Interim Policy on the Administration of Grants and Contracts in Support of Sponsored Programs
This policy is issued in accordance with Executive Order No. 890 and applies to all Sponsored Programs applied for, awarded to and/or administered by the campus or its auxiliaries. The Vice President for Administrative Affairs has been delegated the authority to implement and exercise the provisions of Executive Order No. 890.
All procedures and actions shall conform to federal and state laws and regulations in addition to all applicable CSU and campus policies. In the event that a given contract or grant contains terms and conditions that are not in conflict with but are more restrictive than those provided in the campus policy, the more restrictive terms and conditions of the grant or contract shall prevail.
Sponsored programs provide significant benefit to the university and furthers its educational mission by facilitating research, workshops, conferences, institutes and other projects that enrich the scholarly endeavors of faculty and students and enhance the services provided by the university. This policy sets directions to be followed so that the university maximizes the benefits of sponsored programs and supports faculty, students, and administrators in effectively securing and carrying out sponsored programs.
1.1 “Auxiliary” means an Auxiliary Organization as defined in Executive Order No. 698.
1.2 “Contract” means an agreement between the University or Auxiliary and a Sponsor to provide an economic benefit, generally in the form of services, for compensation. The agreement is binding and creates a quid pro quo relationship between the parties.
1.3 “Grant” means a financial contribution to a Recipient to carry out an approved project or activity. A Grant generally anticipates no substantial programmatic involvement of the Sponsor with the Recipient during performance of the project or activity, but Sponsors usually request an accounting of the use of funds and of results of the project or activity. The University or Auxiliary may commit resources or services as a condition of the Grant.
1.4 “Principal Investigator” means the individual (whether referred to in the Contract or Grant as a Principal Investigator, Project Director of other similar term) designated by the Sponsored Program Administrator to be responsible for ensuring compliance with the academic, scientific, technical, financial and administrative aspects and for day-to-day management of the Sponsored Program.
1.5 “Recipient” means the University or Auxiliary awarded a Contract or Grant. The Recipient is the University or Auxiliary, as the case may be, even if a particular component is designated in the award document, and shall not be an individual, department or other constituent unit.
1.6 “Sponsor” means the party paying for the services or other economic benefit under a contract or providing the financial contribution for a project or activity under a grant.
1.7 “Sponsored Program(s)” means all work performed under Grants or Contracts funded by non-CSU funding sources (including non-CSU-funded Contracts and Grants that are subsequently subcontracted to another campus).
1.8 “Sponsored Program(s) Administrator” means the entity (University or Auxiliary) designated by the Recipient to administer the Sponsored Program.
1.9 “Sponsored Program Records” include, but are not limited to, accepted proposals and applications; Contracts or Grant agreements; program reports and data; correspondence; budgets and supporting financial documentation; supporting human resources documentation; and other records relating to receipt, review, award, evaluation, status and monitoring of the Sponsored Program.
1.10 “Sponsored Program Work Product” means any work created in the performance of a Sponsored Program unless the Contract or Grant states otherwise. Sponsored Program Work Product does not include journal articles, lectures, images, books or other works that are subject to copyright protection and have been created through independent academic effort and based on the findings of the Sponsored Program.
1.11 “University” means California State Polytechnic University, Pomona.
2. Sponsored Program Administration
The Office of Research and Sponsored Programs (ORSP) is responsible for facilitating the activities of faculty and staff in seeking external support for their research and scholarly/creative projects. ORSP is responsible for negotiating the terms and conditions of an award and for all contract review and processing. ORSP also has the responsibility of assuring that all agency guidelines and university policies are followed prior to the submission of an application to an external funding agency. (Refer to Office of Research and Sponsored Programs Grants and Contracts Pre-Award Administration Handbook)
2.1 Pre-Award Review and Approval of Proposal Submission
Proposals for Sponsored Programs shall not be submitted to the Sponsor without prior written approval of the president of the university or the president’s designee and of the chief financial officer of the university or the chief financial officer’s designee.
Cal Poly Pomona Foundation, Inc. is the recipient of all grants and contracts awarded on behalf of the university. All awards must be in the Foundation’s name and not an individual, department, or other constituent unit. (Refer to Grants and Contracts Memorandum of Understanding between the University and Cal Poly Pomona Foundation, Inc.)
Grant and contract proposals shall be submitted under cover of an External Funding Approval Form for review and approval by the following individuals or their designee: the Principal Investigator, Department Chairperson, Dean/Director, Director of Research & Sponsored Programs, Executive Director of Foundation Services, Vice President for Administrative Affairs, Vice President for Academic Affairs and the President.
2.2 Pre-Acceptance Approvals
Awards of Contracts or Grants shall not be accepted without prior written approval by appropriate officials of the university and auxiliary responsible for the following areas, if applicable: academic/programmatic; fiscal; health and safety; human and animal subject research; space; major technical resources and equipment; and risk management.
3.0 Grant and Contract Administration
Cal Poly Pomona Foundation, Inc., is the recipient of all grants and contracts awarded on behalf of California State Polytechnic University, Pomona. As a result, the Foundation assumes legal and financial responsibility and accountability both for the funds awarded and the performance of the grant-supported activity. The Foundation has ultimate responsibility for the conduct of all projects and for the results achieved. All projects must be monitored to assure the adherence to performance goals, time schedules, and/or other requirements per the terms and conditions of the grant/contract. There is also the responsibility to administer all grants/contracts in accordance with the applicable provisions of the Office of Management and Budget circulars A-21, A-110, A-133, Foundation/University policies and procedures, and other agency-specific guidelines, including the prudent management of all expenditures and actions affecting the project. (Refer to Cal Poly Pomona Foundation, Inc. Grants and Contracts Post Award Administration Handbook)
3.1 Amendment of Contract or Grant
Proposed changes in the project under study including changes in objectives as stated in the original proposal or agreed modifications thereto should be communicated in writing to the agency by the Principal Investigator and countersigned by the Foundation’s Executive Director. In general, the Principal Investigator of the grant may make minor changes in methodology, approach, or other aspects of the project objectives. However, the Foundation must obtain prior written approval from the awarding agency for changes in scope, direction, type of service, delivery or training, or other areas that constitute a significant change from the objectives or purposes of the approved project. (Refer to Cal Poly Pomona Foundation, Inc. Grants and Contracts Post Award Administration Handbook
4.0 Principal Investigator/Project Director
The Principal Investigator/Project Director will normally be a full-time, tenure track member of the CPP faculty or a full-time CPP manager/ administrator. In very rare cases, an individual employed full-time by the Foundation may serve as the Project Director. (See Interim Policy 1.18 for additional information on the eligibility of Principal Investigators that are not employees of the University.) Any exceptions to this policy are made through the Office of Research and Sponsored Programs with the concurrence of the appropriate Department Chairperson, the College Dean and the Provost and Academic Affairs Vice President or designee.
The Principal Investigator/Project Director is responsible for the administration of the project including compliance with all the terms and conditions of the award, assuring that cost sharing commitments are being met including providing supporting documentation, preparation of the required technical reports in a timely manner, proper fiscal management of the project including efficiently managing project funds within approved budgets, and completing a project in a diligent and professional manner. The Principal Investigator is also responsible for the compliance with the policies and procedures established by the University, the awarding agency, and the Foundation.
As the Sponsored Program Administrator for grants and contracts at the university, Cal Poly Pomona Foundation, Inc. is the employer of the principal investigator and other employees with regard to work performed in furtherance of each sponsored program. As such, the Foundation is responsible for the assignment, evaluation, and termination of sponsored program employees and for other employer obligations associated with the performance and payment under the sponsored program, all in accordance with campus policy for the administration of contracts and grants.
In the event that the principal investigator is incapacitated, resigns, fails or refuses to perform the normal and reasonable duties of the position or engages in unprofessional conduct, the college dean/department director, after consultation with the appropriate vice president and funding agency, as appropriate, may relieve the individual of the grant or contract, terminate the agreement, assign it to another individual, or take other appropriate action.
Some grant and contract activities require the participation of more than one institution. In such cases, the responsibilities of all participating institutions and principal investigators shall be defined in written agreements signed by the institutions’ respective authorized agents. Representative examples of acceptable agreement instruments include subcontracts, memorandums of understanding and joint powers agreements. All such agreements shall stipulate that all parties adhere to appropriate institutional policies governing grant and contract administration.
5.0 Human Resources Policy
5.1 Additional Employment
Cal Poly Pomona has adopted the CSU Additional Employment Policy as contained in coded memorandum HR 2002-05. The Payroll Services Department shall monitor additional employment in cooperation with the Office of State Controller in order to assure compliance with the limits established by the CSU Additional Employment Policy.
5.2 Misconduct In Research
Research and sponsored programs, including creative activities, are conducted under the supervision of faculty and staff. In each project or program, one faculty member is designated the principal investigator (PI) and has primary responsibility for the oversight and management of the program, including compliance with appropriate standards of research conduct. The chair of the PI's department (or director of their school or program) is responsible for ensuring that the PI exercises appropriate oversight and management. In the same fashion, the Dean of the PI's College (or director of the PI's department outside of Academic Affairs) is responsible that the PI and Department Chair exercise the appropriate oversight and management of the program or project. Ultimately, the appropriate Vice President is responsible to the President for ensuring that all research and sponsored programs within their Division accord with University and standard practice.
Misconduct in research is defined as fabrication, falsification, plagiarism, or other practices that seriously deviate from those that are commonly accepted within the academic community for proposing, conducting, or reporting research and creative activity. Misconduct does not include honest error or honest differences in interpretations of data. All references to “misconduct in research” include “creative activity” and include the Federal definitions, processes, and requirements concerning “misconduct in science”.
All employees involved in grant and contract work are subject to the campus Policy on Misconduct in Research. All employees shall be subject to appropriate sanctions for unprofessional behavior, failure or refusal to perform duties adequately, or other misconduct pursuant to the appropriate Collective Bargaining Agreement and/or University policy.
All allegations of misconduct in research shall be submitted in writing to the Director of Research and Sponsored Programs (see Campus Procedures for Processing Complaints of Research Misconduct).
5.3 Conflict of Interest
Each individual member of the University community is responsible for acting in an ethical and professional manner. This responsibility includes avoiding conflict of interest, conducting research and instruction in an ethical manner, and protecting the rights of individuals. All members of the community, including members of the faculty, administration, student body and staff, should conduct themselves with the greatest professional objectivity.
The State of California, Federal government and campus policy require that the recipient of external funds from private sources disclose potential financial conflicts of interest. The State of California disclosure form (730-U) must be filed with the Office of Research and Sponsored Programs. Disclosure of significant financial interests in a proposal or project by an investigator (including financial interests of an investigator's spouse and dependent children) is to be made not only by the Principal Investigator/Project Director, but also by co-Principal Investigator/Project Director, and any other persons at the university who are responsible for the design, conduct, or reporting of the research or educational activities funded or proposed for funding by NSF or PHS. In the case of PHS/NIH proposals and projects, subgrantees, contractors, or collaborators must also comply with these requirements. (see campus policy and procedures on Conflict of Interest – Principal Investigators)
Cal Poly Pomona has adopted the CSU Nepotism Policy as contained in coded memorandum HR 2004-18. For the purpose of the Administration of Grants and Contracts in Support of Sponsored Programs, as the Sponsored Program Administrator, Cal Poly Pomona Foundation, Inc. is the employer of the principal investigator and other employees with regard to work performed in furtherance of each sponsored program. In this case, the University policy is supplemented by the language included in the Cal Poly Pomona Foundation, Inc. Employee's Handbook, which states:
The Foundation will not hire or continue the employment of relatives where actual or potential problems may arise regarding supervision, security, safety or morale, or where potential conflicts of interest exist. An employee may not work under the direct supervision of a relative. Relatives are defined as any persons who are closely related by birth, marriage or adoption. Relatives may be employed in the same department, but may not participate in any proceeding, evaluation, recommendation or action that affects the employment status of a relative.
6.0 Academic Policy
6.1 Conduct of Research
Research and sponsored programs, including creative activities, are conducted under the supervision of faculty and staff. In each project or program, one faculty member is designated the principal investigator (PI) and has primary responsibility for the oversight and management of the program. The chair of the PI’s department (or Director of their School or Program) is responsible for ensuring that the PI exercises appropriate oversight and management. In the same fashion, the Dean of the PI’s College (or Director of the PI’s Department outside of Academic Affairs) is responsible for ensuring that the PI and Department chair exercise the appropriate oversight and management of the program or project. Ultimately, the appropriate Vice President is responsible to the President for ensuring that all research and sponsored programs within their Division accord with University and standard practice.
6.2 Human Subjects Research
Research involving human subjects must be administered in a manner consistent with requirements of the University’s Policy and Procedures for the Protection of Human Subjects in Research.
6.3 Animal Subjects Research
The University is committed to the ethical and humane care and use of animals. Research involving animal subjects must be administered in a manner consistent with requirements contained in the University’s Animal Care and Use Handbook and University policy.
7.0 Fiscal Administration
As the fiscal agent authorized by the University to administer all externally funded activity, The Cal Poly Pomona Foundation, Inc. is responsible for establishing the necessary controls to ensure sound fiscal management of sponsored programs. It is the responsibility of the Principal Investigator and the Foundation to adhere to the fiscal terms and conditions of the contract or grant and to comply with all University and Foundation policies and procedures. (See Cal Poly Pomona Foundation, Inc. Grants and Contracts Post Award Administration Handbook)
8.0 Sponsored Program Work Product and Records
8.1 Work Product and Records Policy
Any Contract or Grant that provides for ownership or license of Work Product or Sponsored Program Records to any person or entity other than the University, shall provide the University with a free-of-cost, nonexclusive license to use the Sponsored Program Work Product and the right to access and use Sponsored Program Records for purposes consistence with the educational mission of the University. (See campus policy and procedures on Intellectual Property)
8.2 Records Retention
Complete pre-award files of each proposal submitted are maintained in the Office of Research and Sponsored Programs for at least two years following submission. Funded proposal files are maintained for five years. Non-funded proposals are returned to the Principal Investigator.
All records relating to grant and contract accounts including fiscal and programmatic reports and legal documentation are kept at the Cal Poly Pomona Foundation, Inc. administrative offices and/or at an off-site storage facility indefinitely. Records relating to expenditure processing are kept seven years per IRS policies. (See Cal Poly Pomona Foundation, Inc. Grants and Contracts Post Award Administration Handbook.)