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External Grants Policy and Procedures Manual
Approved by University Faculty Council, October 28, 1997.
NIH Applicants Note: In accordance with NIH Policy Notice NOT-OD-06-054, the University is required to have you sign an Assurance Certification whenever you submit an application, report or prior-approval request to any institute within the National Institutes of Health. If you have already submitted, look for a form in campus mail for you to sign and return. Future applicants will receive the form at the time of submission.
Research Using Human Subjects: All researchers (faculty, staff, students) performing research using human subjects will be required to submit certification to the Institutional Review Board (IRB) that they have completed specified human subjects protection training. For complete information, please see http://provost.richmond.edu/irb
I. STATEMENT OF PURPOSE
The University of Richmond encourages faculty and staff to seek grants
from public and private agencies which support the educational objectives
outlined in the University's Statement of Purpose. In particular, the
University recognizes the usefulness of grant support in maintaining
the balance of teaching and scholarship of a faculty dedicated primarily
to excellent teaching and dialogue with students, while remaining actively
engaged in scholarly, scientific, and artistic creativity. The grant
policies and procedures outlined here have been developed to ensure
that the University retains control of the administration of externally
funded grants for research and instruction, and to satisfy the requirements
of public and private granting agencies.
II. PROCEDURES
- ADMINISTRATIVE APPROVAL OF PROPOSALS
Every proposal submitted for external funding to any agency or organization--whether
public, private, for profit or non-profit--must receive administrative
approval by the University before it is submitted. This includes proposals
which request faculty fellowship, sabbatical, or travel support.
The Office of Foundation, Corporate and Government Relations is
responsible for coordinating administrative approval of proposals
by the appropriate academic and financial offices of the University.
All proposals should be submitted to that office, at least five days
before the proposal must be sent to the funding agency.
- ROLE OF THE OFFICE OF FOUNDATION, CORPORATE AND
GOVERNMENT RELATIONS
The Office of Foundation, Corporate and Government Relations, a division
of Development/University Relations, works in partnership with University
of Richmond administration, deans, and faculty to secure external
funding for faculty research and special projects. All applications
for external funding must go through this office.
The Office serves faculty and the University by:
- meeting with individual faculty members to learn about their research
interests and funding needs;
- publishing a monthly newsletter of grant awards, opportunities,
trends, and deadline;
- notifying individual faculty members of grant opportunities pertinent
to a specific area of research;
- assisting faculty in the preparation of competitive grant applications,
including acting as liaison with funding agencies, providing editorial
and budget assistance, reviewing for compliance with agency regulations
and guidelines, securing authorizing signatures, and production,
copying and timely mailing of applications;
- assisting in the acknowledgment and recognition of grant awards
through communications and published announcements;
- maintaining files on both public and private funding agencies,
including annual reports, records of past funding, samples of successful
applications, guidelines, and application forms;
- maintaining files for faculty grant applications and subsequent
correspondence;
- offering workshops on proposal writing, funding opportunities,
and other topics pertinent to successful grants; and
- making applications to national, regional or local private foundations
and government agencies for university-wide projects, or those that
involve interdisciplinary faculty groups. This could involve securing
"bricks and mortar" grants for new construction or building renovations,
funds for curriculum revisions, special scholarship funds, or other
special University requirements.
The Office has access to a current data base of funding sources, SPIN
(Sponsored Programs Information Network), that is responsive to key
words describing an individual's or institution's particular funding
requirements, and matching them with potential funding sources.
In addition, the Office receives a number of periodicals on grant
opportunities and maintains a library of grant source materials and
"how-to" books and videos on proposal writing and special grant opportunities.
These are available for faculty use upon request.
- REPORTING REQUIREMENTS
Complete and accurate reporting on grant-funded projects is an important
professional and institutional responsibility assumed by anyone who
receives grant support. The project director or principal investigator
is responsible for completing grant reports as required by the funding
agency. This includes securing financial reporting information from
the Office of the Controller which maintains the only official record
of University expenditures.
The Office of Foundation, Corporate and Government Relations maintains
a University-wide calendar of grant report due dates, and will remind
faculty when reporting dates are upcoming. To ensure institutional
accountability and consistency, reports to all external agencies should
be submitted through the Office of Foundation, Corporate and Government
Relations.
III. POLICIES
- SALARY
- USE OF EXTERNAL FUNDS TO PAY SALARIES
Grants to the University of Richmond are accepted that are consistent
with the University's educational objectives. It is therefore not
the University's policy to accept grant funding which would require
faculty effort exceeding a regular full-time load. For this reason,
the University will not normally accept grant funding which would
increase an employee's total compensation for the academic year
beyond the agreed-upon full time salary. In no case will federal
funds be used to pay any employee more than 100% of his or her regular
academic year compensation.
- METHOD OF SALARY CALCULATION
The regular responsibilities of University of Richmond faculty include
scholarship as well as teaching and course development. To accommodate
these responsibilities, University of Richmond faculty who teach
three courses in a given semester are also deemed to receive three
hours (or the equivalent of one course) released time in that semester,
to accomplish their scholarly work. For this reason, with the agreement
of the department chair and dean, a faculty member may devote up
to 25% of his or her time to sponsored research or other sponsored
projects during a given semester, and reflect this portion of time
as a University- funded contribution to the project. This amount
of time represents the University's regular expectation of scholarly
work on the part of faculty, and will not result in an additional
reduction of the number of courses taught.
- GRANT-FUNDED RELEASED TIME
The primary mission of the University of Richmond is teaching. Grant
funds are accepted to provide released time which would reduce a
faculty member's teaching load only in very unusual circumstances.
These circumstances must directly serve the University's educational
mission. All such arrangements must be approved by the appropriate
department chairman and dean, as well as by the Provost, before
a grant proposal is submitted. In all cases, a reduction in teaching
load will only be approved on a short-term basis.
- STANDARDS FOR SUMMER SALARY
The normal practice of the University of Richmond is that faculty
summer salaries be limited to two-ninths of academic year salary.
This is the limit established by the National Science Foundation
and other major federal agencies. In no case will total compensation
to a faculty member for summer work exceed three-ninths of the faculty
member's academic year salary.
- FRINGE BENEFITS
It is the policy of the University that where salaries are paid with
external funding, corresponding fringe benefits should be paid by
the same funding source. Exceptions to this policy will only be made
with the prior approval of the Vice President for Business and Finance.
Fringe benefit rates on certain federally funded projects are negotiated
with the U.S. Department of Health and Human Services. Faculty should
contact the Office of Foundation, Corporate and Government Relations
to determine the appropriate fringe benefit rate, to use in proposal
preparation.
- INDIRECT COSTS
Indirect or overhead costs are awarded to compensate the University
for general but real operating expenditures, for such things as heat,
electricity, and accounting services. It is the University's policy
to recover the full amount of indirect costs allowable by a granting
agency. Any exception to this policy must be approved in advance by
the Vice President for Business and Finance.
The University periodically negotiates a federal indirect cost reimbursement
rate with the U.S. Department of Health and Human Services. Faculty
who are preparing proposals should contact the Office of Foundation,
Corporate and Government Relations to verify this rate.
- RESEARCH INVOLVING HUMAN SUBJECTS
Every proposal for research which will involve human subjects must
be submitted to the Institutional Review Board for the Protection
of Human Subjects by the time the proposal is submitted to the funding
agency. See http://provost.richmond.edu/irb/
- RESEARCH INVOLVING ANIMALS
Every proposal for research which involves animals must be submitted
to the Animal Care and Use Committee by the time the proposal is submitted
to the funding agency. See http://as.richmond.edu/research/iacuc/
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