Pre-Award Support

• 9.2 Private Practice, Consultation, or Outside Employment
• 9.3 Conflict of Interest
• 9.4 Investigator Financial Disclosure
• 9.5 Public Health Service Investigator Financial Disclosure
• 9.6 Export Controls
• 5.2 Externally Sponsored Programs
• 1.6.4 Minors on Campus

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• VII-03 Campus Laboratory Materials Acquisition and Inventory
• IX-04 Cost Sharing for Research and Other Sponsored Activity
• IX-10 Proposals for Sponsored Programs
• IX-20 Training Requirement in Responsible Conduct of Research
• IX-21 Export Control
• IX-22 Facilities and Administrative Cost Distribution
• Conflict of Interest Policy (coming soon)
• University Space Policy (coming soon)

 

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• Export Control Procedure
• Procedure for Fixed Price Contracts
• Proposal Submission Guidelines
• OSP Cost Estimates for Mines Proposal FY25
• Indirect Cost Rate Agreement FY20-25
• FY25 Graduate Assistantship Minimum Stipend
• Minimum Wage for Undergraduates
• Benefit Rates for Employees FY25
• Institutional Review Board IRB Human Subjects Research Decision Chart
• Registering for Responsible Conduct of Research Training through CITI (Student Version)
• Registering for Responsible Conduct of Research Training through CITI (Faculty/Staff Version)
• Generative AI in Research-V1b
• Mines Graduate Mentoring Template June 2024
• Cost Share Information Sheet
• Participation of Minors on Funded Project

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• Intent to Propose Form (login required) 
• Request for Proposal Budget
• Budget Template for PI
• Checklist to Determine Contractor or Subaward (available from OSP)
• Request for Permission to Engage in Private Practice, Consultation or Outside Employment (available from Human Resources)
• Space Request Form 

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The Office of Research regularly sends out notices of federal opportunities, such as requests for proposals (RFP), to faculty and research scientists via email. The South Dakota EPSCoR office also provides a newsletter (SD EPSCoR Digest) with funding, professional development, and educational outreach opportunities. A link to sign up to their list serve is available.

The following sites also are excellent resources to find federal funding opportunities:

grants.gov

fedconnect.net

Specific Agency Sites such as nsf.gov

PIs should contact the relevant program officer at the potential sponsor to assess the relevance of a planned project to the RFP guidelines and the agency’s mission, particularly if the proposal is unsolicited.

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Proposal development typically commences when a PI finds a Request for Proposals (RFP), Broad Area Announcement (BAA), Funding Opportunity Announcement (FOA), etc. (here collectively called RFPs) that aligns with their particular research interests.

RFPs contain information on the type(s) of the research topics eligible for funding, submission deadlines, eligible applicants, funding available, specific instructions for proposal preparation and submission, a summary of the review process and criteria, award administration, deliverables, and reporting requirements.

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The PI and, if applicable, their co-PIs and other members of a research team will develop the technical components of the proposal and other required ancillary documents (biographical sketches, current and pending support, etc., post-doctoral mentoring plans, etc.). Under relevant guidelines and procedures are documents providing Guidelines for Use of Generative AI in Research and a template for Graduate Student Mentoring Plans (required by NSF as of summer 2024). The FAQ What goes into a data management plan?  provides helpful links for Data Management Plan development for several agencies.

The PI works with OSP on budget development and review, documenting facilities and administrative (F&A) cost distributions (if applicable), documenting cost sharing commitments (if applicable), compliance with the required components of the submission packet, and final submission to the agency.

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In instances where an RFP limits the number of proposals that an organization can submit, the Vice President for Research (VPR) will gauge interest among faculty and research staff via email, and if there are more potential submissions than the available submissions slots, an internal competition will be held to select the proposal(s) to be submitted from campus. The process will include a call via email for white papers with specific guidelines. Reviews by Mines peers who were not associated any of the white papers will be solicited, and the VPR will select the project(s) to go forward for submission.

If a researcher is interested in submitting under an RFP with limited submissions and there has not been a call for interest, please contact the VPR to start the process.

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To start the submission process, the PI completes an ITP form (institutional log in needed). The PI will need to enter the anticipated start and end date of the proposal, the submission deadline, a link to the RFP, and a short paragraph describing the proposed research.

The form also contains a series of questions that need to be answered. Often, additional information will be needed if answering yes to any.

Once submitted, the co-PIs (if applicable), Department Head(s), Center and/or Institutional Research Laboratory Director (if applicable), Provost, VPR, and OSP will be informed via email.

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Deadlines for submitting an ITP are as follows:

• If a Mines PI is submitting a proposal directly to an agency and there are no subawards, the PI must submit the ITP at least 10 BUSINESS days prior to the proposal submission deadline (submission deadline date + 10 working days).
• If a Mines PI is submitting a proposal directly to an agency and there are one or more subawards, the PI must submit the ITP at least 11 BUSINESS days prior to the proposal submission deadline (submission deadline date + 11 working days).
• If a Mines PI is submitting a subaward and another entity is the lead, the PI must submit the ITP at least 15 BUSINESS days prior to the proposal submission deadline (submission deadline date + 15 working days, allowing 5 days for the submitting entity to do their own routing).

NOTE: Some RFPs have many PIs submitting for the same deadline (e.g., BOR Research Competitiveness grants). For those RFPs, additional days may be required to handle the higher volume of submissions. These special deadlines will be announced by OSP via email shortly after an RFP is published.

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Federal and State laws, agency guidelines, SDBoR policy, and/or Mines policy and procedures require additional review and approval for several activities.

• If a proposal includes planned activities that take place in a research center or university research laboratory, clicking ‘yes’ will access a pick list of eligible centers and labs. Approval by the Center/Lab Director is added to the routing queue, and only one center/lab may be selected for a proposal. NOTE: Selecting a lab/center reduces the F&A made available to the PI, participating departments, and the Office of Research. See Mines policy IX-22 for additional information.
• Major Equipment: If the budget includes funding to purchase equipment and the cost is at least $35,000, the PI will need to provide information that includes a description of the instrumentation, where it will be located, whether new space or renovations will be needed, etc.
• If there are real or perceived financial conflicts of interest, related parties’ transactions, or self-dealing, the PI will be asked to provide explanation(s) and may be required to update a Mines Consulting Request Form for SDBoR Conflict of Interest - Authorization Request Form. See SDBoR policy 4.9.2, 4.9.3, 4.9.4, 4.9.5, and Mines policy ##-## for additional information.
• If there is a need for additional or remodeled space to complete a project, a Space Request must be completed and submitted to the University Space Committee for consideration. Failure to disclose space needs may result in the return of grant funds. See Mines policy ##-## for additional information. Approval by the Space Committee will be indicated by the VPR’s signature.
• If the project involves human and/or animal subjects, the PI works with the Associate VPR (AVPR) to determine if a review is necessary. Mines uses South Dakota State University's (SDSU) decision chart to determine the need to submit an application to the SDSU Institutional Review Board. If needed, the AVPR will refer the project to the appropriate point of contact at SDSU to begin the process. The SDSU IRB findings will be provided to the researcher and the AVPR for implementation. Approval by the AVPR is added to the routing queue if yes is selected for one or both of these.
• If the project will purchase, use, or produce radioactive, controlled, or biohazardous materials, or will use radiation producing equipment, the PI will provide an explanation. Approval by the Associate Vice President for Facilities, Risk, and Services is added to the routing queue if yes is selected for one or both of these questions.
• If the project will use or develop items, software, or technology subject to US export control regulations, including International Traffic in Arms Regulations (ITAR) or Office of Foreign Assets Control (OFAC), an explanation is required that the AVPR will review. The same is the case if the project will have other restrictions on generated results. The AVPR will be added to the routing queue. For additional information see SDBOR policy 4.9.6 and Mines policy IX-21 and Mines Export Control Procedure.
• All Mines students and personnel who participate in externally funded research projects are required to receive Responsible Conduct of Research (RCR) training. Submission of the PI’s certificate can expedite account set up, should the proposal be awarded. See Mines Policy IX-20 for additional information.

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Once the ITP is submitted, OSP staff will review the RFP, assist the PI in the develop the budget and budget justification for the proposal, document F&A distributions (if needed), document cost-share (if needed), and ensure compliance with regulations associated with submitting applications to a particular funding source.

Guidelines for the submission process are available.

The budget and a draft project description, as well as all other internal documents needed for approvals (e.g., equipment justification), must be loaded to the ITP site at least 3 business days prior to the submission deadline to allow for Co-PI(s) (if applicable), Department Head(s), Center/Lab Directors (if applicable), the Provost, and the VPR to review and approve the proposal for submission. See Mines Policy IX-10 for additional information.

Once all approvals are received through the ITP system, the proposal is ready for agency submission, pending completion of all needed ancillary documents.

Once complete, OSP will submit the proposal package to the funding entity on behalf of the researcher. OSP is the only agent authorized to submit proposals at Mines.

Researchers should be aware that once their proposal is submitted it becomes part of the public domain and is reachable by a Freedom of Information Act (FOIA) request to the funding agency or Mines.

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In fixed-price contracts, the sponsor pays a set price for agreed upon work, within an established timeframe, regardless of the ultimate cost to complete the project. In general, payment is tied to receipt of deliverables within an agreed upon scope of work. If the deliverables are satisfied, the sponsor is contractually obligated to pay the specified agreement amount. If the deliverables are not satisfied, the sponsor is not obligated to pay.

Cost-reimbursement awards are contracts where the university is reimbursed for actual costs incurred by the project in performance of the work only after expenditures are made, submitted to the sponsor, and found appropriate and allowable for payment. These contracts require detailed budgets that indicate the intended use of the funds as this detail helps define appropriate and allowable expenditures. Agencies making cost-reimbursable awards may allow no-cost extensions and budget reallocation, if appropriate.

Financial risks are greater for fixed-price contracts than cost-rembursable contracts because all work must be completed within the established timeframe, even if there are cost overruns. The institution, however, can retain any cash balance remaining after the work has been completed and all expenses related to the contract have been paid. Nonetheless, significant residual balances (i.e., those greater than 10% of the award total) may indicate either that the budget estimation used in developing the proposal was inaccurate, or that some costs were not appropriately charged to the project, so that the university is, by default, partially funding the project.

Additional information is available in Procedure for Fixed Price Contracts

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A PI works directly with OSP to develop a budget and budget justification. The PI can communicate budget information to pre-award staff via a provided template (Request for Proposal Budget or Budget Template for PI), in writing (via email), or verbally (by phone or in person), whichever works best for the PI. The communication method chosen must clearly outline expenses that will support the project.

Typical budgets include:

• Salaries/wages: for PI, co-PI, graduate students, undergraduates, technicians, post-doctoral scientists, and engineers, etc.
  • NOTE: Wage/salary calculations are based on the annualized base salary (ABA) of each person to receive salary. ABA is the maximum amount the employee would receive if they were to work full-time (1.0 FTE) for a full year (12 months.) For nine-month employees, ABA is 4/3 of the nine-month salary.
  • NOTE: The institution highly recommends inclusion of funding for graduate research assistantships, particularly for doctoral students, in proposal budgets. If not included, a PI may be asked to justify that decision.
  • NOTE: Current minimum rates for graduate assistantships are available.
• Fringe Benefits: There are set rates for employees and for students established for each fiscal year.
• Equipment: These are items with a net cost over $5,000 ($10,000 as of October 1, 2024) and useful life of more than one year. More information is available under the “What is the difference between equipment and supplies?” Equipment costs are excluded from F&A rate calculations.
• Travel: domestic and international are budgeted separately. South Dakota travel rates apply.
• Participant Support Costs: include stipends, subsistence, travel, etc. for participants in programming (meeting, workshop, conference, training, etc.) that are funded by a grant. These costs are excluded from F&A rate calculations. Participation by minors in grant activity is subject to SDBoR Policy 1.6.4 and Mines guidelines on Participation of Minors on Funded Projects
• Other direct costs typically include
  • materials and supplies: NOTE: if purchasing chemicals or other potentially hazardous supplies, EHS approval may be required. See Mines policy VII-03 for additional information.
  • publication costs.
  • contractual/fee for service. See “Should I budget for a subaward or contractual services?” FAQ for additional information.
  • tuition remission. NOTE: tuition and fee charges are calculated using the out-of-state graduate assistantship rate, by default. Costs are excluded from F&A rate calculations.
  • conference registration fees: Other travel costs fall under travel.
• Indirect Costs: also known as F&A or overhead are funds used to recoup actual costs incurred to conduct normal business activities associated with sponsored research. For more information see the “What is F&A?” FAQ for additional information. Current federally negotiated and approved rates are available. 

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Equipment is an item with a net cost over $5,000 ($10,000 as of October 1, 2024) and a useful life of more than one year. An assembly of components each costing less than $5,000 is considered a piece of equipment if they function as if they were one item. EXAMPLE: Instrumentation called “The Examiner” will consist of three components funded by a grant: a Reader (cost = $3,000), a Scanner (cost = $2,500), and an Analyzer (cost - $4,500). When assembled The Examiner's net cost = $10,000 and its expected life span is 5 to 10 years. The Examiner would be considered a piece of equipment when budgeting, even though no single component costs more than $5,000. 

Any project materials that do not fall under this definition of equipment are considered supplies. 

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A subaward is appropriate in instances when a sub-recipient carries out part of the award and helps fulfill the purpose of the grant.

A contract for services is appropriate in instances where the PI is purchasing goods or services from an entity and that entity has no other obligations toward carrying out part of an award.

Please complete a checklist  (available from OSP) and provide it to OSP to determine if the entity is considered a Contractor or Subrecipient.

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F&A costs are also called indirect costs or overhead. As per SDBoR Policy 5.2, F&A funds are used to recoup actual costs incurred to conduct normal business activities associated with sponsored research. These funds are distributed into overhead recovery accounts for campus units and Principal Investigators (PIs) to defray costs of sponsored research activities that are not covered by grants and contracts.

Mines uses a federally negotiated F&A rate that applies to all proposal types. Some RFPs do not allow F&A charges or may limit the percentage of F&A allowed. In these cases, the difference between Mines’ negotiated rate and the actual amount charged is considered cost sharing (for more information see “What is cost sharing and what resources are available to cost share?”). Mines does not waive F&A charges unless the RFP requires it.

The current approved F&A rate for organized research is 42% of the modified total direct costs (MTDC, excludes equipment, capital expenditures, charges for patient care, student tuition remission, rental costs of off-site facilities, scholarships, and fellowships, as well as the portion of each subaward in excess of $25,000).

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Cost sharing, also referred to a matching or in-kind funding, represents costs of a project not borne by the sponsor. Cost sharing on sponsored projects should be minimized, and Mines does not contribute cost sharing funds unless required by the RFP.

Voluntary commitments, however, may be considered for some prestigious awards (e.g., NSF CAREER, NSF ERC, etc.) and must be approved by the Vice President for Research (VPR).

Cost sharing sources can be cash or in-kind support. Cost sharing funds must be:

• from nonfederal funds (funds from other federal awards cannot be used)
• documentable/verifiable
• not already committed to another project
• expended during the project period.

Cost sharing must be approved by the department head and OSP. Sources of cost sharing include:

• unallowed F&A charges (not allowed or reduced due to requirements in the RFP)
• personnel effort (NOTE: The amount of salary available for cost share depends on an individual’s distribution of workload and source of salary support).
• departmental funds, including use of the department's portion of F&A to be received from that funded project.
• third party contributions documented in commitment letter(s). 

Further information is available in Mines policy IX-04 and the Cost Share Information Sheet.

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Use the OSP Cost Estimates for Mines Proposal Budgets.

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The content of the data management plan varies by agency. Here are some useful resources:

SPARC

Information on tracking and understanding article sharing policies and data sharing policies of federal agencies

https://researchsharing.sparcopen.org/

NIH:

Writing a Data Management & Sharing Plan (with examples)

https://sharing.nih.gov/data-management-and-sharing-policy/planning-and-budgeting-for-data-management-and-sharing/writing-a-data-management-and-sharing-plan#after

NSF

Preparing Your Data Management and Sharing Plan

https://sharing.nih.gov/data-management-and-sharing-policy/planning-and-budgeting-for-data-management-and-sharing/writing-a-data-management-and-sharing-plan#after

Frequently Asked Questions for Public Access

https://www.nsf.gov/pubs/2018/nsf18041/nsf18041.jsp

USDA

Data Management Planning Services
https://www.nal.usda.gov/data/data-management-planning

NASA

STI Compliance and Distribution Services

https://sti.nasa.gov/faq/

 

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