OSP REQUIRED DOCUMENTS - FEDERAL and NON PROFIT
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
Federal Contract
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Non-Federal Contract
Non Profit
UAB Extramural Checklist - signed
Business Proposal
Technical Proposal (draft)
Detail Budget in EXCEL or sponsor
format
Responsible Personnel List
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(If Applicable)
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(If Applicable)
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Letter / Statement of Intent
Institutional Commitment Letters
Cost Sharing Form (If applicable)
IDC Rev Redistribution Form
VA Memo of Understanding
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Cover Pages
Letter of Intent
Institutional Commitment Letters
Sponsor required documentation
Copy osp@uab.edu on any "Intent
to Apply" and/or white paper
Cost Sharing (If applicable)
IDC Rev Redistribution Form
VA Memo of Understanding
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Competing
Continuation/Renewal
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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
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N/A
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(If applicable)
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Letter / Statement of Intent
Institutional Commitment Letters
Cost Sharing Form
IDC Rev Redistribution Form
VA Memo of Understanding
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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 Guidelines
Letter/Statement of Intent (if
applicable)
Institutional Commitment Letters (if
applicable)
Cost Sharing Form (if applicable)
IDC Revenue Redistribution form (if
applicable)
UAB Extramural Checklist - signed
Responsible Personnel List
Application includes full draft
proposal which consists of budget,
budget justification and statement or
scope of work *
Agreement (Word Version)
RFA
Guidelines – submit a hard copy or
direct link identified on the UAB
Checklist
Sponsor IDC Guidelines
If application is restricted access
then a copy of the application and
guidelines
Cost Sharing Form (if applicable)
Non-Federal Grant
Non Profit
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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 guidelines
Letter/Statement of Intent (if
applicable)
Institutional commitment letters (if
applicable)
Cost Sharing Form (if applicable)
IDC Revenue Redistribution form
(if applicable)
Data Use Agreements
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UAB Extramural Checklist – signed
Responsible Personnel List
Face Pages requiring OSP
signatures
Application includes full draft
proposal which consists of budget,
budget justification and statement
or scope of work *
RFA & application, Guidelines
Protocol (if applicable)
Sponsor IDC guidelines
Cost Sharing Form (if applicable)
UAB Expedited Checklist
If DUA include a DUA
submission evaluation form
Editable version of the
agreement
An RPL is not required
N/A
OSP Required Documents – V11.21.13
Notes: Any document submitted earlier in the process does not need to be resubmitted again unless it has been modified, i.e. a protocol submitted to the CBR for FAP review should not be resubmitted with a new submission unless it changed.
* A proposal consists of the fully signed UAB Extramural Checklist, a budget, budget justification, draft of the science, sponsor required documentation, statement of intent (if applicable) and cover letter (if applicable).
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Submission Type
Non-Competing
Continuation/Continuation
Federal Grant
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Federal Contract
UAB Extramural Checklist – signed
Responsible Personnel List
(ONLY if changes in Responsible
Personnel)
Proposal (if paper, hard copy) *
N/A
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Supplement/Revision
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Amendment/Mod
No Cost Extension
(First)
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(If Applicable)
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Non-Federal Contract
Non Profit
If electronic access the sponsor
portal e.g.ERA Commons
Cost Sharing Form
VA Memo of Understanding
N/A
UAB Extramural Checklist - signed
Proposal (if electronic, access drop
box or sponsor portal. If paper
submission use hard copy) *
Responsible Personnel List (ONLY
if changes in Responsible
Personnel)
Cost Sharing Form (if applicable)
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UAB Extramural Checklist - signed
Responsible Personnel List (ONLY
if changes in Responsible
Personnel)

UAB Expedited Checklist & letter of
request
Responsible Personnel List
(ONLY if changes in Responsible
Personnel)
For NIH Grants - Letter of request
addressed to OSP Officer signed by
PI and Dept Chairman
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Non-Federal Grant
Non Profit
UAB Extramural Checklist –signed
Responsible Personnel List
(ONLY if changes in Responsible
Personnel)
Annual Progress Report if it acts as
a proposal
Full proposal if applicable *
Budget, Justification (if applicable)
Contract (Word version)
Cost Sharing Form (if applicable)
Carry Forward budget if available
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UAB Extramural Checklist - signed
Proposal which includes the
Budget & Justification
Responsible Personnel List (ONLY
if changes in Responsible
Personnel)
Cost Sharing Form (if applicable)
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UAB Extramural Checklist – signed
Responsible Personnel List
(ONLY if changes in Responsible
Personnel)
Annual Progress Report if it acts
as a proposal
Full proposal if applicable *
Budget, Justification (if applicable)
Cost Sharing Form (if applicable)
Carry Forward budget if available
N/A
UAB Extramural Checklist
Proposal which includes the
Budget & Justification*
Responsible Personnel List (ONLY
if changes in Responsible
Personnel)
Cost Sharing Form (if applicable)
N/A
UAB Extramural Checklist
(For Change in PI or an increase in
contract value)
Expedited Checklist (if applicable)
Responsible Personnel List (ONLY
if changes in Responsible
Personnel)
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UAB Extramural Checklist - signed
Proposal *
Budget & Justification
Responsible Personnel List (ONLY
if changes in Responsible
Personnel)
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UAB Extramural Checklist - signed
Proposal *
Budget & Justification
Responsible Personnel List (ONLY
if changes in Responsible
Personnel)
UAB Expedited Checklist
Responsible Personnel List
(ONLY if changes in Responsible
Personnel)
A copy of the letter or email
requesting the extension or
whatever prompted the extension
along with the written justification.
The Sponsor issues an amendment
or modification to make the
extension official.
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UAB Expedited Checklist
Responsible Personnel List
(ONLY if changes in Responsible
Personnel)
Request letter if required by sponsor
Carry forward budget if included in
NCE request
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UAB Expedited Checklist
Responsible Personnel List
(ONLY if changes in Responsible
Personnel)
Request letter if required by
sponsor
Carry forward budget if included in
NCE
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Data Use Agreements
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UAB Expedited Checklist
Sponsor Contact Info required
Sponsor amendment – Word
document
N/A
OSP Required Documents – V11.21.13
Notes: Any document submitted earlier in the process does not need to be resubmitted again unless it has been modified, i.e. a protocol submitted to the CBR for FAP review should not be resubmitted with a new submission unless it changed.
* A proposal consists of the fully signed UAB Extramural Checklist, a budget, budget justification, draft of the science, sponsor required documentation, statement of intent (if applicable) and cover letter (if applicable).
Page 2
Submission Type
No Cost Extension
(Second)
Federal Grant


UAB Expedited Checklist &
attachments
Responsible Personnel List
(ONLY if changes in Responsible
Personnel)
For NIH grants letter addressed to
GMS co-signed by Dept Chairman
and for other federal, a letter of
request to the sponsor forwarded to
OSP for review and submission to
sponsor
Detailed Budget
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UAB Extramural Checklist Signed
Relinquishment Statement
Final Invention Statement
Letter of transfer
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Transfer Out
Federal Contract
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UAB Expedited Checklist
Responsible Personnel List
(ONLY if changes in Responsible
Personnel)
A copy of the letter or email
requesting the extension or whatever
prompted the extension along with
the written justification forwarded to
OSP for review and submission to
sponsor. The Sponsor issues an
amendment or modification to make
the extension official.
N/A
Non-Federal Contract
Non Profit
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
UAB Expedited Checklist
Responsible Personnel List
(ONLY if changes in Responsible
Personnel)
Request letter if required by sponsor
forwarded to OSP for review and
submission to sponsor
Carry forward budget if included in
NCE
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UAB Extramural Checklist - Signed
Letter of transfer from PI to sponsor
requesting permission to transfer
award
Letter of acceptance from new
institution if already provided
Contact info for new institution
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UAB Extramural Checklist – signed
Responsible Personnel List
Proposal or agreement
Letter of Appointment from UAB
department
Letter to sponsor requesting
permission to transfer award
Contact information from last
institution (if applicable)
Proposal or agreement
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UAB Extramural Checklist - signed
Proposal (if electronic, access drop
box. If paper submission use hard
copy) *
Responsible Personnel List




(If Applicable)
Letter/Statement of Intent
Institutional Commitment Letters
Cost Sharing Form
IDC Rev Redistribution Form
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Transfer In
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UAB Extramural Checklist – signed
Proposal (hard copy)
Responsible Personnel List
N/A
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
(If Applicable)
Resubmission
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VA Memo of Understanding
Cost Sharing Form
IDC Rev Redistribution Form
Letter / Statement of Intent
Institutional Commitment Letters



UAB Extramural Checklist - signed
Proposal (if electronic, access drop
box. If paper submission use hard
copy) *
Responsible Personnel List





(If Applicable)
Letter / Statement of Intent
Institutional Commitment Letters
Cost Sharing Form
IDC Rev Redistribution Form\
VA Memo of Understanding






UAB Extramural Checklist - signed
Proposal (if electronic, access drop
box. If paper submission use hard
copy) *
Responsible Personnel List





(If Applicable)
Letter / Statement of Intent
Institutional Commitment Letters
Cost Sharing Form
IDC Rev Redistribution Form
VA Memo of Understanding
Non-Federal Grant
Non Profit

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

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


UAB Expedited Checklist
Responsible Personnel List
(ONLY if changes in Responsible
Personnel)
Request letter if required by
sponsor forwarded to OSP for
review and submission to sponsor
Carry forward budget if included in
NCE
UAB Extramural Checklist - Signed
Letter of transfer from PI to
sponsor requesting permission to
transfer award
Letter of acceptance from new
institution if already provided
Contact info for new institution
UAB Extramural Checklist –signed
Responsible Personnel List
Letter of Appointment from UAB
dept
Letter to sponsor requesting
permission to transfer award
Contact information from last
institution
Proposal (if required)
Agreement (if required)

UAB Extramural Checklist - signed
Proposal (if electronic, access drop
box. If paper submission use hard
copy) *
Responsible Personnel List




(If Applicable)
Letter/Statement of Intent
Institutional Commitment Letters
Cost Sharing Form
IDC Rev Redistribution Form
Data Use Agreements
N/A
N/A
N/A
OSP Required Documents – V11.21.13
Notes: Any document submitted earlier in the process does not need to be resubmitted again unless it has been modified, i.e. a protocol submitted to the CBR for FAP review should not be resubmitted with a new submission unless it changed.
* A proposal consists of the fully signed UAB Extramural Checklist, a budget, budget justification, draft of the science, sponsor required documentation, statement of intent (if applicable) and cover letter (if applicable).
Page 3
Submission Type
Federal Grant
Change in PI


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
UAB Extramural Checklist – signed
Responsible Personnel List
Letter
Sponsor required documents
Carry-Over Request

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UAB Expedited Checklist
Responsible Personnel List
(ONLY if changes in Responsible
Personnel)
Budget
Letter of justification


Federal Contract

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

Non-Federal Contract
Non Profit
Non-Federal Grant
Non Profit
Data Use Agreements
UAB Extramural Checklist – signed
Responsible Personnel List
Letter
Sponsor required documents

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
UAB Extramural Checklist – signed
Responsible Personnel List
Letter
Sponsor required documents




UAB Extramural Checklist – signed
Responsible Personnel List
Letter
Sponsor required documents
N/A
N/A


UAB Expedited Checklist
Responsible Personnel List
(ONLY if changes in Responsible
Personnel)
Budget
Letter of justification


UAB Expedited Checklist
Responsible Personnel List
(ONLY if changes in Responsible
Personnel)
Budget
Letter of justification
N/A




OSP Required Documents – V11.21.13
Notes: Any document submitted earlier in the process does not need to be resubmitted again unless it has been modified, i.e. a protocol submitted to the CBR for FAP review should not be resubmitted with a new submission unless it changed.
* A proposal consists of the fully signed UAB Extramural Checklist, a budget, budget justification, draft of the science, sponsor required documentation, statement of intent (if applicable) and cover letter (if applicable).
Page 4