PreAward Administrative Guide
161 Pages
English
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PreAward Administrative Guide

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Learn all about the services we offer
161 Pages
English

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http://hsc.unm.edu/financialservices/preaward/docs/PI%20Guide07%209-1-. 07.pdf. Full copy ..... Fellowship – UNM pre-doctoral or post-doctoral programs. Location: ...... Virginia Shipman, Ph.D., Chairperson. Simpson ... Email: vpr@unm.edu ...

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UNIVERSITY OF NEW MEXICO – HEALTH SCIENCES CENTER College of Pharmacy
PreAward Administrative Guide
College of Pharmacy
PreAwardAdministrationGuide
Contract and Grant Office
1 University of New Mexico
MSC09 5360
Albuquerque, NM 87131
Phone 505.272.4289 •
ii
Fax 505.272.0704
Table of Contents
PreAward Administration ....................................................................................... 1
PreAward Process ................................................................................................... 2
General Guidelines.................................................................................................. 3
A.
B.
C.
Pre-Award Process and Timeline.................................................... 4
Variations to Pre-Award Process and Timeline.............................. 8
Pre-Award documents required .................................................... 12
Responsibilities ..................................................................................................... 16
A.
B.
C.
Principal Investigator responsibilities........................................... 16
Contract and Grant (C&G) Coordinator Responsibilities............. 16
Flowchart of Responsibilities ....................................................... 17
Principle Investigators Guide................................................................................ 22
UNM HSC PreAward Office ................................................................................. 23
A.
B.
Internal Forms & Proposal Procedures ......................................... 23
Proposal Stage............................................................................... 23
Proposal Stage As Needed documentation: .................................. 23
Just in Time Stage (NIH) .............................................................. 24
Award Stage.................................................................................. 24
As Needed ..................................................................................... 25
Maintaining Federal Grants .......................................................... 25
Resources for Funding Research .................................................. 25
HELPFUL LINKS ................................................................................................ 28
A.
Policy and Compliance ................................................................. 28
B.
C.
Proposal Administration ............................................................... 30
NIH: .............................................................................................. 30
COP Most-used Information................................................................................. 31
A.
B.
Pharmacy Practice PI Organization Codes ................................... 31
Pharmaceutical Sciences PI Organization Codes ......................... 31
APPENDIX: A-1 Proposal Data Sheet (PDS) ...................................................... 33
APPENDIX: A-2 F&A ....................................................................................... 42
APPENDIX: A-3 – Budget Preparation Guides .................................................. 52
APPENDIX B – Principal Investigators Guide .................................................... 67
P R E A W A R D A D M I N I S T R A T I O NP H A R M A C YO F C O L L E G E O PreAwardAdministrationV The Contract & Grants Coordinator is essential to coordinate and streamline necessary documents required when submitting contracts and granting proposals through the appropriate channels of UNM Health Sciences Center. E he Contract & Grants (C&G) Coordinator is available to help research Tinvestigators with the following pre-award duties: R Coordinate the preparation and submission of all grant and contract proposals through the College of Pharmacy and UNM Health Sciences Center system; Advise faculty regarding institutional and sponsor policies in developing their proposals; V Completion of “front end” documents (HSC Proposal Data Sheet – PDS, conflict of interest forms, etc…) Budget preparation and initial review; Maintain an electronic archive of updated faculty CVs, bios, “other support” pages and other routine proposal documents; Iguidelines; and review complete proposal documentation prior to submission, inCompile and order to ensure proposals meets departmental, UNM HSC, and sponsor Provide electronic and paper record keeping of pre-award submissions. E W
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P R E A W A R D A D M I N I S T R A T I O N
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Valuable documents
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Project Monitoring
Spending of Award Funds
Project Start-up
C O L L E G E O F P H A R M A C Y
PreAwardProcess
FINISH: Award Close-Out
Post Award
Award Management Transfer: Pre Award to Post Award
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Investigator Initiated: Finds Funding Opportunity
Pre Award
Award Acceptance & Negotiation
Proposal Development
Chair
HSC Pre Award Review Institutional Approval Must adhere to policy submission deadlines
Proposal Submission
Investigator will be notified of submission Save copy for record keeping
P R E A W A R D A D M I N I S T R A T I O N
C O L L E G E O F P H A R M A C Y
GeneralGuidelinesAny funds that have restrictions in terms of dates of award, requires a budget or requires financial or written reportsmustbe processed through the Office of Research’s Contract & Grant (C&G) Coordinator.
The C&G Coordinator will handle all otherprivate or publicgrants or contracts.
Allproposals (either grant or industry contracts)cannotbe submitted directly through to the UNM HSC PreAward Office by the researcher. Sometimes proposals are submitted to sponsor for preliminary review. If the sponsor decides to fund the proposal, it still must go through the official process.
The contents of a contract or grant proposal vary based on the sponsor, so each proposal needs to be evaluated by the C&G Coordinator regarding content. However, these are theminimumparts of a grant/contract proposal.
Copy of funding announcement (“Instructions”)
Proposal Data Sheet
Signed by the PI, COP Chair Chair, and COP Dean.
Conflict of Interestforms
Signed by PI and each key investigator named by PI.
Budget(Modular or Detailed)
Budget Justification- briefly describes the budget categories
Proposal or Scope of Work-can be short but this details out what the funds will be supporting
Industry Contractscomprise of all grants or contracts fromfor-profitagencies. Examples are clinical trials or grants from pharmaceutical companies to support fellowships.
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P R E A W A R D A D M I N I S T R A T I O N
A.Pre‐Award Process and Timeline
C O L L E G E O F P H A R M A C Y
The following is an overview of the steps in preparing a proposal.
Important Note:
20 business daysis the minimum amount of time needed to prepare a simple proposal for submission from the College of Pharmacy through the UNM HSC PreAward Office.
Early and clear communication regarding the intent to submit a proposal is critical.
All grants should be processed through the COP Contract & Grant (C&G) Coordinator.
20dayspriortothefinalGrantsubmissiondate:
20 days is realistically thelatestto notify the C&G Coordinator of a PI’s intention to submit a grant application. Notifying the C&G Coordinator as early as possible will permit efficiency and a higher quality grant application submission.
C&G Coordinator will need to receive the following from the PI:
Sponsor’s Program Announcement (PA) number or Request For Application (RFA) number;
OR copy of the Sponsor’s grant application “Instructions” on “how to apply”;
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P R E A W A R D A D M I N I S T R A T I O N
C O L L E G E O F P H A R M A C Y
Draft Estimate of the total budget, which should include the following:
Staff/students anticipated to earn personnel support when contributing to the project (need percent effort levels of each person and contact information if not a COP employee);
Annual Material budget amounts for project;
Annual Supply budget amounts for project;
Annual Student related budget amounts for project (include tuition amount, stipend amount, salary per year, and other appropriate student costs);
Annual subcontract budget, if applicable.
Budget justification (detailed if filing a “Detail budget”)
OR Personnel justification (if filing a “Modular budget”)
Listing of Key Personnel, in order to retain signed UNM Conflict of Interest (COI) forms.
Contact information for non-COP researchers needs to be provided to the C&G Coordinator.
C&G Coordinator will use the front end documents in order to prepare UNM internal forms and necessary external forms:
Proposal Data Sheet (PDS);
Conflict of Interest (COI) forms for ALL key personnel;
F&A Waiver, if applicable;
Internal Budget Worksheet;
Collection of Subcontract documentation for PreAward review;
Draft NIH grant Adobe SF424 grant application package, if applicable.
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P R E A W A R D A D M I N I S T R A T I O N
C O L L E G E O F P H A R M A C Y
*All the prepared forms will be returned to the PI within 3 business days.
PI will continue to work on project scope of work, varying components of the research plan, and update his/her biosketch to complement the project proposal.
15dayspriortothefinalGrantsubmissiondate:
PI will modify all drafted internal and external forms to most accurately represent key aspects related to the proposed internal/external forms. project. PI will sign/approve completed hard copies of necessary
Upon receiving completed signed forms from PI, C&G Coordinator will circulate forms through appropriate COP Chair’s office and the COP Dean’s office.
PI will continue to finalize all writing of research plan components.
10dayspriortothefinalGrantsubmissiondate:
C&G Coordinator delivers all UNM front end documentation and external forms to HSC PreAward need to be submitted to HSC PreAward at this time. Office by 9am. If applicable, all subcontract documentation will also
The following forms will be required to submit to HSC PreAward for review:
Proposal Data Sheet (PDS);
Conflict of Interest (COI) forms for ALL key personnel;
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