B. Research Supported by Outside Funds

       Although the research funds mentioned in Section VIII.A. continue to be of great importance to the University in a variety of ways, the major expenditures for research now come from current funds supplied by foundations, industries, or government agencies through grants or contracts. The Dean for Research oversees the solicitation and administration of external funds through the Office of Research and Project Administration and the Office of Corporate Engagement and Foundation Relations.

       The Office of Research and Project Administration provides central administration services for all sponsored research projects, including proposal reviews and submission, grant and contract negotiations, issuing of awards, and sponsored research award management and maintenance. The Office of Corporate and Foundation Relations provides central support for developing and stewarding proposals for research funding and gifts from corporations and private foundations.

       A general policy statement of the criteria to be considered in accepting grants or contracts for research and the procedure to be followed in obtaining such grants or contracts was approved by the President on 26 April 1960, and later communicated to, and approved by, the Faculty. Since that time the procedure has been amended in several respects; the statement as amended is reproduced in full as follows:

1. Policies for Sponsored Research

       Princeton University has based its adoption of these policies for sponsored research upon the fact that it is dedicated to the following primary and essential objectives:

a.   The education of undergraduate, graduate, and postdoctoral students.

b.   The advancement of knowledge through research and scholarship.

c.   The advancement, preservation, and dissemination of knowledge.

d.   The advancement and protection of the public interest and public welfare.

2. Obligations of Sponsored Research

       In accepting a grant or contract for research, Princeton University, the departments, and the members of the Faculty or staff involved have accepted obligations to furnish:

a.   An appropriate share of the time and talent of those members of the Faculty and staff who are committed to perform the research.

b.   An appropriate share of the University‚Äôs administration, both at the general administrative and departmental levels, services such as library assistance, shop and secretarial services, and general guidance to the extent needed.

c.   Reports and publications describing the research performed and the results achieved.
d.   Compliance with any terms and conditions of the grant or contract, such as those covering patents, copyrights, fiscal requirements, and so forth.

3. Administration and Procedures

       The Dean for Research, with the advice of the University Research Board is charged with the formulation of policy for the solicitation, acceptance, and administration of research grants and contracts throughout the University. The University Research Board is composed of six tenured or tenure-track members of the Faculty. The Dean for Research serves as Chair and the Director of the Office of Research and Project Administration serves as Administrative Officer. An administrator from the Office of the Dean for Research serves as Secretary. The Treasurer and the Dean of the Graduate School also sit on the Board. When necessary, the Provost, Dean of the Faculty, Vice President for Development, General Counsel, and Director of Environmental Health and Safety meet with the Board. Other individuals may sit with the Board as needed. The University Research Board is advisory to the President of the University.

       The following procedures are to be followed with regard to sponsored research:

a.   Every application or proposal for sponsorship, renewal, or expansion of research within the University, with funds to be furnished by an outside source, but administered by the University, should be submitted with the approval of the Chair(s) of the department(s) involved to the Office of Research and Project Administration before any formal proposals are transmitted to the outside source or any commitments are made. This is not to be construed, however, as limiting the freedom to discuss possible research sponsorship on an informal basis with outside individuals or organizations. The Office of Research and Project Administration will be available for assistance with the preparation of proposals and the location of receptive sponsors. Excluded from the requirement for processing through the Office of Research and Project Administration are awards or gifts to individuals, such as Guggenheim Fellowships, etc., where the University has no responsibilities for administering the funds.

b.   After the proposal has been reviewed and approved by the Department Chair(s) and the appropriate administrative review committee to ensure its compliance with established University policies, formal proposals to outside sponsors will normally be transmitted through the Office of Research and Project Administration. Any arrangement or contract negotiation with the sponsor will normally be handled through that office.

c.   The acceptance of grants or gifts designated to be used for research, where no proposal from the University is involved, will be coordinated through both the Office of Corporate Engagement and Foundation Relations and the Office of Research and Project Administration in accordance with policies adopted by the University Research Board.

d.   Proposals for gifts and the acceptance of gifts from corporations and foundations that are not specific to sponsored research are normally handled through the Office of Corporate Engagement and Foundation Relations.

4. Criteria Applicable to Sponsored Research

       It will be the policy of the University, the University Research Board, the departments, and members of the Faculty involved to consider the merits of any proposal for sponsored research based upon the following criteria:

a.   The research should fit within the framework of the four primary and essential objectives of the University cited earlier.

b.   The research should be soundly based; its primary goal should be a significant contribution to knowledge rather than product development; and the personnel involved should be qualified to perform the project.

c.   The research should be proposed and carried out within a regular department of the University, within an interdepartmental center or institute, or through the cooperation of several departments, and be led by a member of the Faculty or professional research staff. The provisions of the research agreement should not grant the sponsor or any other external party a continuing role in the scientific direction of the research.

d.   Major research projects should be clearly related to the academic programs of the department or departments involved, and provide opportunities for graduate or undergraduate research training.
      Projects which do not meet these requirements shall be considered by the Executive Committee of the Council of the Princeton University Community. In no case shall the research extend the activities of a department to an extent that the quality of the educational programs is compromised.

e.   Adequate facilities should be available or provisions should be made for funds to make them available.

f.   There should be a good prospect of employing any additional professional or nonprofessional personnel required within the limits of existing salary scales and personnel policy.

g.   The budget should be adequate for the work proposed, including allowance for contingencies and possible salary increases.

h.   Provision should be made for any University funds required, either in the form of direct costs or indirect expenses computed in accordance with usual University practice.

i.    Contracts or grants for research expected to generate classified information are accepted by the University only under unusual conditions and with specific approval in each case by the University Research Board--see section VIII.D. below. No such research has been carried on by Princeton University for a number of years.

j.   The terms of any contract, grant, or gift to cover the research should, insofar as possible, permit flexible operation under regular University policies and procedures, permit free publication of results (except where the requirements of national security dictate otherwise), reimburse the indirect expenses as well as the direct costs of the research, conform to the principles of the University Patent Policy, and in general permit the University to exercise administrative control and responsibility for the work.

k.   As a matter of policy, the University does not administer funds whose purpose and the character of whose sponsorship cannot be publicly disclosed. In the particular case of research abroad, Faculty, research staff, graduate students and undergraduates receiving grants for this purpose from funds administered by the University are requested not to accept additional support from agencies of the government for purposes that cannot be disclosed.
      Members of the Faculty considering the solicitation of outside funds for research in which they are interested are urged to study the above statement and to consult with the Office of Research and Project Administration.

5. Procedures for Reviewing Individual Projects and Departmentally Sponsored Research Programs

a.   The University Research Board will periodically review and discuss with representatives of the departments involved all sponsored research within each department or area of the University.

b.   The URB has oversight responsibility for sponsored research grants as a whole. It sets the policies and criteria for the processing of proposals for sponsored research by the Office of Research and Project Administration, and participates in the review of selected proposals with broad or unusual implications for the University.

c.   The Chair of the Research Board shall from time to time report to the Council of the Princeton University Community on issues of policy before the Board.