400-15  Administrative Review and Submission of Contracts & Grants

Effective Date: 1/1/92 (revised 10/1/09)

Office of Origin:  Office of Sponsored Research, Conflict of Interest Division

I. Purpose

This policy describes deadlines for submissions and signature approvals required in order to submit applications (proposals) for extramural funding.

II. Definitions

Effort reporting: a process mandated by the federal government to verify that salary and wages charged to federally sponsored projects are reasonable estimates in relation to the actual work performed. An effort report is an “after the fact” certification of activities for which the employee was compensated by the institution. Cost sharing commitments must also be confirmed. All faculty who serve as investigators on federally sponsored agreements are personally responsible for certifying the amount of effort that they and their employees spent on sponsored activities.

III. Policy

A. Policy on Timing of Submissions

  1. General


    Proposals must be submitted well in advance of the desired start date of the proposed activity and sufficiently in advance of the sponsor's deadline to ensure a thorough review of the proposal for compliance with University and sponsor policies.

  2. Campus deadlines: Office of Sponsored Research


    a. All proposals for extramural support with an agency deadline of October 1, 2009 – January 31, 2010 must be submitted to the appropriate division of the OSR (C&G or the ICD) by 9:00 AM four (4) working days prior to the agency deadline. All proposals for extramural support with an agency deadline of February 1, 2010 or later must be submitted to the OSR by 9:00 AM five working days prior to the applicable agency deadline.


    b.     All proposals requiring approval by The Regents must be received by the Office of Sponsored Research 28 working days prior to the meeting of the Board of Regents at which the proposal will be presented for approval.

  3. Agency deadlines

    When a funding agency does not indicate a specific deadline for proposals, a lead time of nine months prior to the project start date will serve as a general rule for proposal submission. Multi-year project that renewals should comply with this guideline to ensure uninterrupted funding.

B. Approval Requirements for Applications/Proposals

  1. General


    All applications for extramural support must be reviewed and endorsed on behalf of The Regents by an individual to whom Regental authority has been delegated to solicit extramural contracts and grants. In the majority of cases, this will be certain officers in the Contracts and Grants Division or Industry Contracts Division of the Office of Sponsored Research. To receive University endorsement an application/proposal must be submitted to the Office of Sponsored Research with a completed Office of Sponsored Research Approval Form (OSR Approval Form). Applications/proposals being submitted to the Office of Sponsored Research for review and Regental approval must be submitted in the manner described on the Office of Sponsored Research website.

  2. Individual fellowship applications


    The OSR Approval Form for individual fellowship applications to private or federal agencies requires the signatures of only the faculty sponsor and the fellow (if available).

     

  3. New, renewal, revision, noncompeting continuation, resubmission, supplemental or transfer applications


    The OSR Approval Form for new, renewal, noncompeting continuation, resubmission, supplement or transfer applications must be endorsed on behalf of the chair of the department with which the principal investigator is primarily affiliated, and by the principal investigator, and if required by the applicable school at UCSF, the Dean. Applicants should ascertain whether their Dean’s Office requires these additional signatures prior to submission of an application/proposal to the Office of Sponsored Research.

     

  4. Research subjects


    Applications/proposals using research subjects (humans or animals) require evidence that the use of the subjects or materials has been approved by the applicable institutional review committee. Depending upon the sponsoring agency guidelines it may be appropriate to submit these approvals on a “Just-In-Time” basis immediately prior to the issuance of an award.

     

  5. Conflict of Interest


    Sponsored projects may require a Conflict of Interest disclosure (federal, state, institutional or any combination thereof) at the time of proposal submission under University, federal or state regulations.  Departments should contact the Office of Sponsored Research Conflict of Interest Office for further information.

     

  6. Faculty effort

    It is the responsibility of each department chair or organized research unit director to monitor faculty effort and to follow federal effort reporting requirements. Faculty effort, includes all University responsibilities and extramural projects, and must not be committed beyond 100%.

IV. Responsibility

Office of Sponsored Research

V. Related Policies

VI. References