Sponsored Research Agreement Review Procedures
Research Administration and Finance 

I. Introduction 

All sponsored research agreements are negotiated by Research Administration and Finance (RAF). When negotiations are completed, the agreement may only be signed by the Director, RAF or other Institute officer who has a specific delegation of authority from the Board of Trustees of Rensselaer to sign agreements on the Institute's behalf. 

A. Proposal Review and Preparation 

A research proposal, following written submission to RAF by a Principal Investigator (PI), is reviewed by a RAF Grant Administrator in collaboration with the PI. All required documentation is prepared by the Grant Administrator with the assistance of the PI, including the budget and scope of work, and is submitted by RAF to the sponsor in a timely fashion.
Should the PI become involved in any preliminary discussions with the sponsor regarding proposed agreement terms, the PI should be aware of the basic elements of the Institute’s policies concerning sponsored research agreements, particularly those reflected in the Criteria for Bayh- Dole Review, and the Criteria for IP Review, set forth in Part II below. The PI is also encouraged, at any stage, to contact RAF for assistance or to determine any current relationships or pertinent history with the sponsor that may be of use in the proposal development and agreement finalization. When discussions are held between sponsor representatives and Rensselaer faculty or staff, it should be understood that these are preliminary only and cannot bind Rensselaer.
If the proposal is accepted, the sponsor will submit for Rensselaer’s approval and execution a research agreement, which will be managed under the procedure set forth below. 

B. Summary of the Agreement Review Process and Expected Timelines 

1. The agreement is received by RAF and immediently entered into an Agreement Log upon receipt. The PI is notified of receipt of the agreement by email.
2. Within 1 to 3 business days, the agreement is assigned to a Grant Administrator for initial review.
3. If the agreement contains Rensselaer-defined standard terms, RAF reviews the agreement with the PI and, if acceptable to the PI, executes the agreement. Standard processing time is aproximately 7 business days.
   1. If the award involves non-standard terms, further review and discussion is necessary. This process is coordinated by RAF, in active collaboration with the PI, and as necessary, representatives of the Office of General Counsel, and the Office of Technology Commercialization (OTC). This process involves the following steps:
      1. Entry of the agreement in a “Negotiation” log;
      2. Review of the agreement to determine compliance with Bayh-Dole obligations;
         (See Criteria for Bayh-Dole Review, set forth below)
      3. Review of the agreement for IP ownership, licensing and option issues; (See
         Criteria for IP Review, set forth below)
4. Weekly meetings occur at RAF with legal counsel and OTC, as needed, to discuss the status of all outstanding agreements. At each meeting, action items are determined for each unresolved agreeement and memorialized in the Negotiation log. Email or telephone communication is made to the PI regarding new developments as they occur, and at least weekly. 
   
5. ​RAF commences communications and negotations with the agreement sponsor. If the negotiation process does not result in a mutually satisfactory agreement, RAF will confer with the PI, and if necessary, refer the matter to the Appeal Process.
   

C. Tracking the Process of Research Awards 

An essential step in the process is to establish effective communications with members of the Rensselaer faculty and staff who are now, or may in the future become, involved in sponsored research. RAF has a detailed process in place to track research awards from the date that they are received in RAF until they have undergone the complete review process and are either fully executed or declined. The agreements are logged in when received and dates and pertinent information are recorded for each step of the process. RAF also has a detailed process in place to track: (1) which agreements are in the negotiation process; (2) what problems have been identified in the agreement; (3) what has been accomplished regarding each agreement at any given stage of the negotiation process; and (4) exactly when this information has been communicated to the PI. The PI is frequently informed of the status and of new developments as they occur and is copied on all correspondence related to the negotiation process. The PI is also welcome to contact the Director, RAF at any time, by phone or by email, to ascertain the precise status of pending agreements.