EFFECTIVE DATE: July 14, 2021
ISSUE #: 2
PRESIDENT: Dr. Loren J. Blanchard
PURPOSE
This PS provides guidelines for the administration of the Organized Research and
Creative Activities (ORCA) program at University of Houston-Downtown (UHD). The
ORCA program provides small project grants to support the execution of research,
scholarship and creative activities by tenured and tenure-track faculty at UHD. The
funding and assurance of institutional compliance for this program will be managed by
the Assistant Vice\ President for Research and Sponsored Programs (AVP-FRSP).
DEFINITIONS
2.1 Research and Scholarship: Any gathering of facts, data, and information for the
advancement of knowledge, confirmation of previous work, or the solving of
complex problems. Does not include professional development to broadly enhance
research and scholarship. A faculty member interested in funds to support
professional development of such activity should consult PS 10.A.24, the policy on the Faculty Development Awards Program.
2.2 Creative Activity: Pursuit of endeavors by those in disciplines in the arts, including
but not limited to art, music, writing, performing arts, dance, photography, and
sculpting. Does not include professional development to broadly enhance creative
activity skills or knowledge. A faculty member interested in funds to support
professional development of such activity should consult PS 10.A.24, the policy on
the Faculty Development Awards Program.
2.3 The Execution of Research, Scholarship and Creative Activities: The implementation
of the plan of activities outlined in the ORCA grant proposal.
POLICY
3.1 Proposal Requirement
3.1.1 To qualify for internal funding through the ORCA Program, a faculty
member must submit a complete proposal, which follows the format
described in the Format for ORCA Grant Proposal, and must provide all of
the information required therein.
3.2 Criteria for Proposal Evaluation
3.2.1 To qualify for internal funding through the ORCA Grant Program, the
application will focus on execution of research and scholarship or creative
activity, as defined in 2.3 of this policy.
3.2.2 The proposed research and scholarship or creative activity must support the
goals and/or objectives of the university, college, and/or department and do at
least one of the following: (a) contribute to knowledge in the discipline; (b)
have the potential to result in patents or licenses for commercial products; (c)
have the potential to generate peer-reviewed publications and/or other
deliverables commonly accepted for research and scholarship or creative
activities in the Faculty Annual Merit process and the Rank and Tenure
process, (d) have the potential to attract additional funding from external
funding sources.
3.3 Eligibility of the Applicant
3.3.1 For research and scholarship or creative activity to be internally sponsored by
the University using ORCA funds, the applicant must hold a tenured or
tenure-track appointment at the University at the time the research is
proposed.
3.3.2 ORCA grants are discontinued with the termination of a tenured or tenure-track appointment to the University.
3.3.3 Members of the University ORCA Committee and a Department ORCA
Committee are ineligible for funding through the ORCA program during any
application cycle in which they serve on these committees.
3.3.4 Applicant must be in good standing with the University at the time of
funding.
3.4 Proposal Review
3.4.1 Departmental Committees: Each academic department from which an ORCA
proposal originates must assemble a Departmental ORCA Committee. The
committee is appointed by the department chair. The committee should to
the extent possible represent a range of disciplines from which proposals may
be submitted. The purpose of the Department ORCA Committee is to: a)
engage in a review of proposals to ensure there is connection between each
proposal’s activity and the stated objectives of the ORCA program; and b) to
offer feedback in time for resubmission to the department committee prior to
submission to the University ORCA Committee. The Department ORCA
Committee makes a recommendation on a proposal (via the Recommendation and Signature Form) but does not serve to render a decision of whether or not an application moves forward for review by the Department Chair, the Dean,
and/or University ORCA Committee.
3.4.2 The Department Chair and Dean: The Department Chair and Dean make a
recommendation on a proposal (via the Recommendation and Signature Form) but does not serve to render a decision of whether or not an application
moves forward for review by the University ORCA Committee. The
Department Chair does not serve to render a judgment on whether or not the
proposal moves forward to the Dean.
3.4.3 University ORCA Committee: The University ORCA Committee consists of
one faculty representative from each academic department, elected via
Faculty Senate procedures. Members of the University ORCA Committee
will serve two-year staggered terms. The AVP-FRSP will convene the
committee, provide instructions and an overview of pertinent regulations,
establish deadlines, and oversee the election of a committee chair. Review by
the University ORCA Committee will be based on the ORCA Evaluation Rubric.
3.5 Grants and Expenditures of ORCA Funds
3.5.1 The University ORCA Committee may suggest that an ORCA grant for
research and scholarship or creative activity be greater or less than the
original amount requested by the applicant. Under most circumstances, the
University ORCA Committee may not suggest that a grant be increased by
more than 10% above the original amount. There are no limits on suggesting
a lower grant than originally proposed.
3.5.2 Use of ORCA funds must comply with all regulations of the University of
Houston System, UHD, the state, and the federal government. Proposed
research or creative activities involving human subjects must be approved by
the UHD Institutional Review Board. Proposed research or creative activities
involving animals must be approved by the UHD Institutional Animal Care
and Use Committee. Recipients of ORCA grants will be required to attend a
Time and Effort training session and must submit regular Time and Effort
reports to the AVP-FRSP through the proper process.
3.5.3 Proposed research and scholarship or creative activities requiring city, state,
or federal permits must provide copies of the required permits to the AVPFRSP before funds will be allocated for the research.
3.5.4 Research and scholarship or creative activity funds from the ORCA program
may be used, when specified, to cover course instruction replacement cost
and/or a summer salary.
3.5.5 No single grant may be greater than 10% of the ORCA funds available in that
year.
3.5.6 Funds granted for designated uses (for example, the purchase of software)
may not be re-budgeted into another category unless approved in advance by
the AVP-FRSP.
3.5.7 All expenditures from faculty ORCA accounts must be approved by the
faculty member, the departmental chair, and college dean.
3.5.8 All ORCA funds granted to a faculty member must be expended within three
long semesters from the date of notification of grant. Unexpended funds at
the end of this period will be returned to the ORSP.
3.5.9 If the SVPAA/Provost determines any modifications to the recommendations
need to be made, they will consult the University ORCA committee.
3.6 Required ORCA Reports
3.6.1 Within 18 months of the end of the semester in which the ORCA grant is
received, the recipient will submit a final report summarizing the results of
the research, scholarship, or creative activities funded by the grant to the
Provost and AVP-FRSP using the format described in the Format For ORCA Grant Final Report.
3.6.2 In the report, grant recipients are required to describe the product of the
project funded by the ORCA grant.
3.6.2.1 Faculty may choose to disseminate the findings of the grant via
outcomes that involve peer review (e.g., an off-campus exhibition or
performance, chapter in a book, conference presentation, or journal
publication).
3.6.2.2 Grant proposals to external agencies that result from the grant also
area acceptable as the product of an ORCA grant.
3.6.2.3 Acceptance for conference presentation, publication, exhibition,
performance, or external funding as a result of the ORCA grant is
desired, but it is not required. However, evidence of efforts to seek
such acceptance is an essential element. Failure to demonstrate
productivity described in the original grant proposal may render the
applicant ineligible for future ORCA grants.
3.6.3 The AVP-FRSP will archive all final reports of ORCA grants and will make
them available to the University Community.
3.6.4 The recipient of an ORCA grant will be required to acknowledge the support
received from an ORCA grant in any publication, exhibition announcement
or other appropriate external or internal outlet. The recipient of an ORCA
grant also will furnish two copies of any published work, exhibition
announcement, or presentation program resulting from any amount of ORCA
funding to the AVP-FRSP. One copy will be archived in the ORSP office
and one copy will be sent to the University Archive.
3.6.5 The recipient of an ORCA grant also may be required to present the findings
or products of this project to the University Community at a forum to be
determined by the Provost.
3.6.6 If a recipient fails to submit a final report within 18 months, that individual is
ineligible for future ORCA funds. The AVP-FRSP will notify the individual
and the ORCA committee of this ineligibility. The eligibility restriction
remains in effect until such time as the recipient submits a report.
PROCEDURES
4.1 For proposal submission and review process and timeline see the “Procedures and
Timeline” table below in section 4.2. If any due date falls on a holiday, the due date
is moved to the next work day.
4.2 Procedures and timeline table.
By the First Monday of March
| The AVP-FRSP will distribute a call for
ORCA grant proposal submissions with
reference to the proposal guidelines. The
call for proposals will also contain the
deadline for proposal submissions. |
By the First Monday of May
| Each academic department will have formed
their Department ORCA Committee and
will have selected and announced the name
of the individual who will serve as chair of
the committee. The Senate will follow
Faculty Senate procedures to complete the
elections for each department’s
representative to the University ORCA
Committee; the Senate will send the names
to the AVP-FRSP and the Senior
VPAA/Provost.
|
By the Second Monday of September
| Applicant submits proposal to the
Department ORCA Committee. The University ORCA Committee should have
met and elected a chair
|
| By the Third Monday of September | Department ORCA Committee provides
written feedback to the applicant.
|
By the Third Thursday of September
| The applicant resubmits the proposal to the
Department ORCA Committee either
addressing the feedback the Committee
provided or providing a written statement
attached to the proposal on why the
feedback was not addressed. The
Department ORCA Committee considers the
resubmitted material in its entirety for the
Recommendation and Signature Form.
|
By the First Monday of October
| Applicant submits final proposal to
Department Chair, College Dean, and the
AVP-FRSP (who will record the submission,
ensure that it meets regulatory requirements
for funding given in section 3.5, and
forward it to the University ORCA
Committee). Department ORCA
Committee forwards the Recommendation and Signature Form to Department Chair
who then sends to College Dean.
|
By the Third Monday in October
| The Dean submits the Recommendation and Signature Form to the AVP-FRSP, who
forwards it to the University ORCA
Committee.
|
By the Second Monday in November
| The University ORCA Committee sends its
funding recommendations to the AVP-FRSP
with a cover letter from the committee chair
and spreadsheet in which each proposal is
listed in rank order from highest priority for
funding (top) to lowest priority for funding.
|
By the First Monday in December
| The Provost will notify each applicant, the
Chair of the University ORCA Committee,
all department chairs, and all college deans
of funding decisions. The AVP-FRSP will
send the Recommendation and Signature Form and justification statements to all
applicants.
|
| By the Second Monday in December | The Provost will announce the names and
project titles of all ORCA grant recipients to
the UHD community.
|
REVIEW PROCESS
Responsible Parties: Assistant Vice President for Research and Sponsored Programs
Review: Every three years on or before May 1st
Signed original on file in Employment Services and Operations
POLICY HISTORY
Issue #1: 08/17/15
REFERENCES
PS 10.A.24 Faculty Development Awards Policy
Format For ORCA Grant Proposal
Format For ORCA Grant Final Report
Recommendation and Signature Form
ORCA Evaluation Rubric
