VICE-PRESIDENT FOR RESEARCH & TECH TRANSFER
COLORADO SCHOOL OF MINES
FROM: John Poate
DATE: 24 September 2008
COPY: Ralph Brown, John Speer
SUBJ: Contracts without proposals
Recently we have experienced an increase in the number of research contracts received that do
not have an approved proposal on file in the Office of Research Administration. Please be re-
minded that all awards that CSM receives must have an official CSM proposal on file in ORA,
complete with all required signatures. Proposals must be submitted through ORA for all requests
for external funds, including subcontracts and extensions to existing contracts. In the case where
CSM is a subcontractor this may be as simple as a scope of work and budget, but it must be in
place before ORA will process the contract. There are several reasons for this requirement.
The proposal is an integral part of the contract. All parties must agree upon the work that
will be performed prior to contracting for that work.
Faculty members may incur personal liability if they agree (verbally or in writing) to con-
tractual terms and conditions that are not acceptable to the School or the State.
Work that has begun prior to execution of a contract is at the school’s risk.
It is a potential embarrassment and requires extra time if the terms and conditions of the
award must be negotiated after a contract has been received. Those problems may be
avoided by reviewing and addressing them in the proposal.
Submission of proposals allows ORA to record and track all of the proposals that CSM
submits. This enables the ORA proposal summary to reflect department activities more
accurately and ensures that departments will get full credit for their proposal activity.
Beginning immediately, ORA has been instructed that any contracts which do not have proposals
on file are to be forwarded to the VPRTT for review before ORA begins their processing. The
best way to avoid delays is to ensure that an approved proposal is on file before the sponsor
sends a contract.