Standard Operating Procedure: Department ePD Proposal Preparation and Routing for Approval

April 14, 2014

Standard Operating Procedure: Department ePD Proposal Preparation and Routing for Approval

Contents

Summary

This document addresses the step-by-step departmental procedures for the preparation of ePD proposals and routing to UC San Diego’s Sponsored Projects Offices for approval.

Change History

Objective

Procedure

Select the SPO Analyst from the list Training Requirements

Approvals

PI/CO-PI Certification Language

Checklist of Proposal Documents Required for Initial OCGA ePD Proposal Review

Summary

This document addresses the step-by-step departmental procedures for the preparation of ePD proposalsand routing to UC San Diego’s Sponsored Projects Officesfor approval.

Change History

Version / Date(mm/dd/yyyy) / Summary of changes
1.0 / 02/04/14 / Draft generated by Pamela Alexander, Chair eRAP Operations Committee
1.1 / 02/07/14 / Nicole Joyce
1.2 / 02/25/14 / Jason DeFay
1.3 / 03/12/14 / Karen Andrews
1.4 / 3/24/14 / Jason DeFay
1.5 / 3/28/14 / Karen Andrews
1.6 / 4/07/14 / Pamela Alexander
1.7 / 4/07/14 / Karen Andrews

Objective

The objective of this SOP is to outline the steps followed by PIs and proposal managers for the preparation and routing of ePD proposals for approval.

Procedure

Principal Investigator (PI):

1)Informs relevantProposal Managerin the lead unit of his/her intention to submit a sponsored research proposal application

2)Provides proposal specific data elements as required in the proposal solicitation/guidelines(e.g., statement of work, abstract, budget, etc.)

Proposal Manager:

  • Confirmsthat the PI is eligible to submit proposalsfor extramural support, If the PI is not eligible, consults with management about the appropriateness of submitting a PI Exception request
  • Reviews proposal data elements provided by PI to ensure all documents are in line with the requirements of the proposal solicitation/guidelines
  • Gathers key proposal data elements such as
  • Copy of Request for Application (RFA). This is also known as Request for Proposals (RFP), Solicitation, Notice of Funding Availability (NOA), etc.
  • Required internal docs (e.g., COI disclosure formsand budget spreadsheets)
  • Reviews RFA for any conditions that would require special handling (e.g. sponsor limits the number of proposals that UCSD can submit ( budget limits, format, cost sharing requirements, etc.). If special handling is required, the proposal creator informs the PI & works with the department and/or sponsored projects office to satisfy requirements.
  • Reviews RFA to identify special conditions (award terms and conditions included in RFA which need to be reviewed and addressed at proposal submission)
  • Enters minimal required information into ePD to generate ePD number
  • Adds additional PI names, if any.
  • Sends a notification through ePD to the PI(s) requestingthat they log into ePD to electronically sign their compliance statement (see appendix1 for details).
  • As necessary, manages proposal access for others who will be reviewing the proposal and/or uploading documents (see Research Portal - final URL TBD)
  • Coordinates with lead PI on budget creation until PI is satisfied and approves the detailed budget
  • Gathers and uploads all required proposal documents into ePD(see attached checklist)

(i)Science / research project description

(ii)Budget

(iii)Budget Justification/Explanation (if applicable)

(iv)Statement of Work

(v)Complete Proposal Application Package (all docs required in RFA)

(vi)Checklist (NIH only)

(vii)IDC calculation worksheet (if applicable)

  • Using the instructions provided by the relevant Sponsored Project Office (SPO), advisesthe SPO that the proposal is ready for review. The two basic types of review permitted by the ePD system are:
  • Option 1) Leave the proposal in “in progress” status (which leaves the proposal unlocked and changes are able to be made to the content), and notify the SPO:
  • Via ePD email function
  • Via telephone
  • Via regular email
  • Option 2) Lock the proposal data prior to review (which does not prevent changes to uploaded documents).
  • Answer NO to Administrative Questionnaire (Question ID# 1130)
  • Click "Submit for Approval"
  • Review the approval map generated for the proposal to identify which SPO Analyst will be reviewing/approving the proposal
  • Click the Approve button
  • Add some text requesting the review in the Comments section (e.g.,“Please review this proposal and let me know if any changes need to be made before I route this to the PI and MSO”), then clicking the Add button
  • Click the Add Approver link
  • Enter the name of the SPO Analyst that will be approving the proposal into the search box and clicking the Search button

Select the SPO Analyst from the listTraining Requirements

ePD training and onboarding of the lead unit is required before any unit personnel will be able to create and submit proposals for approval using ePD (see for additional information)

Approvals

Office / Approver / Date
Department Representatives / Karen Andrews (on behalf of Physics, Neurosciences, SDSC and MPL) / 4/07/14
eRAP Operations Committee Chair / Pamela Alexander

PI/CO-PI Certification Language

The following certification verbiage was constructed by the Office of Research Affairs. The purpose of this language is to help ensure that all proposals comply with applicable Federal, State and UCSD policies.

The certification statement consolidates several policy and compliance requirements into a single statement (e.g. PI Assurance, Lobbying and Debarment forms):

I hereby certify that (1) the information submitted within the application is true, complete and accurate to the best of my knowledge; (2) I understand that any false, fictitious, or fraudulent statements or claims may subject me to criminal, civil, or administrative penalties; (3) that I agree to accept responsibility for the scientific conduct of the project and to provide the required progress reports if an award is issued as a result of the application; (4) I agree to abide by the terms and conditions of the sponsor including timely submission of required reports and/or requests for information about this project from UC San Diego; (5) the text and graphics herein as well as any accompanying publications or other documents, unless otherwise indicated, are the original work of the signatories or individuals working under their supervision; (6) I agree to abide by federal, state and university policies for the responsible conduct of research; (7) I confirm that I am not currently Debarred, Suspended, or proposed for debarment or Suspension and (8) I confirm that no federal funds were used for lobbying activities related to this proposal.

Answering ‘Yes’ means that you are certifying that the above statements are true.

Answering ‘No’ means that you do not certify that the above statements are true. If you answer ‘No’ to this question, the proposal cannot be submitted for approval routing and the following validation error will appear:

Department:UC San Diego

The PI has not agreed to the certification terms in this proposal. It may not be submitted for approval without PI agreement to the certification terms.

Checklist of Proposal Documents Required for Initial OCGA ePD Proposal Review

4 days prior to Sponsor Published Deadline for grants/subaward grants

5 days prior to Sponsor Published Deadline for contracts/subaward contracts

Completed/Final Elements for Initial OCGA Review
Proposal Package Section / Status / Notes
 / Completed ePD proposal record / All SPO required information completed and all SPO required documents uploaded to the ePD proposal record / Indicate date and time (Pacific Standard Time) of Sponsor Published Deadline
 / Sponsor Funding Announcement / Opportunity #, RFP, web site link, etc.
 / Conflict of Interest Form 9510 or 700-U / If required by Sponsor
Complete and Signed /
  • 700-U
  • 9510
  • Addendum
  • Disclosure Requirements Quick Reference

 / Budget / Complete/Final /
  • Budget Preparation Components
  • Budget Preparation Rates

 / Budget Justification / Complete/Final / Budget Justification Information
 / All other sponsor documentation / Complete/Final / Forms and/or required elements published in sponsor funding announcement
Draft Elements for Initial OCGA review
 / Proposal Package Section / Status / Notes
 / Statement of Work/ Sciences portion / Draft / In progress draft version
Proposal Elements when applicable
Proposal Package Section / Status / Notes
 / PI Exception Form / Confirmation of draft in progress / Required for applicable academic titles when required at proposal submission – see guidelines
 / PI Assurance Form / Complete and Signed / Only for NIH new or renewal proposals - see guidelines
 / Cost Sharing Documentation supporting the cost sharing included in the ePD proposal record / Complete and Signed / Cost Sharing Guidelines
 / Subaward information including:
  • Subrecipient Commitment Form
  • Statement of Work
  • Budget
  • Budget Justification
/ Complete and Signed by Subrecipient / Sign-off from sub contractor’s authorized official (as soon as practical). Refer to definition for subawards.
 / Consultants and/or Collaborators Letters of Commitment/Support / Complete/Final / Ideally provide at time of proposal

Refer to Timely Submission of Proposals Notice and guidelines

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Department ePD Proposal Preparation and Routing for Approval- SOP Approved04/14/2014