9.02 / Pre-Award and Post-Award Services

  1. Policy

    The Office of Research and Technology Transfer (RTT) through established contacts with governmental agencies, private foundations and professional associations maintains an extensive library of current information on funding sources. Information is provided to faculty members and administrators about (1) current sources of program support, both public and private, (2) project guidelines, (3) existing programs and deadlines, (4) new programs and funding trends and (5) pending legislation of institutional interest. RTT also provides a clearinghouse of information on faculty interests and University programs, capabilities and facilities.

    Through the publication of a monthly newsletter, RTT provides descriptions and deadlines of upcoming programs supported by government and other sponsors. Specific information is also transmitted to deans and department chairpersons. Faculty desiring periodic information on particular programs or funding sources should make their general research or other program interests known to RTT.

    University research and sponsored program proposals are initiated in most instances by faculty members with specific interests requiring external funding. To facilitate the preparation of such proposals, RTT assists with the development of proposals. Upon request, RTT can provide general University information that may be needed in institutional proposals and editorial services. RTT typically reviews proposals for completeness and format, assists with budget preparation (including coordination of institutional cost sharing and other commitments), validates compliance with University, state and federal regulations, and coordinates University review procedures (principal investigators are expected to obtain the approval of department chairpersons and college deans, required prior to the submission of all proposals). After proposals are submitted, RTT monitors pending proposals, attempts to expedite their review and approval, assists with obtaining reviews and evaluations of rejected proposals from the agency involved, and negotiates research and other sponsored program contracts, grants or other agreements on behalf of the institution.

    Upon approval of a proposal, final negotiations of the grant or contractual agreement are made by the Vice President for Research and Technology Transfer in consultation with the principal investigator and department chairperson. After a grant or contract has been accepted by the University, the principal investigator will be provided all documents pertaining to the granting agency's fiscal and management policies that permit the project to begin. While the University assumes certain legal responsibilities for externally funded projects, it is the policy of the University that the principal investigator is fully responsible for conducting the project, including meeting completion deadlines and filing all technical reports. Deans and department chairpersons must be informed of the progress of externally funded projects conducted by their faculty.

    To manage a sponsored program effectively, the principal investigator must be cognizant of all applicable policies and procedures and give close attention to those grantor and University regulations pertaining to budgeting, purchasing, personnel, travel, rights of human subjects, safety and security, accounting for cost sharing, and patents and copyrights. Personnel in RTT will assist the principal investigator in interpreting regulations, establishing a budget and preparing financial reports. All program expenditures must be authorized by the principal investigator and forwarded to RTT for processing.