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Penny Weaver Assistant Director, OSPRA

Research Administration and Management Series (RAMP) Proposal Transmittal Form Training for Research Administrators. Penny Weaver Assistant Director, OSPRA. Objective of this Training.

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Penny Weaver Assistant Director, OSPRA

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  1. Research Administration and Management Series (RAMP)Proposal Transmittal Form Trainingfor Research Administrators Penny Weaver Assistant Director, OSPRA

  2. Objective of this Training • To provide an understanding of the purpose of the proposal transmittal form and the significance of each section of the form • To explain and demonstrate what the data represent and their meaning

  3. Topics That Will be Covered in the Training Sessions • Proposal Transmittal Form • Purpose of the proposal transmittal form (PTF) • Sections of the PTF and their meaning and significance • Compliance items and units responsible for oversight

  4. Overview of the Proposal Transmittal Form Purpose: Source data for UI eRA • Internal form intended to: • Gather data regarding proposal characteristics for reporting and other purposes. • Evidence PI/co-PI acknowledgment of responsibilities and certifications. • Obtain information regarding proposal deadline, how it will be transmitted and by whom, sponsor, cost sharing.

  5. How does the PTF get to OSPRA and what happens to it after it arrives at OSPRA? • The PTF may be faxed, e-mailed or hand delivered to OSPRA. • The Proposal Specialist is charged with identifying the proposal coordinator to whom it should be assigned, logging it into the system, and distributing it to the proposal coordinator.

  6. Sections of the Proposal Transmittal Form • Has a UI eRA record already been created? • Has a preliminary review been done? • Has the proposal already been assigned to a coordinator? This should be (but is not always) indicated in the upper right hand corner of the PTF. • Netfiles file name

  7. Sections of the Proposal Transmittal Form • DEADLINE!!When is it due and how will it be transmitted to the sponsor?

  8. Sections of the Proposal Transmittal Form • “Postmarked” by means theproposal must be shipped or mailed by that date. • “Receipt by” means the proposal must be sitting at the sponsor’s door by that date (and time, if specified) in order to be considered on time. • “Electronic submission due” means the proposal will be submitted electronically and must be date/time stamped by the date/time indicated. That can mean by e-mail or through an electronic submission portal.

  9. Sections of the Proposal Transmittal Form • What if no deadline is indicated? Or the deadline is more than three business days in the future? • The goal of OSPRA is a three business day turnaround for every proposal. • If no deadline or ASAP is indicated, an internal submission deadline will be entered in red ink on the PTF next to “Postmarked by”. This is what is entered in UI eRA. • If the proposal arrived at OSPRA before noon: Enter the date that is three business days from that day. For example, if it arrived at OSPRA at 10:00 on Monday, February 8, enter “2/10 (OSPRA)”. • If the proposal arrived at OSPRA after noon: Enter the date that is three business days from the next day. For example, if it arrived at OSPRA at 1:00 on Monday, February 8, enter “2/11 (OSPRA)”.

  10. Sections of the Proposal Transmittal Form • Identifications • Banner organization code • PI/co-PI names • Applies to UIUC PI’s and co-PI’s only • More than three individuals may be included • Any UIUC employee may be a PI/co-PI, subject to the approval of the department

  11. Sections of the Proposal Transmittal Form • Sponsor/Agency name • A university or company is not usually the original sponsor - more than likely we’re a subcontractor. This should appear on the PTF, for example, as follows: University of Michigan/NSF. This indicates that the University of Michigan will be flowing NSF funding to us through a subcontract.

  12. Sections of the Proposal Transmittal Form • Sponsor/agency mailing address – critical if OSPRA is shipping • Agency RFP/BAA/RFQ, Program Announcement – if the guidelines aren’t included with the package, please provide a URL so we can access them • Begin/end date – an estimated start and end date • If the proposal type is a continuation, there should not be a lapse between funding periods

  13. Sections of the Proposal Transmittal Form • Program types (per A-21) • Basic Research – funds to support any original investigation for the advancement of scientific knowledge not having a specific commercial objective. There is no obvious commercial value to the discoveries that result from basic research • Instruction – the teaching and training activities of an institution. Examples include summer institutes, special training programs for selected participants, the development and introduction of new or expanded courses • Public Service – a service that is performed for the benefit of the public or its institutions

  14. Sections of the Proposal Transmittal Form • Program types (per A-21) • Applied Research – designed to solve practical problems of the world rather than to acquire knowledge for knowledge’s sake • Product Development – improving an existing product or developing new kinds of products (rarely seen at UIUC) • Technical Testing - Under certain circumstances, the University may conduct specified tests on a contractual service basis for individuals, institutions, or commercial entities using special or unique University facilities.

  15. Sections of the Proposal Transmittal Form • Program types (per A-21) • Other Sponsored Activities – programs and projects that involve the performance of work other than instruction and research

  16. Sections of the Proposal Transmittal Form • Proposal Type • New: • Renewal: • A renewal is the beginning of a new multiple year award. • Typically, a new award is issued and a new UI eRA record number is assigned. • Post Award will create a new Banner grant code. • There may or may not be a gap between the end date of the prior award and the beginning date of the renewal request.

  17. Sections of the Proposal Transmittal Form • Continuation: • A continuation is a request for funding within the original award period. • It may also be a funding request as a result of a modification to the original award to extend the period of performance under the same award number. • A continuation request would be entered within the original proposal record and the original Banner grant code would be used. • There would not be a new award. • There should not be a lapse between the budget periods for a continuation.

  18. Sections of the Proposal Transmittal Form Initial period of performance: 1/1/11-12/31/15 Renewal Period: 1/1/16-12/31/18

  19. Sections of the Proposal Transmittal Form • Revised Proposal or Budget: • A revision of a previously submitted proposal that is entered under the original record number. • Normally it originates from a sponsor request, although there are exceptions. • For example, NIH allows for one resubmission of a previously submitted proposal and the resubmission would be entered in the original UI eRA record. The deadline for submission may point to whether an NIH proposal should be considered new or a revised proposal. The deadlines for submission of new proposals for many NIH research mechanisms (e.g., R01, R03, R21) are in February, June, and October. Renewals, resubmissions, and revisions for those mechanisms are due in March, July, and November.

  20. Sections of the Proposal Transmittal Form • Supplement: • Supplementary funding is additional funding requested for new work on an existing project. • Normally, the period of performance is within the original award period and a new award is not issued (the original award is amended). • It is entered in the original record in UI eRA.

  21. Sections of the Proposal Transmittal Form • How can you tell the difference between a continuation and a renewal? Sometimes it’s hard to tell at proposal stage. We might not even know until an award is made. The type of sponsor might help you in making the determination. • NSF • Renewed support (renewal) is considered to be a new grant with a new grant number. • Continued support (continuation) requires no formal request. The amount is typically funded at the level of the original request upon receipt of an annual progress report (Post Award submits).

  22. Sections of the Proposal Transmittal Form • NIH • Continuations are submitted in the form of a non-competing renewal (progress report) • Renewals are submitted prior to the end date of the project period. Check the award document if necessary. The cyclical deadlines for renewals for many of the R (research) mechanisms are March (5/16), July (5/16) and November (5/16). • State of Illinois funding is not usually in the form of a continuation. Normally, a new award is issued and new grant code created. • Other sponsors: If a renewal or continuation is indicated, you may need to check the NOA to confirm the period of performance. If the original award is being modified with no new agreement, it would point to a continuation.

  23. Sections of the Proposal Transmittal Form • Signature blocks • Required approvals for proposals include: • Original signatures for the PI and all UIUC Co-PI’s – this may not be delegated • Approval of the Campus Department/Unit as evidence of budget approval, approval of proposal cost sharing, responsibility for compliance issues, etc. • Additional approvals may be required: • Approval of the Schools/Colleges, in accordance with unit requirements • International approval is required when the proposal has a significant international component • Graduate College approval is required for predoctoral graduate fellowships

  24. Sections of the Proposal Transmittal Form • Office of Sponsored Programs and Research Administration • Signature of proposal coordinator who reviewed the proposal • Research Board authorization • OSPRA has signature authority on behalf of the Vice Chancellor for Research

  25. What are the key elements of the PTF? • How is it going to be submitted and who is submitting it? • This is particularly relevant if “Postmarked by” or “Receipt by” is indicated. Check the bottom of the first page of the transmittal form. There may be a note regarding who’s sending it. Normally (but not always), if we’re shipping it, there will be a non-grant FOP (i.e., the F(und) should not begin with a 4 or a 5) to charge the shipping expense.

  26. What are the key elements of the PTF? • Budget Information • First year and total direct and facilities and administrative costs request • Cost Sharing

  27. What are the key elements of the PTF? • Compliance • The PI is ultimately responsible for identifying compliance issues and checking the applicable boxes • Proposal coordinators scan the proposal text and look for potential compliance issues, particularly in the areas of human subjects and animal use

  28. Questions?

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