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<p class=MsoNormal><font size=2 face=Arial><span style='font-size:11.0pt'>The National
Institutes of Health (NIH) recently issued several notices regarding a business
process change and its impact on NIH applications, procedures and systems.
The information below summarizes the business process change and its impact,
including how UCR will comply with new requirements resulting from the
change. The individual NIH Guide Notices that communicated the business
process change and its impact on other aspects of NIH procedure, forms and
systems appear in the <a href="http://or.ucr.edu/">News section of the Office of
Research website</a>.<o:p></o:p></span></font></p>
<p class=MsoNormal><font size=2 face=Arial><span style='font-size:11.0pt'><o:p> </o:p></span></font></p>
<p class=MsoNormal><font size=2 face=Arial><span style='font-size:11.0pt'>Questions
regarding the business process change and its impact on NIH and UCR procedures
should be directed to the <a href="http://or.ucr.edu/home/Staff.aspx?t=3">Contract
and Grant Officer assigned to your unit</a>.<o:p></o:p></span></font></p>
<p class=MsoNormal><font size=2 face=Arial><span style='font-size:11.0pt'><o:p> </o:p></span></font></p>
<p class=MsoNormal><b><u><font size=2 face=Arial><span style='font-size:11.0pt;
font-weight:bold'>Business Process Change<o:p></o:p></span></font></u></b></p>
<p class=MsoNormal><font size=2 face=Arial><span style='font-size:11.0pt'><o:p> </o:p></span></font></p>
<p class=MsoNormal><font size=2 face=Arial><span style='font-size:11.0pt'>Effective
May 10, 2006, the signature of the Principal Investigator (PI) will no longer
be required as part of applications, post-submission information, progress
reports, and post-award prior approval requests. Although the signature
is no longer required, UCR must still obtain and retain a <u>dated</u>
assurance from PIs and Co-PIs and must make such assurances available to the
NIH upon request. UCR’s implementation of this requirement is
discussed in the following sections.<o:p></o:p></span></font></p>
<p class=MsoNormal><font size=2 face=Arial><span style='font-size:11.0pt'><o:p> </o:p></span></font></p>
<p class=MsoNormal><b><u><font size=2 face=Arial><span style='font-size:11.0pt;
font-weight:bold'>PHS 398 Applications<o:p></o:p></span></font></u></b></p>
<p class=MsoNormal><font size=2 face=Arial><span style='font-size:11.0pt'> <o:p></o:p></span></font></p>
<p class=MsoNormal><font size=2 face=Arial><span style='font-size:11.0pt'>Effective
May 10, 2006, grantees must use revised the PHS398 application forms (dated
rev. 04/06) and instructions those funding mechanisms that utilize the PHS398
paper application. After this date, applications submitted using previous
versions of form pages that have been updated, may be delayed in the review
process.<o:p></o:p></span></font></p>
<p class=MsoNormal><font size=2 face=Arial><span style='font-size:11.0pt'><o:p> </o:p></span></font></p>
<p class=MsoNormal><font size=2 face=Arial><span style='font-size:11.0pt'>The revised
PHS398 application forms incorporate a number of business process changes that
have been implemented since the publication of the 9/2004 revision, including
eliminating the PI signature and implementing the grantee requirement to obtain
and retain a <u>dated</u> assurance from PIs and Co-PIs. To ensure
UCR’s ability to comply with this requirement, the Office of Research
(OR) has revised the Campus Approval Form (CAF) to include the required
assurance. The revised CAF may be obtained from the <a
href="http://or.ucr.edu/home/Forms.aspx">OR website</a>. Please note that
effective May 10, OR will not accept prior versions of the CAF.<o:p></o:p></span></font></p>
<p class=MsoNormal><font size=2 face=Arial><span style='font-size:11.0pt'><o:p> </o:p></span></font></p>
<p class=MsoNormal><b><u><font size=2 face=Arial><span style='font-size:11.0pt;
font-weight:bold'>Applications Submitted Through Grants.gov <o:p></o:p></span></font></u></b></p>
<p class=MsoNormal><font size=2 face=Arial><span style='font-size:11.0pt'> <o:p></o:p></span></font></p>
<p class=MsoNormal><font size=2 face=Arial><span style='font-size:11.0pt'>Due
to the business practice change, applications submitted via Grants.gov after
May 10, 2006, will no longer require the use of the NIH eRA Commons to perform the
validation process. As a result, UCR will obtain PI and Co-PI assurances through
the revised CAF noted in the PHS398 Applications sections above. It is
important to note that applications submitted via Grants.gov will still be made
available for review by the PI in the NIH eRA Commons within 48 hours.
However, no further action is required unless the PI would like to reject the
application and resubmit. <o:p></o:p></span></font></p>
<p class=MsoNormal><font size=2 face=Arial><span style='font-size:11.0pt'><o:p> </o:p></span></font></p>
<p class=MsoNormal><b><u><font size=2 face=Arial><span style='font-size:11.0pt;
font-weight:bold'>Annual Progress Reports Using the PHS2590 Set of Forms<o:p></o:p></span></font></u></b></p>
<p class=MsoNormal><font size=2 face=Arial><span style='font-size:11.0pt'> <o:p></o:p></span></font></p>
<p class=MsoNormal><font size=2 face=Arial><span style='font-size:11.0pt'>Effective
June 1, 2006, grantees choosing to submit progress reports using the paper
PHS2590 must use the revised forms (dated rev. 04/06). After this date,
applications submitted using previous versions of form pages that have been
updated, may be delayed in the review process.<o:p></o:p></span></font></p>
<p class=MsoNormal><font size=2 face=Arial><span style='font-size:11.0pt'><o:p> </o:p></span></font></p>
<p class=MsoNormal><font size=2 face=Arial><span style='font-size:11.0pt'>The revised
PHS2590 application forms incorporate a number of business process changes that
have been implemented since the publication of the 9/2004 revision, including
eliminating the PI signature and implementing the grantee requirement to obtain
and retain a <u>dated</u> assurance from PIs and Co-PIs. To ensure
UCR’s ability to comply with this requirement, PIs and Co-PIs who
choose to use the PHS2590 forms to submit annual progress reports must provide
the OR with an assurance, in hard copy (signed and dated) or e-mail (provided
the e-mail comes directly from the PI and Co-PIs via a unique e-mail address).
The text of the assurance must read as follows:<o:p></o:p></span></font></p>
<p class=MsoNormal><font size=2 face=Arial><span style='font-size:11.0pt'><o:p> </o:p></span></font></p>
<p class=MsoNormal><font size=2 face=Arial><span style='font-size:11.0pt'>“I,
(enter PI name), certify for the project entitled (enter project title) (1)
that the information submitted within the application is true, complete and
accurate to the best of the my knowledge; (2) that any false, fictitious, or
fraudulent statements or claims may subject me to criminal, civil, or
administrative penalties; and (3) I agree to accept responsibility for the
scientific conduct of the project and to provide the required progress reports
if a grant is awarded as a result of the application.”<o:p></o:p></span></font></p>
<p class=MsoNormal><font size=2 face=Arial><span style='font-size:11.0pt'><o:p> </o:p></span></font></p>
<p class=MsoNormal><b><u><font size=2 face=Arial><span style='font-size:11.0pt;
font-weight:bold'>Post-Submission Information<o:p></o:p></span></font></u></b></p>
<p class=MsoNormal><font size=2 face=Arial><span style='font-size:11.0pt'><o:p> </o:p></span></font></p>
<p class=MsoNormal><font size=2 face=Arial><span style='font-size:11.0pt'>The
business process change also applies to post-submission information (e.g.,
revised budgets, additional information requested by NIH related to an
application, submission of just-in-time information, etc.). The
submission of such information and documents must be coordinated through the OR,
via the <a href="http://or.ucr.edu/home/Staff.aspx?t=3">Contract and Grant
Officer assigned to your unit</a>, and be accompanied by a hard-copy (signed
and dated) or e-mail assurance (provided the e-mail comes directly from the PI
and Co-PIs via a unique e-mail campus address). The wording of the
assurance must be the same as the one noted in the Annual Progress Reports
section above.<o:p></o:p></span></font></p>
<p class=MsoNormal><font size=2 face=Arial><span style='font-size:11.0pt'><o:p> </o:p></span></font></p>
<p class=MsoNormal><b><u><font size=2 face=Arial><span style='font-size:11.0pt;
font-weight:bold'>Prior Approval Requests<o:p></o:p></span></font></u></b></p>
<p class=MsoNormal><font size=2 face=Arial><span style='font-size:11.0pt'> <o:p></o:p></span></font></p>
<p class=MsoNormal><font size=2 face=Arial><span style='font-size:11.0pt'>The
business process change also applies to prior approval requests. The
submission of such requests must be coordinated through the OR, via the <a
href="http://or.ucr.edu/home/Staff.aspx?t=3">Contract and Grant Officer
assigned to your unit</a>. Prior approval requests must be accompanied by
a hard-copy (signed and dated) or e-mail assurance (provided the e-mail comes
directly from the PI and Co-PIs via a unique e-mail campus address). The
wording of the assurance must be the same as the one noted in the Annual
Progress Reports section above.<o:p></o:p></span></font></p>
<p class=MsoNormal><font size=2 face=Arial><span style='font-size:11.0pt'><o:p> </o:p></span></font></p>
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