College’s Pre-award Process

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 and will further the instructional and research objectives of NC State 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 as described in the statement of work (SOW).  The SOW clearly defines the responsibilities of each party in the performance of the research.

Agreement

PINS

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

HANDLING

• SPARCS will further handle and secure 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. Prior to engaging in such a project, a properly processed PINS record is required. 

Senior Project Agreement

Project Participation Agreement 

PINS

• Project title naming convention: Sponsor’s name, semester, and year. For example: 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 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 agreement between both parties.

NOTES 

• This agreement may not be used for federally-funded projects or as a cost-match toward 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 fully 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 record is processed, then send them to the College Research Office (preaward-coe@ncsu.edu) who will upload them into RADAR.
• Faculty and other non-student involvement MUST be limited to only those duties defined in the course syllabus in these endeavors. Expansion of effort outside of the scope and expectations of the course or involvement of non-course-enrollees may constitute a breach of various university policies involving intellectual property, publication, and confidentiality among others.

The College of Engineering has many centers, consortiums, and institutes that have paying members. The membership fees award core projects that work towards meeting the goals of the university, center, and center members. Some benefits to members include access to research results of 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 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 from the sponsor; NC State does not have a template for this agreement.

PINS

• 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 minimum.
• Documentation:
  • Sponsor’s CRADA agreement
  • Statement of Work

HANDLING

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

A DTUA or Data Use Agreement (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.

FDP One-way DTUA template

FDP Two-way DTUA template

FDP Collaborative DTUA template

Other nuanced FDP DTUA templates

PINS

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

HANDLING 

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

Fabrication services are based on client-created designs. These services are completed by the university, most often service centers with specialized equipment and/or capabilities.

FSA Agreement

Modification form 

NEW PINS

• 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 record
• Documents: 
  • SOW with amount clearly stated 
  • Completed FSA Agreement 
  • *If negotiated: Detailed budget will be required

SUPPLEMENTAL PINS

• 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 record
• Documents: 
  • Modification form 
  • SOW with amount clearly stated 
  • Completed Agreement 
    • Not required as is the same as the original
  • *If negotiated: 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 further handle all FSA-related actions, including securing a fully executed agreement. The department will then be notified by the college or SPARCS office so that they may initiate the invoice to the sponsor for payment.

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

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

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

IP Agreement

PINS

• Title convention: IP Agreement with [Company Name]
• Complete the ‘Associated RADAR 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 minimum.
• Documentation: 
  • Agreement 
  • Statement of Work (if not included in the agreement)

HANDLING

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

Like externally sponsored research projects, internally funded projects like RISF, FRPD, and GRIP should follow the solicitation guidelines, including if Indirect costs are allowable.  Indirect costs can be either allowed or not, it depends on the source of funding, so it is important to follow the solicitation. If the solicitation is not clear on this point, please seek clarification from the point of contact and document it in PINS. Also most internally funded projects require PINS prior to submission, but be aware that some require them only after the project has been selected for funding.  

The Intergovernmental Personnel Act Mobility Program provides for the temporary assignment of 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 loss of 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. Whether an IPA assignment is reimbursable is determined by the agency and non-Federal entity involved in the assignment.

Each assignment should be made for purposes which the Federal agency head, or his or her designee, determines are of mutual concern and benefit to the Federal agency and to the non-Federal organization. Each proposed assignment should be carefully examined to ensure that it is for sound public purposes and furthers the goals and objectives of the participating organizations. Assignments arranged to meet the personal interests of employees, to circumvent personnel ceilings, or to 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 which will enhance the assignee’s performance in his or her regular job.

The legal authority for assignments under the Intergovernmental Personnel Act is 5 USC sections 3371 through 3375. The regulations can be found in the Code of Federal Regulations (CFR), part 5, chapter 334.

NOTE: Before starting a PINS record, please ensure the Cost Data form was completed by the PI/Department, signed by the Department, and provided to the Federal agency. The Federal agency will then provide the PI/Department with the IPA agreement. It is at this point that the PINS record should be started. Further information regarding the Data Cost form can be found HERE.

PINS

• 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 minimum.
• There will be a portion of the salary, fringes and foregone F&A borne by the University must be included in the Cost Share tab in PINS.
• 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 to the college the final IPA for the PI, department or college to submit 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 is requested to work on-site, such as BEA Idaho National Laboratory. It’s a formal arrangement in which a researcher has formal ties to both INL and a university. These partnerships enhance collaboration, as joint appointees conduct research and development at both home and host institutions.

PINS

• 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 RADAR Project ID’ field, if applicable
• Provide sponsor point-of-contact information: name and title, email address, and phone number, at 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

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

JFA’s bring the space between sponsor and NC State to allow for closer collaborative efforts to enhance the breadth of scientific research. Typically an NC State tenure or tenure-track faculty researcher participates in this federal-sponsored appointment, but it can happen the other way. Research from the federal government comes to NC State.

PINS:

• Title convention: Joint Faculty Appointment between [Agency Name] and North Carolina State University for Dr. [First and Last Name]
• PI is 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 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 to PINS. SPARCS will further handle and secure the fully-executed agreement.

This agreement should attract the sponsor to do work with the university, but it can be used only once. This option includes a special minimum 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 any misunderstandings with the terms and conditions of this agreement, it is recommended the agreement be shared with your sponsor in advance. Please also be certain to secure departmental approval of your proposal before beginning the process with your sponsor.

MOA

A general research MOU is a positive statement of interest between the NC State University and 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. MOU’s are not encouraged unless there is clear intent to implement an actual research project in the near future, where the execution of the MOU will foster 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 upon the complexity of the program being planned and what the participants want to obtain from the MOU.

MOU

PINS

• 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 Underrecorrery: F&A Fully Recovered
• Provide sponsor point-of-contact information: name and title, email address, and phone number, at minimum.
• Documentation: 
  • MOU agreement
  • Description and purpose of the collaboration,  roles of responsibilities of each collaborator (if not included in the agreement)

HANDLING 

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

NIH requires recipients to use a formal tracking process for Research Performance Progress Report (RPPR) and Final RPPR. It is for this reason the University requires these reports to be processed via the internal electronic tracking system PINS. Please follow the RPPR PINS instructions. 

The majority of funded projects secured by NC State principle investigators (PIs) are sponsored from federal, state and local entities. Typically, NC State PIs respond to solicitations that entities release, which includes a receipt deadline for submission. The solicitation normally contains the instructions and sponsor’s requirements for the proposal and process for the submission, as well as, the sponsor’s review and selection processes.

Sometimes the submission requirements are in layers, such as requiring a Letter of Intent before full proposal submission. Therefore, it is important to fully read the solicitation to ensure your response to a solicitation is compliant. Keep in mind, however, that when there is conflicting information between the sponsor and what NC State can commit to, then we must follow NC State and 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 record would not be required in this case, however, the PI and/or department can choose to process a PINS for record-keeping purposes and for the PI’s 5-year reviews. 

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

It is important to keep the status of the records current, so, if the LOI is not invited for full proposal submission, then please update the college pre-award team via email by forwarding the sponsor’s notification.

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

When complete, the PINS record must not contain any system-generated errors, as well as, include the documents: solicitation/RFP, the final proposal as it was submitted to the sponsor, 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)

F&A Waiver or PI exemption

ORC endorsement for any background Intellectual Property

SPARCS Compliance endorsement for any potentially T&Cs

For more information: “Getting Ready”

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

When processing this type of PINS because of a significant change in amount, you can use the sponsor’s notification, i.e. letter or email, in lieu of a solicitation. It is also expected there is a material effect on the SOW, thus, a need for a revised SOW as well. 

NOTE: We recommend using the cloning feature that is available. This feature transfers some information from the original PINS to the Revised New PINS saving time in completing the record. From the main PINS home page, ensure the PI’s name is listed. Select “Create Supplement/Continuation/Revised Proposal” then the original proposal.

After a project is awarded, it is possible more funding and even time beyond the original award will be granted by the sponsor. This additional amount should not be confused with ‘incremental funding,’ which is partial funding of the total amount awarded by the sponsored project agreement that is released to NC State over the life of the project. 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 record and must follow University’s internal processes and the sponsor’s instructions, whether it is a solicitation, general guidelines, or email. If no instructions are provided, then 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 Documentation:

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

NOTE: We recommend using the cloning feature that is available. This feature transfers some information from the original PINS to the Supplemental PINS saving time in completing the record. From the main PINS home page, ensure the PI’s name listed. Select “Create Supplement/Continuation/Revised Proposal” than the original proposal.

Graduate Industrial Traineeships offer students the opportunity for hands-on learning with university partners to grow 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 own template for these traineeships.

PINS

• Title: “Internship with [Sponsor name] for [GRA first and last name]”
• PI is 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 minimum.
• Documentation:
  • SOW
  • Budget detail
  • Budget justification
  • Sponsor agreement, if applicable and available

HANDLING

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

NC State’s General Agreement

Follow the same guidelines and process as Sponsored Research Projects. When completing PINS, ensure that both 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 federal-funded project. So the funding flow looks something like this: 

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

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

PINS

• Sponsor’s teaming agreement (or NC State’s template can be found HERE)
• 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 fully-executed agreement.

Further information HERE

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

TSA Agreement

Modification form 

NEW PINS

• 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 record
• Documents: 
  • SOW with amount clearly stated 
  • Completed TSA Agreement 
  • *If negotiated: Detailed budget will be required

SUPPLEMENTAL PINS

• 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 record
• Documents: 
  • Modification form 
  • SOW with amount clearly stated 
  • Completed TSA Agreement 
    • Not required as is the same as the original
  • *If negotiated: 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 further handle all TSA-related actions, including securing a fully executed agreement. The department will then be notified by the college or SPARCS office so that they may initiate the invoice to the sponsor for payment.

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

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

NCE: Modification form only

When a Principal Investigator of NC State desires to invite a scientist to perform research at NC State, then this agreement would be used. This agreement can be executed with or without funding. If the sponsor will be funding NC State to host the scientist, then this action must be submitted through the University’s internal system: PINS. (For Visiting Scientist Agreements that are not funded, then further information can be found HERE) 

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 Export Control Office who reviews and provides clearance approval.

STEP THREE Export Control Office forwards request 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 Scientist Agreement prior to 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 a paid position or students exempt from having to submit a completed and signed VSA – they occasionally fill out the questionnaire because it is required for a J-1 Visa application
• Many departments/units end up uploading the completed VSA to their no-pay Research Scholar appointments in the JAR system.

Visiting Scientist 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. So, in addition to completing the PINS record without errors, please ensure the following documents are attached:

PINS

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

HANDLING 

• SPARCS will further handle processing the agreement and award. It is recommended the PI and department administrator monitor RADAR 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 that is responding to a federal solicitation for seed funding. The purpose of the seed funding is to help support and fast-track basic research to make it to commercialization. 

This agreement may be required at the proposal stage (i.e STTR proposal) and it will be uploaded to PINS or for SBIR proposals they 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 RADAR. So, it is very important to refer to the federal sponsor’s solicitation.

This agreement should be included in the PINS with the original proposal submission or directly uploaded to Radar, *unless the agreement is being processed ahead of the original proposal, then a PINS would be required.

A consortium agreement is a contract that enables three or more sponsors to participate in research with an institution and to equally share the outcomes of the research. (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 the execution of a standard three-way agreement in lieu 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 with the intention to establish on its basis a Center/Institute in the future. 

A Consortium is formed following the signing of three standard non-negotiable membership agreements. Once established, the consortium runs like a center, with respect to the process of memberships, core projects, enhancement projects, etc. Consortia derive most of their funds for research projects from annual dues that are paid by the members with the benefit of a lower indirect cost rate. 

Additional information on consortiums can be found HERE and for centers and institutes HERE.

STEPS:

1. The prospective Director must provide documentation demonstrating that at least 3 (three) industry, organization, and/or 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 Centers and Institutes Specialist for review.

• Letter of Intent template
• Consortium Charter Template
• Sample Consortium Bylaws
• Sample Consortium Membership Agreement
• 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, including from the Department Head before submitting them directly to the sponsor. A PINS is not required for this action. Once the Federal agency provides the IPA, then a PINS is required. For information on submitting an IPA PINS, please refer to the information HERE.

Cost Data Sheet Template

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

For assistance in completing this form, please 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, then the agreement should be forwarded to the Purchasing Office for review, processing, and final signature by submitting the agreement HERE (will require unity ID). 

Laboratory Use Agreement

When an LOI does not require an official university Authorized Organizational Representative (AOR) submission or signature, then the LOI may be submitted by the PI or department without the need to process a PINS record. However, if it does require AOR involvement, then please refer HERE.

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

MTAs go through ORC’s office. Please refer to https://research.NC State.edu/otcnv/for-inventors/resources/ and about halfway down the page, you will see reference to MTAs. There are a few email addresses to reach out to.  It discusses both outgoing materials and incoming materials.

NDAs/CDAs 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.

Some funding agencies limit the number of proposals an institution may submit to a specific program. The Research Development Office (RDO) is charged with managing these programs internally to ensure compliance with agency requirements. The RDO attempts to identify all limited submission opportunities of interest to the NC State research community. These opportunities are announced HERE and through the funding listserv.

If there is interest in an opportunity that is not listed below, interested faculty 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 probability that faculty will begin work on proposals that will not be allowed to move forward.

Steps to follow a Limited Submission process:

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

STEP TWO In instances where internal competition is required, the due date for the submission of pre-proposals by prospective PIs 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.

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, makes a recommendation, 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 move forward with officially starting a PINS record and proposal for final submission. The endorsement must be uploaded to PINS before initiating the record. For Sponsored Research proposal submissions, refer to the information HERE.

When a Principal Investigator of NC State desires to invite a scientist to perform research at NC State, then this agreement would be used. This agreement can be executed with or without funding. If the sponsor will be funding NC State to host the scientist, then this action must be submitted through the University’s internal system: PINS. (Further information HERE) 

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 who reviews and provides clearance approval.

STEP THREE Export Control Office forwards request 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 Scientist Agreement prior to 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.

Visiting Scientist 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 – they occasionally fill out the questionnaire because it is required for a J-1 Visa application
• Many departments/units end up uploading the completed VSA to their no-pay Research Scholar appointments in the JAR system.