GUIDELINES AND PROCEDURES
FOR
INTERNAL ROUTING FOR EXTERNAL SPONSORED PROJECTS

INTRODUCTION

Login External Grant Proposal Information

External Proposal Routing Form

One of the aims of the Texas A&M University-Commerce Administration is to promote and aid the accomplishment of that part of its mission which relates to advancing knowledge and contributing to the welfare of the State by accepting funds and entering into agreements with external agencies for research and training. This is done, however, only when: (1) such projects provide faculty or staff members with the opportunity to gain experience and knowledge of value to their teaching and research; (2) the project is a suitable activity through which the faculty or staff members may make worthy contributions to knowledge; (3) the project will complement the University's teaching and research aims; (4) the project will not deny the researcher or the institution control over research and instruction; or (5) an appropriate public service is performed.

The University encourages faculty and staff members, individually or in groups, to seek outside support for research that will contribute to basic knowledge; however, the initiative for undertaking research and the primary responsibility for managing these projects lies with the principal investigator(s). Any faculty, administrator, or staff member may initiate a proposal and accept responsibility for the resulting activity. The University is committed to protecting a researcher's freedom to investigate and report the results of such investigation in an appropriate manner.

All grants of funds for research, training, and other activities are grants to the University and commitments made are commitments of the institution. Formal agreements may be entered into only by the President or the President's designated representative.

PREPARATION OF THE PROPOSAL

The individual serving as principal investigator or director for a project is responsible for preparation of the proposal. Such proposals must be in keeping with both University policies and the guidelines supplied by the anticipated supporting agency. The following information must be supplied for all requests, even if such information is not called for in the agency's proposal:

1. Project objectives,
2. Methods or activity to achieve the objectives,
3. The role of each individual or position involved in the project,
4. All released time and how it will be funded,
5. Identification of all operating costs,
6. Clear delineation of all obligations of the agency and the university.

f this information is not required by the agency it will be provided on supplemental sheets that will remain with the internal approval sheet and not be forwarded. When questions arise either in preparation of a proposal for external support or in seeking prospective supporting funds for a proposal, early consultation with the Grant Coordinator, Grant Accountant, Department Head, College Dean or Division Head, and Dean of Graduate Studies and Research is encouraged.

GUIDELINES FOR PROCESSING EXTERNAL GRANT PROPOSALS

To assure that the University can meet the provisions of the proposal, the principal investigator must complete the forms, Internal Routing Form for External Sponsored Projects (see www.tamu-commerce.edu/gradschool/research/rtf/EPI.pdf) furnished by the Dean of Graduate Studies and Research. Completion of the form assures that every proposal for external support has received approval from appropriate University officials before it is forwarded to the funding agency. Proposals must be submitted to the Dean of Graduate Studies and Research at least four work days (96 hours) before the mailing deadline. This time frame is needed for proper review and to make changes that might be necessary. No proposal for external support should be forwarded to a funding agency before receiving review and approval through channels indicated below:

Review and Approval Process

ach proposal for external support shall be reviewed in a timely manner by each of the following: the Principal Investigator, Grants Accountant, Department Head, College Dean or Division Head, Vice President for Business Administration, Dean of Graduate Studies and Research, and appropriate Vice President. The responsibilities of these individuals are as follows:

1) The Principal Investigator or Project Director will review all grant proposals to assure correctness in the narrative, the budget, the format, and to assure that the proposal conforms to the funding agency's guidelines (RFP); assure that the proposal narrative has been properly developed using standard English, appropriate sentence structure, and correct spelling; assure that the typing and formatting is are of excellent quality; check all budget figures for accuracy; assure that cost sharing is appropriate and that matching funds and other binding commitments conform to University Procedures (A15.03).

2) The Department Head shall review the proposal to assure that faculty and/or support staff time commitments are reasonable and compatible with present and planned departmental workloads; determine that the percentages of time and the salaries are accurate; agree that the space, facility, and service requirements are within the department's present and planned resource capability; and determine that the content of the proposal will promote the reputation of the department and the University and be judged by colleagues as a meritorious, thoroughly edited, and quality document.

3) The Grants Accountant shall scrutinize budget matters, determine that the salaries and fringe benefits are accurate; check the indirect cost for accuracy; and ensure that cost sharing and the requested support are available and appropriate.

4) The College Dean or division head shall review the proposal for completeness and assure that space, service, and support requirements have been adequately provided for; and concur that the project budget, salary rates, job titles, and classifications are reasonable and appropriate.

5) The Vice President for Business Administration shall review the proposal to certify that the proposed budget complies with all applicable laws and regulations and all requested business Administration support services are appropriate and applicable.

6) After approval from the Vice President for Business Administration, the proposal will be forwarded to the Dean of Graduate Studies and Research for approval. In addition, the Dean will maintain the official University file of the proposal and assure that all correspondence, reports, and other related materials are part of that file. It will be the responsibility of the Graduate Dean to obtain the remaining signatures (i.e., Provost & VPAA).

7) The appropriate Vice President will review the proposal to finally assure that all aspects of the requested institutional support are available and appropriate.

8) Return the signature proposal and routing form back to the Office of Graduate Studies and Research for mailing. The Office of Graduate Studies and Research is responsible for mailing the proposal to the funding agency.

NEGOTIATIONS

In the event the originally proposed budget must be revised, such negotiations will be coordinated by the Dean of Graduate Studies and Research and will involve the principal investigator and business manager and may involve the principal investigator's department head and college dean or division head. The negotiated agreement shall be approved by the President.

ADMINISTRATION OF APPROVED PROJECTS

Principal Investigator. The receipt of funding from outside sources means that the principal investigator takes on a series of administrative duties related to project coordination, accounting, purchasing, personnel, etc. The University and the supporting agencies generally assume that the principal investigator, operating within the policies of the University and assisted by appropriate University administrative offices and officials, is responsible for the day-to-day administration and direction of an approved project.

The principal investigator will retain a copy of the grant proposal for reference. In order to discharge effectively the primary responsibility, the principal investigator should be cognizant of all contract or grant provisions and give special attention to those pertaining to budget limitations, patents and copyrights, safety and security, and for complying with all report requirements and filing deadlines as specified by the supporting agency and the University.

It is expected that the principal investigator will maintain close liaison with the department head, college dean or division head, and The Office of Graduate Studies and Research in order to apprise them of developments requiring deviation from the initial budget or from other terms and conditions of the approved grant. Those individuals must be furnished copies of all administrative correspondence between the principal investigator and the supporting agency, especially those concerning deviations of the type noted above.

The Dean of Graduate Studies and Research should be notified by the principal investigator when all grant funds are expended. After the conclusion of the grant, a final report will be submitted, the account will be closed out, and the project file finalized.

While the University officials from department head through vice president have oversight responsibilities for successful grant implementation, the nature of research and training is such that the success of the venture ultimately rests with the principal investigator.

Department Head. The department head has general responsibility for seeing that the principal investigator is carrying out the basic requirements of the grant and that the faculty, staff, and facility commitments made in the proposal are being met. The department head shall monitor the grant activities by any means considered appropriate. If the department head feels that the principal investigator is not meeting the grant obligations and/or institutional commitments are not being met, the college dean or division head and Dean of Graduate Studies and Research should be informed. If the department head is the principal investigator, then the college dean or division head will assume the first level of oversight responsibility.

College Dean or Division Head. The college dean or division head shall check at least quarterly with the principal investigator or the department head to see if the grant activity is proceeding as planned.

Grant Accountant. It is the responsibility of the grant accountant to monitor the account to assure there are adequate funds to cover University expenses, and to assure that expenditures are in compliance with grant guidelines. Any expenditure which might be questionable should be called to the attention of the Dean of Graduate Studies and Research, department head, college dean or division head, and appropriate vice president so that necessary action can be taken.

Dean of Graduate Studies and Research. The Dean of Graduate Studies and Research shall facilitate the distribution of indirect cost funds and the Business Office shall disburse the approved expenditures.