Manage an Award

Congratulations on receiving a sponsored project! Now the fun begins.

water flowing out of the quad fountain

Manage an Award

As Principal Investigator/Project Director (PI/PD), you are responsible for the overall management of your award - from the technical or programmatic aspects, to the staffing, financial management, and reporting - with support from the OSP at every step along the way!

Please do not hesitate to contact OSP for assistance - please reach out early and often!

Once a new award has been received, your Sponsored Research Officer (SRO) will schedule a New Award Kick-off Meeting including:

  • the PI, co-PIs, other project staff
  • project budget manager
  • Grant Management Specialist
  • Grant Accountant from Controller's Office
  • If privately funded: representative from the Office of Corporate and Foundation Relations

to orient all personnel supporting this project with the award's specific terms and conditions, budget, prior approval requirements, SU-related policies and procedures, and reporting deadlines.

A New Award Overview, updated with the project's specific information, will be reviewed and provided to all attendees.

The New Award Kick-off meeting, remaining sections of this webpage, and the Sponsored Projects Expenditure Guide, are provided to support the PI and project budget manager throughout the life of the project.

Following this meeting, your primary post-award contact within OSP will be Aika Foz, our Grant Management Specialist.

Once an award is received, the project staff needs to carefully review the award agreement or contract, including award attachments and adhere to all terms and conditions. OSP will assist in communicating with SU legal and the sponsor, should any provisions need interpretation.  The PI/PD is responsible for carrying out the project in compliance with all sponsor terms and conditions, federal, state and local laws, and Seattle University policy.

Please note: All new awards, contracts, or subcontracts must be signed by our Authorized Organizational Representative (Provost or designee).

It is the responsibility of the PI or Program Director to reconcile your financial transactions to ensure accuracy. The Controller's Office provides several tools to assist:

  • Power BI: SU financial reporting system based on fiscal year
  • Projects Accounting: Grant specific financial reporting system based on project period and includes a budget to spending comparison
  • Quarterly Financial Reports: these reports will be sent for your review and approval from the Grant Accountant

Please review Grant Accounting Roles and Responsibilities to understand your role in sponsored projects financial accounting.

More Budget Management is available below. 

All costs proposed or incurred on a sponsored project must comply with the approved scope of work and budget, general sponsor terms and conditions and University policies and procedures.

The Principal Investigator of a sponsored project is required to report major deviations from budget, staffing, project timeline and project scope. 

When a change is necessary, please complete the Institutional Prior Approval Form (IPAF) within OneAegis. The OSP will review and determine if sponsor prior approval is required based on sponsor policies and the award agreement. Should sponsor approval be necessary, OSP will submit the request and justification as detailed in your IPAF with the sponsor. 

Once the change is approved, the Grant Management Specialist will issue an updated Budget Input Form if the budget or timeline of the project was revised.

The PI is responsible for submitting accurate and timely reports to the sponsor. OSP offers notification and review support while the Grant Accountant will provide the financial report. After the post-award meeting, OSP will send report reminders to your Outlook calendar. These notifications will remind you of upcoming reports 6 weeks before the sponsor due date. 

  • Programmatic Reporting. The PI is responsible for completing any technical/programmatic reports required by the sponsor. 
  • Financial Reporting. The Grant Accountant in the Controller's Office will provide the financial report as required by the sponsor.

If the report requires an institutional signature, OSP will facilitate this through the Provost’s Office. 

At the grant’s end date, the Grant Management Specialist will initiate the close-out process by sending the closeout checklist to the PI and Activity Manager. Closing the grant includes:

  • Ensuring all personnel appointments are removed
  • Purchases have cleared the budget
  • Cost share requirements are met
  • Unallowable costs are removed
  • Subcontract invoices are received
  • Effort reports (if required) are certified
  • All sponsor funding is received

This process should take place within 90 days of the grant’s end date.


OneAegis Grant Management System

All project records and non-financial post-award forms are available in OneAegis.

Personnel Management

The below information is provided to assist you in paying individuals working and budgeted on your sponsored project.

All compensation on a sponsored project must be budgeted and approved by the sponsor prior to paying the individual. Compensation is approved by the sponsor either at the proposal and award stage (it was included in the original budget), or compensation can be re-budgeted through the Institutional Prior Approval Process (access this form within your project record in OneAegis).

Academic Year

To compensate a faculty member from a sponsored project either as a course release (for 9-month appointments) or as a percentage of their time (for 12-month appointments):

  1. Work with your budget manager to complete a Payroll Action Form
  2. Submit the completed form to OSP
  3. OSP will sign and submit the form to HR Academic Operations

Summer Stipend (9-month appointments only)

Typically, your budget includes a portion of months' time to be compensated, based on your institutional base salary, during the summer. When working on a sponsored project, total summer effort cannot exceed 2.7 months.

  1. Work with your budget manager to complete a Faculty Stipend Request
  2. Submit form to the OSP
  3. OSP will sign and submit to HR Academic Operations

For more information about faculty compensation, please review the Grant Compensation Policy.

For existing SU staff supporting a sponsored project, they must be approved by the sponsor and budgeted into the award as a percentage of the staff member's time (ex. 1 day per week = 20% of their time/institutional base salary is allocated to the project). 

Contact your division budget manager to correctly allocate a staff member’s % of project time to your sponsored project for a specific period of time using the Salary Distribution Change Form

Hiring staff

If your project requires the hiring of a new full-time, part-time or temporary staff position, please work with your budget manager to create a new Requisition Request in EngageSU to begin that process with HR. 

To hire students, complete and submit a Student Employment Action Form (SEAF) 

Questions? Email: or call x8020

Students conducting research funded by the NSF or NIH are required to complete Responsible Conduct of Research Training prior to beginning their work. It is strongly encouraged for all other researchers to uphold SU's commitment to responsible and ethical research. The PI is responsible for ensuring this requirement is met; the OSP will verify completion of the training with the PI.

In winter 2021, SU transitioned from effort reporting to a review of compensation charges for all sponsored projects. The key changes include:

  1. Payroll certification vs. effort certification - rather than certifying a % of effort/time, all PIs are asked to certify that each individual’s compensation charged to the sponsored project is proportional to the work they contributed
  2. PI review vs. individual reports – only the lead PI will be required to certify an aggregated payroll report for your project
  3. This review is incorporated into our existing Quarterly Financial Certification Report

Budget Management

The Principal Investigator/Project Director is responsible for managing the sponsored project expenses and budget. Please review the complete Principal Investigator, Budget Manager, Sponsored Research Officer and Associate ControllerGrant Accounting Roles and Responsibilities below. Use the Sponsored Projects Expenditure Guide for help with how to pay your personnel, what form you need for each expenditure, how to purchase grant-funded equipment, and many other frequently asked questions.

The Grant Management Specialist and Associate Controller are available to assist throughout your project's lifecycle - please do not hesitate to contact us!

Projects Accounting

Seattle University's Project Accounting module allows grant managers to review the status of your grant budget.

Principal Investigator

Principal Investigators (PIs) are responsible for their sponsored awards, including the management of the day-to-day operations of their award budgets. Budgets should be reconciled on a regular basis to provide reasonable assurance that transactions are necessary, reasonable, allocable, allowable, and consistently treated. Specifically, PIs are responsible for:

  • Reviewing and approving the budget input form for the original budget and for any budget changes
  • Spending award funds compliant with award terms and sponsor and university policies and processes (see Sponsored Projects Expenditure Guide for guidance)
  • Adhering to SU contract review and procurement policies and obtaining bids, as necessary
  • Documenting purchases (with receipts or other source documentation)
  • Reviewing and approving subcontractor and subawardee invoices, as applicable
  • Completing and submitting appropriate financial forms such as the sole source justification form, cost transfer justification form and institutional prior approval form, as applicable
  • Reviewing and certifying quarterly financial reports provided by the Associate Controller
  • Reviewing and certifying the annual Review of Compensation Charges, if applicable
  • Identifying and resolving budget overruns in coordination with your budget manager via a journal entry and cost transfer justification form
  • Initiating and proposing rebudgets of the approved grant budget using the Institutional Prior Approval Form
  • Completes and certifies the Closeout Form at the end of the project


Divisional Budget Manager

The budget manager is available on a limited basis to support the PI with their responsibilities in carrying out their sponsored awards as detailed above. Specifically, Budget Managers are responsible for:

  • Assisting in the preparation of and approving financial forms such as the Payroll Action Form and Faculty Stipend Request; Journal Entry and Cost Transfer Justification form; and Budget Input Form
  • Supporting PIs with budget reconciliation, SU procurement processes, and rebudgets
  • Reviewing and certifying quarterly financial reports provided by the Associate Controller
  • Reviews and certifies the Closeout Form

Sponsored Research Officer

The Sponsored Research Officer (SRO) serves as a resource to PIs and Budget Managers throughout the administration of their award and is the primary liaison with the sponsor. Specifically, SROs are responsible for:

  • Requesting the establishment of a new account when an award is received
  • Setting up the initial budget input form and updating upon changes affecting the award budget
  • Reviewing and supporting development of prior approval requests (such as rebudgets, changes in personnel or timeline), coordinating approvals with the sponsor as needed, and approving or denying such requests
  • Initiating sponsored award closeout using the Closeout Form

Associate Controller

The Associate Controller maintains the official financial records for the university, including sponsored awards. Specifically, the Associate Controller is responsible for:

  • Additional review of expenses to ensure they are necessary, allowable, reasonable, and allocable to the grant as well as in adherence with SU policies and, if applicable, Uniform Guidance
  • Final review of Cost Transfer Justifications and processing Journal Entries
  • Reviewing and documenting suspension and debarment compliance for all spending on federal awards
  • Reviewing rebudgets and update grant budget within financial system
  • Providing ad hoc financial reports, quarterly financial reports for audit certification and annual payroll certification report, and final financial reports for PI and University grant personnel
  • Submitting financial reports for all federal agencies and coordinating with the Department Budget Manager and PI for private agency reporting (unless otherwise specified)
  • Performing the reimbursement invoicing and cash draws
  • Conducting subrecipient monitoring risk assessments and annual financial statement reviews
  • Closing the project in the financial system after receiving the completed Closeout Form

Grant Accounting Roles and Responsibilities

Federal regulations establish four cost principles for determining costs applicable to awards. Seattle University applies these principles consistently across all sponsored projects.

All charges must be:

1. Allowable

Costs expressly unallowable or mutually agreed to be unallowable shall be identified and excluded from any billing, claim, application, or proposal related to a sponsored projects. Sponsoring agencies use the term "allowable" to mean permitted as a cost within sponsor guidelines, the terms of a specific award, and/or the institution's policies.

2. Allocable

A cost is allocable to a particular award if the goods or services involved are able to be directly assigned to the award based on the benefit provided. To determine if an expenditure is allocable, ask yourself the following questions:

  • Is it incurred solely to advance the work under the award?
  • Does it benefit the award and other activities, and can it be distributed to all benefitted activities using reasonable methods?
  • Is it necessary to the overall operation of the institution and, in light of sponsored research rules and regulations, is it deemed to be assignable in part to the award?
  • Does the basis for allocating the cost represent a reasonable estimation of the direct benefit provide to the award objectives?

If a cost is allocable to more than one award, please appropriately proportion costs by activity string within ProcureSU.

3. Reasonable

A cost may be considered reasonable if the nature of the goods or services, and the price paid for the goods or services, reflects the action that a prudent person would have taken given the prevailing circumstances at the time the decision to incur the cost was made.
To determine if an expenditure is reasonable, ask yourself the following questions:

  • Is the cost a type generally recognized as necessary for the performance of the sponsored agreement?
  • Does incurring this expenditure violate the restraints or requirements imposed by such factors as arm's-length bargaining, federal and state laws and regulations, or sponsored agreement terms and conditions?
  • Have the individuals incurring this cost acted with due prudence (discretion and good sense) in the circumstances? Have they considered their responsibilities to the institution, its employees, its students, the Federal Government, and the public at large?
  • Were the actions that were taken in respect to incurring the cost consistent with established institutional policies and practices applicable to the work of the institution, including sponsored agreements?
4. Consistently Treated

All costs incurred for the same purpose, in like circumstances, must be treated uniformly either as direct costs or as indirect (F&A) costs. Since certain costs, such as salaries of administrative and clerical staff and office supplies are normally treated as F&A costs, these costs cannot be charged directly to federal Awards unless the circumstances related to a particular project are clearly different from the normal operations of the unit.  


The PI/PD, with oversight by the Activity Manager, is responsible for spending the funds as proposed by the sponsor in adherence to the sponsor and university policies. All purchases within ProcureSU are also reviewed for allowability, allocability and reasonableness (as defined above) by the Grant Accountant prior to approval.

Please document the purpose of the purchase within the comments section of ProcureSU.

If you need assistance with processing grant-funded purchases, please contact Aika Foz, Grant Management Specialist.

Please review the Procurement Thresholds in the below section for further details.

To ensure that the university continues to obtain goods and services at the best value, the following methods of competitive bidding are required for all new contracts or non-contracted purchases.  If assistance is needed, it is recommended to engage the Procurement Department early in the bidding process. Note: Sponsored Project procurement thresholds are different from general SU procurement thresholds.

Dollar Amount Bidding Requirements Bidding Process
$0 - $3,000 verbal quote required If pricing is considered reasonable, there is no requirement to solicit a competitive quote/proposal.
$3,001 - $10,000 1 written quote required Obtain a quote/proposal from at least 1 qualified source for supplies or services. Include documentation from the source with the requisition.
$10,001 - $50,000 2 written quotes required (prefer 1 quote from a qualified DBE*) Obtain a quote/proposal from at least 2 qualified sources for supplies or services. Include documentation from both sources with the requisition.

$50,001 - $150,000

3 written quotes required (prefer 1 quote from a qualified DBE*) Obtain a quote/proposal from at least 3 qualified sources for supplies or services. Include documentation from all sources with the requisition.
over $150,000 RFP/RFQ competitive proposals (require 1 quote from a qualified DBE*) The University will evaluate the proposals received and award the contract to the responsible firm whose proposal is most advantageous to the program, with service levels, price and other factors considered.
Sole Source   If only one source is qualified to provide the goods and services, it is an emergency purchase or required by a federal awarding agency, the purchase may be made without competition.  The Sole Source Justification form must be completed.

*Diverse Business Enterprise (“DBE”): “DBE” or “Diverse Business Enterprise” is a business that
identifies as and attests to being majority owned by Black, Indigenous, other POC, LGBTQIA+,
veteran, women, or socially and economically disadvantaged persons. Although the University
prefers in its contracting that such business enterprises be certified by the Washington OMWBE,
DBEs are not required to be certified by the OMWBE unless an anticipated expenditure is required to be competitively bid under the University’s Procurement Policies. In this situation, certification by entities other than OMWBE will be considered on a case-by-case basis. 

Cost sharing is any project cost that is not reimbursed by the sponsor to support the scope of work defined by the sponsored award.  Cost sharing, also known as “matching funds” or “in-kind support”, is funded by Seattle University or a third-party, which is generally a non-federal resource.

Cost-share requirements are determined in the proposal stage and if included in a proposal and subsequent award, cost-share will be held to the same standards as the sponsor funded award in regards to personnel, purchasing, prior approvals, tracking, reporting, and spending down. All committed cost sharing must be tracked and may require reporting.

If an error, unallowable cost, or cost overrun is discovered, the PI and Budget Manager must complete a standard Journal Entry form and an additional grant-specific  Cost Transfer Justification Form to remove the unallowable cost. The unallowable cost or cost overrun should be transferred to a departmental or divisional operating or unrestricted fund account. 

  • Complete the JE to request the revision - each applicable budget manager (credited and debited) needs to sign
  • Complete and attach the Cost Transfer Justification Form to document the purpose of this transfer 
  • Submit both forms to the Grant Accountant in the Controller's Office
    • The Grant Accountant reviews for allowability. Please be specific on the cost transfer justification form.

JEs should only be used to correct errors and not as a mechanism to regularly shift expenses from a different account on to a sponsored project account. This is a highly discouraged situation as it can raise red flags during an audit.

Seattle University’s policy is to charge the federally negotiated indirect rate (42% of modified total direct costs) to all publicly-funded sponsored projects. Privately-funded grant indirect costs are charged at the accepted rate of the sponsor, as negotiated by the Director of the Office of Sponsored Projects at the time of the proposal submission.

Indirect costs include the facilities and administrative costs that are not easily assigned to specific projects such as physical building space, utilities, technological services, minor office supplies and printing, and administrative staff of the department and university, among other real costs. 

Purpose: to ensure your records match with the official institutional records. By tracking expenses and reconciling on a monthly basis, you can identify mistaken charges, anticipated charges that are missing from the university’s official record, or capture charges missed from your records.

To assist in the review of your expenses, OSP provides this budget tracking template for your use.

  • Ongoing: Projects Accounting ties directly into our university accounting system but was designed specifically for projects. A key feature is that the project budget is based on the project's period, not the university's fiscal year. Use this module to check the financial health of your project(s) at any time.
  • Monthly: At the end of each month's financial close (approximately 2-3 weeks after the end of each month), the Controller's Office will send an email to all Activity Managers announcing the close of the month. At this time, the Activity Manager must reconcile their records with the controller's monthly financial report provided in InformSU.
  • Quarterly: After the end of each fiscal quarter while your sponsored project is active, the Grant Accountant will send a summary report of your financials comparing actuals to date with total budget, rate of spending, and project timeline complete (% of total award period already complete). This report must be signed by the sponsored project's PI/PD and budget manager certifying that the charges are correct.

The PI, with support from the Grant Management Specialist, is responsible for spending their sponsored project funds and associated cost share (if applicable) at the rate proposed in the project’s plan. Good communication and timely review of financial information by both the PI and Activity Manager will help avoid spending spikes, address potential audit questions, and facilitate close-out of the award.

Activity Managers should work with their PIs to develop a spending plan for a controlled spend of the award dollars to avoid a spike of spending toward the end of the award period due to inadequate financial planning. Spending spikes not only pose an audit risk, but often result in unallowable costs that require transfer off of the award.

Most sponsors request that a financial report be submitted annually (on or after the anniversary of the project start date) and a final financial report after the project end date. This report must be completed with financial data from the Grant Accountant (and oftentimes, must be submitted by her). Please consult with the Grant Accountant to ensure accurate financial data is submitted.

Subawards & Contracts

In accordance with the  Contract Review & Approval Policy, all contracts funded with external funds must be approved by OSP prior to routing it for execution by either the contractor or SU’s designated signatory

What is a subaward?

Subawards are the contracting mechanism issued to subrecipients of your grant funds. A subrecipient is an external collaborator(s) whom contributes to the scientific or programmatic agenda and decision-making of your sponsored project. 

What is a subcontract?

Subcontracts are contracts issued to an individual or entity hired in a professional capacity to provide specific expertise in the technical area of the project or provide a specific service necessary to carry out the project for a specified period of time under a sponsored agreement. SU has the right to control or direct only the result of the work and not what will be done and how it will be done.

To help determine if an external individual or entity is a subaward or subcontract, please complete the Subrecipient or Contractor Checklist or contact the OSP.


Relationship/ Role/ Characteristics

Decision Making Authority

Agreement type

Pay type

Related Policies & Forms

Subaward/ subrecipient

External institution or organization where the collaborating co-PI or key personnel is employed

Has responsibility for programmatic decision-making

Subaward Agreement



Invoiced per contract; typically cost reimbursable at SU

Consultant or

Independent contractor

An individual hired in a professional capacity to provide specific expertise in the technical area of the project or provide a specific service necessary to carry out the project for a specified period of time under a sponsored agreement. 

SU has the right to control or direct only the result of the work and not what will be done and how it will be done.






Independent Contractor Agreement + insurance certificate + W-9

Via Independent Contractor form in ProcureSU


An recipient/individual participating in an educational training for a particular term as specified in their MOU. No deliverable or responsibilities are required of the Fellow. Fellows may include students, scholars, and scientists from other institutions, individuals from the private sector, teachers and state or local government personnel. Employees of the Seattle University are not eligible to receive participant support.


Participant Agreement (MOU) + W-9

Via Independent Contractor form in ProcureSU


Participant/ Trainee

The recipient, not the provider, of a service or training associated with a workshop, conference, seminar, symposium or other short-term instructional or information-sharing activity.  Participants may include students, scholars, and scientists from other institutions, individuals from the private sector, teachers and state or local government personnel. Employees of the Seattle University are not eligible to receive participant support.


Participant Agreement (MOU) + W-9

Via Independent Contractor form in ProcureSU


Provides procured goods - no contract, no flow throughs (though purchase must be allowable)


Quote (as required by procurement policies)

Via ProcureSU with back up documentation (invoice or other)

Subaward Processes

A subaward is the contracting mechanism issued to the collaborating entity (not an individual), typically (but not exclusively) another institution of higher education. The collaborator is a subawardee also know as subrecipient (vs. a contractor) when they have shared programmatic decision-making responsibilities with Seattle University's Principal Investigator (PI). 

It is the PI's responsibility to coordinate with their collaborator regarding the technical components of their project, reviewing and approving invoices prior to payment to ensure that the work has been completed as described, and to obtain the necessary reports or information in order to meet the sponsor's reporting requirements.

Including a subaward in your proposal
  1. If the relationship with your collaborator is unclear, please contact OSP and complete the Subrecipient or Contractor Checklist
  2. If determined to be a subrecipient, please request the OSP/contracts administrator contact information from your collaborator and provide to your Sponsored Research Officer.
  3. The collaborator will be required to provide a completed and signed Subrecipient Commitment Form due to OSP at least 5 business days in advance of the sponsor deadline, or with your proposal package to your college/division - whichever deadline is sooner. 
    1. This form must include a brief statement of work
Budgeting for the subaward
  1. When your collaborator's scope of work is determined, request a line item budget and budget justification from them. This must be received as soon as possible as it will become part of the Seattle University budget.
    1. Be sure to communicate any budget limitations and/or restrictions
  2. Enter their total cost (direct and indirect costs) into your budget spreadsheet.
    1. If the the sponsor is a federal agency, the subrecipient has the right to include their federally negotiated indirect costs.

The OSP is a resource throughout this process - please contact us early and often!

Once an award is received, the subaward must be issued to your collaborator. The subaward must be included in the proposal and budget, and approved by the sponsor. If you are seeking to add a subaward after the prime award (agreement from the sponsor) has been issued, it must be pre-approved by the sponsor.

Following your New Award Orientation:

  1. the Associate Controller will conduct a risk assessment to determine the level of monitoring required for this subrecipient.
  2. Our Grant Management Specialist (GMS) will draft the subaward agreement per the approved scope of work, budget and timeline. The conditions of the prime award (from the sponsor) will be incorporated into the subaward as they "flow-down" and are applicable to the subrecipient.The subaward will be issued to your collaborator's institution and must be signed by their Authorized Organizational Representative.
  3. Once the subaward is executed, the GMS set them up as a vendor in ProcureSU and will set up a declining PO for the total contract value so that payments can be expedited when the first invoice is received.
  4. The GMS will process invoices for payment, after obtaining review and approval from the PI

On an ongoing basis, it is the PI's responsibility to coordinate with their collaborator regarding the technical components of their project, reviewing and approving invoices prior to payment to ensure that the work has been completed as described, and to obtain the necessary reports or information in order to meet the sponsor's reporting requirements.

When an invoice is received:

  1. The PI must review and approve each invoice for payment after confirming (either through knowledge of the collaborator's progress or a report) that the work has been completed as described on the invoice.
  2. Submit the invoice through ProcureSU for payment under the declining PO for this contract.

On an annual basis, the Associate Controller will conduct an annual review in alignment with this subrecipient's risk assessment monitoring plan as determined at the contract execution stage.

Subcontracting Processes

Subcontracts are contracts issued to individual hired in a professional capacity to provide specific expertise in the technical area of the project or provide a specific service necessary to carry out the project for a specified period of time under a sponsored agreement. SU has the right to control or direct only the result of the work and not what will be done and how it will be done.

It is the PIs responsibility to coordinate this work with the contractor and to ensure the work has been completed as contracted prior to issuing payments. 

Budgeting and Documenting a Contractor in a Proposal

  • If the person or entity is identified and named in the proposal, a Contractor Letter of Commitment including a scope of work and total cost is required. Please note: The sponsor or program to which you are applying may have additional requirements or specifications for any named contractors or consultants.
  • If the individual or entity is not known but a contracted service is necessary, conduct market research or obtain several quotes in order to budget sufficient funds for the services.

For all contractors, competitive bidding requirements must be met as outlined in the Procurement Policy for Sponsored Project funded equipment and services.

Competitive Bidding Thresholds


  1. OSP's Grant Management Specialist (GMS) will draft the contractor agreement based on the scope of work and will coordinate with the Office of University Counsel as appropriate.
  2. The GMS will issue the contract to contractor for signature then will obtain SU's Authorized Organizational Representative's approval.
  3. OSP will return the fully executed agreement to you and your contractor. If the contractor is a sole proprietor as determined on the Contract Coversheet, the SRO will complete and send the Pre-Work Disclosures for the contractor's signature.
  4. The GMS will set-up the contractor as a vendor within ProcureSU. 
  5. The GMS will set-up the purchase order and upload  executed contract as back-up documentation for payments to be processed.


  • The contractor should submit invoices per the payment terms in the contract. 
  • When an invoice is received, the PI/PD must review and approve the payment. It is the PI/PD's responsibility to ensure the contractor has completed the work as described in the scope of work and in the deliverable timeline outlined in the contract. 
  • The Grant Management Specialist will then process the approved invoice through ProcureSU to issue the payment to the contractor. 

If there are any changes to the contract - budget, scope of work, timeline, or the need to terminate - please contact OSP as soon as possible.

Sponsored Projects Policies

The Office of Sponsored Projects mitigates institutional risk by maintaining up-to-date sponsored projects policies and compliance with federal regulations which are consistently applied to all externally funded awards. 

SU Policies

For all other Seattle University Policies, please visit the policies webpage. 

Clinical Trials Registration & Reporting Policy

This policy and procedure ensures Seattle University remains compliant with the applicable regulations regarding clinical trial studies, specifically in relation to NIH regulations.   

Closeout Policy

The purpose of this policy is to provide guidance on federal and other sponsor requirements for sponsored project award closeout. 

Cost Sharing & Matching Policy

This document sets forth the guidelines for contribution cost share on sponsored projects and tracking those expenditures at Seattle University. ”Sponsored projects” refers to any form of extramural support (grant, contract, fellowship, and gift) made to the institution. 

Cost Transfers Involving Sponsored Projects

This document describes the policy and procedures regarding cost transfers (journal entries) when they involve sponsored projects. The purpose is to assure the integrity of the University’s charges for salaries, wages, goods and services on sponsored projects transferred to and/or from a sponsored project after an initial charge elsewhere in the University’s accounting system.  Additionally, this policy is issued to ensure compliance with sponsor terms and conditions, regulations and University policies.

The University is committed to ensuring that all cost transfers (either in the form of a labor distribution adjustment or non-salary journal entry) are legitimate and are conducted in accordance with sponsor terms and conditions, regulations and University policy. 

Document Review Process Policy

This document sets forth the guidelines for document internal review and signature authority for externally sponsored projects. Externally sponsored projects include submission of proposals, acceptance of award agreements (or amendments), and submission of reports when an institutional signature is required. The document addresses both hard copies as well as electronic formats for submitting proposals, executing agreements, and accepting awards on behalf of the university.  

Federal Rate Agreement

This is our most current Federally Negotiated Indirect Cost Rate Agreement (NICRA); this rate is applicable until a new rate agreement is available (forthcoming in 2024).

Policy on Fringe Benefit and IDC Charged to Sponsored Projects

The purpose of this policy is to provide an explanation of SU’s Fringe Benefit and IDC rates and their application to sponsored projects. 

Participant Support

Participant support costs are defined by Uniform Guidance §200.75 Participant support costs. They are direct costs for items such as stipends or subsistence allowances, travel allowances, and registration fees paid to, or on behalf of, participants or trainees (but not employees) in connection with conferences, or training projects. 

Patent Policy

This patent policy establishes guidelines for disclosure and assignment of ownership of potentially patentable inventions or discoveries resulting from the work of Seattle University faculty member(s), staff, graduate students, undergraduate students, visitors and any persons using University resources and facilities.  It is designed to promote, preserve, and encourage innovation, inform faculty member(s) of the University practices, protect the respective interests of all parties involved, and assist the inventor(s) and the University in realizing tangible benefits from such inventions. 

Procurement Policy for Sponsored Project funded equipment and services

Federal Grants are subject to additional procurement requirements set by the Federal Office of Management and Budget (OMB).  The University Procurement Policy Statement is compliant with the OMB Uniform Guidance procurement requirements with the following amendment to the competitive bidding thresholds.   

Program Income

Program income is gross income earned by the University that is directly generated by a grant supported activity or earned as a result of an award (2 CFR §200.80 Program income). The University requires principal investigators (PIs) to identify program income on both federal and non-federal sponsored projects. The nature of this income must be appropriately documented and the resulting revenue and expenses properly recorded and accounted for.  

Review of Compensation Charges - updated spring 2022

Institutional compliance to CFR 200.430 requires an after‐the‐fact review to be conducted to support that compensation charged to a sponsored project and/or committed as cost sharing does not exceed the proportionate share of Institutional Base Salary (IBS) for the work performed on the project. 

Sponsor Funded Equipment Disposal Policy and Procedures Manual

An essential component of the administration of sponsored research at Seattle University is the responsible stewardship of assets used in support of the University’s research.  The Controller’s Office, the Office Sponsored Projects, the dean’s offices, and the principal investigator (PI) or the department/center must work cooperatively to assure that the University properly follows Federal administrative requirements, acquisition regulations and agency or sponsor specific conditions governing the disposition of Federal property.  

Sponsored Projects Compensation Policy

This document sets forth the Seattle University guidelines concerning salaries of faculty at Seattle University that are funded by extramural sources, including either public or private sponsors.  In these guidelines, “sponsored project” will refer to any form of extramural support on a sponsored project (grant, cooperative agreement, or contract) made to the institution from which a faculty member draws salary. This document will address three types of faculty salary: academic salary, summer salary, and overload salary, as well as staff salaries on sponsored projects. 

Subrecipient Monitoring Guidelines

Seattle University is responsible for monitoring the programmatic and financial activities of its subrecipients to ensure proper stewardship of sponsor funds. The following policy applies to all subawards issued under sponsored programs, without regard to the primary source of funding. Additionally, this policy addresses institutional responsibilities and assists Principal Investigators (PIs) and administrators to ensure that, in addition to achieving performance goals, subrecipients comply with applicable federal laws and regulations and with the provisions of each subaward agreement. 

Technical & Financial Reporting Policy

This document sets forth the guidelines for the submission of technical and financial reports on sponsored projects at Seattle University. The technical and financial reports on sponsored projects refer to all types of reports that may be requested by the sponsor and/or required in the award terms and conditions (including contract agreements) made to the institution. The technical report may refer to a progress report (or interim report or performance report), program outcome report, and/or final report.  

Unallowable Cost Categories

Seattle University conducts a significant level of projects sponsored by the federal government. The government generally supplies the recipient of a federal grant or contract with the funds necessary to cover the expenditures directly associated with a project. In addition, the government will reimburse the institution for the indirect expenditures necessary to create and maintain the environment in which the project is conducted.  

Nonfederal grants and contracts are also subject to this policy unless sponsor- or contract- specific conditions allow otherwise. 

Compliance Policies and Procedures

The OSP is responsible for maintaining compliance with federal, state, and sponsor regulations applicable to our research enterprise. The below compliance policies ensure our university's commitment to safe and ethical research.

Breena Stoner joined Seattle University in May 2022 as our new Academic Safety Officer and serves as the university's Chemical Hygiene Officer and Biosafety Officer. If your project involves chemical hazards, biosafety concerns, or other safety-related issues, please contact Breena for assistance. 

For more safety information, policies, and resources, please visit the Academic Safety website. 

Export Control Laws are a set of federal regulations that restrict the release of certain items, information and software to foreign nationals in the United States and abroad.

Please contact OSP Director, Jenna Isakson, if you are exporting information or materials to a foreign country, entity, or individual.

All Principal Investigators (PI), Co-PIs, and Senior Personnel are required to complete an FCOI disclosure form prior to submission, and annually thereafter for PIs with active awards.

FCOIs disclosure forms are now submitted through our OneAegis Grant Administration System. 

As a Seattle University researcher, you must submit any project proposal involving human subjects as participants to the SU Institutional Review Board (IRB) to comply with SU policy and Federal regulations. For more information or to schedule a consultation, please call 206-296-2585 or email

The IRB also utilizes OneAegis for application submission, review, and monitoring. 

Human Subjects Incentive Payments Policy

If your project involves a clinical trial, please review our Clinical Trials Registration & Reporting Policy

Seattle University is committed to supporting a research community that operates at the highest level of integrity. This commitment extends not only to supporting research that is conducted with high, technical quality but with the collegial, professional and ethical processes with which research is performed.

The Responsible and Ethical Conduct of Research (RCR) at Seattle University

For all research personnel – students, staff and faculty – please ensure your research team is up-to-date on their Responsible Conduct of Research Training. This is required for all NSF and NIH personnel and strongly encouraged for all other researchers to uphold SU's commitment to responsible and ethical research. This training should be completed at least every four years.


In 2007, Congress passed the America COMPETES (Creating Opportunities to Meaningfully Promote Excellence in  Technology, Education, and Science) Act, which required that "each institution that applies for financial assistance from the National Science Foundation (NSF) for science and engineering research or education describe in its grant proposal a plan to provide appropriate training and oversight in the responsible and ethical conduct of research to undergraduate students, graduate students, and postdoctoral researchers participating in the proposed research project." 

NIH mandates that trainees on an NIH institutional research training grant, individual fellowship, career development award (institutional or individual), research education grant, dissertation research grant, or other grant programs that have a significant training component have a minimum of eight hours of formal instruction at least once during each career stage and at least every four years.


For every grant it holds funded by the National Science Foundation or the National Institutes of Health, Seattle University must show that it has provided all relevant personnel with adequate training on the responsible conduct of research. For each NSF and NIH award, participating members must show proof of having taken the Responsible Conduct of Research module in the discipline pertinent to the research to be undertaken through CITI (Collaborative Institutional Training Initiative). The RCR Coordinator at Seattle University will be responsible for certifying that grant personnel have completed the requisite training.

Policy & Procedure

In order to meet the RCR requirement, all researchers  must receive Responsible Conduct in Research training for any institutional research project they engage in that is supported by the National Science Foundation (NSF) or the National Institutes of Health (NIH). As such:  

  • When a principal investigator (PI) receives a grant from the NSF or NIH, the PI and all project staff, including students, will  complete the CITI training module before starting research on the project (unless RCR training has been completed and documented within the past four years). The tutorials should take no more than two hours. 
  • Researchers new to CITI must first set up an account and select Seattle University as their institutional affiliation. They will then answer a series of questions that will determine what course modules they should take.
    • For Questions 1-8, select "Not at this time."
    • For Question 9, researchers should choose the Responsible Conduct of Research module that fits the broad field research they will undertake (Biomedical, Physical Science, or Social and Behavioral) and click on "Submit."
    • They may then start the chosen course module or postpone until a later time. The module does not need to be finished in a single session.
  • A passing score of 80% is required. If this is not achieved, the module must be retaken by the researcher before undertaking the NSF or NIH funded research.
  • The RCR Coordinator will verify the names of the researchers who have passed the course for verification purposes through CITI.
  • If human subjects are used in research, researchers will also need to take a course on Protecting Human Research Participants. 
  • If animal subjects are used in research, researchers will also need to take a course in Laboratory Animal Research.


For questions about this requirement or CITI, please contact the Director of OSP, Jenna


This policy ensures compliance with the sexual harassment, bullying, retaliation, other forms of harassment, sexual assault, hostile working conditions, or any other conditions that raise a concern about workplace health and safety guidelines and reporting procedures for Principal Investigators, Co-Principal Investigators and other senior personnel on NSF and NIH grants. This effects any NSF or NIH-sponsored award after September 21, 2018.

Responsible and Ethical Conduct of Research

All NSF and NIH researchers are required to complete RECR training at least every four years. All other researchers are strongly encouraged to complete this training.