Texas Administrative Code Title 19

Education: As effective August 6, 2010

Chapter 14

Subchapter A

§14.1: Definitions

The following words and terms, when used in this chapter, shall have the following meanings, unless the context clearly indicates otherwise:

(1) Coordinating Board--the Texas Higher Education Coordinating Board.

(2) Commissioner--the Commissioner of Higher Education.

(3) Advisory Committee--the Advisory Committee on Research Programs appointed by the Coordinating Board pursuant to Texas Education Code, §§142.003 and 143.004.

(4) Research program--the Norman Hackerman Advanced Research Program.

(5) Technology program--the Advanced Technology Program.

(6) Technology transfer program--the Technology Development and Transfer Program.

(7) Research funding programs--the Norman Hackerman Advanced Research Program, Advanced Technology Program, and Technology Development and Transfer Program.

(8) Eligible public institution--an institution of higher education, as defined by Texas Education Code, §61.003(8).

(9) Eligible independent institution--a private institution of higher education eligible to grant degrees in Texas as defined in Texas Education Code, §61.003(15).

(10) Investigator--an applicant whose name appears as a principal investigator, co-investigator, or collaborating investigator on a pre-proposal or full proposal submitted for any of the research funding programs.

(11) Supplemental grants program--the Supplemental Grants Program for High School Teachers.

Comments

Source Note: The provisions of this §14.1 adopted to be effective March 2, 2003, 28 TexReg 1857; amended to be effective August 11, 2004, 29 TexReg 7673; amended to be effective August 26, 2009, 34 TexReg 5681

§14.2: Authority and Scope

(a) Authority for this chapter is provided in the Texas Education Code, Chapters 142 and 143 respectively, on the Advanced Research Program and Advanced Technology Program.

(b) Unless otherwise specified, this chapter applies to the Coordinating Board, any Texas institution of higher education seeking funding under the programs in this chapter and any tenured or tenure-track faculty member of such institution or research professional in a permanent position in such institution.

(c) This chapter provides the Coordinating Board the regulating rules applicable to the administration of the Norman Hackerman Advanced Research Program, Advanced Technology Program, Technology Development and Transfer Program, and other related programs.

Comments

Source Note: The provisions of this §14.2 adopted to be effective March 2, 2003, 28 TexReg 1857; amended to be effective August 26, 2009, 34 TexReg 5681

Subchapter B

§14.11: Purpose

(a) The research program supports research designed to attract and retain the best students and researchers and to help provide the knowledge base needed for innovation.

(b) The research program is established to encourage and provide support for basic research conducted by faculty and students in eligible public and independent institutions in Texas in the research areas specified by Texas Education Code, §142.002 and as revised by the Advisory Committee.

Comments

Source Note: The provisions of this §14.11 adopted to be effective March 2, 2003, 28 TexReg 1857; amended to be effective August 26, 2009, 34 TexReg 5681

§14.12: Eligibility

(a) Only eligible public and independent institutions, as specified in Texas Education Code §61.003 may compete in the research program.

(b) An eligible public or independent institution must be accredited by the Commission on Colleges of the Southern Association of Colleges and Schools.

(c) An eligible public or independent institution must have adopted an intellectual property policy meeting the minimal standards set out in Texas Education Code, §51.680. A copy of the policy must be approved by the Commissioner and be on file at the Coordinating Board.

Comments

Source Note: The provisions of this §14.12 adopted to be effective March 2, 2003, 28 TexReg 1857; amended to be effective August 26, 2009, 34 TexReg 5681

§14.13: Evaluation Criteria

(a) Proposals for the research program shall be evaluated on the basis of merit and soundness of the proposal, capability of the investigator, student involvement and research training opportunities, and adequacy of institutional commitment and resources.

(b) The Coordinating Board and the Advisory Committee may delete or add any relevant criteria for evaluating the proposals for the research program.

Comments

Source Note: The provisions of this §14.13 adopted to be effective March 2, 2003, 28 TexReg 1857

Subchapter C

§14.31: Purpose

(a) The technology program is established to promote the State's economic growth and diversification by increasing the number and quality of scientists and engineers in Texas, enlarging the technology base available to business and industry, creating new products and services, and attracting new industries to Texas.

(b) The technology program is designed to provide support for technology research conducted in eligible public or independent institutions in Texas in the research areas specified by Texas Education Code, §143.003.

Comments

Source Note: The provisions of this §14.31 adopted to be effective March 2, 2003, 28 TexReg 1858

§14.32: Eligibility

(a) Any eligible institutions whether public or independent may apply for the technology program.

(b) An eligible public or independent institution must be accredited by the Commission on Colleges of the Southern Association of Colleges and Schools.

(c) An eligible public or independent institution must have adopted an intellectual property policy meeting the minimal standards set out in Texas Education Code, §51.680. A copy of the policy must be approved by the Commissioner and be on file at the Coordinating Board.

Comments

Source Note: The provisions of this §14.32 adopted to be effective March 2, 2003, 28 TexReg 1858

§14.33: Evaluation Criteria

(a) Proposals for the technology program shall be evaluated on the basis of merit and soundness of the proposal, capability of the investigator, student involvement and research training opportunities, and adequacy of institutional commitment and resources.

(b) Prospects for leveraged funds and technology transfer may be considered when evaluating proposals for the technology program.

(c) The Coordinating Board and the Advisory Committee may delete or add any relevant criteria for evaluating the proposals for the technology program.

Comments

Source Note: The provisions of this §14.33 adopted to be effective March 2, 2003, 28 TexReg 1858

Subchapter D

§14.51: Purpose

The technology transfer program is established to support technology development and the transfer of that technology to the private sector in Texas.

Comments

Source Note: The provisions of this §14.51 adopted to be effective March 2, 2003, 28 TexReg 1858

§14.52: Eligibility

(a) Any eligible institutions whether public or independent may apply for the technology transfer program.

(b) An eligible public or independent institution must be accredited by the Commission on Colleges of the Southern Association of Colleges and Schools.

(c) An eligible public or independent institution must have adopted an intellectual property policy meeting the minimal standards set out in Texas Education Code, §51.680. A copy of the policy must be approved by the Commissioner and be on file at the Coordinating Board.

(d) An institution must show that it has external matching contributions from an industrial or private entity that intends to commercialize the technology in an amount equal to or greater than the amount of grant funds requested.

Comments

Source Note: The provisions of this §14.52 adopted to be effective March 2, 2003, 28 TexReg 1858

§14.53: Evaluation Criteria

(a) Criteria for evaluating the proposals for the technology transfer program shall include potential importance of the technology, technical merit and soundness of the proposal, personnel and physical resources available to the project, and the quality of the product development and technology transfer plan.

(b) The proposals for the technology transfer program shall be reviewed to determine whether matching contributions from the industrial collaborator(s) meet the program guidelines.

(c) The Coordinating Board and the Advisory Committee may delete or add any relevant criteria for evaluating the proposals for the technology transfer program.

Comments

Source Note: The provisions of this §14.53 adopted to be effective March 2, 2003, 28 TexReg 1858

Subchapter E

§14.71: Advisory Committee

(a) The Advisory Committee shall consist of experts in the specified research areas.

(b) The Advisory Committee shall advise the Coordinating Board concerning the development of research priorities, guidelines, funding allocations, and procedures for the selection of specific projects for awards on a competitive, peer review basis.

(c) The Advisory Committee shall determine funding to be allocated to each research area.

(d) The Chairman of the Coordinating Board shall appoint members of the Advisory Committee, who shall serve for a term of three years. In making appointments the chairman shall include both representatives of Texas industry and Texas higher education.

Comments

Source Note: The provisions of this §14.71 adopted to be effective March 2, 2003, 28 TexReg 1859

§14.72: Pre-proposals and Proposal Solicitation

(a) At least five weeks prior to the pre-proposal due date, the Coordinating Board shall issue a Program Announcement that describes key information about the research funding programs including investigator eligibility, pre-proposal and proposal formats, funding allocations, evaluation criteria, and schedules.

(b) Investigators who have failed to submit any required reports such as progress and final reports for previous research funding program grants shall not be eligible to submit pre-proposals or proposals to the research funding programs.

(c) Investigators who have knowingly submitted false information or engaged in misconduct in science, engineering, and education in previous research funding program grants shall not be eligible to submit pre-proposals or proposals to the research funding programs.

(d) Institutions shall submit their pre-proposals in the manner and format specified by the Coordinating Board with all requested information included.

(e) An institution applying for the technology transfer program shall provide in the pre-proposal a listing of external industrial or private support in an amount equal to or greater than the amount of grant funds requested from the technology transfer program.

(f) Each pre-proposal shall be evaluated by at least one reviewer with recognized expertise in the general subject area.

(g) Reviewers may, at their discretion, shift pre-proposals submitted under one research funding program to another, except that pre-proposals from independent institutions may not be moved into the research program.

(h) An institution submitting a pre-proposal accepted by the reviewers shall be invited to submit a full proposal that must expand upon the accepted pre-proposal.

(i) Any significant change in a proposal made from an original pre-proposal may be subject to restrictions imposed by the Coordinating Board.

Comments

Source Note: The provisions of this §14.72 adopted to be effective March 2, 2003, 28 TexReg 1859

§14.73: Proposal Evaluation

(a) The full proposals that may be submitted shall be made in the manner and format specified by the Coordinating Board with all requested information included.

(b) Pursuant to Texas Education Code, §142.006 and §143.007, the Coordinating Board shall appoint as many review panels as necessary that consist of scientists and engineers with recognized expertise recruited from academic, government laboratories, non-profit research centers, and industries under the condition that employees of any institution of higher education in Texas shall not be reviewers.

(c) A review panel shall evaluate each proposal, and each review panel shall rank those proposals they consider eligible for funding and select those proposals to be funded.

(d) A review panel shall evaluate the budget for each ranked proposal and may recommend a budget that is different from that submitted by the participating institution(s).

(e) The Advisory Committee shall review the review panels' selections and then recommend the final list of proposals for funding to the Coordinating Board.

Comments

Source Note: The provisions of this §14.73 adopted to be effective March 2, 2003, 28 TexReg 1859

§14.74: Confidentiality

(a) Any information either submitted by investigators or their institutions to the Coordinating Board or kept by the Coordinating Board related to the evaluation and selection of research projects to be funded by any of the research funding programs under this chapter shall be confidential unless released by the Coordinating Board pursuant to the following subsections of this section.

(b) The contents of pre-proposals and proposals submitted under the research funding programs shall be confidential. Reviewers shall be required to sign a confidentiality agreement prior to reviewing pre-proposals and proposals. No information shall be released to the general public on the content of unfunded proposals. Information released on funded proposals shall be limited to an overall statement of work approved by the affected institutions.

(c) Pre-proposals and proposals submitted by investigators or their institutions shall not be available to persons or entities other than the submitting investigators or their institutions at any time, except that the copies of the project summaries of awarded research projects may be made available in a manner specified by the Coordinating Board.

(d) Reviews shall not be disclosed to persons or entities outside the Coordinating Board at any time, except that each individual investigator shall receive a copy of the reviews of his or her proposal with the names, affiliations, and any other identifying characteristics of the reviewers redacted.

(e) Only after the grant awards are complete, the names and affiliations of reviewers shall be released as a group without an identifying link to any grant application.

Comments

Source Note: The provisions of this §14.74 adopted to be effective March 2, 2003, 28 TexReg 1859; amended to be effective August 11, 2004, 29 TexReg 7673

§14.75: Appeals Procedure for Declined Applicants

(a) Only the chancellor or president of an eligible public or independent institution which retains a declined applicant for funds under any of the research funding programs may appeal a decision of declination to the Coordinating Board. Such an appeal must be made within 30 days after the date that the declination, including reviews, is made available to the applicant.

(b) The appealing claim should be in writing and should explain the specific reasons why the institution believes that the declination is unwarranted.

(c) The Chair of the Advisory Committee shall designate a panel consisting of at least three members to review appeals. The appeal panel will select its own chair. The appeal panel, in consultation with the original reviewers or members of the original peer review panel, shall determine whether the declination of the application was fair and reasonable, taking into account availability of funds, the rankings of other applications that have been recommended for continuation or funding in that research area, and the policies and priorities of the research funding programs and the Coordinating Board in addition to the reasons provided in the appealing claim.

(d) Within 30 days after the date of the appeal, the chair of the appeal panel shall provide in writing either the results of the determination as to the appeal claim or an explanation of the need for more time indicating the date when the results can be expected if results cannot be furnished within 30 days.

(e) The appeal panel shall make a recommendation to the Commissioner regarding the declination. The Commissioner shall inform the institution of the determination. If the appeal panel's decision overturns the declination, the Commissioner shall inform the institution of any deadlines regarding full proposal submission and review in the case of overturned pre-proposal declinations or the award amount and effective grant term in the case of overturned award declinations for full proposals.

(f) The decision made under this section is final.

Comments

Source Note: The provisions of this §14.75 adopted to be effective March 2, 2003, 28 TexReg 1859

§14.76: Funding and Grants

(a) Funding for the research funding programs are subject to Texas Education Code, §142.004 and §143.005.

(b) Limitations on the number of awards that an individual investigator may receive will be recommended by the Advisory Committee and published in the Program Announcements.

(c) Budgets recommended by a review panel may be adjusted to comply with Program Announcements. Budgets recommended by a review panel for a proposal that is in line for funding but has not yet been funded may be decreased to allow award of any remaining funds in the final stages of the funding assignment process.

(d) The Coordinating Board staff shall assign funding to all proposals in order of rank by review panels and the Advisory Committee until the money assigned to that research area allocation is depleted. However, no more than 70 percent of the funds in each of the research program and the technology program may be awarded to eligible institutions from The University of Texas System and the Texas A&M University System.

(e) There is no upper limit to the percentage of funds that can be awarded to eligible institutions outside of The University of Texas System and the Texas A&M University System.

(f) The Advisory Committee shall recommend research projects and allocation of funds to the Commissioner and the Board of the Coordinating Board.

(g) The Coordinating Board shall make the final selection of research projects and allocation of funds after considering the recommendations of the Commissioner and the Advisory Committee.

(h) Prior to expenditure of funds for any grant, the institution must have an approved budget on file with the Coordinating Board.

(i) The Coordinating Board shall work with the Comptroller of Public Accounts to ensure that grants funds are forwarded to the institutions in a timely manner. Funds for the selected awards at public institutions will be held on account with the Comptroller. Funds for independent institutions will be forwarded by warrant in quarterly payments after a contract between the Coordinating Board and the institution is fully executed.

(j) An eligible institution and its grant participants to be funded by any of the research funding programs are subject to grant conditions provided by the Coordinating Board.

Comments

Source Note: The provisions of this §14.76 adopted to be effective March 2, 2003, 28 TexReg 1859

§14.77: Progress Reports

(a) An institution funded by any of the research funding programs under this chapter shall report on the progress of the funded research to the Coordinating Board not later than the dates specified by the Coordinating Board.

(b) The due dates specified by the Coordinating Board for the progress reports are subject to Texas Education Code, §142.005 and §143.006.

(c) The progress reports shall be in the manner and format specified by the Coordinating Board and shall provide all requested information.

(d) The Coordinating Board shall report on the progress of active grants by annually posting information on the research funding programs' web site. Each year, the Coordinating Board shall notify the Governor and the Legislative Budget Board of the date and location of the posting.

Comments

Source Note: The provisions of this §14.77 adopted to be effective March 2, 2003, 28 TexReg 1859

§14.78: Merit Review

(a) The Coordinating Board shall appoint an external evaluation committee to evaluate the effectiveness of the research funding programs in the second year of each biennium.

(b) The external evaluation committee shall consist of nationally or internationally recognized experts with experience in the physical sciences, engineering, medicine, and Texas industry.

(c) The external evaluation committee will meet in Austin to discuss the research funding programs with representatives of the State government, institutional research offices, investigators, industry, the Advisory Committee, and the Coordinating Board research staff.

(d) A member of the external evaluation committee will present the committee's findings to the Coordinating Board.

Comments

Source Note: The provisions of this §14.78 adopted to be effective March 2, 2003, 28 TexReg 1859; amended to be effective August 11, 2004, 29 TexReg 7673

§14.79: Suspension and Termination of Funding

(a) A grant awarded under any of the research funding programs may be suspended or terminated in whole or in part after the Coordinating Board's finding that a funded institution or its grant participant has failed to perform suitably or failed to conform to grant conditions.

(b) A grant awarded under any of the research funding programs may be suspended or terminated in whole or in part after the Coordinating Board's finding that a funded institution or its grant participant has made a false statement in information submitted to the Coordinating Board.

(c) A grant awarded under any of the research funding programs may be suspended or terminated in whole or in part after the Coordinating Board's finding that a funded institution or its grant participant has engaged in any misconduct in science, engineering, and education, such as falsification, fabrication, and plagiarism.

(d) A grant awarded to an institution under any of the research funding programs may be terminated in whole or in part if all of the original investigator(s) leave the institution. However, if the original investigator(s) moves to another eligible institution, any remaining grant funds may be transferred to the new institution if the participating institutions and the Coordinating Board staff agree to the transfer.

(e) The Coordinating Board may require reimbursement of grant funds in whole or in part if a grant is suspended or terminated under subsections (a)-(c) of this section.

(f) Funds not expended or encumbered for purposes of the grant during the term of the grant shall be returned to the Coordinating Board.

Comments

Source Note: The provisions of this §14.79 adopted to be effective March 2, 2003, 28 TexReg 1859

Subchapter F

§14.91: Purpose

(a) The supplemental grants program is intended to provide research experiences to active science and mathematics teachers in Texas high schools.

(b) The supplemental grants program is established to enable such teachers to participate in existing research activities funded by the research program and the technology program under the mentorship of university scientists or engineers.

Comments

Source Note: The provisions of this §14.91 adopted to be effective March 2, 2003, 28 TexReg 1859

§14.92: Eligibility

(a) Institutions and their investigators that are currently receiving award grants under either the research program or the technology program are eligible to participate in the supplemental grants program.

(b) Each investigator who must be present to mentor the teachers during the grant period may have no more than one active supplemental grant at any given time.

(c) Teachers supported under the supplemental grants program must have a standard certificate to teach science or mathematics and must have a signed statement from a high school principal indicating that the school intends to offer the teacher a contract to teach full-time at a Texas high school during the academic year subsequent to the grant period.

(d) Teachers supported under the supplemental grants program must be qualified to make positive contributions to the goals of the research projects and must work full-time on the project for the grant period.

(e) Teachers supported under the supplemental grants program are not required to be students at the institution receiving the supplemental grants.

Comments

Source Note: The provisions of this §14.92 adopted to be effective March 2, 2003, 28 TexReg 1859

§14.93: Application and Review Procedure

(a) An application must be submitted in the manner and format specified by the Coordinating Board with all requested information included and attached.

(b) An application must be signed by the investigator and the teacher involved, and must be approved by responsible officials at the teacher's high school and the investigator's institution.

(c) The Coordinating Board shall review applications accepted during the period specified by the Coordinating Board in the order they are received.

(d) After review, the Coordinating Board will notify applying investigators within two weeks of its decision on applications.

Comments

Source Note: The provisions of this §14.93 adopted to be effective March 2, 2003, 28 TexReg 1859

§14.94: Grants and Grant Conditions

(a) Grant amounts will be in addition to the original award amounts granted under the research program or the technology program.

(b) Grants will be awarded on a first-come, first-served basis.

(c) The term of the grant will be four to nine contiguous weeks as designated in applications during the summer period that shall be specified by the Coordinating Board.

(d) Dollar amounts of awards are tied to the length of the research period proposed.

(e) The Coordinating Board shall determine the grant amounts and their use.

(f) The Coordinating Board reserves the right to terminate any grants under the supplemental grants program at any time.

Comments

Source Note: The provisions of this §14.94 adopted to be effective March 2, 2003, 28 TexReg 1859

§14.95: Reporting Requirements

(a) Principal investigators and teachers supported by the grants shall complete brief reports of activities conducted as a part of the research experience.

(b) Final expenditure reports from the institutions shall be required.

Comments

Source Note: The provisions of this §14.95 adopted to be effective March 2, 2003, 28 TexReg 1859