Download the UAB Extramural Support Checklist. Please be familiar with the OSP Proposal Submission Requirements prior to your submission to the Office of Sponsored Programs. The items below are listed using the same numbering as the checklist form.

Sponsor Portal - If you are submitting your application through a sponsor portal, indicate which one (e.g., ASSIST, FastLane, Workspace, etc.). Otherwise, select N/A.

Sponsor Portal Application # - If you are submitting through a sponsor portal, indicate the application number given by the sponsor in the portal.

1. Program Director/Principal Investigator (PD/PI) - Indicate the last name, first name, middle initial, BlazerID, phone number, email address, and work mailing address (street address) of the PD/PI. This policy (UAB-RA-POL-0000108) defines who may serve as a PD/PI at UAB.
   • Submitting Unit - Indicate the UAB School, Department, and Division (if applicable) to be associated with this project. The submitting unit should be the primary appointment of the PI. Centers are not valid entries.
   • Graduate Student Fellowship - If this application is to support a Graduate Student Fellowship, select Yes.
   • VA-IPA Assignee - If this application is to support a Veteran's Affairs-Intergovernmental Personnel Act (VA-IPA) assignee, select Yes.
   • Trainee/Assignee - Enter the fellowship trainee or VA-IPA assignee name, BlazerID, phone, and email.
2. Funding Source/Sponsor - Enter the sponsor from whom UAB will directly receive funding. If not applicable, select N/A. Note that if a Clinical Research Organization (CRO) is involved, indicate the CRO separately in question #23.
3. ALN - Enter the Assistance Listing Numbers (ALN). The ALN is a unique number that identifies the Federal agency and program. It is usually found on the notice of grant award or may be in the program announcement. If not applicable, please select N/A. Note that the ALN does not apply to federal contracts or industry agreements.
   
   • Single IRB - Please refer to the Single IRB webpage for more information. If Single IRB applies to your submission, select Yes. Otherwise, select No.
4. Submission Type - Select the Submission Type for the project being submitted. Some submission types may require additional information such as an existing OSP assigned number, start/effective date, and sponsor award number. Please see the definitions below.
   • Original/New - Application to fund a new project not currently funded by this sponsor.
   • Fee for Service - Certain research related Fee for Service agreements are processed by the Office of Sponsored Programs. Under these agreements, UAB receives funds from an external entity to perform research related work in facilities owned or leased by UAB. Please see the Facilities and Administrative Rate Policy (UAB-AD-POL-0000089) and the Federally Negotiated and Institutionally Established F&A Rate Table regarding Fee for Service agreements.
   • Transfer In - Application to relocate a currently funded project from another organization to UAB.
   • Study Start-up Agreement - Agreement to fund study expenses incurred prior to site initiation. Note that not all sponsors require a study start-up agreement. These expenses are generally included in the project budget.
   • Resubmission - Revised application to the same sponsor, replacing an earlier application that was not funded. Provide the previous OSP assigned number.
   • Competing Continuation/Renewal - Competitive application to secure continued support from the same sponsor for a currently funded research program (subject to peer review), or an application to the state and local sponsor for an additional term of support based on a currently funded project. If this is a Competing Continuation, please provide the original OSP assigned number and original project start date.
   • Change in PI - Request to replace the current Program Director (PD) or Principal Investigator (PI) - or PD/PI. Provide the current OSP assigned number, the previous PD/PI's name, and the effective date of change.
   • Amendment/Modification - Amending one or more provisions of an existing agreement to increase or decrease time or funding. Provide the OSP assigned number and Sponsor Award Number.
   • Supplement/Revision - Application for additional funds for a currently funded project (e.g., Minority Supplement, Research Experiences for Undergraduates). Provide the OSP assigned number and Sponsor Award Number.
   • Transfer Out - Relinquishing a currently funded project from UAB to another organization. Provide the OSP assigned number and Sponsor Award Number.
5. Sponsor Deadline Date - Enter the sponsor deadline date. If not applicable, select N/A. Do not include a deadline date for Industry agrements. Also, note that the sponsor deadline date refers to the sponsor deadline only and not your personal or departmental deadline.
6. On Campus/Off Campus - Indicate where the project will be conducted. Off campus refers to activities performed in facilities not owned or leased by UAB. If more than 50% of a project is performed off campus (excluding subcontract components), the off campus F&A rate will apply to the entire project.
7. Performance Sites - Check the appropriate boxes for all performance sites to be used. If an off campus location or other location is used, please indicate the location in the appropriate field.
8. Cost Sharing - Indicate if cost sharing will be used in this project. If Yes, indicate the type of cost sharing that will be used. See the Cost Sharing Commitment Form or In-Kind Cost Sharing Form for definitions. Cost Sharing definitions are on page two (2) of the Cost Sharing Commitment Form.
9. Project Title - Enter the full title of the project with no abbreviations. For industry clinical trial agreements (CTAs), this should match the protocol title. If there are any changes in the project title, please contact the Office of Sponsored Programs (OSP).
10. Award Manager - Enter the last name, first name, middle initial, BlazerID, phone number, and email address of the person managing the funds.
    • Primary Contact - Enter the last name, first name, middle initial, BlazerID, phone number, and email address of the person to be contacted if a question arises about this application.
    • Secondary Contact - Enter the last name, first name, middle initial, BlazerID, phone number, and email address of the person to be contacted if the primary contact is unavailable. Leave these fields blank if there is no secondary contact.
11. Renovation - Indicate if this project involves any renovation. If yes, Facilities Planning (4-1219) must sign off on this checklist. If the primary purpose of the project is construction (i.e., federal or non-federal funding to support construction of building or major renovation), use the Construction Checklist. Construction grants and contracts are considered Other Sponsored Activities.
12. International Involvement - If there is no international involvement, select N/A. If there is international involvement, indicate all applicable types of involvement.
    • International Sponsor - Check this box if the sponsor is not from the United States.
    • International Subcontractor - Check this box if at least one subcontractor is not from the United States.
    • Foreign Activities - Check this box if any sponsored activities of this project are conducted outside the United States.
    • Foreign Countries - If any of the above check boxes are checked, please list all applicable foreign countries. Separate listed countries with commas.
13. Keywords - List a minimum of three scientific keywords that best describe your research or project. This will be added to the project record in the IRAP system for reporting purposes. While this is not a required field for OSP, your department/division may require this for reporting purposes. Do not list the PD/PI or sponsor name as keywords.
14. Grants Accounting Financial Management Affiliation - Indicate the UAB department and division responsible for monitoring and managing the award funds and their Organizational Code. If there is no division for your area, select N/A.
15. Billing/Collection Responsibility Designation - Indicate who is responsible for billing/collection by selecting either the Department or Grants and Contracts Accounting (GCA). Include the address to receive payment. If billing/collecting does not apply to the project, select N/A. In general, the department is responsible for billing/collection for non-federal clinical trials and milestone-based contracts. Generally, GCA is responsible for billing/collection for letter of credit (LOC), Federal projects, Federal pass-through projects, reimbursement projects, and scheduled payment projects.
16. Will funds be leaving UAB? - Indicate Yes or No. If Yes, indicate whether the funding is for a Subaward/Subcontract, Consultant, or both if applicable. If there are subawards or subcontracts, please indicate how many. If you have subawards/subcontracts, please see our subaward webpage for additional guidance. If you have a consultant, please include a letter of support for the consultant as part of the application submission to OSP.
17. Announcement ID No. - Indicate the Announcement or Solicitation number [Program Announcement (PA), Request for Application (RFA), Request for Proposal (RFP), etc.] to which the proposal is being submitted. If not applicable, select N/A.
18. Program - Indicate the specific program name to which the proposal is being submitted. Enter the URL web address if applicable. If this is not applicable, select N/A. This is needed for many programs that do not have a particular RFP#, PA#, etc. Some non-profits and other federal projects would fit into this category. Include this information so those involved in reviewing your project can find the appropriate solicitation/website.
19. Purpose (Program Type) - Indicate the purpose for the grant or contract as Sponsored Research, Sponsored Instruction, or Other Sponsored Activities. See definitions below.
    • Sponsored Research - is all research and development activities that are sponsored by federal and non-federal agencies and organizations. Fellowship/Training awards to perform research activities are considered Sponsored Research. Clinical trials are not typically considered sponsored research except when a clinical trial is federally funded. Examples of Sponsored Research awards are:
      • exploring a hypothesis
      • conducting animal models
      • fellowship/training awards given for research purpose, federal and non-federal
      • special purpose equipment - equipment which is used only for research, medical, scientific, or other technical activities
      Included in category are NIH funding mechanisms starting with the following letters:
      • F-series
      • K-series
      • N-series
      • P-series
      • R-series (except R13 and R25 - conference grants)
      • S-series
      • T-series
      • U-series (except U13 - conference grants)
    • Sponsored Instruction - applies when the award's primary objective is to teach and/or train, whether the teaching and/or training is offered for credit toward a degree or certificate or on a non-credit basis. Such teaching and/or training can be offered through regular academic departments or separate divisions. Included in this category are federal grants starting with R25 (education projects).
    • Other Sponsored Activities - are programs and projects financed by Federal and Non-Federal agencies and organizations that involve the performance of work other than instruction and sponsored research. All non-federal Clinical Trials are considered Other Sponsored Activities including Investigator-initiated Clinical Trials. Examples of Other Sponsored Activities are:
      
      • Health service projects and community services programs
      • Conference Grants (e.g., NIH R13 and U13)
      • Theater performances
      • General purpose equipment - equipment which is not limited to research, medical, scientific, or other technical activities
      • Construction contracts and grants
      • Verifying and/or testing a product that has already been created
      • Travel grants
      • Any awards that are not considered Sponsored Research or Sponsored Instruction
      Included in this category are federal grants starting with the following letters or numbers:
      • G20 (grants for repair and renovation of existing research facilities)
      • H-series (excluding HHSN which is sponsored research)
      • R13 (conference grant)
      • U13 (conference grant)
20. Instrument Type - Choose either contract or grant. See definitions below.
    • A grant is a funding mechanism for a broad programmatic objective with standard and acceptable terms and conditions which are preset by the awarding entity and are non-negotiable by UAB.
    • A contract is a funding mechanism for specific deliverables in which all or some of the more rigorous terms and conditions are subject to review and acceptance by UAB signature, and if those terms and conditions are not acceptable, would require negotiation between the parties. Note that contracts, like those provided by the Federal Government or industry sponsors, are subject to negotiated terms and conditions.
21. Activity Description - Choose the type of grant or contract you are submitting. See the definitions below.
    • Grants:
      • Individual Grant - Grants are awarded to institutions to allow a PI to pursue a scientific focus or objective in his or her area of interest and competence. Institutional acceptance assures the Sponsor that the institution will provide facilities necessary to conduct the research and will be accountable for the grant funds. Applications are accepted for research and development in all areas within the scope of the Sponsor's mission. For individual grants that are also clinical trials, a Clinical Trial grant provides support for the initial development of a clinical trial, including the establishment of the research team, identifying tools for data management and oversight of the research. It also includes the development of a trial design and other essential elements of the study, such as the protocol, recruitment strategies, procedure manuals, and to collect feasibility data.
      • Program Center Grant - To support multidisciplinary or multifaceted research programs that have a focused theme or a specific major objective. Each component project should be directly related to and contribute to the common or specific major objective. (P01, P20, P30, P50)
      • Individual Training Grant - Individual training grants are awarded to individual fellows to support research training, to broaden their scientific background, with the potential to become independent investigators.
      • Institutional Training Grant - Institutional training grants are awarded to institutions to develop or enhance research training opportunities for individuals, selected by the institution, who are training for careers in areas of biomedical, behavioral, and clinical research. It provides funding to the institution to increase the number of pre-doctoral and postdoctoral trainees who wish to pursue a long term or short term career in research.
      • Cooperative Agreement Grant - A support mechanism used when there will be substantial scientific or programmatic involvement by the sponsor. Substantial involvement means that, after award, scientific or program staff will assist, guide, coordinate, or participate in project activities.
      • Equipment Grant - An institutional award to support the purchase of equipment to be used by one or more recipients of active research grants.
      • Educational Activity - An agreement between the institution and the sponsor which provides funds for educational activities through seminars, conferences, workshops, and classes that serve to maintain, develop, or increase the knowledge, skills, and professional performance and relationships of healthcare personnel. May be accredited or non-accredited.
    • Contracts:
      • Individual Contract - A written agreement between the institution and the sponsor which obligates both parties. For individual contracts that are clinical trials, a clinical trial agreement is a study which involves the systemic investigation in a human population of the effects of an experimental drug, treatment regimen, or device for disease or disorder according to a formal protocol. Clinical Trials may be based on industry sponsor or investigator written protocols.
      • Small Business Technology Transfer (STTR) - A federal program designed to support cooperative research/research and development with potential for commercialization, through a formal cooperative effort between a small business and UAB.
      • Non-Sponsor Funded Research - Entity is providing either a product, material, or equipment in lieu of funds.
      • Small Business Innovation Research (SBIR) - A federal program designed to support small business concerns conducting innovative research/research and development with potential for commercialization through a formal cooperative effort between a small business and UAB.
      • Cooperative Agreement - A written agreement between multiple parties in which the obligations flow between two or more parties.
      • Educational Activity - An agreement between the institution and the sponsor that provides funds for educational activities through seminars, conferences, workshops, and classes that serve to maintain, develop, or increase the knowledge, skills, and professional performance and relationships of healthcare personnel.
      • Compassionate Use Agreement:
        • Drugs - Expanded access, sometimes called "compassionate use," is the use of an investigational drug outside of a clinical trial to treat a patient with a serious or immediately life-threatening disease or condition who has no comparable or satisfactory alternative treatment options. FDA regulations allow access to investigational drugs for treatment purposes on a case-by-case basis for an individual patient, or for intermediate-size groups of patients with similar treatment needs who otherwise do not qualify to participate in a clinical trial.
        • Devices - Compassionate Use (or Single Patient/Small Group Access) The compassionate use provision allows access for patients who do not meet the requirements for inclusion in the clinical investigation but for whom the treating physician believes the device may provide a benefit in treating and/or diagnosing their disease or condition. This provision is typically approved for individual patients but may be approved to treat a small group.
      • Research Collaboration - A Research Collaboration agreement means an agreement entered between two or more researchers engaged in a research project about the nature of their working relationship. It specifies about the intent of the parties to share data, research materials and facilities, and to publish research findings.
22. CCTS Research Type - Select the UAB Center for Clinical and Translational Science (CCTS) Research Type for your project, or select N/A. See definitions below:
    • Clinical Research - Patient-oriented research (or on material of human origin such as tissues, specimens, and cognitive phenomena) in which a researcher directly interacts with human subjects or human materials.
    • Translational Research - The process of applying insights and discoveries generated during laboratory research and in preclinical studies to the diagnosis, treatment or prevention of human disease. This includes:
      • T1 Research - Moving basic discoveries into candidate health applications.
      • T2 Research - Assessing value of T1 application for health practice leading to evidence-based guidelines.
      • T3 Research - Moving evidence-based guidelines into health practice through delivery, dissemination and diffusion research.
      • T4 Research - Evaluating real world health outcomes of a T1 application in practice.
23. Complete all information in #23 regardless of the sponsor type or the activity description of the project.
    • Enter the Contract Research Organization (CRO) Name or choose N/A.
    • Enter the Sponsor/CRO Contact name, phone number, email address, and Sponsor/CRO Reference Number, or choose N/A.
    • Select the appropriate Source of Protocol/Statement of Work (SOW)/Research Plan, or select N/A. Options are:
      • Sponsor-Provided/Written Protocol
      • UAB Investigator Initiated
      • Non-UAB Investigator Initiated
    • Indicate if this project is a Clinical Trial by choosing Yes or No.
    • Enter the Funding Source’s Protocol Number.
    • Indicate whether there will be Human Subjects involvement in the project: Yes or No. If Yes, indicate whether the project is industry sponsored: Yes or No. If the project is industry sponsored and has Human Subjects (both Yes), then you must provide an existing IRB Number for the Human Subjects submission/approval to the UAB Institutional Review Board for Human Use (IRB).
    • Indicate which Clinical Trial Phase applies to your project or No Phase if not applicable (see Clinical Trial phases listed below).
    • Enter the Investigational New Drug (IND) or Investigational Device Exemption (IDE) number, or select N/A if not applicable. Please see the following FDA webpages for more information regarding Investigational New Drug and Investigational Device Exemption applications.
    • Clinical Trial Phases:
      • N/A - If the submission is not a clinical trial, select this option. Otherwise, if the submission is a clinical trial, select one of the phases below or "No Phase" for trials without an associated phase.
      • Phase I - Initial studies to determine the metabolism and pharmacologic actions of drugs in humans, the side effects associated with increasing doses, and to gain early evidence of effectiveness; may include healthy participants and/or patients.
      • Phase I / II - Combination of Phases I and II.
      • Phase II - Controlled clinical studies conducted to evaluate the effectiveness of the drug for a particular indication or indications in patients with the disease or condition under study and to determine the common short-term side effects and risks.
      • Phase II / III - Combination of Phases II and III.
      • Phase III - Expanded controlled and uncontrolled trials after preliminary evidence suggesting effectiveness of the drug has been obtained, and are intended to gather additional information to evaluate the overall benefit-risk relationship of the drug and provide an adequate basis for physician labeling.
      • Phase III / IV - Combination of Phases III and IV.
      • Phase IV - Generally, Post Phase IV research is considered "field research" or "community based research" and is designed to test generalization of the intervention to a larger sample and under typical and variable clinical contexts.
      • No Phase - Select this if the submission is a clinical trial and there are no phases associated with the trial (e.g., a device trial).
24. Requested Project Period Dates - Enter the overall project start and end dates. For industry projects, if a date is not entered, OSP will enter the current date (when keyed into IRAP) as the start date and the end date as one year from the current date. This will be adjusted when the agreement is finalized.
25. Requested Funding - Enter the Direct Costs and Facilities and Administrative (F&A) Costs (also known as Indirect Costs) and total funds requested. Enter the F&A Rate (%), and indicate the applicable F&A Rate Basis in accordance with UAB's current F&A rate agreement.
    • Total Direct Cost (TDC) - F&A calculation methodology with no exclusions. F&A is applied to all direct cost categories.
    • Modified Total Direct Cost (MTDC) - F&A calculation methodology that excludes certain direct cost items. Those items can be found in the rate agreement. MTDC consists of all salaries and wages, fringe benefits, materials, supplies, services, travel and subgrants and subcontracts up to the first $25,000 of each subgrant or subcontract (regardless of the period covered by the subgrant or subcontract). MTDC shall exclude equipment, capital expenditures, charges for patient care, student tuition remission, rental costs of off-site facilities, scholarships, and fellowships as well as the portion of each subgrant or subcontract in excess of $25,000. For more information, please review the UAB Facilities and Administrative Rate Policy (UAB-AD-POL-0000089).
    • Clinical - F&A calculation for clinical trials that meet the requirements for flat 30% rate. See Clinical Trials F&A Costs.
    • Fee for Service - Please see the Facilities and Administrative Rate Policy (UAB-AD-POL-0000089) and the Federally Negotiated and Institutionally Established F&A Rate Table regarding Fee for Service agreements.
    • Notes:
      • Please enter 0.00 if non-sponsor funded.
      • Remember the dollar amount should reflect the new amount/increase and not include any previously awarded amount.
26. Indicate if any F&A (indirect costs) are to be shared with another department (other than the PI's primary appointment). Select Yes or No. If Yes, please complete and attach the Indirect Cost Revenue Redistribution Agreement.
27. Related Agreements - If this project is related to any other agreements, please provide the related document number(s), including the OSP assigned number when required. Indicate if there is a related:
    • Project Master Agreement (PMA) - Provide the PMA number.
    • Study Start-up Agreement (SSA) - Provide the SSA number.
    • Confidentiality Disclosure Agreement (CDA) - Provide the CDA number.
    • Pre-application - Provide the OSP assigned number.
    • Other - Provide the applicable document number. Examples:
      • Material Transfer Agreement (MTA)
      • Non-Sponsor Funded Research Project
28. Export Control - Review the Export Control guidelines and decision tree and before answering this question with a Yes or No. Please visit the UAB Export Control website for more information.
29. Existing Intellectual and/or Tangible Property:
    • Indicate if you will be using any intellectual property in the conduct of the proposed project by selecting Yes (to at least one question in the decision tree) or No (to all questions in the decision tree). If Yes, answer the additional subquestions #29a and #29b.
    • A full and accurate understanding of the intention to use existing intellectual property (i.e., conceived and/or reduced to practice) or tangible property (cell lines, etc.) in the proposed study is essential.
    • Identification of property to be used and ownership rights in such property allows UAB/UABRF’s rights in UAB’s existing property to be protected, ensures that UAB uses property owned by third parties in a manner consistent with existing contractual rights and obligations or identifies circumstances where requests for approval for additional rights and uses should be made, and assists UAB in negotiating contractual terms that are realistic, appropriate to the facts and circumstances of the proposed study and maintain an acceptable risk tolerance.
30. Intellectual Property Declaration - Read the intellectual property/invention(s) certifications and check the one that applies.

Certifications and Signatures - See below for details on required signatures.

The Office of Sponsored Programs (OSP) accepts electronic signatures via Adobe Sign only. For more information regarding Adobe Sign, please visit the UAB eSignature webpage.

• Principal Investigator/Project Director – PI/PD certifications are always required; no “per” signature is allowed.
• Division Director - only if required by the department
• Facility and Planning Signature – required if project involves any renovation. See #11.
• Department Chair - always required
• Dean - required if the project has cost sharing, establishes a new faculty position, requests additional space, or the project is being transferred in or transferred out of UAB.
• Notes regarding multiple individuals designated as Project Director/Principal Investigator (PD/PI):
  • UAB may designate multiple individuals as PD/PI if required by the sponsor or by the program.
  • All PD/PIs must sign the checklist.
  • If you are submitting an NIH multi-PI/PI application, it must include a Leadership Plan, and the PD/PIs must have a role type indicated in the NIH eRA Commons system.
  • NIH grants that do not allow multiple PIs will indicate that in the funding announcement.