SACS Off-Site Committee Finding: 

3.10.5   The institution maintains financial control over externally funded or sponsored research and programs. 

___       Compliance
_X_      Non-compliance
___       Did not review 

Comments:   
Insufficient documentation related to review of compliance with policies and procedures. 

 

TTU Response:  

Documents that spell out the institutions financial control over externally funded or sponsored research and programs are collectively given in OPs 65.01 through 65.09 (http://www.depts.ttu.edu/opmanual/New.contents.links/65sponsored_programs__accounting_and_reporting.htm )  

Examples illustrating the institution’s financial control appear in OP 65.09, specifically items 1.a, and 2: 

 

The Office of Research Services (ORS) enforces university policies. 

All proposals to external sources are routed through the department chair or center or institute director and the ORS prior to submission. All proposals involving a commitment from the university are also routed through the appropriate dean's office. The form for this purpose is at http://www.ors.ttu.edu/Downloads/Route%20Revised%2010_19_2004.pdf

ORS reviews all budgets and proposal forms prior to submission. 

All grants and contracts from external sources are received through ORS.

ORS staff members review all grant and contract documents prior to accepting them on behalf of the university and conduct negotiations as necessary. ORS then prepares the request for operating budget and forwards it to the Budget Office along with any supporting documentation and approvals required by OP 65.09.  Expenditures are controlled through the institutional budgeting system. In order to revise a budget, account managers must contact ORS, which ensures that any changes comply with both sponsor and institutional policies. All personnel appointments and equipment purchases on sponsored project accounts require approval from ORS in addition to approvals required for state accounts. Accountants in Sponsored Programs Accounting and Reporting monitor expenditures and prepare invoices and financial reports. 

The organizational chart shows who the ORS and the office of Research, Technology Transfer, and Economic Development respond to the in the institution.  This chart is available on-line as well at http://www.depts.ttu.edu/vprgs/images/VOCnew.pdf :