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KUMC Proposal Submission Deadline

Policy
Purpose: 

To set forth the requirements for timely submission and review of proposals, pre-proposals, letters of intent, and subcontracts (hereinafter referred to collectively as “Proposals”) to be submitted and reviewed by the Sponsored Programs Administration Pre Award Office and approved by the Associate Vice Chancellor for Research Administration, or his designee, prior to submission.

Applies to: 

The University of Kansas Medical Center (KUMC), the KU Medical Center Research Institute, Inc., (KUMCRI) and each of their affiliated entities engaged in the conduct or administration of research supported KUMC and KUMCRI.

Campus: 
Medical Center, Kansas City
Wichita
Salina
Policy Statement: 

The KUMCRI requires that all proposals; pre-proposals and letters of intent that include a budget or require institutional approval; and subcontracts, hereinafter referred to collectively as proposals, submitted to federal, state, local and private for-profit and non-profit funding agencies requesting funds and/or committing University resources (e.g., personnel, space, funds, equipment and facility use, etc.) be timely submitted, and  reviewed by the Sponsored Programs Administration Pre Award Office and approved by the Associate Vice Chancellor for Research Administration, or his designee, prior to submission. 

As a result of the high volume of last minute proposal submissions to SPA, it is necessary to adopt a proposal submission deadline policy. Often, a large number of proposals are submitted to the SPA office at once, and it is critical that SPA staff have time to work through the many issues that arise before submitting a proposal by the sponsor’s deadline. The proposal submission deadline provides SPA staff with adequate time to review, approve, revise, and process grant proposals. During the proposal preparation and review process SPA staff will:

  • provide guidance as needed to Principal Investigators (PI) and others in the preparation of budgets and other sponsor required forms;
  • check the final proposal for completeness and conformance with all sponsor requirements;
  • check the final proposal for conformance with University of Kansas Medical Center (KUMC) and KUMCRI guidelines;
  • review the proposed budget for cost allowability, reasonableness, correct indirect cost rates, and the appropriateness of any cost sharing or contributed effort.  Budgets prepared for federally-funded projects are subject to the cost allowability guidelines as detailed in the federal Uniform Guidance;
  • receive and accept signed Letter of Intent agreeing to a subcontract commitment with KUMCRI (letter, budget, budget justification, etc.);
  • coordinate the review of non-routine direct cost and indirect cost exceptions; and
  • check the KUMCRI Proposal Routing Sheet to ensure necessary departmental approvals, and completion of all regulatory compliance requirements

KUMCRI reserves the right to withdraw any proposal submitted without Institutional approval.  KUMCRI reserves the right to refuse any award resulting from a proposal submitted without Institutional approval.

Procedure:
Points of Entry to KUMCRI:
Note: Business Days do not include weekends and holiday

TEN (10) BUSINESS DAYS
in advance of submission deadline
FIVE (5) BUSINESS DAYS
in advance of submission deadline
TWO (2) BUSINESS DAYS
in advance of submission deadline
  • Completed and signed KUMCRI Proposal Routing Sheet (FINAL)
  • Budget w/ budget justification (FINAL)
  • Biographical Sketches (FINAL)
  • Letters of Support (FINAL)
  • Research Plan or Technical Section (FINAL or DRAFT)
  • Cost Share Memos, if applicable (FINAL)
  • Consortium Agreement, if applicable (FINAL)
  • KUMCRI Proposal Routing Sheet
  • FINAL, “Ready-to-Submit” proposal (a full and complete proposal in FINAL format)

 

 

 

 

 

 

 

 

  • Will NOT be submitted, or
  • Submit to SPA with Late Proposal Submission Exemption Form, signed by Assoc Vice Chancellor for Research Administration. 

 

 

 

 

 

 

 

First time users of the electronic submission process should contact SPA thirty (30) days prior to the sponsor deadline for CAYUSE training by the KUMCRI staff.

If a proposal is in response to a Request for Proposal (RFP, may also be referred to as an RFA), please send the RFP (or URL of applicable web site) to your Pre Award Grant Administrator one (1) week before proposal submission to the KUMCRI to allow for adequate time for review of the RFP’s terms and conditions. Special approvals or strategizing may be required.  For complex RFPs or proposals (i.e., those with contract documents incorporated, multiple consortium or subcontract arrangements, cost sharing from third parties, and/ or complicated budgets), or other unique issues, it is recommended that SPA be contacted at least thirty (30) days prior to the sponsor deadline, if not sooner. 

Please see Proposal and Budget Preparation Development for details on preparing a proposal.

Points of Entry (Options for submission) to KUMCRI:

Ten (10) Business Days in Advance of Submission Deadline
Proposals received ten (10) business days or more in advance of the sponsor's deadline will receive a detailed review by SPA to provide greater assurance that the proposal can be submitted error-free.

To be considered “On Time” and in compliance with the KUMCRI’s ten day policy, the proposal must be submitted to SPA ten business days before the proposal deadline.

An On-Time proposal must include the following elements in FINAL form (unless otherwise indicated):

  • Completed and signed KUMCRI Proposal Routing Sheet, which must include the date and time proposal is due, with the applicable time zone noted. If the project includes faculty and staff from different schools, a Chair’s approval is required from each school.
  • Research Plan or technical section (in final or draft* form – see below regarding submitting a draft)
  • Biographical sketches for all key personnel
  • Other Support for all key personnel if applicable to the submission
  • Budget with complete justification (note: if the budget in any required sponsor format is not sufficiently detailed or explanatory, then an Excel spreadsheet should be included for SPA review). Indirect costs must be calculated with either the federal negotiated rate or the rate specified by the sponsor in written policy or program guideline documents.
  • Subrecipient Commitment Form, statement of work, budget and budget justification from any proposed subawardee
  • Letters of support from named consultants and/or collaborators
  • Completed and signed cost sharing memo

*Submitting a Draft Research Plan or Draft Technical Section

A draft of the research plan or technical section of a proposal should not be just a “place holder.” The draft should address all required elements specified in the sponsor’s proposal guidelines. The draft should be written in sufficient detail to allow the proposal to be reviewed even if only the draft research plan or technical section were to be submitted. The PI should keep in mind that any changes made to the research plan or the technical section should not affect any of the following administrative elements:

  • The amount of project funds requested from the sponsor
  • The project’s budget justification
  • Cost sharing or matching
  • F&A (indirect) costs requested
  • Effort of key project personnel
  • Named consultants and/or subcontractors

If a draft research plan or draft technical section is being contemplated, the PI/department should contact the SPA Pre Award Grant Administrator assigned to the PI as soon as possible to work out a revised due date for the submission of the final research plan or technical section. The PI/department also should indicate in writing on the KUMCRI Proposal Routing Sheet that the research plan or technical section is in draft form. SPA will require that the final version be submitted in time to physically meet the sponsor’s submission deadline after considering the number of proposals being submitted on that deadline date.

SPA staff will communicate back to the PI and department any issues found with the submission in time for the submission to be corrected and re-submitted to the SPA Pre Award office. 

Five (5) Business Days in Advance of Submission Deadline
SPA must receive the final proposal, in complete form and ready for submission to the sponsor (i.e. "Ready to Submit") a minimum of five (5) business days prior to the sponsor deadline.

  • Proposals received five days or more prior to the submission deadline in a "Ready to Submit" condition will be reviewed by SPA staff for accuracy, completion and compliance with sponsor, university and federal and state requirements.
  • Any proposal sent to SPA five days in advance that is in an incomplete form and/or not "Ready to Submit" will be returned to the PI and the department administrator contact named on the KUMCRI Proposal Routing Sheet.

SPA staff will communicate back to the PI and department any issues found with the submission in time for the submission to be corrected and re-submitted to the SPA Pre Award office. 

Two (2) Business Days in Advance of Submission Deadline
All proposals, both paper and electronic,  received by SPA for the first time two (2)  business days prior to the sponsor deadline will be returned to the PI and department contact, and will not be submitted to the Sponsor.

SPA Pre Award Grant Specialists cannot submit late proposals without written approval from the Associate Vice Chancellor for Research Administration. Please see “Exemptions” for process of obtaining approval

Exclusions or Special Circumstances: 

If a proposal cannot be submitted to the KUMCRI on time, even with a draft research plan or draft technical section, the PI can request an exemption from the Associate Vice Chancellor for Research Administration. These are the steps for requesting approval for the submission of a late proposal to SPA:

  1. Request a meeting with the Associate Vice Chancellor for Research Administration to discuss the Late Proposal Exemption by contacting the KUMCRI Administrative Officer at 913-588-5436. Please keep in mind the schedule of the Associate Vice Chancellor for Research Administration; last-minute meetings may not be possible.
  2. Print out and complete the Late Proposal Exemption Request Form.
  3. Please note that a compelling argument must be made to obtain such an exemption.

Examples of a justifiable exemption would be:

  • serious illness, injury, or death of a family member; or
  • documented notification that the Funding Opportunity Announcement (FOA) was initially posted less than 2 weeks prior to the deadline.
Consequences: 

Obtaining approval to submit a proposal late does not guarantee that the proposal will be submitted on time to the sponsor.

Contact: 

Vice Chancellor for Research: 913-588-1698

Associate Vice Chancellor for Research Administration: 913-588-5436

Director of Sponsored Programs Administration: 913-588-1261

Approved by: 
Vice Chancellor for Research
Approved on: 
Tuesday, December 22, 2009
Effective on: 
Tuesday, December 22, 2009
Review Cycle: 
Annual (As Needed)
Definitions: 

Uniform Guidance: The Uniform Administrative Requirements, Cost Principles and Audit Requirements for Federal Awards, 2 CFR Chapter I, Chapter II, Part 200, addressing the administrative requirements for grants and agreements with institutions of higher education, hospitals, and non-profit organizations.

Keywords: 
Proposal, submission, draft, award, pre-award
Review, Approval & Change History: 

05/15/2015: Revised to reflect changes in Uniform Guidance.

Effective Date:  Effective for all proposals with a submission date of 02/01/2010 or later.

12/22/2009: RAC Approved

Research and Sponsored Projects Category: 
Research and Sponsored Projects

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