Policies & Procedures

Research and Export Control

Policy Governing Sponsored Projects - 1M2

1. General Considerations
   
   
   1. Definition
      The term "sponsored project" in this policy statement refers to projects conducted in whole or in part under an agreement with one or several sponsors external to SIUE.
      
      
   2. Publications
      

      As a public, educational institution, SIUE must serve public purposes. Thus, project results must be freely available to the scientific community and the wider public. The standard agreement, therefore, states that SIUE will be free to publish the results of projects after providing a copy to the sponsor. If a sponsor insists on keeping results of projects confidential, SIUE will ensure that its investigators are agreeable to the terms and conditions before finalizing any agreement.

      While insisting that project findings must be publishable, the University recognizes the legitimate proprietary interests of sponsors. Where appropriate, publication will be delayed for a specified period in order to protect patent and other proprietary rights. The University can provide the sponsor with advance copies of intended publications and provide an opportunity for comment with respect to patent matters and for the identification of any inadvertent disclosure of proprietary data. However, title to and the right to determine disposition of any material first produced or composed in the performance of sponsored projects shall remain with the University. The sponsor shall receive a royalty-free, non-exclusive license to reproduce, translate, and use copyrighted material for its own purposes consistent with publisher requirements.

   3. Confidentiality
      

      The University may retain proprietary information and may maintain the confidentiality of project results. Publications normally acknowledge the sponsor's support but may be withheld if an agreement requires consent to reveal the sponsor's information. While such acknowledgment can be omitted from publications at the sponsor's request, the identity of the sponsor, the identity of the University investigators, the nature of the project, and the value of the agreement must be reflected in University records and be available to the public.

      There are situations in which a project requires access to the sponsor's own proprietary data or where proprietary data or know-how is generated. In such cases, the agreement(s) or a separate confidentiality agreement shall define the conditions under which such data or know-how information shall be accepted and note that the University shall use reasonable efforts to protect such data or information. The University retains the right to refuse to accept any such data or information that it does not consider essential to the research or that it believes to be improperly designated.

   4. Patents, Copyrights, Proprietary Rights, and Title Rights
      

      Patents, copyrights, or other proprietary rights deriving from sponsored projects will be set forth in the agreement and pursuant to the terms of the SIU Board of Trustees Intellectual Property Policy (2 Policies of the Board H). The Intellectual Property Policy seeks to ensure that discoveries or inventions are used in ways that benefit the public while also providing adequate recognition and appropriate royalties to the responsible parties.

      Unless otherwise covered in an agreement, the University retains title to inventions resulting from sponsored projects and may license them in the public interest under arrangements that also reflect the needs of sponsors. Often, the sponsor is provided with a non-exclusive, royalty-free license or rights of first refusal. Insofar as SIUE is able to grant a license, SIUE may grant the sponsor the option to acquire exclusive rights, title and interest in and to SIUE's inventions or other intellectual property rights made and/or conceived in the course of a project.

      The University retains title to any equipment acquired and to buildings constructed as a result of any performance of a project unless agreed upon differently in the applicable agreement.

   5. Payment Terms
      

      Externally sponsored projects at the University can be conducted on the basis of a fixed price; installment payments based on time,  milestones or deliverables; or cost-reimbursement. The University's externally sponsored projects involve both direct and indirect costs. Direct costs include the salaries, wages and employment benefits of project personnel; equipment; materials and services; and any other direct expenses necessary for performance of the project. A project's indirect costs include an allocable share of the University's costs to cover maintenance of the physical plant and facilities, the libraries, the general and administrative services, and other University support services.

   6. Liability and Risk
      

      The University will not cover business risks. In keeping with the best efforts principle, the University cannot accept agreement provisions that set strict deadlines, impose penalties for failure to make progress, or provide for withholding of payment if the sponsor is not satisfied with results.

   7. Use of University Property
      

      Illinois state law requires that public property be applied only to public purposes such as education, research, and service. Such property, which includes assets other than buildings or grounds, may be used by outside persons or agencies only in accordance with approved agreements that further the public purposes of the University.

   8. Employee Compensation
      
      
      1. Compensation must be mutually agreed upon by the University employee, sponsor representative, and appropriate University administrators.
      2. In the event of a change in compensation, such proposed change shall be approved by the process through which all contractual agreements between outside entities and the University are reviewed and approved. Such changes in compensation shall then be reported to the Office of Human Resources by appropriate means.
      3. University employee research time includes both salary and fringe benefits. It can be negotiated as assigned time in place of regularly assigned duties and responsibilities, as overload compensation in addition to regular duties as subject to Policy 1M1 Overload Compensation, as summer salary, or as a combination of these options. 
      4. Personal consulting by University employees normally does not involve a formal agreement for SIUE. Given reasonable limits and proper approvals, as specified in the Conflicts of Interests and Commitment - Policy 1Q9 and Policy on Outside Employment for Faculty such consulting can be beneficial for the University as well as for faculty members and clients. Approvals for consulting will generally be given whenever these consulting activities do not interfere with regular duties. The University may, however, require more extensive involvement in the review of proposed consulting work or in the monitoring of approved consulting work in certain cases [for example, in a situation in which an employee(s) desires to perform consulting services for an entity that is a sponsor of a cooperative University-industry project].
2. Sponsored Project Principal Investigator Eligibility, Roles, and Responsibilities
   
   
   1. Purpose
      Sponsored projects are contractual agreements between Southern Illinois University Edwardsville (SIUE or University) and a sponsor. Therefore, it is important that an individual serving as a principal investigator (PI) is able to carry out the project and has access to resources to conduct the work. Serving as a PI is a privilege and requires the PI to have the requisite experience to oversee programmatic as well as financial and compliance aspects of a sponsored project.
      
      This section defines the eligibility requirements and responsibilities for serving as a PI on a sponsored project, and it outlines reasons for replacing, temporarily or permanently, a PI on a proposal and/or award.
      
      This section also applies to those serving as a multiple PI (MPI) or a co-PI.
      
      
   2. Definitions and Responsibilities
      Principal Investigator (PI). The PI is appointed by SIUE and is responsible for the content of proposals and implementation of awarded projects. The PI might also be referred to as the project director or program director. Responsibilities typically include but are not limited to the following:
      
      
      • preparing the intellectual content for the proposal in a timely fashion to meet internal review and routing requirements
      • developing and, if awarded, following the project budget in appropriate timeframes
      • determining and overseeing the direction and conduct of the project activities
      • completing in a timely fashion all purchasing and accounts payable forms
      • selecting, hiring (including the timely completion of all required forms), and supervising project staff
      • serving as the fiscal officer on an award and, thus, holding primary responsibility for fiscal stewardship (including but not limited to reviewing expenses in a timely fashion)
      • completing and submitting programmatic reports on time
      • proactively communicating with the Office of Research and Projects, including but not limited to matters concerning budget modifications, time extensions, changes and concerns expressed by the sponsor, and leaves of absence that could impact the PI's ability to fulfill their responsibilities
      • overseeing subawardees' compliance with programmatic responsibilities
      • complying with any other award requirements necessary to maintain compliance with sponsor and University rules and regulations
      • submitting for pre-approval and following all research compliance requirements.

Co-Principal Investigator (Co-PI). A Co-PI is appointed by SIUE and is a senior member of the key personnel whose role is similar to that of the PI. A Co-PI may share equal responsibility with the PI for project oversight, budget management, and reporting as part of a multi-investigator team or may direct a particular portion of the project and retain limited administrative oversight over the award.

Multiple Principal Investigators (MPIs): For relevant sponsors, MPIs are appointed by SIUE and share the authority and responsibility of the PI. SIUE strongly encourages PIs develop a management plan outlining the division of responsibilities for technical, financial, and administrative oversight when developing a multi-investigator project. Some sponsors require such a plan as part of the proposal.

3.  Who Can Serve as a PI
   Every sponsored project must have an identified PI who is recognized by their unit head as eligible to be a PI. Eligibility to serve as a PI on any specific project is subject to applicable sponsor-imposed rules or guidelines.
   
   Any individual who holds one of the following positions at SIUE with a 50% or greater appointment may serve as a PI:
   
   
   • tenured and tenure track faculty
   • research faculty
   • clinical faculty
   • instructors
   • staff, including but not limited to project or program directors, directors, and associate directors.

 Emeritus graduate faculty may serve as PI except they may not serve as the fiscal officer.

Individuals who are not employed at SIUE at the time of proposal submission but will start their SIUE position prior to the proposal being awarded may submit proposals as PI with appropriate supervisor approval.

Graduate students and postdoctoral fellows or associates may serve as a Co-PI but are generally not allowed to serve as a PI. Some fellowships or training programs require that a graduate student or postdoctoral associate apply through the university as PI. In these cases, an individual who is eligible for PI status shall serve as a Co-PI to provide mentorship and oversight of the award.

The Associate Provost for Research has final authority to determine if others may serve as PI.

4.  Failure to Perform Duties
   A PI's failure to perform their duties can result in potentially serious consequences to SIUE, such as repayment of funds, non-compliance reports to federal agencies, audit findings, and the loss of federal financial aid. Therefore, SIUE can invoke administrative actions including but not limited to temporary or permanent loss of PI status. The length and severity of the action and whether warnings are provided are based on factors including but not limited to the quantity of issues in, severity of issues in, and repercussions from a PI's performance of their responsibilities, compliance with University and sponsor requirements, and egregious acts.
   
   PI status can be lost for reasons including but not limited to:
   
   
   • repeatedly failing to perform satisfactorily their duties associated with proposals, awards, and/or research compliance
   • attempting to serve as PI on more proposals or awards than a reasonable person would consider could be done given the amount of time required
   • failure to follow SIUE policies or sponsor award terms and conditions
   • noncompliance with human subjects research, animal welfare, biosafety requirements, or other compliance that fall under University, state and/or federal requirements
   • safety violations
   • impending and/or disciplinary actions for harassment, bullying, discrimination, or assault
   • research misconduct.

 The Associate Dean for Research has final authority to determine if an individual is to be removed as PI and whether the removal is temporary or permanent. The severity of the impact on SIUE will be taken into consideration. The former PI may appeal the decision in writing to the Associate Provost for Research (APR) within 5 business days. The APR shall respond within 10 business days. The APR's decision is final.

Should the circumstances leading to a PI's removal from a project potentially warrant discipline, the Associate Dean for Research or APR will refer the matter to the appropriate administrator for follow up.

3. Process for Establishing a Sponsored Project
   
   
   1. Preliminary Discussions
      

      Sponsored projects are most frequently initiated (1) when a sponsor wishes to support a project that an employee of SIUE wishes to pursue and (2) when the proposed project is approved by the University as consistent with the University's policies.

      University policies and guidelines concerning externally sponsored projects are administered by the Graduate School. Under these policies and guidelines the University may engage in collaborative or joint programs with external sponsors, and the sponsor may work closely with the University to ensure that the project maintains its stated interest, but the University is ultimately responsible for the direction and supervision of the project. The principal investigator is responsible for directing the project in accordance with University policies and the contractual agreement. The sponsor is entitled to periodic reports on the progress and direction of the project.

   2. Proposed Project and Agreement Review and Submission
      

      The employee develops a scope of work in consultation with the sponsor and a budget in consultation with the Office of Research and Projects (ORP). Once the sponsor approves the scope of work and budget, ORP negotiates the remaining terms of the agreement with the sponsor. The agreement shall describe the scope of work, identify the individuals who will perform it, and include the total cost to deliver the project.
      
      The proposed project is reviewed according to Policy 5B2 University Guidelines Regarding Review and Approval of Externally Financed Projects. The employee's supervisor and dean or director of the unit must be satisfied that the project is appropriate as part of the unit's educational, research, and service programs, that adequate space and facilities are available, and that the budget covers all applicable direct and indirect costs.

      The ORP and the Associate Provost for Research review the proposed project for, among other issues, being relevant to the mission and scope of the University and not in conflict with the public interest or University policy. Other units, such as Risk Management, the Office of Technology Transfer, and the Office of Export Control may review the proposed project and/or the proposed agreement. The ORP submits the signed agreement to the sponsor.

   3. Agreement Negotiations
      

      All contractual agreements for the sponsored project are negotiated by the ORP. Other administrative units, such as the SIU Office of Technology Transfer, will negotiate agreements under their purview. Discussions between the sponsor's representatives and other University employees are preliminary only, and the ORP must review any proposed commitment on behalf of the University and either endorse or attempt to negotiate necessary modifications. After negotiations are completed, the final agreement must be approved and signed by the Associate Provost for Research as the official authorized institutional representative.

4. Project Administration
   
   
   3. Responsibilities - When negotiations are completed and the agreement is signed, the ORP establishes a project account, notifies the project supervisor and unit, and takes whatever other steps within their purview are necessary so that the project can begin. The principal investigator and unit in which the project is performed are responsible for the conduct of the work and for the submission of appropriate non-financial reports to the sponsor. The ORP is responsible for the submission of appropriate fiscal invoices and financial reports to the sponsor.
      
      
   4. Expenditures and Budget Modifications - The ORP reviews the expenditures on an ongoing basis to assure compliance with the terms of the agreement and University policy. Any charges made to a non-sponsored project (non-6) account that will be transferred to a sponsored project (6) account require pre-approval by the ORP. Any proposed modifications in the terms or conditions of an agreement, including changes in the scope of work or an increase or decrease in the estimated costs, must be forwarded to the sponsor via the ORP. Renewals or extensions involving additional costs must be reviewed through normal procedures, the same as new proposals. Certain modifications to a budget require pre-approval by the ORP and/or the sponsor. 
      
      
   5. Documentation of Personnel Expenses - For sponsors that require compliance with 2 CFR 200.430 Compensation – Personal Services, ORP will provide documentation that the principal investigator or another responsible party familiar with the project work reviews. See Review of Compensation Charged to Sponsored Projects - Policy 1M11. Corrections to personnel expenses charged to the sponsored project must be submitted promptly to ORP so that all necessary adjustments are made and the final amount charged to the project is accurate, allowable, and properly allocated.  Failure to comply may result in personnel expenses being removed from the grant account and charged to a unit account.
      
      
   6. Financial Reporting - If required by the agreement, a final financial accounting shall be submitted to the sponsor within 90 days after completion of the project. If the sponsor wishes, monthly reports or other periodic reports also can be submitted in the same format. If necessary, the University's accounting office can provide sponsors with copies of original receipts, vouchers, and other source documents relating to the costs. Financial records are maintained in accordance with generally accepted accounting practices and are available at the accounting office for inspection and audit by the sponsor for one year following completion of the project.
      
      
   7. Account Closure - The ORP closes sponsored project (6) accounts according to University and Graduate School procedures.
      
      
   8. Termination
      
      
      1. If a sponsor is dissatisfied with the progress of a project, or for any other reason wishes to discontinue it, the project may be terminated as set forth in the agreement. The University shall terminate any outstanding commitments and wind down the work in an orderly manner, and all costs associated with termination and with prior commitments shall be paid.
         
         
      2. The University also reserves the right to terminate a project if conditions beyond its control preclude continuation or if it determines that the project's activities are no longer in the public interest, as stated in the original proposal. In this event, the University shall provide the sponsor with a final fiscal report accompanied by a final check for excess funds or invoice for funds due within 90 days after termination. The University shall also provide a report summarizing project results to the date of termination.

Approved by Chancellor effective 3/15/24
This policy was updated on March 20, 2024, replacing the August 11, 2021 version.
Document Reference: 1M2
Origin: GC 2-82/83; OP 11/5/90; GR 3/21/13; GR 16/17-09; GR 17/18-05; GR 17/18-12; GR 20/21-09; GR 20/21-17; GR 23/24-08