Policy: Proposal Submission

Policy Statement

This policy establishes explicit, fair, and uniformly applied levels of service for processing proposals for externally-funded research and sponsored projects. The policy is intended to be flexible enough to accommodate the needs of both Lehigh University (“University”) researchers and the Office of Research and Sponsored Programs (ORSP) administrators. The ORSP is responsible for the review and approval of all proposals for research and other sponsored activities that are to be funded by external agencies. We understand proposal preparation takes considerable time and effort and in order to provide optimal and equitable service to all Lehigh University faculty and staff researchers, there is an acknowledged need for internal deadlines for proposal submissions. For this reason, we have adopted the 5/2 Deadline Policy which must be followed by all Lehigh faculty and staff for all proposals to be submitted to an external sponsor. This policy also applies to any other activity that is submitted to us for review (i.e., progress reports, letters of intent, subawards, etc.).

Proposals received after the five-day window require a formal exception to be considered for submission. To request an exception, please follow the Exception Process by filling out the Powerform completely. The request will first require approval from the leadership within your College, Department, Center, or Institute. The request will then be sent to the Vice Provost for Research, or his/her designee, for final institutional approval. For programs with short turnaround times, please notify ORSP immediately. Early notice helps us allocate resources to support you. If the total time from announcement to deadline is less than two weeks, include documentation of your first contact with the sponsor. Absent a formal exception, a late proposal will not be submitted.

Priority for review and submission will be given to those PIs who have complied with the 5/2 deadline policy.

Reason for Policy and Underlying Principles

Lehigh University encourages faculty and staff to obtain funding from external sources in support of research, service, education, and other scholarly activities, and provides an administrative infrastructure to support these activities. The external funding environment is increasingly competitive and highly regulated, and proposal submission entails more than just the physical transmission of a proposal from the University to a potential sponsor.

Electronic submission formats and systems are numerous and continuously evolving. In accordance with applicable laws, external funder requirements and guidelines, and national best practices in research administration, allowing sufficient time for conducting compliance checks and to address any potential systems-related problems is essential to minimizing risk to the institution.

In order to be clear, fair, and consistent, this policy applies to all sponsored project proposals regardless of budget size or the number of researchers, disciplines, or institutions participating in the project. ORSP will not adjust service levels and associated timelines for a particular project, or prioritize multi-investigator projects with large budgets over smaller single-investigator applications.

The 5/2 Day Deadline Policy requires that:

All administrative items* are required in their final version, with placeholders for the final Technical Components**, by 8am five (5) business days before the sponsor deadline. 

The final Technical Components of the proposal, in its final form is due by 8am two (2) business days before the sponsor deadline.

Once the Contract and Grant Specialist reviews the proposal documents, they may request changes to the administrative and/or Technical Components of the proposal in line with all applicable university and sponsor policies. All changes requested by our office must be completed and returned to us no later than 8am the day before the sponsor deadline.

* The Administrative items generally includes the application cover page, budget, budget justification, institutional resources section, bio-sketches of all key personnel, current and pending support, subrecipient documentation,  relevant approved exceptions or waivers, and any other business or administrative materials required by the sponsor. The administrative portion of the proposal encompasses all content excluding the technical components. Specific requirements may vary with each sponsor.

** The Technical Components generally include the goals and aims of the research (such as the Project Description for most NSF proposals) and other technical information in narrative form. Specific requirements may vary by sponsor.

Submitting Proposals

A complete proposal package must be submitted to ORSP via the LIRA system five (5) full business days in advance of the sponsor’s deadline. The technical components of the proposal can be in draft form at this stage, but must be finalized at least two (2) full business days in advance of the sponsor’s due date. Please remember that the LIRA funding proposal must be routed and approved by the PI, departmental approver, and all other applicable individuals whose approval is required, as this provides certification that the information contained in the proposal is accurate, complete and in compliance with Lehigh University and the sponsor policies. ORSP is not authorized to submit proposals to external sponsors without the required certifications (electronic signatures) provided in the LIRA record.

It is important to note that some large competitive programs or proposals involving multiple PIs, multiple organizations, significant matching and/or institutional commitments may require additional lead time. Please reach out to your ORSP contact to consult about what the requirements will be for your proposal. Additionally, certain limited submissions may be announced with pre-determined deadlines which must be adhered to when submitting your application/proposal.

Circumstances under which a proposal will NOT be submitted

1. Missing fCOI Disclosures for all Project Personnel.

   1. A proposal will not be submitted to a sponsor unless all Project Personnel have an updated disclosure in LIRA.

2. Missing acknowledgement for receipt and review of the Research Essentials Handbook for all Project Personnel.

   1. A proposal will not be submitted to a sponsor unless all Senior/Key Personnel have reviewed and acknowledged the handbook.

3. PI for the proposal does not meet the PI Eligibility criteria as identified in the Eligibility to serve as Principal or co-Principal Investigator on Sponsored Projects Policy.

4. Missing required documentation from a Subrecipient where Lehigh University is the Prime recipient.
   1. This includes, but is not limited to, a completed and signed Subrecipient Commitment Form, or FDP Expanded Clearinghouse Membership Confirmation and a letter of commitment/intent signed by the subrecipient’s AOR.
   2. [NOTE: The Subrecipient’s scope of work, budget and budget narrative, biographical sketch for key personnel, current and pending or other support, collaborators and other affiliates document (if NSF), and any other documents as required by the agency and solicitation are identified as Proposal Components and fall within the same criteria as Lehigh University Proposal Components for Service Standards below.].
5. All final documents are not complete and received by ORSP by 8am two days prior to the Submission Deadline, unless an exception has been granted.

ORSP Service Standards (see ORSP Proposal Submission Deadline Matrix)

ORSP is committed to supporting Lehigh investigators by assuring timely review and submission of complete and accurate proposals that have the best chance of success in the sponsor review process. In order to provide the greatest possible benefit to Lehigh’s sponsored proposals, balance the service and needs of all Lehigh’s investigators and capitalize on ORSP’s expertise, ORSP has defined the following minimum service level commitment for proposal review based on the timeframe of proposals submission to ORSP in advance of the sponsor’s deadline.

1. Solicitation/Application details received as soon as available and/or 10 business days in advance. With at least ten business days’ notice, ORSP will ensure understanding of all requirements for submission and also monitor any changes that may occur in the deadlines or submission procedures. Further, ORSP will note and alert the PI and departmental or RSS support of any unusual, new or atypical submission requirements in order to allow ample time to ensure these requirements are fully addressed.
2. Proposals received five (5) business days in advance (Technical components received two (2) business days in advance). For final proposals submitted to ORSP five business days in advance of the sponsor’s deadline, with the final technical components ready for submission received two days in advance, ORSP offers a comprehensive review which includes:
   1. Comparing the proposals to the sponsor’s guidelines, including:
      1. Font type and size
      2. Margins
      3. Page limits for sections and proposal
      4. Completeness for inclusion of all required sections and forms
   2. Verifying accurate budget calculations, appropriate F&A and fringe rates
   3. Clear and complete budget justification
   4. Verifying cost sharing is in line with sponsor requirements and Lehigh policy
   5. Verifying institutional information (e.g. UEI, contact information, etc.)
   6. Checking and clearing errors generated by LIRA and/or sponsor’s proposal submission system
3. For proposals with no designated agency Submission Deadline (e.g. NSF programs that accept unsolicited proposals any time, or DoD/DoE Broad Agency Announcements open throughout a fiscal year), ORSP Service Levels and Service Standards apply. The anticipated Submission Date must be provided by the PI as the ‘Agency Due Date’ when initiating the LIRA Funding Proposal record. Should the PI decide to change the anticipated submission date, ORSP will update the LIRA record accordingly to maintain tracking and reporting metrics.
4. There are several challenges that are beyond the control of the University, which can be mitigated when proposals are submitted to ORSP sufficiently in advance of the sponsor deadline, including:
   1. Grants.gov has a stated processing time of 2-4 days with no tolerance if errors exist and cannot be corrected before the deadline
   2. Federal agency servers routinely crash during peak demand times that occur when hundreds of institutions submit proposals at the same time. No tolerance is given for server errors to last minute proposal submitters by any of the federal sponsors.
   3. Alternative proposal submission pathways (other than grants.gov) can add complexity to proposal submission and can require additional assistance to secure successful submission.

Proposals involving Policy Exceptions

Proposals which involve any exception to University policy (e.g. requests for PI exceptions or Facilities and Administrative (F&A) waivers), are subject to the approval of the appropriate Dean or Center Director and in some cases, the Vice Provost for Research or the Provost. Such approvals should be sought as soon as practical and must be received prior to submission of the proposal to ORSP.

Lehigh University Adverse Weather Closures

When Lehigh University closes due to inclement weather in accordance with the University’s Adverse Weather Policy, ORSP may not be available to submit proposals that are due that day. It is at the discretion of the PI, in consultation with the assigned ORSP CGS, whether or not to submit or seek an extension from the sponsor when the University is closed. The assigned ORSP CGS must be copied on, or submit on behalf of the PI, all extension requests. Generally, the decision to accept late submissions is made by the sponsor on a case-by-case basis. Please refer to the sponsor’s specific policies on late submissions due to inclement weather.

Additional Considerations

• Lehigh University’s Business Day ends at 5:00 pm ET. Even if a Sponsor’s Deadline time is later than 5:00pm, the Submission Deadline time is considered to be 5:00 pm ET.
• Departments/Colleges/Centers may impose additional deadlines and requirements, so be sure to confirm the proposal requirements within your department/college/center.
• For all proposals being submitted via the sponsor’s electronic system, such as research.gov, Proposal Central, etc.:
  • If the system permits, ORSP 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 our team access, the proposal must be provided in accordance with the established 5/2 deadline policy. Once reviewed and approved by ORSP, the proposal can be submitted. A final copy of the proposal and the submission confirmation must be provided to ORSP.
• The creation of a LIRA record is not a submission
• Informing staff that a proposal is being submitted prior to the five business days is NOT a submission to the department/RSS or ORSP for processing
• Emails regarding the intent to submit a proposal is not a submission

Additional Resources

• ORSP Proposal Submission Deadline Matrix
• Exception Request Powerform 

Definitions