University of Connecticut University of UC Title Fallback Connecticut

Procedures & Policy

Proposal Review Process

  1. The Sponsored Program Services (SPS) Pre-Award Grant Assistant compiles the proposal materials and date/time stamps as received.
  2. In order of receipt, the SPS Pre-Award Grant Assistant enters the proposal information into InfoEd, prepares a proposal file and forwards to the Pre-Award Specialist.
  3. The SPS Pre-Award Specialist reviews the proposal materials to ensure compliance with institutional and sponsor policies.
  4. When the proposal review has been completed, the SPS Pre-Award Specialist informs the principal investigator and/or department administrator of any changes to be made.  It is the responsibility of the principal investigator and/or department administrator to make the changes.
  5. The SPS Pre-Award Specialist forwards the proposal to the University’s authorized representative for review, approval and signature.
  6. For paper proposals or electronic submissions by the principal investigator, SPS returns the signed forms to the principal investigator or department administrator.  It is the responsibility of the principal investigator or department administrator to submit the final proposal to the sponsor.  A full copy of the proposal should be forwarded to SPS.
  7. For electronic submissions by SPS, the Pre-Award Specialist submits the final proposal to the sponsor.  A full copy of the proposal is filed and is accessible to the principal investigator and department administrator via InfoEd.
  8. The PI and/or department administrator should monitor submission of the proposal through sponsor acceptance of the proposal for review.  This can be done via e-mail from Grants.gov or directly from the sponsor.   If there are errors requiring correction, the PI and/or department administrator makes the necessary corrections and contacts SPS to resubmit.

Proposal Review Requirements

SPS requests that every effort is made to submit your proposal to our office no less than 5 business days prior to the agency deadline.  This allows SPS to review the proposal thoroughly and identify problems that need to be addressed, as well as allow you ample time to finalize the proposal.

All proposals must be routed through SPS for review and approval prior to submitting to the sponsor to ensure compliance with University, Federal, State, and Sponsor policies and procedures.  Pre-proposals that require electronic submission by SPS, the signature of an authorized official or cost share must also be routed through SPS. The routing process is not completed until the authorized official in SPS has signed the proposal.

Submissions made prior to approval from SPS are not officially approved and may be administratively withdrawn if the submission is found to be non-compliant with University or agency requirements. If you have submitted a proposal without SPS review, please notify us immediately so we can work with you to route your proposal for the necessary approvals.

Proposal Submission Requirements

The following should be submitted to SPS 5 business days prior to the sponsor deadline:

  • Completed  Internal Proposal Review Form
  • Proposal Guidelines from Sponsoring Agency
  • Completed Proposal Cover Sheet
  • Draft Proposal Narrative
  • Preliminary Budget and Budget Justification
  • Cost Sharing Details and Approvals, if applicable
  • Approved Scope of Work, Budget, Budget Justification, F&A Rate Agreement and signed Information and Compliance Form for Subrecipients for all subcontractors.
  • Draft electronic application, if applicable (Final applications should be submitted to SPS 2 business days prior to sponsor deadline)

Pre-Proposal Submission Requirements

The following should be submitted to SPS 5 business days prior to the sponsor deadline:

  • Completed 1st page of Internal Proposal Review Form
  • Proposal Guidelines from Sponsoring Agency
  • Completed Proposal Cover Sheet
  • Draft Proposal Narrative
  • Preliminary Budget and Budget Justification, if applicable
  • Cost Sharing Details and Approvals, if applicable
  • Approved Scope of Work, Budget, Budget Justification, F&A Rate Agreement and signed Information and Compliance Form for Subrecipients for all subcontractors, if applicable.
  • Draft electronic application, if applicable (Final applications should be submitted to SPS 2 business days prior to sponsor deadline)

For assistance with preparing your proposal and meeting requirements, please refer to the Proposal Preparation Checklist.

If the proposed research involves the use of human subjects, animal subjects, embryonic stem cells, recombinant DNA, or biohazards, Research Compliance Services can assist you in obtaining appropriate review and approval.

Proposal Submission Due Dates

The following proposal submission due dates allow SPS sufficient time to review the proposal thoroughly, identify necessary corrections and make appropriate recommendations.  The review timeframe allows PIs ample time to finalize the proposal prior to submission to sponsors.

Items Required for Submission to SPS SPS Due Date (# of business days prior to sponsor due date)
Proposal Review Materials for all proposals, including electronic (see Proposal Preparation Checklist for specific requirements) 5 Full Business Days
Final Applications for Electronic Submission (ready to submit) 2 Full Business Days

Five (5) Business Days Prior to the Sponsor Due Date

Forward Proposal Review Materials to SPS for review.

  • The PI/Dept. should forward the proposal review materials to SPS five (5) business days prior to the due date. The proposal materials can be hand delivered, emailed (preaward@uconn.edu), or faxed (860-486-3726).

Two (2) Business Days Prior to the Sponsor Due Date

Release Final Electronic Application to SPS for Submission to the Sponsor.

  • The PI /Dept. should release the final application to SPS two (2) business days prior to the due date for electronic submission to the sponsor. This allows time for final review and for submittal several hours in advance to minimize possible technology problems and maximize time for corrections in response to system errors indicated by Grants.gov (or other electronic systems).

Late Submission for SPS Due Dates

If proposal materials are not received in SPS by the internal due dates, the proposal is considered late. The proposal is added to the queue and is processed in the order it was received. The PI assumes the risk that there may be insufficient time for adequate proposal review, that he/she may need to correct errors in the electronic submission, and that the sponsor deadline may be missed.

 Proposal Submission on Days that the University has an Unscheduled Closing Due to Inclement Weather

When the University is closed due to inclement weather in accordance with the University’s Emergency Closing Policy, the Pre-Award Team is available to submit proposals due that day. It is at the discretion of the PI whether or not to submit or seek an extension from the sponsor as the University is closed.   Please copy preaward@uconn.edu on the extension request, if applicable.  Generally, the decision to accept a late submission is made by the sponsor on a case by case basis.  Please refer to the sponsor’s specific policies on late submissions due to inclement weather.

Proposal Responsibilities

The development and assembly of the various components of the proposal as well as complying with sponsor and institutional requirements is a shared relationship between the Principal Investigator, their academic unit and Dean’s office, and the Sponsored Program Services. The following chart summarizes the distribution of responsibilities.

 

Proposal Preparation Responsibility

PI/Dept.

Dept. Head/ Dean/ Director/ VPR

SPS

Identifies appropriate funding opportunities

X

Reads proposal solicitation for requirements

X

Prepares full proposal as required by the sponsor (including all sponsor required forms)

X

Requests and documents approval and certification for Cost Share

X

X

Completes Internal Proposal Review form (IPR) and Cost Share Approval form as appropriate and routes form(s) for signatures

X

Completes significant financial interest disclosure form (SFID) and routes to Pre-Award Services

X

Develops budget and justification to accomplish proposed scope of work

X

Provides initial proposal elements to SPS no later than 5 business days in advance of sponsor deadline (minimum requirements to initiate review: Completed internal forms, proposal guidelines, itemized budget, detailed budget justification)

X

Revises and corrects proposal after SPS review; provides revised/corrected documents to Pre-Award Services

X

Works with the Purchasing Office to develop Small Business/Minority Subcontracting Plan if required

X

 

Review and Approval Responsibility

PI/Dept.

Dept. Head/ Dean/ Director/ VPR

SPS

Assures proposed project is appropriate and consistent with departmental and institutional mission

X

Assures proposed project has qualified personnel and adequate space

X

Indicates approval of draft proposal by signing IPRF Certifications

X

Approves and certifies Cost Share for the Department, School or College

X

Reviews IPRF for content and completion

X

Reviews SFID and forwards for further inquiry/action if appropriate

X

Evaluates and approves required and voluntary Cost Share for the University

X

Reviews budget for appropriate Salaries, Fringe Benefits, Tuition, Indirect/F&A, and projected escalations; checks calculations for accuracy

X

Reviews initial proposal elements and requests outstanding documents

X

Reviews proposal for compliance with sponsor requirements and provides feedback

X

Approves proposal, serves as authorized signatory and institutional representative

X

 

Submission and Post-Submission Responsibility

PI/Dept.

Dept. Head/ Dean/ Director/ VPR

SPS

Submits approved hardcopy (paper) proposal to sponsor. Submits approved electronic proposal if sponsor allows e-submisson by PI/Dept.

X

Submits approved electronic proposal to sponsor if sponsor requires e-submission by institutional representative

X

Submits Small Business/Minority Subcontracting Plan

X

Maintains proposal pending files and database

X

Prepares Post-Submission Sponsor Request materials (Just-In-Time information, revised budgets, additional forms, etc.) and submits to SPS

X

Reviews Post-Submission Sponsor Request materials, provides feedback, submits final materials to sponsor

X

 

Revised  3/15/11