THE UNIVERSITY OF MEMPHIS OPERATING PROCEDURES
SUBJECT: Sponsored Program Contract and Grant Applications
PROCEDURE NO.: 2B:05:01A DATE: August 28, 1985
SUPERSEDES PROCEDURE NO.: 2B:05:01A DATE: May 1, 1977
PURPOSE
The purpose of this procedure is to outline the requirements and
procedures for internal review and approval of sponsored program
proposals and award documents.
GENERAL
Authority to sign proposals on behalf of the University is vested
only in the President, the Vice Provost for Academic Affairs, and
the Associate Vice Provost for Research. The Associate Vice
Provost for Research will normally be the approving officer.
In the case of award documents, only the President, and in the
President's absence, those individuals specifically authorized in
writing by the President, have the authority to execute such
documents on behalf of the University.
1. Prior to his approval of the submission of a proposal, the
Associate Vice Provost for Research will require that the
proposal and the University's Internal Coordination Form (see
Attachment 1) be reviewed and approved in the following order
by the:
(1) Principal Investigator/Project Director (PI/PD);
(2) Department Chairman/Unit Director;
(3) Dean of school or college (if applicable);
(4) Additional reviews and approvals as deemed appropriate; &
(5) Director of Sponsored Programs
a. The internal proposal budget to be reviewed (concurrently
with the Internal Coordination Form) should include all
costs to be incurred during the project period. Any costs
not to be funded by the sponsor should be identified as
University cost-sharing. Indirect costs must be included in
all proposals at the current University rate (which may be
obtained from the Office of Sponsored Programs). Use of an
indirect cost rate lower than the established rate must be
justified by the PI/PD and approved by the Associate Vice
Provost for Research prior to its use in a proposed budget.
b. If the budget to be submitted to the sponsor does not,
because of sponsor policy, permit the indication of full
University cost-sharing, an internal budget shall be
developed to accompany the proposal prior to the acquisi-
tion of signatures on the Internal Coordination Form. All
such budgets shall be in the format shown in Attachment 2.**
c. In the case of contract or grant agreements which require
University costsharing (whether in the form of personnel
services or re-budgeting of funds), no proposal shall be
made unless all cost-sharing funds and/or resources
necessary for the project have been specifically identified
and approved on the Internal Coordination Form by the
Associate Vice Provost for Research.
d. Each proposal requesting sponsor support of $250,000 or
more per budget period will, in addition and subsequent to
the reviews indicated above but prior to the approval of
the Associate Vice Provost for Research, be reviewed and
approved with regard to its budget by the Grants and
Contracts Accounting Office.
e. Upon receiving all necessary internal approvals for the
submission of the proposal, the Director of Sponsored
Programs will prepare a letter of transmittal which will be
submitted over his signature and forward the proposal to
the appropriate external agency(s). A file copy of the
proposal, with letter of transmittal, will be provided to
the PI/PD. An information copy of the letter of transmittal
also will be sent to the appropriate college research
director (if applicable).
2. All award documents requiring signature on behalf of the
University will be signed by the President or in his absence,
his specifically authorized (in writing) representative.
a. In the case of a contract to be awarded by an agency of the
State of Tennessee, a contract document signed by the
President will be transmitted to the Chancellor for review
and approval prior to the affixing of the final required
signature on behalf of the State. Should the contract
require the approval and signature of the State Department
of Finance and Administration, the approval by the TN
Board of Regents shall be required prior to transmittal of
the contract document to the Department of Finance and
Administration. Routing of this document is initiated by
the Office of Sponsored Programs.
b. All awards from any agency of the State of Tennessee
(regardless of value) shall be submitted to the Chancellor
for approval. In addition, other awards involving external
funding in excess of $75,000 per award document, shall
also be submitted to the Chancellor for approval. Should
the time requirements of the award be jeopardized by the
requirement of receipt of a written approval from the
Chancellor, a telephone approval may be requested by the
Associate Vice Provost for Research on behalf of the
President. Should approval be obtained in this manner, it
shall be confirmed in writing by the Chancellor as soon as
practical thereafter.
c. All contract and grant agreements requiring the expenditure
of University funds shall not extend beyond the end of the
fiscal year in which they are consummated unless subject to
the condition that the University shall have the right to
terminate such agreement at the end of any fiscal year in
the event that sufficient University funds are not
appropriated by the General Assembly and/or budgeted by the
University for program continuation.
d. No agreement of any nature shall be consummated by the
University which contains a requirement:
1) That the University shall identify or hold harmless any
other party except to the extent allowable by the State
Board of Claims as provided by the Tennessee Code
Annotated (TCA), including TCA Section 9-8-207;
2) That the University shall pay taxes of any nature from
which it is otherwise exempt;
3) Concerning the payment by the University of costs
resulting from default of the contract;
4) That the University be a party to litigation under the
laws of any state other than Tennessee;
5) For payment by the University of attorney fees or which
requires that the University defend another party in
legal proceedings.
e. Any agreement relating to programmatic matters of system-
wide interest, or any agreement which provides for the
coordinated or cooperative offering of any program in which
requirements are met or credit is given for activities
offered by another institution, shall be approved by the
President and the Chancellor. Examples include academic
programs or public service activities for private or State
agencies in the fulfillment of that agency's responsi-
bilities for State-wide services or governmental training.
Other examples are agreements which require consortium or
cooperative arrangements with other institutions, agencies
or associations. This section does not apply to locally
arranged activities generally considered to be in the
purview of the University in the fulfillment of its role in
community services or in providing student learning
experience through arrangements to provide student
teaching experiences in the local public school systems.
f. All contract and/or grant agreements and subcontracts shall
include all appropriate non-discrimination requirements
provided by Federal or State laws and regulations.
3. When the proposal results in a contract or grant agreement, a
copy of the award document shall be sent to the Grants and
Contracts Accounting Office by the Director of the Office of
Sponsored Programs for routing of material incident to the
setup of an internal project account.
4. Should the sponsor's processing of a formal award document be
delayed after the sponsor commits itself to making the award
and should such a delay jeopardize the successful completion
of a sponsored program by shortening the budget period,
a University account may be established prior to the
University receipt of the sponsor's formal award document.
Prerequisite conditions for this type of account are as
follows:
(A) the spending of funds from this account will be within the
sponsor established budget period:
(B) the sponsor's commitment to making this award is indicated
by the sponsor to be unconditional;
(C) a memo is received from the chairman of the department in
which this account is required, addressed to the Office of
Sponsored Programs, stating that the limited funds
requested (the amount and time period) will be guaranteed
for replacement by unit funds (under a specific account
number), should for any reason the sponsor's formal award
document not be received by the University.
Due to the limited amount of funds available for this procedure,
receipt of prerequisite assurances may not automatically result
in the establishment of such an account but is at the discretion
of the Associate Vice Provost for Research.
Please contact the appropriate office for a copy of the INTERNAL CO-
ORDINATION FORM, and for a copy/copies of Attachment 2, Proposed Budget.