ORS Form 5 – Proposal Coordination Record

Basic Instructions

Additional definitions, clarification and information that may be helpful to understand and complete the ORS Form 5 are documented in ORS Form 5 Expanded Instructions on the ORS Website at http://www.hawaii.edu/ors/

Page	ID	Section Name	Basic Instructions
1	A	Proposal Deadline	Choose one of the three (3) drop-down options: 1) Pick-up Date, 2) Electronic Submission by, or 3) Open (no submission deadline). In the text box to the right of the drop-down box, enter the applicable date. The proposal is due to ORS at least five (5) days prior to this date. For additional information, see ORS Proposal Submission Requirements for PIs.
1	B	Contact Information	Provide all of the contact information requested. PIs must be Board of Regents appointees in good standing. Check the appropriate box (yes/no) to indicate whether there will be Multiple Principal Investigator(s). If yes, submit a completed ORS Form 5c. Not all sponsors allow Multiple Principal Investigators; check this sponsor’s policies. For information on NIH policies on multiple PIs: http://grants.nih.gov/grants/multi_pi/
1	C	Proposal Title	In the text box, write the complete title using up to 150 characters. If funded, ORS will use this exact title for reporting and administrative purposes. Proposal to be submitted to: Name the entity that will make the award directly to UH. This entity may be different from the entity that is the “originating” source of funds. Prime funding agency: Name the entity from which the funds will originate. Provide NSF information, as applicable.
1	C	Proposal Type	Select among the five (5) types of proposals listed in the drop-down menu: 1) New – first time submitted to this sponsor. (Complete the Initial Proposal section of the table); 2) Revised, including: a) Revised proposal (Enter same values in Initial Proposal section as earlier submission; enter proposed revised values in Subsequent Proposals section). b) Revised award (Enter dates of original award in Initial Proposal section; enter proposed revised 1^st year values in Subsequent Proposals section; enter cumulative periods and totals). 3) Continuation – continuation of an existing award. (Enter dates of original award in Initial Proposal section; enter the period and amount for the proposed continuation in the first row of Subsequent Proposals section; enter the combined period and amount in the final row.) NEW: For NIH non-competing continuation requests, ORS has developed a new form (ORS Form 8). Its purpose is to reduce the administrative requirements for PIs. ORS Form 8 replaces ORS Form 5 for most NIH non-competing continuation requests. ORS Form 8 (Link); ORS Form 8 Instructions (Link) 4) Renewal – proposal for next competitive funding cycle. (Follow instructions above for Continuation.) 5) Supplemental -- proposal to add work and budget to an existing award. (Follow instructions above for Continuation.) Note 1: Completion of the Initial Proposal section is required for all Form 5 submissions. Note 2: Enter the award number or ORS number for the award, as applicable. For further information, see ORS Form 5 Expanded Instructions.
1	C	Proposed Activity	Choose among six (6) drop-down options: 1) Research & Development, 2) Training, 3) Other Sponsored Activity, 4) Facilities Construction/Renovation, 5) Equipment/Instrumentation, or 6) Operations of Research Facilities. If your proposal does not fit within any of these categories, it is possible that it should not be submitted through ORS. Consult [URL for “Summary of Authority” table] For further information, see ORS Form 5 Expanded Instructions.
1	C	Location	On-Campus location: Identify the campus and building names, addresses and room numbers of all UH-owned or operated buildings or facilities in which the project will be conducted. Off-Campus location: Identify by building name and address all locations where work will be performed by UH personnel in space provided and operated by the sponsor or a third party (UH does not provide operations or maintenance support). Check the box to indicate that UH personnel will work in a sponsor’s facility.
1	C	Indirect Cost Rate & Base	Rate: Provide the UH approved Indirect Cost (F & A) Rate. A rate lower than the UH approved rate must be accompanied by a written waiver from the UH campus chancellor. Documentation from the sponsor explaining its rate limit (i.e., published sponsor rate policy) will also be accepted. Current UH rates are at: http://www.hawaii.edu/ors/rates.htm Base: When UH rate is used, select 20 Modified Total Dir Cost; when UH rate has been waived, select 10 Total Direct Costs; if neither apply, choose among other bases listed, as applicable.
1	C	Scope / Description of Work	In layman’s terms, describe the scope of work in 50 words or fewer. Do not use acronyms or abbreviations.
1	D 1-3	PI Certifications: Commitments	Check all boxes that apply, and append required documentation. For further information, see ORS Form 5 Expanded Instructions.
1	E 1-2	PI Certifications: Conflict of Interest	Check boxes that apply. If potential conflict of interest exists or if funds originate from NSF or PHS (includes NIH), complete Form 5b. For further information, see ORS Form 5 Expanded Instructions.
2	F 1-7	Other Certifications	Numbers one (1) through seven (7) apply to important compliance requirements. Federal regulations and UH policies apply. If you are not confident of the correct answer, contact the appropriate compliance office. Check all boxes that apply. Funds provided through awards that result from this proposal will be accessible to PIs only after compliance requirements are met. Forward your compliance certifications to ORS. For further information, see ORS Form 5 Expanded Instructions.
2	F-8	Intellectual Property	For further information, see ORS Form 5 Expanded Instructions.
2	F-9	Publication	For further information, see ORS Form 5 Expanded Instructions.
2	F-10	Background Intellectual Property	If the proposal involves use of pre-existing intellectual property (IP), including IP developed in other projects, identify the IP and its original source of funding on a separate sheet. Submit this documentation to ORS with your proposal.
2	G	Attachments	Check all boxes that apply.
2	H 1-6	Certifications, Signatures, and Approvals	Original signatures are required (no “per” signatures are allowed). For further information, see ORS Form 5 Expanded Instructions.