Checks should be made payable to Baylor University. If the principal investigator receives a
check for a grant or contract, it should be hand-carried immediately to the OSP. Any correspondence
or other papers that will help identify the study should accompany the check.
The principal investigator is responsible for the day-to-day administration and direction of the
approved project. In order to carry out this responsibility, the principal investigator should
be aware of all grant/contract terms and conditions and should give special attention to those
terms and conditions regarding budget limitations; patents and copyrights; inventions; confidential
information; safety and security; and required reports.
Each sponsor may have specific requirements regarding changes to the scope of the project or modifications
to the approved budget. Any changes should be discussed with the OSP. This is especially important
regarding changes in project duration or the budget, as Baylor may have expanded authority to approve
changes to certain grants without referring back to the sponsor.
For grants/contracts requiring sponsor's prior approval, correspondence with the sponsor requesting such
changes must be approved/co-signed by a University official on behalf of Baylor. Once written approval
is received from the sponsor, the principal investigator and Grants Accounting will receive notification.
The principal investigator is responsible for complying with all reporting requirements and deadlines,
as specified by the sponsor. Therefore, principal investigators should read the sponsor's guidelines
carefully to ascertain what reports are required, their frequency, and preparation instructions. Formal
financial reports will be prepared by Grants Accounting at the principal investigator's request and sent
to the principal investigator for review prior to being sent to the sponsor.
University Time and Effort Certification
Baylor faculty and staff who have either charged effort directly to a sponsored project or who have
committed cost shared effort to a sponsored project are required by federal regulations to verify
and certify to such effort. Baylor uses a plan-confirmation system to meet the federal requirements
for reporting personnel effort. Under the plan-confirmation method, salaries and wages are initially
distributed to activities based on estimates of the individual's planned effort. The employee's effort
distribution must be adjusted for any significant changes in actual effort and the actual effort of the
employee must then be certified on an after-the-fact basis. For more details refer to
Transfer to Another Institution
If a principal investigator anticipates leaving Baylor University for another appointment, the OSP
and the Office of the Vice Provost for Research should be notified immediately. If requesting a
transfer of extramural support to another institution, specific written approval must be obtained
from Baylor, the anticipated recipient institution, and the funding agency.
If the principal investigator becomes unable to serve as the lead investigator on a grant and wishes
to relinquish the grant, (s)he nominate another Baylor faculty member as the lead principal investigator.
Written permission from both Baylor and the sponsor must be obtained. In all such cases, the OSP can
Most research agreements specify that an initial payment will be made upon receipt of a fully executed agreement.
Often, the sponsor may also require additional invoices to cover the cost of the project as defined by the contract period.
Grants Accounting will provide invoices to the sponsor based on the payment schedule defined within the research agreement.
Baylor retains ownership of and title to most capital equipment purchased with sponsored research funds.
Equipment should not be sold, transferred, or otherwise disposed of without first notifying the OSP.
The office is responsible for researching and determining agency specific regulations governing the sale,
transfer, or disposal of equipment purchased with sponsored research funds.
General guidelines concerning title to capital equipment permit full vesting upon close-out of the award
under which the property was acquired. There may be special circumstances, such as the transfer of
a principal investigator to another institution, when arrangements can be made to transfer property to
another institution. In these situations written approval is required by both the awarding agency and Baylor,
and may require reimbursement for the equipment. Arrangements should be coordinated through the OSP.