1737 West Polk Street (MC 672)
304 Administrative Office Building
Chicago, IL 60612
Phone: 312.996.2862
The following definitions and explanations are in the order in which they appear on the Proposal Approval Form.
I.Proposal Details
Proposal Type
- New: Request for funds to initiate a new project.This includes resubmissions, or proposals that were rejected during a prior submission and are being resubmitted for consideration.
- Supplement / Amendment: Request for new funds on an active project, and within the original period of performance. It is important to indicate the UIC Institution Number for the parent grant so that the supplemental award may be set up in the existing account. When requesting a supplement to an already existing award, only the supplemental amount should be included in the budget section of the PAF. New supplemental grants should include the current F&A rates unless sponsor guidelines indicate otherwise. (NOTE: Progress Reports now have a separate Non-Competing Continuation Progress Report form).
- Continuation: Request for new funds on an active project, and extending the period of performance.
- Renewal: Request for funds to initiate the next competitive cycle of a previously funded project.
Lead Unit – Enter the name and Org Code for the unit that will administer the funds.
Activity Type
- Sponsored Research: Research and development activities that are sponsored by Federal and non-Federal agencies and organizations. This term includes activities involving the training of individuals in research techniques (commonly called research training) where such activities utilize the same facilities as other research and development activities and where such activities are not included in the instruction function. (2 CFR 200, Appendix III)
- Research – Basic: Work undertaken primarily to acquire new knowledge without any particular application or use in mind.
- Research – Applied: Work conducted to gain the knowledge or understanding to meet a specific, recognized need.
- Research – Development: The systematic use of the knowledge or understanding gained from research directed toward the production of useful materials, devices, systems, or methods, including the design and development of prototypes and processes.
- Sponsored Instruction: Teaching and training activities of an institution. Except for research training, this term includes all teaching and training activities, whether they are offered for credits toward a degree or certificate or on a non-credit basis, and whether they are offered through regular academic departments or separate divisions, such as a summer school division or an extension division. (2 CFR 200, Appendix III)
- Other Sponsored Activity: Programs and projects financed by Federal and non-Federal agencies and organizations which involve the performance of work other than instruction and organized research. Examples of such programs and projects are health service projects and community service programs. This category includes all Public Service projects. (2 CFR 200, Appendix III)
- Fellowship: Fellowships are classified as resources restricted to provide financial aid and trainee stipends to graduate students to aid in the individual’s pursuit of study or research. Typically, this sub-category includes grants-in-aid and trainee stipends to graduate students. Fellowships are a common form of aid typically awarded to graduate students, and recipients of fellowships are not expected to render service to the institution as consideration for their fellowship, nor are they expected to repay their fellowship award. Thus, fellowships do not include funds for which services to the institution must be rendered, such as assistantships or payments for teaching, which both require performance or service on the part of the individual.
- Clinical Trial: The project is, or will be, one or more of the following:
- Registered inclinicaltrials.gov;
- A controlled, clinical testing of Investigational New Drugs (INDs) or Investigational Devices (IDEs) using either a sponsor or investigator developed protocol under an FDA Phase I, II, III, or IV drug study or an FDA-regulated medical device study, or the controlled clinical testing of a protocol performed under the sponsorship of an approved national cooperative consortium for clinical trial services; or
- Submitted to NIH and meets NIH definition for Clinical Trials in NOT-OD-15-015
Project Dates – Enter project period date for the total project period.
Project Title –The title should be descriptive of the scope of the project and should match the title on the proposal submitted. A competing application should ordinarily have the same title as the previous grant or application. Continuing, revised, and supplemental applications should have the title as the currently funded grant. Character limit is 200.
Sponsor –Enter name of the direct Sponsor.
Prime Sponsor – Enter the name of the Prime Sponsor if the funds originate from a source other than the Sponsor.
II.Sponsor & Program Information
Sponsor Deadline – Enter the Sponsor deadline in Central Standard Time. Time is entered in military time OR using AM/PM (Examples: 17:00 or 05:00 PM). NOTE: If this is a subaward, enter the deadline to submit to the Submitting Institution and not the Prime Sponsor deadline.
Sponsor Deadline Type – Select the Sponsor Deadline Type.
- Hard: Proposal must be received by the sponsor by the stated deadline. Use hard if not otherwise noted in the program guidelines.
- Target: No hard deadline given by the sponsor. Use if department, PI, or program officer has a desired or “unofficial” deadline date.
Sponsor Mailing Address & Contact Name – Provide complete information (including room number, building and street address) necessary for postal delivery. No acronyms or abbreviations should be used in completing this section. Be sure to note a contact person for the sponsor, if known, for questions regarding the proposal being submitted.
Opportunity ID – Enter the funding opportunity announcement number.
Temporary Application ID – Enter the intitial identifying number given by the sponsor upon creation of an application (ex: NSF Temp ID, Workspace ID, ASSIST Application Identifier).
III.Key Personnel
Principal Investigator – Enter the name of the one person responsible for the scientific and technical direction of the project. The PI must minimally be a UIC employee and meet the eligibility criteria of the agency and their respective College. PI must include their UIN number (xx-xxxxxxx) that appears in blue on the UIC I-Card, complete Home Unit Name and Organizational Code.
Other Project Personnel– List All Investigators and Key Personnel who are UIC faculty or staff members. Select the appropriate role as listed in the application. For multiple PI applications, select the role of Co-Principal Investigator for any other UIC PI’s listed in the application. All investigators must include their respective UIN number (xx-xxxxxxx), complete Home Unit Name and Organizational Code.NOTE: All Key Personnel must be listed in this section. Once this information is completed in section IV, it will automatically populate sections XI and XII.
IV.UIC Project Contact
A person, usually other than the principal investigator, that ORS can contact in the event questions arise regarding the proposal. This individual should be familiar with the proposal and available during the time the proposal is being reviewed by ORS staff.
V.F&A Allocation
This section must be completed when the F&A allocation will be distributed to more than one unit. All appropriate signatures and the percentage breakdown of the distribution must be provided to ensure that the Office of Business and Financial Affairs (OBFS) properly credit each unit. The percentages must total 100%.
VI.Compliance
If IRB and/or IACUC approval is required at time of submission, please attach OPRS/OACIB documentation of approval for this specific proposal. All other proposals will be considered “pending.” Due to legal and regulatory requirements applicable to research conducted at UIC, failure to obtain special clearances may delay submission of a proposal and/or processing of the award.
For information regarding regulatory clearances for human subjects, call 312-996-1711(OPRS), for human embryonic stem cells call 312-355-5288(OPRS), and for animals and/or recombinant DNA call 312-996-1972 or 312-996-1974(OACIB).
If project uses or involves:
Human Subjects –Human subjects research is research that meets both the definition of research and involves human subjects as defined in the federal regulations. "Human subject means a living individual about whom an investigator (whether professional or student) conducting research obtains (1) data through intervention or interaction with the individual, or (2) identifiable private information. If your project meets this definition and you have already received IRB approval, please provide the related IRB protocol number. If your project involves human subject or tissues but you have not yet received IRB approval, please designate this as “pending”. Investigators are reminded that Institutional Review Board (IRB) approval must be obtained prior to initiation of any research activity that involves human subjects unless declared exempt by the Office for the Protection of Research Subjects (OPRS). All review forms should be submitted directly to OPRS. For further information, please visit the OPRS/IRB website:
Animal Subjects– Any use of living animals in UIC facilities, or conducted by UIC students and/or paid personnel, or using funds administered by UIC requires an approved animal protocol. Field research involving animals conducted by UIC investigators (faculty, staff or students), even observational studies, also requires the investigator to have an approved ACC protocol. For further information, please visit the OACIB/ACC website:
UIC Hospital, Clinics or MRI Center– If hospital, clinics and/or MRI center will be used to conduct proposed research, hospital approval must be obtained prior to the submission of the proposal to ORS. Hospital/Clinic clearance must be obtained from the hospital Chief Financial Officer or Medical Director (or designee - 1400 UIH). Allow a minimum of five business days review time for hospital clearance.
Biological Safety (including Select Agents and rDNA)– In compliance with the NIH Guidelines, the UIC IBC oversees all aspects concerning the use of rDNA in research. The UIC IBC is also responsible for the safe conduct of research involving the use of infectious agents. NO rDNA RESEARCH IS EXEMPT AT UIC. All research involving rDNA and/or infectious agents must be approved by the IBC. For further information, please visit the OACIB/rDNA & Infectious Agents website:
Human Embryonic Stem (hES) Cells – The UIC ESCRO committee reviews research proposals involving the use of human embryonic stem cells (hES). The ESCRO committee is responsible for the oversight of all hES research being conducted at or supported by UIC to ensure that it meets the National Academy of Science (NAS) guidelines. Additionally, the ESCRO committee has the responsibility for maintaining a registry of all hES cell lines that are imported into or maintained at UIC, including the NIH-approved hES lines. For further information, please visit the OPRS/ESCRO website:
VII.Budget
Period Start and End Dates – Enter budget period dates for all years of the project.
Direct Costs – Enter Direct Costs for each budget period. A Direct Cost is an expense that can be identified specifically with a particular project or activity and be directly assigned to an activity with relative ease and a high degree of accuracy.
Facilities and Administration (F&A) Cost – Enter F&A for each budget period. F&A rates are negotiated between the UIC Office of Business and Financial Affairs and the cognizant federal agency, the Office of Naval Research (ONR) based on standard accounting principles.
Total Sponsor Cost – Enter Total Cost (Direct Costs + F&A Costs) for each budget period.
VIII.Cost Sharing
Cost sharing is the portion of project or program cost not borne by the sponsor. It is the University’s share of the cost of research. Cost sharing occurs when either a sponsor requires or the University commits funds beyond those awarded by the sponsoring agency to support a particular grant or contract. Voluntary effort is discouraged. All effort on the project should be included as a direct cost in the proposal. While voluntary cost sharing should be minimized, key personnel are expected to commit and expend a level of effort greater than 0% on projects. If there is cost share involved, specify whether the cost share is mandatory or voluntary. Additionally, identify whether the proposed cost share is other than academic contributed effort and who will be responsible for covering that commitment - department, college, or other sources of funds.
IX.Supplemental Information
- Indirect Cost Rate
Rate – Enter the applicable Indirect Cost Rate (or F&A Rate) for the proposal
Basis– select the appropriate cost rate basis used for calculated Indirect Costs
- MTDC: Modified Total Direct Costs
- TDC: Total Direct Costs
- Other: Any other sponsored mandated indirect cost rate basis
Location– Select the category that best describes where the majority of the work will be conducted. The classification for the project as on- or off-campus is solely for the purpose of applying the correct F& A rate (see F&A rate table
- On-Campus: If the project is not charged directly for the lease cost and the lease is a part of the University's Facilities & Administrative (indirect cost) rate, then the project is considered on-campus.
- Off-Campus: A project, or part of a project, is considered to be performed off-campus if the activity is conducted at a location other than the University of Illinois at Chicago facilities and the majority of F&A (indirect costs), e.g., operation and maintenance, depreciation or lease of buildings, equipment and improvements, associated with the University's facilities, both owned and leased, are not applicable. For example, if a project is located in leased space and the lease is a direct charge to the project, then the project is considered off-campus.
Explanation– Enter the appropriate explanation for the Indirect Cost Rate (F&A Rate) assessed
- Full Rate– UIC Federal or State negotiated F&A rate
- Sponsor Limited Rate– Sponsor mandated F&A rate per published sponsor guidelines (please provide the published sponsor documentation)
- Waiver Rate– If the F&A rate is not the UIC Federal or State Negotiated Rates and the sponsor does not have published documentation, provide the F&A Waiver Form for consideration by OVCR.
- Additional Compliance Attributes
Human Specimens or Data– UIC faculty, staff, and students must complete and submit the OPRS form “Determination of Whether an Activity Represents Human Subjects Research at UIC” for all activities that involve human specimens and/or data and might represent human subjects research at UIC.
Export Control– Export controls are federal laws and regulations that govern exports of certain commodities, technologies, services, and money to foreign countries. Export controls also regulate disclosures of certain kinds of information—including research data—to non-U.S. persons and entities (referred to collectively as foreign persons). Some exports and disclosures require special permission (usually in the form of a license) from a federal agency. Please contact for further guidance on export controls.
- Additional Project Approval and Project Characteristics
Limited Submission– These programs limit the number of applications UIC is allowed to submit. You must receive authorization from RDS to apply to these limited opportunities; if you apply without authorization, your proposal may be rejected by the sponsor or withdrawn. The list is updated weekly. All application deadlines (LOI and white papers if needed) are 12:00 pm (NOON) Central time.
Program Income Anticipated– Program income is gross income earned by the University that is directly generated by a supported activity or earned as a result of the award during the period of performance. Some examples include:
- Registration fees charged to participants or industry sponsorships to attend a conference or workshop offered under a sponsored award
- Fees charged for the rental or usage of real or personal property, such as computer or laboratory equipment,purchased with sponsored funds
- Fees earned for services performed, such as laboratory drug testing services incidental to a sponsored award
- Third-party patient reimbursement for hospital or other medical services; e.g., payments received from insurance companies for standard care administered to patients enrolled in a Federally sponsored study on a sponsored award
- Revenue generated from the sales of commodities and research materials, such as tissue cultures, cell lines, research animals, publications, books, or supplies produced with sponsored funds
- Repayment of principal and interest on loans made with grant funds
SBIR/STTR Solicitation – The Federally funded Small Business Innovation Research (SBIR) and Small Business Technology Transfer (STTR) programs encourage domestic small business concerns (SBCs) to engage in research and development that has the potential for commercialization. Through a competitive awards-based program, grants are made directly to the small business concern to support the financing of cutting edge technologies.
Training Grant – This term includes activities involving the training of individuals in research techniques (commonly called research training) where such activities utilize the same facilities as other research and development activities and where such activities are not included in the instruction function.
Tuition Remission– UIC calculates tuition remission rates, which are then charged to sponsored project agreements so that each project (Federal and non-Federal) pays its fair share of these costs. Our sponsors recognize the importance of such costs and reimburse us for tuition remission costs, expressed as a percentage of the graduate student's salaries (stipend).Tuition remission is considered a direct cost of sponsored projects and is allowable under Uniform Guidance.
VA Joint Appointment–Do any investigators listed on the proposal have a joint appointment with Jesse Brown VA Medical Center? If yes and submitting to NIH, attach a Memorandum of Joint UIC/VA Appointment.