BF/FIN/07 - Sponsored Programs Administration Policy

Effective October 2, 2015

A. Purpose

In accordance with California State University (CSU) policy, the campus President or designee must ensure that appropriate policies and procedures are maintained ensuring that the campus designated sponsored programs administrator demonstrates compliance with relevant federal and state regulations and guidelines.

At California State University, Stanislaus (University) all grant and contract awards are made to and accepted by the University. The CSU requires that each campus develop and maintain policies and procedures regarding involvement with the solicitation, acceptance and administration of awards from extramural sponsors for the conduct of research and scholarly activity, and other sponsored activities. This policy establishes compliance with this requirement by the University.

B. Scope of Policy

All University departments and organizations conducting research, instruction, and/or other sponsored work under grants, and other agreements funded by third party entities are required to comply with the Sponsored Programs Administration Policy.

C. Definitions

Refer to Glossary of Commonly-Used Terms in Sponsored Programs.

D. Policy

University faculty and professional staff members who work on any approved grants, contracts, or cooperative agreements will comply with the policies and procedure guidelines in the ICSUAM Section 11000 Sponsored Programs or University policies and procedures in accordance with federal and state regulations and guidelines, whichever is more restrictive.

• Where campus policy is silent or nonexistent - CSU system-wide policy will prevail.
• Where campus policy is similar & prescriptive of system-wide policy - campus policy will prevail.
• Where campus policy conflicts with system-wide policy - CSU system-wide policy will prevail.

The University will demonstrate compliance with relevant federal and state regulations and guidelines.

Policies in this Section may be applicable to federally-funded construction or infrastructure projects, but do not apply to state construction grants to the extent they are subject to the policies and procedures in the ICSUAM Section 9000 - Capital Construction and Facilities Management. This Section does not apply to awards solely for student scholarships, grants, loans, or work study programs within the scope of CSU campus Financial Aid Offices.

E. Responsibilities

Principal Investigator (PI)

• The University has the legal responsibility and authority for running the grant and expending grant funds. The University in tum grants to certain faculty and administrators the authority to act as the PI of a sponsored program.
• The primary responsibility of the PI is to ensure sponsored program success. The success of the program is measured not only by the intellectual merit of the research or the technical results, it is also measured by commitment to judiciously manage award funds and deliver on all obligations in accordance with the award. The authority granted by the University to the PI is inextricably tied to the responsibility of conducting the grant in accordance with the approved proposal and budget as well as all other guiding policies and regulations.

Pre-Award

Office of Research and Sponsored Programs (ORSP)

• Ensures that proposals, review, and approval for grants and contracts adhere to all policies and procedures of the University in accordance with federal and state regulations and guidelines.

Post Award

Grant Administration (GA)

• Assists PIs in managing their projects in support of the University’s mission of teaching and scholarship.
• Works closely with PIs and professional staff to assist with meeting the requirements of an award.
• Working in conjunction with the PI, submits requests to the sponsor for anticipated changes regarding grant personnel, funding extensions, revisions to the work plan or objectives, and budget adjustments.
• Serves as the campus liaison with granting agencies.
• Notifies PIs of report deadlines, coordinates reports, and assists in obtaining, completing, and submitting any required documentation or forms.
• Performs periodic audits to ensure that the University is in compliance with federal and state regulations as well as internal policies.

F. Procedure

Sponsored Programs Administration Procedures and documents are identified below:

• CSU Stanislaus Research and Sponsored Programs Policy
• http://www.csustan.edu/ORSP/

G. Laws, State Codes, Regulations and Mandates

• The policies in ICSUAM Section for Sponsored Programs (Section 11000) have been organized in accordance with the structure established in the Council on Government Relations’ (COGR) “Managing Externally Funded Research programs: A Guide to Effective Management Practices,” dated June 2005. http://www .calstate.edulicsuam/sections/11 000/

• Links and references to federal regulations, state regulations, relevant CSU executive orders and other internal policies contained within the ICSUAM are provided where applicable. As sections of Executive Order 890 are introduced as a policy in ICSUAM Section 11000, that section of EO 890 will be noted in the specific ICSUAM policy.

H. Resources

• Glossary of Commonly-Used Terms in Sponsored Programs

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