B. Research Supported by Outside Funds Print this section Although the research funds mentioned in Section VIII.A. continue to be of great importance to the University in avariety 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 andadministration 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 theprocedure 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 inseveral respects; the statement as amended is reproduced in full as follows:1. Policies for Sponsored ResearchPrinceton University has based its adoption of these policies for sponsored research upon the fact that it isdedicated 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 ResearchIn accepting a grant or contract for research, Princeton University, the departments, and the members of theFaculty 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 toperform the research.b. An appropriate share of the University’s administration, both at the general administrative and departmentallevels, 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 ProceduresThe Dean for Research is charged with the formulation of policy for the solicitation, acceptance, and administrationof 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, withfunds to be furnished by an outside source, but administered by the University, should be submitted with theapproval of the Chair(s) of the department(s) involved to the Office of Research and Project Administration beforeany formal proposals are transmitted to the outside source or any commitments are made. This is not to beconstrued, however, as limiting the freedom to discuss possible research sponsorship on an informal basis withoutside individuals or organizations. The Office of Research and Project Administration will be available forassistance with the preparation of proposals and the location of receptive sponsors. Excluded from therequirement for processing through the Office of Research and Project Administration are awards or gifts toindividuals, such as Guggenheim Fellowships, etc., where the University has no responsibilities for administeringthe funds.b. After the proposal has been reviewed and approved by the Department Chair(s) and the appropriateadministrative review committee to ensure its compliance with established University policies, formal proposals tooutside sponsors will normally be transmitted through the Office of Research and Project Administration. Anyarrangement 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 isinvolved, 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 tosponsored research are also normally handled through the Office of the Dean for Research. 4. Criteria Applicable to Sponsored ResearchIt will be the policy of the University, the departments, and members of the Faculty involved to consider the meritsof 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 citedearlier.b. The research should be soundly based; its primary goal should be a significant contribution to knowledge ratherthan 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 aninterdepartmental center or institute, or through the cooperation of several departments, and be led by a memberof the Faculty or professional research staff. The provisions of the research agreement should not grant the sponsoror 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 departmentsinvolved, 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 ofthe Princeton University Community. In no case shall the research extend the activities of a department to anextent 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 requiredwithin 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 salaryincreases.h. Provision should be made for any University funds required, either in the form of direct costs or indirectexpenses computed in accordance with usual University practice.i. Contracts or grants for research expected to generate classified information are accepted by the University onlyunder unusual conditions and with specific approval in each case as outlined below. No such research has beencarried 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 flexibleoperation under regular University policies and procedures, permit free publication of results (except where therequirements of national security dictate otherwise), reimburse the indirect expenses as well as the direct costs ofthe research, conform to the principles of the University Patent Policy, and in general permit the University toexercise 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 whosesponsorship cannot be publicly disclosed. In the particular case of research abroad, Faculty, research staff, graduatestudents and undergraduates receiving grants for this purpose from funds administered by the University arerequested not to accept additional support from agencies of the government for purposes that cannot bedisclosed.Members of the Faculty considering the solicitation of outside funds for research in which they are interested areurged 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 Table of Contents Preface Disclaimer Nondiscrimination Statement Chapter I: The Calendar Chapter II: Governance Submenu A. The Board of Trustees Submenu 1. Membership 2. Meetings 3. Statement of Policy on Delegation of Authority 4. Recommendations of the Faculty on the Selection of the President B. The Officers of the University C. The Faculty Submenu 1. Membership 2. Meetings D. Faculty Committees Submenu 1. General Observations 2. Individual Committees Submenu a. Committee on Committees b. Advisory Committee on Appointments and Advancements c. Advisory Committee on Appointments and Advancements in the Lecturer Ranks d. Faculty Advisory Committee on Diversity e. Faculty Advisory Committee on Policy f. Committee on Conference and Faculty Appeal g. Committee on the Course of Study h. Committee on Discipline i. Committee on Examinations and Standing j. Committee on the Graduate School k. Policy Committee on Athletics and Campus Recreation l. Committee on Public Lectures m. Committee on Classrooms and Schedule n. Committee on Undergraduate Admission and Financial Aid o. University Student Life Committee p. Council of College Heads q. University Research Board r. Council on Teaching and Learning 3. Election Procedures Chapter III: Academic Structure of the University Submenu A. Academic Divisions B. Academic Units C. Academic Councils D. Advisory Councils Chapter IV: The Faculty Submenu A. Appointment and Advancement of Professors B. Appointment and Advancement of Associate Professors C. Appointment and Advancement of Assistant Professors D. Appointment and Advancement of University Lecturers E. Appointment and Advancement of Professors of the Practice F. Appointment and Advancement of Senior Lecturers G. Appointment and Advancement of Lecturers H. Appointment and Advancement of Instructors I. General Observations J. Equity, Inclusion and Equal Opportunity K. Compensation and Service Arrangements Submenu 1. Arrangements for Payment of Salary 2. Summer Employment 3. Relation of Compensation to Duty Assignment L. Leaves of Absence Submenu 1. Absence During Term Time 2. Leaves for Scholarship 3. Leaves without Pay (Including Leaves for Personal Reasons) 4. Outside Activities During Leaves of Absence M. Outside Professional Activities N. Retirement O. Separation as a Result of Disability P. Disciplinary Action Submenu 1. Grounds for Involuntary Suspension, Dismissal, or Other Disciplinary Action for Cause 2. Procedures for Disciplinary Actions Other than Suspension or Dismissal 3. Procedures for Suspension and Dismissal 4. Academic Status and Privileges Chapter V: Rules and Policies Submenu A. Tutoring B. Nepotism C. Consensual Relations with Students Submenu 1. Prohibition of Consensual Relations with Students 2. Prohibition of Consensual Relations with Individuals Under One’s Supervision 3. Relationships and Conflict of Interest 4. Preexisting Relationships 5. Disciplinary Consequences of Violations 6. Prudential Considerations in Circumstances Involving Power Disparities 7. Complaints D. Discrimination, Harassment, and Sexual Misconduct E. Use of University Identification F. Confidentiality Submenu 1. Confidentiality in Appointment and Advancement Processes 2. Confidentiality of Student and Alumni Records G. Misconduct in Research H. Campus Disruptions I. Classroom Learning Environment J. Conflicts of Interest in Research Chapter VI: Conduct of Undergraduate Courses of Study Submenu A. Undergraduate Course Mechanics Submenu 1. Course Enrollments 2. Meetings of Courses 3. Student Obligations to Courses 4. Term Tests and Midterm Grades B. Term Papers, Examinations, and Final Grades in Undergraduate Courses Submenu 1. General Considerations 2. Preparation of Final Examinations 3. Conduct of Final Assessments 4. The Honor System 5. Determination of Final Course Grades 6. Reporting of Final Course Grades 7. Rescheduling of Final Examinations 8. Academic Warning C. Departmental Concentration Submenu 1. A.B. Candidates 2. A.B. and B.S.E. Candidates D. Procedures for Setting Policy Chapter VII: Conduct of Graduate Courses of Study Submenu A. Procedures for Setting Policy Chapter VIII: Conduct of Research Submenu A. University Research Funds Submenu 1. University Committee on Research in the Humanities and Social Sciences 2. Engineering Research Funds B. Research Supported by Outside Funds Submenu 1. Policies for Sponsored Research 2. Obligations of Sponsored Research 3. Administration and Procedures 4. Criteria Applicable to Sponsored Research 5. Procedures for Reviewing Individual Projects and Departmentally Sponsored Research Programs C. Committees Governing Research Submenu 1. Institutional Animal Care and Use Committee 2. Institutional Biosafety Committee 3. Institutional Review Board for Human Subjects 4. Radiation Safety Committee 5. Human Remains Oversight Board D. Intellectual Property Submenu 1. Guiding Principle 2. Patent Policy 3. Copyright Policy E. Classified Research Appendix A: The Council of the Princeton University Community Submenu Resolutions of the Faculty Relating to the Establishment of the Council of the Princeton University Community The Council of the Princeton University Community Charter Appendix B: Corporate Officers Appendix C: Guidelines for the Conduct of Inquiries by the Committee on Conference and Faculty Appeal Rules & Procedures for the Faculty Updates for 2024