Increasingly, funding programs sponsored by federal agencies and private foundations place restrictions on the number of applicants from a single institution who are allowed to submit proposals/applications. These limited submission grants or awards require selection/nomination by the applicant’s host institution before proposals/applications can be submitted. At UConn/UConn Health, the selection process for limited submission awards is facilitated by the Office of the Vice President for Research (OVPR), and it is governed by the following guidelines. In order to ensure a fair and competitive selection process, the OVPR requires all investigators interested in limited submission funding to follow this process.

1. Program advertisement: When the OVPR becomes aware of an upcoming limited submission funding opportunity, a request for proposals (RFP) will be released to notify the University community. The RFP will be posted on the OVPR website, sent out via the Storrs Daily Digest and UConn Health Lifeline email digest, and distributed to key grant administrators via listserv. If you become aware of a limited submission opportunity, please check the OVPR website to find out program-specific details and important internal deadline dates. If the opportunity is not yet listed on the website, please send an email to research@uconn.edu describing the program, including a link to the program announcement if possible. The OVPR will announce the program to the wider community, if appropriate, or will give you other instructions regarding how to proceed.
2. General application guidelines: For most limited submissions, a two stage internal competition is held.
   • Stage 1 is the Notification of Intent to Submit (NOI). NOIs are used to determine the level of interest within the UConn/UConn Health community for a given opportunity. If there are more potential applicants than allowed under the program guidelines, the internal competition will proceed to Stage 2. A Notification of Intent to Submit is required for all limited submission RFPs, unless specified in the OVPR announcement. The NOI form is brief, and the information provided is not used in the selection process other than to gauge interest and to help select internal reviewers.  NOIs are submitted through the UConn Quest Portal as of January 2019
   • Stage 2 is the internal review of pre-proposals. If Stage 1 reveals that an internal competition is necessary, all NOI participants will be required to submit a pre-proposal (using the Quest Portal).  We provide general guidelines for pre-proposals (see pre-proposal guideline section below), though the specific requirements can vary from program to program. Please contact the OVPR at research@uconn.edu or 860.486.6378 if you have questions about what is required for a given opportunity. Pre-proposals are reviewed and rated by an ad-hoc faculty committee organized by the OVPR consisting of faculty members experienced in grant submission and familiar with the area of research addressed for a given opportunity. When necessary, external reviewers will be utilized as well. Final selections are made by the Vice President for Research based on the results of the faculty review.
   • All participants will receive notification of the results (and reviewer feedback, when available) at the conclusion of the review. Selected investigators will be given the go-ahead to complete full-length proposals according to sponsor guidelines. Final proposals must be submitted to Sponsored Program Services (SPS) at Storrs or UConn Health for final internal review at least 5 business days before the sponsor’s deadline. SPS will conduct a final review and provide instructions for submitting the proposal to the sponsor.

Contact: For questions about limited submission opportunities or internal reviews, please contact Dr. Matt Mroz, Internal Funding Coordinator, at research@uconn.edu or 860.486.6378.

The Office of the Vice President for Research (OVPR) is aware that for many funding mechanisms, one attempt at submission is not enough.  In order to be successful, PIs must have the opportunity to learn from and respond thoughtfully to reviewer feedback.  Because of this, we recognize the need for the limited submission selection process to strike a balance between allowing previously selected PIs to resubmit and allowing PIs with new projects an opportunity to submit.

Therefore, the OVPR is establishing the following policies to guide review teams and to set expectations for PIs who submit for limited submission opportunities.  While we expect that most competitions will follow these guidelines, please note that the VPR reserves the right to select the applicants that best meet the needs of the University.

Limited Submission Resubmission Guidelines:

1. For mechanisms that allow more than one UConn applicant, each PI that submits to the sponsor will be allowed to resubmit the same project at least one additional time within two years of the original submission without being required to re-compete for a submission slot.
   1. If reviews are provided by the sponsor, resubmission is contingent upon receiving promising feedback.
   2. Applications that are rejected because of missing elements or eligibility questions cannot be resubmitted automatically.
   3. PIs must communicate their desire to resubmit to the OVPR Internal Funding Coordinator in a timely manner.
2. For mechanisms that allow only one UConn applicant, resubmitting applicants must re-compete for a submission slot unless a previously submitting PI receives very strong feedback and contacts the OVPR regarding resubmission before a new internal competition is opened.
3. Limited Submission Awards (those mechanisms that are judged on the PIs record of accomplishment rather than the quality of proposed research), resubmitting applicants must re-compete for a submission slot.
4. Limited Submission applicants that are not chosen through an open competition (i.e. applicants who are nominated by deans, department heads, or other senior administrators) are not guaranteed resubmission.
5. If a Limited Submission program cycle includes resubmitting applicants, the OVPR may allow other strong applicants from that cycle’s internal competition who are not selected the option to submit to the next cycle without competing again.
6. Note: Internal competition notification emails will include language regarding whether resubmission is allowed or not in particular circumstances

If an internal competition is necessary to select applicants for a limited submission opportunity, pre-proposals will be submitted via the UConn Quest Portal.  Unless other instructions are given in the UConn limited submission announcement, pre-proposals should include:

1. Cover page, to include:

• Complete contact information for the applicant
• Sponsor
• Name of program
• Title of project

2. Maximum two-page summary describing the project and demonstrating how it will:

• Fulfill the program/solicitation criteria
• Contribute to meeting the research and/or educational goals of the institution.

3. Maximum two-page budget (if applicable) and budget justification, or summary of costs, including cost sharing commitment required in the solicitation. If a cost sharing commitment is required by the Sponsor, a letter of support is required from the Dean/Department Head as to how this commitment will potentially be achieved.

4. Maximum two-page list of investigators, summarizing credentials and role in the project.  Brief CVs are also acceptable.

5. Optional maximum two-page attachment containing any additional relevant information.  For example, if a proposal is a resubmission, a summary of available comments/reviews can be attached

Please adhere to these guidelines, unless otherwise directed by the OVPR.  Pre-proposals will be reviewed by an internal screening committee with respect to program eligibility and criteria. Reviewers may, or may not, return comments.  Principal Investigators will be notified of approval to submit.

Final proposals are due to the Sponsored Program Services, Storrs or the Office of Research and Sponsored Programs, UConn Health, a minimum of 5 working days prior to the sponsor’s deadline for final review prior to submission.