Post-Award Support 

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• 4-20 Conflict of Interest Reporting and Approval
• 6-7 University Space Policy
• 7-3 Campus Laboratory Materials Acquisition and Inventory
• 9-3 Cost Sharing for Research and Other Sponsored Activity
• 9-6 Sponsored Awards Budget Administration
• 9-14 Training Requirement in Responsible Conduct of Research
• 9-16 Facilities and Administrative Cost Distribution

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• Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards ()
• Students Registering for CITI Responsible Conduct of Research Training
• Faculty and Staff Registering for CITI Responsible Conduct of Research Training
• FY25 Graduate Assistantship Minimum Stipend
• The Organization Prior Approval (OPAS) Instructions
• Cost Share Information Sheet
• ¹ú²ú¸£Àû Effort Certification Guide
• Mines Export Control Procedure
• Procedure for Fixed Price Contracts
• Generative AI in Research
• Participation of Minors on Funded Projects

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•  SDBoR Conflict of Interest Form (distributed by Mines Office of Human Resources)
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• Mines Request for Permission to Engage in Private Practice, Consultation, or Outside Employment
• ¹ú²ú¸£Àû Combined Proxy Form

• IRS 20 Questions - Employee or Independent Contractor Form
• OSP Grant Tracking Spreadsheet (Sample)
• The Organization Prior Approval (OPAS Form)
• ¹ú²ú¸£Àû Payroll Correction Form (PHAREDS)
• Effort Certification Online Reporting System (available in Employee Dashboard)

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Point of contact: Karmen Aga.

Grant awards are received and negotiated by the Office of Sponsored Programs (OSP). No award is official until an award document is received by OSP. Once received, OSP staff review the documentation to ensure that an award does not contain provisions unallowable under South Dakota law or Board of Regents policy.

Once reviewed and accepted, the award is set up with a grant number (MA#) and fund number(s) using a structure to enable expenditure tracking required by the funding entity for reporting outcome completions. OSP creates the fund(s) needed to carry out the project in BANNER and notifies the PI and their unit’s administrative staff person(s).

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Points of contact: 

Human Resources (disclosures, permissions to engage in outside employment, public requests for information) Human Resources

Research Affairs (training and reporting): Laurie Anderson

Finance and Administration (direct benefit waivers)

Relevant SDBoR policies: SDBoR 4.9.2 Private Practice, Consultation, or Outside Employment, 4.9.3 Conflict of Interest, 4.9.4 Investigator Financial Disclosure, 4.9.5 Public Health Service Investigator Financial Disclosure.

Relevant Mines policies: Mines 4-20 Conflict of Interest, 9-14 Training Requirement in Responsible Conduct of Research.

Relevant guidelines: SDBoR Conflict of Interest - Decision Matrix, SDBoR Conflict of Interest - General Guidance, Mines Registering for Responsible Conduct of Research Training through CITI (both student and faculty/staff versions).

Relevant forms: SDBoR Conflict of Interest Form; SDBoR Conflict of Interest – Authorization Request Form. Mines Conflict Management Plan, Mines Request for Permission to Engage in Private Practice, Consultation, or Outside Employment.

Faculty and other professional employees are required to disclose significant financial interests, both annually and within one month of acquiring new interests, that may directly or indirectly influence their research (SDBoR 4.9.3; 4.9.4, 4.9.5). In addition, SDBoR employees cannot derive a direct benefit from certain state contracts without authorization (SDBoR 4.9.3). Participants in funded research projects must maintain current certification in responsible conduct of research that includes information on significant financial interests (SDBoR 4.9.4, 4.9.5; Mines 9-14).

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Point of contact: Karmen Aga

Relevant Mines policies: Mines 9-6 Sponsored Awards Budget Administration, 9-14 Training Requirements in Responsible Conduct of Research.

Relevant guidelines: Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards (), Registering for Responsible Conduct of Research Training through CITI (student and faculty/staff versions)

Relevant forms: ¹ú²ú¸£Àû Combined Proxy Form.

In addition to leading research efforts, the PI is responsible for fiscal management of their sponsored award. Even if responsibility is delegated, or a proxy assigned, accountability remains with the PI.

The PI is automatically given authority to approve expenditures for the award when the fund(s) are set up. The PI should then give unit administrative staff access via the Finance and Administration . Access can range from short term for a particular purchase to long term, i.e., for the duration of the grant. At minimum, unit administrative staff should have access to grant accounts for monitoring encumbrances and expenditures, submitting POs, submitting travel reimbursements, routing EPAFs, etc.

If a PI is unavailable for grant management for any period of time, they must set up a proxy to approve grant expenditures, effort certification, and generally to be the point of contact with OSP and the agency for the grant. PIs delegate authority by using the Proxy Form.

Budget revisions, however, can only be approved by the PI.

The PI, or their designee, is responsible for ensuring all expenditures follow basic cost principles (are timely, allowable, allocable, reasonable). Various laws, guidelines, rules, and regulations dictate what costs are allowable in association with an award agreement. OSP is available to answer questions about allowable costs under a particular grant.

PIs or their designee shall review expenditures as they occur and reconcile funds monthly. Monthly grant summary reports are provided to PIs via Information Technology Services (ITS).

Any needed cost transfers should be requested by the PI or designee as soon as possible, and no later than 60 days after the transaction was posted.

It is the PI’s responsibility to provide oversight of and ensure that responsible conduct of research (RCR) training is documented for all faculty, staff and students involved on their project(s).

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Point of contact: Kharla Vock

Relevant SDBoR policies: SDBoR 1.7.4 Sanction, Exclusion, and Debarment Screening, 4.9.5 Public Health Service Investigator Financial Disclosure, 5.3 Agreements and Contracts.

Relevant Mines policies: SDBoR 4-20 Conflict of Interest.

If Mines is the lead organization on a project and there are one or more subawards, the PI works with their external collaborator(s) to define a scope of work (mutually understood outcomes to be delivered as part of the project). OSP works with equivalent offices at the other institution(s) to ensure that contract requirements are completed. OSP arranges for payment of invoices sent by the subawardee(s) and requests any financial reporting needed by the funding agency.

As part of subaward processes, Research Affairs screens for individuals and entities who are under state or federal exclusion, debarment, or suspension, or with entities owned or controlled by prohibited foreign nationals, entities, or governments. OSP also screens for subrecipient compliance with Public Health Service regulation on disclosure of significant financial interests.

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Points of contact:

Office of Sponsored Programs: Karmen Aga

Purchasing Specialist: Finance and Administration: Brenda DenOtter

Director of Business Services: Finance and Administration: Barbara Mustard

Relevant SDBoR policies: SDBoR 5.4 Purchasing, 7.6 Technology Purchases.

Relevant Mines policies: Mines 7-03 Campus Laboratory Materials Acquisition and Inventory

Relevant guidelines: Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards (), ¹ú²ú¸£Àû Purchasing Procedure, Graduate Assistantship Minimum Stipend, Minimum Wage for Undergraduates.

Relevant forms: OSP Grant Tracking Spreadsheet

Grants are subject to purchasing rules outlined in State law, SDBoR policy, and Mines policy and procedures, including use of vendors with state contracts; requirements for quotes, bids, and sole source requests; technology purchases; purchase of equipment and other capital assets; contracting for services; etc. Similarly, grants are subject to rules for employee travel as outlined in SDBoR 5.12 and state rates. All technology related items must be approved through ITS. The process for purchasing equipment is outlined in SDBoR policy 5.4.

All laboratory chemicals, laboratory instruments containing chemicals, biological materials, and radioactive materials will be obtained/purchased through the campus chemical storeroom unless prior approval is obtained from the storeroom.

Wages and stipends for graduate students are set each year by the Office of Graduate Education. Undergraduate employees need to be paid at least the State’s minimum wage.

Items that are typically not allowable on grants include:

• Office Supplies – Most projects do not allow printers, scanners, toner cartridges, paper, pens, etc. These items should be covered from overhead recovery accounts.
• Clothing – Not an allowable expense unless specifically approved by the sponsor.
• Postage – Not usually allowable unless needed for mailing samples.
• Capital Equipment – Unless itemized in sponsor-approved budget.
• Software – Unless itemized in sponsor-approved budget.
• Travel – Unless itemized in sponsor-approved budget

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Points of contact:

Faculty/Staff: Cassie Schweigerdt.

Students: Liana Castro

Relevant Mines policies: Mines 9-14 Training Requirements in Responsible Conduct of Research

Relevant guidelines: Graduate Assistantship Minimum Stipend; Minimum Wage for Undergraduates; Registering for CITI Responsible Conduct of Research Training (both student and faculty/staff versions); Training Resources also available on EPAF Resources Tools tab in Experience Portal

Relevant forms: OSP EPAF Check Sheet; OSP Grant tracking Spreadsheet

An RCR training certificate from CITI must be provided before grant or contract funding is used to pay an employee or student on a grant account. Training must be retaken every four (4) years.

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Point of contact:

Grant associated travel approval: Liana Castro

International Travel/Export Control: Beth Lambeth

Off-campus travel by minors: Jerilyn Roberts

Relevant SDBoR policies: SDBoR 1.6.4 Minors on Campus, 4.9.6 Export Controls, 5.12 Employee Travel

Relevant guidelines: SDBoR Export Control Program; Mines Export Control Procedure; Participation of Minors on Funded Projects

Relevant forms: OSP Grant Tracking Spreadsheet

OSP approves travel related expenditures on grants after performing a budget check and confirming that the purpose of travel matches project activities outlined in the grant agreement. In addition, Research Affairs evaluates international travel for export control issues and enforcement. Travel expenditures must comply with state guidelines.

If minors are involved in sponsored activities, field trips, etc. that are part of an on-campus program those activities will be guided by SDBoR Minors on Campus Policy 1.6.4. For activities that support travel outside of an on-campus program, travel support needs to include funding for at least one of a minor’s parents or legal guardians to travel with the minor. Waiver forms (available through EHS) must be signed by all persons traveling.

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Point of contact: Cassie Schweigerdt

Relevant Mines policies: Mines 9-6 Sponsored Awards Budget Administration

Relevant forms: ¹ú²ú¸£Àû Payroll Correction Form (PHAREDS), Journal Voucher (JV) form

Monthly reports of grant expenditures are provided automatically via email to PIs. If charges were made to a grant account in error, complete a JV and submit to Cassie Schweigerdt. Payroll corrections are made via ¹ú²ú¸£Àû Payroll Correction Form (PHAREDS), also sent to Cassie Schweigerdt.

Cost transfer requests must be submitted within 60 days of the posting of the transaction.

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Point of contact: Karmen Aga

Relevant Mines policies: Mines 9-6 Sponsored Awards Budget Administration

Relevant guidelines: OPAS Instructions

Relevant forms: OPAS Form

When a proposal is submitted to a funding source the budget represents the best estimate of the spending needed to accomplish a project’s objectives. Those budgetary needs may change once the project has started. Any changes to a grant’s budget allocation, duration, or other stipulations need approval from OSP, and in some cases from the funding entity. The Organization Prior Approval (OPAS) request form is used to document, justify, and receive required approvals for internal changes.

If modifications to the award require agency approval, the PI will work with OSP to create a revised budget that OSP will submit to the funding source.

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Point of contact: Liana Castro

Relevant SDBOR policies: SDBoR 5.24 Effort Certification Policy

Relevant Mines policies: Mines 9-3 Cost Sharing for Research and Other Sponsored Activity.

Relevant guidelines: ¹ú²ú¸£Àû Effort Certification Guide, Cost Share Information Sheet

Cost sharing must be documented during the period of performance of a grant. If a portion of the researcher's time and effort is being used for cost share, that time is documented monthly through the effort certification system (see additional information under that heading).

To document cost share from equipment purchases, travel expenses, materials or supplies purchases, equipment, or lab usage fees, the fund code (the grant’s 44#### number) needs to be included when submitting expenses paid by Mines. If this code is not included, the PI will need to provide OSP with documentation to verify expenses for reporting requirements.

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Point of contact: Sharon Reid

Relevant SDBoR policies: SDBoR 5.24 Effort Certification Policy

Relevant guidelines: ¹ú²ú¸£Àû Effort Certification Guide

Relevant forms: Available via the online reporting system

When the institution receives Federal funding it is required to compile and approve effort reports. Per SDBoR policy 5:24, these effort reports are to be certified monthly.

The online effort certification system is used to track effort of those being paid on a grant (students, staff, and faculty) and to document cost share that is related to time/effort commitments.

PIs review all effort reports applicable to their grant(s) but only certify their own and any students’ effort reports. All other employees are to certify their own effort reports unless they have terminated employment and then the PI will certify.

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Point of contact: Karmen Aga

Relevant SDBoR policies: SDBoR 5.2 Externally Sponsored Programs,

Relevant Mines policies: Mines 9-16 Facilities and Administrative Cost Distribution

F&A is distributed as per Mines policy to the institution, Research Affairs, Library, Department, PI, and, if applicable, University Research Center/Lab. For grants with PI/co-PIs from multiple departments, departmental overhead is distributed according to the effort distribution approved during the proposal routing process. The PI is responsible for distributing F&A on a project to their co-PIs in accordance with the effort distribution form submitted during proposal routing.

OSP initiates the request for F&A account setup but they are state accounts administered by Finance and Administration. Appropriate uses of these funds are expenses that support research such as match, administrative costs, space improvements, graduate student support, or other activities that are research related.

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Point of contact: Liana Castro

Relevant Guidelines: Terms and conditions of grant

Relevant Forms: Terms and conditions of grant

The PI is responsible for completing and submitting technical report(s) on time to their funding agency. Copies of all technical reports must also be provided to OSP.

OSP provides financial reports throughout the life of the grant and at its close.

Failure to complete required reporting has consequences for a PI’s, or even the institution’s, ability to submit proposals or receive funding from an agency.

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Point of contact: Beth Lambeth

Relevant SDBoR policies: SDBoR 4.9.6 Export Controls

Relevant guidelines: SDBoR Export Control Program; Mines Export Control Procedure

Employees are individually responsible for compliance with export control regulations. They must be aware of and responsible for the export control implications of their work. PIs need to oversee the activities of those involved in a research project regarding export controls. Any potential export control issues must be reported to the institution’s Export Control Officer (Beth Lambeth).

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Point of contact: Cassie Schweigerdt

Relevant guidelines: Procedure for Fixed Price Contracts

Once a grant is completed, OSP examines after-end-date expenditures to determine any expenses that are not allowable. Once those expenses are removed and final payment is received, the fund can be closed and the grant will be completed.

For fixed price contracts, the final disbursement of remaining funds is guided by the Procedure for Fixed Price Contracts.

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Space allocation and use is outlined Mines Policy 6-7 University Space Policy.

Guidelines for the use of Generative AI in research are available.

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