update on gim 19 & what is “ready to submit”? office of sponsored programs november 2012

Update on GIM 19 & What is “Ready To Submit”?

Office of Sponsored ProgramsNovember 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 partnershipwith 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• Global Experience• UW GIM 19• Case Studies for discussion• I’ll ask the questions and give the answers• Q&A

Sponsor Systems

UW

MITUSC

First to Submit, First to Arrive!

All research institutions are using the same systems to submit their proposals. First in, first to arrive!

It can take up to 48 hoursor even longer for Grants.gov or electronic sponsor systems to process applications once they are submitted by OSP.

Submitting early remains the best way to ensure successful submission.

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OSP Filters by “OSP Received Date” – This refreshes every time an application is withdrawn by the Dept!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

Day -7Day -35pm

WaiverRequired

Diminishing level of review

Applications that arrive at OSP 7 business days before the deadline receive a more thorough review.

PI/Dept managetheir risk level

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 FunctionalityAs 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.

CALENDARING FOR GIM 19Case Studies

November-December 2011Sunday Monday Tuesday Wed Thursday Friday Saturday

6 7 8 9 10 11 12

13 14 15 16 17 18 19

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27 28 29 30 1 2 3

4 5Sponsor Deadline

November-December 2011Sunday Monday Tuesday Wed Thursday Friday Saturday

6 7 8 9 10 11 12

13 14 15 16 17 18 19

20 21 22 23 24 25 26

27 28 29 30 1 2 3

4 5

November-December 2011Sunday Monday Tuesday Wed Thursday Friday Saturday

6 7 8 9 10 11 12

13 14 15 16 17 18 19

20 21 22 23 24 25 26

27 28 29 30 1 2 3

4 5

HH

August-September 2012Sunday Monday Tuesday Wed Thursday Friday Saturday

5 6 7 8 9 10 11

12 13 14 15 16 17 18

19 20 21 22 23 24 25

26 27 28 29 30 31 1

2 3 4 5 Sponsor Deadline

August-September 2012Sunday Monday Tuesday Wed Thursday Friday Saturday

5 6 7 8 9 10 11

12 13 14 15 16 17 18

19 20 21 22 23 24 25

26 27 28 29 30 31 1

2 3 4 5 Sponsor Deadline

November 2012Sunday Monday Tuesday Wed Thursday Friday Saturday

4 5 6 7 8 9 10

11 12 13 14 15 16 17Sponsor DeadlineH

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 2012Sunday Monday Tuesday Wed Thursday Friday Saturday

4 5 6 7 8 9 10

11 12 13 14 15 16 17Sponsor DeadlineH

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 2012Sunday Monday Tuesday Wed Thursday Friday Saturday

4 5 6 7 8 9 10

11 12 13 14 15 16 17Sponsor DeadlineH

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 2011Sunday Monday Tuesday Wed Thursday Friday Saturday

6 7 8 9 10 11 12

13 14 15 16 17 18 19

20 21 22 23 24 25 26

27 28 29 30 1 2 3

4 5NIH Deadline

November-December 2011Sunday Monday Tuesday Wed Thursday Friday Saturday

6 7 8 9 10 11 12

13 14 15 16 17 18 19

20 21 22 23 24 25 26

27 28 29 30 1 2 3

4 5NIH Deadline

H H22

CU Deadline

H

UW Day -3

UW Day -7

REAL UW CASE STUDIES

• 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.

1

Questions• Is this okay because of the waiver?• Should OSP withdraw the application and

resubmit?• What occurred?• OSP did not withdraw the application.

• 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.

2

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

Day -7

Day -35pm

WaiverRequired

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 RiskSubmit 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 deadlineOSP will confirm edits and submit with enough time to correct any system errors before the deadline