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Policy Contact: Division of Research and Economic Development

1. Purpose

   This policy and its procedures set forth the standards applicable to University proposals for sponsored projects to ensure compliance with state statutes, federal rules, SDBOR policy, and University protocols.

2. Definitions
   1. Contractor: a third-party entity providing specific, routine goods or services through an authorized agreement needed for a Sponsored Project.
   2. Co-Principal Investigator/Co-Project Director ("Co-PI"/"Co-PD"): a designated investigator who shares scientific and administrative leadership responsibilities for a Sponsored Project with the Principal Investigator/Project Director.
   3. Key Personnel: individuals, including the Principal Investigator/Project Director, who are essential to the development or execution of a Sponsored Project.
   4. Principal Investigator/Project Director ("PI"/"PD"): the primary individual who is responsible and accountable for activities on a Sponsored Project.
   5. Proposal: a detailed request for funding prepared in accordance with the Sponsor and University/SDBOR instructions and requirements.
   6. Proposal Routing: the processes and associated forms or platforms of review and approval of one or more aspects of the Proposal for sponsorship funding on behalf of University.
   7. Sponsor: an external agency or entity that provides funding for a project that might include research, training, or other sponsored activity, which could be a grant, contract, subcontract/sub-award, cooperative agreement, etc.
   8. Sponsored Project (or Project): an activity (grant, contract, or other arrangement) funded by a non-University agency or entity requiring the University, by written agreement, to conduct certain work under a set plan, schedule, and budget, typically for the purpose of supporting research, instruction, or public service through tangible or intangible deliverables that are the ultimate result of the Sponsored Project.
   9. Subaward: when a portion of the University's Sponsored Project is passed through to another entity in order to complete a portion of the Sponsored Project's scope of work.
3. Policy
   1. When submitting a Sponsored Project Proposal, the University is committing itself to fulfilling the purposes and requirements of the proposed Project through use of University personnel, resources, and facilities.
   2. Proposals for Sponsored Projects must meet requirements of University/SDBOR policies, Sponsor eligibility, and other requirements to be approved for submission.
   3. Employees, University adjunct faculty, and authorized emeriti faculty may serve as PI/PD. Graduate students mentored by an eligible faculty member with the faculty member serving as the responsible individual on behalf of the University are also eligible to serve as PI/PD.
   4. The PI/PD is responsible for ensuring that the Proposal adheres to all University/SDBOR policies, including without limitation University Policies 2:19 (Graduate Assistants and Fellows), 4:9 (Conflicts of Interest), 5:35 (Purchasing), 7:12 (Technology Purchases), 7:14 (University External Websites); 8:1 (Export Controls), 8:4 (Indirect Cost Recovery), 8:5 (Institutional Biosafety), 8:6 (Institutional Animal Care and Use), 8:7 (Protection of Human Subjects), 11:3 (Institutes and Centers at the University), human resources policies and procedures, other compliance when applicable (e.g., HIPAA, CMMC, ITAR), and all other applicable laws and policies, and for all operation and oversight of the Sponsored Project prior to and following submission of the Proposal.
   5. The University Division of Research and Economic Development (D-RED) is responsible for reviewing to ensure Proposals meet Sponsor and University/SDBOR instructions; that all necessary reviews and approvals required for submission are complete; policy requirements necessary for submission, tracking Proposal submissions, rejections, resubmissions, and awards; and negotiating with Sponsors to obtain mutually acceptable terms and conditions that will allow the University to accept the award for a Sponsored Project in accordance with federal regulations, state law, and Sponsor and SDBOR/University policies and practices. D-RED will make specific procedural guidance and training available to the campus community.
   6. The Vice President for Research and Economic Development is responsible for reporting to the SDBOR Executive Director on applications for extramural funding as required by SDBOR Policy 5.2.
   7. The college or unit proposing a Sponsored Project is responsible for reviewing the appropriateness of the Sponsored Project and to ensure that prior approvals from other units are obtained when required.
   8. Any Proposals (including pre-proposals, letters of intent, and concept papers) that propose a budget and commitment of personnel and facilities or other such financial considerations, including fixed-price and fully-burdened quotes, cannot be submitted to the Sponsor without prior completed Proposal Routing. PI/PDs submitting Proposals directly to the Sponsor must also send the final Proposal to D-RED through the electronic research administration system.
   9. Any award granted from an unauthorized Proposal submission may be rejected by the University.
   10. The University Office of Grants and Contracts Administration (GCA) is responsible for providing pre-award budget review and approval as well as support for post-award monitoring, Subawards, financial compliance, monitoring, and accounting. GCA will make specific procedural guidance and training regarding budget development and post award support available to the campus community.
   11. To ensure timely review and equitable processing of Proposals, Proposals must be routed for internal approval at least seven (7) business days prior to the submission deadline.
       1. D-RED submits Proposals during standard business hours (8:00 am to 5:00 pm) and follows University holidays and closings.
       2. Proposals not routed within the seven (7)-business day internal deadline will be considered at-risk Proposals. At-risk Proposals will not be given priority status over Proposals received on time. Every effort will be made by D-RED to submit all Proposals, even those designated as at-risk; however, submission of at-risk Proposals cannot be guaranteed if such would jeopardize the timely submission of non-at-risk Proposals. If an at-risk Proposal is found to be non-compliant with regulations or institutional policy via a post-submission review, the University may withdraw the Proposal from consideration.
   12. Proposal Routing and recording is managed through the University's designated electronic research administration platform. All requests for Sponsored Projects must be routed for internal approval through this electronic system.
   13. As the applicant organization, the University has the responsibility to review and approve Proposals before submission to an external Sponsor. Routed Proposals require review from the pre-award specialist assisting the PI/PD, GCA, Key Personnel, department head/director, the applicable associate dean or dean, and D-RED.
   14. Upon routing the Proposal, the PI/PD and other named members of the project team must certify that the information provided is true, complete, and accurate to the best of their knowledge; that they will comply with all applicable laws and regulations and Sponsor and University/SDBOR policies and procedures; and that they are aware that their names have been included in the Proposal and that each is willing to provide support to the Project.
   15. Upon Proposal approval and award, the PI/PD is responsible for the proper conduct of the work and for the administrative and financial management of the Sponsored Project in accordance with the Sponsor-approved scope of work and in compliance with all applicable University, SDBOR, state, and federal policies, laws, or regulations.
   16. All actions funded by a Sponsor must adhere to human resources and procurement and bidding requirements, and all other applicable policies, procedures, laws, and regulations.
4. Procedures
   1. Before developing a Proposal, the PI/PD will verify their eligibility to apply and check with the Sponsor for information on guidelines, Proposal format, forms, and the submission process.
   2. The PI/PD will work with the designated pre-award specialist/D-RED staff to develop a Proposal in accordance with Sponsor terms and all applicable University, SDBOR, state, and federal policies, laws, and regulations.
      1. All acquisition and purchasing policies will apply. Specific vendors will usually not be identified in the Proposal or the Proposal budget/budget justification unless required by the Sponsor. If specific vendors are required, initiate the review process in ample time for approval by the cognizant business unit. Quotes for equipment or supplies can be obtained by processing a Purchase Requisition with a note “for quote only” at the top. If the Proposal is awarded, the PI will work with Purchasing to ensure the appropriate procurement method is used for equipment, supplies, and contractual services. Initiating procurement processes before award can help save time during funded Projects’ period of performance.
      2. Pre-award specialists assist PI/PDs with Proposal development and ensuring Proposals meet policy requirements prior to Proposal Routing for University approvals.
      3. The PI/PD and University pre-award specialists will work with University business offices to ensure the contents of Proposals meet University policy requirements prior to final submission.
   3. PI/PDs will begin developing Proposal material in the designated Proposal system at least four (4) weeks prior to final Proposal submission if possible. The PI/PD will ensure that all documentation follows the parameters of this policy and if written exceptions to policies have been granted, those will be included in the notes or documentation for review. To ensure timely review and equitable processing of Proposals, the following documents must be routed for internal approval:
      1. Project title and abstract;
      2. University personnel information and fund numbers;
      3. Budget and budget justification;
      4. Subaward budgets and justification;
      5. Letters of commitment;
      6. Proposal guidelines;
      7. Guidelines for facilities and administration costs (F&A) limit or cost-share/match;
      8. Cost share/match source; and
      9. Contractor vs. Subaward form (linked in the routing form; if the Project has a Contractor or Subaward).
   4. All remaining technical documents outside of those identified above, such as the final project description, project summary/abstract, references, etc. must be uploaded for internal review no later than three (3) business days prior to Sponsor due date.
   5. Unless the deadline is specifically defined as earlier than 5:00 pm Central Time by the Sponsor, the submission deadline is 5:00 pm Central Time on the Sponsor's specified due date.
   6. Once the Proposal is routed for review, the PI/PD and any Co-PIs will be required to certify the information in the routing form and the attachments. Each PI/PD or Co-PI will receive an email message containing a direct link to certify the Proposal.
   7. The routing form is reviewed by the PI/PD's and Co-PI's department head or director, college's associate dean for research or other college designee, the GCA, and the D-RED. Depending on project details, the form may also be reviewed by Facilities and Services (construction and remodeling), Office of Information Technology (software, computing, data security), the Office of General Counsel (legal review), the Office of Human Resources (employment issues), and other offices that need to review.
   8. If a routed Proposal is rejected for submission to Sponsor, the routing status will be updated to allow for revisions, and a comment will be provided by the reviewer to explain the necessary edits. After corrections are made, the Proposal may be re-routed for approval.
   9. If a Proposal is approved for funding, GCA will notify the PI/PD and use the information submitted to set up the Project.
   10. GCA monitors the post-award financial administration and provides post award services for the Sponsored Project.

5. Responsible Administrator

   The Vice President for Research and Economic Development, successor, or designee is responsible for annual and ad hoc review of this policy and procedures. The University President is responsible for approval of this policy and procedures.

Approved by President on 01/21/2014. Revised 01/31/2024 (clerical). Revised; Approved by President on 03/04/2026.

Sources:

Associated Forms: ; Cayuse Research Administration Platform