Transcript PPT deck.

Update on GIM 19 & What is
“Ready To Submit”?
Office of Sponsored Programs
November 2012
Preparation
Submission
• The PI, Department and OSP are in a
partnership together to prepare and submit
proposals to external sponsors.
– Quality proposal
– Institutional approvals
– Maximum potential for award
• We are all in a partnership
with electronic sponsor
systems, as well.
OSP Commitment
The Office of Sponsored Programs (OSP)
is committed to assuring timely submission of
complete, accurate and excellent proposals.
Agenda
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Global Experience
UW GIM 19
Case Studies for discussion
I’ll ask the questions and give the answers
Q&A
First to Submit, First to Arrive!
USC
MIT
All research institutions
are using the same systems
to submit their proposals.
First in, first to arrive!
UW
Sponsor
Systems
Submitting early remains the best
way to ensure successful
submission.
It can take up to 48 hours
or even longer for Grants.gov
or electronic sponsor systems
to process applications
once they are submitted
by OSP.
GIM 19
Internal UW Deadlines for Proposals to Outside Agencies
• 7 Day Deadline
– OSP needs to be able to do a meaningful review of
the proposal
• 3 Day Deadline
– 5pm 3 business days before sponsor deadline
• Applies to all application types with a hard
sponsor deadline
What is RTS Status?
• All eGC1s ask the RTS question
• RTS=Yes
– Application documents are final and complete. If
OSP has no recommended changes the
application will be submitted.
• RTS=No
– Draft science and final business documents.
• Be absolutely clear about the readiness of
your application
Business Processes
• Campus Process
• OSP Process
• 3 touch points
– Application arrives IN OSP
– OSP Review
– RTS status
Waiver Required
• If UW deadlines cannot be met for extenuating
circumstances, a waiver must be requested.
– Official UW closure (e.g., inclement weather)
– PI or Co-PI serious illness or injury
– Death of key personnel
– Documented notification of funding opportunity
was made < two weeks prior to the deadline.
OSP will submit application prior to the Sponsor
deadline but cannot ensure a successful
submission.
SPAERC Tasklist displays all applications in SAGE (except Composing)
OSP Filters by “OSP Received Date” – This refreshes every time an
application is withdrawn by the Dept!
Recommendations
• Do route the eGC1 when the proposal is ready
for a meaningful review.
– eGC1s routed without a proposal or with an
incomplete proposal will be returned by OSP
without review.
• Do make iterative changes to the proposal
(science) “locally”. Once reviewer comments
received, then update on eGC1 all at once.
OSP Review is a Sliding Scale
PI/Dept manage
their risk level
Diminishing level of review
Day -7
Waiver
Required
Day -3
5pm
Applications that arrive at OSP 7 business days
before the deadline receive a more thorough review.
OSP will Resubmit for 2 Errors
• System-generated errors; this means the
application could not be transmitted and was
not received
• Compilation Error in NIH eRA Commons; upon
viewing the application does not look the
same as it was routed to OSP
What is Not an Error?
•
•
•
•
Typos
Forgotten text
Missing cover letter
Not including the most recent biosketch or
letter(s) of support
• System generated warnings
• These applications will not be withdrawn from
sponsor systems and resubmitted.
Changes to Routing Functionality
As of Mid-November
*All eGC1s will include the question “Is the
Application Ready To Submit” with a “yes” or
“no” option.
*eGC1 owners will not be able to withdraw an
eGC1 marked “yes” to Ready To Submit, once it
is in IN OSP status.
Help!
I marked RTS=Yes, but I notice a problem.
• Call your OSP Reviewer.
• Ask them to return the eGC1 and why.
• If before the GIM 19 deadline, OSP Reviewer can return
the eGC1 (if proposal has not yet been submitted*).
• If after the GIM 19 deadline, you may need a waiver.
– If a missing letter, that is one thing,
– If whole sections to be swapped out or added, that is
another.
*Remember: “RTS” is communication to eGC1 reviewers (including
OSP) that the proposal is final and ready.
Case Studies
CALENDARING FOR GIM 19
November-December 2011
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Sponsor Deadline
November-December 2011
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November-December 2011
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August-September 2012
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Sponsor Deadline
August-September 2012
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Sponsor Deadline
November 2012
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Sponsor Deadline
Day -3 falls on a Friday before a 3 day weekend.
Can the PI have until the following Tuesday to
submit their final application to OSP?
November 2012
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Sponsor Deadline
Day -3 falls on a Friday before a 3 day weekend.
Can the PI have until the following Tuesday to
submit their final application to OSP?
No, not without a waiver.
November 2012
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Sponsor Deadline
Day -3 falls on a Friday before a 3 day weekend.
Can the PI have until the following Tuesday to
submit their final application to OSP?
No, not without a waiver. And it
would be denied.
PI Leaving Town
• Notify your OSP Reviewer of special
circumstances
• Calculate day 3 and day 7 deadlines based on
your chosen due date
• Failure to do both of these may result in
applications not submitted early
Application is a Subcontract
• Columbia University is the Prime Institution
– eGC1 Sponsor is Columbia University
• CU “GIM 19” requires final application to their
OSP by 5 business days before the deadline
• NIH is the prime funding sponsor
– eGC1 Flow-through Sponsor is NIH
• NIH deadline is December 5th
• What is the eGC1 Sponsor Deadline?
November-December 2011
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NIH Deadline
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UW Day -7
UW Day -3
CU Deadline
NIH Deadline
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REAL UW CASE STUDIES
1
• PI requests GIM 19 Waiver, saying the
proposal is final and ready to go.
• Based on this statement the waiver is granted
with the statement that OSP will provide no
review or further assistance.
• The electronic submission is successful.
• PI follows up one full day later asking OSP to
withdraw & resubmit the application with a
letter which just arrived.
• The PI thinks this is okay because of his initial
GIM 19 waiver.
Questions
• Is this okay because of the waiver?
• Should OSP withdraw the application and
resubmit?
• What occurred?
• OSP did not withdraw the application.
2
• Application arrives to OSP RTS = Yes
• OSP Admin submits the application
successfully via Grants.gov to NIH eRA
Commons
• PI views the application and sees that one
page is missing one of his academic degrees
• Per his request, OSP withdraws the
application, makes the change and resubmits.
• The system errors 4 times before the
application is successfully submitted.
Exercise
• Look at the person sitting next to you
• Now, imagine that his/her application is the
one being resubmitted 5 times by your shared
OSP Administrator
• And you are waiting to have your application
submitted for the first time
• Your PI is asking for status updates
• Do you think the shared needs of UW were
properly considered?
Therefore
• In the future, OSP will be strictly adhering to
the “no resubmit” after a successful
submission to the sponsor
COMMON QUESTIONS
When will OSP begin reviewing my
proposal?
• Once all campus approvers have approved,
and the proposal reaches IN OSP status, then
it filters onto the SPAERC Tasklist for review
• Regardless of RTS status
Does OSP provide the same level of
review for all proposals?
• No, those proposals that arrive ≥ 7 business
days before the sponsor deadline will receive
a more thorough review
Waiver
Required
Day
-7
Day -3
5pm
How many reviews will OSP
conduct on a single application?
• One primary
• If needed, a second confirmation of modified
items will be done before approving
• Additional reviews are time hogs
Campus submits application
RTS=Yes by Day 3.
OSP sends feedback with
recommended changes. Will a
waiver be required?
• It Depends!
• If application was in good faith RTS=Yes, but
OSP found an important change, no waiver is
needed.
BUT
• If the application arrives marked RTS=Yes, but
in reality the application is not ready to be
submitted to the sponsor, then, OSP will
return the application to the PI/Dept.
• YES, a waiver would be required.
Wrap-Up
• GIM 19 deadlines are 7 and 3 business days
• Ready to Submit. (RTS = Yes)
PI’s approval that the science is complete + the
dept’s indication that the business portion is
complete
• Partner with your Dept and with OSP
• System errors are the only reasons OSP will
resubmit
Thank you
Can I submit my DRAFT application
with “place holder” documents?
• Sections of the Science could be incomplete
and have a “placeholder”
• Letters of Support can have placeholders
• All other documents must be in final form
when the application reaches OSP
How Much Risk Do You Want?
Low Risk
High Risk
Submit final business & draft science at
least 7 business days before the
sponsor deadline
Submit final business & final science 3
business days before the deadline
This will allow OSP to provide a full
review and send feedback
OSP will provide a minimal review and
submit to the sponsor
And it will allow the PI to continue to
finalize the science for several days
System errors may prevent your
application from reaching the sponsor
It will increase the quality of your
application by making suggested edits
and proofing for all common errors
Non-compliance of sponsor requirements
could greatly decrease your grant score
Dept re-routes final application 4
business days before the deadline
OSP will confirm edits and submit with
enough time to correct any system
errors before the deadline