ORSPA FAQs Page

The Contract Routing Form has now been combined with the Internal Routing Form. The Internal Routing Form should be used to route all grants and contracts for the necessary institutional approvals and signatures. If a contract results from a proposal that was routed previously, then the contract should be routed with a new Internal Routing Form referencing the ORSPA number assigned and shown at the top the original routing form in the “ORSPA use only” box. Also, when routing the contract you may leave Sections B, D & E blank.

What is the tax exempt status of the University? Are we a 501(c)(3) institution?

ETSU is tax exempt as an instrumentality of the State of Tennessee under Section 115 of the Internal Revenue Code. It is not a 501(c)(3) or (c)(6) entity.

What is our DUNS number? In which legislative district is ETSU located? (and other such questions)

You can find this information on our Institutional Information page. Some agencies require this information and will ask for it in their grant application package.

I'm new to the lingo. Can you help me understand some terms that I'm not familiar with, for example "IDC" and "% Effort"?

Please refer to our Terminology page to see an alphabetized listing of terms and their meanings.

What are the Indirect Cost Rates (aka F&A or overhead)?

See a summary of the current Indirect Cost Rates.

See also the Budget Tools section of our Forms page, and the next question/answer.

What are indirect costs (F&A)?

Indirect costs, aka Facilities and Administrative costs, are moneys generated for the university when a grant has been awarded, except when the grant specifically states that the indirect costs have been waived.

Indirect costs are automatically generated when the grant expends the direct costs.

The distribution of indirect costs at ETSU is as follows:

First, support for 2.5 full-time employees is removed from the indirect costs. These positions include the Assistant Director of Sponsored Programs, a grant accountant, and half the salary of the Director of the Human Research Protections Program.

After this, the remaining money is distributed as follows:

A. General Academic Campus

General Fund	20%
Office of the Vice Provost for Research	approx. 18%
School of Graduate Studies	approx. 7%
University Libraries for journal acquisitions	5%
Dean of the originating college (who then shares with the originating department)	50%

B. Quillen College of Medicine

COM General Fund	75%
Originating Department (excluding that portion of IDC generated by investigator's salary)	25%

If the Office of the Vice Provost for Research receives about 18% of the remaining F&A, where does that money go?

A percentage of the Facilities and Administrative costs (aka indirect costs or overhead) recovered from grants received by ETSU, but excluding the Quillen College of Medicine, is returned to the Office of the Vice Provost for Research for use in supporting research activities. Decisions regarding disposition of these funds are made by the Vice Provost for Research with advice from the Research Development Committee and approval of the Vice President for Academic Affairs.

Activities which enhance the ability of the faculty or professional staff member to obtain external funding are especially likely to be supported from the Research Support Account. Start-up support for new faculty members is a priority use for these funds. Funds from this account are also used to support visits to agencies and foundations that may be interested in funding projects at ETSU. Additionally, support for workshops and other developmental activities will be considered, especially if the faculty or professional staff member has secured other assistance.

Funds from this account are also used to support some activities of the Office of Research and Sponsored Programs Administration. This use includes payment for accessing the Community of Science, the Student-Faculty Collaboration Award, and support of the annual Appalachian Student Research Forum.

A portion of the Research Support Account is used to support travel to professional meetings. Requests for support to professional meetings must come through the departmental chair and college Dean, and the department and/or college must provide some matching support.

Other areas of possible support from the Research Support Account include aid to departments in the form of assistance with replacement of faculty on Non-Instructional Assignment, acquisition of small pieces of equipment, purchase of unanticipated supply items, and help with fees for external speakers.

Further information regarding the Research Support Account may be obtained from the Vice Provost for Research at 439-6000.

My salary or part of my salary will be paid by the sponsor as part of the grant. What happens to the money that's being saved?

Faculty who receive external grants and contracts, and request part of their salary from the sponsor to reduce their teaching time, generate salary savings for their departments. The salary savings realized in this manner must first be used to replace the courses that the faculty member would teach if he/she were not being paid from the grant or contract to conduct the project. To encourage departments to support this activity, the salary savings remaining after adjunct faculty salaries are paid to meet course requirements will remain at the disposal of the department and can be used to support faculty research.

All grant- and contract-related funds go to the institution. At no time will money be paid directly from the sponsor to the PI or to any employee.

I am the PI on a grant/contract at ETSU. I have decided to leave the institution. What do I need to do?

If you are transferring to another university, you might be able to take the grant with you. Alternatively, ETSU might have the opportunity to name a new PI to take over the project. The first step in either case (after you have formally notified the university of your termination of employment) is to contact the sponsor.

If the grant can be transferred to your new university, ask the sponsor for their guidelines on the procedure and convey them to the Office of Research and Sponsored Programs Administration. In most cases, we (ORSPA) will need to generate a “relinquishing statement” indicating an estimated unobligated balance on the grant. The new institution will need to work with the sponsor to apply for these unobligated funds.

If you cannot take the grant/contract with you to your new institution, then ask the sponsor about obtaining approval for assigning a new PI to the project. Once a new PI is identified, download and complete the “PI Change Request Form” (available on our Forms and Tools page) and submit it to the Office of Research and Sponsored Programs Administration. In addition, if your project is a funded study that has been reviewed and/or approved by the IRB, you must complete and submit a "Request for Modification Approval Form" for the protocol indicating the change in PI (see the IRB forms page).

It is important in either case that this process be initiated well in advance of your leaving the institution.

ETSU Office of Research and Sponsored Programs

405 Ross Hall · P.O. Box 70565 · Johnson City, TN 37614

ph: (423)439-6000 · fax: (423)439-6050

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