Purpose
This document establishes the process by which the Vice President for Research (VPR) will create, revise, and retire Research Policies and their associated implementing procedures at Syracuse University. The process operates within the Provost’s authority to set the process for Academic Policies under the Syracuse University Policy Creation, Revision and Retirement Policy and Process (“Policy Creation Policy”).
Scope
Academic Policies, as defined by the Policy Creation Policy, include “policies governing the conduct of research.” For purposes of this Process, Research Policies are defined as those policies which establish institutional commitments, standards, rights, and obligations for the conduct of research, the management of the research enterprise, or the University’s compliance with laws and regulations governing research. Examples include policies on research misconduct, intellectual property, human subjects protections, financial conflict of interest, and principal investigator eligibility.
Research Policies are often accompanied by implementing procedures that specify how the policy will be operationalized. Implementing procedures address matters such as reporting timelines, committee composition, training requirements, disclosure processes, and investigative workflows. Under the Policy Creation Policy, implementing procedures require approval by the Executive Team member who ultimately supervises the Responsible Office.
The Office of Research is the Responsible Office and the VPR serves as the Responsible Official for all Research Policies and their associated implementing procedures. The Provost is the member of the Chancellor’s Executive Team with approving authority for Research Polices and associated implementing procedures.
Policies define and establish institutional commitments, rights, and obligations, and changes to these institutional commitments, rights and obligations require revision of the Policy. Changes to operational details, such as revised federal reporting timelines, updated committee procedures, or new training requirements, may be addressed through revision of the implementing procedures so long as they are consistent with the Policy. This structure allows the University to respond to changes in federal regulations and agency guidance without revising Policies.
Delegated Authority
The Provost delegates to the VPR responsibility for the full lifecycle of Research Policies and their associated implementing procedures, including identification of need, drafting, stakeholder consultation, and presentation to the Provost for approval. The VPR serves as the University’s Institutional Official for federal research compliance and holds subject matter expertise in the regulatory requirements governing research.
This delegation is consistent with the Policy Creation Policy, which provides that the Provost has authority to set the process for Academic Policies and that implementing procedures require approval by the relevant Executive Team member.
Process
Research Policies and Implementing Procedures
The VPR identifies a need to create, revise, or retire a Research Policy or implementing procedure and notifies the Provost and the Office of Compliance. The VPR drafts the policy or procedure, working with Office of Research staff, subject matter experts, and relevant standing advisory bodies as appropriate. Where a Research Policy falls within the charge of a standing advisory body established by the University, such as the Committee on Intellectual Property, the VPR consults that body prior to finalizing the relevant Research Policy.
The VPR consults stakeholders with direct expertise or material interest in the policy, which will typically include some combination of the Office of University Counsel, Office of the Chief Financial Officer, academic deans or their delegates, and department chairs in affected disciplines. The scope and duration of consultation is proportionate to the policy’s complexity and the breadth of its impact.
When a Research Policy requires changes to the Faculty Manual, the VPR submits the relevant provisions to at least one committee of the University Senate, as assigned by the Chair of the Agenda Committee, consistent with the Policy Creation Policy .
The VPR submits the final policy or procedure to the Office of University Counsel for legal review. The VPR then presents the final policy or procedure to the Provost for approval. Upon approval, the policy is published on the research.syr.edu policies page and, as appropriate, on the University policies website and in the Faculty Manual.
Expedited Adoption
When a federal or state regulatory change imposes a compliance deadline that cannot be met through the standard process, the VPR may present an interim policy or procedure to the Provost for approval on an expedited basis. Stakeholder consultation may be completed concurrently with drafting or, where the deadline does not permit full consultation, completed after adoption of an interim policy or procedure. The VPR will finalize any interim policy or procedure through the standard process within six months.
Policy Review
The Office of Research will review each Research Policy and implementing procedure within its portfolio at least every five years, or sooner as needed to address changes in law, regulation, or institutional need. The VPR will maintain a policy review calendar and will brief the Provost annually on the status of Research Policies.