Limited Submission Grant Programs Policy
Overview
With Limited Submission grant programs, funding agencies limit the number of proposals the university may submit. In most cases, the number allowed ranges from one to three. In the event there are more researchers interested in a particular grant program than the agency will permit, the Office of Research & Engagement will oversee an internal review process to determine which proposal(s) would have the best chance for success.
Flow of Information
To begin this process, the Office of Research & Engagement endeavors to inform the faculty of as many upcoming limited submission programs as we are aware of, asking interested parties to send us a Notice of Intent (NOI). If the number of NOIs does not exceed the number of allowable proposals, no internal review is necessary, and interested PIs are notified to proceed with their proposals. If more NOIs are received than the agency permits, an internal competition is triggered, and the leading researchers are asked to submit brief preproposals summarizing their projects. These documents are then reviewed by an internal Selection Committee with the top ranked ones approved to go forward to the sponsor.
Researcher Responsibility
Before preparing any proposal, it is the researcher’s responsibility to review the program solicitation for any institutional limitation, even if no announcement has been sent by the Office of Research & Engagement. Should a numerical limitation be present, the researcher must consult with this office before proceeding with the proposal.
Definition of Institutional Limitation
For many limited submission programs, the maximum number of proposals allowed applies separately to major UT entities such as UT/Knoxville, the UT Institute of Agriculture, and the UT Health Sciences Center. However, in instances where the funding agency defines the institution “as accredited,” the specified numerical limitation applies to all UT entities combined. Questions regarding how this definition applies to any particular grant program should be addressed to the Office of Research & Engagement (see contact information).
Notice of Intent
The internal (UTK) and funding agency deadlines for the solicitation are posted on the Limited Submission List on the Office of Research & Engagement Limited Submission webpage. To engage a specific program, interested investigators must first send a Notice of Intent (NOI) to limitsub@utk.edu by 12 p.m. (noon) on the date specified. The NOI is merely a placeholder document and need include only:
- Name and contact information for the PI
- Working title of the proposal
- Names of collaborators, if known
Potential for Internal Competition
If the number of NOIs does not exceed the number of allowable proposals, no internal review is necessary, and interested PIs are notified to proceed with their proposals. If the allowable number is exceeded, an internal competition is triggered, and instructions for preproposals are sent to the PIs. Only faculty who have submitted an NOI by the specified UTK deadline may participate in an internal competition.
Preproposals
If preproposals are invited, the instructions will specify the page limit (usually three or four), an overview of the project, names of senior investigators, estimated budget, and deadline for submission to the Office of Research & Engagement. The preproposal must be sent as an e-mail attachment to limitsub@utk.edu , and its format will be based on the program solicitation document issued by the funding agency.
Selection Committee
The internal review panel will be comprised of faculty and administrators with overall experience with research funding, agency policies, grantsmanship, and, where possible, expertise in appropriate disciplines. Preproposals will be ranked on their likelihood for success with the funding agency.
Feedback to Investigators
Following notification of the results of the internal competition, all PI’s who participated in the internal competition will be invited to review written notes from the Selection Committee’s discussion, a practice intended to improve future proposals.
Timeline for Internal Competitions
For most internal competitions, the Office of Research & Engagement will endeavor to manage the process within a four week timeline, as illustrated below:
The intent of this timeline is to afford the selected researchers with as much time as possible to submit a competitive proposal. Factors that may alter the timeline include a large, complex grant program, the academic calendar, holidays, or schedule conflicts with members of the Selection Committee.
Approved: 12/20/11
Contact Info
James Lloyd
Professor and Coordinator of Electronic Research Administration
Office of Research & Engagement
1534 White Ave.
Knoxville, TN 37996-1529
Phone: (865) 974-0390
Fax: (865) 974-7400
E-mail: jlloyd@utk.edu
Robert Porter
Director, Faculty Development
Office of Research & Engagement
1534 White Ave.
Knoxville, TN 37996-1529
Phone: (865) 974-3053
Fax: (865) 974-7400
E-mail: rporter9@utk.edu