OSP 106 How To Avoid Common OSP Submission Errors

“OSP 106 – How To Avoid Common OSP
Submission Errors”
Office of Sponsored Programs
Lunch and Learn Training Series
Thursday, April 17, 2014
Margaret Cameron Spain Auditorium
OSP 106
OSP Mission Statement
OSP Basic Submission Types
Required Documents for Submission to OSP
Top 10 OSP Submission Errors
Office of Sponsored Program
Mission Statement
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
OSP Basic Submission Types
OSP Submission Types
Five New Types Requiring an RPL with OSP Submission
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.
Revised application to the same sponsor, replacing an
earlier application that was not funded. List the OSP
assigned number.
Change in PI
Request to replace the current principal investigator or
project director. Enter the Previous PI Name
Transfer In
Application to relocate a currently-funded project from
another organization to UAB.
OSP Submission Types
RPL only required if change in responsible personnel
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 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.
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.
Documents Required for Submission
to OSP
Top 10 OSP Submissions Errors
#10 Extramural Checklist is Not Submitted for a
Change of PI
• When a funded project has a change of Principal Investigator, a “Change of
PI” OSP submission is required.
• Required documents for a “Change of PI” submission includes the
Signed Extramural Checklist (hard copy with wet ink signatures)
Original RPL (listing all responsible personnel on the project, not just the new PI)
Sponsor required documentation (usually includes a letter, biographical sketch and other
support of new PI)
A revised RPL instructing to remove the old PI and adding the new PI to the project is not
required. A original RPL is a requirement.
#9 Expedited Checklist Missing from OSP
• The UAB Office of Sponsored Programs OSP Expedited Checklist is
required for OSP submissions that do not require departmental or
institutional signatures or approvals.
• OSP submissions requiring the OSP Expedited Checklist include;
DUA (Deidentified/Limited/PHI)
VA MOU (JIT/Annual Certification)
Revised Budget
No Cost Extension (may require additional documentation)
Amendments (increase funds or change the PI require Extramural Checklist
Change in Dept/Div Affiliation of PI
• The OSP Expedited Checklist should not be used for CBR/CTO submissions.
Submission for FAP review should be submitted on the CBR submission
#8 Incorrect or Missing Instrument Type
21. Instrument Type: Check either Contract or Grant
A grant is a funding mechanism for a broad programmatic objective with standard
and acceptable terms and conditions which are preset by the awarding entity and are
non-negotiable by UAB.
A contract is a funding mechanism for specific deliverables in which all or some of
the more rigorous terms and conditions are subject to review and acceptance by
signature by UAB, and if those terms and conditions are not acceptable would
require negotiation between the parties. Contracts, like those provided by the
federal government or industry sponsors, are subject to negotiated terms and
#7 NIH Application is Missing from the OSP
• 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.
#6 Original RPL Received With Errors
• An original Responsible Personnel List (RPL) is a required document for the
following OSP submissions;
Competing Continuation/Renewal
Change In PI
Transfer In
• Common RPL errors on original RPLs;
RPL is not marked as “Original” RPL
Incorrect/Missing Blazer ID for responsible personnel listed
First and last name of responsible personnel inverted on RPL
PI name is not listed in Section III “Responsible Personnel”
Responsible personnel listed on RPL are associated with a subcontract or fee for service agreement.
Add and remove checkboxes are checked for “Original RPL”
#5 PI Listed on Extramural Checklist Does Not Meet the
UAB Definition of a Principal Investigator.
UAB allows the following personnel, when they meet the funding entity’s requirements for
eligibility, to serve as a UAB Principal Investigator on externally funded (sponsored) grants or
contracts administered by the University:
Any person who is or who upon receipt of the award will be a UAB employee with a UAB employment
status of 01 (Full-time Regular), 03 (Part-time Regular), 04 retiree (Irregular), or 21 (postdoctoral
scholar employees) (Employment Assignment Category Determination - HR Policy 411)
When a training or fellowship grant identifies a postdoctoral student (UAB employment status 20) or
other UAB student as the principal investigator, UAB recognizes the student as the external entity
designated Principal Investigator. The UAB mentor or person who will supervise the training and
research and who (1) is specifically named on the grant or contract application and (2) meets the
above requirement for a principal investigator serves as the UAB Principal Investigator.
UAB Policy for definition of a Principal Investigator can be found at UAB Definition of a
Principal Investigator
#4 Extramural Checklist Received Without
Required Signatures
• All OSP submissions requiring an extramural checklist should have a hard
copy of the checklist and supporting documentation delivered to the OSP
office prior to 4:30pm M-F with wet ink signatures for the project Principal
Investigator, and the department chairperson of the primary faculty
appointment of the PI.
• The PI must sign the extramural checklist in order to properly document
UAB’s attestations and certifications. No “per” signatures allowed.
• “Per” signatures are allowed for the department chairperson if the signee
is listed as an authorized alternate signatory on the OSP departmental
authorized signature form.
• For NIH projects with multiple PIs, NIH requires signatures from all
individuals serving in the role of PI.
#3 Industry Sponsored Clinical Trial Submissions
Missing Required Documents
The Office of Sponsored Programs is responsible for the overall review and
execution of clinical trial agreements (CTA) for sponsored or investigator initiated
clinical trial protocols, and for the review of non-financial terms included in the
To expedite OSP’s review and execution process the following documents are
required at time of submission;
Signed extramural checklist (Please Note: Question 21 on the checklist should be clearly marked
“clinical trial” and question 24 and 25 should be completed.)
Editable Version of the agreement (Word Version)
Budget (draft or final)
Informed Consent (draft or final)
Additional documents may be required if utilizing the CRU or if the research is a
device trial.
#2 Incorrect Revised RPL Submitted with
Subsequent OSP Submission
Examples of OSP subsequent submission include; amendments, noncompeting
continuations/continuations (NCC), supplements, revised awards, no cost extensions.
A Responsible Personnel List (RPL) is not a required document with an OSP subsequent
submission unless there has been a change in responsible personnel on the project.
Only the personnel being added or removed as responsible should be included on the
revised RPL.
Examples of incorrect RPLs submitted with a subsequent submission include;
Revised RPL submitted with one of the five original/new submission types
All or a segment of the responsible personnel for the project are listed on the revised RPL
Personnel listed on the revised RPL are not denoted in the add or remove checkbox
RPL marked as original instead of revised
PI not listed in Section III of the RPL
#1 Late Submissions to OSP
All proposals for extramurally sponsored funding must be reviewed by the OSP prior to submission.
It has always been and continues to be imperative that researchers submit their proposals in accordance
with UAB’s proposal submission policy and deadlines.
The policy states that the draft proposal and checklist must be submitted seven (7) full business days,
and the final proposals three (3) full business days, prior to the sponsor’s deadline.
A draft paper proposal consists of a fully signed UAB extramural checklist, RPL, budget, budget
justification, a draft of the science, sponsor required documentation, a statement of intent (if applicable),
cover letter (if applicable).
A draft electronic proposal (i.e. Grants.gov, NSF fastlane, CME, etc.) consists of a fully signed UAB
extramural checklist, RPL and a complete electronic proposal package uploaded to the OSP dropbox or
sponsor portal.
An extramural checklist submitted without all of the required documents, forms and components will
not place a submission in the queue for review. Submissions that are complete are reviewed in order of
OSP cannot ensure submissions will be processed timely if UAB’s deadlines for submissions to OSP are
not met.
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