Research Policies
Principal Investigator Policy
Principal Investigators (PIs)/ Project Directors (PDs) must be full-time SUNY Cortland faculty or staff members, unless otherwise approved by the appropriate dean, unit head and/or provost. Visiting professors may submit proposals as PIs as long as the proposal clearly states that the individual has a one-year, visiting professor affiliation with SUNY Cortland.
Institutional Approval Requirements/Procedures
Institutional approval is required prior to submission of all applications for grants, contracts, subcontracts, cooperative agreements, and fellowships or other individual awards.
Institutional approval must be obtained, prior to submission, when estimated budget figures are required in letters of intent, letters of inquiry and pre-proposal documents.
The institutional approval process begins with proposal and budget review by the Research and Sponsored Programs Office’ staff. Approval is documented on the Internal Academic Approval of Sponsored Programs form. Signatures required on the internal routing form include the PI, Co-PI (where applicabale), chair, dean and RSPO representative. Projects requiring substantive affort, space or institutional cost share also must be approved by the provost and Vice President of finance and management. Review of financial obligations is coordinated by RSPO and approved separately by the Research Foundation fiscal officer and Operations Manager. All signatures are required prior to proposal submission. Signatures must be obtained two weeks prior to proposal deadlines.
Salary Recovery Charged to Sponsored Agreements
Academic Year: During the academic year, SUNY Cortland charges sponsors for the time/effort that a faculty/staff member devotes toward a sponsored project. The salary funds and related benefits received from the sponsor revert to the College, normally to the dean or vice president of the originating school/unit. Within the Division of Academic Affairs, the dean normally provides some of these funds to the department of the faculty member. In many cases, faculty salary and fringe benefits are used to support adjunct instructors while a faculty member is reassigned to work on a sponsored project. At Cortland, a minimum of 20% of a faculty member's salary and benefits is assessed per one course of reassigned time. Where there is a ceiling limit of funding from a sponsor and costs are not sufficient to reimburse the College for reassignment time, the faculty member will need prior approval for the College to cost share them. Reassignment time requires prior approval from the department chair and dean.
The salary and benefits charged to a sponsored agreement during the period of the award do not go to the faculty member as extra service since the faculty member is currently under institutional obligation for work done during the same period of time. The salary and benefit funds recovered from sponsored activity may be used for any appropriate College expenditure.
Summer: Faculty members on an academic year appointment may receive summer salary charged to a sponsored project. Summer salary is considered additional to the annual compensation paid by the College since the faculty member is not obligated to the College during the summer months. The amount paid to the faculty member and charged to a sponsored project is equivalent to one-ninth of the faculty member's academic year salary per summer month worked. The written prior approval of the college president is required to authorize payment of more than two months of summer salary to an individual faculty member during any one summer.
Income generated from salary recovery will be used to fulfill the agreed upon goals and objectives stated in individually negotiated sponsored projects. All remaining funds derived as income will be used to augment the campus research infrastructure using the following priority areas for consideration:
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Used as a backfill to cover faculty course reassignment where proposed in an agreed upon sponsored project budget;
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Used as incentives to encourage faculty participation in sponsored activity;
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Used as start-up funds for laboratory improvements, travel, or other identified needs to cultivate and support sponsored activity.
Distribution of Income: Once backfill is allocated to cover the costs of faculty reassignment, remaining income derived by individual projects will be distributed as follows:
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20% Provost;
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80% Deans who will distribute 50% to the originating department.
Procedures: The steps for processing salary recovery funds are available in the following offices: Business Office, Research Foundation, Research and Sponsored Programs, Provost, VP for Finance and Management, and Deans.
SUNY Cortland's Salary Recovery Policy is modeled after Cornell University's Funding and Salary Recovery policy. The above text has been adapted by Amy Henderson-Harr, RSPO, for SUNY Cortland.
Research Foundation Conflict of Interest Policy
No officers or employees of the Research Foundation should have any interest, financial or otherwise, direct or indirect, or engage in any business or transaction of professional activity or incur any obligation of any nature that is in substantial conflict with the proper discharge of their duties in the best interests of the Research Foundation.
No officers or employees of the Research Foundation should have any financial interest that will, or may be reasonably expected to, bias the design, conduct, or reporting of sponsored programs: https://portal.rfsuny.org/portal/page/portal/Intellectual_property/tto/POLICIES/mupol006.htm
SUNY Copyright Policy
Generally the members of the staff of the University shall retain all rights to copyright and publish written works produced by them. However, in cases where persons are employed or directed within the scope of their employment to produce specific work subject to copyright the University shall have the right to publish such work without copyright or to copyright it in its own name. The copyright will also be subject to any contractual arrangements by the University for work in the course of which the writing was done. Staff members will be expected not to allow the privilege to write and retain the right to their work to interfere with their University duties. In those cases where an author desires the help of University facilities, arrangements should be made through the administrative staff of his institution in advance with respect to the assistance which may be appropriately given and the equity of the University in the finished work. (Research Foundation of SUNY, 2000).
SUNY Consulting Policy
No SUNY employee may receive payments either directly or indirectly for consulting or lecturing services performed on any grant or contract administered at his/her same campus. The policy applies both to academic year and summer periods. In some cases, extra service or honoraria are appropriate funding mechanisms.
Fringe Benefit Cost Recovery Policy
All Research Foundation accounts that fund employee salaries (including hourly-paid)) are charged for the recovery of fringe benefit costs based on the current fiscal year's approved fringe benefit rates. Fringe benefit costs may not be waived.
Patent and Inventions Policy
The Patents and Inventions Policy of State University of New York outlines appropriate steps to be taken to ensure that the public receives the benefit of all inventions made by persons working in State University facilities. The June 1, 1977 Agreement between State University of New York and the Research Foundation states: "The University's Patent and Copyright Policy and implementation thereof shall govern all patent and copyright matters arising out of any sponsored programs covered by this agreement." In accordance with the Agreement, the Research Foundation has adopted the State University policy as its own. The "Current Guidelines of the Patent Policy Board" outlines the use and approval of exclusive licenses and option agreements, and provides a definition of "royalty." The patents and inventions policy of the State University of New York as approved by the Board of Trustees on September 19,1979 and amended on November 16, 1988 is available at : https://portal.rfsuny.org/portal/pls/portal/docs/page/intellectual_property/tto/policies/mupol001.htm and identified as Title 8, Chapter V, Subchapter B, Section 335.28 of the Official Compilation of Codes, Rules and Regulations of the State of New York. (Article XI, Title J, Section 1. of the Policies of the Board of trustees).
Extra Service
http://epss.rfsuny.org/content/policies/hrpol008.htmAn extra service employee is an exempt employee who performs services in addition to the duties and responsibilities required under the terms of the employee’s regular Research Foundation (RF) or State University of New York (SUNY) assignment. Compensation for an extra service employee is over and above full-time base salary as approved by SUNY and/or the Research Foundation. In accordance with federal guidelines and SUNY regulations, compensation for extra service must not exceed an amount equal to 20 percent of regular base salary rate in any academic year or 12-month period. Payments to SUNY employees for extra service require prior approvals.
At SUNY Cortland the key components of the extra service approved by the President’s Council May 11, 1987 are:
- Performance of extra service must not conflict with the employee’s primary function.
- Before an employee enters into any agreement to be compensated for extra service, the employee must seek and obtain approval from the President. M/C employees must obtain approval from the Chancellor.
- Compensation for extra service may not exceed an amount equal to 20% of base annual salary in any academic or calendar year. Summer employment of academic year obligation employees does not constitute extra service. However, for faculty during the academic year, “activities that are part of the normal professional obligation and for which an academic employee may be evaluated…and that are undertaken during the nine-month academic year obligation” should not be construed as “extra service.” In these cases, release time is the more appropriate.
For a copy of the full policy, please refer to the Extra Service Policy and Procedures for Academic and Professional Staff available within each department.
Research Foundation Honoraria Policy:
http://epss.rfsuny.org/nav/index.htmThe following describes the rules that apply to honorarium payments made by the Research Foundation: (1) if the service provider is a SUNY academic or professional employee THEN the honorarium payment must comply with SUNY policy (see next section); (2) if the service provider is a non-SUNY service provider THEN there are no restrictions on the honorarium payment; (3) if the service provider is a Research Foundation employee THEN an honoraria cannot be paid.
SUNY Honoraria Policy
SUNY policy does not allow SUNY academics or professional employees to charge a fee to deliver a lecture at other SUNY campuses. However, SUNY policy does authorize payment of honoraria. According to SUNY policy, honoraria may not be paid for work at the lecturer’s home campus and are limited to $100 a day plus expenses.
Effort Reporting Policy
The following Research Foundation (RF) and State University of New York (SUNY) employees must report and certify total effort, that is, the percent of the activity for which the employees are compensated and which they are obligated to perform:
- those expending effort on federally sponsored projects administered by the RF, with certain exceptions identified in Requirements of OMB Circular A-21 in the procedure document About Reporting Salary Distribution for Certification of Personal Activity;
- those expending effort in the form of cost participation on non-federally sponsored projects administered by the RF that require cost participation;
- those expending effort on non-federally funded RF projects used to satisfy the matching requirements of federal accounts.
For a copy of the full policy see: http://epss.rfsuny.org/nav/index.htm.
Research Foundation Operations
Operations Manager
Each campus of the State University has an Operations Manager who is responsible for the overall complianceof Research Foundation administration on the campus. SUNY Cortland’s Operations Manager is the Vice President for Finance and Management. Fiscal operations are assigned to the Business Office. The Associate Vice President for Finance oversees the Fiscal Office for Research Foundation matters and takes responsibility for all post-award fiscal administration of Research Foundation activity. Financial transactions associated with grants are entered on a terminal by RF Business Office staff and are transmitted to the Research Foundation computer system located in Albany.
Procedures
The Research Foundation is the fiscal administrator of all external grants and contracts which are carried out in the colleges and university centers of SUNY. Since 1977 the Foundation has had a formal contract with SUNY describing the terms and conditions of the services it performs for SUNY. The Research Foundation is located at 35 State Street, P.O. Box 9, Albany, New York 12201-0009. The Research Foundation is a private, nonprofit, educational corporation whose role in the State University of New York is to aid in the orderly, effective, and appropriate management of all external funds supporting SUNY sponsored projects and activities.
Grants and contracts are not awarded to individuals nor even to individual campuses but to the Research Foundation. The Research Foundation is considered SUNY Cortland’s legal representative, authorized to bind the College contractually, after coordination and discussion with the campus. It is for this reason that, on application forms, the applicant is designated as “The Research Foundation of SUNY on behalf of and in conjunction with the State University College at Cortland.” This campus submits proposals directly to the funding agency and a copy of each proposal is forwarded to the Research Foundation in Albany after an award has been made. The RSPO authorizes campus acceptance of all grant and contract terms and conditions in consultation with assigned RF representatives.
General Policies Regarding the Use of Human Participants and Animals in Research
INSTITUTIONAL HUMAN PARTICIPANTS POLICY
SUNY Cortland acknowledges and accepts its responsibilities for protecting the rights and welfare of human participants of research. The institution is guided by the ethical principles regarding all research involving humans as participants as set forth in the report of the National Commission for the Protection of Human Subjects of Biomedical and Behavioral Research entitled Ethical Principles and Guidelines for the Protection of Human Subjects of Research. In addition, the requirements set forth in Title 45, Part 46 of the Code of Federal Regulations (45 CFR 46) will apply to funded research and, for the requirements for reporting information to Health and Human Services (HHS), all other research without regard to source of funding. This section of the Code was most recently revised in November 2001 and is referred to as the Common Rule. It has been adopted by HHS and other federal agencies. Briefly, the HHS requirements state:
- The involvement of human participants in research will not be permitted until the IRB has reviewed and approved the research protocol and informed consent has been obtained.
- The IRB will conduct a review of ongoing research at appropriate intervals but not less than once a year.
SUNY Cortland's Institutional Review Board Policies and Procedures provide guidance and requirements for investigator and student researchers.
Health Insurance Portability and
Accountability Act of 1996 (HIPAA)
HIPAA regulates organizations, businesses, and health care groups’ use and handling of personal identifiable health information (PIHI). The HIPAA Privacy Rule establishes the conditions that certain entities can use or disclose PIHI –including research purposes. HIPAA preempts State laws related to privacy of health information; that is, states may do more, but not less than the HIPAA requirements.
Health Insurance Portability and Accountability Act (HIPAA) Sponsored Research Policy Statement:
All research studies at SUNY Cortland are reviewed to determine if the researcher functions as a part of a HIPAA defined health care plan, clearinghouse or a health care provider that performs one of the standards electronic transactions. For human research participants protocols, the Institutional Review Board (IRB) or its designee, shall serve as the final determiner for HIPAA compliance. For sponsored and non-sponsored research programs, the Assistant Vice President of the Research and Sponsored Programs Office (RSPO) shall determine HIPAA compliance. If the researcher performs one of the electronic transactions or serves as a clearinghouse, the researcher shall disclose his or her procedures for adherence to HIPAA legislation and regulators to either the IRB or RSPO.
SUNY Cortland is committed to complying with all state, federal, and HIPAA rules and regulations with regards to the rights of human research participants. Thus, investigators who believe they may be dealing with medical information should read the HIPAA rules (found at: http://www.hrsa.gov/telehealth/pubs/hippa.htm) and contact the Institutional HIPAA designee, Director, Student Services.
Use of Animals
SUNY Cortland takes responsibility for the humane care and use of animals in projects. We are committed to comply with the Principles for the Use of Animals, the Guide for the Care and Use of Laboratory Animals (http://grants.nih.gov/grants/olaw/GuideBook.pdf), the provisions of the Animal Welfare Acts, and other applicable laws and regulations (PHS Policy on Humane Care and Use of Laboratory Animals: http://grants.nih.gov/grants/olaw/references/phspol.htm. We have appointed and will maintain a committee of at least five members to maintain oversight of our animal care program. The members have appropriate education and experience to perform their duties with respect to the types of animals and species used and the kinds of projects to be undertaken. If the conduct of a specific project is to be reviewed, the quorum will not include any member having an active role in the project. Changes in membership will be reported annually to the Office for Protection from Research Risks, National Institutes of Health. In addition to the Chairperson, the committee consists of faculty and community representatives, including a veterinarian.