Research Support, Resources & Administration

Principal Investigator Roles & Responsibilities

As Principal Investigator (PI), you are responsible for managing your grant.  This begins when you ensure that your submission and budget meet the sponsor's guidelines and are submitted to OSP in accordance with the pre-award submission guidance provided below.  Once an award is made, it will be your responsibility to conduct and complete the scientific and scholarly work; manage the project, personnel and data; ensure compliance with regulations; submit satisfactory deliverables; oversee all aspects of subawards and subcontracts including the monitoring of the programmatic and financial performance and progress; and certify that terms and conditions of the award are fully met. The PI is responsible for all financial aspects of the award, including the resolution of unallowable expenditures or over-expenditures, and will initiate requests for modifications in budget or deliverables. The PI also needs to ensure that all costs are reasonable, allocable, allowable and in compliance with sponsor requirements and regulations. This includes the confirmation of effort performed on the award, as well as justification of all costs charged to the award as required and part of the original proposal.

Search for External/Extramural Funding

Quick links: Grants.Gov; VIMS Search 

Faculty Early Career Development Programs are available from NSF, DOE, and NIH.  

W&M's ResearchPI listserv - The William & Mary Office of Sponsored Programs provides a weekly funding opportunity list that is distributed from their email listserv: researchpi@wm.edu.  All W&M faculty (including VIMS faculty) are automatically added to the listserv. Please be aware that this is a comprehensive list that is not specific to just marine science and other information is also included in these messages that may not apply to VIMS.  If you are or are not receiving these emails currently, and would like to change that, you can subscribe or unsubscribe by emailing wosp@wm.edu. 

VIMS Search - from the VIMS Office of Sponsored Programs provides links to search engines and lists of federal, state and private agencies and organizations that fund the kinds of research we do at VIMS.

Grants.Gov is a common website for federal agencies to post discretionary funding opportunities and for grantees to find and apply to them. Researchers can conduct one-time searches for funding or set up continuous email alerts. Details on managing subscriptions is here.

NSF Custom News - A daily email alert service with subscription options that include new research opportunities, upcoming deadlines, and other content categories.

Weekly NIH Guide - NIH announces all new funding opportunities and notices in a weekly Opt-In email. In addition to searching the NIH Guide, you can save your search and receive an email notification when a new NIH Guide posting matches your search criteria.

Types of External Funding Agreements

A Notice of Award is the formal notification from the sponsor that an award is offered in response to an application submitted by the Institute. This notice will typically specify the amount of funding being provided in the current year, as well as expected funding in future years. It will also incorporate the terms and conditions of the award.  Award agreements are reviewed and accepted by the Office of Sponsored Programs on behalf of the Institute. 

Award Agreement Types

Grants
A form of financial assistance awarded to the Institute for the conduct of research or other program as specified in an approved proposal.  A grant, as opposed to a cooperative agreement, is used whenever the awarding office anticipates no substantial programmatic involvement with the recipient during the performance of the activities.

Cooperative Agreements
A form of financial assistance in which the sponsor can be described as a “partner” and plays a significant role in the project or program.   The sponsor and grantee work together to achieve a specific objective.

Contracts
A mechanism for the procurement of goods or services for a particular project or program.  Components of a contract are: deliverables, timeliness, and “works for hire.” 

Amendment or Modification
An award that modifies any aspect of an existing award, e.g. additional funding, an extension of time, change of PI, change in terms and conditions, etc.

Subaward
A mechanism used to award pass-through funding from a prime recipient to the Institute (sub-recipient).  All terms and conditions of the prime award “flow-down” to the Institute.

Memorandum of Understanding
A mechanism used to acknowledge an ongoing and strategic relationship between the Institute and/or support a grant application.  An MOU lists areas of possible joint activities, without creating financial obligations or committing resources.

Internal Funding

Quick link: VIMS Equipment Trust Fund Request

For research: Institutional investment in research is guided by VIMS strategic planning which is informed by the needs of the Commonwealth of Virginia, national priorities, and global challenges.  Funds are provided to each Section annually to support the development of collaborative, faculty-driven institutional strategic initiatives. This institutional-level support is intended to stimulate new collaborations, early-stage or untested research ideas, and/or new approaches to tackling research problems relevant to the strategic plan of VIMS, with the goal of serving as an investment for future proposals, funding streams, or research directions. Eligible projects are wide-ranging and may encompass various activities, including data collection, fieldwork, modeling, data analysis, utilization of specialized equipment or unique opportunities, collaboration with external institutions to advance strategic objectives, and the organization of workshops aimed at initiating or nurturing innovative interdisciplinary initiatives or sustainable programs. These funds can provide a means for faculty to pursue potentially “high risk / high reward” projects, and/or to help develop successful proposals for external funding.  

For equipment: Equipment purchases may be supported by Virginia's Higher Education Equipment Trust Fund (HEETF) or other sources.  Requests are reviewed on a rolling basis and are submitted using the VIMS Equipment Trust Fund Request form.  If students working in your lab require a small piece of equipment, they may seek funding through the Office of Academic Affairs (link).

For more information on internal funding for research and equipment, please contact your Section Chair or Center Director.

Proposal Development

If you need tips to increase your success with a new funding agency, consider reaching out to a VIMS colleague who has had funding success with that agency.  OSP can help you connect.  

Grant Writing Information & Resources
Many agencies provide tips and advice on grant writing. Check with the agency that you are applying to for web pages or documents on writing for that agency.  

• EPA Grants (includes links to online training opportunities, such as How to Develop a Budget)
• NSF’s Advice to Proposal Writers
• NSF’s Grant Reviewer Tells All
• NSF's Program Suitability & Proposal Concept Tool (ProSPCT)
• NOAA's Funding Resources and Tips
• NIH’s Grant Writing Tips Sheets
• NIH's Center for Scientific Review - For Applicants

Proposals to Foundations and for Private Support
If you're interested in applying to a foundation, please have a conversation with your Financial Officer and the Office of Sponsored Programs.  Submissions to foundations must be coordinated across campuses and with W&M Corporate and Foundation Relations (CFR).   Some foundations do not allow multiple proposals from the same university, and foundations, trusts or private funders may have special processes or requirements that require early consideration.  

VIMS' Office of Sponsored Programs and Executive Director of Advancement can provide additional guidance on writing and submitting proposals for foundations, trusts and other private fund sources.

Budget Development - Campus Rates & Personnel Costs

Quick link: Campus Rates

Rates are posted for the following areas: Eastern Shore Laboratory, Fringe Benefits, Graduate Research Assistant, Indirect Cost, Nutrient Analysis, Pool Vehicles, Publications Center, Seawater Research Lab Rental (for external users, only), Special Events, Tuition, Vessels.

Budget Proposal Templates (excel) are available through OSP.

Your unit Financial Officer (FO) will help you estimate personnel costs based on current salary, fringe benefits and anticipated annual raises.

Proposal Submission (Pre-Award)

Quick links: VIMS Proposal Submission Requirements; Proposal Submission Guidelines Flowchart

The Office of Sponsored Programs (OSP) and the Associate Dean for Research and Advisory Service (ADRAS) work together to ensure that high-quality, complete proposal packages are submitted to funding agencies in a timely manner. This is achieved by a thorough review of each proposal for compliance with sponsor and Institute requirements prior to submission. 

Key things to know!

• Start early! If you are going to a submit proposal for funding as a Principal Investigator (PI), it is your responsibility to read and review VIMS Proposal Submission Requirements; you must be aware of and responsive regarding the steps and timelines for Proposal Route and Review and you must adhere to any Compliance requirements.
• A Proposal Route and Review form should be initiated no later than 30 business days before a proposal submission date.  (Mac users may need to use Google Chrome browser to access the form)
• A proposal planning meeting (required), with your Section or Center Financial Officer/Business Manager and the designated OSP lead will help you develop a timeline and roadmap for successful proposal submission. This meeting should occur no later than 20 business days before the proposal submission deadline.
• If your proposal will have subawards to other institutions give them early deadlines for submitting their portions (e.g., text, budgets, CVs, and any other requirements) to you.
• Complete and final proposal packages must be electronically received by OSP at least ten (10) full business days prior to the sponsor's due date. 
• Prior to submission of the completed proposal package, the proposal must be reviewed and endorsed by all of the following (or their designee): Principal Investigator (PI), Co-Investigators (Co-PI), Section Chair/Center Director, Office of Sponsored Programs, Associate Dean for Research and Advisory Service (ADRAS).
• Submission of the Proposal Route and Review form will immediately generate e-mails to Co-PIs and Section Chair(s)/Center Director(s) requesting their approval of the Proposal Cover Page. 
  To access the Cover Page, you must be logged into the VIMS network either on campus or via VPN. For assistance with setting up VPN access off-campus, please submit an ITNS Service Request.
• Again, start early!  Don't let your proposal get caught in a last minute bottleneck.  Many steps and forms must be completed before a proposal is submitted.  Internal proposal review by OSP, ADRAS and other VIMS units takes time.  These reviews will help to ensure that your proposal is complete and meets the funder's requirements. 

If Your Proposal Involves Research Vessels, Diving, Seawater Research Facilities or Analytical Services

If your proposed project requires a research vessel or diving operations, contact Marine Operations to discuss your needs.  

If the work will be conducted at or from the Eastern Shore Laboratory, contact Sean Fate (sfate@vims.edu) to discuss your needs.

If you are planning to use the Seawater Research Laboratory on the Gloucester Point campus, contact Jim Brister (jebrister@vims.edu) to discuss your needs.

If you are planning to use the Acuff Center for Aquaculture, contact Bill Walton (walton@vims.edu) to discuss your needs.

If you are planning to use the Seawater Lab at the Eastern Shore Laboratory, contact John Lewis (jclewis@vims.edu), to discuss your needs.

If you will be using the Analytical Services Center on the Gloucester Point campus, contact Carol Pollard (pollard@vims.edu) to discuss your needs.

Award Acceptance

Awards are typically received by the Office of Sponsored Programs (OSP), although on occasion a Principal Investigator (PI) may be notified directly.  If a PI receives an award notification, they should immediately forward it to OSP for review and processing.

OSP working with the PI will negotiate the terms and conditions of the sponsored agreement. OSP is responsible for conducting all negotiations with sponsors to obtain mutually acceptable terms and conditions that will allow the Institute to accept the award.  The time required to negotiate the agreement depends on the complexity of the agreement, the responsiveness of the agency, the amount of support required from other institutional units, and the type of award anticipated. Generally, negotiating contracts with private industry takes more time than grants from the federal government.

The National Institutes of Health have a special pre-award phase called "Just in Time" to gather final documents prior to releasing an award notice and funding authorization. Specific items will be requested, namely:

• CITI Certification if dealing with research subjects
• Financial Conflict of Interest
• Responsible Conduct in Research (RCR Verification)
• IACUC/IBC/PHSC/IRSC proof of protocol submission
• Protocol and Compliance Management (contact VIMS OSP for information)

Project Management (Post-Award)

The process of managing sponsored projects is a shared responsibility between the Principal Investigator (PI), the Financial Officer (FO), and the Office of Sponsored Programs (OSP). Each has unique areas of primary responsibility.

The PI has primary responsibility for accomplishing the technical goals of the project, while also complying with the financial and administrative policies and regulations associated with the award. Although PIs have administrative staff to assist them with the management of project funds, the ultimate responsibility for the management of the sponsored project work and funds rests with the PI.

The Office of Sponsored Programs (OSP) will advise and assist PIs in complying with the requirements of their project sponsor.  

Frequently, projects change or evolve from how they were initially proposed to or awarded by the sponsor. Some changes occurring over the life of the project require prior written approval from the sponsor and/or OSP. The level at which approval may be granted depends upon the type of award and the sponsors terms and conditions governing the award.  Some award changes may require the sponsors prior approval before processing them internally. Federal administrative requirements allow agencies to waive certain cost-related and administrative prior approvals; these are known as expanded authorities. Prior approval may not be necessary on some changes in the case of federal sponsors who grant expanded authorities. Examples of changes that may require prior sponsor approval include no-cost extensions, rebudgeting, PI change, carry forward, changes in the scope of work, and early termination.   The PI should notify their FO and/or OSP administrator if an award action request is needed.

In addition to submission of award action requests, some of OSP post award responsibilities include award setup, expenditure review and approval, subrecipient monitoring, invoicing, effort reporting, cash management, financial reporting requirements, audit management and closeout.

Compliance

Award compliance is an expansive set of responsibilities not just for the PI of a project, but for anyone participating in research.

Please review W&M Sponsored Programs - Research Compliance to ensure compliance with research projects.

Research Integrity, Conflicts of Interest and Required Training

Quik Links: W&M Guidelines

All VIMS researchers must follow William & Mary's Research Integrity and Conflicts of Interest guidelines.

• The Faculty Handbook contains critical information regarding research conduct and expectations of faculty at William & Mary.
• All undergraduate, graduate students, Post-Docs, and PIs supported by an NSF or NIH grant must complete RCR training. (read more...)
• NIH-supported investigators must have Financial Conflict of Interest (FCOI) training and disclose financial conflicts. (read more...)
• W&M makes RCR, Biosafety, Conflict of Interest, Animal Subjects and Human Subjects training programs and other compliance training available through the Collaborative Institutional Training Initiative (CITI Training Program, see below) 
• The PI of record must certify personnel have been trained and verify training in advance of participation in the grant-funded project.  The training must be kept current and updated every three years.

Accessing CITI Training Modules

Training is available in the following areas: VIMS Responsible Conduct of Research (VIMS RCR), Social & Behavioral Research Investigators Training for Working with Human Subjects, Laboratory Animal Safety, Conflicts of Interest (required if you are funded by NIH) and other modules are available.  

To create a William & Mary affiliated CITI account:

1. Please begin by reviewing this information which provides an overview of the online CITI training options and provides the link to the training module website.  Although the W&M site does not mention the VIMS RCR training option, you will see the option once you have access to the training modules.
2. Use the “Go to the CITI training modules” link, which is embedded in the text towards the bottom of the page, to get to the CITI website. Top tip! Bookmark the link for later use.
3. Create a CITI training account if you don’t already have one. Be sure to affiliate with “William & Mary.”  If you don’t do this you will not have access to the VIMS RCR course.
4. Answer a series of questions that will help you get to the proper training options.  Question 5 includes the VIMS RCR option. If you will be working with Human Subjects, select Area II: Social & Behavioral Research Investigators - PHSC in Question 1.

Broader Impacts 

Quick link: VIMS BI Practitioners

NSF 101: Five tips for your Broader Impacts statement

Broader Impacts Support at VIMS - The VIMS Broader Impact Practitioners is a team of professionals who help foster science communication across and beyond the VIMS campus community and coordinate education and outreach programs for external audiences.  VIMS BI Practitioners often collaborate with VIMS scientists to assist in the development and implementation of BI components of research proposals. VIMS researchers, including graduate students, looking for assistance with Broader Impacts are encouraged to review the list of VIMS BI Practitioners and contact Lisa Lawrence (x7608) for additional information.

Swem Library Resources (Copyright, Data Management, Open Access and More)

William & Mary's Publishing & Scholarly Support resources are a good place to start if you have questions about copyright, data management, open access or other aspects related to your scholarship.  

Contact a librarian: