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Proposal Submission Timelines – 14/5/2

14/5/2 Required Information and Timelines

To successfully manage the increasing volume of sponsored research proposals combined with new regulatory compliances, proposal submittal timelines have been established and will be monitored by campus leadership.  This policy was established by the academic vice chancellors to ensure that compliance with ever changing regulations can be validated before proposals are submitted and reviewed by funding agencies, therefore instilling confidence that researchers have the best chance of having their research projects funded. Refer to the December 20, 2020 campus notice.

14 business days or earlier before published deadline

  • Principal Investigator (PI) notifies research administrator of intent to submit a proposal and provides required information:
    • Opportunity Number/Solicitation
    • Proposal Type (e.g., new, renewal, revision, etc.)
    • Activity Type (e.g., basic research, clinical research, instruction & training, etc.)
    • Lead Unit (defaults to initiators unit)
    • Project Start and End Dates 
    • Project Title
    • Sponsor
    • Sponsor Deadline
    • Sponsor Deadline Type (hard deadline or internal)
    • Anticipated Agreement Type (e.g., grant, contract, cooperative agreement, fellowship, etc.)
  • Research Administrator (RA) create the Kuali Research Proposal Development (KR PD) record by completing the required fields (listed above). For more information go to UCSD Kuali Research Training

5 business days or earlier before published deadline

  • PI completes the KR Research Questionnaire and Certification, due prior to routing.
  • RA routes the KR Proposal to the assigned Sponsored Project Office (OCGA, SIO-OCGA or HS-SPPO)  with the following required proposal package components:

FINAL
  • Sponsor's Proposal Guidelines AND Prime Sponsor's proposal guidelines, if applicable (e.g., RFP, PA, BAA, FOA, email instructions, etc.)
  • Application face page (if required)
  • Detailed budget + budget justification (internal UCSD budget if a detailed budget is not required by the sponsor)
  • All other proposal requirements (PIE Exception, cost-sharing letters, biosketch/CV, other support document, etc.)
DRAFT
  • Scope of Work / Research Plan
  • Outgoing Subrecipient proposal package, including Subrecipient Commitment Form (if not in FDP Clearinghouse), Subrecipient-specific Scope of Work, Subrecipient-specific Budget, and Budget Justification, etc.

  • Be sure to allow enough time (in advance of 5 business days) for departmental routing and approval of proposals with critical criteria:
    • Cost Sharing
    • PI Exceptions
    • New Space

2 business days before published deadline

  • PI provides RA with final draft of proposal package components
  • RA updates the KR Proposal accordingly
FINAL DRAFT
  • Final draft Scope of Work / Research Plan
  • Final draft Outgoing Subrecipient proposal package, including Subrecipient Commitment Form (if not in FDP Clearinghouse), Subrecipient-specific Scope of Work, Subrecipient-specific Budget, and Budget Justification, etc.

8:00am day of published deadline

  • PI provides RA with final version of proposal package components and confirms proposal is ready to be submitted to the sponsor
  • RA updates and KR Proposal accordingly
FINAL
  • Final version Scope of Work / Research Plan
  • Final version Outgoing Subrecipient proposal package, including Subrecipient Commitment Form (if not in FDP Clearinghouse), Subrecipient-specific Scope of Work, Subrecipient-specific Budget, and Budget Justification, etc.

Proposal Review Policy

Proposal Review Policy

The type of proposal review will depend on the date and time it is received. A Finalized Proposal Package, with required documents finalized and uploaded to KR and sponsor’s portal (if applicable), will be prioritized by the order received and reviewed in accordance with the Proposal Submission Timeline below:

Institutional Review As-Is Submission No Guaranteed Submission

2+ Business Days before deadline date

(ideally proposals should be routed to OCGA 5 Business Days before the deadline to allow adequate time for review)

Less than 2 Business Days before deadline date

Less than 6 business hours before the published deadline

  • Final proposals received before 4:30 p.m. on the 2nd Business Day prior to the deadline due date, fall into the Institutional Review category.
  • OCGA will conduct an institutional review based on institutional risk, for consistency with institutional policies/requirements, and identification of possible errors and/or warnings that would prevent proposal submission (if applicable).
  • Final proposals received less than 2 Business Days before the deadline is considered an “As-Is” submission.
  • As-Is submissions are submitted, without a review of any documents or possible errors and/or warnings.
  • No guaranteed submission for proposals received less than 6 business hours before the published deadline.

The Office of Contract & Grant Administration (OCGA), through their contract and grant officers/analysts is one of the designated campus office with delegated authority to solicit, accept, and execute extramural contracts and grants. OCGA is responsible for reviewing and endorsing extramural proposals, or Institutional Review, on behalf of The Regents of the University of California.

  • integrity in research
  • appropriateness of the activity to the University’s mission
  • protection of human and animal subjects
  • use of University facilities and resources
  • cost-sharing
  • adherence to personnel policies as it relates to sponsored research
  • intellectual property
  • conflict of interest
  • recovery of costs (both direct and F&A)
  • liability, insurance and indemnification, and
  • export controls

Institutional Review

An Institutional Review is a focused review of extramural funding proposals by UC San Diego’s Sponsored Projects Offices (SPO) of key areas of institutional risk that could create financial, audit, and/or policy risks for the University.

Under Institutional Review, Contract and Grant (C&G) Officers do not review the technical or administrative sections of proposals, save for those noted in items 9-11 below. Principal Investigators (PIs) and their submission teams will be responsible for the technical substance of a proposal. As modern sponsor submission portals include various checks to ensure compliance with proposal formatting requirements as well as prompts to include required information, the need for central offices to focus on reviewing such elements is greatly diminished.

Through training, outreach, and ongoing collaboration, the Sponsored Projects Offices will work in partnership with researchers and department research administrators to understand sponsor policies and requirements that apply to a proposal submission.

The following are core elements that the SPOs agree constitute an Institutional Review. Additional review criteria may be warranted depending on the sponsor and proposal type (e.g. terms and conditions may need review and acceptance at time of proposal submission).

Institutional Review Elements
  1. Review institutional eligibility requirements and ensure all identifying proposal information provided about UC San Diego, the Sponsored Projects Offices, and/or The Regents is required, accurate, and/or correct. 
  1. Review all items that trigger a compliance review such as human subjects, animal subjects, conflict of interest, export control, background IP, exceptional PI status, etc.
  1. Check to make sure that effort is budgeted for all Single and/or Multiple PD/PIs (for NIH, this also applies to Co-I, Sr/Key Persons). Also for NIH Other Significant Contributors or UCSD consultants who do not have measurable effort on the application but should be listed at 0% in PD (for COI purposes) (both in the proposal package and the KR PD record must match).
  1. Confirm that the appropriate Facilities & Administrative (F&A)/Indirect Cost (IDC) rate and base is applied to the proposal budget.
  1. Ensure specific University costs are applied as required.
  1. Review budgeted costs to ensure they are aligned with sponsor policies.
  1. Verify that there is appropriate documentation of any committed/in-kind University or third-party cost sharing.
  1. Review proposal package to see if it is specified that new space is needed to complete the project and if so, ensure KR PD record question is answered accordingly.
  1. Ensure all required internal documents have been included in the KR PD record.
  1. Determine if anything in the sponsor’s guidelines or award terms would prevent submission of the proposal or acceptance of an award if the proposal is funded.
  1. Review and signature of certifications, assurances and representations.
  1. Communicate issues and concerns identified during the Institutional Review.

Proposal Data Integrity

All parts of the organization, from Fund Managers and PIs to the Sponsored Projects Offices, play a role in ensuring that data in proposal records is accurate. The accuracy of Proposal Development records impacts the efficiency of proposal review and other administrative processes. Departments must strive to include complete and accurate information when routing a KR record to a SPO.

  • A Contract and Grant Officer will not review or submit a proposal without a successfully routed KR record.
  • All Sponsored Project Offices will ensure that PD records are complete and accurate prior to submitting the record in KR.
KR Tab Data Element

Proposal Details

  1. Proposal Type 

Proposal Details

  1. Activity Type 
    • This impacts compliance and routing.

Proposal Details

  1. Project Dates 

Proposal Details

  1. Project Title

Proposal Details

  1. Sponsor Codes 
    • Prime sponsor
    • Pass-through entity sponsor (entity immediately funding UCSD), if applicable

Proposal Details

  1. Original Institutional Proposal ID (applicable if the Proposal Type = Continuation or Revision)

Proposal Details

  1. Keywords

Delivery Info 

  1. Submitted By
    • OSP or Department

Delivery Info 

  1. Submission Description 
  • For NIH applications, need ASSIST number. For NSF, need Temporary Proposal ID.
  • For subawards, need instructions on where to submit.
  • Portal information needed for certain sponsors.

Sponsor and Program Info 

  1. Sponsor Deadline Type
    • Hard or Internal

Sponsor and Program Info 

  1. Sponsor Deadline

Sponsor and Program Info

  1. Notice of Opportunity - Required if applicable

Sponsor and Program Info

  1. Opportunity ID - Required if applicable

Sponsor and Program Info

  1. Opportunity Title - Required if applicable

Sponsor and Program Info

  1. Sponsor Proposal ID - must provide Grant# if resubmission, renewal, continuation, revision.

Sponsor and Program Info

  1. Subaward Check Box (check if there’s a subrecipient or a Multi-Campus Award which is when another UC campus is acting as a “subrecipient”)

Sponsor and Program Info 

  1. Anticipated agreement type
    • This impacts compliance, routing to the correct SPO/team, and the questions that populate.

Key Personnel

  1. Key Personnel 
    • Important for federal proposals (Audit finding)
    • Linked to KCOI
    • Must list all Key Personnel, and if applicable, Mentor and Co-Mentors
    • First year effort must be included in the Org tab, under the relevant effort period (Academic Year, Calendar Year, or Summer) for all Key Personnel.

Questionnaire

  1. All questions must be answered.

Compliance 

  1. Compliance
    • Must add applicable compliances

Attachments

  1. Sponsor Documents, see above.

Attachments

  1. Internal Documents, see above.

Budget 

  1. Direct Cost, F&A, Total, Start, End, and Cost Share 

Supplemental Info

  1. COA/Financial Unit (this impacts routing)

Proposal Preparation Checklist

Please print and use the Proposal Preparation Checklist below to get started.

Proposal Submission Types, Timelines & Checklist

Determine who the Sponsor Agency: NIH Direct Flow, Other Federal, Industry, Non-Profit, Foreign Local State, or UCOP.

Determine which internal UCSD that will Review/Submit the proposal: OCGA, HSSPPO, OCTA (clinical trials only), GSR

Determine if the there is deadline for the proposal

14/5/2 - Proposal Submission Timelines & Checklist
(For Proposals with a Published Deadline)

14 Business Days (or earlier) Before Published Deadline

  • Principal Investigator (PI) notifies Research Administrator of intent to submit a Proposal and provides required information:
  • Note: those in bold are required to start a Kuali Research Proposal Development Record

Opportunity Number/Solicitation

Proposal Type (e.g., New, Renewal, Revision, etc.)

Activity Type (e.g., Basic Research, Clinical Research, Instruction & Training, etc.)

Lead Unit (Defaults to Initiators Unit)

Project Start and End Dates

Project Title

Sponsor

Sponsor Deadline (Due Date)

Sponsor Deadline Type (Hard Deadline or Internal)

Anticipated Agreement Type (e.g., Grant, Contract, Cooperative Agreement, Fellowship, etc.)

Sponsor Proposal Number if resubmission

Animal (Y/N), IACUC Approval Date

Environment Health and Safety; GMO,etc. (Y/N)

Exporting/International (Y/N)

Human Subjects (Y/N), IRB Approval Date

Cost Sharing (Y/N)

Subrecipient (Y/N), Name of Sub

Clinical Trials (Y/N)

PI Exception (Y/N)

Set up agency profile (i.e. grants.gov workspace/fastlane/Assist record) - ensure all appropraite parties have accounts

Research Administrator (RA) creates the Kuali Research Proposal Development (KR PD) record by completing the required fields in bold (listed above). For more information, go to UCSD Kuali Research Training.

Provide RA with draft detailed budget + draft budget justification (internal UCSD budget if a detailed budget is not required by the sponsor)

Types of Proposal Review:

1)​ Full Review: Received ​10 - 5 Business Days Before Deadline Due Date; Must be received by 4:30 pm. 

2) ​Cursory Review: ​Received 4-3 Business Days Before Deadline Due Date. Must be received by 4:30 pm. 

3) ​​As-Is: Must be received by 4:30 pm. 

5 Business Days (or earlier) Before Published Deadline

PI completes the KR Research Questionnaire and Certification, due prior to routing

RA routes the KR Proposal to the assigned Sponsored Project Office (OCGA, SIO-OCGA or HS-SPPO) with the following required proposal package components:

Final

Sponsor's Proposal Guidelines AND Prime Sponsor's proposal guidelines, if applicable (e.g., RFP, PA, BAA, FOA, email instructions, etc.)

Application face page (if required)

Detailed budget + budget justification (internal UCSD budget if a detailed budget is not required by the sponsor)

All other proposal requirements (PIE Exception, cost-sharing letters, biosketch/CV, other support document, etc.)

Draft

 

Scope of Work / Research Plan

Outgoing Subrecipient proposal package, including Subrecipient Commitment Form (if not in FDP Clearinghouse), Subrecipient-specific Scope of Work, Subrecipient-specific Budget, and Budget Justification, etc.

Be sure to allow enough time (in advance of 5 business days) for departmental routing and approval of proposals with critical criteria:

Cost Sharing

PI Exceptions

New Space

2 Business Days (or earlier) Before Published Deadline

PI provides RA with final draft of proposal package components

RA updates the KR Proposal accordingly

Final Draft

Final draft Scope of Work / Research Plan

Final draft Outgoing Subrecipient proposal package, including Subrecipient Commitment Form (if not in FDP Clearinghouse), Subrecipient-specific Scope of Work, Subrecipient-specific Budget, and Budget Justification, etc.

8:00am Day of Published Deadline

PI provides RA with final version of proposal package components and confirms proposal is ready to be submitted to the sponsor

RA updates and KR Proposal accordingly

Final Version

Final version Scope of Work / Research Plan

Final version Outgoing Subrecipient proposal package, including Subrecipient Commitment Form (if not in FDP Clearinghouse), Subrecipient-specific Scope of Work, Subrecipient-specific Budget, and Budget Justification, etc.

Proposal Documents (Not all required for each Proposal)

Cover Letter

Project Summary/Abstract - Limit 30 lines

Project Narrative - Limit 3 sentences

Bibliography & References Cited

Facilities & Other Resources

Equipment

Other Attachments

Biosketch - New Biosketch format 5 page limit

Introduction: Resubmission and Revision only

Specific Aims 1 page limit

Research Strategy xx page limit

Progress Report Publication List (renewal only)

Vertebrate Animals

Select Agent Research

Multiple PD/PI Leadership Plan

Consortium/Contractual Arrangements

Letters of Support

Resource Sharing Plan(s)

Authentication of Key Biological and/or Chemical Resources

Other Requested Information

Inclusion of Women and Minorities and Children

Recruitment and Rention Plan

Study Timeline

Protection of Human Subjects

Data Safety Monitoring Plan

Overall Structure of the Study Team

Statistical Design and Power

FDA-regulated intervention

Dissemination Plan

Delayed Onset Studies

Human Subjects Enrollment table

Budget Justification

Awarding Component/Study Section Assignment Request

Fabrications (if applicable)