Policies & Regulations
Please select a Policy or Procedure below to receive more information.
Policies for Grant and Contract Activities
It is the policy of California State Polytechnic University, Pomona to support extramural endeavors of its faculty and staff. A faculty engaged in scholarly research is a faculty equipped to expand the frontiers of knowledge and to promote efficient undergraduate and graduate education. The Master Plan for Higher Education in California states that, "Faculty Research, using facilities provided for and consistent with the primary function of the State University and Colleges, is authorized". A staff member who obtains funding for programs to enhance student life on campus is also contributing to the mission of the University.
Research and sponsored projects must be compatible with appropriate rules and regulations of the State of California, Trustees of the California State University, Office of the Chancellor, and the University. Most, if not all colleges will allow a faculty member to use external funds to reduce his or her teaching load in order to perform sponsored research. Faculty members employed full time by the University during the academic year may undertake research projects for extra compensation during the same period up to but not more than the equivalent of 1/4th of a full-time load with the approval of the President or his designee. Generally compensation to a faculty member from a contract or grant shall be at no more than the same rate or fraction of total annual salary earned for full-time University employment.
Research projects shall not interfere with the normal use of laboratory, classroom, or other space furnished by the State for the instructional program of the University. Equipment valued at $25 or more purchased or given for research projects carried on in University facilities will become the property of the University or University Foundation, unless prohibited by the funding contract.
Those preparing external funding proposals should familiarize themselves with the procedures and criteria involved. This will expedite processing and, of utmost importance, save time in the on-campus approval and submission process.
Proposal Development & Submission Policy
Executive Order 890
Executive Order 890 is the CSU system-wide guidance on the administration of grants and contracts in support of sponsored programs.
See the full text at - E0-890 (PDF)
ICR Distribution to PI's (04/30/2012)
Fundamentals differences between old and new calculations methods:
New Method: The PI receives 11% of the Net ICR (after removal of the 4.5% foundation fee)
1. In the new calculation, the distribution to each Principal Investigator depends only on the PI’s individual grants, not on the activities of other PI’s in the College or on the total ICR collected by the college. Removing interaction among the grants makes the result predictable for the PI. The distribution is based only on the grant expenditures, the ICR collected, and the CPPF admin fee. It is a straightforward calculation for any time period and even for the overall grant.
Calculate the PI distribution as: CPP Admin Fee (foundation fee) = 4.5% of Expenditures Net ICR = ICR Collected – CPPF Admin Fee If Net ICR > 0, PI distribution = 11% of Net ICR If Net ICR <= 0, the PI’s distribution is zero
2. Why was’t it done this way before? The college-level calculation was created years before the PI-level calculation. Distribution to the PI's was built up afterward, initially as a share of the funding that went to their college and later as a variable percentage that sought to even out the distribution among PI's in different colleges. In each version, the distribution calculation became more complicated. The new proposal, to unravel the layers, will produce a simpler and faster result across the board. The return to the PI will be more clear and immediate, which should be motivating for faculty to apply for grants with higher ICR rates.
3. College-level distributions are no more or less predictable than in the prior calculation, but they will be more timely because the steps leading to distribution have been simplified. College-level Net ICR is the amount remaining after the CPPF Admin Fees and the PI Distributions are removed from the total ICR collected. If a college Net ICR is less than or equal to zero, the college will receive no ICR distribution. Colleges with a Net positive ICR proportionally share coverage for the Net Negatives and funding for the ORSP budget. 4. Variations in ICR rates among the grants still play an important role. In quarters with high expenditures from grants with low or zero ICR, the funding returned to the colleges will be lower than in quarters with low expenditures from these grants. Handling this variation at the college level preserves the maximum distribution to the colleges at any given time. The alternative of a fixed percentage at the college level would require designating funding for a flexible pool at some higher level to handle variations, and this reserve would diminish college returns overall.
Memorandum of Understanding for Grants and Contracts Administration
In response to Executive Order 890, the University and Foundation signed a Memorandum of Understanding to clarify and delineate the responsibilities of the University and Foundation for grants and contracts administered by the Foundation in support of sponsored programs and related activities performed by the University. This document describes the separate and shared responsibilities of the University and Foundation, including proposal review, fiscal and programmatic oversight, and adherence to applicable University policies.
Research with Human Subjects
Title II of the National Research Act of 1974 established a National Commission for the Protection of Human Subjects of Biomedical and Behavioral Research. In addition, laws have been promulgated which establish regulations with respect to the responsibility of any institution that submits a request for a grant or contract for any project involving human subjects (45 CFR 46). There must be submitted with such an application "assurances satisfactory to the Secretary of Health, Education, and Welfare" that it has established a board to review biomedical and behavioral research involving human subjects. "The purpose is to assure that the rights of the human subjects of such research are protected."
The purpose of the legislation is the prevention of any harm, physical, psychological, sociological, financial or other, as a consequence of any activity which goes beyond "the application of those established and accepted methods necessary to meet [the subject’s] needs." Reference here is to any experimental procedure that may in any way be construed as potentially harmful to a human subject.
The University has an Institutional Review Board (IRB) which considers proposals involving such research and assures that the design of the proposed research or activity is such that there will be no harm to any human subject. The Board also maintains periodic scrutiny of such activities to assure compliance with federal regulations. Whenever a proposal is being considered which may come under these regulations, the IRB approval must be obtained before a federally funded proposal is funded or work begun. It is advisable to obtain IRB input before the proposal is submitted to prevent situations in which a funded proposal fails to get approval from IRB in the form that was submitted to the funding agency. The current chair and composition of the IRB is provided under the Membership List. A separate publication, Policy and Procedures for the Protection of Human Subjects is distributed to all personnel who may need it and may be obtained from the Research Office.
All institutions are required to comply, as applicable, with the Animal Welfare Act and other Federal statutes and regulations relating to animals.
Public Health Service's policy requires institutions to establish and maintain proper measures to ensure the appropriate care and use of all animals involved in research, research training and biological testing activities supported by PHS. Other Federal agencies have similar requirements.
The Cal Poly Pomona Animal Care and Use Committee (ACUC) is charged with the responsibility of assuring that research projects on campus are in compliance with applicable regulations.
The Principal Investigator shall notify the Research Office in cases when animals will be used in their funded research projects.
Equipment Purchased Through Grant Funding
Experience has indicated that the Foundation Accounting Office will be required to provide information to auditors regarding equipment purchased through federal and other grant funds. It places a heavy burden on those who have the equipment if they are required to provide information on short notice. For that reason, the Foundation Accounting Office has established an inventory of all such equipment. The following procedure will be followed in the case of all grants of non-university funds, from whatever source, from which any purchases of equipment are made. Not to be included are items that are categorized as operating expenses or expendable.
For each item of equipment, at the time of delivery, the following information is to be sent to the Foundation Accounting Office:
- Full identification (including model number, etc., to clearly specify the item).
- Total cost, including any taxes. If cost has been shared, indicate breakdown among sources of funds.
- University department in which equipment is housed. If a room location can be provided do so.
- Other departments that share use of the equipment.
- Names of faculty or staff personnel who can provide information about the equipment if requested by the auditors.
- Inventory number, if any.
Equipment is defined as any item having a useful life longer than one year with a cost in excess of $5000. Some federal agencies use a lower dollar amount in defining equipment. Agency guidelines should be consulted if there is any question regarding the definition of equipment.
When the grant has been completed and all final reports have been filed, if the granting agency has allowed the University to keep the equipment purchased with the grant funds, the University’s Procurement Office must be notified. This equipment will then become the property of the University and will be tagged and recorded as such.
A copyright gives the exclusive right to the author to print or otherwise duplicate, publish and vend copies of his or her literary, artistic or intellectual production and to license their reproduction or sale by others during the term of the copyright.
A full description of Cal Poly Pomona's copyright policy is included in the University's Intellectual Property policy, found at http://www.cpp.edu/~policies/university/administrative/intellectual_property.shtml
The Constitution and the laws of the United States have provided for the patenting process to recognize the ownership of inventions by individuals. A patent gives the inventor the exclusive right of making, using, or selling the invention throughout the United States for a specified period of time.
A full description of Cal Poly Pomona's policy on patents is included in the University's Intellectual Property policy, found at http://www.cpp.edu/~policies/university/administrative/intellectual_property.shtml
Cal Poly has established Technology Transfer Office support to provide technology transfer services. The AVP for Research is responsible for administering this process and should be consulted for answers to any questions relating to inventions.
DISCLOSURE: Inventions developed by faculty, staff and students should be disclosed to the AVP for Research by filing the CPP Invention Disclosure Form (DOC) and the form entitled
Declaration of Institutional Support (DOC). Please contact the Office of Research, Innovation and Economic Development at (909)869-3898 to discuss your issues.
Conflict of Interest (See "Forms & Procedures" Side Bar for details.)
In 1990 the Academic Senate recommended and the President approved a Conflict of Interest (AS-731-890/AA). The policy is included in the University Manual and is available from the Office of Research and Sponsored Programs. It states:
Each individual 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.
In addition, both the State of California and the Federal government require that the recipient of external funds from private sources disclose potential financial conflicts of interest. The appropriate forms are available from the Office of Research and Sponsored Programs. The State of California disclosure form (700-U) must be filed with the Office of Research and Sponsored Programs if the sponsor is a non-government entity and the funds received are greater than $250. This state law includes gifts received to support an individual faculty member as well as sponsored programs.
Debarment and Suspension from Projects Involving Federal Funds
In compliance with federal regulations and CSU audit advice, the University requires all Principal Investigators and other key personnel involved in federally sponsored projects to certify that they are not presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded from covered transactions by any federal department or agency. (The standard “External Funding Approval Form” signatures obtained during campus proposal approvals routinely include the certification.) This requirement originates with U.S. Executive Orders (E.O.) 12549 and 12689 which ordered federal departments and agencies to participate in a system for debarment and suspension from programs and activities involving federal financial and nonfinancial assistance and benefits. The E.O.s require debarment or suspension of a participant in a program by one agency to have “government-wide effect.” That is, no federal agency shall allow a party to participate in any procurement or non-procurement activity if any other federal agency has debarred, suspended, or otherwise excluded that party from such participation. Many types of “sponsored programs” transactions are covered by the regulations, such as: grants, cooperative agreements, contracts, acquisition programs and activities of the Federal Government as defined in the Federal Acquisition Regulation (FAR's), lower tier covered transactions. Please contact ORSP early in the development of your proposal if there are any questions regarding this requirement.
Faculty Off-Duty Salary Rates
A faculty member who receives a Federal government grant or who participates in a contract paid from Federal funds may accept payment during any quarter when the employee is not on duty as a faculty member. Payment shall be made at the rate of 1/9 of the annual salary for a full month of such employment for academic year (9 -month) faculty, and at the rate of 1/12 of the annual salary for a full month of such employment for 12-month faculty. If employment is for less than a full month, an hourly or daily rate is employed. If required, an hourly rate is obtained by dividing the monthly rate by 173.33 hours per month.
The statement of a representative of the U.S. Department of Health and Human Services audit staff has been interpreted to mean that when a faculty member works on a grant or contract full time for a full academic quarter, one-third of the annual salary may be awarded which is equivalent to the amount the State would pay for one extra quarter’s full-time teaching.
The basis indicated in this section will be used to compute salaries to be paid faculty members on contracts and grants during periods not designated as academic work periods such as days between quarters which are vacations or holidays in the University calendar.
Overload payment during the time a faculty member is engaged in full-time service to the University may not be permitted by a Federal agency. In case such payment is permitted under the terms of a particular contract or grant, the salary budget will be developed on the same basis as used for off-duty overload, not to exceed ¼ of full-time as provided by CSU regulation.
Faculty and Staff who are preparing proposals are encouraged to consult the Office of Research and Sponsored Programs for assistance in preparing their budget.
Per the Chancellor’s Office guidelines, faculty and/or staff members employed during the academic year may undertake research projects for extra compensation during the same period. Additional employment refers to any employment compensation by Cal Poly Pomona Foundation, Inc. that is in addition to the primary or normal employment of a university faculty unit employee. However, a University employee cannot work more than the equivalent of 25 percent overtime. An “average” of 25 percent for a full-time position shall be allowed if the overage employment: (a) is consistent with employment of substantially different nature from his/her primary or normal employment; (b) is funded from non-General Fund sources; or (c) is the result of the accrual of part-time employment on more than one campus. The 25 percent overage shall be calculated as a percentage of full-time workload or, when appropriate, full-time base.
The applicable time period for ten (10) month or academic year faculty unit employee shall be the academic year at semester/quarter campuses, exclusive of time periods between academic years, time periods between academic terms, and the vacation periods of a faculty unit employee. The applicable time period for twelve (12) month faculty unit employee shall be the calendar year, exclusive of the faculty unit employees’ earned vacation periods.
Note that all Foundation salary payments to University faculty and staff are subject to the University additional employment policy. As a result, all PTR forms for University and staff must receive University Payroll approval before processing.
Institutional Contribution and Matching
In some cases, an institution contribution is a required as part of a request for external funding. Both public and private funding agencies occasionally require such participation, and some federal grants are made on the basis of matching funds.
It is the responsibility of the grant proposer to determine the source of funds within the university. Generally, the budget merely identifies the dollar amount by category, such as personnel services or operating expense. However, to allow for University review and approval, the PI must secure approval on the "Institutional Cost Share" form from appropriate individuals. You may access this form through the link "Forms". This approved form will be retained in the Foundation files as part of the internal documentation of the proposal.
Effort Reporting Faculty
Effort reporting requirements are established by OMB Circular A-21 for all university campuses that receive federally-funded grants. The requirements state that time spent by university employees to work on grants and contracts must be recorded. This is usually done by the Contracts and Grants Administrator of the Cal Poly Pomona Foundation, Inc. on your behalf, but you should be aware of the type of information you may be asked to provide. The following circumstances warrant an effort report:
- A University employee who is receiving compensation over their normal salary, funded by a contract or grant through the Foundation.
- A University employee who is contributing time for work as cost sharing on a contract or grant over and above the time required in their normal duties.
- A University employee who has been given release time from the University to work on a contract or grant and whose salary or a portion thereof is reimbursed to the University by a contract or grant through the Foundation.
- A University employee who has been given release time from the University to work on a contract or grant and whose salary or a portion thereof is used as cost sharing or matching funds for the grant or contract.
Effort reporting is not required for an employee hired on Foundation payroll to work entirely on a grant or contract through the Foundation.
NIH Public Access Policy
The NIH Public Access Policy implements Division G, Title II, Section 218 of PL 110-161 (Consolidated Appropriations Act, 2008). The law states:
The Director of the National Institutes of Health shall require that all investigators funded by the NIH submit or have submitted for them to the National Library of Medicine’s PubMed Central an electronic version of their final, peer-reviewed manuscripts upon acceptance for publication, to be made publicly available no later than 12 months after the official date of publication: Provided, That the NIH shall implement the public access policy in a manner consistent with copyright law.
April 7, 2008
As of April 7, 2008, final peer-reviewed manuscripts arising from NIH funds must be submitted to PubMed Central upon acceptance for publication.
May 25, 2008
As of May 25, 2008, NIH applications, proposals, and progress reports must include the PubMed Central reference number when citing a paper that falls under the policy and is authored or co-authored by the investigator, or arose from the investigator’s NIH award. This policy includes applications submitted to the NIH for the May 25, 2008 due date and subsequent due dates.
For more information, see the NIH Public Access Homepage.
Policy on Misconduct in Research
It is the policy of California State Polytechnic University, Pomona to adhere to and promote the highest ethical standards of conduct in research and creative activities. Despite extremely rare occurrences, misconduct in research can have a significant impact on the reputation and credibility of the University, its faculty and students, and therefore it cannot be tolerated. The purpose of this policy is to provide the University with a set of procedures for investigating and reporting instances of alleged or apparent misconduct in research and creative activity.
A full description of Cal Poly Pomona's policy on misconduct in research can be found at http://www.cpp.edu/~policies/university/administrative/misconduct_in_research.shtml.
If your grant or contract will involve export controls regulations, please click here to read (DOCX) the "Export Controls Manual" prepared by the Office of General Counsel of The California State University and then contact ORSP for assistance.
Policies will differ from sponsor to sponsor. Individual grants may have specific conditions and the terms of contracts may vary. A transaction may be legitimate for one grant, but unallowable on another. Therefore, each grant and contract should be treated individually when determining if a specific transaction is appropriate.
To effectively interpret and apply the various rules related to a sponsored project, review the basic government, sponsor, award-specific, and University policies and procedures.
All Federal agencies must comply with the requirements of the U.S. Office of Management & Budget (OMB) in developing the grant/contract policies incorporated in the awards issued to institutions.
Financial activity should be monitored on a timely basis to ensure proper posting of expenditures and accurate financial reporting.
The Federal Office of Management & Budget has established OMB Circulars as a government-wide guidance to manage sponsored agreements. The OMB circulars provide uniform standards. As an educational institution, CPP must comply with the following regulations:
The cost principles provide uniform standards for determining costs that are:
- Reasonable-reflects whether the individual acted with due prudence
- Allocable-the cost has a direct benefit to the project being charged
- Allowable-the cost is allowed by federal regulations, sponsor terms and conditions, including program specific requirements
- Treated Consistently-like costs in similar instances are treated consistently throughout the University
2 Code of Federal Regulations (CFR) for Awards After December 26, 2014
This Circular establishes principles for determining costs applicable to grants, contracts, and other agreements with educational institutions. The principles deal with the subject of cost determination, and make no attempt to identify the circumstances or dictate the extent of agency and institutional participation in the financing of a particular project.
This Circular sets forth standards for obtaining consistency and uniformity among Federal agencies in the administration of grants to and agreements with institutions of higher education, hospitals, and other non-profit organizations.
This Circular is issued pursuant to the Single Audit Act of 1984, P.L. 98-502, and the Single Audit Act Amendments of 1996, P.L. 104-156. It sets forth standards for obtaining consistency and uniformity among Federal agencies for the audit of States, local governments, and non-profit organizations expending Federal awards.
In addition to the federal OMB Circulars, the University must comply with sponsor's guidance, policy manual, terms and conditions, and program specific requirements.