Policies, Procedures and Guidance
GIM 19 – Internal Deadlines for Proposals to External Entities
Contents
Effective: March 30, 2015
Purpose
The Office of Sponsored Programs (OSP) is committed to assuring timely submission of complete, accurate and fully compliant proposals. In order to achieve this, it is critical that OSP receive proposals in sufficient time to provide adequate review. As a significant number of proposals are submitted electronically, it can take up to 48 hours or even longer to process applications once they are submitted by OSP. This policy is in place to assure that proposals submitted from the University of Washington are processed in a timely manner and are submitted in compliance with all sponsor and University requirements.
Applies to: All proposal submissions, including subaward proposals, and noncompeting continuations (e.g. NIH progress reports), in both paper and electronic format. This policy also applies to pre-proposals that are presenting budgetary information to a sponsor or that require authorized official approval and/or submission via a sponsor system.
Background
Effective beginning with the January 01, 2011 deadlines, the Office of Sponsored Programs will ensure, using its best effort, the on-time, accurate, complete, and compliant submission of applications to the sponsoring entity when each of the following timelines detailed below are met. It should be noted that individual colleges, schools and/or departments may impose additional deadlines in advance of those cited below.
University Policy
Seven (7) Business Days in Advance
An approved eGC-1 and the proposal containing all final business elements should be received by OSP at least seven (7) working days prior to the sponsor deadline. Final business-related elements of the proposal include but are not limited to the budget, budget justification, cost share commitments, identification of required resources, subawards and significant financial interest disclosures. These elements should be in their final form and viewable by OSP on the associated Sponsor online system, though the description of the “Scope of Work” (“SOW”) may still be in a draft form. Note, however, that the SOW must be far enough along to allow for the accurate identification of any potential compliance issues vis-a-vis export controls or the use of humans or animals in the research. The SOW submitted must be the SOW affiliated with the business proposal. Proposals received seven days or more in advance of the sponsor’s deadline will receive a detailed review by OSP to provide greater assurance that the proposal can be submitted error-free. Proposals that fail to meet this deadline and requirement will be subject to substantive review to the extent reasonable, given the nature of the proposal and arrival date in OSP.
Three (3) Business Days in Advance
OSP must receive the final proposal, in complete form and ready for submission to the sponsor (i.e. “Ready to Submit”) three business days prior to the sponsor deadline. “Ready to Submit” means a complete proposal in final format that is ready for submission to the Sponsor and routed on an eGC1 with a status of “In OSP”, as well as available for authorized official access in a sponsor system, if applicable.
Proposals received by 5:00 pm, three (3) business days in advance of the sponsor deadline that have all elements completed (business and science) will be reviewed by OSP staff to the extent necessary to assure the proposal is transmitted to the Sponsor for review. In addition, such proposals will be reviewed for accuracy, completion, and compliance with Sponsor, University and Federal and State requirements, to the extent reasonable given the nature of the proposal, when the proposal was first received by OSP, and when received by OSP in “Ready to Submit” status.
All proposals, both paper and electronic, received by OSP after 5:00 pm, three (3) business days prior to the sponsor deadline will be returned to the PI and department contact and will not be submitted to the Sponsor unless a waiver to the deadline is granted by the Assistant Vice Provost for Research or his/her delegate. Any proposal submitted under such a waiver will be reviewed by OSP only to the extent necessary to assure the proposal is transmitted to the Sponsor for review.
Calculation of Three Business Days
The calculation of three business days takes into account the fact that holidays or University closure do not count as a business day. Note specific time and time zones used in the sponsor deadline are NOT factored into the GIM 19 deadline. Please see examples below:
Sponsor due date |
GIM 19 deadline |
|---|---|
| Thursday by 5 pm PST | Preceding Monday by 5 pm PST |
| Wednesday by midnight PST and preceding Monday is a holiday | Preceding Thursday by 5 pm PST (Monday is not a business day) |
| Wednesday by 2 pm, EST (11 am PST) | Preceding Friday by 5 pm PST |
| Friday by 5 pm EST (2 pm PST) | Preceding Tuesday by 5 pm PST |
| Friday, no specific time or time zone mentioned | Preceding Tuesday by 5 pm PST |
Submission of Ready To Submit proposal
Once a proposal that is designated by the PI as “Ready To Submit” is submitted to an external entity, including federal agencies, the proposal is final and no corrections may be made, unless responding to system-generated errors prior to the Sponsor deadline.
Submission System Used
OSP heavily discourages the use of Grants.gov for proposals submitted to NSF. Please prepare proposals to NSF within Research.gov.
NSF Collaborative Proposals
When it is a simultaneous submission of an NSF Collaborative Proposal and the UW is not the lead, the lead institution’s desire to delay submission is not an acceptable exception to the GIM 19 policy. The proposals must be linked, all final approvals must be completed, and the eGC1 marked Ready to Submit 3 days prior to the sponsor deadline, as per any other proposal.
Progress Reports Requiring OSP Submission
Progress Reports received by OSP after 5:00 pm, three business days prior to the Sponsor deadline will be reviewed and submitted by OSP within five business days of the date of receipt by OSP in SAGE. Waiver requests to this timeline do not apply.
Exceptions and Waivers
Waivers to the three (3) business day rule will be made only for any of the following reasons:
- Official university closure (e.g. inclement weather)
- Due to PI or Co-PI serious illness, injury, or death of a key personnel
- If documented notification of the funding opportunity was made less than two ( 2) weeks prior to the deadline
- Due to sponsor complications or sponsor system technical issues experienced prior to the GIM 19 deadline, with documented support
Any proposal received by OSP under an approved waiver will be submitted to the sponsor; however, for those proposals requiring submission via an electronic portal, OSP cannot ensure that the electronic submission will be transmitted error-free and in time to meet the sponsor’s deadline. This includes the transmission of a proposal from Grants.gov to a sponsor award or post-award system.
Requests for Exception and Waiver
All requests must be made to Carol Rhodes, Director, Office of Sponsored Programs at carhodes@uw.edu and must be sent by the Director, Chair, or Dean of the PI’s Department.
Procedures and Guidance
Timely Submission to Meet Internal School/College Deadlines
In addition to the Office of Sponsored Programs GIM 19 deadline, individual units may require submission of eGC1s per an earlier timeline to comply with local eGC1 deadline policies. If not listed here, check with your individual School or College for internal deadlines that may apply.
| Unit |
|---|
| College of Arts & Sciences |
| School of Medicine |
Timely Submission to OSP
For submission to OSP to be considered timely, the proposal must be routed on an eGC1 and all campus approvals completed and arrive in OSP by the deadlines mentioned above (7 business days, 3 business days) and include all elements mentioned in the policy above.
Responsibilities
Office of Sponsored Programs:
- Review of proposals routed via eGC1 before submission to the sponsor
- Submission and/or final institutional sign off of proposals and noncompeting continuations routed via eGC1
- Receipt and review of GIM 19 waiver requests
Principal Investigator:
- Routing of proposal to eGC1 reviewers consistent with GIM 19 deadlines and any internal deadlines set by department, school or college
- Response to eGC1 reviewer comments
- Finalizing proposal content so that it is Ready to Submit, including revisions as required before submission to sponsor
Director, Chair and Dean:
- Approval of eGC1 and associated proposal prior to submission to OSP
- Submission of GIM 19 waiver request to Director, OSP
Definitions
Business day:
Weekday that UW is open for business. Excludes weekends and holidays.
Business Elements:
Includes but not limited to the budget, budget justification, cost share commitments, identification of required resources, biosketches, subcontractor supporting documents, and significant financial interest disclosures.
eGC1:
Electronic form submitted to capture required approvals prior to submission the external sponsor. The eGC1 contains a copy of the proposal, the budget, institutional signatures and/or eGC1 approvals, basic compliance information, contact information, and submission instructions, as needed.
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, is attached to an eGC1, and the eGC1 is “IN OSP” status and available to the authorized official in a sponsor system, if applicable. 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.
Change Notes
Details on changes to this GIM are available from the Office of Sponsored Programs, osp@uw.edu