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 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 various offices within the Office of the Dean for Research.
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’s 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 is charged with the formulation of policy for the solicitation, acceptance, and administration
of research grants and contracts throughout 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 the Office of the Dean for Research.
d. Proposals for gifts and the acceptance of gifts from corporations and foundations that are not specific to
sponsored research are also normally handled through the Office of the Dean for Research.
 

4. Criteria Applicable to Sponsored Research
It will be the policy of the University, 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 as outlined 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.
Rules and Procedures of the Faculty, Chapter VIII.D    

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