Update on GIM 19 & What is “Ready To Submit”? Office of Sponsored Programs November 2012

Preparation Submission The PI, Department and OSP are in a partnership together to prepare and submit proposals to external sponsors. – Quality proposal – Institutional approvals – Maximum potential for award We are all in a partnership with electronic sponsor systems, as well.

OSP Commitment The Office of Sponsored Programs (OSP) is committed to assuring timely submission of complete, accurate and excellent proposals.

Agenda Global Experience UW GIM 19 Case Studies for discussion I’ll ask the questions and give the answers Q&A

Sponsor Systems UWMITUSC First to Submit, First to Arrive! All research institutions are using the same systems to submit their proposals. First in, first to arrive! It can take up to 48 hours or even longer for Grants.gov or electronic sponsor systems to process applications once they are submitted by OSP. Submitting early remains the best way to ensure successful submission.

GIM 19 Internal UW Deadlines for Proposals to Outside Agencies 7 Day Deadline – OSP needs to be able to do a meaningful review of the proposal 3 Day Deadline – 5pm 3 business days before sponsor deadline Applies to all application types with a hard sponsor deadline

What is RTS Status? All eGC1s ask the RTS question RTS=Yes – Application documents are final and complete. If OSP has no recommended changes the application will be submitted. RTS=No – Draft science and final business documents. Be absolutely clear about the readiness of your application

Business Processes Campus Process OSP Process 3 touch points – Application arrives IN OSP – OSP Review – RTS status

Waiver Required If UW deadlines cannot be met for extenuating circumstances, a waiver must be requested. – Official UW closure (e.g., inclement weather) – PI or Co-PI serious illness or injury – Death of key personnel – Documented notification of funding opportunity was made < two weeks prior to the deadline. OSP will submit application prior to the Sponsor deadline but cannot ensure a successful submission.

SPAERC Tasklist displays all applications in SAGE (except Composing) OSP Filters by “OSP Received Date” – This refreshes every time an application is withdrawn by the Dept!

Recommendations Do route the eGC1 when the proposal is ready for a meaningful review. – eGC1s routed without a proposal or with an incomplete proposal will be returned by OSP without review. Do make iterative changes to the proposal (science) “locally”. Once reviewer comments received, then update on eGC1 all at once.

OSP Review is a Sliding Scale Day -7 Day -3 5pm Waiver Required Diminishing level of review Applications that arrive at OSP 7 business days before the deadline receive a more thorough review. PI/Dept manage their risk level

OSP will Resubmit for 2 Errors System-generated errors; this means the application could not be transmitted and was not received Compilation Error in NIH eRA Commons; upon viewing the application does not look the same as it was routed to OSP

What is Not an Error? Typos Forgotten text Missing cover letter Not including the most recent biosketch or letter(s) of support System generated warnings These applications will not be withdrawn from sponsor systems and resubmitted.

Changes to Routing Functionality As of Mid-November *All eGC1s will include the question “Is the Application Ready To Submit” with a “yes” or “no” option. *eGC1 owners will not be able to withdraw an eGC1 marked “yes” to Ready To Submit, once it is in IN OSP status.

Help! I marked RTS=Yes, but I notice a problem. Call your OSP Reviewer. Ask them to return the eGC1 and why. If before the GIM 19 deadline, OSP Reviewer can return the eGC1 (if proposal has not yet been submitted*). If after the GIM 19 deadline, you may need a waiver. – If a missing letter, that is one thing, – If whole sections to be swapped out or added, that is another. *Remember: “RTS” is communication to eGC1 reviewers (including OSP) that the proposal is final and ready.

CALENDARING FOR GIM 19 Case Studies

November-December 2011 SundayMondayTuesdayWedThursdayFridaySaturday Sponsor Deadline

November-December 2011 SundayMondayTuesdayWedThursdayFridaySaturday

November-December 2011 SundayMondayTuesdayWedThursdayFridaySaturday H H

August-September 2012 SundayMondayTuesdayWedThursdayFridaySaturday Sponsor Deadline

August-September 2012 SundayMondayTuesdayWedThursdayFridaySaturday Sponsor Deadline

November 2012 SundayMondayTuesdayWedThursdayFridaySaturday Sponsor Deadline H Day -3 falls on a Friday before a 3 day weekend. Can the PI have until the following Tuesday to submit their final application to OSP?

November 2012 SundayMondayTuesdayWedThursdayFridaySaturday Sponsor Deadline H Day -3 falls on a Friday before a 3 day weekend. Can the PI have until the following Tuesday to submit their final application to OSP? No, not without a waiver.

November 2012 SundayMondayTuesdayWedThursdayFridaySaturday Sponsor Deadline H Day -3 falls on a Friday before a 3 day weekend. Can the PI have until the following Tuesday to submit their final application to OSP? No, not without a waiver. And it would be denied.

PI Leaving Town Notify your OSP Reviewer of special circumstances Calculate day 3 and day 7 deadlines based on your chosen due date Failure to do both of these may result in applications not submitted early

Application is a Subcontract Columbia University is the Prime Institution – eGC1 Sponsor is Columbia University CU “GIM 19” requires final application to their OSP by 5 business days before the deadline NIH is the prime funding sponsor – eGC1 Flow-through Sponsor is NIH NIH deadline is December 5 th What is the eGC1 Sponsor Deadline?

November-December 2011 SundayMondayTuesdayWedThursdayFridaySaturday NIH Deadline

November-December 2011 SundayMondayTuesdayWedThursdayFridaySaturday NIH Deadline H H 22 CU Deadline H UW Day -3 UW Day -7

REAL UW CASE STUDIES

PI requests GIM 19 Waiver, saying the proposal is final and ready to go. Based on this statement the waiver is granted with the statement that OSP will provide no review or further assistance. The electronic submission is successful. PI follows up one full day later asking OSP to withdraw & resubmit the application with a letter which just arrived. The PI thinks this is okay because of his initial GIM 19 waiver. 1 1

Questions Is this okay because of the waiver? Should OSP withdraw the application and resubmit? What occurred? OSP did not withdraw the application.

Application arrives to OSP RTS = Yes OSP Admin submits the application successfully via Grants.gov to NIH eRA Commons PI views the application and sees that one page is missing one of his academic degrees Per his request, OSP withdraws the application, makes the change and resubmits. The system errors 4 times before the application is successfully submitted. 2 2

Exercise Look at the person sitting next to you Now, imagine that his/her application is the one being resubmitted 5 times by your shared OSP Administrator And you are waiting to have your application submitted for the first time Your PI is asking for status updates Do you think the shared needs of UW were properly considered?

Therefore In the future, OSP will be strictly adhering to the “no resubmit” after a successful submission to the sponsor

COMMON QUESTIONS

When will OSP begin reviewing my proposal? Once all campus approvers have approved, and the proposal reaches IN OSP status, then it filters onto the SPAERC Tasklist for review Regardless of RTS status

Does OSP provide the same level of review for all proposals? No, those proposals that arrive ≥ 7 business days before the sponsor deadline will receive a more thorough review Day -7 Day -3 5pm Waiver Required

How many reviews will OSP conduct on a single application? One primary If needed, a second confirmation of modified items will be done before approving Additional reviews are time hogs

Campus submits application RTS=Yes by Day 3. OSP sends feedback with recommended changes. Will a waiver be required? It Depends! If application was in good faith RTS=Yes, but OSP found an important change, no waiver is needed.

BUT If the application arrives marked RTS=Yes, but in reality the application is not ready to be submitted to the sponsor, then, OSP will return the application to the PI/Dept. YES, a waiver would be required.

Wrap-Up GIM 19 deadlines are 7 and 3 business days Ready to Submit. (RTS = Yes) PI’s approval that the science is complete + the dept’s indication that the business portion is complete Partner with your Dept and with OSP System errors are the only reasons OSP will resubmit

Thank you

Can I submit my DRAFT application with “place holder” documents? Sections of the Science could be incomplete and have a “placeholder” Letters of Support can have placeholders All other documents must be in final form when the application reaches OSP

Shared Goals Submit competitive proposals Meet all requirements: – Program/Sponsor requirements – UW policy – Applicable laws and regulations Allow time for institutional review, feedback and edits Submit in advance of the deadline so that any system errors can be addressed by the final deadline

When is the Proposal Final? “Once a proposal is submitted to NIH and other outside agencies, the proposal is final and no corrections may be made, unless responding to system-generated errors prior to the Sponsor deadline.” GIM 19

Non-Competing Continuations Non-competing continuations received after the deadline will be reviewed and submitted by OSP within 5 business days of the date the eGC1 is received and is Ready to Submit No Waiver is required or permitted

Science vs Business Documents The science can be in draft form if RTS = No SF424 – PHS398 Research Plan – Other project information – Abstract – Narrative New

UW Efficiency Process Improvement Efforts Lean System Enhancements Standard Business Process User Engagement – Clear, complete, timely – Incomplete, unorganized, back-and-forth

eGC1s “IN OSP” 7 Days or Before RTS = No Route with draft science but final administrative/ business portions RTS = Yes Route the eGC1 with final proposal, Ready to Submit Proposal Routes RTS=No Draft Science Final Business OSP Review RTS=Yes Final Docs OSP Final Review Submit Proposal Routes RTS=Yes Final Docs OSP Review OSP Submits

Researchers & Dept Prepare Proposal Begin Routing Final Business & Draft SOW/Research RTS = NO Application Arrives In OSP OSP Reviews & Sends Comments PI & Dept Respond to Comments & Attach Final Documents RTS = YES OSP Does Final Review & Submits to Sponsor eGC1 Routing Process Option 1

Researchers & Dept Prepare Proposal Begin Routing Final Business & Final SOW/Research RTS = YES OSP Reviews (sends comments if needed) OSP Submits to Sponsor eGC1 Routing Process Option 2

How Much Risk Do You Want? Low RiskHigh Risk Submit final business & draft science at least 7 business days before the sponsor deadline Submit final business & final science 3 business days before the deadline This will allow OSP to provide a full review and send feedback OSP will provide a minimal review and submit to the sponsor And it will allow the PI to continue to finalize the science for several days System errors may prevent your application from reaching the sponsor It will increase the quality of your application by making suggested edits and proofing for all common errors Non-compliance of sponsor requirements could greatly decrease your grant score Dept re-routes final application 4 business days before the deadline OSP will confirm edits and submit with enough time to correct any system errors before the deadline