Proposal Clearance
Cayuse SP must be used for all grant and contract proposals and awards administered by the Office of Sponsored Programs Administration (OSPA).
Sidebar
Before submission to an external funding agency, all UofL proposals must be reviewed and approved —even if the Principal Investigator submits directly to the sponsor.
Proposals for all sponsored activities (including research, training/education, public service, clinical research, and clinical trials/drug/device studies) must go through the review and approval process via Cayuse Sponsored Projects (Cayuse SP).
More information on the Office of Research and Innovation’s policies and procedures regarding proposal development and budgeting, can be found in Chapter 3 of the Research Handbook (sign in required).
New to Cayuse?
Cayuse SP guidance, training materials, user manuals, routing process flowcharts and additional information can be found on the Cayuse SP webpage (sign in required).
The review process includes:
- Department chair, unit head, or designee
- Dean or designee
- Compliance offices/committees, as applicable:
- Conflicts of Interest and Commitment
- Human Subjects Protection Program/Institutional Review Board (IRB)
- Animal Care and Use/University Committee for Animal Welfare (UCAW)
- Other regulatory offices as required
- Office of Sponsored Programs Administration (OSPA) approval is the final step before sponsor submission.
What to submit for review (in Cayuse SP):
- Cayuse SP Proposal Form (completed and routed)
- Abstract
- Budget
- Budget Justification
- Completed Electronic Sponsor Submission Forms
- Policy of Receipt and Requirements
Timing: Route the complete package in Cayuse SP at least five (5) full business days before the sponsor deadline. Review and approval by the OSPA is the final step in the process prior to proposal submission.
Who submits to the sponsor?
- Most proposals are submitted by the institution on behalf of the PI.
- If the sponsoring agency allows PI-submitted proposals, you must still route and obtain OSPA approval in Cayuse SP prior to submission.
View the Research Handbook (sign in required) for more information.
Special Considerations
PIs must submit the final, complete proposal in the form provided by the sponsor to OSPA via Cayuse SP at least five (5) full business days prior to the sponsoring agency’s deadline date. Include all sponsor- or agency-required components, such as:
- Institutional signature or cover pages
- Abstract
- Budget and budget justification narrative
- Data sharing plan
- Sponsor forms (e.g., nonprofit foundation application form, NIH SF424, Grants.gov, NSF Research.gov)
- Only small business concerns are eligible applicants under the federal SBIR/STTR programs. Planned UofL subaward proposals to a small business concern are to be submitted for review to OSPA following our regular procedure outlined above.
- Submit to OSPA via Cayuse SP. Complete the Cayuse SP Proposal Form, upload the UofL-specific consortium/subcontractor pages of the electronic proposal that the small business concern will incorporate into its submission; any associated attachments; UofL-specific statement of work if not clearly identified in the small business concern’s overall technical statement of work.
- Submit SBIR/STTR subaward proposals to OSPA via Cayuse SP well in advance of the federal deadline to allow OSPA review, as well as review and upload by the small business concern.
If the sponsor requires direct PI submission, PIs must submit the final, complete proposal in the form provided by the sponsor to OSPA via Cayuse SP at least five (5) full business days prior to the sponsoring agency’s deadline date. Include all sponsor- or agency-required components, such as:
- Pages requiring authorized university signature
- All sponsor/agency forms
- Abstract or UofL scope of work
- Budget (including all project personnel and percent effort)
- Budget justification narrative
- A copy of or web link to the sponsor’s program guidelines
- Contract, if applicable
- OSPA approval via Cayuse SP is required before the PI submits.
Notable Submission Issues
An unfunded collaboration is a relationship where each party is independently funding its portion of a research project, which is anticipated to achieve a common goal. As the name indicates, no funding is provided to the university by the other party.
In general, unfunded collaborations should be reviewed carefully for the benefit to the university as well as the other party (e.g., to ensure public funds are not used for private gain). A formal written agreement may not always be needed dependent upon the nature of the collaborative project; however, it is usually advisable to document in writing the expected duties and responsibilities as well as any risk or liability issues.
If institutional approval is needed, submit a Cayuse SP Proposal and OSPA will review and negotiate the terms of such an agreement and sign it on behalf of ULRF.
In any case, the UofL PI should inform his/her department chair, dean, and/or unit head of all unfunded collaborations, and should contact the UofL Research Integrity Program if any conflict of interest exists. In addition, the funding source for UofL's participation in such collaborative work will need to be identified. If the funds are other than unrestricted (e.g., gift or departmental funds), it may be necessary to verify with the provider of the funds that such funds may be used for the collaboration.
Gifts are administered by UofL Philanthropy and Alumni Engagement through the University of Louisville Foundation, Inc. and do not require preparation and submission in Cayuse SP.
Sponsored Programs are administered by UofL’s Office of Sponsored Programs Administration (OSPA), typically through the University of Louisville Research Foundation, Inc. and require submission through Cayuse SP.
Guidance for determining if the project is a sponsored activity or a gift can be found in the UofL Guidelines for Designating Funding as a Gift or a Sponsored Program. You may consult with OSPA to ensure compliance with applicable university policies and procedures and to assist in answering questions regarding proper processing within the university.
- It is possible that your unit has procedures or requirements in addition to those indicated here.
- If you are aware of intellectual property issues on a project, please review the Intellectual Property Policy. Contact the Innovation and Technology Transfer team (852-2965) if you have any questions.
- In the case of proposals submitted directly by the PI, the PI is responsible for getting the proposal to the sponsor by the proposal deadline, unless other arrangements have been made in advance.