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)
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.
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
GIM 1 sets
out the UW’s review and submission requirements for Proposals.
Roles and Responsibilities
- Principal Investigator
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.
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
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
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
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.
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:
- Sponsor and University eligibility requirements.
- Sponsor formatting, page limit,
and technical requirements are followed and University business data are
- Sponsor’s specific budgetary
- Facilities and Administrative
(F&A) costs are calculated in accordance with GIM 13.
- Mandatory cost-share
requirements are met, or, if prohibited by sponsor, cost-share is not presented
in proposal. If cost-sharing is included, it is not done so inadvertently, the
UW cost-sharing unit or party has reflected its approval and the cost-sharing is consistent with federal
- All proposed subrecipients satisfy
the University’s documentation requirements in GIM 7.
- The requisite compliance
approvals are met.
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
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
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
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:
- Grammar, spelling, sentence
structure, jargon, scientific and technical terminology, punctuation, and
- Grantsmanship, including
strategy, persuasiveness, and significance
- Scientific and technical merit
- Correct application of
non-research related UW policies, such as academic human resource rules
- Academic value of the research
- Reasonableness of the
commitment of faculty and staff effort, and possible impacts to teaching and
- Facilities and resources listed
as available for use
- Accuracy of salaries listed for
individuals, including faculty and staff
- Sufficiency, adequacy,
appropriateness, and accuracy of the budget for the proposed research/activity
(see GIM 2)
- Department or School/College PI
- Debarment, suspension or
ineligibility status of key personnel
- Qualifications and training of
personnel to carry out the proposed research or other activity
- Qualifications of subrecipients
proposed to participate in the project
- Correct linking by proposed
collaborators in sponsor systems
Procedures and Guidance
- 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.
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.
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
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
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