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  • 1.  Submission policies

    This message was posted by a user wishing to remain anonymous
    Posted 10-18-2023 10:25
    This message was posted by a user wishing to remain anonymous

    Do you have submission policies – advance notification required, deadlines for draft documents, etc.?



  • 2.  RE: Submission policies

    TEAM CAYUSE
    Posted 10-18-2023 10:27

    For context, the person who asked this question wanted to specify they're asking more for smaller institutions where there aren't always policies in place.



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    Simon Helton
    He/him
    Community Manager
    Cayuse
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    Original Message


  • 3.  RE: Submission policies

    RISING STAR CONTRIBUTOR
    Posted 10-19-2023 09:30

    Speaking specifically on the compliance (Animal Ops) side:

    We have some specific rules and deadlines posted for submission dates to be reviewed as part of the next scheduled meeting.  For example, all new submissions and 3-year renewals had to be submitted by September 20th to be discussed as part of our October Committee meeting.

    We are a mid-sized institution and so we have some additional review process polices and things like that in place but in the case of smaller institutions with very limited IACUC or combined IACUC/IRB/Safety processes; I imagine a deadline to get things onto the next meeting review would be a minimum requirement.



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    Guy Wiles
    Director, IACUC
    Augusta University
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    Original Message


  • 4.  RE: Submission policies

    SUPERSTAR CONTRIBUTOR
    Posted 10-23-2023 10:48
      |   view attached

    Do we?  Yes.  But for grant proposals, they may not be quite what you're thinking.  We have to know about a proposal 15 business days in advance of a deadline, and we have to have largely-finished documents 5 days prior to deadline.  The consequence of non-compliance, though, is not that we don't submit.  It's that the proposal goes to the end of the line behind the people who submitted documents to us on time - so it's an at-risk proposal.  When we move to the platform, we will have an at-risk proposal status.  Now, I just keep an eye on it.  Failed proposals should never come as a surprise to anyone - and I want to get out ahead of how that story is told.  So, I have an email I send once we're inside the 5-day window - one that I try very hard for it to be non-shaming- but I point out that we have an at-risk proposal.  The PI, Chair, Dean, and VPR are all copied.  We don't make policies about drafts.  Every Grants and Contracts Officer knows his/her faculty and how they like to work - and where they run into trouble.  So, they dance that dance with the faculty - and I step in when I must.

    Now, you're going to ask if that's made a difference.  I doubt it.  You have to have the policy as administrative cover, but I don't think it has informed behavior.  I'll attach the policy - but there's nothing unusual about it.  Feel free to creatively re-purpose it if it will help you.

    Andrea



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    Andrea Buford
    Director, Office of Sponsored Programs
    Oakland University
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    Attachment(s)

    docx
    Five Day Rule - revised and approved.docx   49 KB 1 version
    Original Message


  • 5.  RE: Submission policies

    SUPERSTAR CONTRIBUTOR
    Posted 10-23-2023 10:50

    We have what we call our 30-10-3 policy.  The idea is that the investigator informs us 30 days in advance of any competitive deadline--to give us a heads-up and begin the budget process. 

    Then, at the 10-day mark, they are to route the proposal's Internal Processing Form (IPF) from Cayuse SP, and have the following documents finalized:

        Budget and Budget Justification (which they've been working on with their Grants Administrator prior)
        Complete and signed subrecipient package(s)
        Facilities and Other Resources & Sharing Plans
        Equipment
        Biosketch(es)
        Progress report publication list (renewals only)

    Draft science docs are appreciated at that time as well.  We will review all provided documents and provide feedback within 72 hours. In addition, we will inform them of documents that have passed review and are considered final.

    Then, by 3 business days out, we expect the final science docs to be uploaded and the proposal certified in SP.  We may submit at any time after that.

    No, they don't always follow the policy.  Once they've passed the 10-day mark and haven't provided us what we need, we inform them that we will make efforts to submit, but no promises, and no review aside from budget/regulatory.

    Hope that helps.

    Best,

    -Lisa



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    Lisa Churchill
    Director, Grants Administration
    The Salk Institute for Biological Studies
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    Original Message


  • 6.  RE: Submission policies

    Posted 10-23-2023 11:54

    Our policy is stated on our website as follows:

    If ORS is doing the submission, it is incumbent on the PI to provide submission-ready files in a timely manner. In alignment with best practices of several peer institutions, ORS is implementing a new proposal submission policy where all final proposal documents must be submitted to ORS at least three business days prior to the sponsor submission deadline. If all final proposal documents are submitted to ORS before that deadline, we will review these documents, ensuring proper formatting and compliance before submission. However, if the proposal documents are received later than three business days prior to the submission deadline, we will submit/upload them without a review or compliance check.

    Most of our PIs are compliant but we have the occasional "last minute" submission.  In that case it is communicated to them in several forms that there is not enough time for a thorough review but we do help to accommodate the submission any way that we can.



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    Amy Moakley
    Electronic Research Administrator
    University of Oklahoma
    amymoakley@ou.edu
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    Original Message


  • 7.  RE: Submission policies

    STAR CONTRIBUTOR
    Posted 10-24-2023 11:21
      |   view attached

    I've attached our (Ball State University) Proposal Submission Policy. This policy was drafted and then vetted through the Deans and the Provost, with the full support of our VP for Research, and is considered University Policy Guidance, not just a Sponsored Projects policy or request. 

    We have very similar requirements as others have stated, and we require our Proposal Managers (PMs) to provide a timeline of deadlines at the time a PI contacts us. This lays out expectations explicitly between the PM and the PI, instead of leaving it up to a personal interpretation of 'what is final' and 'what is 3 business days' (docs in your inbox at 5pm or 8am?). 

    For example, a timeline I gave a PI today for a December 1 submission: 

    Based on a December 1 submission, here is your timeline: 
    November 8: Deadline for a draft narrative and budget needs to me for review 
    November 15: Deadline to begin routing in Cayuse for approvals.
    November 27: Deadline all final materials to be to SPA for final review (for submit eligibility) 
    November 29: Deadline all final materials to be to SPA for final review
    December 1: Deadline to Submit in InfoReady (PI submits) 

    When I created this timeline I had to consider the Thanksgiving break as non-business days and what is 5 business days for the submit program eligibility (a BSU internal incentive program). Our Director gives us (PMs) autonomy over our own workload, so we create the timeline for our PIs and can be more or less lax depending on our work style and our understanding of the PI's workstyle. Initially we scoffed at the timeline but PIs have really responded well to it, and our Director has something to stand on when someone does not follow the rules. We do still get those late applications that are dealt with accordingly, but its not rampant like it used to be. 



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    Augusta Isley
    Senior Proposal Manager
    Ball State University
    amwray@bsu.edu
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    Attachment(s)

    pdf
    PSP BSU.pdf   360 KB 1 version
    Original Message


  • 8.  RE: Submission policies

    RISING STAR CONTRIBUTOR
    Posted 10-25-2023 00:39

    Here at UC Irvine, our Sponsored Projects Administration (SPA) office has a published Proposal Submission Guideline Policy that states proposals must be routed through for approvals and in SPA's review queue five business days prior to the sponsor deadline. Everything but the project narrative should be in final form. SPA must balance between the requirement of having these established lead times, and ensuring proposals are being submitted. We always try to ensure that a proposal gets out - even if an 'after the fact' proposal review is required. 



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    Jonathan Lew
    ERA Officer
    University of California, Irvine
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    Original Message


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