Awards and Award Management: Policies

Administration of Research and Training Grants or Contracts: Procedure for Institutional Review of Grants or Contracts for Research, Teaching or Training Grants, and Faculty Fellowship or Investigator Awards

• Principal Investigator
  • Consultation Services
    1. Assistant Dean for Research - assistance in preparation and evaluation of applications and interpretation of institutional and agency policies
    2. Director of Foundation Relations, Office of Development and Alumni Affairs - sources of extramural support
    3. Directors of Research Cores - appropriate charges, services available, animal space requirements
    4. Director, Grants Management, Controller's Office - fiscal policy, budget preparation and management
    5. Purchasing Agent - equipment and supplies
    6. Department Chairman/Dean and Vice President - must approve if proposal involves new faculty, additional space, or renovation.
• Department Chairman
  (approval)
• Institutional Review Board
  (approval only if involves participation of human subjects)
• Director, Grants Management, Controller's Office
  (approval of new faculty positions)
• Assistant Dean for Research
  (institutional approval)
• Dean or Representative
  (informational review)

Notes on Review Procedures

1. Instructions and forms for applications to the National Institutes of Health may be obtained from the Office of Research website.
2. Investigators are urged to take full advantage of the consultation services available. It is recommended that investigators consult with the Assistant Dean for Research or the Director of Sponsored Research concerning the narrative portion of the application when copy is in semi-final stage (before typing on agency forms). If laboratory animals are to be used, the Director of the Animal Resources Program should be consulted concerning animal space requirements and costs of procurement and maintenance of animals. Realistic budget figures for computer services, biomedical engineering, and audiovisual resources should be obtained from the appropriate Director. A full list of all equipment items and major or unusual supply items should be submitted to the Purchasing Agent to obtain realistic price information.
3. The front sheet (face page) of all grant applications must be initialed in ink by the department chairman or an authorized representative. This signifies that the grant has been reviewed in terms of the objectives of the department and its programs and:
   1. The project is sound, well presented, and likely to be approved by the agency or foundation to which it will be submitted.
   2. The objectives are likely to be achieved in the stated time.
   3. The budget is realistic and items are deemed essential to the successful prosecution of the project. In the case of equipment requested, no similar equipment is available or suitable for use. Salaries for non-faculty personnel are consistent with institutional ranges for persons with similar qualifications, experience and responsibilities.
   4. The project can be conducted in presently allocated space (unless alteration or new space has been previously approved by the Dean).
   5. The percent of effort committed to the project by the personnel indicated is realistic and will not jeopardize other expected duties and responsibilities of the individuals involved.
4. Modified procedure for requests for Intramural Research Support funds: guidelines for preparation of applications may be obtained from the Office of Research or the Office of Research website. After approval by the Department Chairman, applications are sent directly to the Office of Research.
5. If human subjects are involved in the proposal, the "Protocol Review Form" of the Institutional Review Board (obtained from the Office of Research or the Office of Research website) must be completed. The Institutional Review Board is described in Federal regulations, and all applications must conform to the regulations concerning protection of human subjects.
6. If live vertebrate animals are involved, the following statement should appear at the end of the application: "The animal facilities of The Wake Forest University School of Medicine are fully accredited by the Association for Assessment and Accreditation of Laboratory Animal Care, International (AAALAC, Int.)."
7. Deadlines - In order to allow a satisfactory institutional study, all applications must begin the review process at the level of the department chairman at least 8 working days prior to the deadline of the agency or foundation concerned.