Pre-Award Information

Proposed Budgets: All budgets submitted to NOAA through CIMEC should be consistent in how anticipated expenditures are outlined. A sample of the standard budget form is available here. Back-up documentation of proposed expenditures should be made available if requested by Rose Keuler. Examples of such documentation would include equipment quotes; travel quotes (, or travel agency quotes), and approved recharge rates.

Principal Investigator Guidance Form: When submitting the proposal to Rose Keuler (electronically) for review, a copy of the PI Guidance form should be attached. Information gathered from this form will be used in the cover letter to NOAA and shows how the requested project fulfills the CIMEC’s thematic requirements. This form is can be found here.

The following is the hierarchy of required signatures on the RES.

Proposal Signatures – SIO only:

  • PI and Co-PI (if applicable).
  • PIs Department Chair for competed proposals
  • Anne Footer as CIMEC MSO. If Anne is not available, Susie Pike has approval to sign for Anne. You should send the PI signed copy of the RES form in pdf format to Rose Keuler. Rose will obtain Anne’s signature.
  • Rose will obtain CIMEC Director or Deputy Director's signature.

Proposal Signature – Partner Institutions:

  • A cover page prepared on the Partner Institutions letterhead must be included in the proposal submission which will include the title of the research, the PI(s) involved in the research and the period of performance. The PI(s) must sign as well as the Institutions Contract and Grants Officer.

Chancellor Approvals: A Chancellors Approval for pre-spending is an option available to the Principal Investigator when funding is delayed at NOAA. One important benefit of a CA is that it will establish a start date, which is essential to continuing research. An alternate fund number is generally required when requesting pre-spending. A copy of the CA should be sent to Rose Keuler at the same time the form is submitted to SIO Contracts and Grants so that the accounting information may be set up in Financial Link.

For Partner Institutions, the pre-spending option is available, however, the PI must follow their Institutions policy and procedures. CIMEC/SIO is not able approve the request.

Equipment: Recipients must answer the following question “Was Lease vs. Purchase Analyses Completed?” If the answer is yes, then the analysis must be attached to the proposal. If the answer is no, then provide a justification for not submitting the analysis.

  • Sub-Award vs. Subcontract: To determine whether a requested cost is a sub-award or a subcontract you should establish the following:
  • If the purpose is to provide services or tangible goods to the project then the cost is considered a subcontract and is subject to Indirect Costs.
  • If the purpose is to collaborate or direct the science then the cost is considered a sub-award and is exempt from Indirect Cost after the first $25,000.
  • If it is determined that the cost is for sub-award work, a CD-512 form is required to be retained by CIMEC. The CD-512 (Certifications Regarding Lobbying; Debarment, Suspension and Other Responsibility Matters; and Drug Free Workplace Requirements and Lobbying.) must be signed off by the sub-award institute/institution and submitted to CIMEC.

Indirect Cost: Currently, CIMEC/SIO Indirect Cost rate is 55%. See individual Partner Institutions for their IDC rate.

NOAA Grants and Cooperative Agreement Guidelines:

When applying for NOAA funding through the Cooperative Institute for Marine Ecosystems and Climate (CIMEC), the following guidelines apply:

  • All CIMEC proposals must be submitted through
  • If the proposed research is in response to a Request For Proposal (RFP) we must comply with the call and submit the proposal on the mandatory NOAA Grants Management forms. These forms are found at the RFP web site. For Partner Institutions submitting competed proposals, the package must be sent to the CIMEC business office.
  • If the proposed research is requesting non-competed, out-year funding, we must submit through the website under CIMEC’s federal funding opportunity number (FFO). For Partner Institution submitting non-competed proposals, the CIMEC business office will prepare and submit the package.