Information for Principal Investigators

Frequently Asked Questions

The following are some of the most commonly asked questions from Principal Investigators and other members of research teams.

• When can a research project begin?
• What if there is a change of PI or Co-PI?
• What are the “Start Dates” and “End Dates” of a project?
• Can the project budget be increased?
• When do I need to submit my Quarterly Progress Report?
• What are Quarterly Progress Meetings?
• What are Agreements and Amendments to Agreements?
• What are "Fringe Rates"?
• What are Direct and Indirect Costs?
• What is the "Scope of Services"?
• What do I need to do to submit a budget revision request?
• Can I request more time to finish my research project?
• What information needs to be included with an invoice?
• What are the requirements for submission of Final Reports?

When can a research project begin?
Before a research project can begin, an Agreement must be in place, fully signed by both parties, and executed. An Agreement identifies the scope of services, terms, responsibilities, and requirements by which both the Researcher/Organization and NDOT must abide. An Amendment is processed when a change to an Agreement is needed. Agreements and Amendments are legally binding documents and must follow the processes set forth by NDOT’s Agreement Services. See also: What are the “Start Dates” and “End Dates” of a project?

What if there is a change of PI or Co-PI?
Article I of the NDOT Interlocal Research Agreement (used with universities)  states: “A Principal Investigator is defined as any individual identified by the university in its proposal as being the main researcher and key person to be assigned to the project. The university acknowledges and agrees, that the award of this Agreement was based, in part, on its ability to manage the project, and the qualifications, experience, and capacity of the university’s aforementioned Principal Investigator(s) and team. The university shall notify the department in writing within fifteen (15) calendar days when a Principal Investigator leaves the project team and shall propose a replacement for the department’s review and written consent.”

Article II of the NDOT Service Provider Research Agreement (used for entities other than universities) states: “A key person is defined as any individual identified by the Service Provider in its proposal as being part of the team to be assigned to the Project. The Service Provider acknowledges and agrees, that the award of this Agreement was based, in part, on its ability to manage the Project, and the qualifications, experience, and capacity of the Service Provider ’s aforementioned key persons and team. The Service Provider represents, warrants, and covenants that such key persons are and shall continue to be available to undertake and perform all services identified herein and fulfill the roles identified in its proposal. The Service Provider shall notify the Department in writing within ten (10) calendar days when a key person leaves the Project Team.

a. If a key person leaves the Project team, the Service Provider shall promptly propose a replacement within thirty (30) calendar days to and for the Department’s review and written consent.

b. The Department shall have the unilateral right to terminate this Agreement:

1. If a key person leaves the Project team for a reason other than death, retirement, incapacitation, or leaving Service Provider’s employment (including the employment with Service Provider’s affiliates, subsidiaries, and parent companies/organizations);

2. If a key person listed by the Service Provider in its proposal to perform or supervise various aspects of design is changed or leaves the Project team; or

3. If the Department does not accept the Service Provider’s proposed key person replacement.

c. If this Agreement is terminated pursuant to the above, the Service Provider shall be paid for actual costs incurred for all services rendered and accepted by the Department, along with an amount of fee proportional to the work completed as of the date of termination. Additionally, the Service Provider shall not be entitled to any settlement costs, if any. Such termination shall not occur if the Service Provider provides a replacement that is acceptable to the Department within thirty (30) calendar days of the date when the key person is changed or has left the Project team.”

 

What are the “Start Dates” and “End Dates” of a project?
The Start Date is the date an Agreement is fully executed. Work cannot begin and researchers cannot charge to the project until the start date. The first invoice of a project cannot charge for time BEFORE the execution date of the agreement.  The last invoice of a project cannot charge for time AFTER the end date of the agreement.

The End Date is based on the project schedule as proposed by the researcher and is discussed and affirmed in the pre-Agreement/negotiation meeting(s). Research must not continue, and payments cannot be made, for work beyond the end date. Changes to the end date must be through a written Amendment following NDOT’s process. Emails approving additional time do not count as an amendment and cannot be honored. 

Can the project budget be increased?
The project budget is identified in the researcher’s proposal and agreed upon as part of the agreement process. Once the agreement is executed, this amount CANNOT be increased (even through an amendment to the agreement) and cannot be exceeded when invoicing. However, if funding needs to be moved around within the categories, and within the approved budget, refer to: What do I need to do to submit a budget revision request? 


When do I need to submit my Quarterly Progress Report?
The completed Quarterly Progress Report Form needs to be submitted by the Principal Investigator to NDOT Research no later than two (2) weeks after the end of the quarter (by the 15th of the month), to allow the Research Section sufficient time to submit the compiled progress reports to FHWA. In addition, Quarterly Progress Reports must be submitted throughout the duration of the project.  If a project ends at some point during a quarter, a Quarterly Progress Report encompassing the time from the beginning of that quarter through the end of the project within that same quarter, must be submitted.

Since NDOT Research uses federal funding, we operate on the federal fiscal (FFY) calendar schedule. The quarters are listed below.. As a courtesy, NDOT Research sends quarterly report reminders at the end of each quarter.

• Quarter 1:  Oct-Dec
• Quarter 2:  Jan-Mar
• Quarter 3:  April-June
• Quarter 4:  July-Sept

Contact Research Analyst, Melissa DeMattei (melissa.demattei@dot.nv.gov) to obtain a current Quarterly Progress Report Form.

What are Quarterly Progress Meetings?
At a minimum of once per quarter throughout the length of the project, the Research Team must schedule a meeting, either in-person or online, with the project champion and NDOT Research to share progress made on the project. The meeting can be more often, but quarterly is the minimum. At this time, the champion may bring up any issues he or she has about the direction of the research and offer input. Quarterly progress meetings help keep the research on track and to ensure everyone involved is up to date on project details.

What are Agreements and Amendments to Agreements?
See: When can a research project begin?.

What are "Fringe Rates"?
Fringe refers to a line in a budget that covers the cost of benefits for a salaried member of the project team, whether they are the Primary Investigator, a graduate or postdoctoral researcher, or a non-faculty contributor who receives benefits from the university; fringe only applies to universities in the context of the agreements NDOT enters into with researchers.


What are Direct and Indirect Costs?
Direct Cost is the sum of Personnel Pay, Fringe Benefits, Travel, Operating Costs, Services, Report Completion, first $25,000 of Subcontracts, and other related costs.
Indirect Cost is a negotiated percentage of the total Direct Cost; institutions vary on these percentages
In addition, Total Project Cost is the sum of the total Direct Cost, Indirect Cost, Student Tuition (if applicable), and Contractor Fees exceeding $25,000 (if a sub-award/subcontract is used).

Universities frequently have different Indirect Cost (IDC) rates dependent on funding sources or where work is performed (e.g., federal funds are charged a higher IDC, while state funds are charged at a lower rate; or “on campus” and “off campus” charges are at different rates). In these cases, the University must provide a composite or average indirect cost rate to ensure a consistent and accurate calculation of fees. 

In more simplified terms, direct costs include the cost that is involved in creating, developing, or releasing a product or service, whereas indirect costs are expenses that are not tied to a particular product or service. The terms indirect costs, overhead costs, and faculties and administrative costs (F&A) costs are synonymous.

 
What is the "Scope of Services"?
The researcher’s proposal serves as the scope of services, and will be affirmed or revised in the pre-agreement/negotiation meeting(s). 

What do I need to do to submit a budget revision request?
In order to process a budget revision request for your project, please complete and submit a Budget Revision Request form. Be sure to fill in the justification at the bottom of the form as well. Please contact Research Analyst, Melissa DeMattei (melissa.demattei@dot.nv.gov), to obtain a current copy of the Budget Revision Request form. You can also request a current Account Distribution Report for your project so that you may reference our record of remaining balances.

Can I request more time to finish my research project?
Time extensions are granted only in cases where there is sufficient justification and extenuating circumstances outside the control of the principal investigator. NDOT Research should receive a request for a no-cost time extension at least 60 calendar days in advance of the original project expiration date. A project time extension is granted wholly at the discretion of the Department. If the Department does grant a time extension, an amendment to an agreement will be created as a no-cost time extension. No-cost time extension requests may be scrutinized by the Transportation Board, even though no additional funds are involved in the Agreement.

What information needs to be included with an invoice?
Invoices must include backup documentation that details the specific charges on the Invoice. The NDOT Accounting Division will not accept Invoices that do not contain backup documentation detailing expenditures. Adequate backup documentation includes timesheets or equivalent time tracking, supply purchase receipts, travel receipts following GSA guidance (e.g., hotel, parking, and transportation), and subcontract invoices. Additional receipts may be needed depending on the categories being billed for each project. 

Invoices must be submitted no later than 30 calendar days from the end of each quarter.
See also: When do I need to submit my Quarterly Progress Report?


What are the requirements for submission of Final Reports?
A final report is required for all NDOT Research projects. Principal Investigators will need to contact Research Analyst, Melissa DeMattei (melissa.demattei@dot.nv.gov), for instructions and a current list of of required forms forms and documentation.