Route & Submit Proposal

Proposal Review and Submission Guidelines

The Sponsored Projects Office (SPO) is responsible for reviewing and submitting all proposals for extramurally funded projects. Any project that requires SPO involvement is considered a "proposal," including but not limited to a Letter of Intent, Preliminary Proposal, Pre-application, White Paper, Full Proposal or Supplemental Funding request. Per University of California Policy and University Contract and Grant Manual, University employees whose activities utilize any University resources or facilities, must submit their proposals for extramural support through the Sponsored Projects Office. Awards must be made to The Regents of the University of California.

According to the UC Contract and Grant Manual, Contract and Grant Officers (CGOs) are tasked with ensuring that proposals comply with both sponsor requirements and University policies. When a proposal is routed to the CGO for review, they conduct a comprehensive audit of the submission to ensure adherence to these regulations. The objective is to submit proposals that are not only compliant but also present the most competitive versions possible, thereby maximizing the likelihood of securing an award.

Most feedback provided by the CGO is advisory and reflects recommendations based on their interpretation of sponsor requirements. Principal Investigators (PIs) have the discretion to incorporate or disregard these suggestions. However, if a PI chooses to submit the proposal “as-is” without addressing the comments, they assume the risk of rejection due to errors or non-compliance. In cases where there is a clear violation of University policy, the CGO, in consultation with SPO leadership, may halt the submission process. Common reasons for non-submission include, but are not limited to:

• Cost-sharing commitments without proper authorization
• Requests for protected research time (course buyouts) without necessary approvals
• Sponsor requirements that conflict with University policies (e.g., citizenship-based participation restrictions)
• Inclusion of subrecipients without appropriate approvals
• Errors identified in sponsor submission portals that prevent the CGO from successfully submitting the proposal

Cayuse

Cayuse SP is the University’s official repository for proposal and award information. The system is designed to manage research operations and provide a framework to track and report sponsored project activities. The Office of Research and Economic Development manages the life cycle of sponsored projects with Cayuse SP, from pre-award through post-award. All proposals requiring Sponsored Projects Office review and approval must be submitted using Cayuse SP.

Your assigned research administrator is responsible for PI access, record initiation, and data population.

Documents Required in Cayuse

Pre-award Research Administrators (RA) assist with creating Cayuse SP records and preparing proposal packages that meet sponsor and intuitional requirements.

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 forms, 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 placeholders for the administrative sections).

6. Other attachments when applicable (Upload as separate attachments) :

1. 1. International Engagements Disclosure form.  To fulfill the federal government's expectations of institutions receiving federal research funding, UCM must ensure that all Senior/Key Personnel provide complete and accurate information about their international engagements. This obligation extends to federal proposals, including subaward proposals where a federal agency serves as the primary sponsor (collectively referred to as federal proposals). Complying with these federal agency disclosure requirements is crucial for UCM to maintain eligibility for federal research funding. Any personnel considered "Senior/Key Personnel" (including PIs) must complete this form.
   2. IDC policy exception request. Required when a sponsor's policy restricts IDC recovery and the allowable rate is different than the campus's federally negotiated rate. An IDC policy exception request is required for California State agencies whose rate deviates from the UCOP website's rate. The request for a waiver needs to include the information outlined under UCOP Guidance #306.
   3. Exceptional PI status request or approval. Required when the proposed PI does not meet the University’s definition of Principal Investigator.
   4. Subaward documents. Required when the proposed project includes subcontractors. Required documents include the Subrecipient Commitment Form, the scope of work, detailed budget and budget justification, and any other required documentation for submission.
   5. Vendor commitment letter. Required when the proposed project includes work completed by an external vendor (including consultants and contractors). The letter should briefly describe the work to be performed and should include a charge rate and/or total dollar commitment. The letter should be signed by a vendor representative.
   6. Cost share backup documentation. Required when the proposed project includes any type of cost-share commitment. Cost-share letters should clearly state the total commitment ($) and the funding source (FAU). Letters must be signed by the person authorized to commit (generally school deans and ORU directors).
   7. Equipment quotes. Required when the proposed project includes equipment expenditures. Formal quotes from suppliers are preferred (and sometimes required by sponsors), but internet quotes can sometimes be substituted. 

Proposal Submission Deadlines

To further ensure timely and thorough review of proposals, the following submission deadlines must be adhered to:

1. Full Review Deadline: For a proposal to receive a full review, the Cayuse record must be routed, authorized, and certified to a Contract & Grant Officer (CGO) at least five (5) business days before the sponsor’s submission deadline. Proposals routed after this time frame may not receive a full review.
2. Final Submission Deadline:

• The PI must provide the final proposal packet to SPO at least eight (8) business hours before the sponsor's submission deadline. Proposal packets that do not include final versions of all documents by this deadline will not be submitted.
• For proposals that do not meet the 5-business day internal routing/certification deadline, a complete, final proposal packet must be routed and certified through Cayuse at least eight (8) business hours before the sponsor’s submission deadline. Proposals not routed by this deadline will not be submitted.

3.  Late Proposal Submissions: Proposals routed to the CGO and certified with less than five (5) business days, but at least eight (8) business hours before the submission deadline will be marked as “late” in Cayuse. CGOs will perform a limited review 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. For circumstances beyond the control of the PI, the late submission requests will be reviewed case by case and a strong justification is required. The requests are subject to VCR's approval.

Letter of Authorization

Contract & Grant Officers (CGO) have delegated authority and are responsible for proposal submission to sponsors. In most cases, including all Grants.gov, Research.gov, eRA Commons (and most federal agencies) applications, CGO submits the proposal to the intended sponsor electronically. However, some sponsors may require or have the option for Principal Investigators (PI) 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 a Letter of Authorization for submission after reviewing the final version of the complete proposal. A PI must first obtain a Letter of Authorization regardless of whether the sponsor requires the letter. Despite the submission method, every research proposal (requesting extramural support – funded or non-funded) or fellowship application is required to be reviewed and authorized by a CGO in SPO.

Levels of Review

Contract & Grant Officers (CGO) will provide a full review for proposals routed on time (five (5) business days before the submission deadline). Proposals receiving a full review will receive priority processing and submission over late proposals. 

Contract & Grant Officers (CGO) will provide a limited review for proposals routed late (less than five (5) business days before the submission deadline). CGOs will only review 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. Late proposals will be submitted after the on-time proposals that are due the same day. If a late proposal is awarded, CGO may request the PI to provide any missing administrative information or required forms normally collected at the proposal stage. Sometimes a re-budget will be needed before the award can be released.

Summary of Service Levels Table

Preliminary Submission

Sponsors sometimes require a Pre-proposal, White Paper, or Letter of Intent to manage the review process and invite a Principal Investigator (PI) to apply for the full proposal. A 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 types of preliminary submissions. SPO will review each type on a case-by-case basis and process them following the sponsor’s guidelines.

Limited Submission

Limited submission programs restrict the number of proposals, applications, or nominations an institution can submit to a funding agency. These programs require institutions to conduct an internal solicitation and review process in which school deans and directors of organized research units (ORU) nominate pre-proposals for internal review.  A review committee chooses the proposal(s) that will go to the funding agency. If you apply to a limited submission solicitation, you must first obtain written approval from the Office of Research Development (ORD). The proposal selection announcement must be included in the Cayuse proposal record.

For more information regarding the limited submission, please visit ORD’s website, or email them directly (rds@ucmerced.edu).

Proposal Submission FAQ

What if there is no RFP?

In cases where there is no formal RFP or solicitation, the sponsor needs to provide a list of documents they require to consider the proposal for funding. A deadline also needs to be provided so that SPO can plan and organize accordingly. Some documents (e.g., budget and budget justification) are institutional requirements and will need to be provided even if the sponsor has not listed them as required documents.

For incoming subcontracts, the prime sponsor’s RFP/solicitation cannot substitute for the Pass-Through Entity’s (PTE) requirements. The PTE must provide a list of documents they require along with a submission deadline.

The list of required documents and deadline can be provided in an email.

What if the project is not subject to a competitive solicitations process?

 Sometimes, funding opportunities don't follow the usual channels. Instead, a sponsor might directly approach a researcher (PI) based on their expertise, leading to project discussions before any formal paperwork. By the time the pre-award research administrator gets involved, the PI and sponsor may already be nearing the agreement stage.

In these cases, where things started with a conversation, don't skip establishing a Cayuse proposal record. It's still crucial to document everything!

What to Include in the Cayuse Proposal Record:

Gather all the required documents listed in Cayuse, except for the complete proposal packet (requirement 5). Instead, if you have a draft research agreement from the sponsor, attach it to the Cayuse record as an "Award Attachment".

Why it Matters:

Even if things started informally, having a record in Cayuse keeps everything organized and accessible. It ensures all critical steps and documents are captured, facilitating smooth progress from conversation to signed agreement.

The sponsor indicated that no budget is necessary. Do I still need to complete the internal budget?

Some documents (e.g., budget and budget justification) are institutional requirements and will need to be provided even if the sponsor has not listed them as required documents. CGOs will not approve proposals until all institutional requirements have been fulfilled. Many sponsors upon award want to have a financial accounting of how the money is spent, and we need to have a way to capture it.

The sponsor provided their own budget justification template. Do I still need to provide the internal versions?

If the sponsor provides a budget justification template that captures all of the information necessary for the CGO to review institutional issues, the budget justification template does not need to be provided.

I am submitting a proposal or have received an award for a University of California-funded grant. Do I need a Cayuse record? Does my proposal need to be authorized by SPO? Does the award need to be set up by SPO?

The University of California has various research funding programs that support UCM faculty, staff, and students. To determine when the Sponsored Projects Office is required to be involved in UC-funded projects, consider the following: