URA Review and Endorsement

When submitting a proposal for full review and final endorsement by URA, we highly encourage you to submit the proposal for review in final form as many days in advance of the deadline as possible. Proposals routed to URA for review three full business days* or more in advance of the submission deadline**, excluding the deadline day, will receive a full review. Proposals submitted for review less than three full business days before the deadline may receive a contingent review.

Please consider the complexity of your proposal when submitting it to URA. Complex projects (i.e. Program Projects, Cooperative Agreements, projects with multiple subrecipients and/or foreign components, federal contracts, etc.) and proposals submitted for review during high volume periods may not receive a full review if time does not permit and may necessitate a contingent review.

For your reference, we have included the following list of standard proposal items that are needed for URA review and endorsement at proposal review stage, regardless of review type. Please note that this list is not exhaustive and is meant to capture standard sponsor and institutional requirements for a full review.

A full review includes, but is not limited to review of the:

Funding Opportunity Announcement (FOA), Solicitation, Guidelines (for relevant info):

• Correspondence with Direct Sponsor/Prime Sponsor, if applicable

The complete proposal application, including, but not limited to:

Scope of Work (SOW), which may include: Specific Aims, Project Summary/Abstract, Research Strategy, Project Description, etc.

Budget:

• Appropriate IDC and Fringe Benefit Rates
• Exclusions
• Cost limitations per FOA
• Inclusion of PI Effort per Institutional Requirements, if Research Project

Budget Justification, if applicable:

• Required for incoming subaward proposals

Any required proposal documents, such as:

• List of key persons
• Biosketches
• Current & Pending Support (Including any applicable signature logs)
• Any Other Required Documents#
• Conflict of Interest (COI) Requirements
• Oversight Compliance
• Export Controls
• Data Management and Sharing Plan(s) (DMSP)

#This includes ALL items requiring institutional endorsement. Please indicate in Additional Proposal Information Box #12 and in the upload description on the Attachments tab (Documents for URA Review) which documents require endorsement.

Relevant Waivers and Approvals, such as:

• PI Status Form(s) with Approval(s)
• Cross-Departmental Request/Approval
• Cost Share Memo with Approval(s)
• Indirect Cost Waiver or Variance with Approval(s)
• Limited Opportunity Approval

Outgoing Subaward Documentation, including:

• Letter of Intent/LOI or Subrecipient Commitment Form
• SOW
• Budget
• Budget Justification

Assurances and Certifications, as required by FOA

AURA FP Information

Possible Errors/Warnings that may prevent submission

While this is not an exhaustive list of documents, it should serve as a comprehensive guide. Proposals submitted in sufficient time for a full review will receive a thorough review of the items listed on the checklist. Documents beyond the ones listed on the checklist may be reviewed at the URA Manager’s discretion and in consideration of workload. Any missing required documents will be noted for the unit or requested for review prior to endorsement. Required documents are those listed in the solicitation as part of the application.

*Full business days are defined as Monday through Friday, 8:30am-5:00pm, and are exclusive of holidays, weekends, and/or URA office closures.

**Submission Deadline: Date indicated as “Due Date” in the FP as reflected in AURA. This can be either the published deadline or the self-selected deadline. The published deadline is the date published in the sponsor’s solicitation or FOA as the hard deadline, and past which date the proposal cannot be submitted. The self-selected deadline is typically a deadline that is earlier than the published deadline (i.e. if the PI wishes to submit sooner).

It is the responsibility of the unit/PI(s) to ensure all sponsor requirements are met for final submission, including any items not provided for review at the time of routing.

Any PDF documents uploaded to the FP, Subaward component, SF424 application package, Attachments tab, etc. should be flattened and not generated as “portfolios”.

Contingent Review Requirements

When a proposal arrives at URA less than three full business days* before the submission deadline**, excluding the deadline day, it will receive a contingent review. This level of review is dependent on the volume of proposals that arrive less than three full business days in advance of a deadline. A contingent review will largely focus on ensuring the proposal meets institutional requirements.

For your reference, we have included the following list of standard proposal items that are included in the contingent review and endorsement process. Please note that all items noted above under "Full Review Requirements" must be uploaded to the FP/proposal regardless of whether they'll be reviewed.

A contingent review includes review of the:

Funding Opportunity Announcement (FOA), Solicitation, Guidelines (for relevant info):

• Correspondence with Direct Sponsor/Prime Sponsor, if applicable

Scope of Work (SOW)

Any/all documentation requiring institutional endorsement.

Budget:

• Appropriate IDC and Fringe Benefit Rates
• Exclusions
• Inclusion of PI Effort per Institutional Requirements, if Research Project

Conflict of Interest (COI) Requirements

Oversight Compliance

Export Controls

Relevant Waivers and Approvals:

• PI Status Approval
• Cross-Departmental Request/Approval
• Cost Share Request/Approval
• Indirect Cost Waiver or Variance Request/Approval
• Limited Opportunity Approval

Outgoing Subaward Documentation, including:

• Letter of Intent/LOI or Subrecipient Commitment Form
• SOW
• Budget
• Budget Justification
• AURA FP Information

Additional comments may be provided, time permitting, and units are expected to make any requested changes before submitting the final application.

Please note that if terms and conditions contrary to University policy are found upon review after submission, the proposal may be withdrawn, or the acceptance of an award may require the removal or modification of any troublesome clause(s) and/or satisfactory resolution of deviations from University or sponsor policies.

*Full business days are defined as Monday through Friday, 8:30am-5:00pm, and exclusive of holidays, weekends, and/or URA office closures.

**Submission Deadline: Date indicated as “Due Date” in the FP as reflected in AURA. This can be either the published deadline or the self-selected deadline. The published deadline is the date published in the sponsor’s solicitation or FOA as the hard deadline, and past which date the proposal cannot be submitted. The self-selected deadline is typically a deadline that is earlier than the published deadline (i.e. if the PI wishes to submit sooner).

It is the responsibility of the unit/PI(s) to ensure all sponsor requirements are met for final submission, including any/all items not reviewed as part of the contingent review and endorsement process.

Any PDF documents uploaded to the FP, Subaward component, SF424 application package, Attachments tab, etc. should be flattened and not generated as “portfolios”.

Special Review Situations (As Is and ATF Proposals)

As Is

If time does not allow and in the situations where proposals are routed hours before the listed deadline in AURA, URA will submit the proposal as is or without review. In this scenario, every effort will be made to do a contingent review if time allows. In certain circumstances, submissions may be approved by URA Pre-Award without a review of the required proposal documents and/or of any possible errors/warnings. The purpose of any review is to the extent possible to make sure that the proposal is not rejected from the electronic submission vehicle/portal and to confirm compliance; however, the purpose of no review is to ensure that the sponsor deadline is not missed. URA reserves the right to process proposals submitted late or at the last minute only after all other on-time proposals due that same day have been reviewed.

Please note the following when routing a proposal hours before the deadline:

• These proposals will not receive review by URA, which could result in errors that cause the application to be rejected by the sponsor.

• Deadlines outside of business hours are not guaranteed if proposals are not routed for review during business hours and in advance of the sponsor deadline.

• It is not guaranteed that URA will be able to submit last-minute or late proposals to the sponsor nor that the sponsor will accept late proposals.

• The full proposal must still be uploaded even if it is an "As-Is" endorsement. Institutional endorsement will not be granted without proper proposal documentation being uploaded for an application. See list under Full Review Requirements above for the required items.

In the case of submissions that are submitted as is or without review, the department and/or PI assumes all responsibility for any/all application rejection or compliance issues. 

Please note that if institutional instances of non-compliance are found after submission, then the proposal may be withdrawn if the issues cannot be remedied, or the acceptance of an award may require the removal or modification of any troublesome clause(s) and/or satisfactory resolution of deviations from University or sponsor policies.

Any PDF documents uploaded to the FP, Subaward component, SF424 application package, Attachments tab, etc. should be flattened and not generated as “portfolios”.

After-the Fact (ATF) Review Requirements

A proposal that was submitted to the sponsor without using the internal routing process for institutional review and approval, and is subsequently routed for review and approval after it has been submitted, is an after-the-fact proposal.

An ATF review includes review of the:

Funding Opportunity Announcement (FOA), Solicitation, Guidelines:

• Correspondence with Direct Sponsor/Prime Sponsor, if applicable

Submitted Proposal, consisting of:

• Scope of Work
• Budget
• Budget Justification
• Any Other Documents

Conflict of Interest (COI) Requirements

Oversight Compliance

Export Controls

Relevant Waivers and Approvals:

• PI Status Approval
• Cross-Departmental Request/Approval
• Cost Share Request/Approval
• Indirect Cost Waiver or Variance Request/Approval
• Limited Opportunity Approval

Outgoing Subaward Documentation, including:

• Letter of Intent/LOI or Subrecipient Commitment Form
• SOW
• Budget
• Budget Justification
• AURA FP Information

Any PDF documents uploaded to the FP, Subaward component, SF424 application package, Attachments tab, etc. should be flattened and not generated as “portfolios”.

Notes:

• If any applicable proposal items are missing or incomplete, it may delay review and endorsement.

• The AURA FP deadline should be listed as the date the proposal was submitted to the sponsor (i.e. date in the past).

• The submitted proposal should be routed ASAP after it is submitted and should not wait for an award letter to begin the routing process.

Additional Information – All Review Types

i. For proposals that require submission by URA via SF424 (S2S), ASSIST, Research.gov, other sponsor portals or email, please note that URA recommends that departments plan as much time as possible, but at least 30 minutes, prior to submission to execute final steps and to ensure successful submission to the sponsor. (NOTE: Alternative submission methods for Federal submissions, excluding NSF, should only be utilized when S2S is not recommended or is unavailable.)

ii. Please note: If terms and conditions contrary to University policy are found upon review after submission, the proposal may be withdrawn, or the acceptance of an award may require the removal or modification of any troublesome clause(s) and/or satisfactory resolution of deviations from University or sponsor policies.

iii. Once a review is completed or endorsement/approval has been provided, it is required that the unit immediately inform the URA Pre-Award Research Administrator (Grants Specialist) of any significant changes to the Scope of Work, Research Plan, or Narrative, and to any compliance oversight. Significant changes will typically have an impact on the proposal budget or alter protocols and will require additional review prior to endorsement or re-review and re-endorsement.

iv. Proposals with due dates and times outside of regular business hours must be received for review and submission in accordance with the processes described above, and will be processed during regular business hours. The review timelines noted in Full Review Requirements and Contingent Review Requirements refer to the date that the proposal is placed in “Specialist Review” state in the AURA Grants system for URA review.

v. Once received, URA aims to return review comments to the unit within two business days. Any deviation from this schedule will be communicated to the unit.

vi. URA requests timely responses to comments to ensure adequate time remains to complete the review and endorsement process.

vii. The departmental grants administrator should remain available until the proposal is successfully submitted.

viii. If a PI is submitting a proposal using the NIH late submission policy, units/ACs should confirm eligibility in the NIH eRA Commons prior to routing. If it cannot be confirmed in the Commons, units/ACs must upload either an email from NIH showing participation (PIs typically receive these in advance) and/or the cover letter showing the PIs participation information.

ix. Proper FP type/management will be confirmed during review. See Proposal Development page for information regarding FP types and FP management.

x. As noted in the above sections, any PDF documents uploaded to the FP, Subaward component, SF424 application package, Attachments tab, etc. should be flattened and not generated as “portfolios”.

xi. The unit approver for an FP/application must be someone different than the individual that prepared the FP/application.

xii. The AURA Budget Grid should not be revised at any point after submission of a proposal. If a JIT request requires a revised budget, this should be uploaded under Attachments> JIT Agency/Sponsor Request or Other Pre-Award Documents. The FP reflects what was requested at submission, an AWD reflects what is ultimately awarded.