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3.14 Faculty Development and Research

The Office of Research and Sponsored Programs provides information on research funding opportunities, assists with grant proposals and administration, and oversees program administration. It also coordinates the UHV Human Subjects Committee applications and faculty development applications.

The University of Houston-Victoria is committed to ensuring the University’s principals and researchers are not debarred, suspended, or proposed for debarment or suspension when applying for federal funds pursuant Executive Order Executive Order 12549 and Executive Order 12689, 2 CFR part 180. 2 CFR § 200.214 Suspension and debarment: “Non-Federal entities are subject to the non-procurement debarment and suspension regulations implementing Executive Orders 12549 and 12689, 2 CFR part 180. The regulations in 2 CFR part 180 restrict awards, subawards, and contracts with certain parties that are debarred, suspended, or otherwise excluded from or ineligible for participation in Federal assistance programs or activities”. For a list of requirements, see UHV Policy J-02.

Pursuant to Section 1352, Title 31, U.S. Code, the University of Houston-Victoria prohibits faculty, research, and administrative staff from using federal funds to campaign to obtain, extend, or modify a federal award. See UHV Policy J-03 for policy and procedures regarding lobbying.

The University of Houston-Victoria is dedicated to maintaining public confidence that supported research is carried out objectively and following the highest scientific and ethical standards. The Public Health Service (P.H.S.) [1], the National Science Foundation [2], and other regulatory and ethical bodies require organizations to apply a financial conflict of interest and disclosure policy to manage federally funded projects. The Conflict of Interest (C.O.I.) policy applies to individual(s) applying for or receiving funds to be administered through the University. For policy and definitions regarding financial conflicts of interest, see UHV Policy J-04.

The "Procurement Integrity" section of Section 27 of the OFPP Acts Amendment of 1988 forbids certain actions by universities and their staff members who are involved in the creation and submission of proposals to federal agencies as well as any subsequent contract discussions. This law may have an impact on how you interact as a consultant with any government agency as well as how you communicate with federal program and procurement officials. It is crucial that you comprehend both the legislation' scope and core principles. See UHV Policy J-05 for an overview of policies and procedures.

3.14.1 External Research Grants and Program Administration

When seeking or writing a grant, contact the Office of Research and Sponsored Programs as early as possible in the process for assistance and direction during the process.

All grant proposals are accompanied by a completed External Grant Proposal Routing Sheet that contains key information and signatures of approval. The purpose of the routing sheet is to ensure that the proposal is consistent with the institutional mission and policies. Proposal writers should submit a preliminary routing sheet with information about the proposed grant for preapproval before committing time to the development of a full grant proposal.

Routing sheets are not required for internal Faculty Research Grants or grants or fellowships that go directly to individual faculty members and do not involve institutional commitments. However, the dean of the appropriate college must be made aware of such proposals.

3.14.2 Reassigned Time and Faculty Salaries

Grants and contracts, whether related to research, instruction, or service, do not alter the provisions with regard to faculty workload, compensation, and the balance between teaching and research activities. However, a faculty member may be reassigned temporarily for the duration of a grant project to engage in relevant research, assessment, or administrative activities. In such cases, the following provisions apply:

  1. Reassignment requires the agreement of the faculty member and the institution.
  2. The reassignment is for a specific period.
  3. The reassignment may not be full time (i.e., precluding all teaching responsibilities), unless the faculty member takes a leave of absence.
  4. Time assigned to the grant project is charged to the grant.
  5. The faculty member's salary remains the same as that stipulated in the annual salary letter for a full-time teaching assignment.
  6. Summer salaries paid from grant funds are subject to the same provisions that apply to summer teaching.

3.14.3 Grant Expenditures

Grant expenditures funded by Federal, State, Non-profit and For-profit agencies include direct costs, Facilities and Administrative (F&A) or indirect costs, cost sharing and/or matching funds, and consortium expenses. All costs must be justified to the level of detail required by the funding agency. Federal grant costs must be necessary, reasonable in proportion to the benefit provided or other equitable relationship, allocable to one or more of the costs objective(s), and allowable according to the Uniform Guidance, 2 CFR Part 200.

The following list of grant expenditures reflect the most common costs applied to sponsored program awards. It is non-inclusive. Sponsored program costs vary depending on the sponsor and program requirements. Contact the Office of Research and Sponsored Programs for additional information regarding allowable grant expenditures and the allocation of costs.

3.14.3.1 Direct Costs

Direct costs are those costs that can be identified specifically with a particular final costs objective, such as a Federal award, or other internally or externally funded activity, or that can be directly assigned to such activities relatively easy with a high degree of accuracy.

3.14.3.1.1 Personnel

Salaries and Wages: University personnel compensated for services on sponsored programs will be based on established University employment and payroll policies and procedures. Compensation of University personnel on sponsored programs is administered through the University of Houston System payroll system and shall accurately reflect the time and effort dedicated to award activities based on University personnel base salary. Base salary is defined as authorized salary or academic rate. Faculty members whose compensation includes funds from external grants administered by the University shall not exceed 100% of their annualized salary. Please, refer to Section 3.12.5  Salary Supplementation from Research Funds or External Grants.

The salaries of staff hired to work on grant projects are charged to grant funds unless part of a matching provision. The compensation levels and new job classifications must conform to the university staff compensation plans. Appointments do not exceed the duration of the grant project.

The use of graduate and undergraduate students is encouraged. Student pay must be consistent with those customarily paid refer to the Dean’s Guide and Work Study Program Guide for Student Employees.

The cost of authorized leave, such as vacation leave, sick leave, holidays, court leave, military leave administrative leave, and during the periods of the project may be applied to sponsored program costs.

Fringe Benefits: Fringe benefits are calculated separately from salary and wages and paid at a percentage of salary and wage. Fringe benefits include FICA, Retirement, Worker’s Compensation, Unemployment Insurance, Health Insurance and Life Insurance.

Personnel costs applied to federally funded awards must adhere to 2 CFR, Part §200.430, Compensation – personal services.

3.14.3.1.2 Travel

Reimbursement for any travel expenses (foreign and domestic) is subject to University, Federal, and sponsor regulations. The University’s travel policy generally governs the reimbursement of sponsor program related travel. Travel costs should be itemized per trip and directly related to sponsored project activity. Travel reimbursement can include transportation, lodging, subsistence, and related items incurred by employees who are in travel status on official business of the university. Such costs can be charged on a per diem and or actual cost basis for the entire trip. Registration fees may also be included in travel costs. See UHV Policy F-01 and UHV Policy F-06. Travel costs applied to federally funded awards must adhere to 2 CFR, Part §200.474.

3.14.3.1.3 Equipment

The federal definition of equipment is tangible personal property (including information technology systems) having a useful life of more than one year and a per-unit acquisition cost which equals or exceeds the lesser of the capitalization level established by the university for financial statement purposes, or $5,000. Equipment acquired with Sponsor funds must be managed in accordance with award terms and conditions, Federal regulations, if federally funded, sponsor requirements and University policies. Equipment purchased with Federal funds may not be purchased in the last ninety days of the program award or re-budgeted into another cost category unless the sponsor grants prior approval.

3.14.3.1.4 Participant Support

A participant is defined as a non-university employee who is the recipient of a service or training associated with a sponsored project workshop, conference, seminar, symposium or other short-term instructional or information sharing activity. Participants do not perform work or services for the project or program unless it is for their own benefit. Participants may include students, researchers from other institutions, and representatives from the private sector, teachers, and state or local government agency personnel.

Participant costs applied to federally funded awards must adhere to 2 CFR, Part §200.75 which defines participant support as direct costs for items such as stipends or subsistence allowances, travel allowances and registration fees paid to or on behalf of participants or trainees (but not employees) in connection with conferences or training projects. Funds may not be re-budgeted into other cost categories without the written prior approval of the sponsor. In order to incur participant costs when the costs are not budgeted and awarded by a sponsor, prior approval of the agency is needed.

3.14.3.1.5 Scholarships

Scholarships, fellowships, and other programs of student aid costs are allowable when the purpose of the award is to provide training to selected participants and the charge is approved by the sponsor agency. Tuition remission and other forms of compensation paid as, or in lieu of, wages to students for performing necessary work are allowable provided that the individual is conducting activities necessary to fulfill the program requirements; if payments are in accordance with University policy and consistent for similar activities; the activities are conducted during the academic period the student is enrolled in an advanced degree program; and the tuition and other payments are reasonable compensation for work performed. Scholarships and student aid applied to federally funded awards must adhere to 2 CFR, Part §200.466.

3.14.3.1.6 Materials and Supplies

Materials and supplies purchased on sponsored program fund must adhere to University Procurement Policies. The cost of material, supplies, and fabricated parts necessary to carry out sponsored program activity are allowable. Permissible items are determined by the sponsor, but could include books, manuals, computing devices, software, chemicals, laboratory items, non-capital equipment, and field samples. The item(s) must directly benefit the project. Items applied to federally funded awards must adhere to 2 CFR §200.453 – Materials and supplies costs, including costs of computing devices. Purchased materials and supplies must be charged at their actual prices, net of applicable credits. In the specific case of computing devices, charging as direct costs is allowable for devices that are essential and allocable, but not solely dedicated, to the performance of the Federal award. Where federally donated or furnished materials are used in performing the Federal Award, such materials will be used without charge.

3.14.3.1.7 Publication

Publication costs for electronic and print media, including distribution, promotion and general handling are allowable per 2 CFR, part §200.461. To estimate costs, consider page charges, reprint, publishing, and distributing numerous copies of a large report. The costs to publish the results of the research or project may vary from journal to journal.

3.14.3.1.8 Contracts

Contracts for good and services are subject to University, Federal, and sponsor regulations. Contracts for goods and services, which create a procurement relationship rather than a sub-recipient relation, is generally included unless specifically prohibited or limited by the sponsor. A Standard Purchasing agreement, administered through Contract Administration, will be used when paying a contractor for goods and services from a grant where the contractor provides goods and services within normal business operations; provides similar goods or services to many different purchasers; normally operates in a competitive environment; provides good or services that are ancillary to the sponsored program activity; is not directly responsible for the research or determining the results; and has no employment relationship with the University. See UHV Policy E-12 for guidance in Contract Administration.

In addition to University requirements, for contractors paid on federal funds, 2 CFR, Part 200 identifies the following specific standards:

3.14.3.2 Indirect Costs

The University negotiates a Facilities and Administrative (F&A) rate or indirect cost (IDC) rate, with the Department of Health and Human Services (DHHS). The negotiated rate is applied to sponsored programs, unless restricted or is not allowed by the sponsor. F&A costs are provided in externally sponsored programs to reimburse the University for general support costs not readily identifiable in amount and, therefore, not recoverable as direct charges.

3.14.4 Faculty Development Leave

Development leave programs for faculty members of state institutions of higher learning are authorized by Texas Education Code 51.102 through 51.108. At such time as the general appropriation for salaries shall include an amount sufficient to cover the salaries necessary to meet the teaching requirements of the campus plus salaries to cover faculty development leaves, the president, upon approval of the chancellor, will charge the provost to activate the authorized program. The provost will send an announcement to the faculty that the program is in effect.

The purpose of the Faculty Development Leave program is expressed in Texas Education Code Section 51.102 is to improve further the higher education available to the youth at the state- supported colleges and universities and to establish this program of faculty development leaves as part of the plan of compensation for the faculty of these colleges and universities.

3.14.4.1 Basic Provisions

Full-time tenured faculty members are eligible for Faculty Development Leave after they have been employed by UHV for a minimum of five consecutive academic years.

Leave may be granted for one academic year at half salary or for one-half year at full salary. The term "one academic year" refers to the nine-month period made up of two long semesters. The term "one-half year" refers to one long semester. If leave is granted for one-half academic year at full salary, the semester for which leave is granted shall correspond to the period defined as a semester by the calendar under which the campus is operating at the time. Faculty Development Leave shall not be granted for the summer semesters.

  1. A faculty member on Faculty Development Leave may accept a grant for study, research, or travel from any institution of higher education; from a charitable, religious, or educational corporation or foundation; or from any federal, state or local government; but may not accept employment of any kind unless specifically approved by the Board of Regents. The President must give advance written approval for any foreign travel related to official University business regardless of the source of funds used to pay for the trip or whether the University pays for any of the trip expenses.  Refer to UHV Policy F-08.
  2. A faculty member on Faculty Development Leave is a faculty member for purposes of participating in the program and of receiving the benefits made available by or through the UHV or the state to faculty members. During the Faculty Development Leave, the university shall continue all deductions from compensation relevant to such participation and benefits.
  3. At least two Faculty Development Leaves shall be made available each year provided the total number does not exceed six percent of the total faculty and assuming funding is available.
  4. Faculty members from the same discipline shall coordinate their development leaves to ensure the academic program is managed and full complement of courses is offered.
  5. The chancellor will establish procedures for administration of the program. The president will grant leaves based upon the recommendations of applications. 

Award of a Faculty Development Leave will be contingent upon the recipient signing a legal agreement to continue service at the campus for one academic year after completion of the leave.

3.14.4.2 Procedures

At least two Faculty Development Leaves shall be made available each year provided the total number does not exceed six percent of the total faculty and assuming funding is available.

The president, after determining the availability of funds, shall inform the provost as to the number of applications for leave which may be considered for any particular period. The provost shall inform the faculty about the availability of faculty development leave in early fall and invite applications.

A faculty member who has previously received a Faculty Development Leave is not eligible to receive another one until the seventh academic year following the one in which the assignment was made; for example, a faculty member on Faculty Development Leave in 2010-2011 would be eligible again in 2017-2018.

Applications shall be submitted to the Office of the Provost by the first Monday in December for the next academic year. All applications shall consist of a proposal, a vitae, and a written letter of recommendation from the applicant’s college dean. A dean may recommend no more than two faculty from the college each year. Application proposals shall consist of the following:

  1. Name, college, academic field, and date of initial full-time tenure track faculty appointment at UHV.
  2. Period for which the leave is sought.
  3. Previous Faculty Development Leaves the applicant has received and when.
  4. Description of the scholarly activity to be undertaken, where it will take place, and its relevance to the applicant’s responsibilities at UHV.
  5. Explanation of how the activity will contribute to the mission of the university, the applicant’s professional development, benefit the university in ways worthy of the support extended, and advance scholarly knowledge.
  6. Additional documentation, evidence, or support.

A Faculty Council Committee on Faculty Development Leave shall be elected each year to receive the applications from the Office of the Provost. The at-large elections will be for a tenured faculty member from each college, none of whom may be applicants, to review proposals and to make recommendations to the provost, who shall in turn make recommendations to the president. The president shall make the award.

The Faculty Development Leave Committee uses relevant criteria to justify its final recommendations and presents a report to the provost along with the Committee’s recommendations. Criteria may include

  1. Past scholarly contributions to the academic or professional discipline as indicated in vitas and other supporting materials.
  2. The nature and quality of the leave proposal in terms of its potential scholarly contribution to the academic and professional discipline.
  3. The number of previous leaves the applicant has received with priority given to those who have not previously received a leave.
  4. Letters of recommendation that attest to the faculty member’s ability to perform the proposed activity and/or that support the merits of the proposed activity.

The Faculty Development Leave Committee shall forward its recommendations to the provost and the college deans by the first Monday of March. The president will notify grantees by the first Monday in April.

Within three months following completion of the Faculty Development Leave assignment, the faculty member shall provide a report to the college dean and provost describing the activities undertaken and assessing their value to the faculty member, profession, institution, and students served.

3.14.4.3 Teaching and Service During Faculty Development Leave

Recipients of a Faculty Development Leave may not work for compensation during their leave and are expected to return to the faculty for one academic year following the leave. Exceptions would include approved grants and fellowships or half-time appointments concurrent with a full year’s leave at half pay.

A faculty member on development leave is not obligated to participate in service activities in the college or university during the time of the leave and will not be evaluated on that component for the leave period, unless the faculty member so chooses.

3.14.5 Internal Research Funds

Faculty Development and Research grants are intended to further the educational mission of the university by contributing to faculty members' ongoing professional development, to the advancement of knowledge in their fields and profession, and to the visibility and credibility of the university.

There are two institution-wide sources of funds to support faculty research and dissemination of results.

  1. The Faculty Research Fund provides support for new and continuing research initiatives.
  2. The Faculty Development Fund provides travel support for conference presentations and scholarly activities.

3.14.5.1 Faculty Research Grant Funds

Faculty research grant funds are for tenured and tenure-track faculty to support pilot projects that can lead to developing and submitting proposals to external agencies for grant funding. The amount of funding varies from year to year, depending on the availability of funds.

In October the Office of Research and Sponsored Programs will disseminate a Request for Proposals (RFP) to UHV faculty. The proposals are due February 1st and will be evaluated and ranked by the Faculty Research Committee (FRC) according to established criteria. The FRC sends award recommendations to the Provost and Vice President for Academic Affairs. Awards are made by April 15th for the following academic year, September 1 through August 31. All research funds will be expended during the fiscal year. Faculty members are expected to submit an expanded grant proposal to an appropriate external funding agency within six to nine months of completing a pilot project. Future UHV research grants will be dependent on meeting this requirement for submitting proposals to outside agencies.

UHV research funds cannot be used for software purchases. Software needs shall be requested through the school’s administration and the UHV purchasing department prior to making software purchases. For an overview of the University’s software management policy, see UHV Policy G-04.

UHV research funds cannot be used for software purchases. Software needs shall be requested through the college’s administration and the UHV purchasing department prior to making software purchases.

3.14.5.2 Faculty Development Travel Funds

Faculty development-related travel is supported by each college. To receive travel funds, faculty members need to provide documentation of acceptance of a conference presentation prior to making travel arrangements for the trip and according to college guidelines for professional travel. See UHV Policy F-01.

3.14.6 Junior Faculty Summer Research Grant

Scholarship and research provide an intellectual foundation for faculty life at the University of Houston-Victoria. The purpose of the Junior Faculty Summer Research Grants is to jump start new faculty members’ research agendas. These grants are designed to allow faculty to develop their funded research and grantsmanship skills, and/or begin their publishing record.

To encourage and support junior faculty (tenure-track, but not yet tenured), research/scholarship funding is provided through the Office of the Provost. The Junior Faculty Summer Research Grant makes a limited number of $10,000 salary stipends available for junior faculty members to pursue promising research projects for one summer.

3.14.6.1 Eligibility

Only full-time, tenure-track faculty members within the first three years of the probationary period are eligible for this program. Faculty members who are beginning to establish their research and who are not currently receiving outside grant support will be given priority consideration for a summer research grant. However, faculty members will be eligible to receive the summer research grant concurrently with outside funding. Junior faculty members are not allowed to teach while participating in the summer research grant program. Summer research grants are nonrenewable, and junior faculty members are eligible for only one such award.

Junior Faculty Summer Research Grant packets are available online at the Office of Administration and Sponsored programs. Completed application packets should be returned to the research administrator by the second Friday of January.

3.14.6.2 Allowable Research Activities

Research is broadly defined as all critical, scholarly, and/or empirical activity that expands, clarifies, reorganizes, or develops knowledge. This definition of research includes the demonstration, implementation, application and dissemination of research results and those grants designated as research by the university or other granting agency.

Ineligible activities include curriculum development, departmental curriculum development, preparation of curriculum materials, curriculum revisions, and/or student interest surveys; faculty development, such as learning an established technique, a language or methodology; and completion of a thesis or dissertation; institutional research and studies related directly to the operation of the university; and public service and consulting activities.

3.14.6.3 Policies and Regulations

The University of Houston-Victoria rules, regulations, and policies regarding the use of human subjects, animal care, biosafety, hazardous waste, radioactive materials, patents and copyrights, royalties and fees, as well as other appropriate university policies, apply. Faculty members are responsible for following established university compliance procedures regarding these rules and regulations. Refer to UHV Policy I-4. The expenditure of funds from this program follows normal UHV policies and procedures.

Faculty members may obtain additional information regarding these policies from the Office of Research and Sponsored Programs.

3.14.6.4 Proposal Review

All requests for funding will be reviewed by the Faculty Research Committee before final approval by the provost. Awards will be made based on the following criteria:

  1. Significance of the planned research activities,
  2. Anticipated outcomes from the research activities,
  3. Continuing benefits to the applicant’s research agenda, and
  4. Prospects for continuation through external funding.

All final decisions regarding funding for Junior Faculty Summer Research Grants rest with the provost.

3.14.6.5 Reporting Requirement

Recipients of Junior Faculty Summer Research Grants are required to submit a brief report (1-2 pages maximum) or copy of the work completed no later than September 30 of the award year.

3.14.7 Protection of Human Subjects Policy and Procedures

The University of Houston – Victoria (UHV) will comply with applicable laws and regulations relating to human subjects research including 45 Code of Federal Regulations (CFR) 46 (“The Common Rule”) which specifically addresses the protection of human study subjects as promulgated by the Department of Health and Human Services (DHHS). UHV assures that all of its research involving human subjects will comply with the terms of its Federal wide Assurance for the Protection of Human Subjects for research conducted under the auspice of the university. This policy complies with SAM 01.G.01 - Sponsored Research Activities and provides guidance in complying with federal law related to research with human subjects, including upholding the ethical principles and guidelines set forth in The Belmont Report, April 18, 1979, for the protection of human subjects.

Refer to UHV Policy J-06 for further guidance (https://www.uhv.edu/policies/sponsored-program-administration/j06-protection-of-human-subjects/)