For a sponsored program, a Principle Investigator (PI) bears primary responsibility for:

• Technical compliance,
• Completion of programmatic work,
• Fiscal stewardship of sponsor funds,
• Compliance with administrative requirements of the project,

subject to the general oversight and authority of James Madison University.  PIs on sponsored program activities are required to comply with JMU's business practices, policies and procedures.

Therefore, JMU must ensure that individuals serving in the capacity of Principal Investigator have the technical competence and administrative capabilities to oversee a sponsored project, and that JMU as adequate oversight of the individual.

Consequently, JMU's policy is that the following may serve as principle investigator:

Any full-time faculty member or staff member who holds one of the following positions:

• Tenured faculty member
• Tenure-track faculty member
• Administrative or Professional faculty member
• Librarian holding faculty status
• Renewable Term Appointment faculty member with terminal degree 
• Fixed Term Appointment faculty member with terminal degree
• Instructor
• Staff member

Departments who are interested in enabling Researchers or Affiliated Researchers (see the JMU Faculty Handbook, sections III.B.3.i and III.B.3.ii) to serve as a PI on a sponsored program should reach out to OSP-AS to discuss.

Any individual who holds one of the following positions may be identified as a project correspondent for sponsored activities IF one of the individuals listed above is named as Principal Investigator on the project:

• Renewable Term Appointment faculty member lacking terminal degree (i.e., Lecturer)
• Fixed Term Appointment faculty member lacking terminal degree (i.e., Lecturer)
• Part-time faculty member
• Adjunct faculty member
• Emeritus faculty member
• Visiting faculty member
• Scholar in Residence
• Staff member

Please be aware that sponsors may have more stringent requirements on who may serve as a principle investigator.  OSP will not approve the submission of any proposal in which the PI does not meet the sponsor's requirements.

No specific form. May be a word document, pdf, etc.

What it is: Provide a brief summary of the work to be performed. This may be taken from a required proposal section (e.g., a project summary).

Where to upload: Proposal Sections > Additional Information > "Attach your Scope of Work"

This is typically an Excel file; there may be a required sponsor template that must be used.

What it is: Please work with a grants specialist to develop a budget that is compliant with all JMU and sponsor guidelines.  See budgeting information on Office of Sponsored Programs: Budget Development.  When your budget is finalized, it will be uploaded into Cayuse.  Please start working with a grants specialist to develop your budget at least four weeks before the sponsor due date.

Where to upload:  Proposal Sections > Summary Budget > "Upload a detailed proposal budget"

No specific form. May be a word document, pdf, etc.  Your sponsor may have specific requirements.

What it is: This describes the items in your line-item budget and justifies their relevance to your project. 

Where to upload:  Proposal Sections > Summary Budget > "Upload a budget justification"

What it is: All other documents that the sponsor requires (biosketches, etc.) should be uploaded in Cayuse so that OSP as well as your approval chain can review them, unless you and OSP both have joint access to the sponsor's submission portal (e.g., research.gov). If we can access your materials in the sponsor submission portal then we do not need additional copies in Cayuse, except for the items listed above.

Where to upload: Attachements

As described on our external collaborations page, there are many ways a proposal can be structured if you are collaborating with entities external to JMU.  In some of these, JMU will be the lead institution and some of the funding will be passed on to your collaborators.

Depending on their role in the sponsored project, your collaborators could either be subrecipients or contractors.  The structure of the proposal, and the materials we need from your collaborators, will look very different in these two cases.  Therefore, for each collaborator, we will first require these two items to help us make this determination.

No specific form. May be a word document, pdf, etc.

What it is: A draft describing the work that the collaborating institution will do on the sponsored project. 

Why it is needed: OSP must determine whether the collaborating institution is a subrecipient or a contractor.

Where to send: Please send by email to your grants specialist or the email address provided in your checklist.

More information: See our external collaboration page.

 The Subrecipient vs. Contractor Checklist.

Why it is needed: OSP must determine whether the collaborating institution is a subrecipient or a contractor.  This checklist will help us understand better what the collaborating institution is contributing.

Where to send: Please send by email to your grants specialist or the email address provided in your checklist.

More information: See our external collaboration page.

As described on our external collaborations page, there are many ways a proposal can be structured if you are collaborating with entities external to JMU.  In some of these, JMU will be the lead institution and some of the funding will be passed on to your collaborators.

After you have have submitted the "Required Items If You Have an External Collaborator & JMU Is the Lead Institution", OSP will determine whether each collaborating institution is a contractor or a subrecipient.  If they are a contractor, you will need to work with procurement.

If they are a subrecipient, we will need the following materials.  To create the Subawards section on Cayuse, answer yes to "Will any portion of the project be performed by a Subrecipient?" under Performance Sites.

No specific form. May be a word document, pdf, etc.

What it is: A final statement describing the work that will be done at the collaborating institution.  It must include the role and responsibilities of the organization to the project including objectives, tasks, and deliverables.

Why we need it: This will be used as the basis of the subaward agreement between JMU and the collaborating institution.

Where to upload it: Subrecipient Attachments

The subrecipient commitment form.

What it is: This is signed by an Authorized Official who has been delegated the legal authority to commit the organization to a binding agreement and formally commits the collaborating institution to the project.

Where to upload it: Subrecipient Attachments

This is typically an Excel file; there may be a required sponsor template that must be used.

What it is: Subrecipients must provide a separate line-item budget demonstrating how they will spend the funds.  The total from this budget will be entered as a line on the JMU budget that your grants specialist will creat with you; see budget development.  The budget must be separated by funding year.

Where to upload:  Subrecipient Attachments

No specific form. May be a word document, pdf, etc.

What it is: This describes the items in the subrecipient line-item budget and justifies their relevance to your project. 

Where to upload:  Subrecipient Attachments

What it is: A copy of the organizations federally negotiated indirect costs rate agreement (NICRA) is required if indirect costs are included in the budget.  Your collaborating institution's Office of Sponsored Programs (if they have one) should be able to provide this.  If the institution does not have a NICRA, then typically a de minimis rate will be used.

Where to upload:  Subrecipient Attachments

What it is: OSP requires you to submit the Federal Demonstration Partnership FDP Attachment 3B Forms Page 1 and Page 2 (if applicable).  This tells us who the appropriate contacts at the collaborating institution are for administrative, financial, and other matters.

Where to upload:  Subrecipient Attachments

There are other proposal components that a sponsor may require that we will need your collaborating institution to complete.  These frequently include:

• Collaborator Biosketches: In order to submit a complete application, it may be necessary to include biosketches for your collaborators, particularly if they are PIs or senior personnel. 
• Collaborator Current and Pending Support: This should describe your collaborator's current and pending support relevant to the project.
• Any other documents required for each PI/co-PI/senior personnel.
• Facilities and Equipment: If a facilities and equipment statement (or similar) is required, the collaborating institution will be required to send a document describing the resources available to your collaborators.
• Letter of Commitment/Collaboration: Typically this should state that should your sponsored program be funded, the collaborating institution plans to participate and accept a subaward from James Madison University in accordance with the approved statement of work and budget, and commitment to abide by all associated terms and conditions if awarded.  If the subawardee is providing cost-share, its value should be explicitly mentioned and explained.  It is generally signed by an authorized organizations representative (AOR) at the collaborating institution.

If any of these are required by your sponsor, please arrange to have your collaborating institution provide them.

Where to upload: Attachements (not Subrecipient Attachements)

The overload pay authorization form.

When required: Required if overload pay is requested on the budget.

Where to upload: Proposal Sections > Summary Budget > "Upload an overload authorization form"

You will not be able to upload here until you answer yes to "Does the project involve overload pay for one or more personnel?"

No specific form. May be a word document, pdf, etc.

When Required: JMU requires letters of commitment for external partners that are not sub-recipients but are providing cost sharing.  The letter should indicate the amount of quantified external match the partner is providing.  Note that sponsors may have specific language that is required.

Where to upload: Proposal Sections > Summary Budget > "Upload a commitment letter for the external cost share"

You will not be able to upload here until you answer yes to "Does the budget contain external cost share?"

The indirect costs waiver form.

When Required: JMU's negotiated indirect cost rate is explained on our indirect costs page.  If a sponsor limits indirect costs, JMU will generally respect those limits, and this form is NOT required.  However, if you are asking to waive or reduce indirect costs below JMU's negotiate rate, and this is not required by the sponsor, you will need to submit this form.

You should always discuss this with your assigned grants specialist who is assisting with your budget before preparing.

Where to upload: Attachments

The cost sharing request form.

When required: Required if JMU’s in-cash match is over $10,000. Discuss with your OSP contact before preparing.

Where to upload: Proposal Sections > Summary Budget > "Upload the cost sharing form"

You will not be able to upload here until you answer yes to BOTH:

• "Does the budget contain cost sharing as a portion of the project or program costs?"
• "Does the proposal include $10,000 or more internal in-cash match?"

The graduate research assistant-tuition waiver form. 

When required: OSP generally encourages PIs to budget for the full cost of a graduate assistantship, including both stipends and tuition.  (Costs are listed on the Graduate School's page.) However, there are occasions where it possible to fund the stipend but not the tuition from a sponsored program.  The Graduate School and REDI have a program to provide in-state tuition support for these research graduate assistants, as described in the Research Assistant Program.

This is required if you are asking to waive tuition for a Graduate Research Assistant.  This is NOT required if you are adding the tuition to the line item budget for the sponsor to fund.

How to use:

• The form, along with your statement of work (project summary/description), should be submitted to OSP with everything completed up through section E.  Forms are due by January 31st for the next academic year.
• The Graduate School and REDI wll consider your request.  If it is approved, please ensure that OSP has a copy of the final approved form.

Generally PIs complete this form after the proposal is submitted and it is approved only if the applications is successful and an award is made.  However, if approval is needed as part of cost sharing, it may be considered earlier.