Grant Request Administration of Research and Sponsored Programs

Section: Sponsored Program Administration
Index: J-01

Policy

The Office of Research and Sponsored Programs (RSP) is responsible for submitting, receiving, and overseeing sponsored programs from state and federal agencies and sponsored research activities awarded by non-profits and local agencies.

Awards are accepted as a legally binding means of transfer through a grant, contract, or cooperative agreement that codifies the sponsored program activity. The oversight involves adhering to applicable federal, state, and sponsored program regulations similar to Uniform Guidance, Federal Acquisition Regulations (FAR), and Education Department General Administrative Regulations (EDGAR) and sponsor-specific imposed requirements.

The authority to submit and accept state, federal and sponsored research activities rests on behalf of the University with the director of research and sponsored programs.

Definitions

A sponsored program meets the following criteria:

UHV is bound by the program to perform a specific scope or statement of work.
Subject to deliverables such as programmatic performance/reports, narrative or evaluation, technical assistance, or training.
Periodic billing or report of expenditures are required.
Award payments are contingent on programmatic performance.
Involve intellectual property right provisions, publication restrictions, or confidential information.
There is a specified performance period.
Unexpended funds are returned to the sponsor at the end of the program.

Grant, contract, cooperative agreement, or legally binding means of transfer:

Grants are a type of financial assistance given to an organization to conduct research or other programs specified in an approved proposal. Typically, the proposal defines the scope of work or performance. The sponsor makes an award, which may be based on a competitive review, and establishes performance terms and conditions. These terms can be stated broadly, adhering to Uniform Guidelines, for instance, or it can be used to specify allowable and non-allowable activities and/or costs.
Contracts for research, specific work performance, instruction, training, and/or similar activities may be awarded. Contracts will typically define specific details of the legal relationship between the participating entities and will include a description and cost of the work to be performed as a legally binding attachment or embedded in the contract document. A purchase order is a type of contract. It is a legally binding arrangement or performance agreement for the performance of a specific service or the acquisition of a product that imposes specific obligations on both the sponsor and the recipient. A failure to perform the project within compliance of the contract and provide the deliverables on time and on budget could result in civil penalties.
A cost-reimbursement agreement is one in which the sponsor pays for all costs incurred to carry out the work up to a predetermined amount and for which invoices containing backup information on costs incurred are generally required.
A fixed cost or fee-for-service agreement is one in which one party pays the other a set amount regardless of the actual costs for the services rendered.
A cooperative agreement is an award that is similar to a grant in that the sponsor's staff may be actively involved in proposal preparation and anticipates significant involvement in research activities once the award is made.
Cost sharing refers to the portion of project costs not covered by federal funds. It is a commitment made by the sponsor or proposed by the Institution to use resources other than the award itself to complete the award objectives.
Facilities and Administrative (F&A) rate, generally referred to as indirect costs (IDC), are awarded to the University by the grantor to help defray expenses not easily identifiable and, therefore, not recoverable as direct program costs.
A Principal Investigator (PI) is the primary person responsible for the preparation, execution, and administration of a research grant, cooperative agreement, training or public service project, contract, or other sponsored project per applicable laws and regulations, as well as institutional policy governing the conduct of sponsored research.
A Co-Investigator has responsibilities similar to the PI on research projects. While the PI is ultimately responsible for the success of a research project, the Co-I is also responsible for ensuring the project is carried out per applicable laws and regulations, as well as institutional policy governing the conduct of research.

Procedure

Initially, the originator completes the Intent to Submit a Proposal form to notify the Office of Research and Sponsored Program or University Advancement of their intent to submit a grant proposal.

For proposals to Federal or State agencies: The coordination and execution of applications or proposals to Federal and State agencies is the responsibility of the Office of Research and Sponsored Programs (RSP). Faculty and staff shall submit the form to the RSP for consultation and assistance.

For proposals to private donors and entities (e.g., individuals, corporations, foundations, non-profit organizations, or local entities): The coordination and execution of private donors and entities is the purview of the Office of University Advancement (OUA). Therefore, the Intent to Submit a Proposal form shall be submitted to OUA. All faculty and staff must adhere to UHV General policy A-46 Coordination of Private Grant/Gift Comm | University of Houston-Victoria (uhv.edu) when desiring to contact or communicate with a potential private donor.

For any proposal that includes research activities: Sponsored programs that include research activities are subject to additional guidelines that may impact grant submission, project timelines, and subsequent approval processes (e.g., pursuing approval from UHV’s Human Subjects Committee for study solicitations or marketing materials). Therefore, individuals wishing to pursue solicitations or proposals where the project also includes a research component must pursue necessary research approvals before submitting the proposal—regardless of the funding source. Any research activity discussions with potential sponsors should involve an RSP staff member regardless of the donor type. Upon completion of the application or proposal, the originator completes the External Grant Proposal Routing Sheet

and obtains the applicable approval signatures. The purpose of the routing sheet is to ensure that the proposal is consistent with the institutional mission and policies.

The Office of Research and Sponsored Programs (RSP) shall be the central repository for External Grant Proposal Routing Sheets. OUA will provide RSP with a copy of the completed routing sheet and proposal when an application involves a private donor and entities (e.g., corporations, foundations, and/or non-profit organizations. OUA will retain the original documents.

The general procedures for administering sponsored program funding are on the RSP web pages regarding pre-award, award notification, post-award (operations of the project), program oversight, and expenditure of funds. It is the responsibility of the RSP to maintain the guide at all times, reflecting current UHV and sponsor requirements.

Review and Responsibility

By the authority of the Provost and Vice President for Academic Affairs, the RSP shall be the responsible party for the Intent to Submit a Proposal form and External Grant Proposal Routing Sheet.

The Office of Research and Sponsored Programs and the Office of University Advancement will report grant activity to the UH System periodically as determined by the UH System.

Supporting Documents

Approved By:

Signature Obtained 08/22/2023
Robert K. Glenn, Ph.D.
President

Next Review Date: August 2028 (5 years)
Origination: Provost and Vice President for Academic Affairs