FOR ADMINISTRATION OF SPONSORED PROGRAMS
RESEARCH POLICIES
Authorship Guidelines - http://addison.ra.cwru.edu/ospa/policies/index.cfm
Conflict of Interest - http://ora.ra.cwru.edu/research/orc/coi/index.cfm
Intellectual Property Guidelines- http://addison.ra.cwru.edu/ospa/policies/index.cfm
Custody of Research Data - http://addison.ra.cwru.edu/ospa/policies/index.cfm
1) Case Western Reserve University
Draft Principal Investigator/Project Director Policy Statement
January 14, 2005
The Principal investigator or Project Director is the individual, designated by the university, who will assume overall responsibility for the scientific and/or technical aspects and the day-to-day management of the project or program. This individual can be a Case faculty member, employee or student as long as his or her designation as the Principal Investigator or Project Director has been reviewed and approved by the department and school/college. However, in certain circumstances, an individual who is not a Case faculty member, employee or student may be a Principal Investigator or Project Director provided that
1.) the department and school/college has reviewed and approved this designation,
2.) there is a formal written agreement between the parties, and,
3.) as applicable, the relationship has been reviewed and approved by the sponsoring entity.
It is understood that the Principal Investigator or Project Director will be responsible, along with the university, for ensuring compliance with the financial and administrative aspects of the award. This individual will work closely with designated officials within the university to create and maintain necessary documentation, including both technical and administrative reports; prepare justifications; appropriately acknowledge sponsor's support of research findings in publications, announcements, news programs, and other media; and ensure compliance with sponsor and university requirements. Case encourages the Principal Investigator or Project Director to maintain contact with the program officials from the sponsor with respect to the scientific or technical aspects of the project. Contact with the grants management or contracting officers concerning the business and administrative aspects of the award is also encouraged as long as it is coordinated by designated officials within the university.
2) Procedures for Applying for Research Grants
Basic Steps for Proposal Preparation
- Once the sponsor is identified, the PI and administrator should work together to determine if there are pre-application requirements. Possible requirements are:
- Letter of intent
- Letter notifying the applicable NIH institute that the application will request over $500,000 per year (NIH policy)
- Total or direct cost caps
- Subawards (consortia)
- Contract sponsored by a private company (notify SOM Grants and Contracts)
- Significant foreign involvement (notify SOM Grants and Contracts)
- The PI and administrator should work together to prepare the application, University Review Form, and any other materials required by the sponsor. PI should take care to ensure that s/he has a current conflict of interest disclosure on file, that human subject education requirements are completed for pertinent key personnel, and that protocols for human subjects, animals, recombinant DNA activities, etc. are planned.
- The proposal is submitted to the SOM Office of Grants and Contracts for review. For a complete list of the materials that should be submitted for review, see (http://casemed.case.edu/ora/ogc/proposal.cfm ). Grants and Contracts staff will review the application and return it to you with the signature of the authorized institutional official. Please allow at least two working days for this review. Proposals are usually mailed to the sponsor by the PI and the department administrator.
More detailed information and guidance is available at: http://casemed.case.edu/ora/ogc/proposal.cfm
3) Procedures for Administering Research Grants
Project/account management http://casemed.case.edu/ora/ogc/amgt.cfm
- Award management is a shared responsibility of the principal investigator, department administrator, and the Office of Grants and Contracts. The principal investigator is the person most familiar with the needs of each project and it is expected that he/she will keep the administrator informed of changes that have an impact on the program and on the financial situation.
- The PI and administrator should be familiar with the terms and conditions of each award and request the assistance of the Grants and Contracts staff if there are questions or if needed changes need the approval of the sponsoring agency. Grants and Contracts staff are available to assist with all questions about the award and will contact the agency when needed.
- Information on procedures for specific post-award activities is available on the Controller’s Office website http://www.case.edu/finadmin/controller/grants.htm.
- Sponsor terms and conditions (on notice of award)
- Case account number (notice of award from SOM Grants and Contracts Office)
- Monthly reports of expenditures
- Guidance on appropriate expenses (direct vs. facilities and administrative)
- Cost transfers
Guidelines for allocating facilities and administrative costs across management centers - http://addison.ra.cwru.edu/ospa/FYI/Indirect_Cost.cfm
Guidelines for grants involving the Cleveland Clinic Lerner College of Medicine - http://addison.ra.cwru.edu/ospa/policies/index.cfm
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