New Research Administration Demonstration Training Series · 2014. 7. 3. · Office of Business...

Office of Business Affairs Sponsored Programs Administration

Research Administration Demonstration Training Series

UTSW Proposal Development & Submission

Jamie F. Wilson

Supervisor, Pre-Award Administration (Proposals)


Lifecycle of an Award

SPA

Identify Funding Opportunity

Develop a Proposal

Award Acceptance

Award Management

Award Closeout


Objective

• Eliminate variation and promote consistency throughout the proposal submission cycle

• Decrease the margin of error and return ratio of a proposal once submitted to SPA

• Promote awareness through in-depth comprehensive documentation of processes

• Answer the WHY behind the processes

• Foster more efficient working relationship between SPA and the Research Community


Process Map

• eGrants Proposal (i.e. Funding Proposal, Continuation, Modification) creation and initiation begins with the PI and/or Department

• PI/Department initiates SPA review (Submit for Review and Departmental and Division Approvals)

• SPA reviews/audits proposal and reconciles with Department

• AOR approves proposal and carries out submission (some sponsors require submission by PI)


When & Why to utilize eGrants

Initiated & Routed in eGrants

Initiated & Routed Outside of eGrants

(Utilize existing FP for historical record)

Not routed in eGrants (Utilize existing FP for

historical record)

New proposals Just in Time Sponsor Correspondence

Competitive Renewals Award Terminations/Closeouts

Pre-Applications (any requested information before official invitation to apply)

Proposal Resubmissions Post Submission Material

Award Revisions Request(s) for award modifications requiring sponsor approval

Continuations (non-competing renewals)

Award Transfers

Award Terminations/Closeouts


Who can utilize eGrants?

• All UTSW personnel can access eGrants

• Read-only rights and Edit rights are available

• All users are required to complete and submit an eResearch Access Request Form in order to be granted access. Personnel who have not completed/submitted a form will not only be prohibited to access eGrants, but will not be available in eGrants to select/add to a FP. Individuals will have to be added as TBD until the form is submitted.


Improving Accuracy Common errors (top 5 sponsors)

• National Institutes of Health (NIH)

Commons ID for all PD/PI’s listed

Change/Corrected Application (requires Grants Tracking Number)

Federal Identifier renewals & resubmissions 2 Letter NIH institute + 6 digit serial number (ex. CA012345)

Project Dates

Cover Letter content

Non-Grants.gov Submission – Incoming Sub-Award Prime guidelines (i.e. submission details, project period, budget limitations, effort, etc) Statement of Work (SOW) Budget & Budget Justification Consortium Letter DHHS Agreement

Budget Justification

IACUC and IRB Protocol Approval Status new & renewals = Pending Point 5 of the Vertebrate Animal – is method of euthanasia consistent with AVMA guidelines?

Sponsor Information (1.5) NIH = Specific NIH Institute Flow Through = Prime Institution

Fellowship/Training Grants – mentor should be listed on page 3.0 Personnel Costs

Modular Budgets – $250k Direct Cost limit, $25k increments Personnel justification only



• NIH Continued

Other Significant Contributors

Senior key personnel, per NIH definition

Do not have measurable effort or salary

Bio-sketch should be included

UTSW faculty requirement

Cannot be listed as consultant (exception = AHA)

Minimum of 3% effort

Cannot be overcommitted

• Cancer Prevention and Research Institute of Texas (CPRIT)

State and Legislative Districts

State Senate District – 23

State House District – 100 (South Campus) 103 (North Campus)

Bio-sketches – limited to 2 pages (exception MIRA projects = 5 pages)

Indirect Cost rate = 5% of Total Costs (actual rate = 5.263% of DC)

Salary Cap = $200,000

Effort should be reported in percentage



• Department of Defense (DOD) Application Filing Name = CDMRP Log Number (e.g. PC13####, BC13####, etc.)

Credential, e.g. Agency Login Field = PI’s username provided from CDMRP



• DOD Continued Pre-Application (section 20 of SF424)

Do Not include unless specified in FOA Other Support (Previous/Current/Pending)

Title Time Commitments Supporting Agency Name & Address of Funding Agency’s Procuring Contracting/Grants Officer Performance Period Level of Funding Brief Description of Project Goals Specific Aims Clearly state if there is overlap

• Welch Foundation

Formatting – very specific Single spaced/5 lines per vertical inch 1 inch margins

Bio-sketch – 2 page limit Progress Reports and Budgets require original signatures

• American Heart Association (AHA)

UTSW personnel can be consultants AAALAC effective/accreditation date – 7/3/2014


Grantsmanship vs.

Compliance

Created to convey a clear distinction between what SPA recommends versus what is required and/or what will hinder a successful submission.

3 Different Entities involved: (1) Federal Government

(2) University of Texas System (3) Sponsor


Grantsmanship Component

• Point 5 verbiage of the Vertebrate Animals Section (method of euthanasia consistent with

AVMA)

• Inclusion of Additional Narrative (Modular Budgets)

• Inclusion of only Personnel Justification for Modular Budgets

• Clearing Modular Offset in eGrants

• Inclusion of Resource Sharing Plans

• Other Significant Contributors reporting no effort or salary and being designated as Key Personnel

• Budget Discrepancies

• Budget Justification Discrepancies

• Attachment of additional documents throughout application (ex. Other Attachments, LOS, Appendix)

• Effort reporting - calendar months vs. percentage (NIH Specific)

GRANTSMANSHIP ITEMS


Compliance Component

• Federal Identifier must be accurate

• Faculty must devote a minimum of 3% effort

• PD/PI’s must have a faculty appointment to apply

• Commons ID must be accurate for PD/PI(s)

• Page Limitation for Science Related documents (i.e. Bio-sketch, Specific Aims, Research Strategy, Introduction, Responsible Conduct of Research, Mentor Statements, Candidate Information, etc.)

• Application of the correct F&A rate

• Institutional Base Salary must be utilized (salary augmentation disallowable)

• Bio-sketches for all Key Personnel

• Proper F&A Exclusions (i.e. tuition, capital equipment - over $5k, subcontracts, patient care costs, renovation/rental fees)

• Individuals cannot be included on the budget without effort

• Project Dates must be consistent throughout application (Application vs. Budget)

• Correct Budget Template must be utilized based on Direct Costs limit (Modular vs. Detailed)

• If Human Subjects are included, whether exempt or not, all 3 attachments are required (Protection of Human Subjects, Inclusion of Women, Inclusion of Children)

• If Vertebrate Animals and/or Human Subjects are included, the Assurance number is required

COMPLIANCE ITEMS


Federal Requirement

• Federal Identifier (grant number = institute code + 6-digit serial number)

• Commons ID (must be affiliated with current institution)

• Pagination / Page Limitation

• Application of correct F&A rate

• Bio-sketches for key personnel

• Proper F&A Exclusions

• Individuals cannot be included on a budget without effort

• Consistent Project Dates

• Budget Template (Modular vs. Detailed)

• IACUC and IRB protocol approvals

• Vertebrate Animal and/or Human Subjects assurance number


UT System Requirement • Institutional Base Salary (salary augmentation disallowed)

• Minimum Level of Committed Effort (3%)

• Maximum Level of Committed Effort (based on position level)

• Eligible PD/PI – Faculty

Professor

Associate Professor

Assistant Professor

Instructor

Faculty Associate

• Non Faculty – must have a faculty sponsor or mentor to submit

Assistant Instructors

Postdocs

Graduate Students

Appointment Max % Effort

Min % Effort

Department Chairman / Division Director 85 3

Faculty w/Administrative Responsibilities 90 3

Faculty w/o Administrative Responsibilities 95 3

Faculty Mentor 95 0

Other Significant Contributor 95 0

Instructor 100 0

Post Doc 100 0


Effort Conversion Table

UT Southwestern Percent Effort Conversion Table

% Effort Calendar Months % Effort Calendar Months 100% 12.0 75% 9.0 99% 11.9 74% 8.9 98% 11.8 73% 8.8 97% 11.6 72% 8.6 96% 11.5 71% 8.5 95% 11.4 70% 8.4 94% 11.3 69% 8.3 93% 11.2 68% 8.2 92% 11.0 67% 8.0 91% 10.9 66% 7.9 90% 10.8 65% 7.8 89% 10.7 64% 7.7 88% 10.6 63% 7.6 87% 10.4 62% 7.4 86% 10.3 61% 7.3 85% 10.2 60% 7.2 84% 10.1 59% 7.1 83% 10.0 58% 7.0 82% 9.8 57% 6.8 81% 9.7 56% 6.7 80% 9.6 55% 6.6 79% 9.5 54% 6.5 78% 9.4 53% 6.4 77% 9.2 52% 6.2 76% 9.1 51% 6.1

UT Southwestern Percent Effort Conversion Table

% Effort Calendar Months % Effort Calendar Months 50% 6.0 25% 3.0 49% 5.9 24% 2.9 48% 5.8 23% 2.8 47% 5.6 22% 2.6 46% 5.5 21% 2.5 45% 5.4 20% 2.4 44% 5.3 19% 2.3 43% 5.2 18% 2.2 42% 5.0 17% 2.0 41% 4.9 16% 1.9 40% 4.8 15% 1.8 39% 4.7 14% 1.7 38% 4.6 13% 1.6 37% 4.4 12% 1.4 36% 4.3 11% 1.3 35% 4.2 10% 1.2 34% 4.1 9% 1.1 33% 4.0 8% 1.0 32% 3.8 7% 0.8 31% 3.7 6% 0.7 30% 3.6 5% 0.6 29% 3.5 4% 0.5 28% 3.4 3% 0.4 27% 3.2 2% 0.2 26% 3.1 1% 0.1


Sponsor Requirement

• Federal Identifier (grant number = institute code + 6-digit serial number)

• Pagination / Page Limitation

• Application of correct F&A rate

• Bio-sketches for key personnel

• Individuals cannot be included on a budget without effort

• Consistent Project Dates

• IACUC and IRB protocol approvals


Roles & Responsibilities PI/Department SPA Primary Entity for Joint Roles

eGrants Proposal Creation Initiation of Proposal Review Timeliness of Review and Submission PI/Department

Completeness PI/Department

Accuracy PI/Department

Attachment (Science) Upload Budget Entry Budget Accuracy PI/Department

Completion of Sponsor Required Forms PI Assurances/Final Attachments Proposal Submission SPA

Post Submission Material (Submission)


Planning & Timing

14 Days Prior to

Deadline

12 Days Prior to

Deadline

10 Days Prior to

Deadline

5 Days Prior to

Deadline

4 Days Prior to

Deadline

3 Days Prior to

Deadline

2 Days Prior to

Deadline

Deadline

PI/DA submits

proposal for SPA review

Department and/or

Division Chair issues

approval

SPA performs preliminary review and returns to

department for requested

edits

Submission review

conducted by AOR

Email notification reminding

department of Final Science

deadline approaching

Email notification to

department that Final

Science and PI

Assurances are due

Email notification reminding department that Final Science

deadline has passed and SPA review

will be compressed

3 email notifications reminding department

that the deadline is

quickly approaching

and that proposals will be submitted

“as is” to maintain the opportunity for funding


Defined Science Components

The Science Components, defined by UTSW, are required to be finalized and submitted to SPA 3 days in advance of the deadline by the PI/Department.

Final Science

Senior Key Personnel Profile

Biographical Sketch

Other Project Information Project Summary/Abstract

Project Narrative

Bibliography/References

Facilities & Resources Research Plan Introduction to Application

(when applicable)

Specific Aims

Research Strategy

Resource Sharing Plan


Additional Science components

Final Science

Fellowships (F series)

•Respective Contributions •Selection of Sponsor and Institution •Responsible Conduct of Research •Goals for Fellowship Training and Career •Activities Planned Under this Award •Doctoral Dissertation and Other Research Experience •Sponsor(s) and Co-Sponsor(s)

Career Development

Awards (K series)

•Candidate’s Background •Career Goals and Objectives •Career Development/Training Activities During Award Period •Research Strategy •Training in the Responsible Conduct of Research •Mentoring Plan •Plans and Statements of Mentor and Co-Mentor(s) •Description of Institutional Environment •Institutional Commitment to Research Career Development

Training Grants (T series)

•Background •Program Plan •Recruitment and Retention Plan to Enhance Diversity •Plan for Instruction in the Responsible Conduct of Research


NIH Page Limits Fellowships (F)

Section of Application Page Limits* (if different from FOA, FOA

supersedes)

Introduction to Application (when applicable) 1

Specific Aims 1

Research Strategy 6

Respective Contributions 1

Selection of Sponsor & Institution 1

Responsible Conduct of Research 1

Goals for Fellowship Training & Career 1

Activities Planned Under This Award 1

Doctoral Dissertation & Other Research Experience 2

Sponsor(s) & Co-Sponsor(s) 6

Bio-Sketch 5


NIH Page Limits Career Development Awards (K)


supersedes)

Introduction to Application 1

Specific Aims 1

Candidate’s Background, Career Goals & Objectives, Candidate’s Plan for Career Development/Training Activities During Award Period, and Research Strategy

12 (all sections combined)

Background, Program Plan, and Recruitment & Retention Plan to Enhance Diversity (Institutional Career Development - K12, KM1, and KL2 only)


Training in Responsible Conduct of Research 1

Plan for Instruction in the Responsible Conduct of Research (Institutional Career Development - K12, KM1, and KL2 only) 3

Candidate’s Plan to Provide Mentoring 6

Plans & Statements of Mentor and Co-Mentor(s) 6

Letters of Support 6

Description of Institutional Environment 1

Institutional Commitment to Candidate’s Research Career Development 1

Bio-sketch 5


NIH Page Limits Training Grants (T)


supersedes)

Introduction to Application (Resubmission) 3

Introduction to Application (Revision) 1

Specific Aims 1

Background, Program Plan, and Recruitment & Retention Plan to Enhance Diversity (includes International Training – D43, D71, and U2R)


Plan for Instruction in the Responsible Conduct of Research (includes International Training – D43, D71, and U2R)

3

Bio-Sketch 5


NIH Page Limits Research Grants (R)

Section of Application Activity Code Page Limits* (if different

from FOA, FOA supersedes)

Introduction to Application All Codes 1

Specific Aims All Codes 1

Research Strategy

R03, R13, R21, R36, R41, R43 R01, R15, R18, R21/R33, R24, R28, R33, R34, R44, RC2, RC4, RF1

6

12

Commercialization Plan R42 and R44 12

Research Education Program Plan R25 (Research Education) 25

Bio-Sketch All Codes 5


NIH Page Limits All Other Application Types

Section of Application Activity Codes Page Limits* (if different from FOA, FOA supersedes)

Introduction to Application All Codes 1

Specific Aims All Codes 1

Research Strategy

DP1 U13, SC2, SC3, X01 DP2 U18, U24, U34, U42, U44, DP3, DP5, G08, G11, G13, SC1, SI2, U01, UH2, UH3, UG1, UC4, UH2/UH3, X01, X02, UC2, UF1, U2C

5 6

10

12

Research Education Program Plan DP7 (Research Education) 25

Bio-Sketch DPI and DP2 2


Facilities and Administrative Costs (F&A)

• UTSW current rate = 61.5% (9/1/2014 – 8/31/2016)

= 62% (9/1/2016 – 8/31/2018)

# of months

during budget period at 61.5%

# of months during budget period at 62%

Rate to apply (Grid: Inflation

& Indirect Rates)

1 11 61.96%

2 10 61.92%

3 9 61.88%

4 8 61.83%

5 7 61.79%

6 6 61.75%

7 5 61.71%

8 4 61.67%

9 3 61.63%

10 2 61.58%

11 1 61.54%


Off-Campus Rate

• UTSW current rate = 26%

• Applied for all activities performed in facilities not owned by the institution and to which rent is directly allocated to the project(s).

• Example: PI is a full time employee of UTSW but is conducting research at the Dallas Veteran’s Affairs Medical Center (VA). The PI, lab, materials, etc. are all located at the VA and utilized solely in the VA Hospital.

UTSW PI THR Presby, Children’s Medical, etc.

Performing research at

http://previews.123rf.com/images/angellodeco/angellodeco1306/angellodeco130600012/20271236-a-scientist-holding-a-petri-dish-in-the-lab-with-a-monitor-and-microscope-in-background.jpg


F&A Exclusions

Modified Total Direct Cost (MTDC) is the basis and is utilized more frequently.

• Consortium Costs • Equipment over $5,000 (capital equipment) • Tuition • Patient Care Costs • Alterations and Renovations NOTE: These costs should be subtracted from the direct costs before applying the indirect cost rate. ***If consortium costs are deducted, $25,000 must be added back for each sub-recipient before applying the indirect cost rate. If the total consortium costs (directs + indirects) for each sub-recipient exceed $25,000 in the first budget year, the total $25,000 would be added back only for the first year. If the total consortium costs do not exceed $25,000 in the first year, the total amount for the first year would be added back and the remainder of the $25,000 would be added in the subsequent years.


Funding Proposal Review Checklists

• Top 5 Sponsors 1) American Heart Association (AHA)

2) Cancer Prevention Institute of Texas (CPRIT)

3) Grants.Gov

National Institutes of Health (NIH)

Department of Defense (DOD)

4) Non-Grants.gov

Flow Throughs

Proposal Central Submissions (i.e. ADA, ALS)

Fastlane Submission (i.e. NSF)

5) Welch Foundation

• Based on what SPA/AOR reviews

• Tremendous reduction in margin of error and number of times returned


AMERICAN HEART ASSOCIATION (AHA)

ü ITEM

Be sure to review the Funding Opportunity Announcement before proposal preparation and execution of the review.

eGRANTS FUNDING PROPOSAL

Verify title reflects the AHA application

Verify start date entered in eGrants reflects the start date in AHA

Verify proposal is denoted as Non-Grants.gov (2.2)

Verify section 7.0 Sponsor Information includes AHA guidelines (Funding Announcement)

Verify items in Compliance reflect what has been selected in the AHA application (Vertebrate Animals, Human Subjects, etc.)

Verify all required application components are attached on page 19.0 or in Miscellaneous Attachments (preferably as one appended PDF)

eGRANTS BUDGET

Verify Sponsor salary cap, if applicable

Verify F&A rate(s) are in compliance with Sponsor guidelines

If F&A is not allowed, verify a Sub-ledger number is provided (2.1.1)

Verify whether or not there is cost sharing and indicate in eGrants (2.2 and 2.2.1)

Verify effort for PI and other Faculty is at least 3% or 0.4 calendar months and is captured on page 3.0 Personnel Costs

Verify stipends and research/institutional allowance is captured on page 9.0 General Costs

Verify budget reflects the AHA budget

Verify a copy of the AHA budget is attached on page 10.0

Verify the budget justification reflects the budget

Verify the budget complies with the FOA guidelines

GRANTS@HEART

18 Verify Professional Time Usage Details totals 100%

19 Verify Applicant’s total effort devoted to this project reflects the effort indicated in eGrants

20 Verify Grants Officer (Cheryl Anderson) and Fiscal Officer (David Ewing)

21 Verify Budget Details reflect the budget entered into eGrants

22 Verify Funds Available (Other Support)

23 Verify Research Subjects/Assurances reflect the Compliance section in eGrants

24 Verify the AAALAC date and Animal Welfare Assurance number (if applicable)

25 Verify all required attachments are uploaded in the designated section

SUBMISSION PROCESS

26 Verify proposal has been submitted to SPA on the AHA webiste; state = "SubmittedtoGO"

27 Verify corresponding funding proposal has been approved in eGrants

27 Verify proposal has been successfully submitted by SPA via the AHA application portal; state = "Submitted"


CANCER PREVENTION AND RESEARCH INSTITUTE OF TEXAS (CPRIT)

NO. ü ITEM

1 Be sure to review the Funding Opportunity Announcement before proposal preparation and execution of the review.


2 Verify title reflects the CPRIT application

3 Verify start date entered in eGrants reflects the start date in the CPRIT application

4 Verify proposal is denoted as Non-Grants.gov (2.2)

5 Verify section 7.0 Sponsor Information includes CPRIT guidelines (Funding Announcement)

6 Verify items in Compliance reflect what has been selected in the CPRIT application (Vertebrate Animals, Human Subjects, etc.)

7 Verify all required application components are attached on page 19.0 or in Miscellaneous Attachments (preferably as one appended PDF)

eGRANTS BUDGET

8 Verify Sponsor salary cap ($200,000)

9 Verify F&A rate is in compliance with Sponsor guidelines (5.263%) NOTE: eGrants applies only 5.26%, therefore, the total amount may be slightly different from the total amount in the CPRIT application. However, the total direct costs should reflect one another.

10 Verify whether or not there is cost sharing and indicate in eGrants (2.2 and 2.2.1)

11 Verify effort for PI and other Faculty is at least 3% or 0.4 calendar months and is captured on page 3.0 Personnel Costs

12 Verify budget reflects the CPRIT budget

13 Verify a copy of the entire CPRIT budget is attached on page 10.0

14 Verify the budget justification reflects the budget

15 Verify the budget complies with the FOA guidelines

16 Verify any sub-award budgets are itemized in the budget justification, and the sub-award IDC is not included in UT Southwestern’s Direct Costs

CGMS

17 Verify the title reflects what is indicated in eGrants

18 Verify the DUNS and EIN numbers are correct

19 Verify Application Signing Official (Cheryl Anderson)

20 Verify the State Senate District (23) and State House District (100 - South Campus) 103 (North Campus)

21 Verify all Key Personnel have been listed as Collaborators

22 Verify all required documents are attached in the designated section. NOTE: bio-sketches should not exceed 2 pages

23 Verify all Other Support has been provided. NOTE: required for the PI, Co-PI, and any individual who's bio-sketch has been included

24 Verify Budget Details reflect the budget entered into eGrants

25 Verify effort is reported in percentage in the budget justification

26 Verify Veterbrate Animals, Biological/Anatomic Substances, and Human Subjects, reflect the Compliance section in eGrants

SUBMISSION PROCESS

27 Verify proposal has been submitted to SPA in the CGMS; state = "Pending ASO Approval"

28 Verify corresponding funding proposal has been approved in eGrants

29 Verify proposal has been successfully submitted by SPA via CGMS; state = "ASO Approved and Submitted"


GRANTS.GOV

NO. ü ITEM

1 Be sure to review the Funding Opportunity Announcement before proposal preparation and execution of the review.


2 Verify title is not truncated; General Information (P.1); and Proposal Information (P.2)

3 If Sponsor is NIH, verify specific NIH institute (i.e. NCI, NIAID, NIDDK, etc.) is entered in the Sponsor field (1.5)

4 Verify COI Statement is current

5 Verify eGrants Start date coincides with the Sponsor start date

6 Verify items selected in Compliance reflect what is selected in the SF424 and have the correct attachments: (Vertebrate Animals, Human Subjects, Special Agents)

eGRANTS BUDGET

7 Verify F&A rate(s)

8 Verify effort for PI and other Faculty is at least 3% or 0.4 calendar months

9 Verify whether or not there is cost sharing and indicate in eGrants (2.2 and 2.2.1)

10 Verify exclusions on the budget (tuition, equipment over $5K, subcontract, etc.)

11 For modular budgets, verify the Additional Narrative Justification is attached if there is a variation in the number of modules requested (including R21s) and/or there are exclusions applied to the F&A base calculation.

12 Verify Modular Offset = 0 across all years

13 Verify budget entered in eGrants reflects the budget in the SF424

14 Verify Salary Cap is $181,500 for NIH and true base salary of personnel is carried over in all years of the budget

15 Verify the budget justification reflects the budget

16 Verify the budget complies with sponsor guidelines

SF424

17 Verify grant number/federal identifier is correct on line 4a (only renewals and resubmissions)

18 Verify all special requirements of the FOA are met (other attachments, budget limits, effort requirements, etc.)

19 Verify Cover Letter is attached and the title matches the title listed on the SF424. If a Renewal or Resubmission, verify FOA and Grant Number are included and correct.

20 Verify Credentials (Commons ID for NIH; CDMRP login for DOD; and AHRQ login for AHRQ)

21 If Human Subjects are involved, verify the following are attached: Inclusion of Women and Minorities and Inclusion of Children

22 If Human Subjects are involved, verify Planned Enrollment Table is selected under Optional Forms and completed

23 If renewal with Human Subjects, verify a Cumulative Inclusion Enrollment Report has been selected under Optional Forms and completed

24 Verify consortium documents and budget are attached if applicable (signed Face Page and/or signed Letter of Intent, Budget (R&R budget if prime is submitting detailed budget and PHS 398 budget pages if prime is submitting a modular budget, F&A Checklist, DHHS Rate Agreement)

25 Verify Multiple PD/PI Leadership Plan is attached if there is more than one PD/PI role listed in key personnel

26 Verify Appendices are comply with Sponsor guidelines and are allowable

27 For DOD, verify CDMRP log number is entered as the "Application Filing Name/Submission Title”

28 For DOD, verify whether application includes a Partnering PI; and if yes, a separate application (SF424) has been submitted per sponsor guidelines

29 For DOD, verify attachment file names comply with guidelines

30 For DOD, verify Other Support includes all information required by sponsor

31 For Fellowships (F series) and Career Development grant (K series), verify career documents and mentor plans are attached

32 For Training grants (T series), verify required tables are attached

33 For Instrumentation grants (S10), verify other support and upload confirmation

SUBMISSION PROCESS

34 Validate Submission in eGrants to check for errors and warnings

35 Create Pre-Submission PDF in eGrants. NOTE: If PDF is blank, one of the attachments is a word document and will need to be converted into a PDF

36 Once AOR has submitted proposal, verify a Grants.gov Tracking Number has been assigned

37 Verify proposal has been accepted by sponsor with no errors/warnings via eRA Commons

38 If application has errors and/or is pulled back for corrections, verify type of submission has been changed from "Application" to "Change/Corrected" (Field 1 of SF424) and the Previous Grants.gov Tracking ID (can be located in eGrants or eRA Commons) has been entered on Line 4c of the SF424


NON-GRANTS.GOV

ITEM



Verify title reflects the Sponsor application

Verify start date entered in eGrants reflects the Sponsor/Prime Recipient's start date

For Subcontracts, verify the Prime Recipient/Institution is entered in the Sponsor field (1.5) and the Prime Sponsor (i.e. NIH, AHA, CPRIT, etc.) is entered in the Flow Through/Prime Awardee field.


Verify section 7.0 Sponsor Information includes sponsor/prime guidelines (i.e. budget restrictions, effort, type of budget, required application components, etc.)

Verify items in Compliance reflect the items selected in the Sponsor application (Vertebrate Animals, Human Subjects, etc.)


eGRANTS BUDGET

Verify Sponsor salary cap, if applicable

Verify F&A rate(s) are in compliance with Sponsor guidelines

If Sponsor does not allow indirects or a minimum of 10%, verify a Sub-ledger number is provided (2.1.1)

Verify effort for PI and other Faculty is at least 3% or 0.4 calendar months

Verify whether or not there is cost sharing and indicate in eGrants (2.2 and 2.2.1)

Verify exclusions on the budget (tuition, equipment over $5K, subcontract, etc.)

Verify budget reflects the Sponsor budget

Verify the budget justification reflects the budget

Verify the budget complies with sponsor guidelines

SUBMISSION PROCESS

18 Verify type of submission (i.e. NSF, ProposalCentral, email, etc.)

19 Verify all documents that require institutional endorsement have been signed, if applicable (i.e. Face Page, Consortium Letter, Cover Letter, Sub-recipient Commitment Form, etc.)

20 Verify which entity carries out submission, SPA or Department

21 Verify proposal has been successfully submitted by SPA via Sponsor portal, if applicable

22 If submitted by Department, verify department is aware the proposal has been approved for submission

23 If e-mail submission by SPA, verify the PI and Department Support individual(s) are copied

24 Verify a single PDF of the Final Proposal and Signed Documents are uploaded under Miscellaneous Attachments in eGrants.


WELCH FOUNDATION

ITEM



Verify title reflects the Welch application

Verify start date is June 1


Verify section 7.0 Sponsor Information includes Welch guidelines (Funding Announcement)

Verify question 8.1 should is “yes” for cap limits

Verify grant period (3 years)


eGRANT BUDGET

Verify grant amount ($60,000/yr)

Verify grant period (3 years)

Verify no F&A has been applied in accordance with Sponsor guidelines and an unrestricted Sub-ledger has been provided on page 2.0 Budget Characteristics.

Verify voluntary cost sharing has been indicated (2.2 and 2.2.1)

Verify effort for PI and other Faculty is at least 3% or 0.4 calendar months and is captured on page 3.0 Personnel Costs

Verify budget reflects the Welch budget

Verify a copy of the entire Welch budget is attached on page 10.0

Verify the budget complies with the FOA guidelines

Verify travel does not exceed $1,500

Verify any postdocs listed have not received foundation support for more than 3 years

WELCH APPLICATION

Verify the title reflects what is indicated in eGrants

Verify font size is 11 pts or higher

Verify line spacing is at least 1.5 inch but no more than 5 lines per vertical inch

Verify all margins are at least 1 inch in all directions

Verify biosketch does not exceed 2 pages

Verify research proposal does not exceed 5 pages

Verify Other Support (if applicable)

Verify PI's status has been confirmed (full-time with tenure or on tenure track); Ira Abrego prepares all letters.

Verify the most current foundation forms are being utilized (updated forms can be accessed via the sponsor website.

SUBMISSION PROCESS

Verify corresponding funding proposal has been approved in eGrants and institutional endorsement has been obtained

PI sends all application materials to The Welch Foundation


Flow-Through Awards

• UTSW = Sub-recipient • Awards (funds) come to UTSW

and are treated the same as Direct 1:1 Awards

• Minimum Requirements for eGrants FP:

Prime information (institution name, Prime PI, address, Signing Official {SO} name, etc.)

Prime guidelines (i.e. budget information, project period, effort limitations, etc.)

Statement of Work (SOW) Budget Budget Justification Face Page Letter of Intent (LOI)


Sub-Awards

• UTSW = Sponsor (Prime Recipient) • Requirements from Sub

Signed Face Page and/or LOI*** Statement of Work (SOW)*** Key Personnel Bio-sketches Resources F&A Checklist*** DHHS Agreement*** Budget

if UTSW submits R&R detailed budget – sub must submit a detailed budget

if UTSW submits a modular budget – sub must submit PHS 398 budget pages

Budget Justification Sub-recipient Profile Questionnaire

(risk assessment) COI Sub-recipient Form Financial Disclosure Form (only

required if sub-recipient does not have a COI policy)

*** items that should be uploaded under Consortium/Contractual Arrangements Section of the SF424


NIH Approved PHS 398 Face Page (approved through 8/31/2015)


Detailed budgets (R&R) vs. Modular Budgets

• Detailed Budget (R&R)

Direct Costs exceed $250,000 per year

All budget categories are addressed

Budget Justification addresses all budget categories

• Modular Budget

Direct Costs are $250,000 or less per year

Requested in increments of $25,000

Detail is omitted

Consortium F&A is excluded from the TDC when determining if DC are $250,000 or less

Budget Justification addresses only personnel

Additional Narrative – provides explanations for any variations in the number of modules requested annually (i.e. F&A Exclusions)


Compliance

Fiscal Compliance

Safety Compliance

Export Controls

Conflict of Interest

Human & Animal

Research

Reporting Compliance

Contractual Compliance


Compliance

• Fiscal Compliance Cost Sharing Effort Reporting Subcontracting

• Safety Compliance Radiation & Laser Biosafety Environmental

• Contractual Compliance Subcontracting Property Management Technical Reporting

• Reporting Compliance Closeouts Invention Statements Financial Reports Publications

• Human & Animal Research IRB IACUC

• Conflict of Interest Financial Commitment Outside Activities Intellectual Property (IP)

• Other Export Controls Material Transfer Agreements

(MTA) Stem Cells Misconduct


IACUC Protocol Approval

• TOPAZ

• Protocols approvals = 3 years Must be renewed or closed before the end of the 3rd year

• Protocol reviews = annually (at least once a year) • Approval date does not re-set with the performance of the annual review or the addition

of a new grant. • Regulations require written notification; however, formal approval letters are only

generated upon request. • The protocol must indicate the grant number; otherwise, the IACUC office will need to

be contacted to confirm approval.


IRB Protocol Approval

• eIRB

• Required to be reviewed annually

• Expedited Review vs. Full Board Review is based on risk

• Expedited Review

minimal risk

reviewed by Chair

• Full Board Review

higher risk

• Human Subjects Training

protection of humans

HIPAA

acceptable clinical practices


Conflict of Interest

• Each Covered Individual must complete COI Training before engaging in research at UT Southwestern Medical Center and at least once every four years thereafter.

Covered Individual – Any person who is required to submit a Statement of Financial Interest and Outside Activities, including: faculty members; exempt UT Southwestern employees, study team members (including students and post-graduate trainees); individuals who may influence the negotiation or execution of research or technology licensing agreements; Institutional Review Board (IRB) members; Institutional Animal Care and Use Committee (IACUC) members; and Conflict of Interest Committee (COI Committee) members.

• a Covered Individual new to UT Southwestern must complete the training before engaging in research, or must provide evidence of having completed the training at another UT System institution within the last four years.

• COI training must be completed immediately if it is found that the Covered Individual is not in compliance with this policy or a management plan, or if the policy is revised in a manner that affects the Covered Individual’s duties.

• The Public Health Service (PHS) COI policy requires all study team members to have a current Statement of Financial Interest (SFI) on file with the COI Office at application stage. The policy expands the definition of investigators beyond key personnel to include individuals who are responsible for the design, conduct, and/or reporting of research.


Questions

SPA Outreach

Nell Cryer, Supervisor (214) 648-0865

Alina Grays

(214) 648-4493

[email protected]

Main Line (214) 648-0860

David Ngo Assistant Vice President

(214) 648-0882 [email protected]

Cheryl Anderson

Director (214) 648-4483

[email protected]

Jamie Wilson Proposal Supervisor

(214) 648-4481 [email protected]

Arriel Stevens,

Contracts Supervisor (214) 648-4139

[email protected]

mailto:[email protected]





New Research Administration Demonstration Training Series · 2014. 7. 3. · Office of Business...

Documents

Transcript of New Research Administration Demonstration Training Series · 2014. 7. 3. · Office of Business...