PRINCETON UNIVERSITY


To:          Members of the Faculty

Date:        June 30, 2008

From:        Christopher L. Eisgruber, Provost
                   A.J. Stewart Smith, Dean for Research

Subject:    Effective July 1, 2008: Change in Effort for Postdoctoral Research Associates on Grants


As most of you know, several of our peer institutions have been subjected to audits that have applied very exacting interpretations of federal compliance requirements. Under one such interpretation, it is deemed impermissible for a postdoctoral research associate to engage in career-building activities, such as writing grant proposals, while having 100% of his or her salary charged to a research grant.  In order for the University to be in compliance with federal regulations and avoid negative audit findings, the University Research Board has unanimously agreed to change the maximum effort of Postdoctoral Research Associates on federally sponsored research grants to no more than 97%.  The remaining 3% must be charged to unrestricted funds, such as the research rebate account.  It is the responsibility of the supervising faculty member to ensure the 3% is charged to an unrestricted account. Please note that this new requirement does not include federally funded Institutional Training Grants or Individual Fellowships that are supporting Postdoctoral Research Associates.  

The Office of Research and Project Administration and the Treasurer’s Office will provide oversight and will work with the Office of the Dean of the Faculty to ensure that appointments comply with the 97%/3% funding rule.  There may be circumstances under which it is appropriate for the salary of a first-year Postdoctoral Research Associate to be charged 100% effort to a grant, but the circumstances must be documented by the supporting department and approved by ORPA and the Treasurer’s Office.

We are both available to discuss any general questions or concerns you may have.  To discuss implementation in more detail, please contact Jeffrey Friedland in ORPA or Rebecca Hunninghake in the Treasurer’s Office.

c:  Shirley Tilghman
    Chris McCrudden
    Katherine Rohrer
    Jeffrey Friedland
    Steven Gill
    Rebecca Hunninghake
    Academic Departmental Managers