UNIVERSITY OF PITTSBURGH POLICY 11-01-02
CATEGORY: RESEARCH ADMINISTRATION
SECTION: Research
SUBJECT: Rights, Roles, and Responsibilities of
Sponsored Research Investigators
EFFECTIVE DATE: April 3, 1992
PAGE(S): 4
I. SCOPE
This policy establishes the roles, rights, and
responsibilities of faculty investigators in the management
of sponsored research projects, the protection of the
academic and research integrity of such projects, and the
resolution of conflicts with colleagues and administrative
supervisors.
II. POLICY
The University should not accept awards or enter into
agreements for the support of research which confer upon
another party the power to censor or exercise effective veto
over the dissemination of results and conclusions arising
from research. Short delays, usually up to six months, may
be permitted to allow industrial sponsors to take out patent
applications; these conditions must be specified in the
initial awards.
- No agreement should preclude the right of researchers to
publish the results of their research. See Policy 11-02-
01, Patent Rights and Technology Transfer and University
policy on Secret Research for certain exceptions.
A member of a research team who questions in good faith the
handling of a research project should be protected from
reprisals by other researchers or administrators. On the
other hand, researchers require equal protection from
unsupported charges or charges made out of ignorance,
misinterpretation, or malice.
The University and its agents will operate under University
policies on Sponsored Projects or revision of those policies.
It is understood that all the rights and responsibilities set
forth in these policies are subject to any legal constraints,
to the availability of sufficient resources to meet these and
competing demands, and all existing University policies.
Investigators have basic rights to an environment that
facilitates research, and the University should encourage and
facilitate research. On all sponsored projects, the
University shall make reasonable efforts to:
- Expedite hiring of staff and faculty to enable work to
proceed from the start of the award
- Assist departments, schools, the Office of Research, and
the Office of Research Accounting to facilitate
administrative tasks
- Meet the terms and conditions of the sponsored award in
collaboration with the Investigators
- Disseminate to appropriate staff and faculty this
document as well as more detailed procedures, methods,
and responsibilities, and including checklists of
administrative procedures and timetables
- Improve and expedite the delivery of essential university
services to Investigators by facilitating communication
between Investigators and administrators to solve
problems related to sponsored research
- Provide timely notice of all awards to Investigators and
to provide notice to investigators of special conditions
that require University and/or Investigator acceptance
- Provide timely and accurate monthly accounting reports to
Investigators
Investigators have the following responsibilities:
- To create the project
- To inform all responsible administrative persons of the
aims, needs, and expectations of the project early
enough so that all parties understand the full
implications and meanings of the award
- To avoid conflict of interest
- To maintain academic and research integrity
- To ensure that research is conducted safely and in
compliance with all state and federal health and safety
regulations
- To conduct the work supported by the award in a timely
and professional manner
- To conduct the project in a manner consonant with the
teaching and research mission of the University
- To submit progress and final reports as may be required
under the terms of the award
- To follow University and sponsoring agency guidelines for
the use of animal and human subjects in research
- To report patentable and other commercially valuable
findings in accordance with the University Patent Policy
- To acknowledge all sponsors of the research project in
any official communication regarding the research
The Principal Investigator has the following additional
responsibilities:
- In collaboration with Co-Principal Investigators, to
develop the project, allowing adequate time for review
and comments by department and school officers, relevant
research review committees, and the Office of Research
- To share with all Co-Principal Investigators the planning
and development of the project to meet the objectives of
the award
- To take appropriate action so that the Office of Human
Resources clearly states the terms of appointment of non-
signatory staff members, including secretaries and
research staff
- To follow the guidelines on appointment and termination
for all research associates and research fellows
- To ensure compliance with the specific terms and
conditions of each award as stated in the contract or
grant documents and with all administrative requirements
- To manage all budgetary matters relating to the project,
among those including: incurring expenditures made prior
to the receipt of a fully executed award only after
obtaining specific authorized approval, controlling
expenditures so as not to exceed the total amount of
funds awarded, and adhering to specific budget category
expenditure limits; obtaining prior approvals (from the
agency and the University) for budget changes; reviewing
monthly accounting reports and, upon expiration of the
contract, making adjustments to clear all expenses
Investigators have the following rights:
- The individual Investigator should not be the subject of
institutional coercion with respect to particular
research projects
- Once signed and submitted, the University should not
modify or change the proposal without consultation with
Investigators
- Once accepted by the University, the University must not
change the condition of the award unless unusual or
extenuating circumstances arise; and in such
circumstances changes will be made with full
consultation of the Investigators; Investigators have
the right to appeal such decisions
- Investigators have full right to publish their findings,
except as provided under the University Patent Policy
and Policy on Secret Research. Authorship credit should
reflect the relative contribution of research team
members, should be determined as early as possible in
the project, and should be given only to active
participants in the project
Settling Disputes
Investigators should attempt to resolve disputes with
administrative officers or among professionals engaged in
research by informal means. Disputes may arise because of
interpretation of this policy or other reasons involved in
the project. All parties should present their views to the
next higher level administrator in an effort to achieve
mutually agreeable solutions.
Procedure 02-03-01, Faculty Grievances, (or its revision)
establishes the procedure for settling disputes that arise
under this policy or disputes arising for other reasons
involved in the project. Investigators (including research
associates) who are unable to achieve a mutually agreeable
solution on their own initiative will then invoke the Faculty
Grievance Procedure for settling the dispute.
Disputes over research issues require evaluation by persons
familiar with the scientific, intellectual, or managerial
issues involved. In disputes on research awards, especially
when there are accusations of disputed ownership of data,
misuse of funds or violations of accepted practice, review
panels must include persons with specific intellectual or
scientific qualifications.
In cases of alleged scientific, intellectual misjudgment, or
fraudulent reporting or any other matters subject to Policy
11-01-10, Research Integrity, the University will follow this
policy or its revision.
Implementation
Concerns and problems of Investigators arising from issues
addressed in this policy should be reported to the
University Senate Executive Committee for referral to
appropriate Senate committees and/or to the University
Research Council.
Review
The University Senate Executive Committee and the University
Research Council should evaluate the operation of this policy
biannually.
III. REFERENCES
- Policy 11-02-01, Patent Rights and Technology Transfer.
- Policy 11-01-10, Research Integrity.
- Policy 11-01-03, Conflict of Interest in Research.
- Procedure 02-03-01, Faculty Grievances.