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Frequently Asked Questions

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Frequently Asked Questions

All faculty (tenured, tenure-track, research and clinical) are eligible to be Principal Investigators. Others requesting to submit proposals please refer to the eligibility policy UW R-08.

The following items are required at the beginning of the grant application process:
Grant Request Form
COI Disclosure Form
CITI Trainings: 1) Responsible Conduct of Research
                      2) Financial Conflict of Interest

*For more information and assistance on these prerequisites, please contact April Bridges in OSP at

All proposals to external funding agencies must be reviewed and authorized by OSP before they can be submitted to a Sponsor, regardless if the Sponsor requires a signature.

Can I still submit a proposal if the sponsor prohibits or limits the indirect costs?
Yes, OSP will adhere to all written sponsor specific guidelines.

It depends on if the sponsor requires a budget and/or business official/authorized signature. Please reach out to any OSP research administrator for assistance in determination.

Please contact any administrator in OSP to get registered or for more information.

The sponsor guidelines will indicate whether approval prior to submission of your proposal is necessary. If so, please contact the Chief Compliance Officer, Michelle Saya, at or visit the IRBs page.

Please inform your OSP administrator as soon as you are able when including a subrecipient on your grant. Provide the contact information for your collaborator at the participating institution. OSP will communicate the required sub documents and due date for receipt.

The OSP administrator will work with the PI and/or support staff directly with the criteria set forth below to make the appropriate determination:

A subrecipient relationship is appropriate when:
· Substantive, programmatic work or an important or significant portion of the research program or project is being undertaken by the other entity.
· The research program or project is within the research objectives of the entity.
· The entity participates in a creative way in designing and/or conducting the research.
· The entity retains some element of programmatic control and discretion over how the work is carried out.
· The entity commits to a good faith effort to complete the design or conduct of the research.
· The entity makes independent decisions regarding how to implement the requested activities.
· A principal investigator has been identified at the entity and functions as a “Co-Investigator”.
· There is the expectation that the entity will retain ownership rights in potentially patentable or copyrightable technology or products that it produces in the course of fulfilling its scope of work.
· Publications may be created or co-authored at the entity.

Sub-agreements should have a detailed scope of work and a budget that specifies salary, fringe, supplies, and other direct costs, as well as appropriate F&A costs consistent with the subrecipient’s indirect cost rate. Terms and conditions from a prime award are typically imposed on the subrecipient to the same degree that they are imposed on Upstate Medical University as the prime recipient.

Contractor (Vendor)
A contractor (vendor) relationship (including that of an individual acting as a vendor of consulting services) is appropriate when:
· The entity is providing specified services in support of the research program.
· The entity has not significantly participated in the design of the research itself, but is
· implementing the research plan of the Upstate investigator.
· The entity is not directly responsible to the sponsor for the research or for determining research results.
· The entity markets its services to a range of customers, including those in non-academic fields.
· Little or no independent decision-making is involved in the design and conduct of the research work being completed.
· The agreement only specifies the type of goods/services provided and the associated costs.
· The entity commits to deliverable goods or services, which if not satisfactorily completed will result in nonpayment or requirement to redo deliverables.
· The entity does not expect to have its employees or executives credited as co-authors on papers that emerge from the research.
· The expectation is that the work will not result in patentable or copyrightable technology or products that would be owned by the entity.

In the case of an individual vendor of consulting services, the person has no employment relationship with Upstate Medical, either academic or administrative in nature.

Yes, if the sponsor has a written policy referencing limited or no F&A allowable on the budget, Upstate will adhere to the sponsor’s policy.

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