Research Administration
Demonstration Training Series
UTSW Proposal Development & Submission
Jamie F. Wilson
Supervisor, Pre-Award Administration
(Proposals)
Office of Business Affairs
Sponsored Programs Administration
Lifecycle of an Award
Identify Funding
Opportunity
Develop a
Proposal
Award Closeout
SPA
Award
Management
Office of Business Affairs
Sponsored Programs Administration
Award
Acceptance
Objective
• Eliminate variation and promote consistency throughout the proposal
submission cycle
• Decrease the margin of error and return ratio of a proposal once
submitted to SPA
• Promote awareness through in-depth comprehensive documentation of
processes
• Answer the WHY behind the processes
• Foster more efficient working relationship between SPA and the
Research Community
Office of Business Affairs
Sponsored Programs Administration
Process Map
•
•
•
•
eGrants Proposal (i.e. Funding Proposal, Continuation, Modification) creation and initiation
begins with the PI and/or Department
PI/Department initiates SPA review (Submit for Review and Departmental and Division
Approvals)
SPA reviews/audits proposal and reconciles with Department
AOR approves proposal and carries out submission (some sponsors require submission by PI)
Office of Business Affairs
Sponsored Programs Administration
When & Why to utilize eGrants
Initiated & Routed in
eGrants
Initiated & Routed
Outside of eGrants
(Utilize existing FP for
historical record)
Not routed in eGrants
(Utilize existing FP for
historical record)
New proposals
Just in Time
Sponsor Correspondence
Competitive Renewals
Award
Terminations/Closeouts
Pre-Applications (any
requested information before
official invitation to apply)
Proposal Resubmissions
Post Submission Material
Award Revisions
Request(s) for award
modifications requiring
sponsor approval
Continuations (noncompeting renewals)
Award Transfers
Award
Terminations/Closeouts
Office of Business Affairs
Sponsored Programs Administration
Who can utilize eGrants?
•
•
•
All UTSW personnel can access eGrants
Read-only rights and Edit rights are available
All users are required to complete and submit an eResearch Access Request Form in order to be granted access.
Personnel who have not completed/submitted a form will not only be prohibited to access eGrants, but will not be
available in eGrants to select/add to a FP. Individuals will have to be added as TBD until the form is submitted.
Office of Business Affairs
Sponsored Programs Administration
Improving Accuracy
Common errors (top 5 sponsors)
•
National Institutes of Health (NIH)

Commons ID for all PD/PI’s listed

Change/Corrected Application
 (requires Grants Tracking Number)

Federal Identifier
 renewals & resubmissions
 2 Letter NIH institute + 6 digit serial number (ex. CA012345)

Project Dates

Cover Letter content

Non-Grants.gov Submission – Incoming Sub-Award
 Prime guidelines (i.e. submission details, project period, budget limitations, effort, etc)
 Statement of Work (SOW)
 Budget & Budget Justification
 Consortium Letter
 DHHS Agreement

Budget Justification

IACUC and IRB Protocol Approval Status
 new & renewals = Pending
 Point 5 of the Vertebrate Animal – is method of euthanasia consistent with AVMA guidelines?

Sponsor Information (1.5)
 NIH = Specific NIH Institute
 Flow Through = Prime Institution

Fellowship/Training Grants – mentor should be listed on page 3.0 Personnel Costs

Modular Budgets –
 $250k Direct Cost limit,
 $25k increments
 Personnel justification only
Office of Business Affairs
Sponsored Programs Administration
Improving Accuracy
Common errors (top 5 sponsors)
•
NIH Continued
 Other Significant Contributors
 Senior key personnel, per NIH definition
 Do not have measurable effort or salary
 Bio-sketch should be included
 UTSW faculty requirement
 Cannot be listed as consultant (exception = AHA)
 Minimum of 3% effort
 Cannot be overcommitted
•
Cancer Prevention and Research Institute of Texas (CPRIT)
 State and Legislative Districts
 State Senate District – 23
 State House District – 100 (South Campus) 103 (North Campus)
 Bio-sketches – limited to 2 pages (exception MIRA projects = 5 pages)
 Indirect Cost rate = 5% of Total Costs (actual rate = 5.263% of DC)
 Salary Cap = $200,000
 Effort should be reported in percentage
Office of Business Affairs
Sponsored Programs Administration
Improving Accuracy
Common errors (top 5 sponsors)
•
Department of Defense (DOD)

Application Filing Name = CDMRP Log Number (e.g. PC13####, BC13####, etc.)

Credential, e.g. Agency Login Field = PI’s username provided from CDMRP
Office of Business Affairs
Sponsored Programs Administration
Improving Accuracy
Common errors (top 5 sponsors)
•
DOD Continued
 Pre-Application (section 20 of SF424)
 Do Not include unless specified in FOA
 Other Support (Previous/Current/Pending)
 Title
 Time Commitments
 Supporting Agency
 Name & Address of Funding Agency’s Procuring Contracting/Grants Officer
 Performance Period
 Level of Funding
 Brief Description of Project Goals
 Specific Aims
 Clearly state if there is overlap
•
Welch Foundation
 Formatting – very specific
 Single spaced/5 lines per vertical inch
 1 inch margins
 Bio-sketch – 2 page limit
 Progress Reports and Budgets require original signatures
•
American Heart Association (AHA)
 UTSW personnel can be consultants
 AAALAC effective/accreditation date – 7/3/2014
Office of Business Affairs
Sponsored Programs Administration
Grantsmanship
vs.
Compliance
Created to convey a clear distinction between what SPA recommends versus
what is required and/or what will hinder a successful submission.
3 Different Entities involved:
(1) Federal Government
(2) University of Texas System
(3) Sponsor
Office of Business Affairs
Sponsored Programs Administration
Grantsmanship Component
GRANTSMANSHIP
ITEMS
• Point 5 verbiage of the Vertebrate Animals Section (method of euthanasia consistent with
AVMA)
• Inclusion of Additional Narrative (Modular Budgets)
• Inclusion of only Personnel Justification for Modular Budgets
• Clearing Modular Offset in eGrants
• Inclusion of Resource Sharing Plans
• Other Significant Contributors reporting no effort or salary and being designated as Key
Personnel
• Budget Discrepancies
• Budget Justification Discrepancies
• Attachment of additional documents throughout application (ex. Other Attachments, LOS,
Appendix)
• Effort reporting - calendar months vs. percentage (NIH Specific)
Office of Business Affairs
Sponsored Programs Administration
Compliance Component
•
•
•
•
•
COMPLIANCE
ITEMS
•
•
•
•
•
•
•
•
•
Federal Identifier must be accurate
Faculty must devote a minimum of 3% effort
PD/PI’s must have a faculty appointment to apply
Commons ID must be accurate for PD/PI(s)
Page Limitation for Science Related documents (i.e. Bio-sketch, Specific Aims, Research
Strategy, Introduction, Responsible Conduct of Research, Mentor Statements, Candidate
Information, etc.)
Application of the correct F&A rate
Institutional Base Salary must be utilized (salary augmentation disallowable)
Bio-sketches for all Key Personnel
Proper F&A Exclusions (i.e. tuition, capital equipment - over $5k, subcontracts, patient
care costs, renovation/rental fees)
Individuals cannot be included on the budget without effort
Project Dates must be consistent throughout application (Application vs. Budget)
Correct Budget Template must be utilized based on Direct Costs limit (Modular vs.
Detailed)
If Human Subjects are included, whether exempt or not, all 3 attachments are required
(Protection of Human Subjects, Inclusion of Women, Inclusion of Children)
If Vertebrate Animals and/or Human Subjects are included, the Assurance number is
required
Office of Business Affairs
Sponsored Programs Administration
Federal Requirement
•
•
Federal Identifier (grant number = institute code + 6-digit serial number)
Commons ID (must be affiliated with current institution)
•
•
Pagination / Page Limitation
Application of correct F&A rate
•
Bio-sketches for key personnel
•
Proper F&A Exclusions
•
Individuals cannot be included on a budget without effort
•
Consistent Project Dates
•
Budget Template (Modular vs. Detailed)
•
IACUC and IRB protocol approvals
•
Vertebrate Animal and/or Human Subjects assurance number
Office of Business Affairs
Sponsored Programs Administration
UT System Requirement
•
•
•
Institutional Base Salary (salary augmentation disallowed)
Minimum Level of Committed Effort (3%)
Maximum Level of Committed Effort (based on position level)
Appointment
•
•
Max
% Effort
Min
% Effort
Department Chairman / Division Director
85
3
Faculty w/Administrative Responsibilities
90
3
Faculty w/o Administrative Responsibilities
95
3
Faculty Mentor
95
0
Other Significant Contributor
95
0
Instructor
100
0
Post Doc
100
0
Eligible PD/PI – Faculty
 Professor
 Associate Professor
 Assistant Professor
 Instructor
 Faculty Associate
Non Faculty – must have a faculty sponsor or mentor to submit
 Assistant Instructors
 Postdocs
 Graduate Students
Office of Business Affairs
Sponsored Programs Administration
Effort Conversion Table
UT Southwestern Percent Effort Conversion Table
% Effort
100%
99%
98%
97%
96%
95%
94%
93%
92%
91%
90%
89%
88%
87%
86%
85%
84%
83%
82%
81%
80%
79%
78%
77%
76%
Calendar Months
12.0
11.9
11.8
11.6
11.5
11.4
11.3
11.2
11.0
10.9
10.8
10.7
10.6
10.4
10.3
10.2
10.1
10.0
9.8
9.7
9.6
9.5
9.4
9.2
9.1
% Effort
75%
74%
73%
72%
71%
70%
69%
68%
67%
66%
65%
64%
63%
62%
61%
60%
59%
58%
57%
56%
55%
54%
53%
52%
51%
Calendar Months
9.0
8.9
8.8
8.6
8.5
8.4
8.3
8.2
8.0
7.9
7.8
7.7
7.6
7.4
7.3
7.2
7.1
7.0
6.8
6.7
6.6
6.5
6.4
6.2
6.1
Office of Business Affairs
Sponsored Programs Administration
UT Southwestern Percent Effort Conversion Table
% Effort
50%
49%
48%
47%
46%
45%
44%
43%
42%
41%
40%
39%
38%
37%
36%
35%
34%
33%
32%
31%
30%
29%
28%
27%
26%
Calendar Months
6.0
5.9
5.8
5.6
5.5
5.4
5.3
5.2
5.0
4.9
4.8
4.7
4.6
4.4
4.3
4.2
4.1
4.0
3.8
3.7
3.6
3.5
3.4
3.2
3.1
% Effort
25%
24%
23%
22%
21%
20%
19%
18%
17%
16%
15%
14%
13%
12%
11%
10%
9%
8%
7%
6%
5%
4%
3%
2%
1%
Calendar Months
3.0
2.9
2.8
2.6
2.5
2.4
2.3
2.2
2.0
1.9
1.8
1.7
1.6
1.4
1.3
1.2
1.1
1.0
0.8
0.7
0.6
0.5
0.4
0.2
0.1
Sponsor Requirement
• Federal Identifier (grant number = institute code + 6-digit serial
number)
• Pagination / Page Limitation
• Application of correct F&A rate
• Bio-sketches for key personnel
• Individuals cannot be included on a budget without effort
• Consistent Project Dates
• IACUC and IRB protocol approvals
Office of Business Affairs
Sponsored Programs Administration
Roles & Responsibilities
PI/Department
SPA
Primary Entity for Joint Roles
eGrants Proposal Creation

Initiation of Proposal Review

Timeliness of Review and Submission


PI/Department
Completeness


PI/Department
Accuracy


PI/Department
Attachment (Science) Upload

Budget Entry

Budget Accuracy


PI/Department
Completion of Sponsor Required Forms

PI Assurances/Final Attachments

Proposal Submission


SPA
Post Submission Material (Submission)
Office of Business Affairs
Sponsored Programs Administration

Planning & Timing
14 Days
Prior to
Deadline
12 Days
Prior to
Deadline
10 Days
Prior to
Deadline
5 Days
Prior to
Deadline
4 Days
Prior to
Deadline
3 Days
Prior to
Deadline
2 Days
Prior to
Deadline
Deadline
PI/DA
submits
proposal for
SPA review
Department
and/or
Division
Chair issues
approval
SPA performs
preliminary
review and
returns to
department
for requested
edits
Submission
review
conducted by
AOR
Email
notification
reminding
department of
Final Science
deadline
approaching
Email
notification to
department
that Final
Science and
PI
Assurances
are due
Email
notification
reminding
department
that Final
Science
deadline has
passed and
SPA review
will be
compressed
3 email
notifications
reminding
department
that the
deadline is
quickly
approaching
and that
proposals will
be submitted
“as is” to
maintain the
opportunity
for funding
Office of Business Affairs
Sponsored Programs Administration
Defined Science Components
The Science Components, defined by UTSW, are required to be finalized and submitted to
SPA 3 days in advance of the deadline by the PI/Department.
Other Project Information
Senior Key Personnel
Profile
Project Summary/Abstract
Project Narrative
Bibliography/References
Facilities & Resources
Introduction to Application
(when applicable)
Specific Aims
Research Strategy
Resource Sharing Plan
Biographical Sketch
Final
Science
Office of Business Affairs
Sponsored Programs Administration
Research Plan
Additional Science components
Fellowships (F
series)
• Respective Contributions
• Selection of Sponsor and Institution
• Responsible Conduct of Research
• Goals for Fellowship Training and Career
• Activities Planned Under this Award
• Doctoral Dissertation and Other Research Experience
• Sponsor(s) and Co-Sponsor(s)
Career
Development
Awards (K series)
Final Science
Training Grants
(T series)
Office of Business Affairs
Sponsored Programs Administration
• Candidate’s Background
• Career Goals and Objectives
• Career Development/Training Activities During Award Period
• Research Strategy
• Training in the Responsible Conduct of Research
• Mentoring Plan
• Plans and Statements of Mentor and Co-Mentor(s)
• Description of Institutional Environment
• Institutional Commitment to Research Career Development
• Background
• Program Plan
• Recruitment and Retention Plan to Enhance Diversity
• Plan for Instruction in the Responsible Conduct of Research
NIH Page Limits
Fellowships (F)
Section of Application
Page Limits* (if different from FOA, FOA
supersedes)
Introduction to Application (when applicable)
1
Specific Aims
1
Research Strategy
6
Respective Contributions
1
Selection of Sponsor & Institution
1
Responsible Conduct of Research
1
Goals for Fellowship Training & Career
1
Activities Planned Under This Award
1
Doctoral Dissertation & Other Research Experience
2
Sponsor(s) & Co-Sponsor(s)
6
Bio-Sketch
5
Office of Business Affairs
Sponsored Programs Administration
NIH Page Limits
Career Development Awards (K)
Section of Application
Page Limits* (if different from FOA, FOA
supersedes)
Introduction to Application
1
Specific Aims
1
Candidate’s Background, Career Goals & Objectives, Candidate’s Plan for
Career Development/Training Activities During Award Period, and
Research Strategy
12
(all sections combined)
Background, Program Plan, and Recruitment & Retention Plan to
Enhance Diversity (Institutional Career Development - K12, KM1, and KL2
only)
25
(all sections combined)
Training in Responsible Conduct of Research
1
Plan for Instruction in the Responsible Conduct of Research (Institutional
Career Development - K12, KM1, and KL2 only)
3
Candidate’s Plan to Provide Mentoring
6
Plans & Statements of Mentor and Co-Mentor(s)
6
Letters of Support
6
Description of Institutional Environment
1
Institutional Commitment to Candidate’s Research Career Development
1
Bio-sketch
5
Office of Business Affairs
Sponsored Programs Administration
NIH Page Limits
Training Grants (T)
Section of Application
Page Limits* (if different from FOA, FOA
supersedes)
Introduction to Application (Resubmission)
3
Introduction to Application (Revision)
1
Specific Aims
1
Background, Program Plan, and Recruitment &
Retention Plan to Enhance Diversity (includes
International Training – D43, D71, and U2R)
25
(all sections combined)
Plan for Instruction in the Responsible Conduct of
Research (includes International Training – D43, D71, and
U2R)
3
Bio-Sketch
5
Office of Business Affairs
Sponsored Programs Administration
NIH Page Limits
Research Grants (R)
Section of Application
Activity Code
Page Limits* (if different
from FOA, FOA supersedes)
Introduction to Application
All Codes
1
Specific Aims
All Codes
1
R03, R13, R21, R36, R41, R43
6
R01, R15, R18, R21/R33, R24,
R28, R33, R34, R44, RC2, RC4,
RF1
12
Commercialization Plan
R42 and R44
12
Research Education Program Plan
R25 (Research Education)
25
Bio-Sketch
All Codes
5
Research Strategy
Office of Business Affairs
Sponsored Programs Administration
NIH Page Limits
All Other Application Types
Section of Application
Activity Codes
Page Limits* (if different
from FOA, FOA supersedes)
Introduction to Application
All Codes
1
Specific Aims
All Codes
1
DP1
5
U13, SC2, SC3, X01
6
DP2
10
Research Strategy
U18, U24, U34, U42, U44, DP3,
DP5, G08, G11, G13, SC1, SI2,
U01, UH2, UH3, UG1, UC4,
UH2/UH3, X01, X02, UC2, UF1,
U2C
12
Research Education Program Plan
DP7 (Research Education)
25
Bio-Sketch
DPI and DP2
2
Office of Business Affairs
Sponsored Programs Administration
Facilities and Administrative Costs
(F&A)
•
UTSW current rate = 61.5% (9/1/2014 – 8/31/2016)
= 62% (9/1/2016 – 8/31/2018)
# of months
during budget
period at 61.5%
# of months
during budget
period at 62%
Rate to apply
(Grid: Inflation
& Indirect Rates)
1
11
61.96%
2
10
61.92%
3
9
61.88%
4
8
61.83%
5
7
61.79%
6
6
61.75%
7
5
61.71%
8
4
61.67%
9
3
61.63%
10
2
61.58%
11
1
61.54%
Office of Business Affairs
Sponsored Programs Administration
Off-Campus Rate
•
•
•
UTSW current rate = 26%
Applied for all activities performed in facilities not owned by the institution and to which
rent is directly allocated to the project(s).
Example: PI is a full time employee of UTSW but is conducting research at the Dallas
Veteran’s Affairs Medical Center (VA). The PI, lab, materials, etc. are all located at the
VA and utilized solely in the VA Hospital.
UTSW PI
THR Presby, Children’s Medical, etc.
Performing
research at
Office of Business Affairs
Sponsored Programs Administration
F&A Exclusions
Modified Total Direct Cost (MTDC) is the basis and is utilized more frequently.
•
•
•
•
•
Consortium Costs
Equipment over $5,000 (capital equipment)
Tuition
Patient Care Costs
Alterations and Renovations
NOTE: These costs should be subtracted from the direct costs before applying the indirect cost rate.
***If consortium costs are deducted, $25,000 must be added back for each sub-recipient before
applying the indirect cost rate. If the total consortium costs (directs + indirects) for each subrecipient exceed $25,000 in the first budget year, the total $25,000 would be added back only for the
first year. If the total consortium costs do not exceed $25,000 in the first year, the total amount for
the first year would be added back and the remainder of the $25,000 would be added in the
subsequent years.
Office of Business Affairs
Sponsored Programs Administration
Funding Proposal Review Checklists
•
Top 5 Sponsors
1)
2)
3)
4)
5)
•
•
American Heart Association (AHA)
Cancer Prevention Institute of Texas (CPRIT)
Grants.Gov
 National Institutes of Health (NIH)
 Department of Defense (DOD)
Non-Grants.gov
 Flow Throughs
 Proposal Central Submissions (i.e. ADA, ALS)
 Fastlane Submission (i.e. NSF)
Welch Foundation
Based on what SPA/AOR reviews
Tremendous reduction in margin of error and number of times returned
Office of Business Affairs
Sponsored Programs Administration
AMERICAN HEART ASSOCIATION (AHA)
ü
GRANTS@HEART
18
Verify Professional Time Usage Details totals 100%
19
Verify Applicant’s total effort devoted to this project reflects the effort indicated in
eGrants
20
Verify Grants Officer (Cheryl Anderson) and Fiscal Officer (David Ewing)
21
Verify Budget Details reflect the budget entered into eGrants
22
Verify Funds Available (Other Support)
23
Verify Research Subjects/Assurances reflect the Compliance section in eGrants
24
Verify the AAALAC date and Animal Welfare Assurance number (if applicable)
25
Verify all required attachments are uploaded in the designated section
ITEM
Be sure to review the Funding Opportunity Announcement before proposal preparation
and execution of the review.
eGRANTS FUNDING PROPOSAL
Verify title reflects the AHA application
Verify start date entered in eGrants reflects the start date in AHA
Verify proposal is denoted as Non-Grants.gov (2.2)
Verify section 7.0 Sponsor Information includes AHA guidelines (Funding
Announcement)
Verify items in Compliance reflect what has been selected in the AHA application
(Vertebrate Animals, Human Subjects, etc.)
Verify all required application components are attached on page 19.0 or in
Miscellaneous Attachments (preferably as one appended PDF)
eGRANTS BUDGET
Verify Sponsor salary cap, if applicable
Verify F&A rate(s) are in compliance with Sponsor guidelines
If F&A is not allowed, verify a Sub-ledger number is provided (2.1.1)
Verify whether or not there is cost sharing and indicate in eGrants (2.2 and 2.2.1)
Verify effort for PI and other Faculty is at least 3% or 0.4 calendar months and is
captured on page 3.0 Personnel Costs
Verify stipends and research/institutional allowance is captured on page 9.0 General
Costs
SUBMISSION PROCESS
26
Verify proposal has been submitted to SPA on the AHA webiste; state =
"SubmittedtoGO"
27
Verify corresponding funding proposal has been approved in eGrants
27
Verify proposal has been successfully submitted by SPA via the AHA application
portal; state = "Submitted"
Verify budget reflects the AHA budget
Verify a copy of the AHA budget is attached on page 10.0
Verify the budget justification reflects the budget
Verify the budget complies with the FOA guidelines
Office of Business Affairs
Sponsored Programs Administration
CANCER PREVENTION AND RESEARCH INSTITUTE OF TEXAS
(CPRIT)
NO.
1
ü
ITEM
Be sure to review the Funding Opportunity Announcement before proposal preparation and execution
of the review.
CGMS
17
Verify the title reflects what is indicated in eGrants
18
Verify the DUNS and EIN numbers are correct
19
Verify Application Signing Official (Cheryl Anderson)
20
Verify the State Senate District (23) and State House District (100 - South
Campus) 103 (North Campus)
21
Verify all Key Personnel have been listed as Collaborators
22
Verify all required documents are attached in the designated section. NOTE: biosketches should not exceed 2 pages
23
Verify all Other Support has been provided. NOTE: required for the PI, Co-PI, and
any individual who's bio-sketch has been included
24
Verify Budget Details reflect the budget entered into eGrants
25
Verify effort is reported in percentage in the budget justification
26
Verify Veterbrate Animals, Biological/Anatomic Substances, and Human
Subjects, reflect the Compliance section in eGrants
eGRANTS FUNDING PROPOSAL
2
Verify title reflects the CPRIT application
3
Verify start date entered in eGrants reflects the start date in the CPRIT application
4
Verify proposal is denoted as Non-Grants.gov (2.2)
5
Verify section 7.0 Sponsor Information includes CPRIT guidelines (Funding Announcement)
6
Verify items in Compliance reflect what has been selected in the CPRIT application (Vertebrate
Animals, Human Subjects, etc.)
7
Verify all required application components are attached on page 19.0 or in Miscellaneous Attachments
(preferably as one appended PDF)
eGRANTS BUDGET
8
Verify Sponsor salary cap ($200,000)
9
Verify F&A rate is in compliance with Sponsor guidelines (5.263%) NOTE: eGrants applies only
5.26%, therefore, the total amount may be slightly different from the total amount in the CPRIT
application. However, the total direct costs should reflect one another.
10
Verify whether or not there is cost sharing and indicate in eGrants (2.2 and 2.2.1)
11
Verify effort for PI and other Faculty is at least 3% or 0.4 calendar months and is captured on page 3.0
Personnel Costs
12
Verify budget reflects the CPRIT budget
13
Verify a copy of the entire CPRIT budget is attached on page 10.0
14
Verify the budget justification reflects the budget
15
Verify the budget complies with the FOA guidelines
16
Verify any sub-award budgets are itemized in the budget justification, and the sub-award IDC is not
included in UT Southwestern’s Direct Costs
Office of Business Affairs
Sponsored Programs Administration
SUBMISSION PROCESS
27
Verify proposal has been submitted to SPA in the CGMS; state = "Pending ASO
Approval"
28
Verify corresponding funding proposal has been approved in eGrants
29
Verify proposal has been successfully submitted by SPA via CGMS; state = "ASO
Approved and Submitted"
GRANTS.GOV
NO.
1
ü
ITEM
21
If Human Subjects are involved, verify the following are attached: Inclusion of Women and Minorities
and Inclusion of Children
22
If Human Subjects are involved, verify Planned Enrollment Table is selected under Optional Forms and
completed
23
If renewal with Human Subjects, verify a Cumulative Inclusion Enrollment Report has been selected
under Optional Forms and completed
24
Verify consortium documents and budget are attached if applicable (signed Face Page and/or signed
Letter of Intent, Budget (R&R budget if prime is submitting detailed budget and PHS 398 budget pages
if prime is submitting a modular budget, F&A Checklist, DHHS Rate Agreement)
25
Verify Multiple PD/PI Leadership Plan is attached if there is more than one PD/PI role listed in key
personnel
26
Verify Appendices are comply with Sponsor guidelines and are allowable
27
For DOD, verify CDMRP log number is entered as the "Application Filing Name/Submission Title”
28
For DOD, verify whether application includes a Partnering PI; and if yes, a separate application (SF424)
has been submitted per sponsor guidelines
29
For DOD, verify attachment file names comply with guidelines
30
For DOD, verify Other Support includes all information required by sponsor
31
For Fellowships (F series) and Career Development grant (K series), verify career documents and
mentor plans are attached
32
For Training grants (T series), verify required tables are attached
33
For Instrumentation grants (S10), verify other support and upload confirmation
Be sure to review the Funding Opportunity Announcement before proposal preparation and
execution of the review.
eGRANTS FUNDING PROPOSAL
2
Verify title is not truncated; General Information (P.1); and Proposal Information (P.2)
3
If Sponsor is NIH, verify specific NIH institute (i.e. NCI, NIAID, NIDDK, etc.) is entered in
the Sponsor field (1.5)
4
Verify COI Statement is current
5
Verify eGrants Start date coincides with the Sponsor start date
6
Verify items selected in Compliance reflect what is selected in the SF424 and have the
correct attachments: (Vertebrate Animals, Human Subjects, Special Agents)
7
Verify F&A rate(s)
8
Verify effort for PI and other Faculty is at least 3% or 0.4 calendar months
9
Verify whether or not there is cost sharing and indicate in eGrants (2.2 and 2.2.1)
10
Verify exclusions on the budget (tuition, equipment over $5K, subcontract, etc.)
11
For modular budgets, verify the Additional Narrative Justification is attached if there is a
variation in the number of modules requested (including R21s) and/or there are exclusions
applied to the F&A base calculation.
eGRANTS BUDGET
12
Verify Modular Offset = 0 across all years
13
Verify budget entered in eGrants reflects the budget in the SF424
14
Verify Salary Cap is $181,500 for NIH and true base salary of personnel is carried over in all
years of the budget
15
Verify the budget justification reflects the budget
16
Verify the budget complies with sponsor guidelines
SUBMISSION PROCESS
SF424
17
Verify grant number/federal identifier is correct on line 4a (only renewals and resubmissions)
18
Verify all special requirements of the FOA are met (other attachments, budget limits, effort
requirements, etc.)
19
Verify Cover Letter is attached and the title matches the title listed on the SF424. If a
Renewal or Resubmission, verify FOA and Grant Number are included and correct.
20
Verify Credentials (Commons ID for NIH; CDMRP login for DOD; and AHRQ login for
AHRQ)
Office of Business Affairs
Sponsored Programs Administration
34
Validate Submission in eGrants to check for errors and warnings
35
Create Pre-Submission PDF in eGrants. NOTE: If PDF is blank, one of the attachments is a word
document and will need to be converted into a PDF
36
Once AOR has submitted proposal, verify a Grants.gov Tracking Number has been assigned
37
Verify proposal has been accepted by sponsor with no errors/warnings via eRA Commons
38
If application has errors and/or is pulled back for corrections, verify type of submission has been
changed from "Application" to "Change/Corrected" (Field 1 of SF424) and the Previous Grants.gov
Tracking ID (can be located in eGrants or eRA Commons) has been entered on Line 4c of the SF424
NON-GRANTS.GOV
SUBMISSION PROCESS
18
Verify type of submission (i.e. NSF, ProposalCentral, email, etc.)
19
Verify all documents that require institutional endorsement have been signed,
if applicable (i.e. Face Page, Consortium Letter, Cover Letter, Sub-recipient
Commitment Form, etc.)
20
Verify which entity carries out submission, SPA or Department
21
Verify proposal has been successfully submitted by SPA via Sponsor portal, if
applicable
22
If submitted by Department, verify department is aware the proposal has been
approved for submission
23
If e-mail submission by SPA, verify the PI and Department Support
individual(s) are copied
24
Verify a single PDF of the Final Proposal and Signed Documents are uploaded
under Miscellaneous Attachments in eGrants.
ITEM
Be sure to review the Funding Opportunity Announcement before proposal
preparation and execution of the review.
eGRANTS FUNDING PROPOSAL
Verify title reflects the Sponsor application
Verify start date entered in eGrants reflects the Sponsor/Prime Recipient's start
date
For Subcontracts, verify the Prime Recipient/Institution is entered in the
Sponsor field (1.5) and the Prime Sponsor (i.e. NIH, AHA, CPRIT, etc.) is
entered in the Flow Through/Prime Awardee field.
Verify proposal is denoted as Non-Grants.gov (2.2)
Verify section 7.0 Sponsor Information includes sponsor/prime guidelines (i.e.
budget restrictions, effort, type of budget, required application components,
etc.)
Verify items in Compliance reflect the items selected in the Sponsor
application (Vertebrate Animals, Human Subjects, etc.)
Verify all required application components are attached on page 19.0 or in
Miscellaneous Attachments (preferably as one appended PDF)
eGRANTS BUDGET
Verify Sponsor salary cap, if applicable
Verify F&A rate(s) are in compliance with Sponsor guidelines
If Sponsor does not allow indirects or a minimum of 10%, verify a Sub-ledger
number is provided (2.1.1)
Verify effort for PI and other Faculty is at least 3% or 0.4 calendar months
Verify whether or not there is cost sharing and indicate in eGrants (2.2 and
2.2.1)
Verify exclusions on the budget (tuition, equipment over $5K, subcontract,
etc.)
Verify budget reflects the Sponsor budget
Verify the budget justification reflects the budget
Verify the budget complies with sponsor guidelines
Office of Business Affairs
Sponsored Programs Administration
WELCH FOUNDATION
WELCH APPLICATION
Verify the title reflects what is indicated in eGrants
ITEM
Be sure to review the Funding Opportunity Announcement before proposal preparation
and execution of the review.
eGRANTS FUNDING PROPOSAL
Verify title reflects the Welch application
Verify font size is 11 pts or higher
Verify line spacing is at least 1.5 inch but no more than 5 lines per vertical inch
Verify start date is June 1
Verify proposal is denoted as Non-Grants.gov (2.2)
Verify section 7.0 Sponsor Information includes Welch guidelines (Funding
Announcement)
Verify all margins are at least 1 inch in all directions
Verify biosketch does not exceed 2 pages
Verify question 8.1 should is “yes” for cap limits
Verify grant period (3 years)
Verify research proposal does not exceed 5 pages
Verify all required application components are attached on page 19.0 or in Miscellaneous
Attachments (preferably as one appended PDF)
eGRANT BUDGET
Verify Other Support (if applicable)
Verify grant amount ($60,000/yr)
Verify grant period (3 years)
Verify no F&A has been applied in accordance with Sponsor guidelines and an
unrestricted Sub-ledger has been provided on page 2.0 Budget Characteristics.
Verify PI's status has been confirmed (full-time with tenure or on tenure track); Ira Abrego
prepares all letters.
Verify the most current foundation forms are being utilized (updated forms can be
accessed via the sponsor website.
Verify voluntary cost sharing has been indicated (2.2 and 2.2.1)
Verify effort for PI and other Faculty is at least 3% or 0.4 calendar months and is captured
on page 3.0 Personnel Costs
Verify budget reflects the Welch budget
SUBMISSION PROCESS
Verify corresponding funding proposal has been approved in eGrants and institutional
endorsement has been obtained
Verify a copy of the entire Welch budget is attached on page 10.0
PI sends all application materials to The Welch Foundation
Verify the budget complies with the FOA guidelines
Verify travel does not exceed $1,500
Verify any postdocs listed have not received foundation support for more than 3 years
Office of Business Affairs
Sponsored Programs Administration
Flow-Through Awards
UTSW = Sub-recipient
Awards (funds) come to UTSW
and are treated the same as
Direct 1:1 Awards
• Minimum Requirements
for eGrants FP:
•
•
 Prime information (institution
name, Prime PI, address,
Signing Official {SO} name,
etc.)
 Prime guidelines (i.e. budget
information, project period,
effort limitations, etc.)
 Statement of Work (SOW)
 Budget
 Budget Justification
 Face Page
 Letter of Intent (LOI)
Office of Business Affairs
Sponsored Programs Administration
Sub-Awards
•
•
UTSW = Sponsor (Prime Recipient)
Requirements from Sub







Signed Face Page and/or LOI***
Statement of Work (SOW)***
Key Personnel Bio-sketches
Resources
F&A Checklist***
DHHS Agreement***
Budget
 if UTSW submits R&R detailed budget –
sub must submit a detailed budget
 if UTSW submits a modular budget – sub
must submit PHS 398 budget pages
 Budget Justification
 Sub-recipient Profile Questionnaire
(risk assessment)
 COI Sub-recipient Form
 Financial Disclosure Form (only
required if sub-recipient does not have
a COI policy)
*** items that should be uploaded under
Consortium/Contractual Arrangements Section of the
SF424
Office of Business Affairs
Sponsored Programs Administration
NIH Approved PHS 398 Face Page
(approved through 8/31/2015)
Office of Business Affairs
Sponsored Programs Administration
Detailed budgets (R&R) vs. Modular Budgets
•
•
Detailed Budget (R&R)
 Direct Costs exceed $250,000 per year
 All budget categories are addressed
 Budget Justification addresses all budget categories
Modular Budget
 Direct Costs are $250,000 or less per year
 Requested in increments of $25,000
 Detail is omitted
 Consortium F&A is excluded from the TDC when determining if DC are $250,000
or less
 Budget Justification addresses only personnel
 Additional Narrative – provides explanations for any variations in the number of
modules requested annually (i.e. F&A Exclusions)
Office of Business Affairs
Sponsored Programs Administration
Compliance
Fiscal
Compliance
Contractual
Compliance
Safety
Compliance
Reporting
Compliance
Export
Controls
Human &
Animal
Research
Office of Business Affairs
Sponsored Programs Administration
Conflict of
Interest
Compliance
•
Fiscal Compliance
 Cost Sharing
 Effort Reporting
 Subcontracting
•
Safety Compliance
•
 IRB
 IACUC
•
Contractual Compliance
 Subcontracting
 Property Management
 Technical Reporting
•
Reporting Compliance




Closeouts
Invention Statements
Financial Reports
Publications
Office of Business Affairs
Sponsored Programs Administration
Conflict of Interest




 Radiation & Laser
 Biosafety
 Environmental
•
Human & Animal Research
•
Financial
Commitment
Outside Activities
Intellectual Property (IP)
Other
 Export Controls
 Material Transfer Agreements
(MTA)
 Stem Cells
 Misconduct
IACUC Protocol Approval
•
TOPAZ
•
Protocols approvals = 3 years
 Must be renewed or closed before the end of the 3rd year
Protocol reviews = annually (at least once a year)
Approval date does not re-set with the performance of the annual review or the addition
of a new grant.
Regulations require written notification; however, formal approval letters are only
generated upon request.
The protocol must indicate the grant number; otherwise, the IACUC office will need to
be contacted to confirm approval.
•
•
•
•
Office of Business Affairs
Sponsored Programs Administration
IRB Protocol Approval
•
•
•
•
•
•
eIRB
Required to be reviewed annually
Expedited Review vs. Full Board Review is based on risk
Expedited Review
 minimal risk
 reviewed by Chair
Full Board Review
 higher risk
Human Subjects Training
 protection of humans
 HIPAA
 acceptable clinical practices
Office of Business Affairs
Sponsored Programs Administration
Conflict of Interest
•
Each Covered Individual must complete COI Training before engaging in research at UT
Southwestern Medical Center and at least once every four years thereafter.
Covered Individual – Any person who is required to submit a Statement of Financial
Interest and Outside Activities, including: faculty members; exempt UT Southwestern
employees, study team members (including students and post-graduate trainees); individuals
who may influence the negotiation or execution of research or technology licensing
agreements; Institutional Review Board (IRB) members; Institutional Animal Care and Use
Committee (IACUC) members; and Conflict of Interest Committee (COI Committee)
members.
•
•
•
a Covered Individual new to UT Southwestern must complete the training before
engaging in research, or must provide evidence of having completed the training at
another UT System institution within the last four years.
COI training must be completed immediately if it is found that the Covered Individual is
not in compliance with this policy or a management plan, or if the policy is revised in a
manner that affects the Covered Individual’s duties.
The Public Health Service (PHS) COI policy requires all study team members to have a
current Statement of Financial Interest (SFI) on file with the COI Office at application
stage. The policy expands the definition of investigators beyond key personnel to include
individuals who are responsible for the design, conduct, and/or reporting of research.
Office of Business Affairs
Sponsored Programs Administration
Questions
SPA Outreach
Nell Cryer, Supervisor
(214) 648-0865
Alina Grays
(214) 648-4493
SPAOutreach@utsouthwestern.edu
Main Line
(214) 648-0860
David Ngo
Assistant Vice President
(214) 648-0882
david.ngo@utsouthwestern.edu
Cheryl Anderson
Director
(214) 648-4483
cheryl.anderson@utsouthwestern.edu
Jamie Wilson
Proposal Supervisor
(214) 648-4481
jamie.wilson@utsouthwestern.edu
Arriel Stevens,
Contracts Supervisor
(214) 648-4139
arriel.stevens@utsouthwestern.edu
Office of Business Affairs
Sponsored Programs Administration