Many sponsors are developing and implementing electronic systems which allow institutions to submit proposals through their portals or via email. Each sponsor may impose different registration requirements and procedures. The Sponsored Projects Office (SPO) is responsible for institutional registration and maintaining institutional profiles. Some systems require individual registration which will be handled in accordance with the sponsor’s guidelines.
Contract & Grant Officers (CGO) in SPO are responsible for proposal submission to sponsors. However, some sponsors may require or have the option for PIs to submit proposals directly through the sponsor’s portal or via email. When this option is available and the PI chooses to submit the proposal directly to the sponsor, SPO will provide the authorization letter for submission after reviewing the final version of the complete proposal, regardless whether the authorization letter is required by the sponsor or not. Despite the submission method, every research proposal (requesting extramural funding or no funding) or fellowship application is required to be reviewed and authorized by the Sponsored Projects Office.
Sponsors often require a Pre-proposal, White Paper or Letter of Intent to manage the review process, and then invite for the full proposal submission based on the review decision. Following the general proposal submission guideline, the PI is required to submit a preliminary proposal to SPO if the sponsor requires:
- Institutional authorization; or
- A detailed budget; or
- Agreement to terms and conditions
There may be other forms of preliminary submissions. SPO will review it case by case and handle it in accordance with the sponsor’s guidelines.
Full proposal submission
- A complete Cayuse SP record containing the required proposal documentation listed below will need to be routed through Cayuse a minimum of five (5) working days prior to the sponsor’s due date to receive a full review. The SP record should be fully certified and authorized by all parties before routing it through for review.
- Incoming subaward proposal should follow the due date required by the subaward sponsor, not the prime sponsor. The Cayuse SP record should be routed for review five (5) working days prior to the subaward sponsor’s the due date.
- The Contracts and Grants Officer (CGO) in the Sponsored Projects Office (SPO) will review the proposal documents in Cayuse and provide feedback/comments regarding required revisions according to sponsor’s guidelines and optional/suggested revisions within 48 hours of being routed. Occasionally, 72 hours review time may be needed depending on the volume of the proposals during the high submission period. The PI/RA will respond to the comments and submit the final version of the complete proposal 8 hours prior to the submission deadline. The CGO will confirm that all required revisions are implemented and submit the final proposal.
- All late proposals must receive prior special approval from the Vice Chancellor for Research. This special approval for proposal submission will not be provided if the request is submitted the same day as the proposal submission deadline. VCR special approval will be limited to 1 late proposal submissions per PI per fiscal year.
- After-the-fact proposals will be handled after normal proposal submissions. It will be processed according to the completion date of retro SP record (including all certifications/authorizations).
On time submission: A full review will be conducted by CGO for all SP records received five (5) working days prior to the sponsor’s submission deadline. Proposals receiving a full review will receive priority processing and submission over SP records submitted without the five (5) business day lead time. If the final version of the proposal materials is not provided eight (8) hours prior to the submission deadline, CGO will not perform an additional check to confirm if the required revisions are incorporated into the final proposal. The proposal will be submitted as is.
Late submission: A late submission is considered routing of the SP record and associated required proposal documentation to SPO with less than five (5) working days prior to the submission deadline. The PI/DRA will need to submit a late submission request to the Dean/Director for signature. The request must be approved by the Dean/Director and uploaded in Cayuse at least eight (8) hours prior to the sponsor’s deadline specified in the SP record. CGO will obtain VCR’s approval of the late submission request and review the late proposals only for institutional issues that could create financial, audit and /or policy risks for the University. All other proposal sections will be submitted to the sponsor as is. It is the PI/RA’s responsibility to make sure the proposal is in compliance with sponsor’s requirements. Late proposals will be submitted after the on-time proposals that are due on the same day. Should the later proposal be awarded, CGO may request the PI/RA to provide any missing administrative information/forms at the proposal stage and rebudget as needed before the award can be released.
Required proposal documents in Cayuse:
1. Sponsor’s RFP or Invitation to Submit (in writing)
2. Appropriate Financial Conflict of Interest form
3. Final budget (internal budget template) and budget justification .
4. Required signature form, such as the Multi-campus agreement form, subrecipient commitment form and/or Institutionally authorized letter of commitment.
5. A complete proposal packet in one PDF file (final administrative sections and draft technical sections. No place holders).
6. Other attachments when applicable:
a. Sponsor’s written IDC policy or URL link to their policy if the rate is different than the campus federally negotiated rate. IDC waiver request. An IDC waiver is required for California State agencies whose rate deviates from the rate specified on the UCOP website. The request for a waiver needs to include the information outlined under UCOP Guidance #306 .
b. Exceptional PI status request or approval
c. Subaward documents (Institutionally authorized commitment letter, scope of work, detailed budget and budget justification, any other required documentation for submission.)
d. Consultant commitment letter (charge rate should be included)
e. Cost share back up documentation
f. Late submission request or approval
FCOI forms: https://ucmerced.app.box.com/file/625435957118 .