Sponsored Projects Policies

The Office of Sponsored Projects mitigates institutional risk by maintaining up-to-date sponsored projects policies and compliance with federal regulations which are consistently applied to all externally funded awards. 

SU Policies

For all other Seattle University Policies, please visit the policies webpage. 

Clinical Trials Registration & Reporting Policy

This policy and procedure ensures Seattle University remains compliant with the applicable regulations regarding clinical trial studies, specifically in relation to NIH regulations.   

Closeout Policy

The purpose of this policy is to provide guidance on federal and other sponsor requirements for sponsored project award closeout. 

Cost Sharing & Matching Policy

This document sets forth the guidelines for contribution cost share on sponsored projects and tracking those expenditures at Seattle University. ”Sponsored projects” refers to any form of extramural support (grant, contract, fellowship, and gift) made to the institution. 

Cost Transfers Involving Sponsored Projects

This document describes the policy and procedures regarding cost transfers (journal entries) when they involve sponsored projects. The purpose is to assure the integrity of the University’s charges for salaries, wages, goods and services on sponsored projects transferred to and/or from a sponsored project after an initial charge elsewhere in the University’s accounting system.  Additionally, this policy is issued to ensure compliance with sponsor terms and conditions, regulations and University policies.

The University is committed to ensuring that all cost transfers (either in the form of a labor distribution adjustment or non-salary journal entry) are legitimate and are conducted in accordance with sponsor terms and conditions, regulations and University policy. 

Document Review Process Policy

This document sets forth the guidelines for document internal review and signature authority for externally sponsored projects. Externally sponsored projects include submission of proposals, acceptance of award agreements (or amendments), and submission of reports when an institutional signature is required. The document addresses both hard copies as well as electronic formats for submitting proposals, executing agreements, and accepting awards on behalf of the university.  

Federal Rate Agreement

This is our most current Federally Negotiated Indirect Cost Rate Agreement (NICRA); this rate is applicable until a new rate agreement is available (forthcoming in 2024).

Policy on Fringe Benefit and IDC Charged to Sponsored Projects

The purpose of this policy is to provide an explanation of SU’s Fringe Benefit and IDC rates and their application to sponsored projects. 

Participant Support

Participant support costs are defined by Uniform Guidance §200.75 Participant support costs. They are direct costs for items such as stipends or subsistence allowances, travel allowances, and registration fees paid to, or on behalf of, participants or trainees (but not employees) in connection with conferences, or training projects. 

Patent Policy

This patent policy establishes guidelines for disclosure and assignment of ownership of potentially patentable inventions or discoveries resulting from the work of Seattle University faculty member(s), staff, graduate students, undergraduate students, visitors and any persons using University resources and facilities.  It is designed to promote, preserve, and encourage innovation, inform faculty member(s) of the University practices, protect the respective interests of all parties involved, and assist the inventor(s) and the University in realizing tangible benefits from such inventions. 

Procurement Policy for Sponsored Project funded equipment and services

Federal Grants are subject to additional procurement requirements set by the Federal Office of Management and Budget (OMB).  The University Procurement Policy Statement is compliant with the OMB Uniform Guidance procurement requirements with the following amendment to the competitive bidding thresholds.   

Program Income

Program income is gross income earned by the University that is directly generated by a grant supported activity or earned as a result of an award (2 CFR §200.80 Program income). The University requires principal investigators (PIs) to identify program income on both federal and non-federal sponsored projects. The nature of this income must be appropriately documented and the resulting revenue and expenses properly recorded and accounted for.  

Review of Compensation Charges - updated spring 2022

Institutional compliance to CFR 200.430 requires an after‐the‐fact review to be conducted to support that compensation charged to a sponsored project and/or committed as cost sharing does not exceed the proportionate share of Institutional Base Salary (IBS) for the work performed on the project. 

Sponsor Funded Equipment Disposal Policy and Procedures Manual

An essential component of the administration of sponsored research at Seattle University is the responsible stewardship of assets used in support of the University’s research.  The Controller’s Office, the Office Sponsored Projects, the dean’s offices, and the principal investigator (PI) or the department/center must work cooperatively to assure that the University properly follows Federal administrative requirements, acquisition regulations and agency or sponsor specific conditions governing the disposition of Federal property.  

Sponsored Projects Compensation Policy

This document sets forth the Seattle University guidelines concerning salaries of faculty at Seattle University that are funded by extramural sources, including either public or private sponsors.  In these guidelines, “sponsored project” will refer to any form of extramural support on a sponsored project (grant, cooperative agreement, or contract) made to the institution from which a faculty member draws salary. This document will address three types of faculty salary: academic salary, summer salary, and overload salary, as well as staff salaries on sponsored projects. 

Subrecipient Monitoring Guidelines

Seattle University is responsible for monitoring the programmatic and financial activities of its subrecipients to ensure proper stewardship of sponsor funds. The following policy applies to all subawards issued under sponsored programs, without regard to the primary source of funding. Additionally, this policy addresses institutional responsibilities and assists Principal Investigators (PIs) and administrators to ensure that, in addition to achieving performance goals, subrecipients comply with applicable federal laws and regulations and with the provisions of each subaward agreement. 

Technical & Financial Reporting Policy

This document sets forth the guidelines for the submission of technical and financial reports on sponsored projects at Seattle University. The technical and financial reports on sponsored projects refer to all types of reports that may be requested by the sponsor and/or required in the award terms and conditions (including contract agreements) made to the institution. The technical report may refer to a progress report (or interim report or performance report), program outcome report, and/or final report.  

Unallowable Cost Categories

Seattle University conducts a significant level of projects sponsored by the federal government. The government generally supplies the recipient of a federal grant or contract with the funds necessary to cover the expenditures directly associated with a project. In addition, the government will reimburse the institution for the indirect expenditures necessary to create and maintain the environment in which the project is conducted.  

Nonfederal grants and contracts are also subject to this policy unless sponsor- or contract- specific conditions allow otherwise. 

Compliance Policies and Procedures

The OSP is responsible for maintaining compliance with federal, state, and sponsor regulations applicable to our research enterprise. The below compliance policies ensure our university's commitment to safe and ethical research.

Breena Stoner joined Seattle University in May 2022 as our new Academic Safety Officer and serves as the university's Chemical Hygiene Officer and Biosafety Officer. If your project involves chemical hazards, biosafety concerns, or other safety-related issues, please contact Breena for assistance. 

For more safety information, policies, and resources, please visit the Academic Safety website. 

Export Control Laws are a set of federal regulations that restrict the release of certain items, information and software to foreign nationals in the United States and abroad.

Please contact OSP Director, Jenna Isakson, if you are exporting information or materials to a foreign country, entity, or individual.

All Principal Investigators (PI), Co-PIs, and Senior Personnel are required to complete an FCOI disclosure form prior to submission, and annually thereafter for PIs with active awards.

FCOIs disclosure forms are now submitted through our OneAegis Grant Administration System. 

As a Seattle University researcher, you must submit any project proposal involving human subjects as participants to the SU Institutional Review Board (IRB) to comply with SU policy and Federal regulations. For more information or to schedule a consultation, please call 206-296-2585 or email irb@seattleu.edu.

The IRB also utilizes OneAegis for application submission, review, and monitoring. 

Human Subjects Incentive Payments Policy

If your project involves a clinical trial, please review our Clinical Trials Registration & Reporting Policy. 

Seattle University is committed to supporting a research community that operates at the highest level of integrity. This commitment extends not only to supporting research that is conducted with high, technical quality but with the collegial, professional and ethical processes with which research is performed.

The Responsible and Ethical Conduct of Research (RCR) at Seattle University

For all research personnel – students, staff and faculty – please ensure your research team is up-to-date on their Responsible Conduct of Research Training. This is required for all NSF and NIH personnel and strongly encouraged for all other researchers to uphold SU's commitment to responsible and ethical research. This training should be completed at least every four years.

Background

In 2007, Congress passed the America COMPETES (Creating Opportunities to Meaningfully Promote Excellence in  Technology, Education, and Science) Act, which required that "each institution that applies for financial assistance from the National Science Foundation (NSF) for science and engineering research or education describe in its grant proposal a plan to provide appropriate training and oversight in the responsible and ethical conduct of research to undergraduate students, graduate students, and postdoctoral researchers participating in the proposed research project." 

NIH mandates that trainees on an NIH institutional research training grant, individual fellowship, career development award (institutional or individual), research education grant, dissertation research grant, or other grant programs that have a significant training component have a minimum of eight hours of formal instruction at least once during each career stage and at least every four years.

Impact

For every grant it holds funded by the National Science Foundation or the National Institutes of Health, Seattle University must show that it has provided all relevant personnel with adequate training on the responsible conduct of research. For each NSF and NIH award, participating members must show proof of having taken the Responsible Conduct of Research module in the discipline pertinent to the research to be undertaken through CITI (Collaborative Institutional Training Initiative). The RCR Coordinator at Seattle University will be responsible for certifying that grant personnel have completed the requisite training.

Policy & Procedure

In order to meet the RCR requirement, all researchers  must receive Responsible Conduct in Research training for any institutional research project they engage in that is supported by the National Science Foundation (NSF) or the National Institutes of Health (NIH). As such:  

  • When a principal investigator (PI) receives a grant from the NSF or NIH, the PI and all project staff, including students, will  complete the CITI training module before starting research on the project (unless RCR training has been completed and documented within the past four years). The tutorials should take no more than two hours. 
  • Researchers new to CITI must first set up an account and select Seattle University as their institutional affiliation. They will then answer a series of questions that will determine what course modules they should take.
    • For Questions 1-8, select "Not at this time."
    • For Question 9, researchers should choose the Responsible Conduct of Research module that fits the broad field research they will undertake (Biomedical, Physical Science, or Social and Behavioral) and click on "Submit."
    • They may then start the chosen course module or postpone until a later time. The module does not need to be finished in a single session.
  • A passing score of 80% is required. If this is not achieved, the module must be retaken by the researcher before undertaking the NSF or NIH funded research.
  • The RCR Coordinator will verify the names of the researchers who have passed the course for verification purposes through CITI.
  • If human subjects are used in research, researchers will also need to take a course on Protecting Human Research Participants. 
  • If animal subjects are used in research, researchers will also need to take a course in Laboratory Animal Research.

CLICK HERE TO BEGIN YOUR CITI RCR TRAINING

For questions about this requirement or CITI, please contact the Director of OSP, Jenna

 

This policy ensures compliance with the sexual harassment, bullying, retaliation, other forms of harassment, sexual assault, hostile working conditions, or any other conditions that raise a concern about workplace health and safety guidelines and reporting procedures for Principal Investigators, Co-Principal Investigators and other senior personnel on NSF and NIH grants. This effects any NSF or NIH-sponsored award after September 21, 2018.

Responsible and Ethical Conduct of Research

All NSF and NIH researchers are required to complete RECR training at least every four years. All other researchers are strongly encouraged to complete this training.