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Getting Started in Research at UF: A Guide for New Faculty

Who to Contact for Help and Information

Office of Research

UF faculty and staff seeking assistance in developing research projects should contact Office of Research, which provides a full range of financial, information and administrative assistance for identifying, obtaining and administering external research funds, and administering graduate education.

Location

The Office of Research is located on the first and second floor of Grinter Hall on the main campus, across from the Criser/Peabody Hall complex and between Walker Hall and the University Auditorium. The Office of Research Sponsored Research staff can be reached at 392-1582, the Graduate School staff at 392-4646. Office hours are 8 a.m. to 5 p.m. Monday-Friday. Dr. Winfred Phillips is Vice President for Research.

Division of Sponsored Research

The Office of Research Division of Sponsored Research (DSR) staff members are available to assist UF faculty and staff with all stages of a grant application, award acceptance and administration. DSR provides assistance in identifying appropriate funding sources, completing budgets and other agency forms, contract negotiation, and assistance with all forms of post-award administrative requirements. The Director of Sponsored Research is Dr. Thomas E. Walsh. Associate Director of Research is Mr. Brian Prindle.

The Office of Research has prepared a manual ("Researcher's Handbook") for reference and use by research faculty and administrators on Research Policy, Proposal Preparation and Processing, and Research Administration. This and more information about DSR is available at www.research.ufl.edu.

Program Information & Funding Opportunities

To provide the latest information on available grant opportunities, the Office of Research Program Information Office publishes an electronic funding newsletter, ON-LINE FYI, and an abbreviated email and print version, FYI DIGEST, every two weeks. The on-line version is posted on the World Wide Web at the following URL: http://research.ufl.edu/fyi/. The on-line version allows readers to search all posted issues and deadline lists by keyword and to place an email order for more information directly from the Web page. The Office of Research's home page also features free access to the Commerce Business Daily and the Federal Register . New faculty wishing to subscribe to the FYI DIGEST should call the Program Information Office at 392-4804 or send an email to caroleo@ufl.edu. (Contact: Carole Oglesby )

In addition to publishing the FYI, the Program Information Office provides application forms and handles inquiries regarding federal and non-federal funding sources, program content, application guidelines and submission deadlines. This office has extensive files on both federal and private sources. At the request of faculty, a "search" can be conducted to identify potential funding sources for specific projects. The Program Information Office maintains a file of faculty research interests and alerts faculty to contract and grant opportunities announced through the Commerce Business Daily , Federal Register , Florida Administrative Weekly , etc. The Program Information Office also makes available a quarterly listing of upcoming grant and fellowship opportunities for graduate students.

Proposal Processing & Other Pre-Award Services, 207 Grinter, 392-9267

A major function of this office is to assist faculty and staff in the preparation and processing of proposals for sponsored support. This includes continuations, renewals, supplementals and preliminary proposals. Assistance with budgetary preparation, completion of agency forms, and questions regarding agency guidelines is available. This office provides duplication and mailing of proposals to the agency when requested. Faculty are urged to submit proposals well in advance of deadlines to avoid peak processing times. Pre-award functions include reviewing and negotiating research agreements/contracts, clinical trial agreements, MTA's, non disclosure agreements, teaming agreements, modifications and amendments, monitoring human subject and lab animal approvals, submission of assurances, and serving as a liaison with funding agencies. (Contact: Judy Harris )

Award Administration, 207 Grinter, 392-5991

When an award is issued to the University of Florida, the Award Administration Office reviews the funding agency's terms and conditions and authorizes the establishment of an account as soon as possible with the appropriate accounting unit on campus (either with IFAS, EIES or the Office of Contracts and Grants). Other assistance to the faculty includes monitoring all funded projects with regard to rebudgeting, no-cost extensions, travel, equipment purchases, countersignatures, temporary accounts, and any other transactions requiring institutional prior approval. (Contact: DeeDee Teel )

Office of Technology Licensing

The Office of Technology Licensing (OTL) ( Director, Dr. David Day ) handles the patenting, marketing and licensing of all UF-developed intellectual property. OTL works closely with UF inventors in the identification and protection of new inventions. All patents, copyrights and trademarks are processed and managed by OTL. In addition, OTL assists researchers in the development of confidentiality, mutual secrecy and materials transfer agreements. OTL is located on the third floor of Walker Hall, 392-8929.

The Graduate School

The Division of the Sponsored Research and the Graduate School were merged in 1993, creating a new entity, Office of Research, which formalizes the integral linkage between graduate education and research. The Graduate School is responsible for enforcing minimum general standards of graduate work at the University and for the coordination of the graduate programs of various colleges and schools. Dr. Kenneth J. Gerhardt is Associate Dean and serves as Director of Graduate Minority Programs. All Graduate School offices and staff may be contacted at 392-4646. Please visit the Graduate School website to access extensive information on its programs.

UF Research Foundation, Inc.

The University of Florida, with the approval of the Board of Regents, established the University of Florida Research Foundation, Inc. (UFRF), a direct support organization, in June 1986 to promote, encourage and provide assistance to the research activities of the University faculty, staff and students. Incorporated by the State of Florida in August 1986, the not-for-profit organization provides a means by which research can be conducted flexibly and efficiently and by which discoveries, inventions, processes and work products of University of Florida faculty, staff and students can be transferred from the laboratory to the public. Funds generated by licensing such discoveries are used to enhance research at the University of Florida.

The University of Florida Research Foundation administers certain contracts and grants (non-state and non-federal sponsors) as an alternative to administration through the University of Florida. Principal Investigators should contact the Division of Sponsored Research to determine which route to use in accepting and administering their award. However, the following quick check list may help investigators determine if there is an advantage to placing an award in the UFRF:

Grant funds associated with a research project designated for a national or international conference may be administered through the UFRF, provided they do not involve Continuing Education Unit (CEU) credits, in which case they should be administered through the Division of Continuing Education.
If there are funds for travel, the UFRF pays, not by per diem, but from receipts.
The UFRF can pay for food and beverages if there is proper justification showing that the expenditure is tied to the research project or to a meeting or conference related to the research project.
The component of an award to pay salaries to University of Florida employees must be paid through the University of Florida, in which case the salary funds are transferred to a University of Florida research account.
An award that is intended to be declared a charitable deduction by the grantor must be deemed by the Internal Revenue Service to have complied with IRS Code 170, which requires that the donor not have direct control over the project nor be reasonably expected to receive an economic benefit in return. This precludes a Principal Investigator donating money to his own research project. It also precludes a charitable donor company from receiving any intellectual property rights or deliverables, either formally or informally.

College of Engineering Research Services

The College of Engineering has two offices to assist its faculty with proposal submissions and administration of awards: the Office of Engineering Research (OER) in 319 Weil Hall and the Engineering Fiscal and Personnel Office-Contracts and Grants Accounting Section (C&G) in 545 Weil Hall.

OER reviews proposal budgets and format to ensure that the correct rates have been applied and the proposal meets the requirements of the particular sponsor and/or program. OER obtains the approval signature of the College's Associate Dean for Research and Administration and coordinates with Office of Research for the authorized official's signature and forwarding to the proposed sponsor.

OER acts as the primary interface with all sponsors and the Office of Research for cost analysis, negotiation and contract review. OER coordinates with the sponsors, the Office of Research and departmental administrative personnel for receipt of awards, establishment and administration of accounts, preparation and implementation of any subcontracts, and closeout of projects. The C&G Accounting Section is responsible for invoicing, revenue collection, submission of financial reports, budget transactions and the financial aspects of project closeouts.

The engineering research services staff are here to help engineering faculty with all their proposal and award needs, questions and resolution of problems. Please do not hesitate to contact them or drop by their offices: Office of Engineering Research, 392-9447; Contracts and Grants Accounting Section, 392-6626.

IFAS Sponsored Programs Office

The IFAS Sponsored Programs Office is located at G-040 McCarty Hall. This office is responsible for processing of all research, training and extension proposals for the Institute of Food and Agricultural Sciences and the negotiation of the resultant contracts. All requests for budget category transfers, no-cost extensions, and bid exemptions for research are processed through the office. The office acts as a liaison between the IFAS faculty and Office of Research.

College of Medicine Office of Research Affairs

The Office for Research Affairs (ORA) is a service-oriented department offering assistance to faculty and staff in the College of Medicine regarding all research-related matters. The Office reviews and approves grant proposals (budgets and formats) to ensure compliance with University of Florida, Health Science Center, College of Medicine, and sponsor agency rules and regulations. All requests for budget category transfers and no-cost extensions are processed through ORA.

ORA staff members are always available to assist faculty with budget development, to procure application materials, to facilitate award nominations, and to answer questions regarding University or agency policies dealing with grant and contract applications. Limited editorial assistance is also available upon request. Staff can also provide individually tailored searches for research funding through the use of the online Dialog Grants Database in the Health Center Library, or provide directions regarding how to do this yourself.

Office hours for ORA are normally 8:00 a.m. to 5:00 p.m. Monday through Friday, but one can commonly find staff in the office as early as 7:00 a.m. or as late as 6:30 p.m. on most days. The Office is open throughout lunch to accommodate busy faculty members. In order to better assist you, they ask that proposals are brought to the office no later than two (2) working days before the deadline (receipt) date. Please call 392-5398 or visit the Office in Room M-134 in the HSC for assistance.

College of Medicine Office of Research Development

The Office of Research Development (ORD) advises the College of Medicine (COM) in determining research investment. The Office is developing plans for assignment of space as well as a strategic plan for the COM and input towards development of the University master strategic plan. ORD also provides assistance to faculty and sponsors in planning and coordinating large research initiatives involving interdisciplinary expertise.

ORD is working with the Office of Research Affairs (ORA) in the COM and the Department of Sponsored Research (DSR) at the university level on upper campus to develop processes related to grant submission that are seamless and will avoid duplication of effort for faculty.

ORD is currently developing a training program for newly hired faculty on identifying grant sources and grant writing. This program will be available to all interested persons (space permitting) and will cover the general aspects of grant applications, including sponsors, grantsmanship, and review processes.

The Office can assist faculty members in locating sources of funding and interpreting sponsor instructions, and will provide one-on-one assistance for researchers who are unfamiliar with the grant identification/preparation processes.

Health Science Center/Jacksonville Research Office

University of Florida faculty in the Colleges of Medicine, Pharmacy, Nursing and Dentistry located at the Jacksonville Urban Campus of the Health Science Center are served by the Office of Research Affairs (904-244-6693). This office is staffed by the UF College of Medicine to serve faculty from all of these colleges. Teresa Dillinger, Coordinator,, Director, and her staff coordinate with the Office of Research's Division of Sponsored Research to provide administrative support for the Jacksonville faculty and staff.

Other Research-Related Assistance

Office of Contracts & Grants , 392-1235

The Office of Contracts and Grants (C&G), located in 302 Tigert Hall, works closely with the Office of Research in the financial administration of awards made to the University of Florida (NOTE: IFAS and the College of Engineering have their own Contracts and Grants Accounting Groups). The Contracts and Grants staff becomes involved at the point the award enters the university accounting system (after acceptance but before expenditures are made). They establish the organizational code (account number), input the allotted budget at the request of the principal investigator, monitor expenditures on the awards, review cost transfers, and prepare the required financial billings and/or reports. This office is also responsible for the cost sharing records, time and effort reporting for non-academic personnel, and the preparation of the indirect cost proposal.

Institutional Review Boards

Institutional Animal Care & Use Committee (IACUC) has compliance responsibility to the agencies governing the use of animals at the University of Florida. This office conducts training programs for faculty and research technicians working with animals, and manages the approval process for all vertebrate animals used in research and teaching endeavors. The Office of the Animal Care and Use Committee is here to assist you in the care and use of animals in research/education. Before animals are purchased and even before funds are released, your proposal must be approved by the Institutional Animal Care & Use Committee. UF's IACUC includes community members, faculty users, veterinarians, staff and students, all of whom are concerned about how the University uses and cares for its animals.

Human Subjects (IRB) - The University of Florida has three Institutional Review Boards (IRB) which have compliance responsibilities to assure proper protection of human volunteers who participate in research: IRB-01 (located in the Health Science Center); IRB-02 (non-medical projects, located in the Psychology Building); IRB-03 (located at the Jacksonville Medical Center); and Western IRB (for clinical trials). Before human subjects can be recruited, and before funds are released, proposals must be reviewed and approved by the appropriate local IRB. The IRBs include community members, scientists, nonscientists and members who are advocates for children, pregnant women, prisoners and the disabled. The IRBs are concerned with the protection of all human volunteers who participate in university research. Graduate student projects involving human subjects also must be reviewed by an IRB.

IRB-01 is chaired by Dr. Peter Iafrate (846-1494). The chair of IRB-02 is Dr. Ira Fischler, Department of Psychology (392-0433). Dr. Ana Alvarez chairs IRB-03 in Jacksonville (904-244-3136). Mr. Robert Vomacka (846-1494) is the Assistant Director or IACUC as well as the IRBs. Dr. Gus Battles is the Director of ACS. Please call if you have any questions. An Investigator's Manual is available.

University Research-Related Policies

Eligibility to Submit a Proposal for External Funding

University Policy has established that any individual who holds one of the following positions and has signed the Patents and Copyright Agreement can be a Principal Investigator and submit proposals for external funding:
Individuals in the following categories are not eligible to be principal investigators unless they have a person in one of the above positions serving as co-principal investigator and have written approval from Office of Research:
New Investigators must have completed their required degree and hold a university appointment at the time of application or expect to hold an appointment by the effective date of the award.

Proposal Submission Requirements

Required Signatures on Proposals

Certain Office of Research administrators have been authorized by the University President to enter into research and training agreements on behalf of the University. Before a research proposal can be submitted by the University for review by a funding agency, the proposal must have received the support of the appropriate University officials: department chairperson, dean or director, vice president (if necessary) and Office of Research. Revised budgets, letters to agencies requesting changes in budget categories, no-cost extensions and other changes on awarded grants also require the endorsement of the authorized institutional official.

Contracts, Subcontracts, Consortium Agreements

When subcontracts or third party costs are requested, the total required dollar amount must include the direct as well as the indirect costs of the subcontracting party. These will appear as a direct cost in the UF budget, subject to the assessment of the UF indirect costs. A separate budget page must be submitted for each subcontract. The need for contracting part of the proposed research must be justified in the narrative. In addition, the subcontractor should indicate in writing his/her intent to provide services.

Any contact between the funding agency and the Principal Investigator after submission of the proposal should include an Office of Research administrator. The Office of Research officials are responsible for negotiating prime and subcontracts between the UF and funding sources. Subcontracts are developed in the Office of Research according to standard UF policy, with assistance from the University Attorney's Office.

In consortium agreements, as opposed to subcontracts, the cooperating institutions apply on an equal basis. However, their collaboration needs to be put into a contractual framework which is then approved by the participating parties and the funding agency. This agreement will be developed in the Office of Research according to a standard model. Questions regarding consortium agreements should be directed to Dr. Thomas E. Walsh, Director of Sponsored Research, 392-3516.

Agency Correspondence

Occasionally, notification of an award or a proposal receipt acknowledgment card is sent directly to the Principal Investigator by the grantor. In these instances, faculty should notify the Office of Research immediately by sending a copy of the correspondence to the Office of Research's Proposal Processing office. These notification documents contain information essential to the maintenance of complete proposal and award files in the Office of Research, and expedite the authorization of grant accounts by the Office of Research when an award is made.

Special University Committees

Special assurances required by the Federal Government regarding the safety of human subjects, humane use of animals, biohazard safety precautions, etc., are provided by the following university committees which assist the Office of Research:

Human Subjects (H. Cntr.) -Dr. P. Iafrate (846-1494)
Human Subjects (H. Cntr./Jax) -Dr. A. Alvarez (904-549-3136)
Human Subjects (Non-medical) -Dr. I. Fischler (392-0433)
Animal Subjects -Mr. R. Vomacka (846-1494)
Biohazards; DNA/RNA - Environmental Health & Safety (EH&S) (392-1591)
Radiation Protection -Mr. D. Munroe (392-1594)
Computer Center -Mr. T. Fitzpatrick (392-2061)

All research involving any of the above must be submitted to the appropriate committee(s) for approval.

Campus Proposal Submission Deadlines

Proposals should be submitted as early as possible in advance of the sponsor's receipt deadline. When exceptional circumstances cause a delay in your proposal submission to the Office of Research, we will review and bring the proposal to a point of readiness as expeditiously as possible. However, for a given deadline date, proposals received late in the Office of Research will necessarily take their place behind proposals received earlier. All proposals will be mailed/expressed on time.

In times of multiple agency deadlines and anticipated large volume of proposals, the Office of Research Proposal Processing Office may request specific internal processing deadlines if the Office of Research is to make the required agency copies . These deadlines will be announced in the ON-LINE FYI and FYI DIGEST. Proposals received after those posted dates/times or with less than two days processing time must be accompanied by the required number of agency copies.

Late proposal procedures are as follows:

The required number of copies of the proposal must be submitted. A copy for the Office of Research should also be included. If no copies are provided and the Office of Research is unable to make them, the Office of Research will contact the appropriate office on campus to pick up the proposal after final sign-off by the authorized university official.
If the proposal is received after the regular mail (1 p.m.) and air courier (3:15 p.m.) pick-ups, the Principal Investigator or his/her staff will be responsible for taking the proposal to the appropriate facility for shipping. The Office of Research will provide the necessary labels and packaging materials, if requested.

The Office of Research will continue to do everything possible to review and expedite all appropriately prepared materials. We will continue to cooperate fully when exceptional circumstances arise which delay the timely submission of a proposal to the Office of Research. In turn, your cooperation in observing these policies will enable us to complete the proposal review process, which will help insure that sponsors receive all of the information they need in the proper form.

Facilities and Administrative (IDC) Cost Rates

Click here for Facilities and Administrative Costs (IDC Rates)

UF Indirect Cost Recovery Policy

Effective July 1, 1995, all grants, contracts and agreements accepted from any sponsor to fund University research must be charged the full on-campus and off-campus indirect cost rates established for Federal awards (with the exception of clinical trials which have a standard indirect cost rate of 25% of total direct costs).

It is recognized that some private foundations, and even some programs of federal and state funding agencies, have an established policy that restricts the rate of indirect cost payment (e.g., research costs associated with competitive grants of the USDA are reimbursed at a 14% rate; NIH training grants at 8%; State of Florida Agencies at 5%; 25% rate for Florida municipalities, counties, water management districts). Some other organizations will pay no indirect costs to an institution. The University of Florida can accept funds from these organizations as long as their policy information stipulating such is provided to the Office of Research at the time a proposal or application is submitted and the University agrees to cost sharing, usually mandatory in the case of federal agencies, or voluntary in the case of private organizations. In this way the University is in compliance with its own policy to charge the full indirect cost rate to all sponsors.

Any modification of the University's indirect cost rate on a proposal or application must be approved by the Director or Associate Director of Sponsored Research before the proposal/application is submitted, and a request to modify must be agreed to by the appropriate college dean. This applies to all awards. The standard UF indirect cost distribution percentages will hold for those awards accompanied by the full indirect cost reimbursement. All indirect costs that are waived must be recovered from the 25% share that would normally be distributed to PIs, Chairs and Deans before the normal indirect cost earnings distribution will be resumed.

Full text of the Indirect Cost Policy is available at http://research.ufl.edu/research/idc.html.

Disclosure of Financial Conflict of Interest Policy

Effective October 1, 1995, all proposals submitted to the National Science Foundation, Public Health Service and the American Heart Association come under the new policy regarding Disclosure of Financial Conflict of Interest.

University of Florida policy requires that all Principal Investigators and Co-Principal Investigators on NSF and AHA proposals, and Principal Investigator and Key Personnel on PHS proposals, must fill out and sign the UF Disclosure of Financial Conflict of Interest form before the NSF, PHS or AHA proposal can be submitted. This form will be maintained internally in the Office of Research file and is not forwarded to the funding agency.

If a Conflict of Interest form is submitted that indicates there is a significant financial interest that would create a conflict, alert the Research Coordinator in Pre-award and Proposal Processing. That person will in turn alert the Conflict of Interest Coordinator who will contact the Dean or the appropriate college representative to resolve the conflict before the award is accepted, or absolutely, before funds are expended under the award.

Copies of the full policy and required form are available here

University of Florida Policy for Establishing and Reviewing Centers, Institutes and Bureaus

The University of Florida has approximately 160 approved Centers, Institutes and Bureaus that have been established for the purposes of research and/or education, coordinating international relationships, advancing public policy, and providing research/instrumentation facilities and services.

Centers, Institutes, and Bureaus (hereafter referred to as "centers'') focus on domains of knowledge that reside within a discipline or are cross-disciplinary in scope. These are organizational mechanisms that can be used to provide greater depth in teaching and/or research to a narrower band of problems within a discipline, or to apply a broader vision to problem sets that cross traditional knowledge boundaries. Centers may help to develop new areas of research that are interesting to the faculty and relevant to external constituencies, encourage cross-disciplinary and multidisciplinary approaches to teaching and research, provide more relevant focus for service to external and internal constituencies, and promote the sharing of resources (e.g., equipment, labs, etc.) and collaboration across departmental and college boundaries.

These structures may also provide an additional mechanism to enhance recruitment of exceptional faculty into departments, provide opportunities that bring graduate students into contact with new fields of research and teaching, and provide funding agencies and corporate sponsors with access to faculty, specialized facilities, equipment, expertise and support personnel. Center status provides visibility for, and tangible evidence of, a formalized structure for an activity that strengthens its credibility to funding agencies as well as to other external sponsors.

Center Authorization

It is appropriate and desirable to create centers when the resources are available and when the establishment of a center is consistent with the long range plans of a college and the University. The departments, colleges and the University should be selective in creating new centers. To this end, a review and approval process has been established by the University that will assure full knowledge of and concurrence in establishing the activity.

Center Approval

All University of Florida Centers must be approved as either a Type I, II, III or IV Center. Proposals for Centers submitted require approval by the Provost/Vice President for Academic Affairs after initial review and approval of the respective chairs, deans, vice president (where appropriate) and the Vice President for Research. In general, the primary critical review should occur at the College and Departmental level. The Vice President for Research may solicit constructive suggestions from the Office of Research Research Advisory Board (RAB) for integrating the proposed Center's objectives with existing University programs. Proposals that are approved by the VP/ Research will then be forwarded to the Office of the Provost.

Detailed policies and procedures for the creation and review of centers may be obtained from http://research.ufl.edu/research/centers.html.

Graduate Student Tuition on Grants, Contracts and Other Sponsored Agreements

Please refer to (DDD Memo of 08/24/04).

Invention and Copyright Information

According to the terms of their employment contracts, faculty/employees who conceive and/or make a potentially patentable or copyrightable invention are required to disclose those inventions to Office of Research. In order to obtain proper patent or copyright protection of inventions, the Office of Research urges all inventors to submit disclosures as soon as possible. Timeliness of disclosure is especially important for inventions conceived and/or made with federal agency funding.

What is an invention?

An invention is a novel and useful idea relating to processes, machines, methods of manufacture, or compositions of matter. It may cover such things as new or improved devices, systems, circuits, chemical compounds, mixtures, biological materials, etc. It is probable that a new invention has been made when something new and useful has been conceived or developed, or when unusual, unexpected, or non-obvious results have been obtained and can be exploited.

Invention disclosure guidelines and UF patent policy

An invention disclosure, prepared according to the format shown in the "Outline for Disclosure of Invention," should be submitted to the Office of Research Office of Technology Licensing (OTL). The "Outline" and UF Intellectual Property Policy may be obtained by calling 392-8929, or printing from the Office of Research website at http://research.ufl.edu/otl/faculty.html. The University may file a patent on an invention that has merit, i.e., an invention that would be of commercial value to the University and the inventor. Royalties on the commercialization of inventions are shared between the University and the inventor in accordance with UF Intellectual Property Policy.

Invention disclosure, marketing and licensing

The Office of Technology Licensing will review invention disclosures, conduct marketability studies, and evaluate the cost of patenting versus the potential for earning significant licensing income. If an invention may produce significant income for the inventor(s) and the University, then OTL will ask that the President take title to the invention. OTL and the inventor(s) will work together to apply for a patent and obtain a corporate licensee, as appropriate.

Patents and publication

Patenting an invention and publishing the results on the invention (or disclosing results at an oral presentation) are compatible. The only limitation is that a patent application should be filed before a written or oral "publication" is made in order to secure foreign patent rights. U.S. patent rights can be obtained as long as a U.S. patent application is submitted within one year after the information is first published or otherwise disclosed. Preparing a proper patent application takes time, and faculty/employee inventors are encouraged to submit invention disclosures to OTL as soon as possible.

Copyrights

Works generated using University personnel, facilities or equipment should bear the statement "Copyright © 20xx University of Florida. All Rights Reserved." For example, software, text books and other published works should contain this statement. For many works, the copyright should also be registered with the Library of Congress. The Copyright Disclosure Form and the Request for Waiver of Copyright Interest Form (used when the author wants the University to waive its interest in the copyright) can be obtained from the Office of Technology Licensing or downloaded from the OTL website at http://research.ufl.edu/otl/faculty.html.

Office of Technology Licensing (OTL)

Any questions regarding inventions, copyrights and patents can be addressed to the Office of Technology Licensing, 3rd Floor, Walker Hall, or by calling 392-8929. Articles on Invention and Inventorship; Patents, Trademarks, Copyrights and Trade Secrets; and Good Record Keeping Practices are available at http://research.ufl.edu/otl/faculty.html.

Cost Sharing Policy

1. Policy

It is the policy of the University that only mandatory cost sharing be submitted to sponsoring agencies. This policy does not preclude exceptions that may be judged appropriate under certain circumstances to leverage a project. Mandatory cost sharing requirements are usually defined by law, statute, agency regulations, or written in the application guidelines for a specific program. When there is mandatory cost sharing a copy of the RFP, regulations or guidelines must be submitted with the proposal along with a written commitment from the individual authorized to commit the resources. All non-mandatory or voluntary cost sharing must be reviewed and committed in writing by the College Dean (without delegation) and forwarded with the proposal for approval in the Office of Research by an authorized institutional representative.

Criteria for Cost Sharing Commitments

Cost sharing and matching funds must be verifiable from the University's records.
In-kind, third party contributions offered as cost sharing, require a commitment letter on company letterhead signed by an individual who is in a position to commit the in-kind contribution. After the fact reporting to the University will be necessary.
Commitments must not be included as contributions for any other project or program.
Commitments are necessary and reasonable for proper and efficient accomplishment of project or program objectives.
Commitments are allowable and allocable under the applicable cost principles.
Cost sharing commitments may not be from other funds supported by the Federal Government under another award, except where authorized by Federal statute to be used for cost sharing or matching.
Costs are described in the approved budget and/or terms of the sponsored agreement when required by the awarding agency.
Cost sharing provisions of OMB Circular A-110 are met.

2. General Information

Cost sharing is a term that describes circumstances whereby the University is not reimbursed for allowable costs of performing a project because the requested or approved budget does not cover the full costs associated with the specific project. Therefore, cost sharing (also known as matching, or in-kind contributions) represents that portion of the project costs not paid for by the sponsor.

Matching funds may be cash or in-kind contributions. They may include a dollar-for-dollar match to purchase equipment or renovate a facility.

In-kind contributions may be donated time, space, equipment, etc.

Caution: (The value of a third party in-kind contribution must be established and verified at the time of proposal submission and documented at the post award stages. For example when the contribution is in the form of personal services, the contributor must certify that the amount being provided as in-kind is comparable to the individual's regular rate of compensation. When in-kind contributions are other than personal services, the fair market value of the item must be established, consistent with OMB A-110 procedures).

Cost sharing may be mandatory, voluntary committed or voluntary uncommitted.

Mandatory cost sharing is either required by statute or may be a condition of a specific solicitation. It will normally appear in the award document from the agency. Mandatory cost sharing expenses must be reported back to the sponsoring agency in a Financial Report.

Voluntary committed cost sharing is created if a proposal included cost sharing when none was required. Even if that cost sharing is not in the budget awarded by the agency, the PI and the University are "committed" to providing the project with the indicated support. Voluntary committed cost sharing expenses are not reported back to the sponsoring agency; however, it is still required that the University track and document these costs as they are subject to audit.

Voluntary uncommitted cost sharing is cost sharing that is neither mandatory nor committed. It represents contributions to a sponsored project that do not come from the awarding agency. Voluntary uncommitted cost sharing expenses are not reported back to the sponsoring agency, however they will still be recorded through the Effort Systems or through manual cost sharing entries.

When the University accepts an award with mandatory or voluntary committed cost sharing, the University is making an agreement with the sponsor that is subject to audit. The University is committing to provide the stated cost sharing during the period of performance of the sponsored project.

Caution: (Voluntary committed cost sharing offered in a proposal may be accepted by the sponsoring agency and become a condition of the award, thereby making it mandatory cost sharing.)

Cost sharing must be an allowable cost. This means that grants and contract costs must be allowable under OMB Circular A-21, A-110 and University policies. Any cost that would be unallowable on the grant or contract will be unallowable as cost sharing for that grant or contract. For example, administrative support is not normally allowed as a direct charge to a Federal grant, therefore it is an unallowable cost regardless of the source of support and cannot be used for cost sharing purposes. Sponsoring agencies may have various guidelines with regard to cost sharing. For example, the U.S. Department of Education may allow 8% TDC on a training grant. The difference between 44.5% and 8% cannot be used as cost sharing without prior approval of the Secretary of the U.S. Department of Education.

Cost sharing must be identifiable and verifiable. The college research office (IFAS, Engineering, College of Medicine) or business unit will be responsible for identifying and verifying mandatory and voluntary committed cost sharing by obtaining the required documentation for cost sharing at the time of proposal submission and sending the information with the proposal to the Division of Sponsored Research. The responsibility for entering cost sharing that was met during the project into the University's effort reporting system is at the department level. The respective Contracts & Grants accounting offices (in IFAS, Engineering or Contracts & Grants-Tigert) are responsible for entering, from data provided by the departments, any cost sharing other than that reported through the effort reporting system, into the University's cost sharing system.

The Contracts & Grants Accounting Office in Finance and Accounting, located at Tigert Hall, will track all cost sharing in the University's accounting system and provide official reporting for such cost sharing. It will be the responsibility of the Principal Investigator and the Units to ensure that the cost sharing commitment is met on a grant or contract and to provide the appropriate Contracts & Grants accounting office the documentation necessary to track cost sharing commitments.

3. The Impact of Cost Sharing on the University's Federal Facilities & Administrative Rate

Cost sharing dollars in aggregate have a negative impact on the University's Facilities and Administrative cost rate (indirect cost rate). As cost sharing dollars from various units throughout the University accrue in the accounting system, the total amount is incorporated into formula used in the negotiation of the University's indirect cost rate. As the denominator increases, the percent rate decreases, resulting in a lower Facilities and Administrative rate (indirect cost rate).

4. Cost Sharing Does Not Include (revised 11/06/02):

a) Percent effort of personnel listed in the Current and Pending Support Section of a proposal, unless specifically identified as cost sharing, and for the current proposal being submitted as long as funds have been requested from the Sponsor for the effort listed.

Caution: Any percent effort of personnel identified within the current proposal being submitted for which no funding is requested from the Sponsor is considered cost sharing and appropriate approvals are required in accordance with the University's cost sharing policy.

b) Voluntary uncommitted cost sharing.

For Example: The Principal Investigator or Project Director of a grant funded project may chose to work at a level of 25% effort rather than the 20% effort as budgeted for in the proposal being funded. This additional 5% effort is defined as voluntary uncommitted cost sharing and such effort should be accurately reported in the University's Time and Effort Reporting System, but not accounted for in the University's cost sharing system.

Available References

NSF Policy Statement on Cost Sharing (99-92) & NSF Grant Proposal Guideline (page 12)

Grants Management Advisory Service (February 1995, pages 27-31)

OMB A110 (Section 23. Cost Sharing or Matching)

HHS Transmittal Letter 99.05

OMB A-21

OMB Clarification on Voluntary Uncommitted Cost Sharing (January 5, 2001)

Grant Announcements and Proposal Development Tools

Funding Opportunity Newsletter -The FYI

To facilitate the dissemination of grant announcements to faculty and others in the university community, the Office of Research publishes a funding opportunity newsletter in both electronic and printed versions. The ON-LINE FYI is posted every two weeks on the Office of Research website ( http://research.ufl.edu/fyi ) and features full-text articles on upcoming grant opportunities and keyword searching of the text and proposal deadlines sections. Readers may order application forms directly from the FYI website by building an email "shopping list'' which is automatically forwarded to the Office of Research Program Information Office. To access the ON-LINE FYI you must have Internet access and a web browser that supports graphics such as Netscape.

To remind subscribers of each new electronic posting, as well as to provide information support to those without Internet access, the Office of Research publishes the FYI DIGEST, an abbreviated email and printed version, which features brief special announcements and a list of articles appearing in the Internet version, along with their deadlines. To subscribe to the FYI DIGEST, send an email to caroleo@ufl.edu or call 392-4804.

Funding Search Service

The Office of Research's Program Information Office provides a search service to help faculty members identify external support for their specific research projects. We strive to provide you with a comprehensive funding search tailored to meet the needs of your project, in as timely a manner as possible. To submit a search request , please send the following information to the Program Information Office, PO Box 115500, or FAX 392-9605:

A title for the project

A brief description of the project (1-2 paragraphs), using layman's terms if possible

A rough estimate of the amount of funding needed

A list of keywords or phrases that relate to the project

Your name, campus address, campus phone number and fax number

Other facts that might be relevant: previous research experience (are you a new faculty member?); membership in a group for which there may be special programs (women, disabled, ethnic minority); citizenship, if you are not a U.S. citizenship; any special or immediate objectives of your research project (training, career change, publication, etc.).

Internet Resources

The Office of Research's website ( http://research.ufl.edu/ ) offers a gateway to many research-related tools and documents on the Internet, including downloadable proposal forms, research policies and procedures, searchable funding opportunity databases, and links to federal and non-federal grantmakers. Read/search the Office of Research's ON-LINE FYI funding newsletter as well as the Commerce Business Daily, the Federal Register, the Florida Administrative Weekly and the Community of Science Funding Opportunities Database for grant announcements. First-time proposal writers might find the "Proposal Writing Short Course,'' "A Guide to Proposal Planning and Writing,'' and "Proposal Submission Tips'' helpful. Also on our website, read about exciting research advances in EXPLORE! , UF's research magazine, and learn about UF's "Partnerships'' with a number of major federal agencies. The Sponsored Research Database provides on-line award and proposal statistics. The Office of Research's website is a constantly developing electronic service. Your comments and suggestions are always welcome.

Faculty Expertise Database Registry

(Community of Science)

Visitors to the Office of Research website ( http://research.ufl.edu/research/funding.html ) will also find a database of UF faculty research expertise. UF faculty with active personal records in this database receive a weekly alert to new grant announcements in their research area. Faculty can also use this database to identify colleagues for interdisciplinary projects or someone with a particular skill or expertise needed. Because UF is a member of the Community of Science (COS), which maintains this database from its Baltimore headquarters, any UF faculty or staff member may search the expertise records of other Community of Science members, which include the top U.S. and Canadian research universities and a growing number of federal agencies. From the World Wide Web, UF faculty can easily add or update their expertise records at their convenience. The database also allows the real-time creation of a C.V. and a PHS 398 Biosketch using information from the PI's expertise record. In addition to the expertise database, the Community of Science also publishes an Inventions database and "Federally Funded Research in the U.S.,'' which comprises the entire grants databases of the NIH, NSF, USDA, SBIR and the NIST Advanced Technology Program. Access to the U.S. Patents Citations database is also available to COS member institutions.

Proposal Submission Tips

Complete the deadline box on the University of Florida Sponsored Projects Approval Form. If there is no definite deadline, indicate a target date. Do not leave this space blank.

Please provide a SAMAS or Fed Ex account number for proposals that must be sent by overnight courier.

Do not staple any copies.

Cover pages must have an original signature of the Principal Investigator.

Do not include cents on budgets.

The USPS personnel assessment should be charged according to FTE, but not less than one quarter or $8.50.

Effective July 1, 2000, equipment means an article of nonexpendable tangible personal property having a useful life of more than one year, and an acquisition cost of $1,000 or more per unit. Items of less than $1000 should be itemized in the Material and supplies category or Other category, depending on agency guidelines.

Due to space limitations, the Office of Research is unable to keep a copy of appendices and reprints submitted with a proposal. Please make sure you have a copy of this material.

The staff of Proposal Processing encourages faculty to bring in or send a draft copy of their budget for review several days before the actual proposal submission.

RFPs (Requests for Proposals) are very specific in their guidelines. If you are responding to an RFP, please submit a copy of the RFP guidelines with the proposal.

All supplies, materials, computer and publication costs must be itemized. Travel must be justified by per diem, number of trips, place and purpose.

Appropriate tuition rate should be requested for graduate assistants from agencies that allow this charge.

If a project requires Human Subjects or Animal Approval and the approval has been obtained from the IRB or the IACUC, submit a copy of the approval with the proposal.

If a faculty member wishes to have a research project administered through the University of Florida Research Foundation, the proposal should use the signature page for the Research Foundation, NOT the Sponsored Projects Approval Form (DSR-1). The proposal is processed the same as all other research proposals.

If duplication and mailing of proposals are to be provided, the Office of Research requires two full working days. Faculty must clearly specify the mailing address as well as the mailing deadline on the Office of Research signature page when the proposal is submitted.

Office of Research Research Publications Available

The following publications are available by calling the Office of Research's Program Information Office at 392-4804 or requesting via E-mail to caroleo@ufl.edu :

Office of Research Sponsored Research Annual Reports

Explore! UF's Research Magazine

Partners brochures - UF's research partnerships with major Federal Agencies

FYI DIGEST

UF Intellectual Property Policy

Staff Directory

Office of Research &151; Sponsored Research

Winfred Phillips, Vice President for Research 392-9271

Thomas E. Walsh, Director of Sponsored Research 392-3516

Brian Prindle, Associate Director of Research 392-3516

Frank Ward, Business Manager, Office of Research & UFRF 392-5221

Dorothy Long, Administrative Affairs 392-1582

Nick W. Dunham, Director, Information Services 392-2144

DeeDee Teel, Awards Administration 392-5991

Judy Harris, Pre-Award & Proposal Processing 392-9267

Carole Oglesby, Program Information 392-4804

Joe Kays, Publications 392-8229

UF Research Foundation Inc. (UFRF) 392-5221

Winfred Phillips, Vice President for Research	392-9271
Thomas E. Walsh, Director of Sponsored Research	392-3516
Brian Prindle, Associate Director of Research	392-3516
Frank Ward, Business Manager, Office of Research & UFRF	392-5221
Dorothy Long, Administrative Affairs	392-1582
Nick W. Dunham, Director, Information Services	392-2144
DeeDee Teel, Awards Administration	392-5991
Judy Harris, Pre-Award & Proposal Processing	392-9267
Carole Oglesby, Program Information	392-4804
Joe Kays, Publications	392-8229
UF Research Foundation Inc. (UFRF)	392-5221