Administrative Review and Approval of Proposals for External Support

Title: Administrative Review and Approval of Proposals for External Support
Policy Owner: Office of the Vice President for Research, Sponsored Program Services
Applies to: Principal Investigators and all others involved in the submission of a sponsored program proposal
Campus Applicability:  All campuses except for UConn Health
Effective Date: June 24, 2015
For More Information, Contact Sponsored Program Services
Contact Information: (860) 486-3622
Official Website: http://research.uconn.edu

REASON FOR POLICY

The timely submission of proposals for internal UConn review and approval allows for thoughtful consideration and review of sponsored project proposals for compliance with University, Federal, State and sponsor policies.  Additionally, Sponsored Program Services professionals review proposals against the administrative requirements of the sponsor’s announcement, including budgets and budget justifications to identify potential administrative or financial challenges to the success of the proposal.

POLICY

All proposal submissions seeking external support for research and other sponsored projects must be submitted to the Office of the Vice President for Research (OVPR) Sponsored Program Services (SPS) for review and approval prior to submission to an external sponsor, even when institutional sign-off is not required by the sponsor.

All letters-of-intent and pre-proposal submissions seeking external support for research and other sponsored projects must be submitted to Sponsored Program Services for review and approval prior to submission to an external sponsor if the signature of an authorized official, a detailed budget, or cost share commitment is required.

Proposals submitted without SPS approval may be administratively withdrawn or the offer of funding (award) may not be accepted if the submission is found to be non-compliant with University, Federal, State or sponsor policies.

SPS requests a minimum of five (5) business days prior to the agency or submission deadline for review and approval of the full proposal, internal forms and budget.

The University of Connecticut reserves the right to withdraw any proposal or refuse acceptance of any award that does not comply with this policy.

ROLES AND RESPONSIBILITIES

The Director of Research Administration and Faculty Services has overall responsibility for this policy.

The Principal Investigator accepts the responsibility for the timely submission of all proposals and pre-proposals that require SPS approval to SPS.

The Department Head, Center Director and/or Dean attests to the academic purposes of the proposed project and its appropriateness in terms of budget, committed effort, space and equipment.

The Director of Research Administration and Faculty Services is the authorized signatory for all proposals for sponsored programs. In the absence of the designated official, arrangements are made to ensure timely signing by alternate University signatories.

Principal Investigators, Department Heads, Deans and other individuals as required are responsible for authorizing and signing internal processing documents, but are not authorized to sign a sponsored projects proposal as the institutional official on behalf of the University.

PROCEDURE/FORMS

See OVPR SPS website: Proposal Preparation Guidelines

ENFORCEMENT

Violations of this policy may result in appropriate disciplinary measures in accordance with University Laws and By-Laws, General Rules of Conduct for All University Employees, applicable collective bargaining agreements, and the University of Connecticut Student Code.

POLICY HISTORY

Policy created:  6/12/2008

Revised:           6/24/2015 (approved by the Vice President for Research)