RIT Terms and Conditions for Externally Sponsored Research

Overview

Sponsored research awards support important work and also create institutional and sponsor obligations. Requirements vary by sponsor, award instrument, and project activity. Sponsored Research Services (SRS) helps principal investigators and their teams understand these requirements and manage them throughout the award lifecycle.

RIT receives sponsored funding from federal, state, foundation, nonprofit, and private sources through grants, contracts, cooperative agreements, subawards, and other agreements. Because requirements can overlap or differ, investigators should review both the general guidance on this page and the award-specific information in Novelution.

Quick Reference Guide

RIT Research Terms & Conditions Principal Investigator (PI) Quick Reference Guide

Your Responsibilities as a PI

As the Principal Investigator, you are responsible for conducting your project in accordance with sponsor requirements, RIT policies, and all applicable regulations. Sponsored Research Services (SRS) and Sponsored Programs Accounting (SPA) are available to help you navigate these requirements. 

Before You Begin

☐ Review your award-specific terms and conditions.

☐ Complete any required compliance approvals (such as COI disclosure, training, IRB review) before starting work.

☐ Ensure project personnel are aware of project requirements and sponsor expectations.

☐ Contact SRS if you are unsure whether an activity requires sponsor approval.

Key Compliance Areas

Training

Many sponsors are requiring training in the following areas:

  • Computer security 
  • Responsible conduct of research
  • IRB
  • Export control

If training is required, RIT has partnered with CITI Program. Additional information is available at RIT CITI training and CITI program enrollment instructions.

Project Disclosure

Provide project personnel with the following information:

  • Principal Investigator name
  • Project title
  • Project abstract
  • Sponsor name
  • Funding amount
  • Project period
  • Any classified information requirements

Project information is available through RAPID. 

Budget Changes & Prior Approvals

Contact SRS and SPA before making significant project changes, including:

  • Changes to project scope or objectives
  • Shifting work to subcontractors or consultants not originally approved
  • Changes involving participant support funds (federal only)
  • Significant reductions in PI effort
  • PI or Co-PI changes
  • Equipment purchases that may change project scope

Human Subjects Research

If your project involves human participants:

  • Obtain HSRO approval before beginning research activities.
  • Maintain approvals throughout the project.
  • Complete annual reviews when required.
  • Coordinate participant payments with SPA.

Conflict of Interest

You must:

Intellectual Property

Promptly disclose potentially patentable or copyrightable inventions, software, data, or other intellectual property to the Intellectual Property and Technology Transfer Office (IPTTO).

Travel

Follow RIT travel policies.

For federally funded international travel:

  • Comply with Fly America Act requirements.
  • Use approved travel arrangements when appropriate.

Export Control

Before beginning project activities:

  • Ensure export control requirements have been reviewed.
  • Follow any Technology Control Plan (TCP) issued for your project.
  • Contact RIT Research Security or SRS if project activities change.

Record Retention

Maintain project documentation according to:

  • Sponsor requirements
  • RIT policies
  • Applicable records retention requirements

Electronic records are generally acceptable unless otherwise specified.

Need Help?

Contact SRS For:

  • Sponsor terms and conditions
  • Prior approvals
  • Compliance requirements
  • Subawards
  • Export control concerns
  • Project changes

Contact SPA For:

  • Budget questions
  • Expenditures
  • Financial reporting
  • Participant payments
  • Account management

RIT Specific Research Requirements

Downloadable copy

Regardless of funding source or agreement type, the following items below are RIT terms and conditions that PIs must adhere to on all sponsored research projects. 

RIT Policy C01.0 provides that RIT faculty, staff, and students have the right to know the pertinent details of externally sponsored research projects, including the identity of the sponsor. Principal investigators must inform students and staff working on the project of the applicable details.

Pertinent details include:

  • principal investigator name
  • project title
  • project abstract
  • sponsor and original source of funds, if different
  • project funding amount
  • project duration
  • whether classified information is involved

Project information is available through RAPID, the front-end data viewer for Novelution.

Notify SRS and SPA before taking action when a proposed change may require institutional or sponsor review. Common examples include:

  • moving project work to a subrecipient or consultant when it was not included in the approved budget
  • changing the project objectives or scope
  • moving funds out of participant support when sponsor approval is required
  • changing the PI or co-PI
  • a PI or co-PI disengaging from the project for a continuous period of three months or more
  • reducing a PI or co-PI commitment to the project by 25 percent or more

Equipment reminder: Purchasing equipment that was not included in the approved proposal may be viewed as a change in scope. Consult SRS and SPA before redirecting funds to equipment.

Projects involving human subjects must comply with applicable sponsor and RIT requirements. Human-subjects work may not begin until the RIT Human Subjects Research Office has completed its review and issued the required approval or determination. Submit the request through Novelution.

Before paying research participants, consult SPA about required documentation and applicable financial procedures. Investigators are also responsible for maintaining any required continuing or annual review.

Questions: hsro@rit.edu

Principal investigators must comply with RIT conflict of interest and commitment requirements and update their disclosures when circumstances change. The RIT compliance website includes policy information, training, annual disclosure guidance, and information about managing conflicts.

Promptly disclose potentially patentable or copyrightable project results to the RIT Intellectual Property and Technology Transfer Office. Delayed disclosure may limit RIT’s ability to protect project-related intellectual property.

Project travel must follow RIT travel policies and procedures, together with any stricter sponsor or award requirements.

For federally funded international travel, the Fly America Act generally requires use of U.S.-flag air carriers to the maximum extent applicable. Travelers should identify the trip as federally funded when working with an RIT-approved travel agency and should consult SRS or SPA when an exception may apply.

An export-control determination must be completed before sponsored project activities begin. The determination is based on the proposal’s export-control compliance information and the award terms. Principal investigators are responsible for conducting project activities in accordance with applicable export-control requirements and any Technology Control Plan issued by RIT.

Contact SRS if project personnel, locations, equipment, technology, collaborators, or activities change in ways that could affect the export-control determination.

RIT must retain sponsored-project documentation for audit and archival purposes after the project closes. Project closure generally requires completion of financial activity and submission and acceptance of final reports or deliverables. Novelution and SPA systems retain many institutional records, but researchers must also maintain project records in accordance with the award and RIT requirements.

Retention periods vary by sponsor, award, record type, and applicable law or policy. Do not dispose of project records based only on a general timeframe. Review the award-specific retention requirement and consult SRS or SPA when uncertain.

Reporting deadlines are award requirements! Timely submission of all technical reports, deliverables, and closeout documents helps maintain sponsor confidence, supports future funding opportunities, and ensures continued compliance with award terms and conditions.

Proposal and Award Records in Novelution

Proposals and awards are processed in the Novelution Research Management System. Each proposal is assigned an SRS record number in the format SRS000xxxxxx. If a proposal is funded, the record remains in Novelution and changes from a proposal record to an award record. The record stores award documents, reminders, and other information for the principal investigator.

Important: The sponsor agreement, award notice, incorporated policies, and award-specific terms govern the project. This webpage is general guidance and does not replace those documents.

Sponsor-Specific Terms and Conditions

Each sponsor and award may include its own requirements. The principal investigator is responsible for conducting the project in accordance with the award, while SRS and SPA provide administrative and financial support.

SRS prepares an award-specific Terms and Conditions Summary and places it in the “Award & Related Documentation” section of the Novelution award record. Investigators should use that summary together with the full award documents and contact SRS when a term is unclear or project circumstances change.

Project Initiation Meetings

When requirements are complex, unusual, or unclear, SRS may arrange a project initiation meeting (PIM) with the principal investigator, the SRS post award representative, and the projects SPA representative. The purpose is to review responsibilities, discuss award-specific requirements, and identify questions before they become compliance or administrative issues. PIMs are also held in person or over Zoom for PIs new to RIT or sponsored research in general. 

If you would like to schedule a PIM for your project, please reach out to your post award representative. Contact information may be found here - SRS Post Award

Roles and Contacts

Sponsored Research Services (SRS)

SRS, on behalf of the Vice President for Research, works with principal investigators and project teams to interpret sponsor and agreement requirements, coordinate required approvals, and address post-award administrative questions.

Sponsored Research Services contacts

Sponsored Programs Accounting (SPA)

SPA manages the financial aspects of sponsored projects. Contact your SPA representative with questions about project accounts, expenditures, invoicing, financial reporting, or other award-finance matters.

Sponsored Programs Accounting contacts