General

Continuing Professional Education (CPE) activities that are supported by external entities can be contracted through one of three central administrative offices, University Contracts, the Office of Development or Office of Sponsored Programs. This procedure covers the submissions that are appropriate for the Office of Sponsored Programs (OSP) as dictated by the terms and conditions in the underlying contract. If the underlying contract stipulates an audit requirement, a return of funds or an exchange then the request for support and any derivative contract should be administered by OSP.

CPE submissions generally are a two-step process consisting of (1) proposal review, prior to submission and (2) contract review, after notification of funding and prior to award. Proposals for submission to external entities should be reviewed by OSP prior to submission to the external entity, in conjunction with UAB’s Internal Proposal Deadlines.

NOTE: In some limited instances by submitting the proposal via an online process UAB agrees to the terms and conditions associated with the external entities grant program. It is essential that these be reviewed and approved prior to submission to the external entity, see “All terms and conditions” below. UAB’s Division of Continuing Medical Education requires submission of an application for accreditation a minimum of ninety (90) days before the scheduled activity.

Contracts that fall under the purview of OSP are subject to UAB's DHHS Colleges and Universities Rate Agreement. For this purpose and in conjunction with the Uniform Guidance these activities are designated as Other Sponsored Activities (OSA) and depending on the location would be assessed a F&A rate of 36% for on-campus or 26% for off-campus, both on a MTDC basis. In accordance with policy the applicable F&A rate will be applied unless an exception is granted by the Vice President for Research. In a March 31, 2010 Memorandum to the Deans, Department Chairs and Continuing Education Offices such an exception was granted for CPE submissions. CPE activities meeting the following criteria will be assessed a flat 10% CPE IDC rate:

1. The department is direct charged for the use of conference/training facilities, irrespective of activity location.
2. The contract requires limited financial accountability.
3. Sponsor will not direct or place conditions on the program or its content.
4. The CPE course is accredited.
5. Sponsor agrees not to use UAB’s name without consent.
6. The appropriate Dean indicates acceptance of the modified IDC rate by signing the Extramural Checklist. No Per Signatures Will Be Accepted.

When submitting a proposal for a request for funding of a CPE the university should be identified by our correct legal entity name: The Board of Trustees of The University of Alabama for The University of Alabama at Birmingham.

OSP Personnel

Signing Authority

A limited number of individuals have been given the authority to sign for The Board of Trustees, for these submissions that individual should be identified as the current AVP:

Michael A. Matthews, Interim Associate Vice President
Research Business Operations
205.934.5266
This email address is being protected from spambots. You need JavaScript enabled to view it.

Point of Contact

Neither departmental personnel nor the Principal Investigator shall sign (including electronic submission whereby you certify you have the authority to bind the university) on behalf of the university or accept any of the sponsor’s “Terms and Conditions” or Letters of Agreement via an online or electronic process, without prior approval from OSP. Any terms and conditions that bind the university are subject to prior review and approval by OSP and UAB’s Office of Counsel.

Terms and Conditions

All terms and conditions associated with a submission through OSP must be reviewed by OSP prior to acceptance. If terms and conditions are presented at the point of submission of the application, then the terms and conditions MUST be submitted to OSP along with an Extramural Checklist in accordance with UAB’s Internal Proposal Guidelines and receive approval prior to submitting to the external entity. Once you are notified that a CPE funding request has been awarded please provide OSP with the required documents including (1) a copy of the electronic terms or contract or (2) concise instructions on how to access the terms online. OSP will review the terms and advise if they can be accepted.

Required Documents

Upon Proposal Submission:

Required Documents Search Tool

1. UAB Extramural Checklist (signed by the Dean) including contact information for the external entity
2. Responsible Personnel List (RPL)
3. Certification from appropriate CPE office (e.g. CME) or confirmation of receipt of your application submitted to the appropriate CPE office
4. Proposal and all documentation required by the commercial sponsor, in the event that II (a) (v to vii) is not required by the commercial sponsor in the proposal then include them for consideration by OSP in conjunction with your proposal
5. Description of event
6. Other supporting documentation for the event
7. Budget
8. Sponsor’s terms and condition
9. If an online submission, the link to the grant program

Upon Award/Agreement Notification:

1. Forward the notification of funding and any accompanying documentation or requests from the external entity to This email address is being protected from spambots. You need JavaScript enabled to view it.. It is imperative that you include the identifying Proposal number assigned to the submission when it was reviewed by OSP
2. UAB Extramural Checklist (signed by the Dean) including contact information for the external entity
3. Responsible Personnel List (RPL)
4. An editable version (WORD) of the Letter of Award or Funding Agreement
5. Proposal and all supporting documentation submitted to the commercial sponsor
6. Approval letter from appropriate CPE office (e.g. CME)
7. Description of event
8. Final Budget

NOTE: See also our CPE F&A page.