OSP 106 – How To Avoid Common OSP Submission Errors Office of Sponsored Programs Lunch and Learn Training Series Thursday, April 17, 2014 Margaret Cameron Spain Auditorium

OSP 106 Agenda OSP Mission Statement OSP Basic Submission Types Required Documents for Submission to OSP Top 10 OSP Submission Errors Questions

Office of Sponsored Program Mission Statement The Mission of the Office of Sponsored Programs (OSP) is to promote the initiatives of UAB as a premier research university and academic health center by providing effective guidance and support in the administration of sponsored projects. OSP enhances and facilitates the ability of faculty, staff, and students to achieve their goals through successful competition for external funding while maintaining responsible stewardship of these projects.

OSP Basic Submission Types

OSP Submission Types Five New Types Requiring an RPL with OSP Submission TypeDefinition Original/New Application to fund a new project not currently funded by this sponsor. Competing Continuation/ Renewal Competitive application to secure continued support from the same sponsor for a funded research program (subject to peer review) or an application to the state & local sponsor for an additional term of support based on a currently funded project. Resubmission Revised application to the same sponsor, replacing an earlier application that was not funded. List the OSP assigned number. Change in PI Request to replace the current principal investigator or project director. Enter the Previous PI Name Transfer In Application to relocate a currently-funded project from another organization to UAB.

OSP Submission Types RPL only required if change in responsible personnel TypeDefinition Amendment/Modification Amending one or more provisions of an existing agreement to increase funding. Non-Competing Continuation/Continuation A request for funding of a non-competing continuation award or incremental funding of a current multiyear award which does not compete for funds. The sponsor may require a progress report (e.g. NIH awards or Non-Profit Agency awards). List the award number. Supplement Application for additional funds for a currently-funded project, i.e. minority supplement, research experiences for undergraduates. List the award number. Revised Award An application that proposes a change in 1) the federal government's financial obligations or contingent liability from an existing obligation, or 2) any other change in the terms and conditions of an existing award. No Cost Extension An extension of time to a project period and/or budget period to complete the work of the grant, without additional federal funds or competition.

Documents Required for Submission to OSP

Top 10 OSP Submissions Errors

#10 Extramural Checklist is Not Submitted for a Change of PI When a funded project has a change of Principal Investigator, a Change of PI OSP submission is required. Required documents for a Change of PI submission includes the following; Signed Extramural Checklist (hard copy with wet ink signatures) Original RPL (listing all responsible personnel on the project, not just the new PI) Sponsor required documentation (usually includes a letter, biographical sketch and other support of new PI) A revised RPL instructing to remove the old PI and adding the new PI to the project is not required. A original RPL is a requirement.

#9 Expedited Checklist Missing from OSP Submission The UAB Office of Sponsored Programs OSP Expedited Checklist is required for OSP submissions that do not require departmental or institutional signatures or approvals.OSP Expedited Checklist OSP submissions requiring the OSP Expedited Checklist include; CDA PMA DUA (Deidentified/Limited/PHI) VA MOU (JIT/Annual Certification) Revised Budget No Cost Extension (may require additional documentation) Amendments (increase funds or change the PI require Extramural ChecklistExtramural Checklist Change in Dept/Div Affiliation of PI The OSP Expedited Checklist should not be used for CBR/CTO submissions. Submission for FAP review should be submitted on the CBR submission form.OSP Expedited Checklist CBR submission form.

#8 Incorrect or Missing Instrument Type 21. Instrument Type: Check either Contract or Grant A grant is a funding mechanism for a broad programmatic objective with standard and acceptable terms and conditions which are preset by the awarding entity and are non-negotiable by UAB. A contract is a funding mechanism for specific deliverables in which all or some of the more rigorous terms and conditions are subject to review and acceptance by signature by UAB, and if those terms and conditions are not acceptable would require negotiation between the parties. Contracts, like those provided by the federal government or industry sponsors, are subject to negotiated terms and conditions.

#7 NIH Application is Missing from the OSP Dropbox The OSP dropbox is how UAB research departments electronically submit SF424 federal proposal documentation to the OSP office.OSP dropbox The OSP dropbox allows Investigators to define submissions and upload files associated with electronic submissions.OSP dropbox The OSP dropbox will send an automatic notification to OSP staff when grant submission files are ready to be picked up.OSP dropbox The OSP dropbox will send an automatic notification to Investigators when the files have been retrieved.OSP dropbox Files are deleted from the from the OSP dropbox once submitted by an OSP Officer.OSP dropbox If you have a blazerid you have access to the OSP dropbox.OSP dropbox

#6 Original RPL Received With Errors An original Responsible Personnel List (RPL) is a required document for the following OSP submissions; Original/New Competing Continuation/Renewal Change In PI Resubmission Transfer In Common RPL errors on original RPLs; RPL is not marked as Original RPL Incorrect/Missing Blazer ID for responsible personnel listed First and last name of responsible personnel inverted on RPL PI name is not listed in Section III Responsible Personnel Responsible personnel listed on RPL are associated with a subcontract or fee for service agreement. Add and remove checkboxes are checked for Original RPL

#5 PI Listed on Extramural Checklist Does Not Meet the UAB Definition of a Principal Investigator. UAB allows the following personnel, when they meet the funding entitys requirements for eligibility, to serve as a UAB Principal Investigator on externally funded (sponsored) grants or contracts administered by the University: Any person who is or who upon receipt of the award will be a UAB employee with a UAB employment status of 01 (Full-time Regular), 03 (Part-time Regular), 04 retiree (Irregular), or 21 (postdoctoral scholar employees) (Employment Assignment Category Determination - HR Policy 411)Employment Assignment Category Determination - HR Policy 411 When a training or fellowship grant identifies a postdoctoral student (UAB employment status 20) or other UAB student as the principal investigator, UAB recognizes the student as the external entity designated Principal Investigator. The UAB mentor or person who will supervise the training and research and who (1) is specifically named on the grant or contract application and (2) meets the above requirement for a principal investigator serves as the UAB Principal Investigator. UAB Policy for definition of a Principal Investigator can be found at UAB Definition of a Principal InvestigatorUAB Definition of a Principal Investigator

#4 Extramural Checklist Received Without Required Signatures All OSP submissions requiring an extramural checklist should have a hard copy of the checklist and supporting documentation delivered to the OSP office prior to 4:30pm M-F with wet ink signatures for the project Principal Investigator, and the department chairperson of the primary faculty appointment of the PI. The PI must sign the extramural checklist in order to properly document UABs attestations and certifications. No per signatures allowed. Per signatures are allowed for the department chairperson if the signee is listed as an authorized alternate signatory on the OSP departmental authorized signature form. For NIH projects with multiple PIs, NIH requires signatures from all individuals serving in the role of PI.

#3 Industry Sponsored Clinical Trial Submissions Missing Required Documents The Office of Sponsored Programs is responsible for the overall review and execution of clinical trial agreements (CTA) for sponsored or investigator initiated clinical trial protocols, and for the review of non-financial terms included in the agreement. To expedite OSPs review and execution process the following documents are required at time of submission; Signed extramural checklist (Please Note: Question 21 on the checklist should be clearly marked clinical trial and question 24 and 25 should be completed.) RPL Editable Version of the agreement (Word Version) Budget (draft or final) Protocol/HSP Informed Consent (draft or final) Additional documents may be required if utilizing the CRU or if the research is a device trial.

#2 Incorrect Revised RPL Submitted with Subsequent OSP Submission Examples of OSP subsequent submission include; amendments, noncompeting continuations/continuations (NCC), supplements, revised awards, no cost extensions. A Responsible Personnel List (RPL) is not a required document with an OSP subsequent submission unless there has been a change in responsible personnel on the project. Only the personnel being added or removed as responsible should be included on the revised RPL. Examples of incorrect RPLs submitted with a subsequent submission include; Revised RPL submitted with one of the five original/new submission types All or a segment of the responsible personnel for the project are listed on the revised RPL Personnel listed on the revised RPL are not denoted in the add or remove checkbox RPL marked as original instead of revised PI not listed in Section III of the RPL

#1 Late Submissions to OSP All proposals for extramurally sponsored funding must be reviewed by the OSP prior to submission. It has always been and continues to be imperative that researchers submit their proposals in accordance with UABs proposal submission policy and deadlines. The policy states that the draft proposal and checklist must be submitted seven (7) full business days, and the final proposals three (3) full business days, prior to the sponsors deadline. A draft paper proposal consists of a fully signed UAB extramural checklist, RPL, budget, budget justification, a draft of the science, sponsor required documentation, a statement of intent (if applicable), cover letter (if applicable). A draft electronic proposal (i.e. Grants.gov, NSF fastlane, CME, etc.) consists of a fully signed UAB extramural checklist, RPL and a complete electronic proposal package uploaded to the OSP dropbox or sponsor portal. An extramural checklist submitted without all of the required documents, forms and components will not place a submission in the queue for review. Submissions that are complete are reviewed in order of receipt. OSP cannot ensure submissions will be processed timely if UABs deadlines for submissions to OSP are not met.

Questions?