Research and Graduate Studies

Handbook

for

Investigators

and

Project Staff

Published by

Office of Sponsored Programs

Research and Graduate Studies

University of the Pacific

Stockton, CA 95211

Table of Contents

Program Management and the Office of Sponsored Programs......

Office of Sponsored Programs......

Organizational Chart......

Funding Sources......

Funding Classifications: Gift or Grant?

Management and Processing of Proposals......

Overview of Developing and Submitting a Proposal......

Policies Related to Scholarly Activities and Sponsored Programs......

Policies Related to Intellectual Property......

Patent Policy

Royalties

Administrative Matters

Procedure for Filing a Patent

Patent Flowchart

Policy on Humane Care and Use of Laboratory Animals......

IRB Policy......

Environmental Safety Policy......

Occupational Safety Policy......

University of the Pacific......

Policy on Conflicts of Interest and Commitment......

Policy on Integrity in Research and Scholarship......

Indirect Reimbursement Allocations...... 4-34

Financial Management of Grants and Contracts......

Chapter 1 Program Management and the Office of Sponsored Programs

Office of Sponsored Programs, Description of Roles…………………………... / 1-2
Office of Sponsored Programs, Organizational Chart………………………….. / 1-3
President of the University……………………………………………………… / 1-4
University Provost………………………………………………………………. / 1-4
Dean of Research and Graduate Studies………………………………………... / 1-5
Sponsored Programs Administrator…………………………………………….. / 1-5
Sponsored Programs Accountant……………………………………………….. / 1-6

Office of Sponsored Programs

The University of the Pacific established an Office of Sponsored Programs specifically intended for the purpose of grant and contact management. The Office reports to the Dean for Research and Graduate Studies, and the Assistant Vice President for Business and Finance. The primary mission of the Office is to provide high quality service and administrative expertise to the University community, and to represent the interests of the Board of Regents in its contractual relationships with external sponsors.

Pre-Award Management

The Sponsored Programs Administrator primarily performs pre-award functions: searching for funding agencies, developing and editing of proposals, submitting electronic proposals, managing research-related policies and procedures, administering the human subjects and animal care committees, managing patents, administering several internal award programs, and acting as liaison to funding agencies and various federal, state, city and local entities.

Post-Award Management

The Sponsored Programs Accountant performs primarily post-award functions, which include budget monitoring, financial reporting and auditing, billing of sponsoring agencies, and closeout of grants. A staff of over 20 employees in Pacific’s FinanceCenter also backs the Accountant.

Grants & Contracts Computer System

In 2000, the University of the Pacific purchased SCT’s Banner Grants software, which streamlines the grant proposal and administration process.

Organizational Chart

Office of Sponsored Programs

The President of the University

The authority and duties of the President are explicitly delegated by the Board of Regents and include all obligations for all university educational and managerial affairs. The President is the chief executive officer of the University and the executive agent of the Board of Regents. He/she exercises a general superintendence over all the affairs of the University, in accordance with the policies of the Board of Regents and provides leadership and advice to the Board of Regents in carrying out its responsibilities.

Effective presidential leadership is essential to the proper operation of the governance system. The effectiveness of the board and of the system of institutional governance depends on the ability of the president to cultivate a climate of respect, trust and openness in which dialectical processes of participatory decision-making can flourish.

Proper growth and qualitative improvement of the University require the President to bring strong and effective leadership to each of the following functions:

Educational program and policy development.
Comprehensive institutional planning.
Faculty and staff development and welfare.
Financial strengthening and budgetary planning.
Fund-raising and constituency relations.
Physical facility development and improvement.
Governance processes, decision-making and policy formation.
Personnel and employment policy development.
Enrollment management and forecasting.

It is understood that a President must appoint a senior staff of Vice Presidents and a Provost to whom the authority and obligations of many of these functions are assigned. This senior staff serves at the discretion of the President and is selected with broad consultation from constituent groups. The arrangement of duties under each member of his/her staff will change as University policies and personnel change.

An important emphasis in the President’s functions concerns the exercise of leadership in university planning. The President guides the reexamination and realization of the University’s mission and provides strong leadership in developing, articulating and implementing the University’s planning efforts. The President has primary responsibility for the realization of high academic standards and high achievement levels throughout the University. The President mobilizes a planning and budgeting structure and process that embodies these principles of governance.

The President has delegated his/her responsibility for the administration of sponsored research and projects to the Dean of Research and Graduate Studies.

The University Provost

The Provost is the chief academic officer of the University and represents academic interests to the President and the Board of Regents. He/she provides leadership to the University faculty and to the deans in advancing the quality of all undergraduate, professional and graduate programs. He/she is responsible for the following functions:

Ensure, maintain and improve the quality and performance of the faculty through the appointment, evaluation and advancement of individual faculty members.
Oversee the maintenance evaluation and improvement of all academic programs.
Oversee academic support services, such as libraries and educational technology, and other academic facilities.
Oversee enrollment services to recruit and retain a diverse student body of high quality.
Promote and support faculty development, scholarship and research.
Coordinate academic planning and the preparation of annual budgets in relation to planning.
Chair the Council of Deans and provide general supervision, advice and support to the deans.
Coordinate all academic policy-making and implementation.
Maintain student academic records and active institutional research.
Provide oversight for academic and instructional support budgets.
Facilitate and ensure the effectiveness of faculty governance.
Act on behalf of the President at times so instructed by the President.

The Provost has been designated by the President to be the institutional official for approval of all requests for funds from selected internal sources and all requests for funds from grants and contracts. In addition to the signature of the investigator, dean and sponsored research staff, the signature of the Provost, or his/her designee, is required on all Routing Sheets for Grants and Contract Proposals.

Dean of Research and Graduate Studies

The Dean of Research and Graduate Studies is responsible for the Office of Sponsored Programs, as well as the activities of the GraduateSchool.

The Dean administers the indirect cost allocations, oversees the intellectual property compliance of the University community, and is responsible for all research-related policies and procedures at the University of the Pacific. The Dean also represents the Provost in research-related matters as requested by the Provost.

Chapter 2 Funding Sources

Funding Agencies………………………………………………………………… / 2-2
Internet Resources………………………………………………………………… / 2-2
Faculty Interests…………………………………………………………………... / 2-2
Internal Funding…………………………………………………………………... / 2-2
Funding Classifications: Gift or Grant?………………………………………….. / 2-3
Definition of Gifts…………………………………………………………….. / 2-3
Definition of Grants…………………………………………………………... / 2-3
Determination of Classification………………………………………………. / 2-4

Funding Sources

Funding Agencies

There are a number of sources for external funding, including federal, state and local government agencies, corporations, foundations and professional associations. Determining the most likely funding source for your project can take research and preparation. The Office of Sponsored Programs can assist you in communicating with various agencies, reviewing their annual reports and past award history, and obtaining guidelines.

The Office of Sponsored Programs maintains a comprehensive collection of government and non-government application guidelines, plus a variety of hardcopy grant directories. In addition, the Office subscribes to Sponsored Programs Information Network (SPIN), a web-based resource for scientific information, funding opportunities, and alert services. SPIN provides an up-to-date listing of national and international government and private funding sources.

Internet Resources and Funding Links

See the Helpful Links page in the “Information for Proposal Development” section of this Handbook for links to several funding databases, including SPIN.

The Office of Sponsored Programs web page contains several links to various funding sources and search engines. The Office also sends out, on a bi-monthly basis, a newsletter that contains new grant competitions.

Faculty Interests

The Sponsored Programs Administrator maintains a list of faculty seeking funding, as well as a database of researcher interests so that new opportunities can be matched with the most appropriate faculty. If you would like to be added to the list of those seeking funding opportunities, call the Sponsored Programs Administrator at 6-7356.

Internal Funding

The Office of Sponsored Programs administers Seed Grant and Bridge Grant internal funding opportunities for University of the Pacific faculty. The goal of these awards is to support and develop projects in the areas of research and creative endeavors. Awards are granted through a competitive application process. Policy and application forms can be found in the Internal Funding section of this Handbook.

Funding Classifications: Gift or Grant?

Approved, Provost June, 2002

Approved, VP Finance June 2002

Approved, VP Development June 2002

Introduction

Funding derived from sources outside the University is an essential component of the financial stability of the institution. Funding comes in the form of gifts, grants, and contracts. Because the University has a responsibility to manage all funds in accordance with relevant federal, state, and local regulations, it is essential that appropriate accounting practices accurately reflect the type of extramural funding. It is also important to accurately classify funding sources at the University because the Division of Advancement manages gifts and the Office of Sponsored Programs of the Academic Division manages grants and contracts.

In most cases, external funds can be classified with relative ease. However in some cases, the distinction is less clear, requiring more extensive evaluation of the characteristics of the funding agreement to make a determination.

Accordingly, these guidelines have been established to clarify the University’s position regarding classification of the types of funds it receives from external sources. (Reference: NACUBO, 1999)

Definitions

Gifts:

Gifts are an irrevocable or non-irrevocable award, (money, equipment or other property), provided by the donor without contractual requirements that result in material benefits to the donor, such as the purchase of services, goods or other exclusive information not shared with others.

In general, funds will be classified as gifts when the following characteristics exist:

The University solicits resources as a contribution.
The resource provider affirms that it is making a donation to support the University’s program.
The resource provider determines the amount of the payment.
The donor may or may not impose contractual requirements.
The University is not penalized for nonperformance. Any unspent funds unrestricted resources may be retained. Restricted resources are retained for disbursement in future fiscal periods.

Grants:

An award of financial assistance to allow for the performance of certain work envisioned by the University or principal investigator. Indirect costs are assessed in accordance with University policy unless funding agency policies impose a restriction.

In general, funds will be classified as grants when the following characteristics exits:

Direct benefit to donor.
There is a provision for audits by or on behalf of the grantor.
The grantor is entitled to receive some consideration such as detailed technical report of research results and/or a report of expenditures.
Testing or evaluating of proprietary products is involved.
The University is penalized for nonperformance.
The project is directed to satisfy specific grantor requirements (e.g., terms and conditions stating a precise scope of work to be done rather than a general area of research).
A specified period of performance is prescribed or termination is at the discretion of the grantor.
Funds unexpended at the end of the period shall be returned to the grantor.
Patent rights requested by the grantor.
Payment is for the normal cost of the goods or services.

Determination of Classification

In most situations, a project will have characteristics that enable a determination with relative ease. However, when a determination is not easily made, a judgment must be made to classify the gift/grant in accordance with the intent of these guidelines and University policy. The decision of whether an award should be considered a gift cannot be made based upon the presence or absence of a single characteristic or criterion. When the Office of Sponsored Programs reviews the award, the overall preponderance of qualifications will be considered in the determination of gift or grant.

The Vice President of Finance will determine final classification of projects, in collaboration with the Vice President of Development and the Dean of Research and Graduate Studies.

Chapter 3 Management and Processing of Proposals

Overview………………………………………………………………………… / 3-2
Proposal Flow Chart…………………………………………………………….. / 3-3
Early Phases in Proposal Development………………………………………….. / 3-4
Budget………………………………………………………………………. / 3-4
Indirect Costs………………………………………………………….. / 3-5
Cost Sharing…………………………………………………………... / 3-5
NIH Modular Budgets………………………………………………… / 3-5
Compliance Assurance Approvals………………………………………………. / 3-5
IRB: Human Subjects……………………………………………………… / 3-5
IACUC: Animals ………………………………………………………….. / 3-6
Hazardous Material…………………………………………………………. / 3-6
Technology…………………………………………………………………. / 3-6
Responsible Conduct in Research………………………………………….. / 3-6
Institutional Routing, Review & Approvals……………………………………... / 3-6
Routing Sheet………………………………………………………………. / 3-7
Purpose of Routing Sheet……………………………………………... / 3-7
When to use Routing Sheet…………………………………………… / 3-7
Obtaining a Routing Sheet…………………………………………….. / 3-7
Institutional Review & Approvals…………………………………….. / 3-8
Submission to the Sponsor………………………………………………………. / 3-9
National Science Foundation FastLane……………………………….. / 3-9
Agency Notification…………………………………………………... / 3-10
Negotiations/Communications with Sponsor…………………………………… / 3-10

Overview of Developing and Submitting a Proposal

The development and submission of a grant or contract can be organized into five basic steps: development of the proposal, approval of institutional oversight (“pre-award approvals”), institutional review, submission, and agency negotiation. The general flow of a project can be found on the Proposal Flow Chart, next page.