Limited Submissions

Funding agencies (sponsors) sometimes place limits on the number of letters of intent, pre-proposals or proposals that any one university may submit in response to a funding opportunity announcement (commonly referred to as a Request for Proposals – RFP). The following policy is designed to support an equitable review process while preventing any submission disqualifications due to submissions from The University of Alabama beyond the allowed number.

The Office for Research and Economic Development (ORED) is continuously searching for limited submission funding opportunities. Opportunities are available through the Limited Submission website, distributed to the  ResearchNews listserv, and announced via other ORED communications.

Despite the best efforts of the ORED, not every funding opportunity with a limitation will be identified. Those interested in applying to a limited submission announcement that is not posted on the Limited Submission website or announced via other communications should email the Limited Submission Coordinator (Angie Shotts at acshotts@ua.edu) and copy their Associate Dean for Research: 1) the PI’s name, 2) name of the grant competition, 3) a link to the program announcement, and 4) the agency proposal due date. Failure to send this email notification in a timely manner may result in disqualification of an applicant for the relevant grant competition. Once notification is received, the ORED will review the guidelines to determine if the situation warrants a Request for Interest (RFI) or Pre-proposal Competition.

When a Request for Interest (RFI) is announced, those interested should complete the LOI announcement online submission form. The form, available via InfoReady Review on the limited submission website, will require basic information and is a tool to determine if a pre-proposal competition is necessary. The RFI has a short turn-around time (usually one week). Those who respond to the RFI by submission via the InfoReady Review portal will be notified that they may submit a proposal to the agency or if interest exceeded the sponsor’s limit and there will be a Pre-proposal Competition.

When a Pre-proposal Competition is necessary, applicants will submit a pre-proposal that is responsive to the agency and the specific funding announcement through the InfoReady Review link on the Limited Submission website. Applicants are encouraged to view the specific pre-proposal announcement prior to preparing their pre-proposal to ensure all guidelines and requirements are addressed. If, by the deadline, the number of responsive submissions received in the proper format is at least the number of proposals that the University can submit then no further submissions will be accepted for review. This will ensure that ORED has adequate time to review all pre-proposals and that the PI(s) selected to apply will have sufficient time to complete a full proposal. If, by the deadline, fewer submissions are received than the University can submit, or if at any time it is decided that insufficient responsive pre-proposals have been submitted, then additional proposals will be considered as they are submitted, until the limit is reached.

If the number of proposals submitted exceeds the limit prescribed by the agency, an internal selection process will be initiated.

The committee will be composed of three to five reviewers. The review panel may be composed of Associate Deans for Research, ORED administration, or other individuals deemed appropriate by the Vice President for Research and Economic Development. All reviewers will sign a confidentiality agreement agreeing to protect all confidential information included in the pre-proposal review process.

Committee members will individually review and score the pre-proposals based on a sound knowledge of the RFP and then will meet to discuss their scores and make selections. Reviewers will provide strengths and weaknesses for each pre-proposal, which will be shared with the Vice President for Research and Economic Development (VPRED). In the unusual case where there is unanimous agreement among members of the committee, reviews by the committee will be circulated to all members by email with a request to indicate whether: a) a committee meeting is needed, or b) the results can be recorded based upon the preliminary reviews.

If, after submission of the pre-proposal but before the committee decision is made, applicants learn that relevant grants have been funded or that relevant papers have been accepted, this additional information may be submitted as supplemental data (up to 1/2 page) to the Limited Submission Coordinator. No other supplemental data may be submitted.

Once the committee has determined which proposals merit further consideration, the results of the deliberations will be forwarded to Vice President for Research and Economic Development (VPRED) for final determination. It is expected that this review process will take about one to two weeks.

All selected applicants will receive an email notification and must reply, confirming their plans to proceed. Selected applicants will work with the appropriate Grant Specialists in OSP to submit to the funding agency.

The above process will be followed for most internal limited submission applications. In situations where there is insufficient time to convene a committee, the ORED may identify alternative procedures to ensure greatest institutional flexibility and competitiveness.

Withdrawal of selected applicant:

If a selected applicant(s) withdraws his/her proposal, the applicant(s) who received the next highest ranking will be notified that he/she is selected and may develop a proposal. Notification of withdrawal should occur as early as possible. Any applicant who withdraws with limited notice and without extreme extenuating circumstances will be identified as a risk for future limited submission competitions and reviewers will be notified accordingly. The VPRED will also follow-up directly with the appropriate Dean(s) and ADR(s) regarding the late withdrawal.

Submissions without OSP approval:

If a PI submits a proposal to a limited submission solicitation without following these procedures and fails to obtain OSP’s approval prior to submission, the University will withdraw the unauthorized proposal.

All pre-proposals must be formatted with one-inch margins, single spaced, with 11 pt. font. Appendices should not be included with pre-proposals. Please click on the agency specific formatting requirements below for additional information.

1. Does the project address the program objectives described in the solicitation?
2. Does the project fit with the agency’s primary direction?
3. Is the Investigator(s) qualified to conduct the proposed scope of work? A review of the current & pending support for the participants will be reviewed and evaluated, as applicable.
4. Information regarding University of Alabama strategic considerations, or other information relevant to the selection process, may be provided to reviewers by the VPR prior to deliberations.