Office of Sponsored Programs Lunch and Learn Training Series “OSP 101” Monday, November 4, 2013 Kaul Finley Conference Center

OSP 101 Agenda Introduction to OSP’s Mission, Departments and Personnel OSP Website Overview ( OSP Submission Types Defined OSP’s Extramural Checklist and Expedited Checklist OSP Electronic Dropbox Introduction of Basic OSP Required Documents Helpful Hints for a Correct Submission Q&A

Introduction to OSP’s Mission, Departments and Personnel 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.

Office of Sponsored Programs Contact Information Physical Address: Office Hours th Street SouthMonday – Friday Administration Building 11708am to 5pm Birmingham, Alabama Phone – Fax – for Correspondence – for Questions –

Office of Sponsored Programs Departments and Personnel

NIH Federal Officer Assignments

Other Federal/State/Local/Non-Profit/Foundation Officer Assignments

Federal Contracts/NIH Pass Through/NIH Sub-Award Officer Assignments

Non-Federal/Industry Officer Assignments

Non-Federal/Industry/CDA Officer Assignments

The Office of Sponsored Programs (OSP) performs pre-award and non-financial post-award administration of extramurally sponsored projects by: Receiving initial submissions, acting as the data repository for all extramurally sponsored proposal submissions and awards. Performing preliminary review and approval of all proposal submissions. Submitting proposals through grants.gov and most awarding agency portals. Acting as a representative UAB business office with official signing authority for additional information, documentation, etc. requested by federal and other sponsors. Negotiating and executing clinical trial agreements and other non-federal extramurally sponsored projects to include master agreements, research agreements, continuing professional education agreements, confidentiality agreements and most data use agreements. Negotiating and executing non sponsor funded research agreements, i.e. agreements where an entity is providing drug, material or equipment but no funding. Negotiating and executing complex collaboration agreements involving various sponsor types. Processing awards for distribution to Grants Accounting for Oracle account setup.

OSP also supports UAB’s extramurally sponsored research by: Making a variety of dynamic reports available through the IRAP e-reporting module E Reports, as well as the opportunity to request ad hoc reports E Reportshttp:// Providing ongoing training for the campus, principal investigators, departmental administrators, and center administrators. Ensuring the latest information is available to principal investigators, department staff and others via the Research Administration list serve (UABRADM list serve). Answering questions and providing information to sponsors and UAB personnel in a prompt, accurate and cordial fashion. OSP does not Negotiate F&A rates. Release agreements with compliance approvals, budgets or other required documents in a pending status.

OSP Website Overview

Website Reminders Periodically check the OSP “Forms” page for revised forms to ensure you are utilizing the most recent version. The “Announcements” section of the OSP website frontpage will contain important, timely information and updates. Review the “Researcher’s Toolkit” to gain understanding and insight into UAB’s research processes and important policies.

OSP Basic Submission Types

OSP Submission Types 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 previous link or proposal number. Change in PI Request to replace the current Principal Investigator or Project Director. Enter the Previous PIs Name Transfer In Application to relocate a currently-funded project from another organization to UAB.

OSP Submission Types 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.

OSP Submission Types TypeDefinition Transfer Out Relinquishing a currently funded project from UAB to another organization. List the Award Number. CarryOver Unobligated funds remaining at the end of a specified budget period that may be carried over to the next budget period with sponsor approval. Confidentiality Disclosure Agreement (CDA) A legal contract between at least two parties that outlines confidential material, knowledge, or information that the parties wish to share with one another for certain purposes, but wish to restrict access to or by third parties. Data Use Agreement (DUA) A contractual document used for the transfer of data that has been developed by nonprofit, government or private industry, where the data is nonpublic or is otherwise subject to some restrictions on its use. Project Master Agreement (PMA) A contract reached between parties, in which the parties agree to most of the terms that will govern future transactions or future agreements.

The OSP Extramural Checklist, Expedited Checklist and the RPL

OSP Electronic Dropbox OSP Federal Dropbox Link OSP Federal Dropbox Link

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

OSP Required Submission Documents

Submission Type Federal Grant Federal Contract Non Profit Contract Non Profit Grant Original/New  UAB Extramural Checklist - signed  Proposal (if electronic, access drop box or sponsor portal. If paper submission use hard copy)*  Responsible Personnel List  RFA or PA # provided on the checklist  Cost Sharing Form  Letter / Statement of Intent  Institutional Commitment Letters  IDC Rev Redistribution Form  VA Memo of Understanding A proposal consists of a budget, budget justification, draft of the science, sponsor required documentation, statement of intent (if applicable) and cover letter (if applicable).  UAB Extramural Checklist - signed  Business Proposal  Technical Proposal (draft)  Detail Budget in EXCEL or sponsor format  Responsible Personnel List  Cover Pages  IDC Rev Redistribution Form  Letter of Intent  Institutional Commitment Letters  Sponsor required documentation  Copy on any "Intent to Apply" and/or white  VA Memo of Understanding  Cost Sharing  UAB Extramural Checklist - signed  Application includes the full draft proposal which consists of budget, budget justification and statement or scope of work  Agreement (Word Version if applicable)  Responsible Personnel List  RFA  Guidelines – submit a hard copy or direct link identified on the UAB Checklist; if application is restricted access then a copy of the application and guidelines must be submitted to OSP  Sponsor IDC Published Policy  Cost Sharing Forms (If applicable)  IDC Rev Redistribution Form (if applicable)  Letter/Statement of Intent (if applicable)  Institutional Commitment Letters (if applicable)  UAB Extramural Checklist - signed  Face pages requiring OSP signature  Application consists of full draft proposal which includes the budget, budget justification and statement or scope of work  Responsible Personnel List  RFA & application, guidelines (complete copy)  Protocol (if applicable)  Sponsor IDC Published Policy  Cost Sharing Form (if applicable)  Letter/Statement of Intent (if applicable)  IDC Revenue Redistribution form (if applicable)  Institutional commitment letters (if applicable) Required Submission Documents Federal and Non-Profit/Foundations Grants and Contracts

Submission Type INDUSTRY and INVESTIGATOR INITIATED CLINICAL TRIALS INDUSTRY RESEARCH AGREEMENTS CONTINUING PROFESSIONAL EDUCATION CONFIDENTIALITY AGREEMENT Original/New Proposal UAB Extramural Checklist - signed Responsible Personnel List Full draft proposal which consists of budget, budget justification and statement or scope of work, cover letter (if applicable) and Statement of Intent (if applicable). Agreement UAB Extramural Checklist - signed. Sponsor Contact Info required Responsible Personnel List Word version of agreement Budget (draft or final) Protocol / HSP Informed Consent (draft or final) Funding announcement and application(if applicable) Approval Letter from CRU - Clinical Research Unit (if applicable) Hospital Letter of Agreement (Device trials only) Non-significant/Significant Risk Designation Letter -device only Investigator Agreement (if applicable Letter of Indemnification (if applicable) Proposal UAB Extramural Checklist - signed Responsible Personnel List Full draft proposal which consists of budget, budget justification and statement or scope of work, cover letter (if applicable) and Statement of Intent (if applicable). Agreement UAB Extramural Checklist - signed Word version of agreement Scope of work Budget Funding announcement and application(if applicable) Guidelines – hard copy or direct link identified on the UAB checklist; if application is restricted access then a copy of the application Sponsor IDC Policy (if applicable) Cost Sharing Forms (if applicable) Proposal UAB Extramural Checklist – Signed by Dean. Sponsor Contact Information required. Responsible Personnel List CME approval letter or confirmation of application Scope of Work or Description of CME event & offered CME credit & supporting documentation Budget Sponsor's Terms and Conditions Agreement UAB Extramural Checklist – Signed by Dean. Sponsor Contact Information required. Scope of Work or Description of CME event & offered CME credit & supporting documentation WORD version of the Award Letter and Terms and Conditions. CME approval letter Agreement UAB Expedited Checklist Word version of CDA Previous correspondence with Sponsor RPL is NOT required Required Submission Documents Non-Federal Proposals and Agreements

Helpful Hints for a Correct Submission

If possible, please submit your application packet prior to 4:30pm. Submissions received after 4:30pm could be entered in the IRAP system the next business day. To receive the most accurate review of your proposal, please remember to submit all draft proposals to your OSP Officer, with all required documents for review at least 7 business days prior to the sponsor deadline, and all final proposals at least 3 business days before the deadline date. Please remember to include all of the required documents for review with your submission. If required documents are missing, OSP will make an e- mail request for this information prior to reviewing your proposal/proposed award agreement. Missing documents could result in delays in processing your submission.

Helpful Hints for a Correct Submission Grants.Gov You do not need a login/password to search funding opportunities on Grants.gov.funding opportunities Many applications packages require the use of the latest Adobe Acrobat version. The software is free and no registration is required. There is NO need to register with Grants.gov, UAB is already registered. Authorized Organization Representatives (AOR) submit applications on behalf of the institution, therefore “AOR” access is restricted to the OSP staff at UAB.. UAB Extramural Checklists should be delivered to AB1170 simultaneously with the upload of the electronic draft application. Paper applications should be submitted to the OSP office along with the fully signed UAB Extramural Checklist. Once the application has been reviewed by the appropriate officer it will be returned to the PI for submission to the agency. Once the final application is complete, the PI’s office is required to send a copy to OSP. OSP prefers to receive larger files via .

Helpful Hints for a Correct Submission The most common documents missing from Federal grant submissions are; RPL Application Is Missing From the OSP Dropbox (OSP Electronic Dropbox )OSP Electronic Dropbox The most common documents missing from Non-Federal/Industry submissions are; RPL Editable version (Word) of agreement Protocol/Draft Informed Consent (Clinical Trials) Please submit a final correct budget/budget justification once your Notice of Grant Award (NGA) has been received. Processing of your award may be delayed without a corrected budget.

Question and Answer Period

Next OSP Lunch and Learn Monday, December 2, 2013 Kaul Finley Conference Center 12pm to 1pm