PreAward

If regulatory approval is required and has not been completed at the time of the award, the research will be delayed until approval from the appropriate compliance committee has been received.

Compliance oversight include the following:

• Institutional Review Board (IRB)
• Institutional Animal Care and Use Committee (IACUC)
• Financial Conflict of Interest (FCOI)
• Institutional Biosafety Committee (IBC)
• Export Controls Committee

The University’s Principal Investigator (PI) must have a fully executed agreement in order to proceed with award set up. A partially executed agreement is not legally binding, and therefore cannot serve as the final award documentation. Transmittal of original award documentation may delay award set up.

Please contact the Office of Graduate Studies and Research if you have any questions or concerns regarding the final documents that are needed to process an award. Please contact Ms. Sharon Otholt for any questions regarding setting up of financial accounts.

Award Negotiations

Award negotiations, means the scope of activities between proposal submission and the acceptance of an award by the University. During this period, the award mechanism (grant, cooperative agreement or contract) and the sponsor will largely determine the length and complexity of the negotiation process. The end result of award negotiations is a mutually agreeable set of terms under which the University will conduct the proposed project. Please note that the Research Office must often work in conjunction with the Office of General Counsel and the Office of Technology Commercialization. More information can be found at the following websites:

Who Can Negotiate the Award?

The authority to negotiate an award on behalf of the University has been delegated to the Office of Graduate Studies and Research. The Research Office works in conjunction with the Principal Investigator to negotiate an award that is acceptable to the University, Principal Investigator, and sponsor.

Changes to the Scope of Work and/or Budget

Any time a sponsor requests or requires a change in the originally proposed budget or scope of work, the Principal Investigator should always notify and coordinate a response through the Research Office before submitting a revised budget or scope of work.

Grants and Cooperative Agreements

Grants and cooperative agreements usually contain references to a sponsor's established grants management policies or in the case of government grants, government-wide regulations, laws or directives.

Industry Research Contracts

Agreements with private sponsors cover many activities including basic, applied or developmental research, collaborative research, and various types of testing. As a public, state-controlled institution of higher education, the University is bound by certain policies and regulations regarding what it can and cannot accept in an agreement.

These policies are designed to foster the University's basic mission of teaching, research and public service and to ensure the academic freedom of our faculty. Because for-profit private sponsors are motivated by different forces, they sometimes do not understand the ideals and principles behind our policies. Consequently, negotiations can take additional time while the Research Office works with the sponsor to arrive at a mutually acceptable agreement. Whenever possible, the University tries to negotiate an agreement using the appropriate standard University contract language for the activity proposed. These standard agreements address key concepts required by University policy. When a private sponsor prepares an agreement or insists on controlling the preparation of an agreement, these concepts may or may not be addressed and can lead to protracted negotiations.

Contract negotiations with private sponsors can be difficult and complex because the agreements must address a large number of issues such as budget, scope of work, intellectual property rights, publication rights, indemnification, termination and confidentiality. Principal Investigators should discuss all aspects of the proposed project with the Research Office prior to the start of negotiations. In particular, the office needs to know whether graduate students will be involved in the project, and whether existing University or sponsored-owned intellectual property will be used in conducting the project.

Federal/State Contracts

Contract negotiations with a government agency primarily focus on budget and scope of work issues. The terms and conditions of the award are usually fixed by law or regulation. However, it is important to make sure that the terms and conditions imposed by the agency are appropriate for the work proposed and applicable to the University.

Eligibility to act as a University Principal Investigator or senior personnel on a sponsored research project is a privilege typically limited to University employees (generally faculty members). Non-faculty University principal investigators must hold a faculty-equivalent research position to serve as a principal investigator, project director, co-principal investigator, or other senior personnel on a sponsored research project. The dean or designee shall determine the eligibility of an individual to serve as a principal investigator in compliance with the eligibility criteria of a potential sponsor. In any case where there is no reporting relationship to a college dean, the appropriate vice president or designee will make eligibility determinations. A department head, dean, or vice president (when there is no reporting relationship to a college dean) may limit an individual’s status as a principal investigator or co-principal investigator on a University sponsored project. All individuals who serve in the role of a principal investigator on University sponsored projects must be employed by the University. Visiting faculty may serve as co-principal investigator in accordance with the approval requirements.

The Principal Investigator is responsible for:

• Scope of work,
• Proposed budget and estimated costs of doing the work,
• Technical, scientific, and scholarly content and quality,
• Preparation of the proposal,
• Presentation of ideas for a project,
• Coordination with compliance committees,
• Governing access and retention of data,
• Compliance with applicable University Rules and Procedures, and System Policies and Regulations and assuring that the proposal is submitted to the appropriate office for processing prior to being submitted to the sponsor for consideration,
• Preparation, Review and Submission of sponsored project proposals with sufficient time for the University to meet proposal deadlines,
• Preparation of Technical Reports and review of Sharon Otholt’s Financial Reports to Sponsor,
• Close out of research project.