward-coe@ncsu.edu. They will then forward the agreement to SPARCS for direct handling and management.

The NC State Office of Research Commercialization: Innovator’s Policies and Resources manages most Confidential Disclosure Agreements (CDA) and Material Transfer Agreements (MTA) on behalf of the University – agreements protecting innovators and their research. Suppose a university researcher wishes to discuss his or her work with someone outside of NC State or transfer materials. In that case, the Office of Research Commercialization or SPARCS, depending on the purpose of the exchange, can prepare and execute a CDA or MTA. For MTA or CDA requests, please email mta_cda@ncsu.edu for assistance, and our office will help determine the appropriate path forward.

• NC State MTA Policy for NC State Materials
• MTA/CDA FAQs

MTA Routing Forms – In conjunction with any MTA request, the NC State Researcher should complete and submit the appropriate form below for their case.

Incoming Materials

Outgoing Materials

NDA(s) and CDA(s) should be submitted by the PI to the Office of Technology Transfer at mta_cda@ncsu.edu for review and approval. For more information, please refer to the Research Administration and Compliance website. It may be determined by OTL that the agreement must be processed by SPARCS; if so, a PINS (or PD) must be processed.

Some funding agencies limit the number of proposals an institution may submit to a specific program. The Research Development Office (RDO) manages these programs internally to ensure compliance with agency requirements. The RDO seeks to identify all limited-submission opportunities of interest to the NC State research community. These opportunities are on the Limited Submission website.

If interested faculty are interested in an opportunity not listed below, they must email limited-submission@ncsu.edu in the RDO immediately and contact their College Research Office (CRO). Failure to notify the RDO and CRO increases the likelihood that faculty will begin work on proposals that cannot proceed.

Steps to follow a Limited Submission process:

STEP ONE: Faculty must promptly notify the RDO that they are interested in a particularly limited submission opportunity before beginning work on a proposal. Notification of Interest (NOI) deadlines for each opportunity the RDO identifies. Internal competitions for all limited submission opportunities will be restricted to faculty who have submitted a notification of interest before the stated deadline.

STEP TWO: In instances where internal competition is required, the due date for prospective PIs to submit pre-proposals is typically 1-2 weeks after the notification of interest deadline. Pre-proposal requirements will be provided to all PIs who submitted a notification of interest before the deadline. Pre-proposals should be submitted through InfoReady Review by the deadline stated for each limited submission opportunity. Late pre-proposals will NOT be accepted for consideration. Pre-proposals should not be processed through PINS (or PD).

STEP THREE The internal review panel evaluates, comments on, and rates pre-proposals according to the agency’s review criteria. Although the RDO strives to provide prospective PIs with reviewer feedback, not all internal pre-proposal reviews produce reviewer comments. The Associate Vice Chancellor forwards peer-review results, recommends them, and seeks approval from the Vice-Chancellor for Research and Innovation. Selected PIs and their college research office are then notified of their status. 

STEP FOUR: Those endorsed by ORI’s Limited Submission office may then proceed to officially start a PINS (or PD) record and proposal for final submission. The endorsement must be uploaded to PINS (or PD) before initiating the record.

When a Principal Investigator at NC State wishes to invite a scientist to conduct research at NC State, this agreement would be used. This agreement can be executed with or without funding. If the sponsor will fund NC State to host the scientist, then this action must be submitted through the University’s internal system, PINS (or PD). (Further information in the College’s Pre-award Guide) 

Either way – funded or not, there are a few steps that must always take place; they are as follows: 

STEP ONE Department/unit administrator (or host PI) submits a Visiting Scholar Questionnaire. 

STEP TWO Questionnaire is received by the Export Control Office, which reviews and provides clearance approval.

STEP THREE: Export Control Office forwards requests to the Office of Research and Innovation (ORI).

STEP FOUR ORI informs the original requesting department/unit administrator of approval.

STEP FIVE Department/unit must complete the Visiting Researcher Agreement before the visitor’s first day on campus. The visiting scientist occasionally aids the administrator if more information is needed.

STEP SIX Secure all required signatures on the VSA from the visitor, visitor’s employer (if applicable), host scientist at NC State, and host scientist’s Department Head

STEP SEVEN The fully signed agreement should be returned to group-visiting-scholars@ncsu.edu for final review and signature by the Vice-Chancellor for Research and Innovation. A PDF copy of the final signed VSA will be returned to the department/unit for their records, and a copy will be saved in ORI.

Visiting Researcher Agreement

Visiting Scholar Questionnaire

Side notes:

• NC State employees in a paid position or students exempt from having to submit a completed and signed VSA – occasionally fill out the questionnaire because it is required for a J-1 Visa application
• Many departments/units upload the completed VSA to their no-pay Research Scholar appointments in the JAR system.