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 (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 Programs
Contact Information
Physical Address:
701 20th Street South
Administration Building 1170
Birmingham, Alabama 35294-0111
Office Hours
Monday – Friday
8am to 5pm
Phone – 205-934-5266
Fax – 205-975-5977
E-mail for Correspondence – osp@uab.edu
E-mail for Questions – askosp@uab.edu
Office of Sponsored
Programs
Departments and Personnel
NIH Federal Officer Assignments
Geeta Chhabra
Ashley Davis - Specialist
Linda Waldrop - DPS I
NIH
CAS - Biology
CAS - Chemistry
CAS - Computer Sciences
CAS - Government
CAS - History & Anthropology
CAS - Justice Sciences
CAS - Mathematics
CAS - Physics
CAS - Psychology
CAS - Sociology and Social Work
Infectious Diseases
OB/GYN
Pediatrics
Public Health - Biostatistics
Public Health - Env/Health Sciences
Public Health - Epidemiology
Public Health - Health Behavior
Celesta Smith
Ashley Davis - Specialist
Linda Waldrop - DPS I
NIH
Cell, Developmental & Integrative Biology
Family Community Medicine
Nephrology
Neurobiology
Ophthalmology
Physical Medicine and Rehab
Radiology
School of Medicine Deans Office
Ryan Chambers
Ashley Davis - Specialist
Rodney Dillard II - DPS I
NIH
Biochemistry & Molecular Genetics
Dermatology
Emergency Medicine
Gerontology/Geriatric Med
Hematology/Oncology
Huntsville Medical Campus
Immunology/Rheumatology
Pulmonary - Critical Care & Allergy
VA IPA
Ellen Johnson (Retiring)
Ashley Davis - Specialist
Rodney Dillard II - DPS I
NIH
Anesthesiology
Cardiovascular Diseases
Chairs Department
Development & Clinical Immunology
Diabetes Center
Endocrinology
Gastroenterology (GI/Hepato)
General Internal Medicine
Genetic & Translational Medicine
Genetics/Genomics
Geographic Medicine
Human Gene Therapy
Microbiology
Neurology
Pathology
Pharmacology & Toxicology
Physical Therapy
Other Federal/State/Local/Non-Profit/Foundation
Officer Assignments
Treva McAboy
Jenny Shipp - DPS I
Other Federal/State and Local
CAS - Biology
CAS - Chemistry
CAS - Computer Sciences
CAS - Government
CAS - History & Anthropology
CAS - Justice Sciences
CAS - Mathematics
CAS - Physics
CAS - Psychology
CAS - Sociology and Social Work
Dermatology
Emergency Medicine
Endocrinology
Family Community Medicine
Gastroenterology
Gerontology/Geriatric Med
Huntsville Medical Campus
Neurology
OB/GYN
Ophthalmology
Pediatrics
Physical Medicine and Rehab
Preventive Medicine
Public Health - Biostatistics
Public Health - Env/Health Sciences
Public Health - Epidemiology
Public Health - Health Behavior
Public Health - Health Care Org
Public Health - Maternal & Child Hlth
Pulmonary - Critical Care & Allergy
Radiology
School of Nursing
School of Optometry
SOM - Psychiatry
Vacant
Jenny Shipp - DPS I
Other Federal
Anesthesiology
Biochemistry & Molecular Genetics
Cardiovascular Diseases
Cell Biology
Chairs Department
Development & Clinical Immunology
Diabetes Center
General Internal Medicine
Genetic & Translational Medicine
Genetics
Genomics
Geographic Medicine
Hematology/Oncology
Human Gene Therapy
Immunology/Rheumatology
Infectious Diseases
Microbiology
Nephrology
Neurobiology
Pathology
Pharmacology & Toxicology
Physical Therapy
Physiology & Biophysics
Radiation Oncology
School of Business
School of Dentistry
School of Education
School of Engineering
School of Medicine Dean's Office
SHP - Critical Care
SHP - Health Services Admin
SHP - Nutrition Sciences
SHP - Occupational Therapy
Surgery
Joan Conway
Catherine Anne Daley - Specialist
Jessica Murphy - DPS I
Non Profit
CAS - Biology
CAS - Chemistry
CAS - Computer Sciences
CAS - Government
CAS - History & Anthropology
CAS - Justice Sciences
CAS - Mathematics
CAS - Physics
CAS - Psychology
CAS - Sociology and Social Work
Dermatology
Emergency Medicine
Endocrinology
Family Community Medicine
Gastroenterology
Gerontology/Geriatric Med
Huntsville Medical Campus
Neurology
OB/GYN
Ophthalmology
Pediatrics
Physical Medicine and Rehab
Preventive Medicine
Public Health - Biostatistics
Public Health - Env/Health Sciences
Public Health - Epidemiology
Public Health - Health Behavior
Public Health - Health Care Org
Public Health - Maternal & Child Hlth
Pulmonary - Critical Care & Allergy
Radiology
School of Nursing
School of Optometry
SOM - Psychiatry
Alice Harding
Catherine Anne Daley - Specialist
Jessica Murphy - DPS I
Non Profit
Anesthesiology
Biochemistry & Molecular Genetics
Cardiovascular Diseases
Cell Biology
Chairs Department
Development & Clinical Immunology
Diabetes Center
General Internal Medicine
Genetic & Translational Medicine
Genetics
Genomics
Geographic Medicine
Hematology/Oncology
Human Gene Therapy
Immunology/Rheumatology
Infectious Diseases
Microbiology
Nephrology
Neurobiology
Pathology
Pharmacology & Toxicology
Physical Therapy
Physiology & Biophysics
Radiation Oncology
School of Business
School of Dentistry
School of Education
School of Engineering
School of Medicine Dean's Office
SHP - Critical Care
SHP - Health Services Admin
SHP - Nutrition Sciences
SHP - Occupational Therapy
Surgery
Federal Contracts/NIH Pass Through/NIH Sub-Award
Officer Assignments
TIM PARKER
Tommy Dorsett - Specialist
DeBorrah Noland - DPS II
Jereme Logan
Tommy Dorsett - Specialist
DeBorrah Noland - DPS II
Eugene Oliver
Jenny Shipp - DPS I
NIH
Ashley Davis - Specialist
Tracy Sims - DPS I
New NIH Subawards
Other Federal Contract Pass-Throughs
SBIR and STTR
VA IPA Amendments
Federal Contracts
All NIH Pass-Throughs
Ryan Chambers
Tracy Sims - DPS I
Subaward Amendments
Non-Federal/Industry
Officer Assignments
Renee Clements
Randy Judd - Specialist
Angela Holmes - DPS I
Bonita Stokes
Kristi Allison - Specialist
Tina Steele - DPS I
Allison Landrum
Kristi Allison - Specialist
Tina Steele - DPS I
Dermatology
Pharmacology & Toxicology
School of Nursing
School of Optometry (Vision Sciences)
Public Health - Biostatistics
Public Health - Env/Health Sciences
Gastroenterology
General Internal Medicine
Genetic & Translational Medicine
Geographic Medicine
Gerontology/Geriatric Medicine
Hematology/Oncology
Anesthesiology
Cell Biology
Diabetes Center
Emergency Medicine
Family and Community Medicine
Genomics
Public Health - Epidemiology
Public Health - Health Behavior
Public Health - Health Care Org
Public Health - Maternal & Child Hlth
School of Medicine Dean's Office
SHRP - Critical Care
SHRP - Health Services Admin
SHRP - Nutrition Sciences
SHRP - Occupational Therapy
SHRP - Physical Therapy
Huntsville Medical Campus
Opthalmology
Physical Medicine & Rehabilitation
Physiology & Biophysics
Preventive Medicine
Pulmonary - Critical Care & Allergy
Radiology
Immunology / Rheumatology
Microbiology
Nephrology
Neurobiology
Pathology
Radiation Oncology
Surgery
ANY and ALL TBCRC
Non-Federal/Industry/CDA
Officer Assignments
Doug Grove
Randy Judd - Specialist
Angela Holmes - DPS I
Biochemistry & Molecular Genetics
Cardiovascular Diseases
Clinical Nutrition & Dietetics
Human Gene Therapy
Genetics
Pediatrics
NSM
- Computer and Information
Science
School of Business
School of Dentistry (oral pathology)
School of Engineering
Frannie Horn
Randy Judd - Specialist
Angela Holmes - DPS I
Eloise Gooden
Tracy Sims DPS I
College of Arts and Sciences
Non-Federal Confidentiality Agreements
Includes School of ED and NSM & SBS)
(All except NSM-Computer and Info Sys)
Neurology
Infectious Diseases
Endocrinology
OB/GYN
Urology
Psychiatry
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 Overview
http://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 Types
Type
Original/New
Competing
Continuation/
Renewal
Definition
Application to fund a new project not currently
funded by this sponsor.
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
Type
Amendment/Modification
Definition
Amending one or more provisions of an existing
agreement to increase funding.
A request for funding of a non-competing continuation
award or incremental funding of a current multiyear
Non-Competing
award which does not compete for funds. The sponsor
Continuation/Continuation
may require a progress report (e.g. NIH awards or NonProfit Agency awards). List the award number.
Supplement
Revised Award
No Cost Extension
Application for additional funds for a currently-funded
project, i.e. Minority Supplement, Research Experiences
for Undergraduates. List the award number.
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.
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
Type
Transfer Out
Definition
Relinquishing a currently funded project from UAB to
another organization. List the Award Number.
Unobligated funds remaining at the end of a specified
CarryOver
budget period that may be carried over to the next
budget period with sponsor approval.
A legal contract between at least two parties that
outlines confidential material, knowledge, or
Confidentiality Disclosure Agreement
information that the parties wish to share with one
(CDA)
another for certain purposes, but wish to restrict
access to or by third parties.
A contractual document used for the transfer of data
that has been developed by nonprofit, government
Data Use Agreement (DUA)
or private industry, where the data is nonpublic or is
otherwise subject to some restrictions on its use.
A contract reached between parties, in which the
Project Master Agreement (PMA)
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 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
Required Submission Documents
Federal and Non-Profit/Foundations
Grants and Contracts
Submission
Type
Original/New
Federal Grant
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

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).
Federal Contract




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

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
Non Profit
Contract

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

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)
Non Profit Grant



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

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
Non-Federal
Proposals and Agreements
Submission
Type
Original/New
INDUSTRY and INVESTIGATOR
INITIATED CLINICAL TRIALS
INDUSTRY RESEARCH
AGREEMENTS
CONTINUING PROFESSIONAL EDUCATION
Proposal
Proposal
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)
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)
•
•
•
•
•
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
CONFIDENTIALITY AGREEMENT
Agreement
•
•
•
•
UAB Expedited Checklist
Word version of CDA
Previous correspondence with
Sponsor
RPL is NOT required
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 email 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.
•
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, 2013
Kaul Finley Conference Center
12pm to 1pm