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Module 3: Overview of Regulations and Compliance (Part 2)

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  1. Module 3: Overview of Regulations and Compliance (Part 2) Office of Research and Sponsored Programs The University of Mississippi 100 Barr Hall ~ 662-915-7482 www.research.olemiss.edu

  2. Part 2 of Module 3 will cover federal agency-specific regulations governing research grants and cooperative agreements; university policies regarding common transactions on sponsored projects; and compliance issues in university research. Updated October 2009

  3. Federal agency-specific regulations for research grants and cooperative agreements • National Institutes of Health (NIH) • National Science Foundation (NSF) • U.S. Department of Agriculture Cooperative State Research, Education and Extension Service (USDA CSREES) CSREES is used as an example. There are other research divisions within USDA, each with their own terms and conditions. Updated October 2009

  4. National Institutes of Health (NIH) Updated October 2009

  5. NIH Grant and Cooperative Agreement Regulations READ THE NOTICE OF GRANT AWARD todetermine applicable terms and conditions. These include: • Standard Terms and Conditions and • Special Terms and Conditions Updated October 2009

  6. NIH Grant and Cooperative Agreement Regulations:Standard Terms and Conditions NIH Grants Policy Statement • Provides guidance on almost every policy issue • Exceptions to Policy Statement are rare and may be done only with approval of the Grants Management Officer See grants.nih.gov/grants/policy/policy.htm#gps Updated October 2009

  7. NIH Grants Policy Statement:Standard Terms and Conditions Contains – Information such as: • Technical and financial reporting requirements • Carryover allowability • Inclusion or exclusion from Streamlined Noncompeting Award Process (SNAP) • Salary cap • Program income information Updated October 2009

  8. NIH Grants Policy Statement:Special Terms and Conditions Contains – Information such as: • Revised award or • Supplemental award or • Cooperative agreement • Requirement terms (such as cost sharing) • Restrictive terms (failure to follow = disallowed costs) • Information items Updated October 2009

  9. What are examples of actions that the ORSP can approve? Updated October 2009

  10. Actions NOT requiring prior approval from NIH • One-time no-cost extension of up to 12 months • Pre-award costs ≤ 90 days of award start date (at institution’s risk) • Foreign travel Updated October 2009

  11. Pre-award costs • If you plan to incur pre-award costs, you must request a preliminary account number • Contact the ORSP at x7482 for a preliminary account form Updated October 2009

  12. What are examples of actions that NIH must approve? Updated October 2009

  13. Examples of actions requiring prior written approval from NIH • Change in scope, principal investigator, or key personnel • Change of grantee organization • Any deviation from stated special terms or conditions • Transfer the performance of “substantive work” on the project to a third party • Any change from the approved use of animals or human subjects • Substitution of one animal model for another • Second no-cost extension or extension >12 months • Need for additional funding • Pre-award costs >90 days • Transfer of funds between construction and non-construction • Addition of a foreign component to the project Updated October 2009

  14. What is NIH prior approval? • NIH’s acceptance of the proposal and/or proposal budget and subsequent incorporation into the award, or • Written approval of a separate request submitted by the ORSP on behalf of the institution Updated October 2009

  15. National Science Foundation (NSF) Updated October 2009

  16. NSF Grant and Cooperative Agreement Regulations READ THE NOTICE OF GRANT AWARD todetermine applicable terms and conditions. These include: • Standard Terms and Conditions and • Special Terms and Conditions Updated October 2009

  17. NSF Grant and Cooperative Agreement Regulations:Standard Terms and Conditions • NSF Award and Administration Guide (AAG) • Basic policies for award and administration of NSF grants and cooperative agreements www.nsf.gov/publications/pub_summ.jsp?ods_key=aag • NSF Grant General Conditions (GC-1) • General terms and conditions for NSF grants www.nsf.gov/awards/managing/general_conditions.jsp • NSF Cooperative Agreement General Conditions (CA-1) • General terms and conditions for NSF cooperative agreements www.nsf.gov/awards/managing/co-op_conditions.jsp Updated October 2009

  18. NSF Grant and Cooperative Agreement Regulations:Standard Terms and Conditions Contain – Information such as: • Technical and financial reporting requirements • Budget considerations • Prior approval requirements Updated October 2009

  19. NSF Grant and Cooperative Agreement Regulations:Special Terms and Conditions Contain – Information such as: • Conference or group travel award • Facilities modernization grant conditions • Foreign grant conditions • Small Business Innovation Research (SBIR) grant conditions Updated October 2009

  20. What are examples of actions that the ORSP can approve? Updated October 2009

  21. Actions NOT requiring prior approval from NSF (NSF FastLane notifications) • Grantee-approved one-time no-cost extension of up to 12 months • Anticipated residual funds in excess of $5,000 or 5% • Significant changes/delays or events of unusual interest • Significant changes in methods/procedures • Short-term absence of the PI/PD (up to three months) Updated October 2009

  22. What are examples of actions that NSF must approve? Updated October 2009

  23. Actions requiring NSF prior approval (requests in NSF FastLane) • Addition of subaward • Withdrawal of PI/Co-PI • Long-term absence of PI/PD (over three months) • Second no-cost extension or extension of >12 months • PI transfer • Pre-award costs in excess of 90 days • Rearrangement/alteration of $25,000 or over • Change PI and add/change Co-PI • Significant change in person-months devoted to project • Changes in objective or scope • Reallocation of funds budgeted for participant or trainee support costs Updated October 2009

  24. Pre-award costs • If you plan to incur pre-award costs, you must request a preliminary account number • Contact the ORSP at x7482 for a preliminary account form Updated October 2009

  25. What is NSF prior approval? • NSF’s acceptance of the proposal and/or proposal budget and subsequent incorporation into the award, or • Written approval of a separate request submitted by the ORSP on behalf of the institution Updated October 2009

  26. USDA CSREES Note: There are many different divisions within USDA. CSREES is only one example. ORSP will help you find your specific USDA division’s web site. Updated October 2009

  27. USDA CSREES Grant and Cooperative Agreement Regulations READ THE NOTICE OF GRANT AWARD todetermine applicable terms and conditions. These include: • General Terms and Conditions – A • General Terms and Conditions – B • Small Business Innovation Research Grants Program • Special Terms and Conditions – C • Special Terms and Conditions – D • Federal Demonstration Partnership Updated October 2009

  28. USDA CSREES Grant and Cooperative Agreement Regulations:General Terms and Conditions - A • Apply to all awards except • Formula-funded awards • Awards under the Facilities Program • Awards under the SBIR Program • Awards to institutions that are part of the Federal Demonstration Partnership (UM is not a part) • Awards to individuals • Awards to recipients with < 3 years experience managing CSREES funds See www.csrees.usda.gov/business/awards/awardterms.html Updated October 2009

  29. USDA CSREES Grant and Cooperative Agreement Regulations:General Terms and Conditions - B • Apply to the same awards as General Terms and Conditions – A with the same exceptions • However, B applies to those recipients (institutions) who have not had at least three years managing CSREES funds Updated October 2009

  30. USDA CSREES Grant and Cooperative Agreement Regulations:Other Terms and Conditions • SBIR Grants Program • Apply to awards under the Small Business Innovation Research Grants Program • Special Terms and Conditions – C • Apply to awards under the Facilities Program • Special Terms and Conditions – D • Apply to awards to individuals • Federal Demonstration Partnership • Apply to all grants to institutions that are part of FDP Updated October 2009

  31. What are examples of actions that the ORSP can approve? Updated October 2009

  32. Actions NOT requiring prior approval from USDA CSREES • One-time no-cost extension of up to 12 months • Pre-award costs ≤ 90 days of award start date (at grantee’s risk) • Re-budgeting among budget categories • Foreign travel Updated October 2009

  33. What are examples of actions that USDA CSREES must approve? Updated October 2009

  34. Actions requiring prior written approval from USDA CSREES • Change in scope, principal investigator, or key personnel • Change of grantee organization • Transfer the performance of “substantive work” on the project to a third party • Second no-cost extension or extension >12 months • Need for additional funding • Pre-award costs >90 days • Transfer of funds between construction and non-construction • Addition of a foreign component to the project Updated October 2009

  35. What is USDA CSREES prior approval? • USDA CSREES’s acceptance of the proposal and/or proposal budget and subsequent incorporation into the award, or • Written approval of a separate request submitted by the ORSP on behalf of the institution Updated October 2009

  36. University policies and procedures • Personnel • Consultants • Equipment • Good and services • Travel • Subawards Updated October 2009

  37. Personnel • The hiring of personnel to be associated with a sponsored program is guided by UM policies and procedures as well as any sponsor regulations • For a given sponsored program, the PI can recruit for positions listed in the award Updated October 2009

  38. Personnel – how to hire • Start by consulting your department’s (or school’s) administrative staff • Decide if you’re hiring faculty or staff • For faculty: • Work with the Provost’s Office to settle tenure questions and rank, among other things • For staff: • Work with Human Resources Updated October 2009

  39. Hiring staff • Does your department already have an unfilled position on the books that is suitable for what you need? • YES? • Then just do an HR Personnel Requisition Form –this will open the position for you • Then conduct interviews, and hire www.olemiss.edu/depts/HR/ Updated October 2009

  40. Hiring staff • NO? • Then you must fill out a Job Analysis Questionnaire (JAQ) and submit it to your department chair. After it has been through the chain of approvals, someone from Human Resources will call you to set up a desk audit and talk to you about what you need a person in this proposed position to do. • Then HR will establish a job classification, approve the title, compose the job description, and assign a hiring rate • Then you can submit an HR Personnel Requisition Form to open the position • Then you establish a search committee, conduct interviews, and hire www.olemiss.edu/depts/HR/ Updated October 2009

  41. Temporary employees • Sometimes you don’t need a permanent employee • UM identifies two types of temporary employees: • Temp I: Someone who works for a department on a regular basis for a short period of time, not to exceed 4.5 months (no benefits) • Temp II: Someone who works for a department on a regular basis for more than 4.5 months, but less than 12 months (with benefits), EXCEPT for post-docs, who may be hired on a temporary basis for 2-3 years Updated October 2009

  42. Consultants • Do you really need a permanent (or even temporary) employee, or can you hire a consultant? • To decide, use the “Checklist to Determine Status as Employee, Consultant, or Independent Contractor” on the ORSP Forms and Information page under Awards:www.olemiss.edu/depts/research/forms/index.html • If you decide to hire a consultant, use the HR Form 13. • How much can you pay a consultant? Payments should be comparable or customary fees charged and received by the consultant for comparable services, and must pass the test of reasonableness. Updated October 2009

  43. Personnel – some additional things you should know • For federal awards, recruitment costs of personnel required for the performance of obligations arising under the agreement are allowed • Advertising costs for such positions are allowed EXCEPT for: • The use of color in publications • Excessive size • Including material in the ad for other than recruitment purposes Updated October 2009

  44. Personnel – Federal Policy (OMB Circular A-21) • Costs of help wanted advertising, special emoluments, fringe benefits, and salary allowances incurred to attract professional personnel from other institutions that do not meet the test of reasonableness are unallowable Updated October 2009

  45. Personnel – Federal Policy (OMB Circular A-21) • Regarding relocation costs: you must have budgeted for such costs in your proposal. Then it’s a good idea to put in place a contract or at least some guidelines (perhaps a spending limit) for the new employee. These expenses have to meet the test for reasonableness. • If the newly hired employee resigns for reasons within his control within 12 months after hire, the institution will be required to refund or credit such relocation costs to the federal government. • Relocation expenses are paid one time only. UM cannot reimburse temporary living expenses while the employee seeks permanent housing. • Procurement Services can advise you: www.olemiss.edu/depts/procurement/relexp.htm Updated October 2009

  46. Hiring staff/other considerations • Affirmative Action: All of your forms/requests will be sent to the EEO office. They may contact you with specific questions. • Immigration and naturalization procedures, if you’re hiring a foreign national, will require a Form I-9. • If you’re hiring students, you’ll need an HR Form 7 (salaried position) or HR Form 18 (hourly wages). • Again, work with your departmental administrative staff. www.olemiss.edu/depts/HR/ Updated October 2009

  47. Equipment • As of July 1, 2008, UM defines equipment as: • Visible tangible personal property • Non-consumable in nature • Must have an anticipated life of at least one year • Must cost $1,000 or more  • At UM, the following items will be reported as equipment regardless of their purchase price: weapons, two-way radio equipment, lawn maintenance equipment, cellular telephones, chain saws, air compressors, welding machines, generators, motorized vehicles • Reported as equipment if purchase value is ≥ $250: cameras/camera equipment, televisions, computers/computer equipment (computer systems, printers, external hard drives) Updated October 2009

  48. Equipment • General UM requirements for purchasing equipment: • If / then: • $5,000 or less – one price quote required, either verbal or written • $5,000.01 to $50,000 – two written price quotes required • $50,000.01 or more – sealed bids required • A purchase order is the preferred method for purchasing equipment. • You must buy from the “State Contract List” if available, unless you can find the item cheaper elsewhere (justification required) • Create your Purchase Requisition via SAP; Procurement Services will issue the Purchase Order Contact Procurement Services for Assistance Updated October 2009

  49. Special circumstances approval • Procurement Services recognizes special circumstances that may require: • Emergency purchases • Sole-source purchases • Special purchases for research purposes • Special exemption from state contract • Use the Special Circumstances Approval Form available from the Procurement Services website: www.olemiss.edu/depts/procurement/formbank1.html Updated October 2009

  50. Federal equipment • Federal definitions for equipment are more comprehensive: • Special Purpose Equipment: Equipment which is used only for research, medical, scientific, or other technical activities. • General Purpose Equipment: Equipment which is NOT limited to research, medical, scientific or other technical activities. • Capital expenditures for Special Purpose Equipment are usually allowable; but if cost is $5,000 or more, must have prior approval and must conduct a pre-acquisition screening within your department. If the cost is $50,000 or more, the screening must be university-wide. • Capital expenditures for General Purpose Equipment are unallowable, exceptwhere approved in advance. Updated October 2009