GRANTS AND CONTRACTS - DEFINITION,
SOLICITATION, CLEARANCE, AND ACCEPTANCE

• 1.0 Purpose
• 2.0 Policy
  • 2.1 Difference Between Grants and Gifts
  • 2.2 Solicitation of Grants and Contracts
  • 2.3 Clearance for Solicitation of Grants and Contracts
  • 2.4 Acceptance of Grants and Contracts
• 3.0 Definitions
• 4.0 References
• 5.0 Approvals and Revisions

1.0 Purpose

This policy describes the solicitation, clearance, acceptance and the definition of grants and contracts as used by the University.

2.0 Policy [Top]

2.1 Difference Between Grants and Gifts

Grants and contracts, the devices for authorizing sponsored programs, are awarded to the University as additional resources for conducting its instruction, research, and public service functions.

FUNDS RECEIVED FROM SPONSORS ARE CONSIDERED GRANTS OR CONTRACTS RATHER THAN GIFTS IF THEY INCLUDE ONE OR MORE OF THE FOLLOWING CONDITIONS:

• Investigator initiated project-specific proposals for research, training or public service activities. Projects are normally funded by sponsor from an established program for such activities. The absence of an established program does not preclude the award from being a sponsored program activity.
• Sponsor has written policies concerning indirect cost recoveries. Projects normally requiring indirect cost recovery must be established as a grant/contract by the Office of Sponsored Programs. The absence or prohibition of indirect costs does not automatically preclude the award from being a grant/contract.
• Provisions regarding ownership of intellectual properties,i.e., patents and copyrights.
• Requirement for the delivery of specific goods or services by the University to a sponsor.
• Requirement for formal accountability to a sponsor in the form of fiscal and/or technical reports signed by an authorized officer of the University generally in conjunction with any of the above.

IF THE SPONSOR REQUIRES ANY OF THE ABOVE, THE ACTIVITY WILL BE RECORDED AND REPORTED AS A SPONSORED PROGRAM.

Grants or contracts are awarded to the University rather than the individual responsible for the conduct of the program (principal investigator). Therefore, all solicitation of grants and contracts must be processed through the Office of Sponsored Programs to ensure that the proper University approvals have been obtained prior to submission of the proposal to a sponsoring agency. The Offices of Sponsored Programs and University Development will coordinate requests to avoid possible conflict in solicitation and/or accounting.

2.2 Solicitation of Grants and Contracts

Although grants and contracts are awarded to the University because of special competence of the faculty, the University is legally responsible for the program and for fulfilling the sponsoring agency requirements. Therefore all solicitations of grants and contracts must be made in the name of:

The Rector and Visitors of the University of Virginia

NOTE: ONLY ELECTED MEMBERS OF THE FACULTY MAY SUBMIT GRANT PROPOSALS. ELECTED MEMBERS OF THE FACULTY INCLUDE:

• Professors,
• Associate and Assistant Professors,
• Instructors and Lecturers.

The Board of Visitors has authorized only the following officials to sign sponsored program documents in the name of The Rector and Visitors of the University of Virginia:

• Executive Vice President and Chief Operating Officer
• Vice President and Provost
• University Comptroller
• Vice President for Research and Public Service
• Director of Sponsored Programs
• Assistant Director of Sponsored Programs

The primary signatory for sponsored program documents is the Director of Sponsored Programs.

2.3 Clearance for Solicitation of Grants and Contracts

All grant and contract solicitations must be cleared through University administrative channels prior to submission to a potential funding agency. The solicitation must be endorsed by the following:

• Principal investigator,
• Department head,
• Departmental or school research administrator,
• School dean(s),
• Office of Sponsored Programs.

The above endorsements and approvals are documented by processing the solicitation under the cover of a Proposal Approval Sheet, Form SP-10.

See also:

• Procedure 8-9, "Preparation of Proposal Approval Sheet and Budgeted Cost Sharing Forms,"
• Procedure 8-11, "Standard Addresses for Use on all Grant and Contract Proposals."

2.4 Acceptance of Grants and Contracts

Grants and contracts awarded the University from formal solicitations must be accepted on behalf of The Rector and Visitors of the University of Virginia by an authorized official. These officials are the same persons authorized to sign sponsored program documents as explained above in the "Solicitation of Grants and Contracts" section.

Prior to acceptance, the award document will be reviewed by the Office of Sponsored Programs to ensure the grant or contract does not contain any restrictions or obligations that are contrary to University policies and procedures.

See also:

Procedure 8-9, "Preparation of Proposal Approval Sheet and Budgeted Cost Sharing Forms."

3.0 Definitions [Top]

4.0 References [Top]

5.0 Approvals and Revisions [Top]