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Office of the Vice President for ResearchIowa State UniversityUnit: Office of the Vice President for ResearchEffective: April 2011Reviewed/Revised: January 2018Contact: [email protected] HandbookA Guide to the Research Process at Iowa State UniversityThis document is located on the Office of the Vice President for Research website. Departmentscontributing to the handbook include the following: Attending Veterinarian Grants Hub Environmental Health and Safety Iowa State University Research Foundation, Inc. Iowa State University Research Park Laboratory Animal Resources Office for Research Integrity Office for Responsible Research Office of Economic Development and Industry Relations Office of Intellectual Property and Technology Transfer Office of Sponsored Programs Administration Office of the Senior Vice President and Provost Office of University Counsel Office of the Vice President for Research Sponsored Programs AccountingInvestigator HandbookPage 1 of 41

Office of the Vice President for ResearchIowa State UniversityUnit: Office of the Vice President for ResearchEffective: April 2011Reviewed/Revised: January 2018Contact: [email protected] of ContentsIntroduction .5Using this Guide . 5Commitment to Compliance . 5People and Places .5Office of the Vice President for Research . 5Grants Hub . 5Office of Sponsored Programs Administration . 6Office for Responsible Research . 6Office of Research Integrity. 6Attending Veterinarian . 6Laboratory Animal Resources . 6Office of Biotechnology . 7Sponsored Programs Accounting . 7Office of Economic Development and Industry Relations. 7Iowa State University Research Foundation . 7Office of Intellectual Property and Technology Transfer . 7Center for Industrial Research and Service . 8Pappajohn Center for Entrepreneurship . 8Small Business Development Center. 8Research Park . 8Identifying Funding Opportunities 9Finding Funding Assistance . 9Workshops and Seminars to Secure Funding . 9Limited Submissions . 9Internal Funding Opportunities . 9Cost Sharing Programs . 9Cost Sharing – Sponsored Programs . 10Cost Sharing that Involves Building or Land . 10Cost Sharing – Faculty Development . 10Institutional Letters of Support . 10Seed Grants . 11Using Electronic Resources. 11Other Online Resources . 11Email Funding Alerts. 11Investigator HandbookPage 2 of 41

Office of the Vice President for ResearchIowa State UniversityUnit: Office of the Vice President for ResearchEffective: April 2011Reviewed/Revised: January 2018Contact: [email protected] with Industry 12Preparing and Submitting a Proposal .12General Information . 12GoldSheet Process . 13Proposals to Industry (For-profit Corporations). 13Proposals to Foundations . 14Vice President for Research. 14College/Department/Unit . 14Principal and Co-Principal Investigators . 14The Grants Hub . 14The Library . 15Office of Sponsored Programs Administration. 15GoldSheet Process . 16Receiving and Administering Awards .16Receiving Awards. 16Roles and Responsibilities in Award Management and Monitoring . 17College . 17Lead Department/Unit . 17Principal and Co-Principal Investigators . 17Grants Hub . 18Office of Sponsored Programs Administration . 18Office of Intellectual Property and Technology Transfer Industry Contracts Team . 19Sponsored Programs Accounting . 19Conducting Research Safely and Responsibly 22Compliance Committee Approvals . 22Research Involving Animals . 22Research Involving Biohazards . 24Research Involving Human Subjects . 25Research Involving Radiation . 27Responsible Conduct of Research Training . 28Export Controls . 28Financial Conflicts of Interest . 29Research Misconduct . 29Investigator HandbookPage 3 of 41

Office of the Vice President for ResearchIowa State UniversityUnit: Office of the Vice President for ResearchEffective: April 2011Reviewed/Revised: January 2018Contact: [email protected] Concerns . 30Environmental Health and Safety .30Research Safety . 30Laboratory Safety . 30Preaward Certifications of Environmental Health and Safety . 31Occupational Medicine Program. 31Select Agents . 31Permits for Importing and/or Transporting Biohazardous Materials . 32Research Outcomes .32Rights in Data. 32Intellectual Property and Tangible Research Materials . 33Patents and Copyrights . 33Disposition of Intellectual Property and Tangible Materials. 34Commercialization . 35When to Meet with OIPTT Commercialization Group . 35Technology and Commercialization Assessments . 35Start-up Companies . 36Resources Available. 36Leaving the University 37Learning More .39Tips on Writing a Grant Proposal . 39Resources Provided by Funding Agencies . 41Investigator HandbookPage 4 of 41

Office of the Vice President for ResearchIowa State UniversityIntroductionUnit: Office of the Vice President for ResearchEffective: April 2011Reviewed/Revised: January 2018Contact: [email protected] creative scholarship activity of faculty in discovery, learning and outreach contribute to the landgrant mission of Iowa State University (ISU). Many of these faculty-initiated activities are funded byexternal sponsors. The mission of the Office of the Vice President for Research (OVPR) is to assist facultyand units in initiating and managing a variety of sponsored programs. The OVPR, working incollaborative partnerships with faculty and units, continues to increase sponsored research andscholarly and creative output, while promoting services that are user friendly.Using this GuideThe Investigator Handbook is written to assist faculty and others to manage the entire grant processfrom conception to completion. The guide provides an inclusive summary of procedures and policiesrelated to funding activities with interactive connections to individual websites that provide expandedinformation. It is the “how-to” guide for funding, and it includes information on identifying fundingopportunities, preparing and submitting proposals, receiving and administering awards, understandingresearch administration and compliance, and obtaining patents and copyrights.Commitment to ComplianceIowa State University is committed to maintaining a culture of ethics, integrity, and compliance with theregulations governing research and teaching at institutions of higher education. The responsible andethical conduct of research is critical for excellence, for maintaining public trust, and for preparingfuture faculty and researchers.People and PlacesOffice of the Vice President for ResearchThe Office of the Vice President for Research (OVPR) promotes and advances research at Iowa StateUniversity, and the Office of Economic Development and Industry Relations (EDIR) furthers economicdevelopment through the transfer of research discoveries to the private sector.A primary focus of the OVPR is to serve faculty and staff by supporting ongoing research in areas ofstrategic importance to Iowa State and fostering new initiatives. The focus of EDIR is to guide technologycommercialization. The OVPR also assists researchers in securing federal, state and private funding byproviding an array of administrative services and infrastructure.Following is an overview of the units within the OVPR and other departments that provide services tosupport Iowa State’s research and economic development endeavors. More detailed information aboutthe services they provide can be found elsewhere in this guide.Grants HubThe Grants Hub (GH) provides research-related services to diversify and increase the research portfolioof the university. In particular, the Grants Hub aims to assist new researchers’ pursuit of funding andhelp experienced researchers reach higher levels of funding. The GH accomplishes this by providing abroad range of services and resources to help researchers find, obtain and manage external funding.Many of the Grants Hub’s functions are also designed to assist Iowa State’s research administrators.Investigator HandbookPage 5 of 41

Office of the Vice President for ResearchIowa State UniversityThese functions include developing resources and offeringtraining opportunities for research administration andoffering training opportunities for research administrators.Unit: Office of the Vice President for ResearchEffective: April 2011Reviewed/Revised: January 2018Contact: vpr[email protected] of Sponsored Programs AdministrationThe Office of Sponsored Programs Administration (OSPA) provides comprehensive support services tofaculty and professional staff for submitting proposals and establishing awards and amendments forsponsored projects. Researchers work with OSPA from pre-award (for all entity types) through theproject close-out stages (for entities other than for-profit corporations and commodities) of researchadministration. In addition to managing the university's procedures for sponsored programs, OSPAprovides guidance and training on topics such as proposal processing, developing project budgets,managing sub-awards and costing issues, and effective grant administration. OSPA also helpsresearchers interpret and comply with sponsor guidelines.Office for Responsible ResearchThe Office for Responsible Research (ORR) provides administrative services and leadership for IowaState’s s research compliance program. The ORR's mission is to assist the OVPR in providing a researchenvironment that fosters honesty, integrity and a sense of community. ORR also serves as a resource forrequired training and education on research involving animals, humans and biohazards. Iowa State’scompliance program includes research compliance review committees.Office of Research IntegrityThe Office of Research Integrity (ORI) fosters a culture of ethical research practice through Iowa StateUniversity’s conflicts of interest in research, export controls, and research integrity programs. ORI’sconflict of interest program facilitates the conduct of ethical research by promoting objectivity inresearch. Export controls are United States laws that regulate the transfer of designated items to foreignpersons both within and outside the United States and to other countries. The export controls programprevents the unauthorized export of technology, software and goods that may adversely affect U.S.national security, foreign policy or economic advances. ORI partners with Iowa State’s researchcommunity in effective and innovative ways to minimize and manage research risk.Attending VeterinarianInstitutions conducting activities involving animals must have a veterinary care program which providesoversight of the well-being and clinical care of animals used in research, testing, teaching andproduction. The Attending Veterinarian (AV) has programmatic responsibility for the veterinary care,which includes assessment of animal well-being and effective management of animal procurement andtransportation. The AV oversees: Preventive medicine (including quarantine, animal biosecurity andsurveillance), clinical disease, disability or related health issues; protocol-associated disease, disabilityand other sequelae; surgery and perioperative care; pain and distress; anesthesia and analgesia; andeuthanasia.Laboratory Animal ResourcesLaboratory Animal Resources (LAR) provides services for the care of animals used in research andeducation, thus ensuring humane animal care that is in compliance with federal, state and universitylaws, regulations and policies. Prior to initiating a project that involves animals, researchers consult withan LAR veterinarian. LAR services include a comprehensive veterinary care program for animals used inteaching and research; training in experimental techniques for faculty, staff, and students; assistancewith experimental techniques; procurement of animals from approved sources; animal housingInvestigator HandbookPage 6 of 41

Office of the Vice President for ResearchIowa State Universityprovided in conventional, isolation or containmentenvironments; daily husbandry; and transportation ofanimals.Unit: Office of the Vice President for ResearchEffective: April 2011Reviewed/Revised: January 2018Contact: [email protected] of BiotechnologyThe Office of Biotechnology (OBT) oversees core instrumentation facilities at Iowa State, with personnelavailable to assist researchers at every stage of their research projects. Core facility staff offer molecularbiology technique workshops on a regular basis. The office maintains a database of researchers, to serveas a resource for faculty interested in developing interdisciplinary projects, and provides biotech youthoutreach.Sponsored Programs AccountingThe Sponsored Programs Accounting Office (SPA), as part of the Controller’s Department, provides postaward financial services to Iowa State’s principal investigators, administrative staff and externalsponsors. SPA’s services include establishing spending accounts for executed sponsored agreements,maintaining sponsored programs budgets in the financial system, submitting invoices to sponsors,following up on outstanding accounts receivable, preparing various reports (financial, patent, propertyand close-out) and verifying documented cost share. SPA also provides guidance on sponsor regulations,federal regulations and the allowability of expenditures. SPA provides training to Iowa State’s staff onpost-award financial administration of sponsored projects.Office of Economic Development and Industry RelationsThe Office of Economic Development and Industry Relations (EDIR) helps connect businesses andindustries with the university's expertise and capabilities related to economic development and industryneeds. Whether businesses want to solve a technical problem, develop a technology or product,commercialize a technology or obtain business assistance, EDIR can connect them to the appropriateexperts and resources.Iowa State University Research FoundationA non-profit Iowa corporation, the Iowa State University Research Foundation, Inc. (ISURF), owns,manages, protects and licenses the university's intellectual property (IP)—the discoveries, technologiesand inventions that emerge from research as well as the university's copyrights and non-logotrademarks. The ISURF Board of Directors has full power to manage, direct and conduct the affairs andbusiness of the corporation. The Vice President for Research and the Vice President for EconomicDevelopment and Business Engagement for EDIR serve on the ISURF Board.According to university policy, inventors or creators who are university employees (including studentemployees) assign IP to ISURF. ISURF then uses available legal avenues to protect and add value to theseworks, thereby providing incentives for industry to make further investments in the IP. ISURF workshand-in-hand with OIPTT to foster technology transfer and economic development.Office of Intellectual Property and Technology TransferThe Office of Intellectual Property and Technology Transfer (OIPTT) provides two support services: onerelates to industry and commodity research contracts and the other relates to the transfer of universityinnovations to industry for commercialization.The industry contracts team serves faculty and professional staff through negotiation and administrationof for-profit industry or commodity sponsored projects. OIPTT negotiators work with researchers fromInvestigator HandbookPage 7 of 41

Office of the Vice President for ResearchIowa State UniversityUnit: Office of the Vice President for ResearchEffective: April 2011Reviewed/Revised: January 2018Contact: [email protected] first industry-university discussions through thecontract development and negotiation process to thecompletion of industry sponsored research. OIPTT encourages industry sponsored research by offeringdifferent types of contracts with flexible solutions concerning intellectual property ownership, licensingand patenting rights. In addition to managing the procedures for industry sponsored researchagreements, OIPTT also manages a university-wide request system for all material transfer andnondisclosure agreements for faculty and staff.The intellectual property commercialization managers are the point of contact for new innovations andserve a vital role in the commercialization of research results. OIPTT also serves as an educationalresource on technology transfer processes and the protection of intellectual property (patents andcopyrights) and proprietary material (e.g., software and germplasm).OIPTT works in concert with ISURF to facilitate and enhance the inventive and creative works of ISUemployees and students and to transfer these works for society’s benefit.Center for Industrial Research and ServiceThe Center for Industrial Research and Service (CIRAS) provides a variety of services to assist Iowamanufacturing companies, including productivity improvement, product development, engineering,management practices, supply chain management, sustainability, industrial research and governmentcontracting.Pappajohn Center for EntrepreneurshipThe Pappajohn Center for Entrepreneurship is the catalyst that brings together the people and ideasnecessary for launching or growing successful enterprises, whether the undertaking is a studentinitiated enterprise, a new small business, a high-technology start-up or a corporate spin-off.Small Business Development CenterThe Small Business Development Center (SBDC) provides free, confidential, customized business adviceto businesses with 500 employees or less in all of Iowa’s 99 counties. SBDC offers affordable workshopsthat teach practical skills and techniques, conducts business and market research, providescomprehensive information services, and offers access to subject matter experts in a variety of fields.Research ParkThe Iowa State University Research Park (ISURP) is a 220 acre development with over a half millionsquare feet of building space, just south of Iowa State campus. While ISURP is closely connected withthe university, it operates independently to help its tenants reach proprietary goals. ISURP connects itstenants to many university and community resources, including facilities, expertise, technology,financing, recruiting and more.ISURP strives to create an innovation community and provide an incubator for new and expandingbusinesses. ISURP also assists young Iowa-based companies to develop their potential and nurturesscientific and technological entrepreneurial ventures.The Iowa State University Research Park Corporation was established in 1987 as a not-for-profit,independent corporation operating under a Board of Directors appointed by Iowa State University andthe ISU Foundation. The corporation manages both ISURP and incubator programs.Investigator HandbookPage 8 of 41

Office of the Vice President for ResearchIowa State UniversityIdentifying Funding OpportunitiesUnit: Office of the Vice President for ResearchEffective: April 2011Reviewed/Revised: January 2018Contact: [email protected] Funding AssistanceThe GH provides consultation services to help faculty find relevant funding opportunities throughoptimal searches on agency websites and searchable databases. Iowa State subscribes to several grantaggregation databases (Pivot, Grant Forward, Foundation Directory Online). Request this here.The OVPR contracts with several grant writing consultant groups, allowing anyone at Iowa State toengage their services without having to go through a competitive bidding process or set up a PSA. A listof consultants is available here.Workshops and Seminars to Secure FundingThe OVPR offers many workshops to help faculty build strong research programs, write successful grantproposals and manage their awards. These programs and workshops have the following objectives: To enhance grant writing and grant preparation skills To help new faculty understand the culture of different funding agencies To learn from ISU faculty how to submit a successful grant proposal To learn about best practices in communicating science to the publicDetails regarding the workshops and programs are available on the OVPR Events Calendar.These workshops and seminars are presented by our own faculty and staff as well as by consultants andoutside experts from federal agencies, foundations, universities and other research organizations.THE OVPR may offer the types of support listed below:Limited SubmissionsSome funding agencies place limits on the number of proposals or applications that a university maysubmit in response to a particular solicitation. For example, the National Science Foundation (NSF) maystipulate that an institution can only submit a total of three proposals for a specific solicitation. TheOVPR -- through the GH -- coordinates ISU’s submissions to these programs through an internalcompetition process and sets internal deadlines for them. Check the Grants Hub Limited Submissionswebpage regularly for updates. If you know that a particular funding opportunity has a limitedsubmission requirement, but you haven’t seen an announcement about the internal competition, pleaseemail [email protected] The Grants Hub also sends out a weekly email with upcoming limitedsubmission opportunities.Internal Funding OpportunitiesThe OVPR oversees a portfolio of internal funding opportunities for which ISU researchers are eligible.Current opportunities, RPFs and submission portals can be found on theGrants Hub Internal Funding page.Cost Sharing ProgramsThe OVPR may offer the types of support listed below.Submissions are managed through the Grants Hub’s submission portal, available on the Grants HubInternal Funding webpage under Cost Sharing Programs.Investigator HandbookPage 9 of 41

Office of the Vice President for ResearchIowa State UniversityUnit: Office of the Vice President for ResearchEffective: April 2011Reviewed/Revised: January 2018Contact: [email protected] Sharing – Sponsored ProgramsIowa State (i.e., the departments, deans' offices,centers/institutes and/or OVPR office) will collectively provide cost-share support for sponsoredprograms only when it is required. The OVPR cost share program supports projects with a sponsormandated cost-share requirement, or projects where cost share is strongly encouraged and promises tocreate new opportunities for research at Iowa State. Institutional support will be considered for large(i.e., greater than 5 million), multi-investigator, multi-institutional grant proposals.Requests to the VPR Offi

Contact: [email protected] . Investigator Handbook . A Guide to the Research Process at Iowa State University . This document is located on the . President for Research website. Office of the Vice . Departments contributing to the handbook include the following: Attending Veterinarian Grants Hub Environmental Health and Safety