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~ Regulation & Compliance Overview ~
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Overview Chart
Requirement |
Signatory Authority |
Responsible VP/Provost |
Minimum Compliance |
Potential Penalty |
Misconduct in Scholarly Activity |
Director of S.P. |
Assoc. Provost |
Develop policies and procedures to deal with allegations
of misconduct. |
Awardees can be subject to suspension, termination, or debarment actions |
Financial Conflict of Interest |
TBD |
Ass't. Provost |
TBD |
TBD |
Protection of Human Subjects |
Chair, Institution Review Board (Exception: "Exempt" research studies approved by the department chair). Sponsored Projects Administrator for proposal submission |
Ass't. Provost |
Institutional policies approved by the OPRR |
Suspension of project support from funding source. Potential institution liability if subject is harmed. |
Animals in Research |
Chair, Institutional Animal Care & Use Committee. Sponsored Projects Administrator for proposal submission. |
Ass't. Provost |
Develop and observe policies mandated by federal regulation. Policies are approved by the USDA and the OPRR. |
Animal Care Committee may shut down work being performed if not in compliance; federal agency may withdraw funding for specific project and for all projects funded by agency at the institution; loss of animal facility registration, and possible fines. |
Recombinant DNA |
Chair, Biosafety Committee. Sponsored Projects Administrator for proposal submission. |
Ass't. Provost |
Develop and observe policies involving use of recombinant DNA molecules |
Suspension, limitation, or termination of financial assistance for recombinant DNA project and of NIH funds for other recombinant DNA at the institution; or required prior approval of any or all DNA projects at the institution |
Biohazards |
Chair, Biosafety Committee Sponsored Projects Administrator for proposal submission |
Ass't. Provost |
Certification that policies and procedures have been implemented for acquiring items defined as hazardous materials; must advise all employees with regard to hazardous materials to which they may be exposed. |
Loss of federal funds and appropriate sanctions |
Aquatic Nuisance |
Chair, Biosafety Committee Sponsored Projects Administrator for proposal submission |
Ass't. Provost |
Certification that certain aquatic species, considered harmful to the environment will not be released into that aquatic environment. |
Loss of federal funds and appropriate sanctions. |
Drug Free Work Place |
Sponsored Projects Administrator for proposal submission |
Ass't. Provost |
Develop and implement policies in accordance with federal regulation; distribute to all employees; *annually distribute to all employees |
Suspension, termination, or debarment of the institution
or individual so affected; |
Compliance with Civil Rights Requirements: |
Sponsored Projects Administrator for proposal submission |
Ass't. Provost |
Assurance of compliance must be on file |
Awards may not be made to an institution that has not filed
assurance; |
Hazardous Materials |
Sponsored Projects Administrator for proposal submission. |
Ass't. Provost |
Employees must be apprised of possible exposure to hazardous materials; emergency treatment; precautions |
Loss of federal funds |
Radioactive Materials |
Sponsored Projects Administrator for proposal submission. Radiation Safety Officer for Certification of Compliance |
Ass't. Provost |
Performance of award will not take place if not in compliance |
Termination of grant or cancellation of contract |
Lobbying |
Sponsored Projects Administrator for proposal submission |
Ass't. Provost and VP for Administrative Services |
Certification that: no appropri-ate funds were or will be used to influence Congress in making an award; if non-appropriated funds were used, full disclosure must be made. Note: anyone traveling on federal funds who lobbies is in violation. |
Awards will not be made without appropriate certifi-cations filed; persons making prohibited expenditures will be subject to a civil penalty from $10,000 to $100,000 per expenditure. |
Occupational Safety and Health |
Chair of Environmental Safety Committee; Sponsored Projects Administrator for proposal submission |
Ass't. Provost |
Stipulation that performance of an award will not take place under conditions that are unsanitary or hazardous |
Termination of grant or cancellation of contract |
Davis Bacon Act - for construction only; Walsh-Healy Public Contracts Act, Service Contract Act, & Contract Work Hours and Safety Standards Act of 1962. (G,C,F) |
VP for Administrative Services Sponsored Projects Administrator for proposal submission |
Ass't. Provost & VP for Administrative Services |
Pay wages in accordance with wage rate determination |
Termination of grant or cancellation of contract |
Debarment & Suspension |
Sponsored Projects Administrator for proposal submission |
Ass't. Provost & VP for Administrative Services |
Certification that applicant, nor principals, nor researchers, are presently debarred, been convicted of a civil judgement or criminal offense, or have had an agreement terminated in a public transaction for cause or default. |
Possible termination, debarment of suspension for the awardee |
A-21 |
Sponsored Projects Administrator for proposal submission; Grants/Contracts Accounting for allowability of costs charged to grants and contracts |
Ass't. Provost & VP for Administrative Services |
Establish written policies for the costs applied to all grants and contracts |
Disallowance of direct and indirect costs charged to grants to contracts |
A-110 |
Sponsored Projects Administrator for proposal submission; Grants/Contracts Accounting for the administration of the grant/contract |
Ass't. Provost & VP for Administrative Services |
Establish written policies for general grants systems management |
Failure to implement systems could result in audit findings leading to cost disallowances and/or termination of federal funding if processes are not corrected |
A-133 |
VP for Administrative Services; Sponsored Projects Administrator for proposal submission |
Ass't. Provost & VP for Administrative Services |
Single audits for university & non-profit institutions. Comply with all federal requirements for the management of federally-supported projects; |
Potential for costs disallowances, systems management findings, loss of federal funding if systems are not corrected |
A-128 |
VP for Administrative Services; Sponsored Projects Administrator for proposal submission |
Ass't. Provost & VP for Administrative Services |
Single Audits of State & Local Governments (States only) |
Potential for cost disallowances, systems management findings, loss of federal funding if systems are not corrected |
Non-Delinquency of Federal Debt |
Sponsored Projects Administrator for proposal submission |
Ass't. Provost & VP for Administrative Services |
Periodically survey financial officers for their knowledge of federal debt payments due; inform faculty of their obligations to disclose federal debt delinquency in submission process |
May not make awards to delinquent institutions or individuals; agencies can collect delinquent debt by offsetting payments due under other federal programs |
Facilities Management |
Sponsored Projects Administrator for proposal submission |
Ass't. Provost & VP for Administrative Services |
Adhere to Regulatory Compliance for Facilities Managers |
Loss of federal funding |
Buy America |
VP for Administrative Services; Sponsored Projects Administrator for proposal submission |
Ass't. Provost & VP for Administrative Services |
Ensure purchasing only American-made products in contractual arrangements; inform faculty of regulations |
False certification may be deemed fraudulent and result in debarment |
Fly America |
VP for Administrative Services; Sponsored Projects Administrator for proposal submission |
Ass't. Provost & VP for Administrative Services |
Use of American carriers; inform faculty of regulations |
Disallowance of costs charged to contracts and/or grants |
Other purchasing requirements as mandated in A-21 |
Sponsored Projects Administrator for proposal submission; Grants Accounting Office for cost allowance |
Ass't. Provost & VP for Administrative Services |
Comply with procurement standards as established by individual agencies and A-21; inform principal investigators of regulations |
Disallowance of costs charged to contracts and/or grants |
Acknowledgement of Federal Grant Support |
Sponsored Projects Administrator for proposal submission |
Ass't. Provost & University Relations |
Press releases, requests for bids involving federal funds should indicate total project costs and the amount and percentage funded by the federal government |
Noncompliance could be considered a breach of responsibilities and result in termination, suspension or debarment |
Certification of Accuracy of Indirect Costs (Applies only to contracts with the Department of Defense) (C) |
VP for Administrative Services |
VP for Administrative Services |
Annual signature on certification form from ONR |
Non-recovery of indirect costs; penalties of perjury for false certification |
Student Unrest |
Sponsored Projects Administrator for proposal submission; Grants/Contracts Accounting for cost allowance |
Ass't. Provost and VP for Administrative Services |
No payments form federal funds may be made to an individual who has engaged in conduct on or after August 1, 1969 involving use or assistance in use of force to impede access or otherwise impede faculty, administrative officials, or students from engaging in their duties at an institution of higher education; Inform faculty, staff and students of regulations |
None stated; however, at the least, payments should cease. HHS only |
Coordinated Review Process Executive Order 12372 (G) |
Sponsored Projects Administrator for proposal submission |
Ass't. Provost |
If required by federal regulations, copies of the proposal are submitted to the "State Clearinghouses," in states affected by the proposed program, for review of compatibility with state programs and policies |
May negatively affect the federal review process |
Clean Air and Clean Water Act |
Sponsored Projects Administrator for proposal submission, VP for Administrative Services for contracts |
Ass't. Provost and VP for Administrative Services |
Certifies that the institution has not been convicted of either water or air pollution violations |
May prevent the award of the grant or contract if over $100,000 |
Certification of Current Cost and Pricing Data |
VP for Administrative Services |
VP for Administrative Services |
Certifies the accuracy cost and pricing data in the contract; certifies the cost and pricing data are based upon standard institutional pricing practices if over $100,000 contract |
May prevent award of contract. May lead to cancellation of contract if violation and also may lead to fines against the institution |
Certificate of Technical Data Conformity (C,F) |
Sponsored Projects Administrator for proposal submission |
Ass't. Provost |
Certifies the accuracy of technical data of information submitted |
May lead to contract cancellation, and possible fines, if in violation. DOD only |
Insurance, Immunity from Tort liability |
Sponsored Projects Administrator for proposal submission |
Ass't. Provost and VP for Administrative Services |
Protects the funding agency from liability resulting from program "Hold Harmless Clause" |
Do not accept unless clause mentions "to the extent permitted by state law" as this is considered unauthorized pledging of state assets |
Rights to Inventions by Non-Profit Organizations and Small Business Firms (G,C,F) |
Sponsored Projects Administrator for proposal submission; VP for Administrative Services for contracts |
Ass't. Provost and VP for Administrative Services |
Allows the awardee rights to patents resulting from project activities |
Federal government has "march-in" rights (may take control of patent) if awardee does not file for patent protection |
Utilization of Small and Small Disadvantaged Business Concerns, and Women-Owned Business (C,F) |
Sponsored Projects Administrator for proposal submission; VP for Administrative Services for contracts, Grants/Contracts Accounting and Director of Purchasing for costs allowability |
Ass't. Provost and VP for Administrative Services |
Promotes the use of small, minority and women-owned businesses for project procurements |
Possible disallowance of costs; Awarding agency may cancel the project award if a violation occurs |
Export Administration on Arms Control Act (C) |
Sponsored Projects Administrator for proposal submission; VP for Administrative Services for contracts |
Ass't. Provost and VP for Administrative Services |
Restricts export of certain technologies and arms to other countries |
Possible fines and criminal charges against institutions in violation of terms. Do not accept |
Covenant Against Contingency Fees (C,F) |
Sponsored Projects Administrator for proposal submission; VP for Administrative Services for contracts |
Ass't. Provost and VP for Administrative Services |
Prohibits institutions from budgeting money into a contingency reserve line-item for the occurrence of events which cannot be foretold with certainty |
Cancellation of contract, possible fines/repayment of monies to funding agency |
Anti-Kickback Act of 1986 |
Sponsored Projects Administrator for proposal submission; VP for Administrative Services for contracts |
Ass't. Provost and VP for Administrative Services |
Prohibits inducing any person employed on a federal project to give up any part of their compensation under that project |
Possible loss of contract and fines |
Prompt Payment |
Sponsored Projects Administrator for proposal submission; VP for Administrative Services for contracts |
Ass't. Provost and VP for Administrative Services |
Agreement providing for reduction in contract amount for prompt payment by awarding/ contracting entity |
Lack of discount/reduction in charges for instances in which prompt payment not made |