Introduction
The Southern Methodist University/Corporate Relationship
Research at Southern Methodist University
Contract Principles
Reasonable Efforts
Conflicting Obligations
Publications
Patents
Establishing a Sponsored Research
Program
Preliminary Discussions
Non-Disclosure Agreement
Proposal Review and Submission
Grant/Contract Negotiations
Project Administration
Standard Research Agreement
Over the years, SMU has enjoyed productive relationships with a number of corporations. These relationships have been mutually beneficial because we recognized and respected each other's objectives and values. Corporate scientists and engineers stimulate us by identifying needs and opportunities. They provide valuable feedback by interpreting our research results from a business perspective and against industry standards. Interaction with corporate scientists and engineers thus provides a metric for assessing our curriculum and research programs. We value our partners in this ongoing dialog.
Interactions between SMU and the corporate community include informal contacts between faculty members and corporate scientists and engineers; private consulting by SMU faculty; discussion groups; seminars; symposia; workshops; courses at the undergraduate and graduate levels; and corporate sponsorship of fellowships and research projects. We are actively seeking to expand and develop the interfaces between the University and corporations. We invite you to join with us in exploring new ways of cooperation.
University research is intended to advance the frontiers of science and technology and further the University's educational programs. Since instruction and research are interdependent, these functions are integrated throughout our academic and administrative programs, planning, and structure.
To achieve its purpose in our academic setting, a research project must be of intellectual interest to a member of our faculty, and responsibility for directing the research project must reside in the SMU Principal Investigator. The research should provide learning opportunities for students and should contribute to the knowledge base or the state-of-the-art .
We understand and accept that the corporation's general motive for sponsoring university-based research projects is production of specific solutions readily applicable to development of products, processes or services for competitive advantage. However, such projects must be designed and conducted in ways that also meet SMU's educational and instructional purposes.
SMU considers the following contract principles especially significant when considering research agreements with corporate sponsors.
Since state-of-the-art research is by nature unpredictable and without guarantee of success, we conduct research on a reasonable efforts basis. We attempt to organize conduct research projects in a manner sensitive to time objectives of industrial sponsors, but we cannot accept contract provisions which impose penalties for failure to make progress or provide for withholding of payment if the sponsor is not satisfied with the results.
SMU does not knowingly include commitments and obligations in research agreements which conflict with those accepted under other agreements. Special procedures for dealing with actual or potential conflicts may be included in research agreements; however SMU does not accept blanket provisions precluding the Principal Investigator or SMU from performing research for other sponsors in related areas.
To fulfill its missions, SMU must disseminate research results on a non-discriminatory basis. Therefore, while publication may be delayed, we will not agree to a ban on publication of research results. We recognize that corporate sponsors need to protect proprietary information. When SMU has agreed to accept a sponsor's proprietary information for use in the research project or when SMU has transferred patent rights or copyright to the sponsor, publication can be deferred for a limited period of time, normally not more than thirty (30) days, to allow sponsor review and comments. Since sponsors understand and accept that the objective of research activities at SMU is the generation of new knowledge and its expeditious dissemination, we expect sponsors to be cooperative in their review of proposed publications.
SMU will give sponsors the option of receiving an acknowledgment in any publication for sponsorship of research projects.
In general, SMU declares its ownership of any invention or other intellectual property generated by its faculty, staff, and students resulting from externally funded projects. See the Intellectual Property Policy.
Southern Methodist University is the legal recipient of all grants and contracts accepted on behalf of faculty, staff and students and, as such, has the legal responsibility for complying with all contractual obligations. Consequently, when an invention is generated, it is necessary that the designated University authorities review and make determinations in regard to patent rights as set forth by those funding sources which contributed to the making of that invention.
To ensure that obligations attached to contracts and grants will be met, Proposal Approval and Project Initiation forms contain certifications wherein Principal Investigators agree to abide by the terms of the negotiated agreement and applicable University Policies.
A sponsored research program is established (1) when a corporate sponsor wishes to support a research project that a member of the SMU faculty wishes to pursue, and (2) the proposed research is approved by SMU as educationally appropriate and consistent with its mission.
Initial discussions between sponsor representatives and SMU faculty occur in a variety of ways, and such interactions are encouraged. To ensure that information proprietary to either SMU or the corporation is not inadvertently disclosed, we recommend that a Standard Non-Disclosure Agreement be signed after preliminary discussions have established interest and before discussion of substantive technology. No program may be established at SMU unless a research proposal has been submitted through SMU's regular internal review procedures, and an acceptable grant or contract has been negotiated and signed by authorized representatives of the parties.
The Principal Investigator must prepare a proposal describing the research to be done, identifying the individuals who will perform it, and setting forth a proposed budget.
Before a proposal for extramural support is submitted to a sponsor, a University "Proposal Internal Approval Form" must be fully executed as evidence that the appropriate officials have reviewed and approved the proposal in accordance with University Policy and supporting agency regulations.
Each proposal for extramural support must be reviewed by the Department Chairperson(s), and approved by the appropriate Dean(s) or Director(s) before it is forwarded to the Director of Research Administration for formal submission to the supporting agency. Contracts are reviewed by the Office of Legal Affairs.
All contracts and grants are negotiated by the Office of Research Administration with support from the Office of Legal Affairs. Both SMU faculty and sponsor representatives should understand that no binding commitments can be made during tentative project discussions . The Office of Research Administration and the Office of Legal Affairs must review any proposed contractual agreement on behalf of SMU and either endorse it as conforming to University policy or negotiate necessary modifications.
A Standard Research Agreement has been developed by the SMU Office of Legal Affairs for research sponsored by corporations. Use of this Agreement facilitates starting a project with a minimum of negotiation. SMU will consider modifications to the Standard Research Agreement or other forms of an agreements to accommodate the sponsor's needs, but reviewing and negotiating a mutually acceptable agreement could significantly delay the start of project activity.
Sponsors frequently request an option to license inventions made during and as a part of sponsored research. SMU will negotiate transfer of intellectual property rights consistent with the Intellectual Property Policy and mindful of our obligations to the Federal Government if Federal funds were used in any aspect of creating or developing the intellectual property.
When negotiations are completed, the contract must be signed by a person who has specific delegation of authority from the Board of Trustees (the President or the Vice President) to contractually obligate SMU.
When negotiations are completed and the grant or contract signed, the Office of Research Administration establishes a project account with Grant and Contract Accounting, notifies the Principal Investigator, the Department(s), and the offices of the appropriate Dean(s) or Director(s) and takes whatever other steps are necessary so that the Principal Investigator may begin the research and make appropriate charges to project funds.
The Principal Investigator, operating within the policies of the University and assisted by appropriate SMU administrative offices and officials, is responsible for the day-to-day administration and direction of the approved project, including the direction of the research and the proper charging of the costs of conducting the project.
Any correspondence proposing modification of the terms or conditions of a contract or grant including changes in the scope of work must be forwarded to the Office of Research Administration. Renewals or extensions involving additional costs must be reviewed and approved in the same way as new proposals.
Larry Smith, Director,
Office of Research
Administration & Technology Management
Southern Methodist University
PO Box
750302
Dallas TX 75275-0302
(214) 768-4306; FAX:
(214) 768-1079
Location:
Room G03 on the Garden Level of Perkins
Administration Building, the SE corner of University Dr. and
Hillcrest Blvd., University Park, Texas.
[ About | Feedback | SMU Homepage | Graduate Research Homepage | Research Administration Homepage]
Maintained by
lsmith@mail.smu.edu.
visits since October 1, 2001