Policies and Procedures- Office of Research and Sponsored Programs

Policies and Procedures

Policies

The Offices of Research and Sponsored Programs (OSRP) and Research Administration (ORA) awards are subject to the Pre- & Post-Award

Policies and Procedures.

Procedures

1. Principal Investigators (PIs) considering submitting any proposal or request for funding should begin the internal approval process well ahead of time with ORSP and ORA.

ORSP will assist the PI with:

Proposal strategy
Identifying funding opportunities
Identifying collaborative opportunities
Proposal writing & formatting
Proofreading

ORA will assist the PI with:

Scheduling the grant/contract proposal submission.
Budget preparation (ensuring the proper salaries, fringes, indirect costs, etc. are included). Contact ORA immediately upon deciding to apply for external funding for ORA budget review, internal approvals, and proposal submission. If sufficient time is not available for ORA to review before submitting the proposal, the budget categories could potentially be impacted once an award is received.
Formatting the budget to conform to budget categories consistent with the grant accounting system. This will assure that the award is made under the same budget line items as the proposed budget (unless the sponsor requires a specific format).
Determining which forms/approvals should be completed prior to an award being made.
Submitting the proposal. PIs should not negotiate contracts or submit proposals independently.

2. Attention to all PIs: Before completion of the SHSU Routing Sheet and Conflict of Interest Form, please review the following user instructions:

Proposal Routing Instructions

3. Each proposal will require all routing documents (Revised 9/10/2009) and signatures prior to submission and/or an award acceptance.

4. All Co-PIs indentified in the proposal must be identified on the proposal routing form and each must sign the face page and Conflict of Interest form.

5. Each proposal must include a detailed budget, budget narrative and statement of work.

6. For any proposal with a reduced or waived indirect cost percentage, either a copy of written program guidelines stating Indirect Cost Rate limits or an SHSU Indirect Cost Waiver Form with appropriate signatures must be attached to the budget for ORA’s review.

7. Proposals involving human subjects, animal subjects, hazardous materials, bio-safety or radioactive materials will require the proper approval prior to account establishment (IRB, IACUC, Safety Coordinator, etc.).

8. If matching/in-kind or cost sharing is proposed, the PI must discuss this option with ORA and, if approved, a Matching/In-Kind Funds Form with account numbers identified will be required before approval is given.

9. All contract/grant award documents must be reviewed by ORA prior to an authorized signature being obtained. PIs are prohibited from negotiating and signing any sponsored award on the University’s behalf.

10. The signature process for the proposal routing form is as follows:

PI(s) and Co-PI(s)
Department Chair(s)
Dean(s)

11. ORA will obtain the remaining signatures from

ORSP
Provost (if matching funds are involved)
President (if over $750K)

Once an award is made, the Office of Research Administration (ORA) will handle the post-award administration of the project. Completing the items identified above will greatly reduce any unnecessary delays in account establishment and financial administration and make for a more effective process.

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Policies and Procedures