Instructions for Completing the Office of Research (OR) Tracking Form
This tracking form summarizes information about a proposal, and it is the primary source of data on external funding activities. It also records required Principal Investigator (PI), program and administration signatures which authorize the submission of proposals on behalf of University investigators.
Use the form when submitting a grant that does not require an eGC1 to track approvals and for which funding will come to any University account (primarily foundation grants). It was developed in order to provide better campus-wide data and facilitate planning for program impact. This form can be completed most easily by printing, filling it in by hand and using it to facilitate discussions with collaborators and administrators who will be asked to support the application.
I. Proposal Information
Give the title of the proposal on the first line, and on the second line list the funding organization or sponsor (and if applicable, the name of the division or program within the sponsor organization) to which the application will be directed. Include the guidelines by either indicating a URL or printing and attaching. Under UWB Personnel, indicate the PI's (and if applicable, two co-PI's or co-investigator's) name, program, signature and email address.
- If the proposal is for a fellowship and the PI is not the intended recipient, cross out the label "co-PI," insert "fellow" and list the name, email address, program and signature of the fellow.
- Indicate under "program" if the proposal is for a group project, such as a Center or Initiative. Identify the individual who will provide administrative support as well as any other key personnel such as librarians, web designers, or evaluators.
Consult http://www.uwb.edu/academic/pdf_files/supportresearch06.pdf for the policy on Roles & Responsibilities for Sponsored Programs, which defines the roles and responsibilities of principal investigators, administrative support staff, program and unit directors, the Office of Research, and the Office of Finance and Accounting.
Check one item on each of the three lines following "Proposal is:".
- On the first line, indicate if the proposal is soliciting a grant, contract, subaward, gift or fellowship. If the proposal does not fit any of these categories, describe it under "other." If the proposal is an incoming subaward, identify the name of the original sponsor above (on the "Sponsor" line) followed by the prime awardee. For example, if UWB is receiving a subaward from Bellevue Community College under funding provided by the Seattle Foundation, the form should note that the sponsor is the Seattle Foundation and the prime awardee is BCC.
- On the second line, indicate if the proposal sponsor is federal, foundation, state/local government, or tribal organization. If the sponsor organization does not fit any of these categories, describe it under "other.
- On the third line, indicate the type of application by checking "new" if the proposal is a request for support of a project that has not yet been funded; "renewal," if requesting funds for a new project period based on a previously funded project; or "revision/resubmission," if this is a revised or amended application. If the type of application does not fit any of these categories, describe it under "other."
If the proposal includes any outgoing subawards to other organizations or institutions, please list the names of the subawardees on the following line in response to the question, "Any subawards?"
Finally, please check only one box to indicate the main project purpose so that the proposal can be categorized for reporting purposes. If there are secondary aims, please indicate as such by underlining the appropriate category. For instance, if applying for a grant that would provide educational opportunities to underserved populations by providing programmatic support to promote success as well as individual student scholarships, the main purpose could be considered "training" (check the box) and a secondary purpose "student aid" (underline).
II. Facilities and Administration Costs
Indicate the project begin and end dates, which normally correspond to the project period, from the earliest date funding would be anticipated and then extended to encompass the full length of the project. List the total budget request for the entire project period, including direct and indirect costs. Next, indicate the first-year budget request, including direct and indirect costs. If the project is one year in duration, these numbers will be the same.
See http://www.washington.edu/research/osp/gim/gim13a.html for a summary of indirect cost rates (or facilities and administration costs) to be included in applications originating from the UWB.
However, if the sponsor has a clearly stated, written policy limiting these costs to a lower amount, a waiver will be granted. In this case, check the first box and attach the policy. If there is no documentation, please check the box for "other" and explain the reason for the lower F&A cost.
III. Program Impact
Indicate any needs the proposal will require above and beyond currently allotted resources including support for faculty effort (either course buyout or summer salary), space, curriculum development and/or new equipment. This information is requested in order to highlight the areas for discussion and approval by the program director.
- If the proposal includes support for faculty effort, an optional "Course Buyout Discussion Guide" has been developed to assist in navigating this topic and securing appropriate levels of support. Contact ORS for a copy.
- Cost sharing and matching funds are sometimes required and they are almost always difficult to track unless they take the form of direct, cash contributions towards the project. See a description of cost sharing and matching funds by checking http://www.washington.edu/research/gca/costshare/ or reference UW Grant Information Memorandum #21 for more detail.
- If the cost sharing and/or matching funds box is checked, it will be assumed that these funds will come from the PI's program. Indicate if this is not the case.
IV. Compliance Areas
Carefully consider whether any of the compliance categories listed here may apply to the proposal and check the appropriate box. If the proposal falls under a currently held protocol (either IRB or IACUC), please list the protocol number and the date it was issued. Check marks will initiate assistance from ORS in assessing and seeking any necessary protocols and waivers. Early disclosure of the items below will facilitate completion of the appropriate paperwork assuring protection and will not impede the research.
- Human Subjects (www.washington.edu/research/hsd): To protect the rights, well-being, and personal privacy of individuals, to ensure a favorable climate for scientific inquiry, and to protect the interests of the University of Washington, policy and procedures have been established governing the conduct of research involving human subjects. All research on human subjects, or involving data collected from human subjects, must be submitted to the Human Subjects Division (HSD) for review and approval from the appropriate Review Committee (sometimes known as an Institutional Review Board or IRB). The Committee grants approval on the basis of one of three types of review: full, minimal risk or certificate of exemption. All current forms and links to web-based training is available at the HSD website listed above.
- Animal Care (http://depts.washington.edu/auts/): The University of Washington assumes responsibility for the humane treatment of animals used in research, teaching, and other activities as guided by laws and regulations set forth by the federal government. Any research project conducted at the UW that involves the use of live, vertebrate animals must be reviewed and approved by the Institutional Animal Care and Use Committee (IACUC) before the proposal is submitted for funding.
- Significant Financial Interest (http://www.washington.edu/research/osp/gim/gim10.html) The University's Significant Financial Interest policies are intended to protect the credibility and integrity of UW faculty and staff and to ensure public trust and confidence in the University's sponsored research activities. The University is required by its granting agencies in the federal government to maintain policies and procedures for managing potential conflicts of interest, but at the UW these policies and procedures are applied across the board to all sponsored research projects. Any financial interest which could reasonably appear to affect the proposed project should be disclosed for review by the Office of Research using the form provided (http://www.washington.edu/research/osp/gim/gim10a.html).
- Third Party Proprietary Materials (http://www.washington.edu/research/osp/gim/gim34.html): The reason for including this category is to attempt to identify other forms of external support and identify appropriate administrative procedures for accepting and processing such support. "External support" is defined in GIM #34 as anything of economic value provided by a third party (either the "sponsor" in the case of sponsored projects or the "donor" in the case of gifts) for use in a project conducted by or at the University. Correct classification of external support and use of appropriate procedures is intended to assure the University's ability to: (i) comply with requirements specified by the sponsor or donor; (ii) satisfy State of Washington reporting requirements; (iii) properly recover its costs, both direct and indirect; (iv) monitor the nature and extent of research activity; and (v) assure compliance with applicable laws, regulations and University policies.
Indicate the date the proposal is due at the sponsor. Enter "none" if there is no deadline imposed by the sponsor and indicate if there is another, target deadline for submission desired by the PI. Please be reminded that proposal deadlines take priority over other paperwork in ORS.
- Check the box next to "Electronic" if the proposal can be submitted either via email or the Internet and indicate next which electronic system the sponsor requires.
- Space for an anticipated decision date is provided to allow planning for possible award negotiations and project start-up.
NOTE: the Office of Sponsored Programs (OSP) requires the final budget and a draft of the narrative 10 business days prior to agency or sponsor deadline in order to review it for completeness. The final (reviewed, approved and ready-to-submit) electronic proposal is due to OSP 5 business days prior to sponsor deadline to allow enough time to correct any unforeseen errors in the electronic submission process.
See revisions to GIM #1 policy (http://www.washington.edu/research/osp/news_archive.php#1700) announced by Mary Lidstrom, Vice Provost for Research on December 6, 2006, for details. This form will be completed by ORS for all grants submitted through OSP, which requires the eGC1 electronic approval system for routing and electronic submission.
If an eGC1 is NOT required and the PI is completing this form and wishes feedback from the UWB Office of Research and/or the Director, Development & Alumni Relations (recommended!) on the proposal, please submit a draft as soon as possible, and no less than three days before the sponsor deadline, to allow sufficient time for review and revision.
In all cases, if the eGC1 is not required, the relevant program director's signature IS required on this form before the proposal is authorized to be submitted.
- If the proposal is categorized as a gift, the signatures of the Interim Assistant Vice Chancellor of Alumni Engagement and Philanthropy Sean Marsh: email@example.com, phone 2-5269) and the Chancellor are required.
- If the proposal is a grant, the signature of the Assistant Vice Chancellor for Research, Carolyn Brennan: firstname.lastname@example.org, phone 2-5355) and the Vice Chancellor for Academic Affairs (VCAA) are required.
In each case, the Director will facilitate the signature of either the Chancellor or VCAA.
This form was intended to facilitate communication and capture information on proposals in the grey area between gifts and grants. It may not be apparent whose signature is required, so please ask if you are uncertain.