1. Carilion Clinic, Office of Sponsored Projects Frequently Asked Questions Pre-Award Procedures For Principal Investigators

2. Carilion Clinic, Office of Sponsored Projects Q: Who is the Principal Investigator? The Principal Investigator (PI) is the person individually responsible for all the programmatic and technical decisions that affect the research project. The PI must meet Carilion commitments to perform the research on time, within budget and in accordance with terms and conditions of award. The PI is also the guardian of academic integrity in the performance of the project.

3. Carilion Clinic, Office of Sponsored Projects Q: Who is eligible to serve as PI? Full-time Carilion employees with an MD, PhD or RN may serve as PIs on sponsored projects. Individuals with certain other titles may serve under special conditions. Research Associates, Nurses, Librarians and others may be approved to serve as PIs with the approval of the Vice President for Academic Affairs.

4. Carilion Clinic, Office of Sponsored Projects Q: What is the difference between a Co-PI and a Co-Investigator? A Co-PI is recognized by the funding agency as an individual who shares with the PI the responsibility for the conduct of a project, including meeting the reporting requirements. Note that not all funding agencies allow Co-PIs. A Co-Investigator is an individual making a significant contribution to a project. The Co- Investigator is an individual who the PI relies on to assume responsibilities above those of other personnel. A Co-Investigator is the same as an Investigator.

5. Carilion Clinic, Office of Sponsored Projects Q: How do I start preparing a proposal? A successful proposal starts with a thorough understanding of what the potential sponsoring agency expects. Read over the sponsor’s guidelines and speak with personnel at the sponsoring agency to ensure your project matches the missions of that particular sponsor. Contact the Office of Sponsored Projects (OSP) after reading agency guidelines. OSP personnel will assist in compiling sponsor forms and requirements.

6. Carilion Clinic, Office of Sponsored Projects Q: What approvals are required for proposal submissions? Approval is required from the PI’s Department Chair/Vice President as well as the Vice President of Academic Affairs. The approval of OSP is also required. If human subjects are involved, the project must be approved by Carilion’s IRB. Check the sponsor’s guidelines to determine if IRB approval is required before or after submission. Approval from Virginia Tech’s IACUC must be received prior to beginning any projects involving vertebrate animals.

7. Carilion Clinic, Office of Sponsored Projects Q: How do I determine time and effort for personnel? The federal cost accounting standards allow Carilion to bill for direct labor based upon percent of effort. You should provide your best estimates for time and effort for you and other personnel on the project. Consider your time committed to other projects and areas so as not to exceed 100% effort for any individual (includes external projects, administration, office hours, etc).

8. Carilion Clinic, Office of Sponsored Projects Q: How do I calculate fringe benefits and F&A rates? Once you know who will be involved in your project, OSP can assist you in developing the personnel section of your budget. OSP will enter in correct fringe benefit rates for all personnel. Carilion is working on an F&A rate (facilities and administrative costs, sometimes called overhead or indirect costs). Currently, we have calculated a 30% rate, which is what we use on all extramural applications.

9. Carilion Clinic, Office of Sponsored Projects Q: What if the funding agency will not pay full F&A costs? Many private foundations and some federal agencies limit the F&A costs that will be provided in their grant awards. As long as limitation is supported by a sponsor’s written policy, and equally applied to all grantees, Carilion will accept such proposals to be submitted.

10. Carilion Clinic, Office of Sponsored Projects Q: Can administrative salaries be requested on a federal project? Only if the administrative services are directly required for the conduct of the project. Under federal regulations (2.CFR.230.50), “Direct charging of these costs may be appropriate where a major project or activity explicitly requires and budgets for administrative or clerical services and other individuals involved can be identified with the program or activity.” Any request for administrative salaries made to a federal agency must include justification in the budget explanation.

11. Carilion Clinic, Office of Sponsored Projects Q: What does Carilion OSP require prior to submission? As soon as you plan on applying for a grant, please contact OSP so we can begin preparing your submission and any required forms. Before OSP can submit your proposal, the Proposal Routing and Approval Form must be completed with all appropriate signatures. Your budget must be reviewed and approved by OSP before the proposal can be submitted.

12. Carilion Clinic, Office of Sponsored Projects Tips to expedite the submission process Please try and submit your application to OSP at least five (5) days prior to the agency due date. Work with the OSP staff to finalize the budget form. The budget can be time consuming, and getting a copy, even if a draft, to OSP early will help correct possible errors in calculations and line items. Allow time for corrections. There are times when corrections need to be made, particularly if a budget has not been sent in advance or if a PI is applying to an unfamiliar agency. Ensure that all internal requirements are met as early as possible (Routing and Approval form completed, Department Chair has signed off, etc).

13. Carilion Clinic, Office of Sponsored Projects Questions? If you have any questions on pre-award procedures or would like to set up a meeting, please contact: W. Eryn Perry Director, Grants Management Office of Sponsored Projects 540.224.4661 (8.4661) weperry@carilion.com