GIM 1 Revisedrefreshed . updated . streamlined

MRAM . May 8, 2014

GIM 1

Review and Submission Requirements for Proposals

Effective May 12, 2014

Principal Investigator (PI)

The PI is responsible for ensuring each component of the proposal is

complete, accurate, and meets all programmatic, administrative, and

compliance requirements prior to its submission to OSP. The PI must provide the proposal on an eGC1 and indicate

it is Ready to Submit to a sponsor, consistent with the requirements of

GIM 19. The PI has made all assurances on the eGC1.

OSP

In accordance with UW Executive Order 34,

as authorized signing official and as delegated by the Vice

Provost for Research, OSP approves, signs, and transmits

proposals to external sponsors.

Today we will…

Define a proposal OSP Review – when, what is

included, what is not included Standard Procedures

OSP Review Comments Re-review Submission

Resources for Campus

Proposal - Defined

An application submitted by the UW on the recommendation of the PI to an external sponsor seeking funding or other support for a project.

Generally, a proposal contains: Scope of work Budget Budget justification Collaborator letters of intent Other sponsor-required documentation

Proposals – Definition Con’t.

Proposals are applications that are typically submitted in competition with other applicants.

Usually in response to a broadly-distributed sponsor-issued solicitation for funding, request for proposal, or other funding opportunity announcement.

Competing Proposal Types

New Resubmission Competing Renewal Competing Revision Competing Supplement Transfer to the University requiring

application materials

What’s Not a Proposal

Progress Report (i.e., RPPR) After-the-Fact (ATF) Industry-Sponsored Clinical Trial Sponsored Program related

Agreement

These are reviewed using review criteria applicable to the item.

OSP Review

Begins: When eGC1 is in “In OSP” Status The program information in eGC1 is

complete and consistent with associated proposal

Ready to Submit (RTS) may be answered either Yes or No

eGC1 Returned Without Review

Incomplete eGC1s – fields left unanswered so as to prevent meaningful review

eGC1s containing significant inconsistent info with the attached proposal

eGC1s that do not contain proposal documents

NOTE: The “IN OSP” date for these eGC1s will not be counted as meeting GIM 19 deadlines.

OSP Review Criteria for Competing Proposals1 Eligibility requirements are met.

2 Formatting, page limit and technical requirements are followed; University data is correct.

3 Specific sponsor budgetary requirements are met.

4 F&A costs are calculated in accordance with GIM 13.

5 Proposal meets cost share requirements, and cost share contributions are approved by the paying unit/party.

6 All required documentation for subawards is included in the proposal.

7 Requisite compliance approvals have been obtained and compliance information is complete.

Why Those Criteria?

Proposal meets institutional policies Consistent treatment by OSP

Reviewers Able to make the necessary

representations, certifications and assurances to an external sponsor

Manage UW institutional risk Ensure a successful submission to

the sponsor Ensure hard deadlines can be met

OSP Does Not Review (1 of 2)1. Grammar, spelling, sentence structure, jargon,

scientific and technical terminology, punctuation, and abbreviations.

2. Grantsmanship, including strategy, persuasiveness, and significance.

3. Scientific and technical merit.4. Correct application of non-research related UW

policies, such as academic human resource rules.5. Academic value of the research activity.6. Reasonableness of the commitment of faculty

and staff effort, and possible impacts to teaching and other obligations.

OSP Does Not Review (2 of 2)7. Facilities and resources listed are available for

use.8. Accuracy of salaries listed for individuals,

including faculty and staff.9. Sufficiency, adequacy, appropriateness, and

accuracy of the budget for the proposed research/activity (see GIM 2).

10. Department or School/College PI eligibility rules.

11.Debarment, suspension or ineligibility status of key personnel.

12.Qualifications and training of personnel to carry out the proposed research or other activity.

OSP Relies on PI Assurances

Assurances and Certifications are made by the PI when he/she approves the eGC1

Proposal is Ready to Submit (when RTS = yes)

Necessary SFI disclosures made per GIM 10

Key personnel are not debarred, suspended

Statements are true, accurate and complete

Responsible for scientific conduct University policy will be followed

Criterion 1

The Proposal meets eligibility requirements.

Limited Submission PI not listed on the OSP Closeout

Delinquency List

Other examples: Sponsor requires that PI has certain degree; that UW qualifies as applicant entity type specified by Sponsor (e.g. “IHE” versus “must be 501(c)(3)”)

Criterion 2

The proposal meets sponsor formatting, page limit, and technical requirements and the business data is correct.

Sponsor-specific documented requirements are met so submission via a system is expected to be successful.

UW institutional data is accurate.

Criterion 3

The proposal meets sponsor’s specific budgetary requirements.

The budget is within limits imposed by sponsor.

Items of cost listed in budget are not explicitly deemed unallowable by sponsor.

Criterion 4

F&A costs are calculated in accordance with GIM 13 unless sponsor publishes a cap, the sponsor is listed on the non-profit list, or an F&A waiver is granted.

Examples: off-campus location is using off-campus rate; split rates are appropriate per rate agreement; if F&A is not included in budget, dept has provided a published sponsor policy or has an F&A waiver in place.

Criterion 5

Proposal meets cost share requirements.

If mandatory or prohibited by sponsor, proposal is consistent with this requirement.

If cost-share presented, it is intended as cost-share by the PI/dept.

All cost share (mandatory and committed) is supported by approval by the cost-sharing UW unit on the eGC1 or if third-party cost-share, a letter of commitment from third-party.

Criterion 6

All proposed subrecipients meet the documentation requirement in GIM 7.

Subawardee documents are provided on eGC1: Letter of Intent or Facepage signed by

institutional official Scope of work Budget Budget justification Any sponsor-required documents

Criterion 7

Requisite compliance approvals are met.

SFI disclosures are completed per GIM 10. Human Subjects, Animal Subjects – JIT or if

we certify we have approval, that approval is in place.

Sponsor specific regulatory assurances/certifications can be made.

We are not submitting to an entity within a country under a comprehensive embargo.

Standard OSP Procedures We use the seven (7) criteria for review.

Comments by OSP will be sent to the PI and Department Contacts after initial review:

o Required changes – must take place prior to submission to the sponsor

o Recommended changes – are recommended by OSP based on its review to enhance compliance or responsiveness

Re-Review

If a proposal is reviewed and changes are requested, the proposal will be re-reviewed when it is routed back to OSP, but this is limited to:o Programmatic additions comply with formattingo OSP Reviewer Comments were addressed

We encourage campus to acknowledge all changes (required and recommended) in the order they were presented in our Review.

Example of Campus Response1. OSP – Failure to received Limited Submission Committee approval

will preclude submission of the application. Please attach the Committee’s approval to the eGC1.• Campus – Please see letter now attached

2. OSP – Use of special characters in the File Name is known to cause Errors upon submission via Grants.gov, per SF424 Guide. Please rename.• Campus – The attachment has been renamed and uploaded

3. OSP – Cost-share is prohibited by the sponsor per the funding announcement, however, the budget/budget justification reflects effort on the part of ___ without a commensurate request for salary. Please revise the budget to remove the cost-share commitment.• Campus – We have included a salary request for ___’s effort

4. OSP - Missing Letter of Intent , signed by the authorized official, from Yale. A letter from Yale’s PI does not suffice.• Campus – letter is now included (we were waiting on Yale)

Timeline

OSP Review comments are provided or an OSP touchback to PI/dept is provided in 2 business days

E.g. Arrives “In OSP” on Monday afternoon; response from OSP by end of business Wednesday, e.g.:

o Full review with OSP Reviewer Comments

o I am in the middle of reviewing your Proposal; I will provide reviewer comments momentarily

o I have been assigned your proposal for review because I am on coverage for __. I will be providing my Review Comments shortly.

Submission to Sponsor

Must give OSP access to proposal in sponsor system, if applicable (e.g.Fastlane)

OSP will upload* copy of submitted version to eGC1; this is the system of record.

*Sometimes we need the full submitted copy from PI/dept, if sponsor system precludes access to final submitted version by anyone other than PI.

Thank you

Before finalizing this policy and guidance, significant feedback and

testing was performed.

OSP Pilot Group – tested review criteria Dean & Dept Group provided feedback Report given to the Faculty Council on

Research (FCR)

Survey Coming

To measure the effectiveness of the new policy, guidance and process

eGC1 Admin Contacts for competing proposals arriving in OSP between May 13th and June 5th will receive a survey

New Web Resources

New OSP Prepare Proposal webpages

(phase I).

Additional pages are coming this spring/summer; MRAM overviews of content will be provided.

MRAM

Your feedback or questions