College of Education, Texas Tech University

TEXAS TECH UNIVERSITY

COLLEGE OF EDUCATION

HANDBOOK

Last Updated September 30, 2006

Grant-Related Activities in the

COLLEGE OF Education

Policies

One of the main responsibilities of the faculty in the College of Education is the generation and dissemination of knowledge. In concert with the University goals, the College of Education strongly encourages faculty members to seek the means, both inside and outside of the University, to pursue their scholarship goals. Seeking external funding is an integral component of the faculty's responsibility to the College and University. Such activities are highly valued because grants provide the needed funds to accomplish goals or the solution of research problems and, further, provide external and internal recognition of quality scholarship among the faculty. Faculty members are strongly encouraged to become familiar with the University's and College's policies and procedures for grant-related activities. The College of Education has a commitment to support grant-seeking activities and will make every effort to provide time, equipment, space, materials, and other resources to those who are preparing grant proposals.

The following general principles or policies within the College of Education will guide the process of seeking and securing external funding:

Procedures

Faculty Buy-Out Time During Academic Year

Grant budgets should include sufficient salary and fringe benefits for COE-supported faculty to provide release time from teaching activities, typically referred to as "buy-out" time. This will assure that the principal investigator and other grant personnel have a dedicated amount of time to devote solely to carrying out project activities. To determine the time that needs to be devoted to a project, the grant writer should carefully determine (a) the outcomes of the project, (b) the tasks needed to achieve those outcomes within the allotted time frame, (c) the personnel needed to accomplish each task, (d) the percentage of time required of COE-supported faculty, (e) any rules or guidelines established by the granting agency.

Grant budgets must include 15% of a faculty member's salary and fringe benefits for each course to be "bought out" during a fall or spring "long" semester. For example, if a faculty member needs to be released from two courses per year to carry out project activities, then 30% of his or her nine-month salary and fringe benefits (that is, 15% for each course) would need to be generated from grant funds. Reductions in teaching load of one course per semester can be approved at the department level. Any reductions beyond that level are viewed as exceptional and will be reviewed on a case-by-case basis. Approval of the Dean is required for any reduction in teaching assignment beyond one course reduction per semester of the academic year. In addition to the principal investigator, similar decisions must be made if other regular faculty members will need reductions in teaching load.

It is imperative that discussions of potential buy-out time be discussed with program faculty early in the grant preparation phase. The program faculty will send a memorandum to the Department Chair explaining how receipt of the grant would impact the program, especially in regard to teaching. The Department Chair will consider this information in approving or disapproving the buy-out time. Such discussions should begin as early as possible, but no later than two weeks prior to the deadline for submission of the application. This will allow sufficient time for the Department Chair to talk with the principal investigator about possible adjunct faculty members to teach courses in place of project personnel. Working in conjunction with Program Coordinators, hiring adjunct faculty is the responsibility of the Department Chair.

Summer Salary

Grant funds should be included to cover the salary and fringe benefits for all of the time that project personnel need to devote to grant activities during the summer months (as allowable by the granting agency).

Salary Savings

Salary savings result when a COE-supported faculty member buys out a portion of his or her teaching time for grant-related activities. For example, if a faculty member makes $50,000 per year and buys out 30% time to devote to grant activities, he or she will generate a salary savings of $15,000. In such cases, the faculty member's unused salary remains in the College and can be used for other instructional purposes. Funds generated from salary savings are divided among the principal investigator(s), department, and College as follows:

In the example above, $4,500 of the $15,000 in salary savings would be returned to the principal investigator. The portion that is designated for the principal investigator(s) may be used in a number of ways, though generally to support salaries related to instruction. Salary savings may be used to provide:

After a grant award is received, the Associate Dean for Administration and Special Projects will send a memo to the principal investigator(s) that indicates the amount of salary savings generated for the current academic year. The principal investigator must then submit a proposal to the Department Chair on how the money is intended to be used. If approved by the Department Chair, the proposal will be forwarded as a recommendation to the Associate Dean for Graduate Education, Research, and Administration. Upon final approval, the principal investigator(s) will be notified in writing.

Contributed or Matching Funds

Some grants require that a certain percentage of the grant-related expenses be contributed or matched by the organization that will receive the grant. For example, if a grant competition requires a "50% match" for a $100,000 grant, the organization would have to contribute $50,000 to the project. Possible sources of matching funds include faculty salaries, HEAF funds for technology, local funds, and so forth. Because conditions vary from grant to grant, the Principal investigator should consult the Request for Proposals (RFP) or contact someone at the granting agency to determine what sources of funds are allowable as matching funds. The Texas Tech University Office of Research Services will also be able to provide some guidance in this area.

A faculty member does not have the authority to make a commitment for contributing funds to a grant project. Any contributed or matching funds must be recommended by the Department Chair and approved by the Dean or his or her designee. The amount of the contributed funds and the account(s) from which the funds will be taken must be specified and approved on the internal routing sheet before a grant application is submitted. The Department Chair and the Dean must determine the overall benefit of the project to the College and the impact on teaching loads and course coverage, as well as the benefit to the project personnel involved, in making a decision about whether to approve contributed or matching funds. Such discussions should begin as early as possible in the grant-preparation phase, but no later than two weeks prior to the deadline for submission of the application.

Indirect Costs

Indirect costs typically are included in grant budgets to help the organization recoup the expenses of operating grant projects, such as office space, utilities, grant administration services, and so forth. These costs are called Administrative and Facilities Costs (or F&A) at Texas Tech. The University has fixed indirect costs for on-campus projects (46.5% of the total direct budget in 2005-06) and for off-campus projects (25% of the total direct budget in 2005-06).

Mandatory reductions. Most granting organizations place a limit on the amount of indirect costs that can be requested. For example, the U.S. Department of Education allows only 8% indirect costs on the modified total budget (that is, the total of all budget categories except stipends or scholarships for students) for personnel preparation grants. When such restrictions are placed on indirect costs by the granting organization, Texas Tech considers this a mandatory reduction. While some indirect costs are not recovered by the grant project, the University typically will allow such grant proposals to be submitted even when there are modified reductions. Such mandatory reductions should be noted on the internal routing sheet under "Special Comments."

Voluntary reductions. A voluntary reduction is one in which the principal investigator requests a lower indirect cost rate than the maximum rate allowable by the granting organization. Although voluntary reductions typically are not permitted by the University, they may be requested when extraordinary circumstances exist. To request a voluntary reduction, the principal investigator must initially discuss the need and rationale for such a reduction with the Department Chair and the Dean. If they agree that special circumstances exist that make a voluntary reduction appropriate, a request will be submitted to the Office of Research Services (ORS) for approval. ORS will either support or deny the request for a voluntary reduction. If the request is approved, the principal investigator is then free to include the agreed upon amount of indirect costs. If not approved, the College may elect to approve the voluntary reduction but will be penalized when the University returns portions of the total indirect costs from grants to the College.

If a principal investigator is considering a request for any voluntary reduction in the indirect cost rate, he or she should discuss the situation as soon as possible in the grant-preparation phase with the Department Chair and the Dean (or the Dean's designee). Such discussions should begin no later than two weeks prior to the deadline for submission of the application.

Portion returned to the College. As indicated above, the University returns a portion of the total amount of indirect costs for all grant projects in the College each year. The purpose of these monies is to stimulate further research and scholarship in the College. The College of Education divides this money as follows:

50% is given to the principal investigator,
25% is given to the department,
25% is kept at the College level.

The portion returned to the principal investigator must be spent to support research activities, such as travel, research assistantship salaries, copying charges, independent contractor fees, materials, and software. There is more flexibility in using this money, in contrast to the use of salary savings , which is quite restricted since it can only be used to pay for summer salary or to support graduate assistants.

The Associate Dean for Graduate Education, Research, and Administration will notify the principal investigator in writing of the amount that he or she is receiving from indirect costs. This letter will also specify the types of expenditures that can be made, the process to follow in using the money, and the deadline for finalizing all expenditures.

Budget Preparation Procedures

Principal investigators should consider the above procedures in preparing a budget for a grant proposal. Given the complexities of preparing budgets, principal investigators should contact the Office of Resource Development and Public Relations for assistance early in the grant preparation process. Multiple drafts of budgets are generally needed, so the Assistant Dean for Resource Development and Public Relations will be able to submit the initial draft for review as early as possible. The budget should be approved by the Office of Research Services prior to beginning the internal routing procedure (see later section).

Principal investigators should follow the specific guidelines and complete budget forms as provided by the funding agency. As a general guide, the budget should be based on the scope of work that is being proposed in the grant. Grant reviewers look for a close match between the budget and the stated goals, objectives, and activities of the project, and any mismatches will not be judged favorably. Following are some general procedures to follow in preparing a grant budget:

Check with the funding agency or the Request for Proposals (RFP) to determine whether there are any restrictions on what can and cannot be included in the budget and whether matching or contributed funds are required.
Calculate the buy-out time for faculty salaries on the faculty member's current nine-month base pay plus 5% annually for subsequent years in a multiyear project. The 5% addition will allow for the possibility of a pay increase for the following academic year, though including this amount in no way provides assurance that such an increase will actually occur.
Calculate fringe benefits on the actual rates now in effect for current faculty members plus 5% annually to allow for possible increases during subsequent years in a multi-year project. For any project staff who are not currently employed at Texas Tech, use the formulas provided by the University. Check with the Office of Resource Development to ascertain current fringe benefits rates or calculation formulas.
Provide separate budget figures in the budget narrative for academic-year salaries and for summer salaries . This will facilitate the calculation of salary savings (see prior section).
Include increases of approximately 5% each year for subsequent years in a multi-year grant project for salaries and fringe benefits and, where appropriate, other areas of the budget.
Check with the funding agency, the RFP, or the Office of Research Services to determine the amount that can be requested for Facilities and Administrative charges.

Multiple Grant Submissions by Same Principal Investigator

When submitting multiple proposals, the principal investigator must discuss each one with program-area faculty and how receipt of each grant would impact the program, especially in regard to teaching. The program will send a memorandum to the Department Chair explaining the potential impact of receipt of the grants on program activities. The Department Chair will gather information from the principal investigator on, and consider the likelihood of, receiving multiple awards (that is, the probable "hit rate" for receiving grant awards), the resulting impact on the professor's teaching schedule, the potential to hire adjunct faculty members to teach courses, the program's recommendation, and other factors in approving or disapproving the submission of multiple proposals, such as funding necessary to adequately cover the breadth and depth of a faculty member's responsibilities. Such discussions with the Department Chair should begin as early as possible, but no later than two weeks prior to the deadline for submission of each application.

If the principal investigator receives multiple awards that exceed the allowable buy-out time, then it will be incumbent on him or her to discuss this matter with the Department Chair, Dean, and personnel from the Office of Research Services before the University will accept such grants. If any revisions are necessary that differ from the original grant proposal, such negotiations will occur internally among the principal investigator, Department Chair, and the Dean and then will be conveyed to personnel in the Office of Research Services. ORS will then engage in the official negotiations with the granting agency.

Application Approval by and Credit for Project Participants

In preparing a grant proposal, all individuals who are named as key project personnel in the proposed project should have the opportunity to provide input into the written application and to approve its contents. While there is no official "sign-off" procedure in this regard, the College will assume that such approvals have been gained prior to circulating the internal routing sheet (see next section). Also, to assure that all individuals who contribute to writing a grant proposal receive appropriate credit, the principal investigator should note these contributions in a memorandum to the Department Chair(s). Regardless of whether proposals are funded, COE faculty members are encouraged to mention their grant activities in their annual reports.

Internal Routing Procedures

The University requires that all grant applications be approved by the department, College, and Office of Research Services before they can be submitted. A standard routing form is used by Texas Tech University to provide basic information about the proposed projects, any special circumstances under consideration, and the source of funds for any contributed or matching costs. Forms are available online via the ORS website at www.ors.ttu.edu . The Office of Resource Development will prepare the internal routing sheet if the researcher wishes.

Since an approved budget is required before any signatures can be requested, a budget should be discussed with the Department Chair and Associate Dean for Graduate Education, Research and Administration, then submitted to the Office of Research Services as early as possible in the grant writing process, but no later than two weeks prior to the deadline for submitting the grant. Because submission deadlines vary according to the type of grant, principal investigators should verify well in advance whether the deadline refers to when the proposal needs to be postmarked or delivered to the funding agency.

Once the approved budget, application narrative, and internal routing sheet are finalized, the Office of Resource Development and Public Relations will first gain approval and a signature from the Department Chair and then from the Dean (or his or her designee). This should occur no later than three days prior to the deadline date. The Office of Resource Development and Public Relations will make copies for the Office of Graduate Education, Research, and Administration, principal investigator and one for the Office of Resource Development and Public Relations. The Office of Graduate Education, Research, and Administration will then make one copy of the completed application for its records and will submit the original to the Office of Research Services. This should occur no later than two days prior to the deadline date.

Graduate Assistant Waivers

Proposed budgets for grants that include salaries for research assistants, teaching assistants, graduate assistants, or graduate part-time instructors must include an additional amount per semester to cover the cost of Graduate Assistant waivers. At present, the Graduate Student Tuition/Fee Assistance Program is used to waive Institutional Tuition, Student Services Fee, Information Technology Fee, Library Fee, University Center Fee, Recreation Center Construction Fee, and Course Fees, among others. This program results in a substantial savings for graduate students, but the additional costs must be borne by the grant budget. As part of preparing the budget, the principal investigator should contact the Office of Resource Development to ascertain the estimated amount that should be included to cover the cost of the fee waivers.

Disclosure Statements

The State of Texas requires that the principal investigators complete a disclosure statement for each completed grant application and funded project. The purpose of such statements is to identify whether the principal investigator or anyone in his or her immediate family will benefit financially from a funded project. If no significant financial interest exists, a negative disclosure statement is completed. If a significant financial interest exists, then the positive disclosure statement will be completed.

Disclosure statements will be provided by the Office of Resource Development and Public Relations. These statements will be completed and signed first by the principal investigator. Then the statements are forwarded to the Department Chair and Associate Dean for Graduate Education, Research and Administration for final approvals. For positive disclosures, an additional level of review is required. Executed disclosure statements are kept on file in the Office of Resource Development and Public Relations and are subject to review by auditors from the University and from the State of Texas .

Human Subjects Approval

The University and many granting agencies require that grant proposals involving research with human subjects gain approval from the Committee for the Protection of Human Subjects prior to or as part of the grant application process. Depending on the nature of the research and the characteristics of the research participants, principal investigators can file a claim for exemption from review, an expedited review, or a full review. Forms and guidelines for each type of review are available online at www.ors.ttu.edu . If unsure of whether a project is considered "research" or which type of review to request, the principal investigator is encouraged to discuss these matters with the Associate Dean for Graduate Education, Research and Administration and/or a member of the Committee for the Protection of Human Subjects.

A completed human-subjects application is first signed by the principal investigator. Then the application is reviewed, approved, and signed by the Department Chair.

Finally, it is submitted to the Office of Research Services, which in turn forwards it to the Committee. The process of gaining approval may take several weeks, so principal investigators are encouraged to complete this process early in the grant-preparation phase. The Committee requires a minimum of 10 business days to complete the review, and the process may take considerably longer depending on the complexity of the Research process. Research activities involving human subjects may not begin until all University approvals have been secured.

Allocation of Space for Grant-related Personnel and Activities

As part of the grant-writing process, the principal investigator should delineate requirements for additional space (that is, other than assigned faculty office space) to house grant-related personnel and grant activities. These space requirements should be discussed with the Department Chair and the Associate Dean for Graduate Education, Research and Administration. Also, a concise summary of the space requirements should be included in the Special Comments box on the ORS Internal Routing sheet. In approving or disapproving the request for additional space, the Associate Dean for Graduate Education, Research and Administration will consider the overall space needs of the College and the potential benefits of the proposed project. As part of the signature-approval process for the proposal, the Associate Dean for Graduate Education, Research and Administrations will approve the space requirements request by placing his or her initial next to the summary in the Special Comments box. If not approved, then the principal investigator must explore other options for housing project personnel and grant activities before the proposal will be forwarded to the Office of Research Services. Discussions regarding space requirements should begin as early as possible in the grant-preparation phase but no later than two weeks prior to the deadline for submission of the application.

Proposals and Requests to Private Foundations

Grant proposals that are submitted to private foundations (other than gifts to the College or University) must adhere to the same procedures as for other proposals, as outlined in the above policies. However, an additional, initial step must be addressed. Prior to any contact with the foundation, a form must be submitted to the University via the College of Education Office of Resource Development and Public Relations that requests approval to approach the foundation or to submit a proposal. There are no exceptions to this rule. This internal approval process should begin as early as possible (three to six months is advisable), but no later than three weeks prior to the deadline for submission of the application. Forms are available from the COE Office of Resource Development and Public Relations and must be submitted in their original, triplicate format (i.e., a photocopy of the form is not permitted). Once approved by officials in the College of Education , the form will be forwarded to the Office of Resource Development and Public Relations. The Office of Resource Development and Public Relations will act on the request and will notify the individual who made the request either by phone, mail, or e-mail. If approval is granted, then the faculty member may proceed with the grant-writing process, following the procedures cited above. The purpose of funneling all potential requests through the Office of Resource Development and Public Relations (since this involves a coordinated effort with other development offices on campus) is to avoid the simultaneous submission of multiple grants to the same foundation; such multiple submissions may result in all funding requests from the University being denied. Therefore, it is imperative that the principal investigator follow the established approval process before making any contact or submitting a proposal to a private foundation.

GRANT ACCOUNT INVENTORY

EXTERNAL GRANTS : All external grants are agreements made between the granting agency and Texas Tech, not between the granting agency and the principal investigator (PI). In the written agreement, it will stipulate who will own the equipment and other materials purchased on the grant. If it specifies that ownership be given to Texas Tech, the equipment and materials remain behind at the institution if/when the PI leaves. However, sometimes the agency will stipulate in the agreement that the PI owns the materials and equipment. In that case, if the PI or anyone else who has the equipment leaves, they may take the equipment or materials with them. Failure to leave the equipment, etc., behind when a person leaves results in the filing of an IRS form by Texas Tech to count all books, computers, video tapes, etc., as taxable income in that year.

TEXAS TECH ACCOUNTS :

Professional Development money : If books are purchased with this money, they belong to the faculty member. This does not apply to equipment, however, unless it is more than three years old.

All other purchases: Any books, equipment, or other non-consumable materials purchased with Texas Tech money for instruction, research, etc., which are no more than three years old are property of Texas Tech. Equipment with a Texas Tech identification tag belongs to Texas Tech regardless of the age of the equipment. Therefore, if a faculty member leaves, he or she is expected to leave behind all books, equipment, or other non-consumable materials purchased by Texas Tech for instruction, research, etc. They are, thus, not considered the property of the faculty member. Faculty members should leave these materials in their offices or give them to their Department Chair. Failure to leave the books, etc., behind also results in the filing of an IRS form by Texas Tech to count the books, etc., as taxable income. If a faculty member has questions about which books were bought by the TTU account, the Dean's Office has this list and can provide it.