ProposalReview

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Contents

Proposal Review

Important Review information: The Health Sciences Sponsored Project Office request that all required paperwork is submitted 10 business days prior to the due date.

HS SPPO will process all proposals for review based on deadline date and order that they were received.

The following items are required by HS SPPO to initiate proposal review for new and continuation proposals -

Paper Proposals:

Electronic Proposals:

Although all signatures are required prior to submission of the proposal, proposal review can begin with only the PI's signature on the RES form.

Minimum Requirements for all proposals (including supplements and subawards)

Regardless of the agency/ prime requirements, HS SPPO always requires the following for a proposal to be complete:

The same requirements apply to internal proposals where nothing is sent to the agency/ prime.

Space Review

A space review occurs concurrently with HS SPPO's proposal review. Space management verifies that the Principal Investigator has the authority to use the space listed on the RES form. It is important that the space information on the RES form be accurate and complete to avoid delays in approving and finalizing the proposal.

Space List with Names

Critical Points of Review

HS SPPO has a created a series of Critical Points of Review documents so that Principal Investigators, Assistants and Department Contacts are aware of what HS SPPO’s review responsibilities are when they perform their review. There documents can be found on the HS SPPO website: http://som.ucsd.edu/hssppo/meetings-and-training-resources/critical-points-review

Submissions

Progress Reports

Progress Reports

Just-in-Time

Just-in-Time

eSubmission

Electronic Proposals should be routed to the HS SPPO via the Electronic Proposal Repository System (EPRS). Use the following link for instructions: http://blink.ucsd.edu/Blink/External/Topics/How_To/0,1260,21009,00.html)

HS SPPO will not submit the proposal until the final version has been forward to the HS SPPO via EPRS marked "final ready to submit"

Electronic applications should be submitted to the agency 2 business days before the deadline date to allow time for appropriate proposal corrections if necessary.

eSubmission Review Template

Mandatory Documents Complete Corrections Needed
SF424 (R&R)
R&R Senior/Key Person Profile
R&R Other Project Information
R&R Project/ Performance Site Location
PHS 398 Cover Page Supplement
PHS 398 Research Plan
PHS 398 Checklist
Optional Documents Complete Corrections Needed
PHS 398 Cover letter File
R&R Budget
PHS 398 Modular Budget
R&R Subaward Budget Attachment Form
Comments

Please note: HS SPPO will only review the proposal pages that need corrections. HS SPPO will not re-review pages that were correct during the initial review unless notified that changes were made to those pages.

Key Information for eSubmission Proposals:

Institution Legal Name: The Regents of the Univ. of Calif., U:C. San Diego

DUNS # 804355790

EIN # 1956006144A1

Animal Welfare Assurance# A3033-01

Human Subjects Assurance# 00004495

Cognizant Federal Agency: DHHS, Region IX, 415-437-7820

No spaces and/or special characters are allowed in the file name.

Reasons to Reject NIH eSubmissions

Per NIH we have the ability to reject and resubmit application for the following reasons:

Since NIH does keep track of all reject/re-submission, we do not reject a proposal unless it is absolutely necessary.

Keep in mind that if this was a paper submission, you would not be able to correct this until the study section is assigned, therefore, electronic submission need to be treated the same manner.

This is subject to review on a proposal by proposal basis.

Gift vs. Grant

Please use the attached documents to help determine if the received funding is a gift and a grant.

Salary Review

Effective January 20, 2012:

Please note the NIH has published implementation directions regarding the change to the Salary Cap.

The document confirms that Executive Level II ($179,700) is the direct salary cap for all NIH Grants, Cooperative Agreements, Extramural research and development contracts for awards on or after December 23, 2011.

For awards with an initial Issue Date on or before December 22, 2011 grantees may continue to apply the Executive Level I salaries (199,700) for the FY 2012 award period. However, future years will be adjusted to Executive Level I#

For grants now limited to Executive Level II, unless otherwise restricted, grantees may rebudget any funds freed as a result of the lower cap.

For more information: http://grants.nih.gov/grants/guide/notice-files/NOT-OD-12-035.html

Please use this list for all awards with an initial Issue Date on/before December 22, 2012 where the salary limitation is Executive Level I of the Federal Pay Scale, $199,700: FY2012 Grants Subject to Executive Level 1 Salary Cap

Effective January 9, 2012:

The signing of HR 2055, Section 203, the legislation enabling funding of Health and Human Services, contains a significant change. AS of December 24, 2011 the NIH salary cap is reduced to Executive Level II which is $179,700. We anticipate that the NIH will publish implementation guidelines within the week. Health Sciences is coordinating an overall response with OCGA and will share specifics as soon as they are available.

Until the details become available, we recommend utilizing the $179,700 salary cap for proposals that you are currently preparing.

Salaries are not being reviewed by HS SPPO, it is the department's responsibility to ensure the correct institutional base pay rates are used, budgeted increases are appropriate, and the correct NIH salary cap is used when applicable. HS SPPO is responsible that the Health Sciences policy regarding commensurate salary for effort is budgeted as appropriate and a salary waiver is approved as appropriate.

For the PI, there is no minimum percent of time which can be “donated” to a project without budgeted salary. Salary for effort is mandatory, unless 1. the funding agency does not allow PI salary, 2. the PI holds an HHMI appointment and is not allowed to budget salary, 3. the agency limits the annual award amount to less than $50,000, or 4. a salary waiver request has been approved by the Assistant Dean for Administration.

For faculty co-investigators, Health Sciences allows up to 5% effort without salary, with the approval of the home department(s), although generally it is to be discouraged. Greater than 5% donated effort of a faculty co-investigator requires the Assistant Dean for Administration’s approval of a salary waiver request from the home department.

Donated effort which is greater than 5% is formal cost sharing, and must be reflected in the cost sharing section of the RES. If the proposal is funded, the value of this donated effort will need to be tracked and reported as cost sharing.

Salary Waiver Requests are memos written by the chair of the individual’s home department, addressed to Gene Hasegawa, Assistant Dean for Administration, and consists of an explanation of why salary has not been budgeted and what fund source(s) the department will use to cover that salary. Salary Waiver Requests are not automatically approved and should be requested with sufficient lead time so that if turned down, the budget can be reworked to include the required salary. Please find the salary waiver template at the bottom of this page. When a salary waiver is approved it is necessary that the amount of salary that is being covered by the department be listed on the RES form as well as the fund source as this is tracked as formal cost sharing.


Effort Concerns

Investigators may not commit more than 100% time and effort on funded projects, and faculty must leave sufficient time available for teaching, clinical and administrative responsibilities. Additionally, the Federal Government has defined proposal writing as administrative effort which may not be charged to grants. Care should be used in budgeting effort in competing applications to make sure proposed commitments are necessary to the project, does not overlap existing grants, and is doable in the event the proposal is funded.

PI Eligibility

K99-R00 Eligibility at UCSD

PI Exceptions for Non-salaried Faculty

PI Exceptions for RCHD/CSRC Investigators

PI Eligibility Requirements are covered in PPM 150-10 Eligibility to Submit Proposals for Extramural Support which can be found at http://adminrecords.ucsd.edu/ppm/docs/150-10.HTML A summary of eligible titles, and positions requiring approved exceptions can be found in Exhibit A at the end of the PPM. Exceptions to (not exemption from) the policy can be requested, but approval of a request is not guaranteed.

PI Exceptions Requests are not automatically approved.* Approval may depend on the proposed PI’s current appointment, proposed future appointment, and the appropriateness of the project to the individual’s current stage in his or her career development. Some PI Exception Requests are considered to be more “exceptional” than others and will require more time for review. Please note, exceptional exception letters are no longer required for processing a PI Exception for an exceptional exception, such as an associate project scientist or a full project scientist.

A PI Exception Request consist of the form cover page signed by the PI and the department chair, a brief description of the project, a written response to the questions on the cover page, normally prepared and signed by the faculty sponsor or division chief, and the PI’s biosketch. The entire package should be routed to the appropriate HSSPPO analyst at least two weeks before the proposal deadline.

The PI Exception Request form cover page can be found on OCGA’s website at http://ocga.ucsd.edu/Forms/PI_Exception.pdf or http://ocga.ucsd.edu/Forms/PI_Exception.xls

Helpful Tips for PI Exceptions

1. Need to start two weeks before proposal is routed for review - after the chair signs, all Exception Requests should be routed directly to HS SPPO for review and processing regardless of what agency the proposal will be for. Do not send the original with proposals to OCGA - send it directly to HS SPPO.

2. The Exception Request consists of the original signed cover sheet, the responses to the seven questions on a separate sheet of paper, a brief description of project, and biosketch or CV for the individual. The biosketch prepared for the proposal is acceptable.

3. The response to the seven questions - ideally should be written by the individual’s sponsor, not the individual since the individual cannot discuss what the department’s plans are for the individual. Responses to the seven questions should be consistent and make sense. Question 3 discusses the department’s plans for appointment if the proposal is funded. Statements such as “will be appointed” should be avoided - “will be proposed” is preferable. Response to Question 4 - ideally this should be specific (Dr. X’s lab, or building and room number) and consistent with the space information which will be filled in on the RES form.

4. The cover sheet:

Please be sure the UCSD number is filled in - it ties the exception to the proposal. Project titles frequently change before the proposal is finalized and mailed, so the UCSD number is important.

Present title should be both the current payroll title and any unsalaried appointment - the effective dates should include the current start and end dates for current appointment.

Proposed payroll title - should be a title which grants PI eligibility, or the Assistant Project _ title. If the individual is currently in the Project _ (scientist) series at the Assistant level, a proposed change is usually not required.. Effective dates - proposed title should start no later than proposed start of project, and continue at least through the end of the proposed project. IMPORTANT - the proposal title should be consistent with the response to Question #3.

ACCEPTABLE PROPOSED TITLES FOR RESEARCH:

Assistant Project _ (scientist) (Associate or above is not acceptable) Assistant/Associate/ Research <strong>_ </strong>(scientist) Assistant/Associate/(full) Clinical Professor, salaried Assistant/Associate/(full) Adjunct Professor, salaried Assistant/Associate/(full) Professor in Residence Assistant/Associate/(full) Professor (tenure track)

Effective September 7th:

Volunteer academic appointments such as Assistant Clinical Professor, unsalaried for individual’s under a MSP contract as Assistant Physician (a staff title) is not acceptable for a research grant without a proposed change to an appropriate salaried appointment. Clinical Instructor is never an acceptable title for research grants without a proposed change in series.

Exceptions for staff titles without a proposed change in title can be processed on rare occasions for projects, generally for projects which are more public service in nature.

In an effort to
streamline the PI exception process Health Sciences is changing the PI exception review process for certain appointment types. The review and approval process will not
change, only the time in which the exception is reviewed. Principal Investigators requiring a change in series will still need to have that change in effect prior to UCSD accepting the award.

As indicated in the table below certain appointment types will no longer be required at time of submission but instead at time of award. Additionally, blanket PI exceptions will be approved for Assistant Project Scientists for a duration of one fiscal year.

Appointment type

PI exception processed/ reviewed

Academic
Administrator/ Coordinator

Time of submission

Adjunct Professor (Non-salaried)

Time of submission

Clinical Professor (Non-salaried or salaried less than 50%)

Time of award

New Appointment

Time of award

Postgraduate
Research/ Postdoc Fellows

Time of submission

Assistant Project Scientist

Time of award

Associate or Full
Project Scientist

Time of submission

Research Fellow

Time of submission

Resident

Time of submission

Specialist

Time of submission

Staff Titles

Time of submission

Students

Time of submission

Visiting Appointees

Time of submission

MSP / Associate
Physician

Time of submission

Non-Salaried /
Volunteer Faculty

Time of submission

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