POLICY FOR THE ADMINISTRATION OF
GRANTS, CONTRACTS AND GIFTS
ORIGINATOR: Office of the Provost
DATE: September, 2000
POLICY #00-1
Introduction
This policy defines the administration of grants, contracts and
gifts between the University's Research Office and the Development
Office. The importance of establishing a formal distinction between
grants, contracts and gifts is related to the evolution of
federal/state compliance and auditing issues in recent years. The
following sections of this policy define the terms grants, contracts
and gifts, and outline the procedure for processing awards.
Definitions of Grants, Contracts and
Gifts
Sponsored Agreements (Contracts and Grants {Type I}): The
University's Research Office shall process and receive all grants
{Type I}, contracts, and other sponsored funds awarded to the
University (see Appendix A). Grants {Type I}, contracts and sponsored
agreements are defined as external funding that comes from a federal
funding agency, quasi-federal funding agency, state agency,
international agency, foundation, business, corporation, or private
individual that: 1) requires the delivery of a product or service, or
2) requires the delivery of a research report that includes but is
not limited to results, data, findings, surveys, and financial
information, or 3) requires specific commitments regarding the levels
of personnel efforts, 4) involves stipulations regarding data,
publications or intellectual property such as inventions, patents,
certain copyrights or licenses, or 5) involves indirect cost funds.
Gifts and Grants {Type II}: The Development Office shall process
and receive all gifts and grants {Type II} (see Appendix A). Gifts
and grants {Type II} are defined as external funding (and/or donated
equipment or goods) that comes from a foundation, business,
corporation, or private individual that has no required deliverables
such as but not limited to products, or services, and cannot carry
any obligations involving data, publications or intellectual property
such as inventions, patents, certain copyrights or licenses. Gifts or
grants {Type II} may require, however, fiscal or program report for
accountability purposes. The donor specifically intends the funds to
be a charitable gift or deduction as defined by the IRS and as
reflected by the absence of deliverables or intellectual property
rights as defined in the above paragraph and Appendix A.
Related Compliance Issues
Regardless of whether the external funds are a gift, grant, or
contract, any project using human subjects, animal subjects,
radioactive material must be in compliance with all applicable
University, State and Federal regulations. Further, regardless of
whether the external funds are a gift, grant or contract, any
intellectual property arising from the use of these funds shall be
subject to the University Intellectual Property policy as detailed in
the University Manual.
Faculty and staff are not authorized to enter into written or
unwritten agreement(s) with sponsors, and are not authorized to sign
contracts that involve the use of any University facilities, space,
equipment, and personnel; or involve intellectual property; or
restrictions on publications. Only the authorized representatives of
the University of Rhode Island (President, Provost and Vice President
for Academic Affairs, Vice President for Business and Finance, Vice
Provost for Graduate Studies, Research and Outreach, and Controller),
designated by the Board of Governors, are empowered to negotiate and
sign such agreements or contracts.
Procedures
Grants {Type I}, contracts and other sponsored agreements shall
be processed and received by the University's Research Office. All
principal investigators shall submit their grant {Type I}/contract
proposals and requests for external funds to their Dean/Vice
President and then to the Research Office for administrative approval
and transmittal to the funding agency. Upon receipt of the award,
Grant and Contract Accounting will assist the principal
investigator(s) in the administration of their grants, contracts and
other sponsored agreements.
Gifts and grants {Type II} to the University shall be processed
and received by the University's Development Office. Upon receipt of
a gift or grant {Type II} from a donor, the Development Office will
record the donation and send a letter of a gift acknowledgement to
the donor. If administrative fees are provided by the foundation or
private source with Type II grants, then these funds will be
deposited into a University account.
In cases where it is not clear or there is any doubt whether a
proposal and/or external award is a gift, grant or contract, it shall
be the responsibility of the faculty or staff member and his/her
Dean/Vice President to contact and discuss the proposal and/or award
with the Vice Provost for Graduate Studies, Research and Outreach.
The Vice Provost for Graduate Studies, Research and Outreach, in
turn, will review the proposal and/or award with the Associate Vice
President for Development and the Controller. (In the event that a
proposal and/or award is submitted directly to the Development Office
{or URI Foundation}, the Associate Vice President for Development
will contact the Vice Provost for Graduate Studies, Research and
Outreach and Controller and initiate the review). The Vice Provost
for Graduate Studies, Research and Outreach, Associate Vice President
for Development and Controller will review the proposal and/or award
relative to the definitions above with particular attention to
deliverables, apparent deliverables and intellectual property issues.
In the event that a decision cannot be reached by the Vice Provost
for Graduate Studies, Research and Outreach, Associate Vice President
for Development and Controller, then the final decision will be made
by the Provost and Vice President for Academic Affairs.
The Vice Provost for Graduate Studies, Research and Outreach,
Associate Vice President for Development Director and Controller will
meet on a biannual basis and review all gifts that have been donated
to educational and research programs.
Please note that the Development Office will not deposit external
funds awarded to a faculty, staff or administrator for research
programs without the written approval of the Vice Provost for
Graduate Studies, Research and Outreach and the Associate Vice
President for Development or the Provost and Vice President for
Academic Affairs.
Where the faculty, staff or administrator obtains direct funding
for a fellowship award (e.g., Fulbright, Nobel etc.), the researcher
is advised to notify the Vice Provost for Graduate Studies, Research
and Outreach upon receipt of the fellowship award.