Research, Sponsored Program, Technology Transfer and Intellectual Property

External Sponsorship and Grant

Section: Research, Sponsored Program, Technology Transfer and Intellectual Property Policies
Policy Name: External Sponsorship and Grant
Policy Owner: Vice President for Research, Scholarship & Innovation
Responsible University Office: Research Office
Origination Date: April 15, 1975
Revisions: September 26, 1990; January 22, 1997; January 18, 2008; August 6, 2008
Legacy Policy Number: 6-03
  1. PURPOSETo ensure that acceptance of external grants by faculty members does not create unforeseen and unrealized financial burdens for the University.
  2. POLICY
    1. It is important that the long-range implications of the acceptance by the University of any external grant be carefully considered. In the past, the University has sometimes found itself in a position where the acceptance of these grants has resulted in serious budgetary commitments which extended far above and beyond the grant income. This has been particularly true in the case of federal, departmental, or program developmental grants which have involved continuing financial commitments for staff, equipment, and other items.
    2. In order that the acceptance of such grants will not create financial burdens on the University, unforeseen and not realized, such grant applications must be reviewed to ensure the following:
      1. That there be no statement in the grant application which will obligate the University to maintain personnel levels or to sustain budgets at any prescribed figure beyond the date of the grant unless specifically approved by the Provost. That the budget approved for the period of the grant be adhered to and that funds earmarked for one-time expenditures for equipment, facilities, visiting professors, or short-time appointments not be transferred into continuing or tenured positions or continuing demands for supplies and equipment except through the allocation of positions from appropriate accounts or from regular operating funds.
      2. That the budget of the grant show clearly that the expenditures will decrease at the expiration of the grant or that the decisions are made previously considering operating funds earmarked for future obligations.
      3. That all such grants carry a statement similar to that in long-term government contracts indicating the continuation of support is contingent on available funds and a decision of the University to continue such programs.
      4. It is important that all signatories to these grant applications be aware of the potential problems and assure themselves that the University is not inadvertently committed to the programs unless such decisions are consciously made.
      5. Externally sponsored proposals and awards may now be approved in accordance with the following schedule when 100% of any required funding is available and there are no exceptions to University policies:
        PROPOSAL APPROVALS PROPOSED
        FIRST-YEAR TOTAL
        Principal Investigator (P.I.),
        Chairperson, and Research Office        		 Up to $500,000
        P.I., Chairperson, Dean, and Research Office Up to $1,000,000
        P.I., Chairperson, Dean, Research Office, and
        Provost        		 Up to $2,000,000
        P.I., Chairperson, Dean, Research Office, Provost,
        and President        		 Over $2,000,000

        All proposals that include a waiver of indirect costs must be signed by the Dean or their designee.

        AWARD APPROVALS TOTAL AWARD
        P.I., Research Office Up to $1,000,000
        P.I., Research Office, and Provost Up to $2,000,000
        P.I., Research Office, and President Over $2,000,000

        ALL proposals and awards with the exception of those that fall within the limits of delegated authority must be approved and signed by the Vice Provost for Research or his or her designee.