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GIM 1
Review and Submission Requirements for Proposals

UNIVERSITY OF WASHINGTON

Office of Research
Office of Sponsored Programs

GRANTS INFORMATION MEMORANDUM 1

May 12, 2014

SUBJECT: A Guide for the Preparation of Grant and Contract Proposals

SUPERSEDES: GIM 1 (October 2, 2002)

Background

As an applicant organization, the University of Washington (UW) has an institutional responsibility to verify the eligibility of all sponsored program Proposals submitted to a Sponsor on behalf of the UW. The institution is also responsible for reviewing the Proposal for accuracy, validity, and conformity with institutional and Sponsor policies and guidelines with respect to the administrative, fiscal, and scientific information in the Proposal, including the correct application of the appropriate Facilities and Administrative rate. This responsibility is shared within the institution by the Principal Investigator (PI), the PI’s Chair or Director and Dean, and the Office of Sponsored Programs (OSP).

In accordance with UW Executive Order 34, as the authorized signing official and as delegated by the Vice Provost for Research, OSP approves, signs, and transmits Proposals to external Sponsors.

OSP gathers needed information on the UW internal proposal routing form (eGC1). OSP reviews the Proposal, including information provided in the eGC1, in order to make the necessary representations, certifications and assurances to an external Sponsor.

Purpose

GIM 1 sets out the UW’s review and submission requirements for Proposals.

Roles and Responsibilities

Principal Investigator
The PI ensures that the Proposal is complete, accurate, and meets all programmatic, administrative, and compliance requirements. The PI may delegate certain components of Proposal preparation to the PI’s research team, department fiscal specialist, department administrator, or others within the department, but the PI retains personal responsibility and accountability for the content of all portions of the Proposal, including post-submission revisions. Multiple PIs on a single project or the inclusion of a Co-PI requires the assignment of responsibilities between the PI’s in accordance with a written Multiple PI Plan or other documentation.
Department eGC1 Reviewer and Approver
The department reviews the Proposal for consistency with specific departmental policies and procedures as well as various institutional requirements. Departmental review typically includes an assessment and approval of the following: An accurate budget; costs are allowable, reasonable and allocable to the project; personnel listed are available and qualified to participate; facilities are available; any proposed cost-share is adequately documented and accurate; appointment information is accurate; Institutional Base Salary (IBS) is accurate; and any F&A waiver or GIM 19 waiver information is approved by the department official (e.g. Chair) before submission to OSP.
eGC1 Administrative Contact
This contact compiles and assembles the components of the Proposal and completes eGC1 data fields, as delegated by the PI. This individual receives OSP Reviewer Comments as well as other eGC1 reviewer comments and assists in responding to these comments and making necessary corrections and additions as delegated by the PI.
Dean’s eGC1 Reviewer and Approver
The Dean’s Office reviews and approves the Proposal for consistency with specific School/College policies and procedures and institutional deadlines. Examples of review areas: Any proposed cost-sharing on behalf of the School/College and departments within the School/College are adequately documented, authorized and approved; matching funds committed by another School or College are confirmed; facilities and other space identified in the Proposal and any new, rental or renovation of space is confirmed; School/College internal deadlines and GIM 19 deadlines are met; F&A is accurate for location and activity; F&A waivers or GIM 19 waivers, if applicable, are approved by department and School/College prior to submission to OSP.
Office of Sponsored Programs
OSP reviews Proposals submitted in a timely manner for consistency with GIM 1 using sponsor program announcements, sponsor policies, federal regulations, UW policies, OSP internal review guidance and the information provided by the PI to OSP. OSP certifies to the Sponsor that the UW will be accountable both for the appropriate use of any funds awarded and for the performance of the grant-supported project or other activities to be undertaken if the Proposal is approved and funded.

Policy

As the author and originator of the Proposal and the programmatic director of the project, the PI is responsible for ensuring each component of the Proposal is complete, accurate, and meets all programmatic, administrative, and compliance requirements prior to its submission to OSP. The PI must provide the Proposal on an eGC1 and indicate it is Ready To Submit to a Sponsor, consistent with the requirements of GIM 19. All changes to the Proposal or eGC1 made in response to reviewer comments are carried out by the PI or the PI’s delegate.

As the authorized signing official for the University, OSP will approve and submit a Proposal only after OSP determines and confirms the Proposal meets the requirements of the UW, Sponsor, and any applicable rules and regulations, is designated as “Ready To Submit” by the PI on the eGC1, and the PI has made all required assurances on the eGC1 prior to OSP approval.

If Proposal submission is carried out using a Sponsor electronic system, OSP must have access to review and submit the Proposal using the Sponsor’s system. Failure of the PI to grant OSP access to the final Proposal in accordance with GIM 19 requirements may result in either no Proposal submission or a failure to submit the Proposal before the Sponsor’s deadline.

Deliberate withholding of information, falsification, misrepresentation or carelessness in carrying out the processes, authorizations, notifications, or responsibilities required to making necessary assurances on the eGC1 may result in administrative actions, such as withdrawal or rejection of a Proposal, suspension and/or termination of an award, debarment of the PI, project personnel or the UW, as well as the imposition of civil fines and criminal penalties.

Aspects of Proposal Reviewed by OSP

OSP carries out a Proposal review using a number of tools, sources of information, and guidance, including Sponsor program announcements, Sponsor policies, federal regulations, UW policies, OSP internal review guidance, and the information provided and approved by the PI and other eGC1 approvers. In addition, OSP assesses whether information in the eGC1 is consistent with the Proposal.

The following criteria are used by OSP when reviewing competing Proposals that reach IN OSP status in SAGE/SPAERC in accordance with GIM 19 deadlines. OSP will assess whether the Proposal is complete and satisfies the following:

Incidental to its Proposal review, OSP may, but is not required, to identify other areas needing clarification or changes outside the scope of the above criteria.

Components of the Proposal or eGC1 that need revision are brought to the attention of the PI and eGC1 Administrative Contacts by OSP in the OSP Reviewer Comments as either “Required Changes” or “Recommended Changes”. Upon the Proposal’s return to OSP, OSP will verify only that these changes were addressed and that any new programmatic components not previously available upon first review are consistent with Sponsor formatting requirements.

Proposals that fail to meet the GIM 19 deadline requirements, but are granted a deadline waiver, may receive less than a full review. Due to limited time by the PI to respond to OSP Reviewer Comments, the Proposal is at higher risk of a missed Sponsor deadline, submission errors, or return by Sponsor without review. OSP will use reasonable efforts to review and submit Proposals when there has been a GIM 19 deadline waiver approval, consistent with OSP and reviewer workload and available resources.

Research Performance Progress Reports (RPPRs), “After-the-Fact” awards, industry-sponsored clinical trials, master agreements, and other items routed on an eGC1 that are not considered Proposals are reviewed using review criteria applicable to the item and are not subject to this policy.

Aspects of Proposals NOT Reviewed by OSP

Accuracy and acceptability of information that are the exclusive responsibility of the PI, the reviewing Department and School/College will not be reviewed by OSP and include the following:

Procedures and Guidance

Definitions

Authorized Signing Official
The individual with authority to legally bind the UW as a party with respect to grants, contracts and related agreements, assurances, certifications, and representations. Sponsors may refer to the Authorized Signing Official as in a number of ways including “Authorized Organizational Representative”, ”Grant Official”, or “Institutional Official”. The Authorized Signing Official may also delegate authority to staff within OSP to act on behalf of the UW.
eGC1
The UW electronic grant and contract internal routing form and auditable source of record for UW Proposals and related approvals.
Facilities & Administrative Rate or F&A Rate
The various rates established by the UW through negotiation with the cognizant federal and other agencies for costs incurred for a common or joint objective that cannot be identified readily and specifically with a particular sponsored project.
Proposal
An application submitted by the UW on the recommendation of a PI to a Sponsor seeking funding or other support for a project. Generally, a Proposal will contain a scope of work, budget, budget justification, along with collaborator letters of intent, and other sponsor-required documentation, as applicable. Typically, Proposals are submitted in competition with other applicants and usually in response to a broadly-distributed Sponsor-issued solicitation for funding, request for proposal, or other funding opportunity announcement. Categories of competing Proposals include, but are not limited to: New, Resubmissions, Competing Renewal, Competing Revisions, Competing Supplements and Transfers to the UW that require application documentation. GIM 1 Proposal Review Criteria do not apply to other items that may route on an eGC1, such as Research Performance Progress Reports (RPPRs), “After-the-Fact” awards, and industry-sponsored clinical trials as well as various types of non-award agreements, including master agreements, affiliation agreements, confidentiality agreements, data use agreements, and material transfer agreements.
Ready To Submit
A Proposal status in which the Proposal is deemed to be full and complete and in final format that is ready for submission to the Sponsor. A Ready to Submit Proposal includes all completed required Sponsor forms, components, sections, and attachments, consistent with Sponsor program announcements and policies. A Proposal is not Ready To Submit if it does not conform to all applicable policies and requirements of both the Sponsor and the UW.
Sponsor
A federal agency, private entity, non-profit organization, institution or other entity external to the UW that provides funding, equipment, support, or other tangible items, such as goods or services, for research, instruction, training, or other sponsored activity.