January 13, 2014

External research grant policy reminders

Faculty and staff are reminded of two polices and practices related to grants and contracts that are important to maintaining our compliance with university, state and federal guidelines. The first requires submitting all applications for externally funded grants and contracts through the Office of Sponsored Policies Administration, and the second requires submission of materials to OSPA at least three working days in advance of the agency due date.

Role of OSPA in managing grant and contract applications

Applications for externally funded grants and contracts must be submitted through OSPA in order to ensure that they are reviewed and approved for compliance. This university policy applies to all employees who receive any salary monies through SIU Carbondale or who use any university resources or facilities in the course of their professional activities, even as a subcontractor to another institution.

Policy and guideline compliance includes, but is not limited to:

  • Use of university facilities and equipment.
  • Conformance with personnel policies, including compensation plans and insurance.
  • Policies relating to responsible conduct of research and ethics, including research integrity, misconduct, conflict of interest, and intellectual property.
  • Protection of human and vertebrate animal subjects.
  • Policies relating to use of stem cells, radiological materials, hazardous chemicals, and other issues relating to a safe working environment.
  • Financial conflict of interest.
  • Export control (e.g., dissemination of intellectual property to foreign entities).
  • Tuition on grants.
  • Fiscal accountability, including timely recovery of direct and indirect costs.

The chancellor has given the vice chancellor for research delegated authority to represent SIU in contract and budget negotiations for all sponsored project activity. OSPA staff will work closely with the sponsor to negotiate the best position for the  university within relevant policies and guidelines. Faculty and staff may not negotiate contractual or budget terms directly with funding agencies without OSPA involvement. Funded awards must be made to the Board of Trustees, and agreements may be signed only by an authorized institutional representative.

Faculty and staff are encouraged to discuss all external project opportunities, even those involving student classes or fixed price contracts with industry, with OSPA staff to assure compliance with this policy and to protect the employee from potential liability.

72-hour submission policy

In order to allow adequate time for staff to provide the due diligence necessary to protect the researcher and the university, beginning Jan. 1, 2014, principal investigators should submit all required documents to OSPA at least three working days prior to the date and time the proposal is due to the funding agency. OSPA cannot guarantee that late proposals will be submitted to granting agencies. Required materials include a signed proposal checklist, final proposal, detailed budget and all necessary compliance materials. Revisions to the final proposal and budget will not be possible after they are submitted to OSPA. 


Questions should be directed to Wayne  Glass,  OSPA,director, or Jim Garvey, interim vice chancellor for research.