Sponsored Research Definitions

Proposal

• A formal request for funds from a sponsor
• Government agency
• Private/corporate foundation
• Consistent with sponsor’s goals
  
  
• Initiated by an academic unit
  
  
• Includes
• A statement of need
• Specific goals and objectives
• Proposed solution – specific methods to achieve objectives

Principal Investigator (PI)

The Principal Investigator, or the Project Director, is the lead person in the development of the proposal and the implementation of the award. This person bears overall scientific, fiscal and administrative responsibility for conducting the project, for meeting the terms and conditions of the award, and for representing the project to the sponsor

Co-Principal Investigators (Co-PIs)

In some cases, particularly, but not necessarily, with multi-site projects, more than one individual is considered as responsible for administrative, fiscal, and scientific conduct of the project. Each person can be named in the proposal and on project documentation as a co-PI, provided this role is accepted by the sponsor. Co-PIs must meet the PI eligibility criteria and sign the proposal Routing Form. Co-PIs have spending authority on the award.

Although the project may have several co-PIs, one person must be designated as the project leader. This person bears overall scientific, fiscal and administrative responsibility for conducting the project, for meeting the terms and conditions of the award, and for representing the project to the sponsor. This person will be listed first on the proposal and will be listed on the Proposal Routing Form as the principal investigator.

Co-Investigator

An individual involved with the principal investigator in the scientific development or execution of a project. The co-investigator may be employed by, or be affiliated with, Chapman University or another organization participating in the project under a formal agreement. A co-investigator typically devotes a specified percentage of time to the project and is considered "key personnel." Co-investigators DO NOT have spending authority on the award unless it is delegated in writing by the PI. This delegation of authority must specify the exact rights being delegated, e.g., hiring, ordering items listed in the budget, making changes to the budget. This delegation of authority must be documented with copies provided to the PIs academic unit, the Office of Sponsored Research, and Financial Services.

Signature Authority

Each institution has one or several individuals who are empowered to sign documents on behalf of the institution. At Chapman University the individual authorized by the President to sign proposals and accept grants and contracts on behalf of the University is the Executive Vice President and Chief of Operations.  However, during the routing of a proposal, the following individuals may be required to sign:

• School Dean, Department Chair: assure space and time commitments
  
  
• IRB Committee representative: human and animal subject research issues
  
  
• Chancellor: Waiver for non-academic principal investigator, conflict of interest review, off-campus research approval, review of indirect cost waiver request
  
  
• Grants Accountant: initial to assure proper budget
  
  
• Director, Sponsored Research: handle proposal routing, review of proposal signatures, obtain  Executive VP signature

The University is not committed to accept awards resulting from the submission of proposals not authorized by the Executive Vice President and COO.

Pre- and Post-Award

Pre-award refers to those activities that culminate in the receipt of an award from a sponsor. Post-award refers to those activities that occur in implementing and managing the award through project completion and close-out.

Award Mechanisms: Terms and Characteristics

Grants: sponsor provides funds to pursue grantee-initiated project.

• the proposal solicitation/announcement usually has stated goals and objectives;
  
  
• the sponsor has expectations about how the budget will be spent;
  
  
• the award has deliverables (may include project and expenditure reports);
  
  
• the award is governed by terms and conditions;
  
  
• there is some flexibility in making certain changes;
  
  
• the award is subject to programmatic and financial audit.
  

Cooperative Agreements: sponsor exercises substantial involvement in project performance.

• the proposal solicitation/announcement has stated goals and objectives;
  
  
• the sponsor has expectations about how the work will be performed and how the budget will be spent;
  
  
• the award has deliverables;
  
  
• the award is governed by terms and conditions;
  
  
• the award is subject to programmatic and financial audit;
  
  
• formal agreement results from negotiations;
  
  
• performance is closely monitored by sponsor;
  
  
• detailed technical and financial reports are required;
  
  
• any changes must be negotiated.

Contracts: sponsor provides funds to pursue sponsor-generated project

• formal agreement results from negotiations;
  
  
• contract deliverables are stipulated, usually due by times certain;
  
  
• performance is monitored by sponsor;
  
  
• detailed technical and financial reports are required;
  
  
• any changes must be negotiated;
  
  
• awards are subject to programmatic and financial audit.

Subcontracts/Sub-agreements

When a portion of the project is going to be carried out at another institution or organization, a subcontract or sub-agreement with the University is required in order to ensure compliance with sponsor requirements. Similarly, when a portion of a project being conducted at another institution will be performed at Chapman, Chapman will enter into a sub-agreement relationship with that institution.

These are formal relationships and require the same institutional review and approval as any proposal.