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PPS 5.01

OFFICIAL

Policy and Procedure Statement 5.01 Contracts and Grants of
Original: Fa/86  an Academic Nature
Review Cycle: Oct 1, ONY (42 paragraphs)
Review Date: 10/1/2011  
AVP/Res & Sp Prog  


PURPOSE

  1. The following information establishes criteria and procedures for development and submission of contract and grant proposals of an academic nature. This includes proposals submitted to State, Federal and private agencies.  For purposes of this policy, Please note the following: Office of Sponsored Programs (OSP); Associate Vice President for Research (AVPR); UA – University Advancement and the Development Foundation.
  2. The Principal Investigator (PI), who may also be the Project Director, bears the primary responsibility for the accuracy of all the material in the proposal and for compliance with all applicable regulations.
  3. The PI is responsible for informing the department chair/school director and dean of intention to submit and of proposal content.
  4. The PI is responsible for the completion of the grant or contract proposal application according to the specifications in the application guidelines.  
  5. The PI checks all financial data with the OSP prior to the submission of the grant or contract proposal through the University’s internal approval process.
  6. The PI ensures that the proposal meets all compliance requirements (Institutional Animal Care and Use Committee (IACUC), Institutional Review Board (IRB), Bio-Safety and others as applicable) complies with the Affirmative Action regulations, if applicable, and meets any other regulations which might apply, such as export controls and rules mandated by the Office of Safety and Health Administration, the Bureau of the Handicapped, State Department, etc.
  7. The PI ensures that the proposal itself represents the highest quality in purpose, scope, and plan of operation and reflects credit upon all departments involved.
  8. The PI notifies UA THROUGH OSP if the proposal will be sent to a private source or foundation to ensure coordination of efforts. These prior approvals require extra time and as such, the PI should plan accordingly.
  9. The PI ensures that a single proposal is not submitted to several funding sources simultaneously without prior notification to all funders.
  10. The PI informs OSP or UA, as appropriate, if the targeted funding program allows only a limited number of submissions for the university. If multiple proposals are targeted at a program to which the university submissions are limited, it is the responsibility of the AVPR or UA to internal review process, including faculty, to recommend the proposal(s) for submission to the program.
  11. The PI keeps department chairs/school directors up to date on expenditures, and clears with him/her all hiring of staff (student or otherwise).
  12.  

    RESPONSIBILITIES OF THE DEPARTMENT CHAIR/SCHOOL DIRECTOR

  13. The department chair/school director checks the proposal for accuracy of content and for compliance with regulations listed in paragraph 6.
  14. The chair/director verifies that the proposal purpose, scope, and plan of operation represent the best interests of the department.
  15. The chair/director verifies that the proposal itself is of high quality and reflects credit on the department/school and its members.
  16. The chair/director verifies that he/she approves of all requests for released time, equipment purchases, information technology support, funds for clerical assistance, use of facilities, proposed cost sharing, and expenditures for travel.
  17. The chair/director verifies that any request(s) for additional staff lines has been discussed with the appropriate authority.
  18. The chair/director checks expenditures of funded grants and/or contracts on a periodic basis and, when student assistants are hired,  ensures that the regulations regarding nepotism ( UPPS 04.04.07, Nepotism and Related Employment) are followed both literally and in the spirit of the rules.
  19. Upon approval, the proposal is forwarded to the school dean.
  20.  

    RESPONSIBILITIES OF THE DEAN OF THE COLLEGE

  21. The dean reviews each proposal, paying particular attention to commitments incurred and to the quality of the document.
  22. The dean verifies that the proposal represents the best interests of the college.
  23. The dean verifies the proposal is of the highest quality and reflects credit on the college and its faculty.
  24. The dean verifies that he/she approves of all requests for released time, equipment purchases, information technology support, funds for clerical assistance, use of facilities, and expenditures for travel and other uses of University resources such as proposed cost sharing.
  25. The dean verifies that any request(s) for additional staff lines has his/her full approval.
  26. The dean approves and forwards only those proposals of quality and returns those that do not to the chair/director for subsequent discussion and possible re-writing with the principal investigator.
  27. The dean answers questions concerning programmatic commitments.
  28. Upon approval, a copy of the proposal (either electronically or in paper form) is sent to OSP
  29.  

    RESPONSIBILITIES OF THE OFFICE OF SPONSORED PROGRAMS (OSP)

  30. OSP reviews each proposal submitted for completeness and accuracy to the best of its ability.  
  31. OSP will return the proposal to the dean for implementation of paragraph 24 if there are any questions regarding the quality of the proposal and/or with factual accuracy.
  32. Upon approval by the required parties, the proposal is submitted for consideration to the potential sponsor.
  33.  

    RESPONSIBILITIES OF UNIVERSITY ADVANCEMENT (UA)

  34. UA reviews each proposal requesting non-deliverable grants (gifts) from corporations, foundations, and the private sector and pays particular attention to all institutional commitments incurred and to the technical quality of the document.
  35. UA returns the proposal to the dean for implementation of paragraph 24 if there are any questions regarding the quality of the proposal and/or a factual accuracy.
  36. If meeting all requirements, UA will notify OSP in writing of the approval.
  37.  

    ROUTING

  38. Requests for approval of proposals and applications for contracts and grants of an academic nature must be made by utilizing the Grants Application Management System, GAMS.  The GAMS system will route electronically the proposals to be approved to all appropriate parties which include the following (not in order):
  39. a.    Department chair/School director
    b.    Dean of the academic college
    c.    OSP  
    d.    IRB committee
    e.    IACUC committee
    f.    Graduate College
    g.    Center Directors
    h.    Vice President Institutional Technology or designee
    i.    AVP-Research
    j.    University Attorney or designee
    k.    Director of Risk Management or designee
    l.    Director of Physical Plant or designee
    m.    Vice President for Student Affairs or designee
    n.    Vice President for University Advancement or designee
    o.    Vice President for Finance and Support Services or designee
    p.    Others as needed
    An e-mail notification will be sent to the individuals who are required to approve.  Please note: Not all individuals above will see all proposals.
  40. The following calendar should be adhered to as closely as possible:
  41.  

    Activity
    Suggested Timelines

     

    a. Submit complete proposal(s) to chair/director 5 days before mailing
    b. Processing by Chair/Director – up to 1 day
    c. Processing by Dean – up to 1 day
    d. Processing by others in approval process – up to 2 days
    e. Processing by OSP – up to 2 days

    THE OFFICES OF SPONSORED PROGRAMS

  42. The Office of Sponsored Programs assists with the identification of state and federal funding and obtaining submission approval from UA.
  43. OSP offers technical assistance in proposal development for state and federal funding.
  44.  

    FISCAL APPROVAL

  45. The Associate Vice President for Research is responsible for certifying that the proposal is within institutional, state, and federal financial guidelines.

  46. LIAISON FUNCTIONS FOR RESEARCH

  47. The Director of Sponsored Programs is responsible for liaison with all state, federal, and private sector funding services regarding all aspects of sponsored programs.
  48. University Advancement   is responsible for liaison with all corporations, foundations, and private sector funding sources as regards all aspects of gifts.
  49. OSP and the Associate Vice President for Research  will continually assess the advantages associated with the University's membership in research-related agencies and organizations and annually will recommend initiation, renewal, or termination of such membership.
  50.  

    ANALYSIS AND REPORTING

  51. OSP will furnish the Associate Vice President for Research with a report about funded grant expenditures annually.  The report will consist of data gathered to complete the annual National Science Foundation and The Higher Education Coordinating Board research reports.  Other reports will be available on an as needed basis.

  52. CERTIFICATION STATEMENT

  53. This PPS has been approved by the reviewer listed below and represents Texas State's Division of Academic Affairs policy and procedure from the date of this document until superseded.

Review Cycle: ______________________ Review Date: _______________________

Reviewer: _________________________ Date: _____________________________

Approved: _________________________ Date: _____________________________

Gene Bourgeois
Provost and Vice President for Academic Affairs
Texas State University-San Marcos
Last Updated: October 18, 2010
Send comments and questions to: tg12@txstate.edu