Office of Sponsored ProgramsLunch and Learn Training Series

“OSP 101”

Monday, November 4, 2013Kaul Finley Conference Center

OSP 101Agenda

• Introduction to OSP’s Mission, Departments and Personnel• OSP Website Overview (www.uab.edu/osp) • 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 ProgramsContact Information

Physical Address: Office Hours

701 20th Street SouthMonday – FridayAdministration Building 1170 8am to 5pmBirmingham, Alabama 35294-0111

Phone – 205-934-5266Fax – 205-975-5977E-mail for Correspondence – osp@uab.edu E-mail for Questions – askosp@uab.edu

Office of Sponsored Programs

Departments and Personnel

Geeta Chhabra Celesta Smith Ryan Chambers Ellen Johnson (Retiring)Ashley Davis - Specialist Ashley Davis - Specialist Ashley Davis - Specialist Ashley Davis - Specialist

Linda Waldrop - DPS I Linda Waldrop - DPS I Rodney Dillard II - DPS I Rodney Dillard II - DPS INIH NIH NIH NIH

CAS - Biology Cell, Developmental & Integrative Biology Biochemistry & Molecular Genetics AnesthesiologyCAS - Chemistry Family Community Medicine Dermatology Cardiovascular DiseasesCAS - Computer Sciences Nephrology Emergency Medicine Chairs DepartmentCAS - Government Neurobiology Gerontology/Geriatric Med Development & Clinical ImmunologyCAS - History & Anthropology Ophthalmology Hematology/Oncology Diabetes CenterCAS - Justice Sciences Physical Medicine and Rehab Huntsville Medical Campus EndocrinologyCAS - Mathematics Radiology Immunology/Rheumatology Gastroenterology (GI/Hepato)CAS - Physics School of Medicine Deans Office Pulmonary - Critical Care & Allergy General Internal MedicineCAS - Psychology VA IPA Genetic & Translational MedicineCAS - Sociology and Social Work Genetics/GenomicsInfectious Diseases Geographic MedicineOB/GYN Human Gene TherapyPediatrics MicrobiologyPublic Health - Biostatistics NeurologyPublic Health - Env/Health Sciences PathologyPublic Health - Epidemiology Pharmacology & ToxicologyPublic Health - Health Behavior Physical Therapy

NIH Federal Officer Assignments

Treva McAboy Vacant Joan Conway Alice HardingJenny Shipp - DPS I Jenny Shipp - DPS I Catherine Anne Daley - Specialist Catherine Anne Daley - Specialist

Other Federal/State and Local Other Federal Jessica Murphy - DPS I Jessica Murphy - DPS INon Profit Non Profit

CAS - Biology AnesthesiologyCAS - Chemistry Biochemistry & Molecular Genetics CAS - Biology AnesthesiologyCAS - Computer Sciences Cardiovascular Diseases CAS - Chemistry Biochemistry & Molecular GeneticsCAS - Government Cell Biology CAS - Computer Sciences Cardiovascular DiseasesCAS - History & Anthropology Chairs Department CAS - Government Cell BiologyCAS - Justice Sciences Development & Clinical Immunology CAS - History & Anthropology Chairs DepartmentCAS - Mathematics Diabetes Center CAS - Justice Sciences Development & Clinical ImmunologyCAS - Physics General Internal Medicine CAS - Mathematics Diabetes CenterCAS - Psychology Genetic & Translational Medicine CAS - Physics General Internal MedicineCAS - Sociology and Social Work Genetics CAS - Psychology Genetic & Translational MedicineDermatology Genomics CAS - Sociology and Social Work GeneticsEmergency Medicine Geographic Medicine Dermatology GenomicsEndocrinology Hematology/Oncology Emergency Medicine Geographic MedicineFamily Community Medicine Human Gene Therapy Endocrinology Hematology/OncologyGastroenterology Immunology/Rheumatology Family Community Medicine Human Gene TherapyGerontology/Geriatric Med Infectious Diseases Gastroenterology Immunology/RheumatologyHuntsville Medical Campus Microbiology Gerontology/Geriatric Med Infectious DiseasesNeurology Nephrology Huntsville Medical Campus MicrobiologyOB/GYN Neurobiology Neurology NephrologyOphthalmology Pathology OB/GYN NeurobiologyPediatrics Pharmacology & Toxicology Ophthalmology PathologyPhysical Medicine and Rehab Physical Therapy Pediatrics Pharmacology & ToxicologyPreventive Medicine Physiology & Biophysics Physical Medicine and Rehab Physical TherapyPublic Health - Biostatistics Radiation Oncology Preventive Medicine Physiology & BiophysicsPublic Health - Env/Health Sciences School of Business Public Health - Biostatistics Radiation OncologyPublic Health - Epidemiology School of Dentistry Public Health - Env/Health Sciences School of BusinessPublic Health - Health Behavior School of Education Public Health - Epidemiology School of DentistryPublic Health - Health Care Org School of Engineering Public Health - Health Behavior School of EducationPublic Health - Maternal & Child Hlth School of Medicine Dean's Office Public Health - Health Care Org School of EngineeringPulmonary - Critical Care & Allergy SHP - Critical Care Public Health - Maternal & Child Hlth School of Medicine Dean's OfficeRadiology SHP - Health Services Admin Pulmonary - Critical Care & Allergy SHP - Critical CareSchool of Nursing SHP - Nutrition Sciences Radiology SHP - Health Services AdminSchool of Optometry SHP - Occupational Therapy School of Nursing SHP - Nutrition SciencesSOM - Psychiatry Surgery School of Optometry SHP - Occupational Therapy

SOM - Psychiatry Surgery

Other Federal/State/Local/Non-Profit/FoundationOfficer Assignments

TIM PARKER Jereme Logan Eugene Oliver Ashley Davis - SpecialistTommy Dorsett - Specialist Tommy Dorsett - Specialist Jenny Shipp - DPS I Tracy Sims - DPS I

DeBorrah Noland - DPS II DeBorrah Noland - DPS II NIH New NIH Subawards

Other Federal Contract Pass-Throughs Federal Contracts All NIH Pass-Throughs Ryan ChambersSBIR and STTR Tracy Sims - DPS I

VA IPA Amendments Subaward Amendments

Federal Contracts/NIH Pass Through/NIH Sub-AwardOfficer Assignments

Renee Clements Bonita Stokes Allison LandrumRandy Judd - Specialist Kristi Allison - Specialist Kristi Allison - SpecialistAngela Holmes - DPS I Tina Steele - DPS I Tina Steele - DPS I

Dermatology Gastroenterology AnesthesiologyPharmacology & Toxicology General Internal Medicine Cell BiologySchool of Nursing Genetic & Translational Medicine Diabetes CenterSchool of Optometry (Vision Sciences) Geographic Medicine Emergency MedicinePublic Health - Biostatistics Gerontology/Geriatric Medicine Family and Community MedicinePublic Health - Env/Health Sciences Hematology/Oncology Genomics

Public Health - Epidemiology Huntsville Medical Campus Immunology / RheumatologyPublic Health - Health Behavior Opthalmology MicrobiologyPublic Health - Health Care Org Physical Medicine & Rehabilitation NephrologyPublic Health - Maternal & Child Hlth Physiology & Biophysics NeurobiologySchool of Medicine Dean's Office Preventive Medicine PathologySHRP - Critical Care Pulmonary - Critical Care & Allergy Radiation OncologySHRP - Health Services Admin Radiology SurgerySHRP - Nutrition SciencesSHRP - Occupational TherapySHRP - Physical Therapy ANY and ALL TBCRC

Non-Federal/IndustryOfficer Assignments

Doug Grove Frannie Horn Eloise GoodenRandy Judd - Specialist Randy Judd - Specialist Tracy Sims DPS IAngela Holmes - DPS I Angela Holmes - DPS I

Biochemistry & Molecular Genetics College of Arts and Sciences Non-Federal Confidentiality AgreementsCardiovascular Diseases Includes School of ED and NSM & SBS)

Clinical Nutrition & Dietetics (All except NSM-Computer and Info Sys)

Human Gene Therapy Neurology

Genetics Infectious DiseasesPediatrics EndocrinologyNSM - Computer and Information Science OB/GYNSchool of Business UrologySchool of Dentistry (oral pathology) PsychiatrySchool of Engineering

Non-Federal/Industry/CDAOfficer 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 https://irap-apps.ad.uab.edu/IRAP E Reports , as well as the opportunity to request ad hoc reports http://www.uab.edu/osp/reports/ad-hoc.

• 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 Overviewhttp://www.uab.edu/osp

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 TypesType Definition

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.

ResubmissionRevised 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 TypesType Definition

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.

SupplementApplication 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 ExtensionAn 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

Type Definition

Transfer Out Relinquishing a currently funded project from UAB to another organization. List the Award Number.

CarryOverUnobligated 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 DropboxOSP 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 email notification to OSP staff when grant submission files are ready to be picked up.

• The OSP Dropbox will send an automatic email 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

http://www.uab.edu/osp/forms

Submission Type

Federal Grant

Federal Contract

Non ProfitContract

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 thescience, sponsor requireddocumentation, statement of intent (ifapplicable) and cover letter (ifapplicable).

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 osp@uab.edu on any "Intent

to Apply" and/or white paper 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 DocumentsFederal 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 DocumentsNon-Federal

Proposals and Agreements

Helpful Hints for a Correct Submission

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 SubmissionGrants.Gov

• You do not need a login/password to search funding opportunities on Grants.gov.

• 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 email.

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 )

•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, 2013Kaul Finley Conference Center

12pm to 1pm