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PPS 5.14

OFFICIAL
 

Policy and Procedure Statement 5.14 Limited Submissions for Certain
Date: 04/01/2014 Sponsered Programs
Review Cycle: April 1 E4Y (18 Paragraphs)
Reviewer: Director, Sponsored Programs  


    PURPOSE

  1. Many funding agencies place limits on the number of letters of intent, proposals, or applications that any one university may submit in response to an announcement. In order to prevent any potential disqualification of submissions by Texas State University-San Marcos, the following policy has been established. This policy applies to all sponsored programs. If the Office of Sponsored Programs (OSP) receives fewer than the allowed number of planned submissions, the normal process for submission will be followed. If OSP receives more than the allowed number of planned submissions, the process described in (below) will be used to determine which proposal(s) will be submitted on behalf of the university. Many funding agencies place limits on the number of letters of intent, proposals, or applications that any one university may submit in response to an announcement. In order to prevent any potential disqualification of submissions by Texas State University

  2. DEFINITIONS

  3. Limited Submission – A limitation placed by the funder on the number of proposals which can be submitted for consideration of funding under a specific sponsored program.

  4. POLICY

  5. This policy sets the procedure to be followed when a sponsored program contains a limitation on the number of proposals which can be submitted.

  6. NOTIFICATION OF LIMITED SUBMISSION OPPORTUNITIES

  7. When the Associate Vice President for Research and Federal Relations (AVPR), or OSP become aware of a limited submission program, they will forward that information to all deans with a request that the deans disseminate that information and to the chairs and faculty of their college. There are two distinct scenarios: Intra-college submissions involving faculty from one college only and Inter-college submissions involving faculty across the university, but at a minimum from two colleges.

  8. NOTICE OF INTENT

  9. In order for AVPR to initiate the internal selection process, the AVPR must first determine the number of faculty interested in applying and their respective colleges. It shall be the Dean’s and Chair’s responsibility to disseminate that information to their faculty along with the procedures for the University’s internal selection process (this policy).
  10. The Notice of Intent (NOI) consists only of the names, departments and colleges of the Principal Investigator and all other co-Investigators. The NOI must be in the form of an email to the Assistant Vice President for Research (research@txstate.edu) with a copy to the appropriate Chair and Dean. No other documents are required at this time. After the NOIs have been received and reviewed, the AVPR will send out explicit instructions regarding submission of the whitepapers that will be reviewed for selection purposes.
  11. DEADLINE for submission of NOI will be included in notifications of Limited Submission opportunities.

  12. PROCEDURE FOR INTRA-COLLEGE SUBMISSIONS

  13. If all NOIs received are from a single college, it shall be the Dean’s responsibility to conduct the selection process.
  14. Materials required for Dean’s review
    1. Each interested party should submit the following for review:
      • A 2 page white paper, single-spaced, 1 inch margins. The white paper should include the following in this order:
      • 1 page project description
      • ½ page describing how this project will meet department, college, and university research strategic plan
      • ½ page broader impact statement
      • 2 page NSF, NEH, NEA or NIH formatted CV for each investigator on the project
  15. This information should be submitted by 5pm on the announced deadline to the AVPR (research@txstate.edu). It shall be the responsibility of the AVPR to forward all information received to the Dean for review.
  16. Selection Process
    1. It shall be the responsibility of each college dean to rank, prioritize, or otherwise indicate his/her preference of proposals to be submitted. The selection(s) made at the college level are only recommendation(s) to the AVPR. The method for this evaluation process shall be left to the discretion of each dean.
  17. The Dean of each college shall notify the AVPR of the project(s) ranking within his/her college with a summary synopsis detailing the selected project(s) by the AVPR announced deadline. Final selection of the white paper(s) to be submitted shall be made by the AVPR. The AVPR will then notify all parties of the white papers selected for submission with a copy to OSP. This notification to OSP shall take the place of submission of a Proposal Notification Form (PNF).

  18. PROCEDURE FOR INTER-COLLEGE SUBMISSIONS

  19. If NOIs are received from multiple colleges, it shall be the Dean’s responsibility to conduct the selection process of those white papers originating from their college. If a NOI is received from faculty from two or more colleges, each Dean will be notified of their faculty’s involvement and will be afforded the opportunity to provide input to the AVPR.
  20. Materials required for Dean’s review
    1. Each interested party should submit the following for review:
      • A 2 page white paper, single-spaced, 1 inch margins. The white paper should include the following in this order:
      • 1 page project description
      • ½ page describing how this project will meet department, college, and university research strategic plan
      • ½ page broader impact statement
      • 2 page NSF, NEH, NEA or NIH formatted CV for each investigator on the project
  21. This information should be submitted by 5pm on the announced deadline to the AVPR (research@txstate.edu). It shall be the responsibility of the AVPR to forward all information received to the Dean for review.
  22. Selection Process
    1. It shall be the responsibility of each college dean to rank, prioritize, or otherwise indicate his/her preference of proposals to be submitted. The selection(s) made at the college level are only recommendation(s) to the AVPR. The method for this evaluation process shall be left to the discretion of each dean.
  23. The Dean of each college shall notify the AVPR of the project(s) ranking within his/her college with a summary synopsis detailing the selected project(s) by the AVPR announced deadline. Final selection of the white paper(s) to be submitted shall be made by the AVPR. The following criteria will be used to make the decision:
    • How well does the proposal meet the sponsor's published program guidelines and scope of work.
    • The availability or accessibility to the necessary resources.
    • How well the proposal meets the research strategic plan(s) of the department/college/university.
    • The broader impacts (on and off campus) of the proposal.
    • Consideration of prior review comments.
  24. The AVPR will then notify all parties of the white papers selected for submission with a copy to OSP. This notification to OSP shall take the place of submission of a Proposal Notification Form (PNF).

  25. FULL PROPOSAL SUBMISSION

  26. The white paper(s) selected will be developed into a full proposal to be submitted through GAMS in accordance with sponsor guidelines following normal submission procedures including internal routing forms.

  27. CERTIFICATION STATEMENT

  28. 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
Provost and Vice President for Academic Affairs
Last Updated: October 18, 2010
Send Comments and questions to: tg12@txstate.edu