Texas Tech University

Research Guidelines

Proposal Initiation, Development, and Processing

Date of Last Review:

September 2009


Specify procedural steps necessary in initiating, developing, and processing a research proposal. To allow sufficient time for soliciting assistance and review by appropriate departmental, college, and university representatives, grant proposal submissions require advance planning.


This OP will be reviewed by May 1 of each year by the CoHS Research Committee with recommendations for revision presented to the Dean of the CoHS.


All CoHS research and sponsored-project proposals will be routed through the researcher's Department Chairperson, CoHS Assistant Dean for Research, and the Office of Research Services (ORS) prior to submission to the funding source. If the proposal is being submitted to a foundation or corporation, it must also be routed through the CoHS Office of Corporate and Foundation Relations within the TTU Office of Development. Proposals not routed through the appropriate channels may not be honored by TTU, and Principal Investigators (PIs) will not receive credit for the submission either by the university or college. This policy will apply regardless of the mechanism of submission, i.e., mail delivery or web-based submission. TTU Ops 74.01 through 74.10 provide additional information regarding TTU research policies and procedures.


  1. Faculty planning to submit a grant proposal may receive feedback from the CoHS Grant Review Team prior to submission. See the procedures outlined in the OP “CoHS Grant Review Team.”
  2. Projects involving human or animal subjects, recombinant DNA, or radioactive material must initiate the Institutional Review Board (IRB) evaluation process (OP 74.09) by completing the appropriate forms prior to the submission of a proposal to ORS. The IRB evaluation must be completed prior to the start of a research project and expenditure of any program funds. IRB forms are reviewed and signed by the Assistant Dean for Research. Please submit your IRB forms to the Dean's office at least two working days before the proposal is due.
  3. All proposals submitted to ORS must include a completed and signed Internal Routing Form. The Department Chairperson's signature on the routing form signifies the appropriate Department Chairperson(s) have reviewed and approved the completed proposal and all its contents. Completion of this form is the only mechanism for obtaining institutional credit for proposal submission. Department Chairpersons also need to stamp the routing form and assign a departmental number.
  4. To comply with new university processes of Cost Sharing, if proposals include a cost sharing commitment, Department Chairpersons need to maintain a copy of the Internal Routing Form for their records. This will be used to reconcile budget revisions after funding is received.
  5. After the PI, CO-PIs, and Department Chairperson (s) have signed the Internal Routing Form and have assigned a departmental number, the PI should deliver the form, along with a complete proposal that includes a budget to the Assistant Dean for Research (ADR) for review. A minimum of two working days should be allowed for this review.
  6. All proposal budgets must include the required Facilities and Administration (F & A) Costs of 46.5% of modified total direct charges for on-campus projects and 26% of modified total direct charges for off-campus projects unless the funding agency limits or disallows F & A costs. If the funding source limits the F & A rates, a Request for Discounted F & A Form must be completed, and a copy of the grant guidelines, policy statement, or letter from the funding agency stating the F & A limits must be attached.
  7. Each faculty and staff member listed on a proposal as a PI or Co-PI must have a current Financial Interest Disclosure Form (Positive or Negative) on file with the CoHS ADR. Disclosure forms are valid for one academic year. All faculty are expected to complete a disclosure form by September 1 of each academic year
  8. Once the ADR has signed the Institutional Routing Sheet, the complete proposal and all related forms will be returned to the PI for delivery to ORS. ORS will submit the proposal to the funding source once it has been signed by the Senior Vice President (VP) for Research. The Senior VP for Research or his designee is the University's “Authorizing Official” for sponsored project purposes.

Forms Used