Research Policy
POL 10.00.2
Authority: Board of Trustees
History: First Issued: April 11, 1987. Last Revised: November 21, 1997. Additional History Information.
Additional References: UNC Code: Appendix II.
Contact Info: Associate Vice Chancellor, Research Administration (919-513-2148)
1. PREAMBLE
1.1 The University is dedicated to the pursuit of knowledge and its preservation
and propagation, to the search for truth, to a fuller understanding of humankind
and the universe in which we live, and to the education and intellectual development
of its students and constituents to the end that they may be better informed,
better adjusted, and more useful members of the society. The development,
protection, encouragement, and promotion of the spirit and of the habits of
inquiry and faculty and students lie at the heart of the University's purpose
and vitality. The development and maintenance of a program which provides
intellectual stimulation and purposeful goals, and assures continuing relevance
to the problems and concerns of the day necessitates continuous probing into
new areas of understanding and persistent attempts to push back the frontiers
of knowledge in all fields. Research, scholarly work, and other forms of creative
endeavor are essential for the continued intellectual growth of the University
faculty and for the sustenance of stimulating and challenging teaching programs.
1.2 The University has developed and cherishes its tradition of freedom of
inquiry, freedom to probe objectively any fields of interest and relevance
of challenging the intellects of its faculty and staff members and of initiating,
nurturing, encouraging, and developing such traditions among the students.
Only through such tradition and practices can each succeeding generation hope
to add wider vision and understanding of the world in which we live.
1.3 As a Land-Grant Institution, this University is charged with a further
responsibility of concern for the well-being and economic and cultural improvement
of the citizens throughout the State. This concern necessitates intensive
attention to the application and utilization of knowledge for the benefit
of humankind, the development of new and improved technological applications,
and the utilization of these innovations in agriculture, industry, business,
and in other areas of need in our community, state and nation.
2. RELATIONSHIP TO UNDERGRADUATE AND GRADUATE TEACHING
2.1 The quality of both undergraduate and graduate teaching is greatly enhanced
by active participation of teachers in scholarly investigation, research,
and other creative work in fields related to those they are teaching. Participation
in, or association with, an active program of research, scholarly inquiry
and analysis or germane creative activity is necessary for teachers to keep
abreast of the advances in their field by giving them access to tools and
methods necessary to modern science and technology and the arts. The utilization
of students as active participants in research projects advances their understanding
and competence in dealing with situations they must face later far beyond
the level which would be possible otherwise. At the same time, student contracts
and questions the students raise provide great stimulation to the faculty
member, introducing new ideas, encouraging mental exercise, improving articulation
and communication, and broadening the range of understanding and inquiry in
a professional field. This is especially true at the graduate level, but it
is a very significant factor at the undergraduate level as well. Therefore,
the University devotes a substantial portion of its financial and intellectual
resources to research. The University trustees and administrative officials
encourage faculty members toward the fullest exercise of their research and
scholarly potential.
2.2 The potential contribution of a proposed research project to the enrichment
and quality of the undergraduate and graduate teaching program is one of the
criteria on which judgements are made as to the wisdom of undertaking research
projects or accepting support therefore.
2.3 The prosecution of sponsored research, whether basic or applied, is to
be encouraged when it is of such a nature and scope as to augment the educational
programs of the University, particularly when it may serve to extend the opportunities
for graduate study. Special consideration should, therefore, be given those
projects that will provide financial support for students, enhance the educational
and research facilities of the University, and contribute to the professional
development of the faculty.
3. SOURCES OF RESEARCH SUPPORT
3.1 Appropriations to the University - in support of research by the State
and United States Governments.
3.1.1 The State provides support for departmental and organized research
in all schools at North Carolina State University. Also, the State allocates
research monies to certain units of the University: North Carolina Agricultural
Research Service; Biotechnology Research Program; Minerals Research Laboratory;
Microelectronics Research Program; Institute of Statistics; Marine, Earth
and Atmospheric Sciences Program; Sea Grant Program; Water Resources Research
Institute; and Small Wood-lot Research and Development Program.
3.1.2 The United States Government makes direct payments to the North Carolina
Agricultural Research Service for the support of agricultural and forestry
research under the Hatch and McIntire-Stennis Acts.
3.1.3 These appropriations give the University a degree of flexibility
in planning and balancing its programs to meet the changing needs of the
society it serves. This enables the University to plan its research programs
on a stable and sustained basis over a long period of time. The University
needs to have a strong central part of its scholarly effort financed in
a stable manner in order to enable it to plan wisely and to keep its research
program in balance and harmony with the changing needs of society.
3.2 Research Grants and Contracts
3.2.1 Agreements for such grants and contracts may be entered into with
an agency of the U.S. Government, State Government, or with a private industry
or agency. The research projects concerned are of direct interest and importance
both to the sponsor and to the University. Prior to being undertaken, they
must be judged by the University by several criteria including their compatibility
with overall University objectives and concerns, and the extent to which
participation in the project in question strengthens the University's ability
to meet its obligations and purposes.
3.2.2 Grant and contract programs are open and non-classified, assuring
the investigators' right to publish freely the results of their studies,
and to maintain the traditions of free inquiry and pursuit of the advancement
of knowledge.
3.2.3 Very substantial sums have been available during recent years for
grants and contracts, principally from agencies of the U.S. Government such
as the National Institutes of Health, the National Aeronautics and Space
Administration, The National Science Foundation, the Environmental Protection
Agency, the Department of Energy, the Department of Defense, the Department
of Agriculture, the Department of Transportation, the Department of Housing
and Urban Development, the Agency for International Development, various
industries, trade associations, private foundations, individuals, and others.
3.2.4 Such agreements, when properly selected in relation to the University's
overall goals and responsibilities, provide funds to support both undergraduate
and graduate students, provide stimulation to help attract and retain imaginative
and able faculty members, provide equipment and other facilities which enhance
the quality of the University's instructional and research program.
3.2.5 The Office of Sponsored Programs maintains a library of information
on support programs of the Federal Government. In addition, the University
subscribes to the Illinois Research Information Service (IRIS). The IRIS
system provides access to an extensive listing of public and private agencies
that support research.
3.3 Developmental Grants
3.3.1 These may be derived from the U.S. Government, from foundations,
from business and industry, or from individuals. Such grants are generally
for specific purposes, are for a limited period, may require matching contribution
and commitment from the University, and imply an obligation on the part
of the University to continue and support the project or program in question
after its initiation.
3.3.2 This type of support has been extremely valuable in helping to initiate
new programs and projects and to bring them to a stage at which they can
attract and obtain requisite stable support for their continuation or maintenance.
3.4 Assessments voted voluntarily by specified groups.
The most notable example in this category is the "Nickels-for-Know-How" program in which feed and fertilizer users have voted to have two nickels
added to the price of each ton of feed and fertilizer sold in North Carolina
with the proceeds therefrom being used to support many important projects
in Agriculture and Life Sciences.
3.5 University/Industry Cooperative Research Programs
Faculty groups have developed a number of organized research units that are
supported by industry through membership fees. In such research units, membership
fees are pooled and a generic research program is developed by the faculty
with advice and counsel from member companies and carried out by faculty and
students. The National Science Foundation provides seed money to help develop
university/industry cooperative research centers.
3.6 Foundations
Many public and private foundations and not-for-profit corporations provide
support for research and scholarly projects. The Office of Sponsored Programs
maintains information on foundations that support research on a wide variety
of topics.
3.7 Scholarship and Fellowship Funds
While the primary purpose of such funds is to provide educational opportunities
to deserving students, each Ph.D. candidate must carry out a substantial research
project and submit a thesis thereon as a part of the requirements for the
degree. Thus, a great deal of fundamental research is supported through such
funds.
3.8 In addition to direct financial support from the sources described above,
the University is committed to encouraging research and scholarly endeavors
on the part of all faculty members as a basic part of its program. At the
departmental level, encouragement is given through the adjustment of teaching
loads to provide time for such activities and, to the extent possible, provision
of access to equipment, laboratory space and literature, support for travel
and participation in professional meetings, and assistance in preparation
and publication of the results of research and other scholarly works. A limited
number of small grants-in-aid to encourage research initiation, especially
among the recently appointed and younger faculty members, and faculty members
developing new fields of research, are provided through the Faculty Research
and Professional Development Fund.
4. CRITERIA FOR ACCEPTANCE OF RESEARCH SUPPORT THROUGH CONTRACTS AND GRANTS
4.1 Any proposed research or service, to merit favorable interest, should
be of such nature that its prosecution augments and is compatible with the
regular program of research or graduate-undergraduate teaching conducted by
the individual or the department.
4.2 Research funds should not be sought or accepted by the University simply
because they are available. They should strengthen its capability to serve
its main purposes in the society. They should strengthen its capability to
serve its main purposes in the society. They should not be permitted to distort
the balance in the University's basic program or to become the factor which
results in disproportionate growth and development in directions which do
not contribute significantly to fulfillment of its basic purposes and objectives.
4.3 Questions such as the following must be answered satisfactorily when
a sponsored research proposal is initially examined:
- Is the proposal in harmony with and does it contribute to improvement
in faculty or staff capability, equipment, facilities, and/or knowledge
in some field considered appropriate to the University's central purposes
and objectives?
- Will it make a contribution toward strengthening the program of undergraduate
or graduate instruction or training, or provide opportunity for undergraduate
or graduate student participation?
- Does it contribute to the improvement of an important service to the public
by the University?
- Is it compatible with the spirit of freedom of inquiry and are the rights
for publication fully assured to the investigator and the University?
4.4 All tenure-track faculty members may submit proposals for support of
research and scholarly projects. All proposals must be approved by a faculty
member's unit or department head and Dean before submission to the Vice Chancellor
for Research for final campus approval. Non-tenure-track faculty members and
employees with termed appointments may submit proposals with prior approval
of their Dean and the Vice Chancellor for Research.
5. PROPRIETARY INFORMATION, DATA AND RESEARCH
5.1 It is recognized that it may be necessary for a faculty member to gain
knowledge of information considered to be proprietary by a private company
in carrying out a research project. Such information, for example, may involve
a computer code for which a company may have exclusive rights to reproduce
and sell. Before entering into a research project which may involve the use
of proprietary material, all parties involved, including the sponsoring industry,
the faculty member(s), the graduate student(s), the department head(s), the
dean(s), and the Vice Chancellor for Research, shall sign an agreement determining
both the nature and extent of the restrictions required by the sponsoring
industry or members of the university, including graduate students, regarding
the nondisclosure of the proprietary material. Any extension of the scope
or nature of the proprietary material involved will require a supplementary
agreement to be signed by all parties involved, as detailed above, before
implementation. Acceptance or utilization of any proprietary material without
prior administrative approval or the utilization of such material outside
the context of an approved agreement is the sole responsibility of the individual
faculty member.
5.2 The acceptance and use of proprietary material by faculty members must
not compromise or diminish the freedom of publication rights as specified
in the University's publication policy or inhibit free discussion of any graduate
student project at an oral examination. Since preliminary and final graduate
student examinations must be open to all members of the Graduate Faculty,
student theses or reports required for advanced degrees should not contain
or use proprietary information.
5.3 From time to time, the University may determine that the public good
is best served with regard to technology transfer by entering into an agreement
with a public or private institution which provides that institution with
a proprietary interest in the results of a given study. For example, a company
may provide support for further research on a topic or idea for which the
University has filed for patent protection. Under such conditions, the University
may agree to provide the company with an option to license the patent, if
awarded, to the company. Such an arrangement would provide the company with
a proprietary interest in the research results, but the faculty member would
still be free to publish consistent with the University publication policy.
6. PUBLICATION POLICY
Restrictions on publication of the results of research are incompatible with
the basic concept of an educational institution as a source of knowledge.
Short-term restrictions of usually not more than six months' duration but
not more than twelve months may be permitted in the interest of actual or
potential patent considerations, or to provide lead time to an industry or
organization which has financed the research. Long-term permanent restrictions
should be undertaken only for exceptional or emergency reasons such as might
occur during a period of national emergency and would then be permitted only
after review and approval by the University Research Administration.
7. SECRET OR NATIONAL DEFENSE RESEARCH
7.1 The University does not, under normal circumstances, encourage acceptance
of any research project which is secret or classified and/or in which its
rights to publish the results of the investigations are withheld. Exceptions
to this principle must be approved by the Chancellor after consultation with
the Administrative Council.
7.2 The University will not knowingly undertake research on weapons development,
or directly on problems of chemical and biological warfare, except in times
of declared national emergency and upon request of governmental authority.
The University will not attempt to determine whether or not a study, the results
of which may have broader applications in the civilian economy, may conceivably
also be used in some way for military purposes. The University will continue
to accept support for research contracts and grants through the Department
of Defense as well as through other defense-related government agencies as
long as they meet the general University criteria for research.
8. CONSULTING ACTIVITIES
8.1 Faculty members of the University, because of their involvement in research
and their knowledge and experience with problems relevant to the society,
are frequently requested to provide consultant services for a variety of needs
of both private and public organizations and agencies. Reasonable amounts
of consulting activity in the faculty or staff members' special fields of
competence helps to keep them abreast of newer developments, enhances their
competence in solving problems in the applications of their special field
and improves their competence as teachers and researchers. Such work also
frequently makes significant contributions to the economic development of
the State. It may or may not involve extra compensation of the individual
or to the University. In certain programs of the University, advice and service
to individuals, organizations, and other agencies are an integral part of
the faculty or staff member's regular duties for which additional compensation
would be inappropriate.
8.2 The Board of Governors of the University of North Carolina adopted a
policy statement on consulting effective on July 1, 1984. Some schools at
NCSU have developed consulting policies and procedures, within the guidelines
of the Board of Governors' policy statement, to help faculty and staff members
in a proper response to a consulting request or opportunity. Faculty and staff
members are expected to exercise good judgement and integrity in handling
requests for consulting services and to comply with provisions of the Board
of Governors' policy statement on external professional activities and any
additional procedures adopted by their schools or organizational units. The
following are some of the general guidelines which are considered appropriate
for consulting activities:
8.2.1 Consulting activities which enhance the faculty or staff member's value
as a teacher or researcher and which are related to the academic goals of
the University are the types considered appropriate for University faculty
members to undertake.
8.2.2 A consulting obligation should be undertaken only if it does not interfere
with full and complete performance of the regular duties which a faculty
or staff member has been assigned, for which he or she is receiving compensation
from North Carolina State University and which is normally expected of full-time
faculty or staff members. Before entering into a consulting arrangement,
each faculty or staff member should become aware of any school policies
which are in addition to University policies.
8.2.3 Duties which a faculty or staff member should reasonably be expected to
perform as a public service by virtue of his or her position in this publicly-
supported University should be carried out without extra compensation.
8.2.4 Faculty or staff members must in no way compromise the position of the
University through their consulting activities. Both the fact and the semblance
of a conflict of interest must be avoided.
8.2.5 Serving as an expert witness during any legal procedure is a consulting
activity. Faculty members serving as voluntary or involuntary witnesses,
by virtue of their expertise, during any legal procedure, represent themselves.
8.2.6 If a request for assistance involves the use of the University's labor,
facilities, or equipment, it should be performed on a contractual basis
with the University rather than on a consulting basis with an individual
faculty or staff member.
8.2.7 The University recognizes the need for the development of technology transfer
through the establishment of entrepreneurial activities. When a faculty
or staff member works in a private capacity, it should be made clear to
those who employ him or her that this work is private and unofficial. University
stationary and forms should not be used in consulting activities or reports.
The specific arrangements and compensation rates for such consultation should
not subject other professional persons outside the University to unfair
competition.
8.2.8 The Board of Governors' policy on external professional activity requires
that faculty and staff members follow a prior approval process before engaging
in consulting activities. The procedures section of the policy statement
is reproduced here for easy reference. The "Notice of Intent" form is reproduced as Figure 1.
- A faculty or other professional staff member who wishes to engage in
external professional activity for pay shall complete the "Notice
of Intent to Engage in External Professional Activities for Pay"
(hereinafter referred to as "Notice of Intent"), which shall
be filed with the head of the department in which the individual is employed.
Unless there are exceptional circumstances, the "Notice of Intent" shall be filed not less than ten (10) calendar days before the date the
proposed external professional activity for pay is to begin.
- Approval is granted for each activity for no more than one calendar
year at a time, unless an exception is approved by the Chancellor (or,
in the General Administration, by the President).
- Except as set out in paragraph "d" below, the "Notice
of Intent" shall be considered as follows: If, after a review of
the "Notice of Intent" and consultation with the faculty or
other professional staff member, the department head determines that the
proposed activity is inconsistent with this policy statement of the Board
of Governors, the faculty or other professional staff member shall be
notified of that determination within ten (10) calendar days of the date
the "Notice of Intent" is filed. In the event of such notification
by the department head, the faculty or other professional staff member
shall not proceed with the proposed activity but may appeal that decision
to the administrative officer to whom the department head reports, and
then to the Chancellor (or, in the General Administration, to the President).
A decision on any such appeal shall be given to the faculty or other professional
staff member within ten (10) calendar days of the date on which the appeal
is received. The decision of the Chancellor (or of the President) shall
be final. Appeals shall be made in writing on the "Notice of Intent" form.
- If question 5, question 6a, or question 6b on the "Notice of Intent" is answered in the affirmative, the procedure set out in paragraph c.
above shall be modified as follows: The decision of the department head
to approve the activity shall be reviewed promptly and approved or disapproved
by the administrative officer to whom the department head reports, and
appeal of a disapproval by that officer shall be to the Chancellor (or,
in the General Administration, to the President).
- Departmental summaries of all "Notices of Intent" filed and
of actions taken in response to such "Notices of Intent" during
the preceding twelve months shall be submitted by department heads to
the Chancellor (or, in the General Administration, to the President) each
July. The Chancellors shall provide annual summary reports to the President
by September 1 of each year, beginning September 1, 1984.
8.3 Copies of the Notices of Intent and actions taken in response to such
notices will be sent to the School Deans to aid in the fulfillment of their
responsibility, through the department heads, to provide the necessary control
and supervision of consulting activities within their respective fields. The
end result of consulting activities should enhance the employee's value to
the University and should not encroach on the time and energy which he or
she devotes to University work and thus should not interfere with the full
performance of duties and responsibilities to the University.
9. USE OF HUMAN SUBJECTS IN RESEARCH
All projects involving the use of human subjects, including questionnaires,
must be reviewed by the University Committee on the Use of Human Subjects
in Research regardless of whether or not the proposal is funded. This Committee
will assure that appropriate facilities and procedures will be provided which
respect the "right to privacy" of the individual and protect him
or her against physical or stress injury. This applies to all research project
proposals (grants and contracts) regardless of the granting agency or institution
to which they are being submitted for funding as well as those supported by
University funds. Committee review of the proposal should be completed before
submission to the granting agency. It is appropriate for the faculty or staff
member to consult the Committee of the Use of Human Subjects in Research or
the Office of Vice Chancellor for Research during preparation of an early
draft of the proposal, at which time concise and current details concerning
use of human subjects can be obtained.
10. SAFETY AND HEALTH IN RESEARCH
10.1 It is the policy of North Carolina State University that faculty, staff
and students are entitled to a safe and healthful place in which to work,
study, or do research free from hazards which may cause serious injury or
death. The safety and health aspects associated with experimentation, research
and development are so varied that specific safety instructions are beyond
the scope of this policy statement. The individual researcher must, therefore,
be responsible and take the initiative to become informed concerning exposure
to toxic and hazardous materials and be certain that all persons involved
receive training in the proper handling techniques and emergency procedures.
10.2 The University by statutory requirement must comply with the provisions
of the Occupational Safety and Health Act of North Carolina (OSHA-NC). To
help comply with OSHA-NC Rules and Regulations, the Public Safety Division
has published a "Policy and Procedure Manual for Occupational Safety
and Health at North Carolina State University" which is available in
departmental offices.
10.3 The University has established several standing committees that may
have to be consulted in gaining approval to submit a research proposal. Examples
of such committees are: Biosafety, Radiation Protection, and Infectious Diseases
and Microorganisms. Information on these committees may be obtained from the
Office of Research Administration or a member of the committee. Committee
membership is published annually in the University Directory.
11. USE OF ANIMALS IN RESEARCH
The use of animals is essential to the teaching, extension, and research
missions of North Carolina State University. Significant benefits to the health
and welfare of both animals and humans have resulted from animal use in research,
and continued use is crucial to future advancements. Without the use of animals,
adequate instruction of students in many programs such as agriculture, the
biological sciences, and veterinary medicine would be impossible. However,
those who utilize animals are morally and legally obligated to care for them
properly and use them humanely. Each faculty member, staff member, or student
involved in the use of animals is directly responsible for promoting and protecting
their welfare within the instructional, extension, and research programs of
the University. Those who use animals should assume this responsibility through
precept and example. The following policy provides guidance for the proper
care and humane use of animals within University programs.
11.1 Animals should be used in teaching, research, and extension programs
only as required to demonstrate principles, to obtain new information, and
achieve results which will ultimately benefit society. Whenever feasible,
mathematical models, in vitro biological systems, demonstrations,
and computer and audiovisual aids should augment, complement, or possibly
replace animal use entirely, thereby reducing the number of animals needed.
11.2 The procurement, care, and use of animals shall be in accordance with
the regulations and terms of the federal Animal Welfare Act, the Health Research
Extension Act of 1985, and subsequent revisions.
11.3 All research projects and educational or extension activities using
vertebrate animals under the jurisdiction or control of NCSU shall be reviewed
and approved by the Institutional Animal Care and Use Committee. In its reviews,
the Committee will apply standards and guidelines set forth in the Animal
Welfare Act, the Health Research Extension Act of 1985, and subsequent revisions.
11.4 The housing, care, feeding and observations of all animals must be supervised
by individuals trained in such matters. Managers of animal care facilities
are expected to meet the guidelines set forth in the Guide for the Care and
Use of Laboratory Animals (for biomedical research projects) or the Guide
for the Care and Use of Agricultural Animals in Agricultural Research and
Teaching (for agricultural research projects), or other guides as adopted
by the Institutional Animal Care and Use Committee. These guides are available
from the Director of Animal Resources, the Office of the Vice Chancellor for
Research and Extension, and the Chairman of the Institutional Animal Care
and Use Committee.
11.5 Animal use shall be planned and conducted so as to avoid or minimize
pain and distress to the animals. Procedures involving animals must be performed
by, or be closely supervised by a faculty or staff member who is skilled in
the procedure. Students taking part in such procedures must be appropriately
instructed and supervised. If any experimental or demonstrative procedure,
or its consequences, have the potential to induce significant and/or lasting
pain, distress or suffering, appropriate methods of tranquilization, anesthesia
and analgesia must be used. The Director of Animal Resources can provide guidance
on appropriate methods. Any painful or distressful procedure, regardless of
whether it can or cannot be obviated, must be reviewed and approved in advance
by the Institutional Animal Care and Use Committee.
11.6 Procedures for euthanasia must be performed in a manner consistent with
the latest recommendations of the American Veterinary Association Panel on
Euthanasia and all proposed methods must be approved in advance by the Institutional
Animal Care and Use Committee.
11.7 Any faculty member, staff member, or student of the University who has
reason to know or believe that this policy is being violated may submit a
written request to the Chairman of the Institutional Animal Care and Use Committee
for review of the procedure or situation in question. The Committee will examine
all pertinent facts regarding the alleged policy violation. If the allegation
is substantiated, the Committee will report the violation to the appropriate
administrative officials. The University will take all steps possible to prevent
retaliation against the person requesting the review.
12. PATENTS AND COPYRIGHTS
12.1 It is the policy of the University to carry out its scholarly work in
an open and free atmosphere and to publish results obtained therefrom freely,
limited only by a short time delay in cases in which this is necessary to
establish patent rights. Although the University does not undertake research
or developmental work principally for the purpose of developing patents and
commercial applications thereof, patentable inventions sometimes arise out
of the research activities of its employees which are carried out wholly or
in part with University facilities. As a public service institution, the University
has an interest in assuring the utilization of such inventions for the public
good. Protection must be provided to at least some of these inventions through
patents and licenses to encourage their development and marketing. Patents
and their exploitation, however, represent only a small part of the benefits
accruing from either publicly or privately sponsored research.
12.2 A portion of the research conducted by the University is supported by
government and a portion by private industry. Service to the public, including
private industry, is an integral part of the University's mission. As a public
institution, the University, in its agreements with private industry or other
private organizations, must keep the interests of the general public in view.
The rights and privileges set forth in cooperative agreements or contracts,
with respect to patents developed as a result of research partly or wholly
financed by private parties, must be fair and just to the inventor(s), the
sponsor and the public. Research should be undertaken by the University under
support from private parties only if it is consistent with and complementary
to the University's goals and responsibilities to the public.
12.3 The Patent and Copyrights Procedures approved by the NCSU Board of Trustees
became effective July 1, 1984. A brochure that describes these procedures
is available in the Office of the Vice Chancellor for Research.
13. DEVELOPMENT, NEGOTIATION, AND ADMINISTRATION
13.1 The Vice Chancellor for Research has been charged with the responsibility
for review and approval of proposals for sponsored research, clearance of
sponsored programs through appropriate University channels, and for assistance
in negotiation with sponsoring agencies. This office has prepared detailed
guidelines for proposals preparation and application procedures and revises
and updates them as necessary. Also, the office is prepared to consult with
faculty and staff members and assist them in preparation of proposals. Consultation
between the investigator and the Office of Research Administration is desirable
at early stages of preparation to facilitate appropriate attention to the
specific requirements of prospective granting agencies, proper proposal form,
budgets, etc. The Office of Sponsored Programs maintains a Faculty Information
Center in Leazar Hall where a library of up-to-date materials is maintained
on grant and contract opportunities in federal and state governments, foundations,
industry, etc. Copies of current guidelines and appropriate forms for internal
processing and approval are available in the Faculty Information Center.
13.2 Negotiations must ensure appropriate legal and financial protection
to the University and conformity with established University policies. Proposals
for contracts and grants must include provision for payment of indirect costs
in accordance with recognized rates governing indirect-cost reimbursement.
13.3 Proposals involving the use of any hazardous materials which may expose
investigators or other persons to potentially unsafe conditions must be reviewed
by the appropriate committee to provide assurance that all reasonable precautions
have been taken to avoid potential health or safety hazards. The department
head or unit director is responsible for the approval and safe conduct of
all research projects carried out within his or her unit.
13.4 Proposals that commit the University to establish research centers or
institutes upon an award require special handling. The Board of Governors
of the University of North Carolina has adopted procedures that must be followed
in establishing research centers and institutes. The Vice Chancellor for Research
should be consulted in the early stages of preparation of such proposals.
The Vice Chancellor for Research will work with the faculty member(s) to ensure
that proper procedures are followed in the processing of such proposals. Establishment
of research centers and institutes must be approved by the Board of Governors
of The University of North Carolina.
13.5 Requests for research grants from private foundations that contain deliverables
and/or specific research reporting requirements must be processed through
the Office of Research Administration like a request to any other funding
agency. The Office of Research Administration provides information on every
request to a private foundation for research support to the Development Office
for purposes of coordination.
13.6 The administration of research projects and programs is normally handled
through the regular departmental and school channels. The Vice Chancellor
for Research may be called upon, at least during the initial stages, to assume
direct administrative responsibility for certain projects of an interdisciplinary
character involving direct participation of more than one school and/or campus.
13.7 To provide the capability to accommodate relatively small and usually
short-term project needs and opportunities, the University has instituted
a special procedure that may be used when funds involved are less than $10,000
for a given project. For proposals in this category, prior approval at the
Dean's level only is required. Copies of agreements, contracts, etc. resulting
from such proposals must be provided to the Vice Chancellor for Research for
post-award review. The Office of the Vice Chancellor for Research has developed
guidelines for handling such contracts must in no way abridge the provisions
of the University Research Policy.
