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1.
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BASIC PRINCIPLES GOVERNING EXTERNALLY FUNDED GRANTS AND CONTRACTS
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1.1
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Externally funded grants and contracts must be related to the
mission of Texas A&M University-Corpus Christi.
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1.2
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The University must provide for an appropriate balance between
grant and contract activity and instruction. Each academic department
will be responsible for accomplishing university goals for teaching,
scholarship, and service; however, individual faculty members will
not be required to have identical commitments to teaching, scholarship,
and service. Within a department, some faculty members might contribute
greater effort to research than others whose efforts are directed
to teaching or service. Such diversity is appropriate so long as
the department is holistically accomplishing university goals in
the three areas of teaching, scholarly activity, and service. To
ensure that these goals are met and that faculty assignments are
equitable and reasonable, academic departments will follow the
guidelines regarding contributions to teaching, scholarship, and
service in these University documents:
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12.03.99.C1
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Faculty Workload
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12.03.99.C1.01
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Assignment of Faculty Workload Credit
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12.01.99.C1.04
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Descriptions of Teaching, Scholarship and Service
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1.3
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The researcher's freedom to investigate and report results will
be preserved and championed.
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1.4
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Continuity of support for general institutional activities will
not be endangered by acquisition of research grants and contracts.
That Texas A&M University-Corpus Christi maintains control
over research and instruction will not be altered by support from
outside agencies. Grants and contract timelines must be clearly
delineated by the funding agency. Texas A&M University-Corpus
Christi will not become dependent upon indirect cost allowances
from grants and contracts to support its regular academic program
operating budget.
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2.
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DEFINITIONS
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2.1
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Research refers to scholarly or scientific investigation or inquiry.
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2.2
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Scholarship is defined in 12.01.99.C1.04, Descriptions
of Teaching, Scholarship, and Service.
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2.3
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Sponsored agreements, as explained in System Regulation
15.01.01, are projects and activities that are supported (in whole
or part) with funds, materials, or other resources provided by
sources outside the System. Sponsored agreements are included in
the major functions of an institution in a variety of ways. Examples
include sponsored instructional and training activities; research
activities; other sponsored activities, such as public health projects
and community service projects; and other institutional activities,
such as the operation of various auxiliary enterprises. Details
are provided in System Regulation 15.01.01.
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2.4
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Major types of sponsored agreements include contracts, grants,
and cooperative agreements.
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(1)
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Contract - an award by a sponsor to procure goods
or services (including research) needed by the sponsor. System
Regulation 15.01.01 describes various types of contracts.
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(2)
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Grant - an award of financial assistance to accomplish
a public purpose. Grants may be in the form of cash or property.
The cash or property is designated by the grantor to be used
for a specific educational, research, or extension project
or activity, thus serving a specific interest or objective
of the grantor. System Regulation 15.01.01 describes various
types of grants.
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(3)
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Cooperative Agreement - an award of financial assistance,
similar to a grant, except that “substantial involvement” is
anticipated between the awarding agency and the recipient
during performance of the project or activity. “Substantial
involvement” means that the recipient can expect programmatic
collaboration or participation from the awarding party in
the management of the award. Cooperative agreements awarded
by federal agencies are usually subject to the same administrative
requirements as grants.
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3.
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ADMINISTRATION AND OVERSIGHT
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3.1
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The University has a formal agreement with the Texas A&M Research
Foundation (TAMRF) to administer a variety of federally sponsored
programs on behalf of the University.
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3.2
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Sponsored programs may also go through the University's Office
of University Research and Sponsored Programs or other organizations
(e.g. TEES, TAES). Such programs must have the prior review and
approval of the Dean of Graduate Studies and Associate Vice President
for Research and Scholarly Activity.
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3.3
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The Dean of Graduate Studies and Associate Vice President for
Research and Scholarly Activity supervises the Office of University
Research and Sponsored Programs, oversees pre-award grant and contract
functions, and provides support for the University's federal initiatives.
He/she monitors university sponsored research and research conducted
through TAMRF and other agencies such as TEES and TAES. In addition,
he/she will help to ensure that externally funded grants and contracts
relate to the stated mission of the University and are administered
in accordance with the basic principles stated earlier and in accordance
with System policies and regulations. The Dean of Graduate Studies
and Associate Vice President for Research and Scholarly Activity
will provide an annual report on grants and contracts to the Provost
and Vice President for Academic Affairs. The Provost will provide
copies of the report to the President and the other members of
the President’s Cabinet.
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3.4 |
The University is responsible for the fiscal reports
to the sponsoring agencies, unless TAMRF administers the grant. |
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4.
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COMPENSATION OF FACULTY AND STAFF
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4.1
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Governing Policy
Compensation of faculty and staff members who participate in
sponsored research and other sponsored agreements is governed
by System Policy
31.01, Compensation.
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4.2
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Salary Funded in Accordance with Portion of Time Spent on Duties
As stated in System Regulation 31.01.01, Compensation Administration,
the base salary of a full-time employee shall not be increased by virtue
of funding from a grant or contract. In such cases, the salary will be
funded in accordance with the portion of time spent on assigned duties.
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4.3
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Temporary Overload Due to External Funding
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4.3.1 |
Faculty may be compensated for an overload if the overload
is temporary as a result of notification and receipt of a “Sponsored
Programs” grant or contract and if the teaching or other assignments
are such that they cannot be managed by another mechanism. A temporary
salary supplement for such an overload must be approved in writing
by the Associate Vice President for Research and Scholarly Activity.
If a temporary salary supplement is allowed, it is anticipated that
teaching assignments will be adjusted in the following semester to
avoid continuation of an overload. |
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4.3.2 |
The rate of pay for an overload will be based on the
grant/contract awardee’s base salary. Payment for an overload will
not change the base salary. The supplement to the salary will normally
be up to a limit of 20% of the salary. Extenuating circumstances
for variance from the 20% will require a special appeal to the Provost. |
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4.3.3 |
The compensation, if appropriate, may be awarded during
the summer session. |
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4.3.4 |
Compensation from grant/contract funding must be consistent
with sponsor criteria. |
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4.4
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Summer Salary from Grant and Contract Funds
The rate of salary paid an employee during a summer session from grant
and contract funds will not exceed the salary rate paid the employee
for the same or similar services during the preceding long session. (See
System Regulation 31.01.01.)
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4.5 |
Internal Faculty Consulting and Professional
Services
System Regulation 33.99.07, Internal Faculty Consulting and
Professional Services, defines compensable internal consulting
and professional services and describes the limited circumstances
under which such employment may be permitted. Requests to engage
in compensable internal consulting and professional services
must be approved in advance by the dean or agency director of
both the consultant and the unit receiving the consulting or
professional services. Any exception to these provisions requires
the advance approval of the President. Compensation for internal
consulting and professional services will be at the hourly equivalent
of the individual's regular salary. Please see the regulation
for additional details regarding compensation and approval of
requests to engage in compensable internal consulting and professional
services.
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5.
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RELATED POLICIES, REGULATIONS, AND PROCEDURES
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5.1
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Individuals engaged in externally funded grants and contracts
must comply with all relevant Federal and State laws regarding
sponsored research. They must also follow System policies and regulations
on research and related topics, and the procedures of the Texas
A&M Research Foundation, when applicable. Among the relevant
System policies and regulations are the following:
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15.01
15.01.01
15.01.02
15.01.03
15.99.02
15.99.03
15.99.04
17.02
17.02.0
25.07
25.07.01
25.99.03
31.0
31.01.01
31.05
31.05.01
33.04.01
33.99.07
33.99.10
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Research Agreements
Administration of Sponsored Programs--Research and Other
Federal Procurement Integrity Act
Conflict of Interest in the Design, Conduct and Reporting of Sponsored
Research and Educational Activities
Classified Information
Ethics in Research and Scholarship
State Review of Federal Grants and Loans
Patents
Management of Intellectual Property
Contract Administration
Contract Administration Procedures and Delegations
Contracting for External Consultants and Professional Services
Compensation
Compensation Administration
External Employment and Expert Witness
Faculty Consulting, External Employment, and Conflicts of Interest
Use of System Resources for Outside Professional Activities
Internal Faculty Consulting and Professional Services
Personnel Employed on Contracts with Texas A&M Research Foundation |
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5.2 |
University rules and procedures dealing with research
include the following: |
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| 15.01.01.C1.01 |
Administration of Research Enhancement Program |
| 15.99.01.C1.01 |
Assurance of Protection of Human Research Subjects |
| 15.99.03.C1 |
Ethics in Research and Scholarship |
| 15.99.99.C1.01 |
Institutional Animal Care and Use Committee |
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| Contact for Interpretation: Provost and Vice President
for Academic Affairs |