(A)       Purpose. The office of research and graduate studies is responsible for implementing university policy regarding grants, contracts, other sponsored programs and related matters. Faculty and staff should contact the office of research and graduate studies for information or assistance about:

(1)       Funding sources, their guidelines and application forms;

(2)       Preparation and processing of proposals, including budgeting, for external funding;

(3)       Authorization and submission of proposals;

(4)       Negotiation of awards and acceptance of grants, contracts, and agreements;

(5)       Administration and management of grants, contracts and other sponsored agreements including institutional prior approval authority for rebudgeting grant or contract funds;

(6)       Information on direct costs, indirect costs and cost sharing;

(7)       University and federal policies regarding;

(a)       Use and sharing of project equipment,

(b)       Patents and copyrights,

(c)        Protection of human subjects, animal care and use, radioactive materials and recombinant DNA research,

(d)       Effort certification,

(e)       Federal cost principles,

(f)         Classified research.

(8)       Research support within the university;

(9)       Research council policies and support, including research and creative activity appointments.

(B)       Scope. A "sponsored program" is defined as a program or project, funded by an external agency, having a clear set of goals, objectives, procedures and expected outcomes. The program is conducted within a predetermined budget and regulated by terms and conditions of a grant, contract or agreement. A sponsored program is ordinarily the result of a proposal or application to conduct research or other scholarly activity, instruction or training, or public service. All proposals for sponsored programs are coordinated through the office of research and graduate studies.

(C)       General principles.

(1)       Proposals must be consistent with the policies and mission of the university and of the unit in which the project is to be conducted. A project may be carried out under the direction of one or more faculty members or senior professional staff within a single department, school, institute, center, or college or through the cooperation of several units. Only an individual with an appointment as professor, associate professor, assistant professor, instructor or senior professional staff may initiate a proposal and accept responsibility for the resulting grant. This individual is commonly called the "principal investigator," or "project director," terms that are used interchangeably. Where special considerations warrant, upon recommendation of the dean for research and graduate studies, an individual not holding professional or instructor rank may serve as a project director.

(2)       All proposals seeking external support for sponsored projects will be coordinated and submitted through the office of research and graduate studies. A completed internal form entitled "Transmittal Form" indicates to that the proposal has the endorsement of the appropriate chair, dean, and, when necessary, vice president or other necessary university officer. A completed transmittal form is a prerequisite for submission.

(3)       The entire cost of a sponsored project shall be carefully budgeted in the proposal, and shall include appropriate direct costs, indirect costs and cost sharing or matching funds when required.

(4)       All research projects involving the use of human subjects must be reviewed by the university human subjects review board (see rule 3342-3-03.2 of the Administrative Code and this policy register). The review must be completed prior to submission of the proposal to a funding agency.

(5)       All research projects which involve the use of live vertebrate animals must be reviewed by the university animal research committee (see rule 3342-3-03.3 of the Administrative Code and this policy register). The review must be completed prior to submission of the proposal to a funding agency.

(6)       When solicitation for support from private foundations is involved, research and graduate studies works closely with the university development office. Faculty or staff interested in approaching a private foundation must first secure the approval of the university development office. This is initiated by completing a "Project Proposal Data Sheet" available from the development office or research and graduate studies.

(7)       Projects shall be proposed only if they will not unduly disrupt the established research and teaching programs of the university and department; for example:

(a)       Sponsored programs shall be proposed only if appropriate space, equipment, and facilities can be made available;

(b)       Sponsored programs shall be proposed only if provision can be made for continuity of support for new positions.

(8)       Funds supporting sponsored programs come from many sources, including federal, state and local governments; foundations; and industry. Most agencies limit funding to specified purposes. To encourage application, research and graduate studies, through university-wide dissemination of information, will make these opportunities known to faculty who might be interested. Faculty will be encouraged to apply for sponsored programs if the interests of an agency are consistent with their own interests.

(9)       A reference library of funding information and application forms for use by faculty and staff is maintained by research and graduate studies.

(10)     The university shall endeavor to retain the right of first publication for its scholars.

(11)     To facilitate understanding and minimize misconceptions, the research and graduate studies shall continually inform the university community as to the overall costs of research, the distinction between direct and indirect costs, and other financial and administrative matters concerning grants, contracts and other agreements.

(D)       Procedures.

(1)       Proposal preparation and submission.

(a)       A "proposal" is a formal offer by the university to conduct a program under the direction of the principal investigator who utilizes the personnel and facilities of the university. Grant and contract awards are made to the university, not to individuals, and must be proposed and conducted in accordance with university policies, procedures, and regulations.

(b)       Proposals are prepared by individual faculty or staff members in accordance with agency guidelines. Staff of research and graduate studies must review the proposal budget prior to proposal submission. Staff are available to assist with the development of the budget, to ensure that it is adequate for the work proposed, and that proposed costs are allowable.

(c)        Proposals must carry the signature of the university's authorizing official, usually the dean, research and graduate studies. To be certain that the proposal carries the approval and endorsement of the appropriate chair, director, regional campus and collegial dean. A fully executed internal "proposal transmittal form" must accompany the proposal to research and graduate studies.

(d)       Review and approval.

(I)         Each proposal shall be reviewed by the chair, director, regional campus dean, and collegial dean, or associate vice president for each department, school, or regional campus involved in the project.

(II)        The chair, director, or regional campus dean shall review the proposal to be sure that the proposed project is consistent with the goals of the department, school, or regional campus, that the faculty level of effort committed to the project is appropriate and compatible with the needs of the unit, that salaries are accurate, and that the cost sharing commitment is possible and appropriate.

(III)       The collegial dean or associate vice president shall review the proposal for consistency with university and departmental mission and appropriate level of effort on the part of faculty. He/she shall ascertain to what degree the proposal will commit the college to long-term support of project personnel or program support beyond the period of award.

(IV)      research and graduate studies will review the proposal for consistency with university policy, conformity with agency requirements, and completeness and accuracy of the budget. research and graduate studies will also ensure that appropriate approvals for use of human subjects, care of animals, and space needs have been obtained. When necessary, the approval of the appropriate vice president will be secured.

(V)       The authorizing official's signature shall be the final one before transmittal to the prospective sponsor. He/she certifies that the appropriate approvals have been secured and that the university endorses the proposal. Should the authorizing official refuse to sign the proposal, the decision may be appealed to the provost.

(e)       Proposals will be duplicated and mailed by the office of research and graduate studies.

(f)         On-campus deadlines. The principal investigator or project director shall allow sufficient time for on-campus processing of proposals; i.e., they shall reach the authorizing official in final form at least five days before the relevant agency deadline.

(2)       Grant/contract initiation and administration.

(a)       When a proposal has been selected for award, it is common for the funding agency to request additional budgetary or technical information. All additional information submitted to an agency requires the endorsement of the authorizing official.

(b)       Negotiations with funding agencies are conducted by research and graduate studies in conjunction with the project director. If a project director is contacted by the agency, research and graduate studies should be advised.

(c)        Grants are awarded to the university and are assumed accepted unless the university advised the agency otherwise. Contracts and other agreements require an authorizing signature. The dean of the office of research and graduate studies is the person authorized to accept contracts and agreements for sponsored programs. Copies of award notices and contract documents will be provided to project directors.

(d)       The university and the funding agency expect the project director or principal investigator, operating within university policy and assisted by appropriate university offices and officials, will be responsible for the day-to-day administration and direction of an approved project and shall comply with all university and agency policies and regulations.

(e)       The principal investigator or project director shall maintain close liaison with the chair, director, or regional campus dean and with research and graduate studies. The latter shall be advised of developments requiring deviation from the approved scope of work or budget as well as from other terms and conditions of the award. research and graduate studies shall also be furnished copies of all administrative correspondence between the investigator and the funding agency, especially those concerning deviations as noted above.

(f)         A separate university restricted account will be established for each sponsored program and a grant tag number will be assigned to the account. All financial transactions, including payroll, purchase orders, bookstore purchases, other expenditures and receipts are to be charged directly to this account in a timely manner. A computer printout displaying charges to the account and a budget summary will be sent to the project director at the end of each month. The project director is responsible for reviewing the reported expenditures, correcting any errors in charging, and staying within the approved budget.

(g)       Funding agencies and the university expect project directors to manage the project within the budget submitted and approved. Most agencies recognize that unanticipated developments can require modification of that budget or scope of work. Requests for such modifications must be endorsed by research and graduate studies. Agencies such as "National Science Foundation" and the "Public Health Service" have permitted universities to establish and use institutional prior approval systems in order to permit university officials to approve certain budget and program modifications. Research and graduate studies has established procedures to exercise this authority.

(h)        Grants, contracts, and other sponsored agreements are an integral part of a department, school, or regional campus overall program and resource base and must be monitored by the chair, director, or regional campus dean. Overexpenditures and audit disallowances are the responsibility of the home department, school, or regional campus.

(i)         Technical and financial reports are required by all funding agencies. The project director is responsible for submitting the technical progress and final reports in a timely manner. The office of grants accounting will prepare the financial reports based on expenditures recorded in the grant account. A copy of all technical and financial reports will be provided to research and graduate studies.

(j)         University policies and procedures will be followed for all sponsored program activities, including but not limited to travel, acquisition of supplies, materials equipment, and employment of personnel.

(k)        Equipment purchased with grant or contract funds shall be subject to university inventory control procedures regardless of whether title vests in the university or the funding agency. All equipment must be tagged and assigned a property number by university inventory control. The project director shall be responsible for such equipment and shall account for all items periodically and at the end of the project. Retention and disposal of equipment at project termination falls into three categories.

(I)         Equipment purchased by the university with university funds remains in the department, school, or regional campus of the principal investigator. This equipment cannot be removed from the university by a resigning principal investigator.

(II)        Special purpose equipment purchased by the university with grant or contract funds with title vested in the university by a sponsor remains in the department, school, or regional campus of the principal investigator. This equipment, when it is not being used by the department, may be transferred when a principal investigator resigns. The appropriate chair or director and dean must approve such a transfer. Final approval for transfer rests with the provost or designee and the president.

(III)       When title to equipment purchased with grant or contract funds remains with the sponsor, the equipment must be tagged with an appropriate label identifying the sponsor and the grant/contract number. Disposition of the equipment will be made in accordance with instructions from the sponsor and coordinated with the department of inventory control and research and graduate studies.

(l)         At the close of the project, funded professional work ceases and no additional expenditures may be charged to the account. A period of thirty to ninety days is usually allowed to pay encumbrances before the final fiscal report is prepared by the office of grants accounting. The final fiscal report shall be signed by the principal investigator or project director, thereby certifying the account as presented to the sponsor. Final technical reports, patent disclosure reports and any other reports required by the sponsoring agency shall be filed before or with the final fiscal report. On the acceptance of the final fiscal report by the funding agency, the office of grants accounting shall close the account.

(E)       Classified research. At times a government agency or an industry has need to contract with the university for a research project under conditions which do not permit free inquiry and disclosure of results. Such research is "classified research."

(1)       The performance of classified research may seem to conflict with the ideals of the unfettered pursuit of knowledge and the free exchange of ideas; however, such research, if properly controlled, may ultimately benefit the individual, the university, and the society. Thus, contracts for such classified research may, individually considered, be accepted by the university provided that the research not only contributes to the well-being of mankind but does not have destruction or incapacitation of human beings as its purpose.

(2)       The general purpose and method of the research shall be disclosed to the pertinent faculty and administrators so that they can judge the appropriateness of the research and of its contribution to human knowledge and well-being.

(3)       The funding agency shall not influence the selection or promotion of faculty members or the formulation of academic policy in the university.

(4)       The results and conclusions of the study shall be available for open discussion and/or publication after a reasonable period of time.

(5)       To ensure that these policies are followed, all proposals by faculty members in response to requests from external agencies that involve classified research shall be presented to the university research council by research and graduate studies.

(a)       The presentation shall describe the general nature of the proposed research in enough detail so that the council can make an informed judgment on the appropriateness of the grant or contract and so advise research and graduate studies. The principal investigator or the granting agency may appeal the decision of council to the provost.

(6)       In order to facilitate federal classified grants or contracts, the university shall continue to hold a "facility clearance." This involves providing the physical means of protecting security data, and may require the personal security clearance of certain university officers and employees.

(F)       The office of research and graduate studies is the responsibility of the provost or designee.

(G)       The Kent State University foundation has been authorized by the university board of trustees to also act as a recipient of grants and contracts from sponsoring agencies. All the above policies are in place for the foundation as for the university.

Effective: June 1, 2007

Previous Effective Dates: November 4, 1977; October 26, 1979; July 19, 1985; August 7, 1985; May 5, 1995