uconn

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 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 uploaded 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

All administrative components of a proposal are due to SPS no later than 5 business days prior to the agency deadline and all scientific components (submission-ready proposal)  are due to SPS by noon the day before the sponsor deadline.  This is in accordance with the Proposal Submission Policy and Due Dates.  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.

See Proposal Submission Policy and Due Dates

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 be routed through SPS.  If a detailed budget is a requirement of the pre-proposal, it is recommended that the pre-proposal is also 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 (Reminder: Due date must be entered or write “No Due Date” if there is no due date)
  • Proposal Guidelines from Sponsoring Agency
  • Completed Proposal Cover Sheet
  • Draft of Proposal Science Documents (i.e. summary, narrative, references)
  • Budget and Budget Justification
  • Cost Sharing Details and Approvals, if applicable
  • Subrecipients:  Approved Scope of Work, Budget, Budget Justification, F&A Rate Agreement and signed Information and Compliance Form
  • Completed Electronic application, if applicable (final science documents should be provided 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 Internal Proposal Review Form (signatures not required)
  • Proposal Guidelines from Sponsoring Agency
  • Completed Proposal Cover Sheet
  • Draft of Proposal Science (i.e. summary, narrative, references)
  • 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.
  • Electronic application, if applicable (final science documents should be provided 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
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 Electronic Application with final Science Documents 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 online Financial Conflict of Interest Disclosure (FCOI) and annual updates

X
Develops budget and justification to accomplish proposed scope of work

X
Provides proposal elements to SPS no later than 5 business days in advance of sponsor deadline

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

X
Works with the Purchasing Dept. 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 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  11/08/19

Limited Submission Policies

Limited Submission Process Overview

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.

Limited Submission Resubmission Policy

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

Limited Submission Pre-proposal Guidelines

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.

Budgeting & Costing

General Cost Principles

The proposal budget is the financial plan of action that reflects the costs required to perform the proposed work statement.  The following information has been prepared to help you develop your budget plan.  See the links at left for specific information on Salaries, Fringe Benefits, Indirect Costs, and other budget categories.

It is important to demonstrate that the budget proposed is reasonable.  A budget justification should be submitted in order to allow each budget item to be explained relative to the proposed research.  The specifics of the sponsoring agency’s budgetary guidelines should be followed carefully.  Budgets should be prepared for the entire proposed project. Both direct and indirect costs should be identified in the budget. The following categories are generally included in the preparation of a proposal budget.

Sponsor budget requirements vary considerably, depending on the sponsor and type of proposal. Cost principles specified in the Office of Management and Budget (OMB) Uniform Grant Guidance are used to describe the cost principles for all sponsored agreements at the University of Connecticut. The tests for appropriateness under these principles are:

  • Reasonableness – A cost may be considered reasonable if the nature of the expenditure and the amount involved reflects the action that a prudent person would take under the circumstances.
  • Allocability – A cost is allocable if it is beneficial to the project.
  • Allowability – Costs must be allowed in accordance with the Uniform Grant Guidance and the terms of the sponsored agreement.
  • Consistency – Costs incurred for the same purpose in like circumstances must be treated consistently as either direct or indirect costs, and the method used to estimate, record, and report costs must be consistent as well.  See the table below for a description of how costs should be treated.

Budget Categories

Salaries and Wages

List all personnel, including the names, roles, how many months, or the percent of effort that will be devoted to the project. Information on salaries, rates, and recommended escalation can be found on the Salaries page (linked at left).  Additional information about salary classifications and compensation can be found at the Human Resources or Payroll websites.  The NIH Guidelines for Salary Limitation on grants should be adhered to when calculating faculty salaries for NIH submissions.

Fringe Benefits

The fringe benefit rates should reflect the current rate schedule for the employment category being proposed. Information on fringe benefit rates can be found on the Fringe Benefits page (linked at left)

Other Direct Costs

The Other Direct Costs (or Other Costs) budget category includes those costs that are not appropriately included in other cost categories, or as required by the sponsor’s budget form. Generally, such costs include animal per diem costs (the cost of animals should be listed as a supply), human subject honoraria, publication charges, subawards, computer time, maintenance and other service agreements/charges, space rental, consultants, alterations or renovations, equipment rental, etc. Please see the SPS Other Direct Costs page for more information on many of these categories.

Indirect Costs

Direct costs are those costs that can be specifically identified with a particular sponsored activity, and can be assigned to an activity relatively easily and with a high degree of accuracy. Indirect costs are those costs that are incurred for common or joint objectives and therefore cannot be identified readily and specifically with a particular sponsored project. The recovery of indirect costs reimburses UConn for actual costs incurred by support functions to sponsored research programs at the University.  In addition, a portion of this money from research grants goes to the Research Council to be used for research incentive funds, grant programs for faculty and graduate students, and to meet cost sharing requirements for large equipment purchases. The University negotiates its rate, which is based on Modified Total Direct Costs (MTDC), with the Department of Health & Human Services.  UConn’s negotiated rate agreement can be found under Frequently Requested Information, along with the name, address, and point  of our Cognizant Agency. Additional information about the application of the indirect cost rate can be found on the SPS Indirect Costs page.

It is the policy of the University to collect full indirect costs at the federally negotiated rates from all funding sources whenever possible.  Occasionally, sponsors may specify an indirect cost policy inconsistent with the University’s negotiated rate, and budgets should be prepared using the sponsor rate. Only the Office of the Vice President for Research has the authority to accept a reimbursement rate other than the negotiated rate.

Consistent Treatment

Costs must be treated consistently.  Consistent treatment means that similar costs must be treated uniformly in the same manner as either a direct cost or as indirect costs.  Certain types of costs, such as the salaries of administrative and clerical staff, office supplies, and postage are normally treated as indirect costs; therefore, the same types of costs cannot be charged directly to federally sponsored agreements.

The OVPR SPS reviews the appropriateness of costs to determine if they qualify as direct costs. Exceptions (allowing costs listed in the Indirect Cost column as direct costs) are rare and are reviewed on a case-by- case basis by the OVPR SPS. Exceptions may occur when:

  • The program is a large complex project such as a center project that involves assembling and managing teams of investigators from a large number of institutions or units.
  • The project involves extensive data collection, analysis and entry, surveying, tabulation, cataloging, searching literature, or reporting.
  • The project requires coordinating travel and meeting arrangements for a large number of program participants, patients or subjects; or for conferences or seminars.
  • A project where the principal focus is the preparation and production of manuals, large reports, books or monographs (excluding routine progress and technical reports).
  • The project is off campus and does not have access to normal department administrative services.

Nonrecoverable (Unallowable) Costs

Expenditures that cannot, by federal regulation (Uniform Grant Guidance) be reimbursed, either in whole or in part, from the federal government are considered non-recoverable (unallowable) costs. When preparing a budget, the following costs are considered non-recoverable and should not be included in your proposal budget. Please consult with Sponsored Program Services if you have questions regarding these items.

  • Alcoholic beverages
  • Alumni activities
  • Bad debts
  • Commencement and convocation costs
  • Donations and contributions
  • Development/fundraising costs
  • Entertainment costs
  • Employee morale
  • Excessive employment recruitment costs
  • Fines and penalties
  • Goods or services for personal use
  • Housing and personal living expenses
  • Investment management costs
  • Lobbying costs
  • Memberships
  • Moving costs
  • Student activity costs
  • Travel costs in excess of commercial coach airfare

07/24/2025

Research IT eRA Help Desk

Research IT Services in the Office of the Vice President for Research supports a wide array of services and is a key player in shaping the future of research at the University of Connecticut including UConn Health.

We have embarked on a bold initiative to modernize and boost our portfolio of software solutions in an effort to reduce the administrative burdens on our researchers and make it easier for them to access and monitor their research activity and information.

A full suite of enterprise applications will provide a template for grant proposal development, automate routing and allow for electronic submission to certain sponsors. In addition, it will provide functionality for awards management; human and animal subjects protocol development and review; financial conflict of interest disclosures; effort reporting and commitment management; and core facility management (research store).

eRA Help Desk

We have coined our initiative to modernize our Enterprise Research IT systems and automate research administration functions the Electronic Research Administration, or eRA. We have created the eRA Help Desk to assist you with your questions and technical problems. The Help Desk contact info is listed below.

 

eRA Help DeskeRA Help Desk

Telephone: 860.486.7944
Email: eRA-support@uconn.edu
Staffed 8:00 AM – 4:30 PM Weekdays

 

Self-Service Portal: https://it.research.uconn.edu/SelfService/ (secured with NetID)
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