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

Contracts and Grants of an Academic Nature

AA/PPS No. 03.01.01 (5.01)
Issue No. 2
Effective Date: 3/02/2018
Next Review Date: 10/01/2019 (ONY)
Sr. Reviewer: Associate Vice President for Research and Federal Relations

  1. POLICY STATEMENTS

    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 within the university’s proposal management system.

    5. The PI checks all financial data with Pre-Award Support Services prior to 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 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 ensures that the proposal application represents the highest quality in purpose, scope, and plan of operation, and shares credit with partnering departments or schools, as appropriate.

    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.

    10. The PI keeps department chairs and school directors up to date on award and contract expenditures, and clears with their all hiring of staff.

  2. RESPONSIBILITIES OF THE DEPARTMENT CHAIR OR SCHOOL DIRECTOR

    1. The department chair or school director, or a named designee checks the proposal for accuracy of content.

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

    3. The department chair or school director, or a named designee verifies that the proposal itself is of high quality and reflects credit on the department or school and its members.

    4. The department chair or school director, or a named designee verifies that he or she approves all requests for released time, equipment purchases, information technology support, funds for clerical and research assistants, use of facilities, proposed cost sharing, and expenditures for travel.

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

    6. The department chair or school director, or a named designee checks expenditures of funded grants and contracts on a periodic basis and, when student assistants are hired, ensures that the regulations regarding nepotism (UPPS No. 04.04.07, Nepotism and Related Employment) are followed both literally and in the spirit of the rules.

  3. RESPONSIBILITIES OF THE DEAN OF THE COLLEGE

    1. The dean, or a named designee, reviews each proposal, paying particular attention to commitments incurred and to the quality of the document.

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

    3. The dean, or a named designee, verifies the proposal is of the highest quality and reflects credit on the college and its faculty.

    4. The dean, or a named designee, verifies that he or 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.

    5. The dean, or a named designee, verifies that any requests for additional staff lines has his or her full approval.

    6. The dean, or a named designee, answers questions concerning programmatic commitments.

  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 proposal development for all sponsored program funding requests.

  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 to all appropriate parties, which include the following (not in any order):

      1. department chair and school director;

      2. dean of the academic college;

      3. ORSP;

      4. IRB committee;

      5. IACUC committee;

      6. Graduate College;

      7. center directors;

      8. vice president for Institutional Technology or designee;

      9. associate vice president for Research and Federal Relations;

      10. Texas State University System Office of the General Counsel;

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

      12. associate vice president for Facilities or designee;

      13. vice president for Student Affairs or designee;

      14. vice president for University Advancement or designee;

      15. vice president for Finance and Support Services or designee; and

      16. others as needed.

      An e-mail notification will be sent to the individuals who are required to approve. NOTE: Not all individuals above will see all proposals.

  6. FISCAL APPROVAL

    1. The associate vice president for Research and Federal Relations, or a named 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 regards 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. REVIEWERS OF THIS PPS

    1. Reviewer of this PPS include the following:

      Position Date
      Associate Vice President for Research and Federal Relations 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.

    Associate Vice President for Research and Federal Relations; senior reviewer of this PPS

    Provost