AA/PPS 03.01.01 - Contracts and Grants of an Academic Nature

POLICY STATEMENT

Texas State University is committed to properly managing external funding that supports the university mission.

1. BACKGROUND INFORMATION

   1. The following information establishes policies and procedures for the development and submission of contract and grant proposals of an academic nature. This includes proposals submitted to state, federal, private agencies, etc., through the Office of Research and Sponsored Programs (ORSP).

   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, including those found in UPPS No. 02.02.01, Applying for Sponsored Programs.

   3. The PI is responsible for informing the department chair or school director and dean of intent to submit prior to initiating a proposal.

   4. The PI is responsible for the completion of the grant or contract proposal application according to specifications in the application guidelines and initiated within Texas State University’s proposal management system.

   5. The PI verifies the proposal budget with Pre-Award Support Services prior to internal routing of the grant or contract proposal through the university’s electronic routing 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 affirmative action regulations, if applicable; significant financial interest disclosures, as found in UPPS No. 02.02.07, Researcher Conflicts of Interest in Research and Sponsored Program Activities and UPPS No. 02.02.08, Conflicts of Commitment in Research and Sponsored Program Activities; and meets any other regulations that might apply, such as export controls and rules mandated by the Office of Safety and Health Administration, State Department, etc.

   7. The PI is responsible for the quality in purpose, scope, and plan of operation, and for sharing credit with partnering departments or schools, as appropriate, including the distribution of recovered indirect costs according to UPPS No. 03.04.05, Facilities and Administration Costs (F&A or Indirect).

   8. The PI ensures that a single proposal is not submitted to several funding sources simultaneously without prior notification to Pre-Award Support Services and all funders.

   9. The PI informs Pre-Award Support Services if the targeted funding program allows only a limited number of submissions from the university. If multiple proposals are targeted at a program to which the university submissions are limited, it is the responsibility of ORSP to implement an internal review process to recommend the proposals for submission to the program, as noted in AA/PPS No. 03.01.02, Limited Submissions for Certain Sponsored Programs.

2. RESPONSIBILITIES OF THE DEPARTMENT CHAIR OR SCHOOL DIRECTOR

   1. The department chair or school director, or designee, verifies that the proposal purpose, scope, and plan of operation represent the best interests of the department or school.

   2. The department chair or school director, or designee, verifies that they approve all requests for released time, major equipment purchases, information technology support, funds for clerical and research assistants, use and renovation of facilities, and proposed cost sharing.

   3. The department chair or school director, or designee, verifies that any requests for additional staff lines have been discussed with the appropriate authority.

3. RESPONSIBILITIES OF THE DEAN OF THE COLLEGE

   1. The dean, or designee, at a minimum reviews the requested budget and scope of work of the faculty’s effort and cost share commitment for each proposal, paying particular attention to commitments.

   2. The dean, or designee, verifies that the proposal represents the best interests of the college.

   3. The dean, or designee, verifies the proposal reflects credit on the college and its faculty.

   4. The dean, or designee, verifies that they approve 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.

   5. The dean, or designee, verifies that any requests for additional staff lines has their full approval.

4. RESPONSIBILITIES OF THE OFFICE OF RESEARCH AND SPONSORED PROGRAMS

   1. ORSP reviews each proposal submitted for completeness and accuracy to the best of its ability.

   2. ORSP may return the proposal if there are any questions regarding the quality of the proposal or with factual accuracy.

   3. Upon approval by the required parties, ORSP submits the proposal for consideration to the potential sponsor.

   4. ORSP offers technical assistance in the use of sponsored specific automated submission portals as referenced in the sponsor guidance.

5. SPONSORED PROGRAM PROPOSAL ROUTING PROCEDURES

   1. Requests for approval of proposals and applications for contracts and grants of an academic nature must be made by utilizing the university’s proposal management system. The system will simultaneously route the proposals electronically to be approved by specific parties for approval and other for notification purposes only, which include the following (not in any order):

      1. department chair or school director;

      2. dean of the academic college;

      3. ORSP;

      4. The Graduate College;

      5. center directors;

      6. vice president for Institutional Technology, or designee;

      7. associate vice president for Research and Federal Relations, or designee;

      8. Texas State University System (TSUS) Office of the General Counsel;

      9. director, Environment Health, Safety & Risk Management, or designee;

      10. associate vice president for Facilities, or designee;

      11. vice president for Student Success, or designee;

      12. vice president for University Advancement, or designee;

      13. vice president for Finance and Support Services, or designee; and

      14. others as needed.

      An email notification will be sent to the individuals who are required to approve, as well as who are simply notified.

      NOTE: Not all individuals above will see all proposals.

6. FISCAL APPROVAL

   1. The associate vice president for Research and Federal Relations, or designee, is responsible for certifying that the proposal is within institutional, state, and federal financial guidelines.

7. LIAISON FUNCTIONS FOR RESEARCH

   1. ORSP is responsible for liaising with all state, federal, and private sector funding services regarding all aspects of sponsored programs.

   2. University Advancement is responsible for liaising with all corporations, foundations, and private sector funding sources in regard to all aspects of gifts.

   3. Pre-Award Support Services and the associate vice president for Research and Federal Relations will continually assess the advantages associated with the university’s membership in research-related agencies and organizations, and will recommend initiation, renewal, or termination of such membership annually.

8. ANALYSIS AND REPORTING

   1. Post-Award Support Services will furnish the associate vice president for Research and Federal Relations with a report regarding funded grant expenditures annually. The report will consist of data gathered to complete the annual National Science Foundation and the Texas Higher Education Coordinating Board research reports. Other reports will be made available as needed.

9. REVIEWER OF THIS PPS

   1. Reviewer of this PPS includes the following:

      Position	Date
      Director Post-Award and Support Services	October 1 ONY

10. CERTIFICATION STATEMENT

    This PPS has been reviewed by the following individuals in their official capacities and represents Texas State Academic Affairs policy and procedure from the date of this document until superseded.

    Director Post-Award and Support Services; senior reviewer of this PPS

    Associate Vice President for Research and Federal Relations

    Provost and Vice President for Academic Affairs