Policies & Compliance
- Research Conduct
- Combatting Human Trafficking
- Federal Disclosure Requirements
- Research Handbook
- 1. Roles & Responsibilities
- 2. Standards for Conduct of Research
- 3. Overview of Sponsored Projects Administration
- 4. Funding Sources & Opportunities
- 5. Proposal Development
- 6. Budget Development
- 7. Procedures for the Submission of Proposals
- 8. Award Acceptance
- 9. Award Management
- 10. Research Related Regulations, Policies & Procedures
- 11. Other Conduct of Research Issues
- 12. Acronyms & Definitions
- 13. Glossary
- Procedure Library
- Regulations Library
Procedures for the Submission of Proposals
7.4 Pre-Award Audit/Additional Information
Principal Investigators (PIs) are encouraged to maintain documentation supporting the development of proposed project budgets. Examples of materials that should be retained include, but are not limited to:
- Vendor quotes for equipment or major purchases;
- Cost estimates for travel or fieldwork;
- Documentation of animal purchase and care costs;
- Core facility or service rate calculations.
Maintaining these records supports audit readiness, provides justification for budget requests, and can assist in addressing sponsor questions or minimizing reductions during award negotiations.
PIs should not negotiate directly with external sponsors regarding contractual, legal, or financial terms of an award. In some circumstances, investigators may be asked to participate in sponsor discussions related to scientific or programmatic matters; however, all negotiations involving award terms, conditions, or funding arrangements must be handled by the Office of Sponsored Projects (OSP).
If a PI is contacted directly by a sponsor regarding proposed award terms or conditions, the sponsor should be referred to OSP for appropriate review and response.
7.4.1 Small Business Subcontracting Plans
Some federally funded contracts require a Small Business Subcontracting Plan, which establishes goals for subcontracting or purchasing from qualified small-business categories, including:
- Small and disadvantaged businesses
- Women-owned small businesses
- HUBZone businesses
- Veteran-owned and service-disabled veteran-owned small businesses
When required, subcontracting plans are prepared by the Purchasing Department. These plans typically must be completed during proposal development or prior to award execution and, once approved, become part of the formal contract with the sponsoring federal agency.
