VT RESEARCH POLICIES: A BRIEF SUMMARY

As principal investigator for a sponsored research program, you need to be aware of Virginia Tech's policies on research. These policies are intended to protect the nature of university research, to protect the rights of individuals involved in research as well as the rights of the university, and to insure that the fiscal and administrative matters concerning sponsored research are managed responsibly. For detailed written policies, or any specific questions you may have, contact the Office of Sponsored Programs at (540) 231-5281.

INTELLECTUAL PROPERTIES

Ownership: Ownership, title and access rights to all inventions and copyright materials are retained by the university to the extent that they are not specifically ceded to the project sponsor in the sponsorship agreement. State law, policy, and philosophical considerations dictate ownership retention by the university in all but a very few situations and then only upon the sponsor's bearing the full cost of the research. Sponsor access rights to the IP are, however, available and are negotiable between OSP and sponsor.

Proprietary Interest: The university has proprietary interest in any invention or copyright material produced with the aid of university resources. Sponsored research funds, regardless of source, are considered university resources for the purposes of this determination. If the university has a proprietary interest, the president of the university shall determine the manner in which the IP will be managed and utilized.

Disclosure: Any employee of the university who has made a discovery or invention or has produced a copyright work, which in his or her opinion has potential technical or economic utility and could be protected (by patent, copyright, or other practical means) shall bring such discovery or invention to the attention of the Intellectual Properties Committee by means of completing and submitting an Intellectual Properties Disclosure Form. The purposes of this disclosure are to determine if the university has a proprietary interest in the discovery and to evaluate its technico-economic potential.

Royalties: According to the university IP Policy, the inventor(s) and the university share equally in all royalties and other revenues resulting from commercial utilization, after protection and management expenses are recovered.

For additional details, see University Policy 13,000 on Intellectual Properties

FISCAL MATTERS

Cost Sharing: The University policy is to assume a cost-sharing commitment only when required by the sponsor or by the competitive nature of the award, and then to cost share only to the level necessary to meet the specific circumstances. Cost sharing is generally a departmental responsibility. In some instances, however, funds may come from a number of sources, including department, college, and university allocations.

Subcontracts and Consultant Agreements: Subcontracts and consultant agreements must be prepared to document any requirements, as stipulated by the sponsor, that may be applicable to the subcontractor or consultant. Such agreements also are required to maintain compliance with state procurement regulations. University policy precludes the payment of a university employee as a consultant on a sponsored program.

Indirect Cost Recovery: According to the Virginia Appropriations Act, each state agency that accepts a grant or contract shall recover full statewide and agency indirect costs as defined by the Department of Planning and Budget, unless (a) exempted from the provision by the Governor, or (b) prohibited by the grantor. Donations and gifts to the Virginia Tech Foundation are not subject to the provision of this section of the Appropriations Act, unless they are used to support normal research functions.

Fixed-Price Contracts: To the extent possible, the university will undertake sponsored projects on a "best effort" basis, without explicit warranties or guarantees of the tangible results to be obtained. Under certain circumstances, however, wherein the interests of the university can be adequately protected, the university may appropriately enter into a fixed-price contract.

Retroactive Cost Transfers: All costs subject to transfer must be processed to and recorded in the receiving account within 90 days of the initial charge or prior to the submission of the final expenditure report or final request for reimbursement to the sponsor, whichever occurs first.

Retroactive Salary Transfers: Personnel actions requiring retroactive transfers of charges associated with sponsored grants and contracts will be disallowed unless they meet either of the following two conditions: 1. The proposed transfer is completed within a ninety (90) day period which begins on the first day of the month immediately following the date of the affected charge (i.e. a charge made on March 15 has ninety days beginning on Aprill for corrective action); or 2. The proposed transfer is required as a part of the certification process and consistent with instructions for completion of the Personnel Activity Report.

Establishing Service Center Rates: User rates may be established and user charges levied for any support facility or activity, if it provides a significant level of service to sponsored programs. All rates require prior approval of the university controller.

PERSONNEL

Personnel Activity Report (PAR): The federal government requires the certification of Personnel Activity Reports to assure sponsoring agencies that the direct salaries charged to sponsored agreements are correct. Further, the university requires this same certification for all sponsored programs.

Continuous Enrollment: An individual who undertakes any form of graduate academic study within the university, including supervised research, or who uses any university facilities other than the library , or who consults regularly with a faculty member concerning graduate work, must be registered continuously and pay the prescribed fees. Registration is required for each semester until the completion of the degree. The number of credit hours should reflect the extent of study or research activity .

Graduate Assistants: Must be enrolled on a full-time basis. In addition, graduate assistants being paid from a sponsored program are not eligible to be paid for any other services.

Funding Ending Dates: Funding ending dates must be included on all personnel action forms for faculty, classified, and graduate student appointments when any part of the funding for the appointment is coded to Sponsored Programs or to cost-sharing accounts. Under no circumstances can the funding ending date for sponsored project personnel exceed the sponsored project duration.

RESEARCH ISSUES

Professional Ethics: Faculty members cannot expect honesty, integrity, or a commitment to any other value from their students until they have demonstrated complete commitment to such values. Such a commitment is displayed by observing the highest standards of professional behavior and community citizenship. For a full text of the university’s Professional Ethics Statement, see section 2.2 in the Faculty Handbook. (Insert link)

Research Agreements with Industry: Agreement formats offered by industrial sponsors may contain provisions that are inconsistent with the policies of the University as a nonprofit instru- mentality of the Commonwealth of Virginia. In addition, any written agreement committing the university to a sponsored effort forms a contractual relationship. It is essential, therefore, that each agreement be reviewed by the Office of Sponsored Programs and signed by a university official authorized by the Board of Visitors prior to acceptance or initiation of work thereunder.

Award Acceptance: All accepted awards must be in the name of the university. Awards specifying individuals or organizations within the university are not acceptable. The signature accepting the award on behalf of the university must be that of a university official delegated that authority by the Board of Visitors.

Publication: The university will not accept a sponsored program which denies the university the right to publish the results. However, the university may agree to: exclude privileged information from such publication; submit the proposed publication to the sponsor for review prior to publication; or delay publication for a reasonable period of time to permit patent applications.

Confidentiality: Privileged information, specifically identified as such by the sponsor, will be held in strict confidence. Each university employee undertakes this responsibility as a part of the employment agreement. The safeguarding of such information is primarily the responsibility of the Principal Investigator.

University Name: All written agreements will require that the sponsor obtain written permission from the university prior to using the university name in any advertising or public statement.

Security and Classified Research Projects: In view of the potential for conflict with a free and open university, the conduct of classified research is not encouraged on the Virginia Tech campus.

Conferences and Workshops: Conferences and workshops, on and off campus, must be administered by the Continuing Education Center.

HEALTH AND SAFETY

Human Subjects: The university and its faculty accept ethical and legal responsibility for the well-being and protection of all human subjects involved in research and classroom activities or demonstrations. All projects which involve human subjects must be reviewed and approved by the Institutional Review Board (IRE) on Research Involving Human Subjects, in order to document and minimize risk during the course of the project.

Laboratory Animal Care: Research involving laboratory animals must be reviewed and approved by the Animal Care and Use Committee. It is university policy that any equipment or space deficiencies found in projects involving laboratory animals be remedied using a portion of the indirect cost recoveries normally transmitted to the department.

Hazardous Materials: All sponsored program proposals that involve potentially hazardous materials must include adequate provision to fund the cost of compliance with federal and state safety and health regulations, as monitored by the university

Drug-Free Workplace: The use of drugs is incompatible with the goals of an academic community. Therefore, the use, possession, or manufacturing of any unlawful drug or controlled substance is strictly prohibited by Virginia Tech. Any employee who violates this prohibition will be subject to disciplinary action, up to and including discharge, and/or will be required to participate in a drug-abuse assistance or rehabilitation program.

Good Laboratory Practices: Non-clinical research related to any substance for which approval for use ultimately will be sought from the Food and Drug Administration must comply with certain regulations covering good laboratory practices. The sponsor for such research might be a Federal agency but is more likely to be a private (e.g. pharmaceutical or animal feed) corporation.