Policy Statement
A critical function of the Office of Sponsored Programs (OSP) is to review, approve and submit proposals to all external sponsors. It is in the best interest of the Principal Investigators to have OSP Specialists conduct a thorough review of applications prior to submission. Sufficient lead time to effectively review the components of the application and conduct compliance checks is essential for a successful submission. Such lead time should be deemed an essential part of the proposal development process, which will reduce the risks associated with rushed reviews or unforeseen circumstances such as this system delays. Therefore, effective March 4, 2019, all administrative items are required in their final version with placeholders for the final science by 9 AM five (5) business days before the day of the sponsor deadline. The proposal in its final form for submission to the sponsor, including the final science, is due by 9 AM two (2) business days before the day of the sponsor deadline.
During review, the OSP Grants/Contracts Specialist may request changes to the administrative and/or scientific components of the proposal in line with all university and sponsor policies. All changes requested by OSP must be completed and returned to OSP no later than 9 am on the day of the sponsor deadline. OSP is not responsible for additional changes that the investigator may make to the proposal during this time or any adverse impact such changes may have on the proposal submission. Requests to withdraw and resubmit changes once a proposal has been submitted to the sponsor are at the discretion of OSP.
For all proposals being submitted via the sponsor's electronic system (NSF FastLane, ASSIST, Workspace, etc.), if the system permits, OSP must be granted access to the submission a minimum of five (5) days in advance of the sponsor's deadline. If the sponsor’s system does not allow for the OSP to be given access, a copy of the proposal must be provided in accordance with the established 5/2 day policy.
Proposals submitted to OSP "on time" will be reviewed in the order they are received and will receive priority over those submitted late. If a sponsor’s deadline occurs during a change in the university’s scheduled operations (i.e., inclement weather or other emergency), the Principal Investigator should contact the funding agency for an extension to the deadline date. When a sponsor’s deadline falls on scheduled SBU holidays or closings, the last day before the closing or holiday will become the submission deadline. Therefore, Administrative and Technical final Proposals must be provided in accordance with the established 5/2 day policy.
IMPORTANT: To meet OSP’s proposal preparation deadlines, some departments and/or colleges/schools have an official lead-time policy that establishes an internal proposal preparation and review schedule. Please be aware of those policies and allow appropriate lead time that support meeting the OSP proposal processing deadlines.
While OSP will make good faith efforts to provide diligent review, if your proposal/progress report/JIT is not submitted to OSP by the two (2) business day deadline, an exception request must be submitted through the Request for Waiver form.
Please note that the Office of Sponsored Programs closes at 5PM and no proposals will be submitted after hours, despite a sponsor deadline after 5PM.
Background
As a result of the high volume of last minute proposal submissions to OSP, it is necessary to adopt a proposal submission deadline policy that provides OSP staff with adequate time to review, approve, revise, and process proposals. OSP staff will review for conformity to sponsor guidelines, budget accuracy, acceptable contractual language, appropriate approvals, etc.
Some agencies’ electronic submission systems are unstable and become overloaded because of heavy access as the deadline approaches. It is strongly recommended to follow the proposal submission policy so that there is sufficient time to resolve technical issues. First time users of the electronic submission process should contact OSP thirty (30) days prior to the deadline for training.
It is recommended that complex proposals (i.e., those with contract documents incorporated, multiple consortium or subcontract arrangements, cost sharing from third parties, and/or complicated budgets) be submitted a day or two before the five (5) business day deadline to offset the extra time needed for review and approvals.
Applicability
This policy applies to all proposals (paper or electronic) submitted to any agency external to the university in support of any Sponsored Project. This policy applies to ALL activity that is submitted to OSP for review and submission to sponsors (proposals, progress reports, letters of intent, subawards, Just-in-Time documentation, Sponsor requests for pre-award negotiation documentation, etc.)
Exceptions
Compelling reasons to approve an exception from the policy would be:
1. a solicitation is released 30 days or less prior to the due date, or
2. a sponsor contacts a PI with a request for a last-minute proposal, or
3. a last minute opportunity to join a proposal under submission by another institution.
A final package must still be provided to OSP with enough time to properly submit to the sponsor.
Definitions
Administrative Proposal
The Administrative Proposal is one portion of the overall proposal that generally includes the application cover page, budget, budget justification, institutional resources section, curriculum vitae or bio-sketches of all key personnel, current and pending support, and any other business or administrative materials required by the sponsor. The administrative portion of the proposal encompasses all content excluding the technical portion. Specific requirements may vary with each sponsor.
Principal Investigator
A Principal Investigator (PI) is a SBU faculty or staff member who bears responsibility for the intellectual leadership of a project. The PI accepts overall responsibility for directing the research, financial oversight, and compliance with relevant university policies and sponsor terms and conditions of award.
Sponsored Project
Any externally funded research, training, evaluative testing, or public service project directed by SBU faculty or staff as part of their university work that requires the university to perform a specified program or deliver a specified product.
Technical Proposal
The Technical Proposal is one portion of the overall proposal that generally includes the goals and aims of the research and other technical information in narrative form. Specific requirements may vary with each sponsor.
Responsibility - Who should know this Policy
- Provost, Vice Presidents, Deans and Associate Deans
- Department Chairs and Directors
- Principal Investigators
- Departmental administrative support staff
- Office of Sponsored Programs and Office of Proposal Development
Principal Investigator
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Initiate myResearch Grants proposal and develop the Budget and Budget Justification in myResearch Grants fourteen (14) days prior to sponsor's deadline. OSP Specialists would be able to assist with questions and preparation of administrative documentation.
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Submit all Administrative Proposals for Sponsored Project funding to OSP through myResearch Grants for review and approval at least five (5) business days and all final Technical Proposals two (2) business days in advance of the day of the sponsor’s deadline
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Compliance with this and all other applicable SBU and RF policies
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Contact OSP thirty (30) days prior to first electronic proposal submission for training.
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Refer to Proposal Development Timeline and Tips for Successful Submission.
Department Chair, Dean, Director
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Promote faculty and staff awareness of this policy
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Review and approve proposals
Office of Sponsored Programs
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Review and approve all proposals submitted in a timely fashion
Contact Information
Office of Sponsored Programs
W5510 Melville Library
Stony Brook University
Stony Brook, NY 11794-3362
Phone: 631-632-4402/9949
Fax: 631-632-6963
Email: osp@stonybrook.edu