Proposal Submittal Process

1. Idea of area of interest is developed by the faculty/staff member.
2. Faculty/staff member identifies potential sponsors.  Research Development & Compliance (RD&C) is the University source of information regarding funding for research, fellowships, and other programs sponsored by outside agencies. RD&C staff are available to help identify and contact potential sponsors and provide guidance on University policies pertaining to research.
3. Faculty/staff member obtains information regarding potential sponsor's proposal requirements, which can be found in the agencies Request for Proposal (RFP). Both RD&C and Grants & Contracts Administration (GCA) maintain information pertaining to various sponsors. Additional information may be obtained from the potential sponsor directly by the faculty/staff member and/or by staff in RD&C and GCA.
4. Pre-proposals are sometimes submitted by a department as a preliminary step towards obtaining funding. Departments are encouraged to work with both GCA and RD&C in the development of the pre-proposal. An authorized signature is required on the transmittal form prior to submission.

   All pre-proposals leaving the University should be clearly marked as such, and include the following statement:

   "This pre-proposal does not obligate the University of North Dakota to this project. Upon request of the sponsor, a formal and properly authorized proposal may be submitted."

5. Faculty/staff member drafts proposal, including draft budget and sends a copy of the RFP to GCA. The GCA staff are available to assist in the process of developing budgets for proposals. RD&C staff are available to provide consultation regarding proposal organization, content, and presentation.
6. Faculty/staff member, GCA staff, and RD&C staff identify University commitments. The specific resources of the cost share must be identified prior to proposal submission to RD&C and a letter of commitment (signed by the individual who has authority over the resources being committed) included with the proposal. 
7. Faculty/staff member processes proposal through academic units and/or responsible administrative unit. Reviews within the academic department and college are specific to the policies of that academic unit (department chair, dean, etc.). 
   
   Units requiring internal routing sheets when they are submitted to RD&C include Arts and Sciences, Aerospace Sciences, Education & Human Development, Energy & Environmental Research Center, Engineering & Mines, Fine Arts & Communications, Medical School, and Nursing. Reviews within other departments are specific to the area within which the unit reports. The purpose of proposal endorsements is to assist the Principal Investigator (PI) and all reviewers/signatories to assess the potential risks and obligations if the proposal is funded. Responsibilities include: 
   
   - The principal Investigator (PI) agrees to follow University policy and sponsor requirements relating to the project. The PI is responsible for the execution of the project as funded, submission of reports as required, and monitoring the project's financial status.
   - The Department Chairperson/Director/Unit Administrator authorizes the amount and type of departmental resources, as specified in the proposal, needed to assist the PI in completing the project.
   -The Dean authorizes the amount and type of school or college resources, as specified in the proposal, needed to assist the PI in completing the project.
   - The Dean also insures that all persons who are responsible for the design, conduct, or reporting of projects file annually a financial interests disclosure statement. The "Certification of Filing of Financial Interests Disclosure Statement" is sent to RD&C after being signed by the Dean.
   - Other approvals may be required depending on the nature of the proposal and the departments involved in performing the project. Please initiate communications regarding the proposal development and required approvals early in the process.
8. Faculty member submits final proposal and signed Proposal Transmittal Form to GCA for financial review. The required number of copies needing an original signature plus one additional copy for the University files (RD&C) should be brought to GCA for financial review, in final form, no fewer than five working days prior to proposal deadline. This occurs after the appropriate reviews within the academic units. GCA reviews budget and financial aspects of the proposal for compliance with University policy and sponsor guidelines.
9. GCA delivers the proposal to RD&C for an administrative review. RD&C coordinates required approvals for human subjects, biohazards, DNA, conflict of interest, drug-free workplace, affirmative action, lobbying, debarment, etc. RD&C and GCA perform this final review prior to submittal of the proposal to the sponsor
10. RD&C provides the authorizing signature for the University. Unless otherwise required by sponsor regulations, the Director of RD&C is authorized to sign proposals on behalf of the University. Once signed, the original proposal and additional signature copies as required by the sponsoring agency are returned to the PI for duplicating as needed and mailing.
11. Faculty/staff sends the completed proposal to sponsor.
12. Faculty/staff member makes follow-up contacts. Any actions on the pending proposal by the potential sponsor, such as the issuance of an identification number, should be communicated to RD&C if it is obvious that RD&C did not receive a copy of the communication. Once the sponsor indicates a desire to fund the proposal, the terms and conditions of the award must be negotiated. Involvement of the Principal Investigator, the GCA Office, and RD&C during the negotiation process is important to ensure that the resulting award is acceptable to all parties involved.
13. Sponsor makes formal award (grant, contract, cooperative agreement). Any award documents requiring an official University signature must be processed through RD&C and GCA. The Director of RD&C is authorized to sign awards on behalf of the University. Awards received in response to proposals or other types of requests to funding agencies which have not received University review and signature prior to submittal are subject to renegotiation or possible rejection if the award appears to contain terms or conditions which are inconsistent with University policies and academic goals. After the award document is completed, GCA will set up a project number for the award to allow for recording of all transactions specific to the project. Financial monitoring and financial reporting are the responsibility of the GCA Office, as is providing assistance to faculty on financial matters.