CATEGORY: RESEARCH ADMINISTRATION
SECTION: Research
SUBJECT: Rights, Roles, and Responsibilities of Sponsored Research
Investigators
EFFECTIVE DATE: April 3, 1992
PAGE(S): 4
I. SCOPE
This policy establishes the roles, rights, and responsibilities of faculty investigators in the
management of sponsored research projects, the protection of the academic and
research integrity of such projects, and the resolution of conflicts with colleagues and
administrative supervisors.
II. POLICY
The University should not accept awards or enter into agreements for the support of
research which confer upon another party the power to censor or exercise effective veto
over the dissemination of results and conclusions arising from research. Short delays,
usually up to six months, may be permitted to allow industrial sponsors to take out
patent applications; these conditions must be specified in the initial awards.
- No agreement should preclude the right of researchers to publish the results of their
research. See Policy 11-02- 01, Patent Rights and Technology Transfer and
University policy on Secret Research for certain exceptions.
A member of a research team who questions in good faith the handling of a research
project should be protected from reprisals by other researchers or administrators. On
the other hand, researchers require equal protection from unsupported charges or
charges made out of ignorance, misinterpretation, or malice.
The University and its agents will operate under University policies on Sponsored
Projects or revision of those policies. It is understood that all the rights and
responsibilities set forth in these policies are subject to any legal constraints, to the
availability of sufficient resources to meet these and competing demands, and all
existing University policies.
Investigators have basic rights to an environment that facilitates research, and the
University should encourage and facilitate research. On all sponsored projects, the
University shall make reasonable efforts to:
- Expedite hiring of staff and faculty to enable work to proceed from the start of the
award
- Assist departments, schools, the Office of Research, and the Office of Research
Accounting to facilitate administrative tasks
- Meet the terms and conditions of the sponsored award in collaboration with the
Investigators
- Disseminate to appropriate staff and faculty this document as well as more detailed
procedures, methods, and responsibilities, and including checklists of administrative
procedures and timetables
- Improve and expedite the delivery of essential university services to Investigators by
facilitating communication between Investigators and administrators to solve
problems related to sponsored research
- Provide timely notice of all awards to Investigators and to provide notice to
investigators of special conditions that require University and/or Investigator acceptance
- Provide timely and accurate monthly accounting reports to Investigators
Investigators have the following responsibilities:
- To create the project
- To inform all responsible administrative persons of the aims, needs, and expectations
of the project early enough so that all parties understand the full implications and
meanings of the award
- To avoid conflict of interest
- To maintain academic and research integrity
- To ensure that research is conducted safely and in compliance with all state and
federal health and safety regulations
- To conduct the work supported by the award in a timely and professional manner
- To conduct the project in a manner consonant with the teaching and research
mission of the University
- To submit progress and final reports as may be required under the terms of the award
- To follow University and sponsoring agency guidelines for the use of animal and
human subjects in research
- To report patentable and other commercially valuable findings in accordance with the
University Patent Policy
- To acknowledge all sponsors of the research project in any official communication
regarding the research
The Principal Investigator has the following additional responsibilities:
- In collaboration with Co-Principal Investigators, to develop the project, allowing
adequate time for review and comments by department and school officers, relevant
research review committees, and the Office of Research
- To share with all Co-Principal Investigators the planning and development of the
project to meet the objectives of the award
- To take appropriate action so that the Office of Human Resources clearly states the
terms of appointment of non- signatory staff members, including secretaries and
research staff
- To follow the guidelines on appointment and termination for all research associates
and research fellows
- To ensure compliance with the specific terms and conditions of each award as
stated in the contract or grant documents and with all administrative requirements
- To manage all budgetary matters relating to the project, among those including:
incurring expenditures made prior to the receipt of a fully executed award only after
obtaining specific authorized approval, controlling expenditures so as not to exceed
the total amount of funds awarded, and adhering to specific budget category
expenditure limits; obtaining prior approvals (from the agency and the University) for
budget changes; reviewing monthly accounting reports and, upon expiration of the
contract, making adjustments to clear all expenses
Investigators have the following rights:
- The individual Investigator should not be the subject of institutional coercion with
respect to particular research projects
- Once signed and submitted, the University should not modify or change the proposal
without consultation with Investigators
- Once accepted by the University, the University must not change the condition of the
award unless unusual or extenuating circumstances arise; and in such circumstances
changes will be made with full consultation of the Investigators; Investigators have the
right to appeal such decisions
- Investigators have full right to publish their findings, except as provided under the
University Patent Policy and Policy on Secret Research. Authorship credit should
reflect the relative contribution of research team members, should be determined as
early as possible in the project, and should be given only to active participants in the
project
Settling Disputes
Investigators should attempt to resolve disputes with administrative officers or among
professionals engaged in research by informal means. Disputes may arise because of
interpretation of this policy or other reasons involved in the project. All parties should
present their views to the next higher level administrator in an effort to achieve mutually
agreeable solutions.
Procedure 02-03-01, Faculty Grievances, (or its revision) establishes the procedure for
settling disputes that arise under this policy or disputes arising for other reasons involved
in the project. Investigators (including research associates) who are unable to achieve
a mutually agreeable solution on their own initiative will then invoke the Faculty Grievance
Procedure for settling the dispute.
Disputes over research issues require evaluation by persons familiar with the scientific,
intellectual, or managerial issues involved. In disputes on research awards, especially
when there are accusations of disputed ownership of data, misuse of funds or violations
of accepted practice, review panels must include persons with specific intellectual or
scientific qualifications.
In cases of alleged scientific, intellectual misjudgment, or fraudulent reporting or any
other matters subject to Policy 11-01-10, Research Integrity, the University will follow
this policy or its revision.
Implementation
Concerns and problems of Investigators arising from issues addressed in this policy
should be reported to the University Senate Executive Committee for referral to
appropriate Senate committees and/or to the University Research Council.
Review
The University Senate Executive Committee and the University Research Council should
evaluate the operation of this policy biannually.
III. REFERENCES
Policy 11-02-01, Patent Rights and Technology Transfer
Policy 11-01-01, Research Integrity
Policy 11-01-03, Conflict of Interest Policy for Faculty, Scholars, Researchers, Research