Sponsored Grants and Contracts

I. REASON FOR THIS POLICY

This policy covers all grants and contractual agreements that place obligation on Dakota State University for scholarly research, creative activity, instruction, training, or other activities. In most cases, this involves a formal agreement in which Dakota State University agrees to conduct or perform certain activities and the grantor or contractor provides funds, equipment, materials and/or services that Dakota State University agrees to manage according to its policies.

II. DEFINITIONS

1. Agreement or Contract. A binding agreement between two or more parties for performing, or refraining from performing, some specified act(s) in exchange for lawful consideration.
2. Authorized Organizational Representative (AoR). The AoR is the individual who is authorized to sign on behalf of the proposing organization.
3. Award Closeout. Award closeout occurs within 120 days following the Period of Performance as governed by 2 CFR 200.344.
4. Award Process. Award process refers to everything that happens from the time an institution receives a notice of award (NoA) or award letter through when the University’s authorized official signs the appropriate document(s), accepting the award on behalf of the institution. See also 2 CFR 200, Appendix I. From a faculty perspective, the award process is led by Research and Economic Development.
5. Budget Period. The budget period is time during which allowable, allocable, reasonable expenditures can be charged to the award according to consistently applied cost principles outlined in 2 CFR 200, mainly in Subparts D and E.
6. Business Office. The administrative office provides various services to the university, including but not limited to accounts payable, accounts receivable, purchasing, contract administration (non-research contracts), budget, cashier/student accounts, and other financial-related services.
7. Chief Research Officer (CRO). The institutional official charged with oversight of all research, creative activity, and innovation.
8. Co-Principal Investigator (Co-PI). A person sharing the above-noted Investigator duties as delegated by the PI.
9. DSU Central Contract Repository. The University’s database, which contains the final signed agreements, contracts, master service agreements, memoranda of understanding or agreement, along with other related data.
10. Institutional Official (IO). The individual responsible for research compliance oversight, including RCR, research with human subjects, and research-related export controls.
11. Institutional Review Board (IRB). The Institutional Review Board is an administrative body established to protect the rights and welfare of human research subjects recruited to participate in research activities conducted under the auspices of the institution with which it is affiliated.
12. Office of Sponsored Programs (OSP). The Office of Sponsored Programs is housed within Research and Economic Development. It supports faculty and staff throughout the award lifecycle. This includes pre-award, award, post-award, award closeout, and training.  The OSP is responsible for the coordination and administration of all applications or proposals for sponsored grants and contracts. All proposals for sponsored programs must be processed through the OSP, and only Authorized Organizational Representatives (AoR) can submit proposals to sponsoring agencies.
13. Period of Performance. Period of performance is the period of time during which award activities can take place and be charged to the related award budget. See additional provisions relating to public budget period in 2 CFR 200, Subpart A.
14. Post-Award. Post-award refers to every award activity and function that occurs from the receipt of a countersigned/fully executed award agreement through final closeout. This phase is primarily governed by 2 CFR 200, Subpart D. From a faculty perspective, post-award activities are carried out in Research and Economic Development.
15. Pre-Award. Pre-award is a phase during the award lifecycle of any sponsored program (whether grant, cooperative agreement, or contract) referring to all activities and functions occurring prior to the submission of a proposal to a funding agency. This phase is primarily governed by 2 CFR 200, Subpart C. From a faculty perspective, pre-award activities are carried out in Research and Economic Development.
16. Principal Investigator (PI). A Principal Investigator or PI is the individual responsible for the preparation, conduct, and administration of a research grant, cooperative agreement, training or public service project, contract, or other sponsored project. PIs must meet certain eligibility requirements as outlined in federal, state, and university rules and restrictions as noted in solicitations for said grants, agreements, contracts, and projects. Most agencies use the PI on a very short list of project contacts.
17. Research and Economic Development (RED). The unit at Dakota State University that supports faculty and staff in sponsored programming as outlined in Sponsored Grants and Contracts above.
18. Responsible Conduct of Research (RCR). Responsible Conduct of Research training covers norms, principles, regulations, and rules governing the practice of research. Training modules are assigned through our RCR provider.
19. Sponsored Grants and Contracts. Any funding instruments—grants, cooperative agreements, or contractual agreements—which place an obligation on Dakota State University for scholarly research, creative activity, instruction, training, or other activities/programming. In general, sponsored programs should be directly related to the research, teaching, and service missions of the university.
20. Statement of Work (SOW). The statement of work is a document often attached to a contract that provides greater detail of the activities, deliverables, and timeline of the work performed in the contract. Externally sponsored grants, cooperative agreements, and contracts often use a proposal collected by the sponsor from applicants or bidders to serve as the Scope of Work or part of it.
21. Terms and Conditions. The terms and conditions document governs the contractual relationship between the funder and the university.

III. STATEMENT OF POLICY

Inclusions. This policy covers all grants, cooperative agreements, and contractual agreements which place obligation on Dakota State University for scholarly research, creative activity, instruction, training, or other activities.

1. Approval Authority. The Office of Sponsored Programs is solely responsible for the coordination of approval/endorsement for sponsored proposals leaving Dakota State University. The OSP will route for signatures prior to submitting a proposal to an outside entity.  Regardless of outside due dates, all awards have an internal deadline seven (7) calendar days prior to external due dates to ensure reasonable time for vetting, compliance assurance, and endorsement before submission to the sponsor.   If either the due date or internal deadline falls on a weekend the last working day prior will be the submission date. Proposals not received within the seven-day window are not guaranteed submission.
2. Administration: The OSP is responsible for the coordination and administration of all applications for research grants and contracts. The OSP assists faculty and staff in finding funding opportunities, coordinates with the DSU Foundation when funding comes into the Foundation, provides guidance on proposal formats, budget preparation, and compliance.
3. PI Responsibilities. The PI is responsible for the management and integrity of the award, including budgetary allocability, timely reporting, dissemination, procuring supplies, hiring support staff, ensuring export controls are followed, training is conducted, and more. RED will help along the way, but the PI has full responsibility for an award.
4. Limited Submissions: Certain funding opportunities limit the number of applications that may be submitted per institution. The Vice President of Research, or Associate Vice President of Research will define an internal review process to identify the university sponsored proposal. Each internal review process may look different, depending on funding opportunity.
5. Signatory. Awarded Grants, Cooperative Agreements, Contracts, and all other agreements shall be signed only by those who have been delegated authority to do so in writing by the University President in accordance with SDBOR policy 5.3.
6. Documentation and Information Maintenance. University departments and colleges shall maintain corresponding information about their specific delegations of authority, ensure that contracts and agreements are properly approved by the appropriate department or college individual, and that costs associated with the contract or agreement are appropriately tracked within the department or college. Each PI is responsible for maintaining the results of the sponsored programming based on the terms and conditions of the award.  RED is ultimately responsible for the records for the university. The financial aspect of the award will be retained in the university’s financial system, the Business Office is responsible for financial records.
7. Responsible Administrators. The Vice President for Research and Economic Development and the Vice President of Business and Administrative Services shall be responsible for the review of this policy and the annual review of procedures and maintenance of documentation of delegations under this policy. The University President is responsible for delegations and final approval of modifications to this policy and its procedures. 

Exclusions

Contracts and Agreements where DSU is requesting and paying for a service, or Master Service Agreement (MSA), Memorandum of Understanding/Agreement (MOU/MOA) as required by and in conformity with South Dakota Board of Regents (SDBOR) Policy, Contracts, and Agreements, see DSU policy 03-04-00 (presently under revision, including its name) regarding sponsored program development, authorization, and submission.

Exceptions

None

IV. PROCEDURES (MAJOR)

1. Pre-Award: Request for Proposals (RFP), Notice of Funding Opportunities (NOFO), or other opportunities are identified, and the researcher (faculty or staff) works with their direct supervisor first, and then the Sponsored Programs Office. The researcher will first submit the Intent to Propose (I2P), then work on developing the team, writing the proposal, and with the OSP on narrative and budget development.
   
   The Office of Sponsored Programs Office is the office that directly communicates with PIs and will work with the Business Office on finalizing the budget. The OSP will route for internal endorsements as defined in I2P, then will submit the proposal as the AoR. The DSU AoR’s are the Vice President of Research and Economic Development and Associate Vice President of Research and Economic Development.
2. Award Process: The proposal is reviewed at the agency or organization; notification is sent to the PI and RED. If the proposal is funded, RED accepts the award on behalf of the university, and notice is shared with researchers, supervisors, and the campus community. If the proposal is not funded, notice is still shared among PI and supervisor.
3. Post Award: The post award phase comprises a significant amount of work over the duration of the award dates, which includes implementing the grant, reporting progress, and completing the closeout requirements. The federal agency that makes the award to you is also there to assist and ensure you or your organization complies with the grant terms and conditions. Your job is to faithfully and diligently carry out the grant program. The PI is responsible for ensuring their research training is complete, submitting any IRB applications or protocol updates, along with any IP disclosures. The PI should read the Terms and Conditions of their award and follow the reporting cadence outlined.
   
   Research and Economic Development will work with the Business Office to get the new index setup. RED will create subawards, develop contracts and agreements (as outlined in Contracts and Agreements: Approval 6.3), compliance and IRB administration.  RED will coordinate the new “Welcome to Sponsor Programming” mentoring and training. The OSP will give PI monthly budget updates.
   
   The Business Office will create the new index and share with the OSP. The Business Office will also support OSP-initiated financial reporting, and work with auditors on financial compliance.

4. Closeout: After the award activities been fully implemented/completed, at the end of the award period (Period of Performance), closeout refers to the final qualitative and quantitative reporting, data retention, and award closeout. The PI is responsible for developing the final qualitative report and works with OSP to ensure all terms and conditions have been met. The PI will also work with RED and Information Technology Services on data retention.
   
   Research and Economic Development will work with the Business Office on final quantitative reporting and will ensure data retention is document.
   
   The Business Office will work with the OSP on the award close out per applicable agency and regulatory guidance and perform any necessary audit functions. 

5. Reporting and Training: Campus-wide training (Brown bags, IRB training, export controls, etc.), annual Board of Regents reporting, and internal and external reporting are part of the responsibilities of Research and Economic Development. Researchers are responsible for ensuring their require trainings are complete, mentoring senior personnel and students, and promptly reporting any suspected non-compliance to appropriate compliance officers:
   
   1. IRB Administrator for human subjects non-compliance, who will report incidents to the IRB Chair and the CRO/IO.
   2. AVP for Research/Economic Development for any other RCR non-compliance, who will report incidents to the CRO/IO.
   3. Sponsored Programs Analyst for any instance of financial non-compliance, who will report to the CRO and Business Office.
   The Business Office will work with the OSP to support and confirm quantitative reporting numbers and support training functions related to accounting system.

V. RELATED DOCUMENTS, FORMS AND TOOLS

• Pre-Award Manual
• Post-Award Manual
• Intent to Propose

VI. POLICY HISTORY

ORIGINALLY ISSUED: 07/21/1988

REVISED: 02/04/1998

REVISED: 05/08/2023