Deputy Director & Vice President for Research

Administration of Non-government Restricted Research Accounts (25s)

There are times when funding is received from non-government sources for restricted research, either through a formal solicitation (proposal) or an informal conversation. The following is the policy for the administration of those funds.

  1. Should funding be received that has not been formally solicited through a proposal, it will be necessary for the Department Office to prepare the necessary documentation so that the Grant and Contract Services Office can assign an appropriate account number. This will also assist the Development Office in monitoring the project for reporting purposes. This should include:
    1. Obtaining a title and brief description for the work to be performed from the Principal Investigator.

    2. Defining the performance period by the Principal Investigator (usually one year from date of receipt of funds if it had not been determined beforehand).

    3. Entering the information into Salary Work-up and Proposal Log. Providing a budget for funds received.

    4. Sending a copy of all of the above documentation to Grant & Contract Services and the WHOI Development Office, if appropriate.

  2. There are some non-government funding sources (foundations and corporations) which have specific spending and reporting policies, and others which have none. By using the funds from those organizations with a written policy, WHOI accepts their terms, if appropriate, and requires the Principal Investigator to do so as well. Should there be no specific regulations, WHOI will impose the following.
    1. The project will remain active for the period of performance specified by the Principal Investigator at the time of the receipt of funds (usually one year).

    2. If there are funds remaining at the end of this period, the Principal Investigator may request a one-time, six-month, no-cost extension from the Director of Foundation and Corporate Relations, who will relay the information to the Manager of Grant and Contract Services. The appropriate Grants Administrator will notify the Department Office once the period of performance has been revised in the various systems; i.e., Bitech, Proposal Log.

    3. Only under special circumstances will another extension be granted, which must be requested in writing and reviewed by the Director of Research with guidance from the Manager of Grant and Contract Services and/or the Director of Foundation and Corporate Relations.

    4. It is the responsibility of the Department Office to monitor these non-government restricted research accounts (25’s), like all other accounts, on a monthly basis and remind the Principal Investigators of any impending end to a period of performance.

    5. Should there be any funds remaining at the end of the extension(s), at the direction of the Development Office, the funds will either be returned to the funding organization or transferred to the general WHOI funds for discretionary use.

    6. Written performance and/or accounting reports will be made to the funding organization on an annual basis and/or at the end of the performance period, if appropriate. The Development Office will assist in the preparation of the performance report(s) and will attempt to remind the Principal Investigator well in advance of the reporting due date.
Approved by:
James R. Luyten
Executive Vice President and Director of Research
September 1, 2002

Last updated: January 25, 2010