Pre-Award Services

Grant Development Specialists in the Office of Research review and approve proposals after they have advised WSU Principal Investors, faculty and staff members who seek external funding from federal, state, local and local agencies as well as private and business entities.

In order to better serve customers, please contact us at to begin your proposal development.


WSU has established a set of policies and procedures to guide the sponsored project proposal submission and award acceptance processes, as set forth in Chapter 9 of the WSU Policy Manual. These policies and procedures are in the process of being updated and revised. In the interim, we wanted to remind you of the following: 

1. PRINCIPAL INVESTIGATOR STATUS. Investigators named on a project must have Principal Investigator (PI) status to submit a proposal. Pursuant to WSU Policy 9.23 (Eligibility to Serve as Principal Investigator),

A. all full-time WSU faculty, regardless of rank or tenure status, are eligible to serve as a PI on a sponsored project; provided they meet sponsor qualifications;

B. WSU staff and adjunct faculty may serve as the PI on a sponsored project with approval from their Chair and academic college Dean or Center Director, provided they meet sponsor qualifications

PI status is not usually granted to individuals who are not employed by WSU, but if there are compelling reasons for requesting this status for such individuals, then a request from the hosting department or center for “project-specific” PI status must be made at least three (3) working weeks (15 working days) prior to the deadline for submission of the proposal. All non-WSU project-specific PI requests must be approved by Associate Vice President of Research (or his/her designee).

PRE-AWARD SERVICES. All proposals for funding submitted on behalf of WSU investigators must be submitted through the Office of Research Pre-Award Services to ensure that appropriate compliance reviews have taken place, that budgetary information requested by the sponsor is correct, and that any contractual terms or other conditions specified unilaterally by the sponsor that may be inconsistent with University policy have been identified. If the solicitation requires the applicant organization be a 501(c)3, the Office of Research – not the individual PI - will coordinate with the WSU Foundation.

Pre-Award Services is responsible for analyzing the solicitation, completing the representations and certifications, coordinating the proposal, helping to prepare the budget, confirming sub-contractual commitments, facilitating the review of any solicitation or subsequently contractual requirements, submission of any exception letters, preparing agency application forms, assembling the proposal, implementing the review and signature process, and transmitting the proposal package to the agency. 

2. TIMING OF SUBMISSIONS. Complete proposals must be submitted to the Office of Research by 9:00 a.m. three (3) business days prior to the sponsor due date for electronic proposals and five (5) business days prior to the sponsor due date for non-electronic proposals. Proposals that include cost share commitments or request waivers require additional time and should be submitted at least ten (10) business days prior to the sponsor’s deadline.  Proposals are generally processed as received and investigators are encouraged to contact the Office of Research early in the process. Proposals that are received late may not receive a full review and are not guaranteed to be submitted on time to the sponsor.

3. AUTHORIZATION. The Office of Research is charged with proposal approval for externally funded programs, negotiating grants and contracts, and award management. Note: NO PI, nor any other official of the University, is authorized to commit University resources to the conduct of research, training, or service without receipt of authorization from the Office of Research. Departments and units within the University are not legal entities and therefore should not and cannot be parties to agreements.

4. SPONSORED PROJECTS vs. GIFTS. WSU researchers can receive external support for their research from multiple sources, including sponsored projects and gifts. It is the University’s responsibility to properly classify these funds in order to ensure appropriate management of these funds and compliance with all regulations and terms and conditions. The determination as to whether a specific award should be treated as a sponsored award or a gift is made by the Office of Research in consultation with the WSU Foundation.

The following definitions are used as general guidelines when determining whether an award is a sponsored project or a gift.

A gift is a voluntary contribution of money, equipment, or other property of value made to the University, for which the contributor receives no bargained-for benefit, and requires nothing in exchange beyond recognition (in some cases) and assurance that the intent of the contribution will be honored. Although a donor may place some restrictions on the use or disposition of a gift and may require a report that demonstrates that the donor’s wishes have been met, these terms do not make the gift a sponsored project. All gifts to the University are processed through the WSU Foundation.

A sponsored project is a transaction in which there is a specified statement of work with a related, reciprocal transfer of something of value (i.e., data, results, intellectual property, mandatory report, etc.). Sponsors typically provide funding for sponsored projects on the basis of a specific project or research plan or statement of work and budget, for a specified period of time. The plan typically involves an identified University researcher or group of researchers as the project leader(s), and specified goals and objectives, as well as the methodologies and approaches to be used. Many sponsored projects are awarded following a competitive application process.

Sponsored projects are awarded through various mechanisms such as grants, contracts, cooperative agreements, commercially-sponsored grants and contracts, demonstration projects, and other instructional grants and contracts. All funding provided by U.S. government agencies, at the federal, state, or local level is sponsored project funding.

5. CONFLICT OF INTEREST. Prior to submitting any proposal, all employees must have on file a current Conflict of Interest Disclosure (see WSU Policy 3.04). Failure to accurately complete a conflict of interest disclosure may result in employment action including, but not limited to, restrictions against submitting research proposals. The annual COI disclosure form can be found under the “Employee Required Training” tab on myWSU.

Note: WSU is in the process of updating conflict of interest policies, procedures, and disclosure requirements. Those policies, procedures, and disclosure requirements are expected to launch in Summer 2020. This may require you to re-submit any disclosures, even if you have a current disclosure on file. 

6. STUDENT PARTICIPATION. All sponsored projects (except services agreements) over $25,000 per year are required to include students on the budget. Departments with a PhD program should budget at least one (1) PhD level Graduate Research Assistant on their project based on at least $25,000 annually plus tuition. Exceptions must be approved by the Associate Vice President for Research or, if absent, the Executive Vice President and Provost.

7. COMPLIANCE. All research and sponsored projects affiliated with WSU must comply with federal, state, agency, and institutional guidelines. This includes compliance in several areas including, but not limited to: animal care and use, human subjects, export control, biosafety, data control, and research integrity. 

8. PROCEDURE FOR EXECUTION OF CONTRACTS AND COMMITMENT OF UNIVERSITY RESOURCES. All university employees are expected to abide by the memo issued on April 8, 2019, regarding procedures for execution of contracts and commitment of university resources.


Proposal Development
Grant Development Specialists in the Office of Research review and approve proposals after they have advised WSU Principal Investors, faculty and staff members who seek external funding from federal, state, local and local agencies as well as private and business entities.

In order to better serve customers, please contact us at to begin your proposal development.

Budget Development
Please contact the Grant Development Specialists at to begin your budget development.

In submitting proposals for funding by external agencies, Wichita State University follows the principles and requirements of the federal Office of Management and Budget (OMB) Circular A-21,relocated to 2 CFR, Part 220 Cost Principles for Educational Institutions. Consequently, when constructing a budget, the Principal Investigator/Project Director or other budget preparer should be mindful that any proposed costs must be reasonable, allocable and consistent with WSU general costing policies. When proposing to federal agencies, costs cannot be proposed which are unallowable in OMB Circular A-21 examples include alcoholic beverages, donations and contributions, memberships in any civic or community organizations, and entertainment costs.

In addition, OMB Circular A-21 limits reimbursement for certain types of expenses that the government considers administrative and already included in the university’s federally negotiated indirect rate. Included in those expenses are costs for administrative and clerical staff, postage, telephone,computers, and routine office supplies. These costs are only appropriate when they are essential to the project’s success and provided for the sole benefit of the project. Proposal budgets that include these items must be well-documented in the budget justifications.

Proposal Submission Deadlines 

The Office of Research must review and approve all proposals prior to submission to an outside funding agency. Please submit all proposal development requests to

Proposal Submission Due Dates*

Sponsor Deadline Hard Copy Submissions Online Submissions
Monday The previous Monday at 9:00 a.m. The previous Wednesday at 9:00 a.m.
Tuesday The previous Tuesday at 9:00 a.m. The previous Thursday at 9:00 a.m.
Wednesday The previous Wednesday at 9:00 a.m. The previous Friday at 9:00 a.m.
Thursday The previous Thursday at 9:00 a.m. Monday of the same week at 9:00 a.m.
Friday The previous Friday at 9:00 a.m. Tuesday of the same week at 9:00 a.m.
Saturday Because Saturday is not a business day, it does not count towards the 5-day rule. You should treat Friday as the deadline, so the internal proposal deadline is the previous Friday at 9:00 a.m. Because Saturday is not a business day, it does not count towards the 3-day rule. You should treat Friday as the deadline, so the internal proposal deadline is Tuesday of the same week at 9:00 a.m.
Sunday Because Sunday is not a business day, it does not count towards the 5-day rule. You should treat Friday as the deadline, so the internal proposal deadline is the previous Friday at 9:00 a.m. Because Sunday is not a business day, it does not count towards the 3-day rule. You should treat Friday as the deadline, so the internal proposal deadline is Tuesday of the same week at 9:00 a.m.

Note: Holidays are not defined as working days.
*Additional time is required for proposals as follows:
- Proposals including Cost Sharing are due 10 working days in advance of the funding deadline.
- Proposals submitted via are due 3 working days prior to the solicitations recommended submission date (ex. NIH recommends submission 72 hours prior to the funding deadline.)

Required Forms

Proposal Routing Forms: When budgets are approved by RTT, the PI must prepare and deliver a signed Proposal Routing Forms to RTT. Proposals cannot be submitted until this form is reviewed and approved by RTT’s Pre Award Director or Vice President for Research.

Cost Share/Match: All proposals that include cost share/match must include a letter in the form of an email or letter (on department/company letterhead) signed by the person authorized to commit resources. The letter should include specifically where the match is coming from and the amount. Individuals are urged to contact the Grant Development Specialists early when proposing a project that includes cost share/match as this involves additional administrative review/approval.

Indirects/F&A: Waiver authority of Indirects (F&A) is vested in the Vice President for Research. “Automatic” waivers are granted to those federal, state, and non-profit agency programs that have written guidelines on limitations of indirect cost rates, such as the 8% limitation on training grants for the U.S. Department of Education or the 10% limitation on the American Cancer Society’s grant programs.

Request for Waiver Form: Any waiver of Indirects should be discussed with a Grant Development Specialist early in the proposal development process.. Requests for waivers are initiated by the Principal Investigator/Project Director using the Request for Waiver form and are strongly encouraged to have a well thought out reason for such a request. The Vice President for Research will review the request and will determine to reject, modify, or approve it.

Research Startup Funds

Startup Procedures for College Dean

  • PI makes request to Dean for Startup Funds
  • Dean reviews and approves or denies request
  • Upon approval, the request will be sent to Amy Delgado in the Office of Research at requesting a fund and org be established with the following information (found on the request form):
    • PI Name and WSU ID
    • PI Department
    • Amount of startup funding by fiscal year
    • Purpose of startup (travel, supplies, equipment, salary, etc.) for budget purposes
    • Source of funds
  • Amy will set up the 700xxx PI org number if the PI does not already have one.
  • An SRO “D” fund will be established with this org code for the PI and then Sarah Hunt or Kathy Riker will set up the budget and transfer the cash from the source(s) of funding. Establishing the budget allows PI to spend without the full cash balance available.
  • Once this is complete, RTT will notify the PI, the Dean, and the office contact that their fund is ready to use. RTT will transfer cash to match the funding request. Cash from other funding sources will be transferred as soon as the startup is approved.
  • In May, any startup funds in negative cash position will be reviewed by Financial Operations. Consideration may be given to roll forward negative cash balances as long as there is an agreement between the Dean and Director of Financial Operations that the fund will become positive within the following fiscal year.

College IDC (Indirect Cost) Funds for current Fiscal Year

  • Dean’s will receive a College SRO allocation on any grant that collects IDC of at least 26%.
  • Funds will be automatically deposited to the Dean’s College IDC fund on the first business day of each month.
  • It is up to the Dean to determine if unspent funds at the end of committed period should be returned to Dean’s start up fund. And notify RTT to make the transfer.

Request for Research Faculty Startup Funding Account

Startup Procedures for the Office of Research

  1. The Dean of the College will send a request to the VP of Research and Tech Transfer for the establishment of an approved Start-Up fund to be established by RTT.
  2. Once approved the signed request form will be sent to RTT and RTT (Amy Delgado) will establish the startup fund. This request will include amount, by fiscal year, of the startup, the funding source (including the fund/org #’s) and will begin the set up process.
  3. If the employee receiving the startup funding doesn't have a PI org (700xxx), one will be established.
  4. An SRO fund (“D” fund number) will be established under the PI’s Research Org (700XXX) for their start up.
  5. Amy will email this information to post-award (Sarah/Kathy) who will establish the annual budget and complete the required cash transfers. Budget and cash will only be transferred for the current fiscal year. If the funding is for more than one year, year two budget and cash will be processed at the start of the 2nd fiscal year.
  6. Post Award (Sarah/Kathy) will then notify the PI, Dean, and Office Contact that their startup has been established and funded.
  7. Since it will not be possible to transfer all cash at the time the fund is established, Amy will monitor the Cash balance and at the end of the year work with the necessary person to correct any negative balances.
  8. RTT (Kathy Riker/Sarah Hunt) will review all startup funds at year end and identify any remaining funds (cash) that could be rolled forward to the New Year. After confirmation with the Dean, they will move the cash and establish budget as approved.

Startup FAQ for PI’s

How do I know how much I have available to spend?

  1. Log into Reporting Services at
  2. Click on “Financial Reports-Organization”.
  3. Then will select the report: “FCD00105 – Organization Financial Report for RU Funds.”
  4. This will show the current Cash Balance and the available budget in the Salary category as well as OOE (Other Operating Expenditures).
  5. Items in “blue” can be drilled into by clicking on the amount in blue to see the detailed transaction that make up the total amount shown. If you want to see what has been charged against a certain category, this will list all expenditures.

What types of purchases are allowed?
Items that are allowed using startup funds are those that will help you to acquire external research funding and those to further your research initiatives. These types of expenditures can include travel, computers, software, lab supplies, summer salary, graduate student support, etc.

If you are purchasing equipment, you will need to have a written quote from the vendor. If your purchase is over $5,000 it either needs to be from an approved State of Kansas vendor, or a sole source, or it will be required to go out for bid.

How do I start the paperwork to hire a graduate student or pay salaries?
You will contact your department admin to complete the appropriate paperwork to get the hiring process started. The admin will contact Research payroll for the correct position number to use.

How do I purchase the items I need?
Depending on the type of item you are purchasing, there are a couple of different processes for purchases. If you have a quote for the purchase of supplies, computers, or software, give the quote or estimate to your departmental Administrative Assistant so that he/she can enter a purchase requisition into Banner. The Purchasing guidelines can be found at:

If it is an item that you have received and the vendor gave you an invoice for payment, this will be paid on an Invoice Control Document (ICD). You will need to sign that you received the item and it is ‘as ordered’ and then you will give the invoice to your departmental Administrative Assistant for he/she to process for payment.

If you are planning to travel, work with your department Administrative Assistant to process the Request for Out of State Travel at least two weeks prior to your trip departure. There are specific rules when making airline reservations that must be followed so it is important to be knowledgeable of the proper procedures. The Travel guidelines can be found at:

Data Management Plan

Data Management Plan - pdf

In their revised Grant Proposal Guide, the NSF mandates that all proposals submitted after January 11, 2011 include a short supplementary document detailing the Data Management Plan (DMP) for the proposed project. Please refer to the Data Management Plan below for a complete overview and samples of the changed policies.

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