Compliance

New Procedural Statement for Sponsored Project Report Submissions

Anonymous — Thu, 14 Feb 2019 15:28:15 +0000

New Procedural Statement for Sponsored Project Report Submissions Anonymous (not verified) Thu, 02/14/2019 - 08:28

Sponsors expect timely submission of progress and/or technical reports as outlined in the award. In fact, many sponsors have improved their report submission systems, created automated tracking of report submissions, and forewarn of consequences to the university much more often than in the past.

Vice Chancellor for Research & Innovation, Terri Fiez, approved a new procedural statement that details CU �鶹ӰԺ’s report submission responsibilities and consequences for late reports or disregarding notification deadlines. The procedural statement outlines responsibilities and steps taken when reports are late.

What are PI and OCG responsibilities?

PIs are expected to timely submit reports to the sponsor and to provide a copy of the report to OCG. Providing a copy of your report to OCG is critical. OCG does not have access to most sponsor databases.

OCG tracks reporting dates in InfoEd and is responsible for uploading into InfoEd all reports received from PIs. InfoEd is the official repository for all CU �鶹ӰԺ award-related documents to substantiate CU’s award management practices as required by Federal regulations.

What happens if a report is late?

OCG will notify PIs a maximum of 3 times if a report is late. Each OCG notification has a 3-day response time before the next notification is sent. At the 3^rd notification, a hold is placed on all of a PI’s active awards.

For chronically late reports and disregarding notification deadlines, a hold will be placed on all active awards AND proposals until reports are submitted.

Colleges and/or Schools may impose further sanctions in accordance with the Faculty Affairs Policy on Professional Rights & Duties of Faculty Members & Roles & Responsibilities of Department Chairs, up to and including denying merit increases in the next merit cycle.

Bottom line: Submit reports on time every time. Doing so keeps PIs, their research and the University in good standing with CU �鶹ӰԺ’s sponsors.

OCG Resources

The Office of Contracts and Grants (OCG) has developed an interactive Guide to Sponsor Reporting Requirements and an overview handout regarding report submission procedures. OCG is available to help answer report submission questions at ocgreports@colorado.edu.

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NSF Announces New Measures to Protect Research Community from Harassment

Anonymous — Fri, 14 Dec 2018 21:11:55 +0000

NSF Announces New Measures to Protect Research Community from Harassment Anonymous (not verified) Fri, 12/14/2018 - 14:11

The National Science Foundation (NSF) has recently announced new measures to protect the research community from harassment. As the primary funding agency of fundamental science and engineering research in the United States, NSF is committed to promoting safe, productive research and education environments for current and future scientists and engineers.

Contained in this announcement, is a new policy statement in Chapter II.E.7., Conference Proposals. For those that will be using NSF funds in support of conferences, effective January 28, 2019, University of Colorado’s Discrimination and Harassment Policy must be disseminated to conference participants prior to attendance at the conference as well as made available at the conference itself.

University of Colorado is committed to upholding these standards and with the support of the Office of Intuitional Equity and Compliance (OIEC), employs a comprehensive and integrated approach. For more information about OIEC or University of Colorado’s Discrimination and Harassment Policy, please visit OIEC’s website.

If you have any questions about NSF’s new policy, please contact the OCG Compliance Team.

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New Interactive Tool for Sponsor Reporting Requirements

Anonymous — Mon, 08 Oct 2018 14:49:26 +0000

New Interactive Tool for Sponsor Reporting Requirements Anonymous (not verified) Mon, 10/08/2018 - 08:49

The Office of Contracts and Grants (OCG) has created an interactive Guide to Sponsor Reporting Requirements that summarizes typical reporting requirements for the most common federal sponsors such as NSF, NIH, NASA grants and others. Specific information for each of these sponsors includes reporting schedules, submission instructions, and report templates. In addition to the new tool, a “How To” Guide for Reporting Requirements is available that features the reporting requirements for other sponsors.

All required reports, including technical and final reports, should be retained in infoED. infoED is the official repository for all CU �鶹ӰԺ award-related documents to substantiate CU’s award management practices. OCG will be responsible for uploading all reports to infoED that they receive.

Reports that are stored in infoED transition responsibility from the PI to OCG to produce a copy of the report in the event the sponsor questions CU’s fulfillment of the award. If OCG does not receive a copy of a report, the PI and that PI’s department assume this responsibility, and will need to retain the document(s) for six years past the inactivation date of all financial accounts of that award, in accordance with CU �鶹ӰԺ’s Records Retention and Management policies.

Direct reporting questions and copies of submitted reports to ocgreports@colorado.edu.

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New policy statements for Institutional Base Salary and Summer Salary Limits effective September 2018

Anonymous — Wed, 26 Sep 2018 14:21:42 +0000

New policy statements for Institutional Base Salary and Summer Salary Limits effective September 2018 Anonymous (not verified) Wed, 09/26/2018 - 08:21

Effective September 1, 2018, CU �鶹ӰԺ adopted policy statements addressing Institutional Base Salary and Summer Salary Limits. Federal requirements, through the Uniform Guidance, require the University to clearly define what is included in Institutional Base Salary (IBS) and apply it consistently for all tenured and tenure-track faculty. IBS is used to calculate maximum permissible summer salary and prior to the new policies, was defined in a single, lengthy guidance and procedure statement.

These policies change how the IBS is calculated and specifically affect faculty with regular academic year salary plus academic year administrative and/or endowed position salary, involving fewer than 10% of the tenured and tenure-track faculty. There is no change or impact to faculty on 12-month appointments or to faculty who have only academic year salary. The Summer Salary Limits policy clearly outlines responsibilities for those faculty earning summer salary and articulates restrictions imposed on the salary that is earned.

A working group from the Research & Innovation Office, Human Resources, Office of Faculty Affairs, the Provost’s Office, and the Office of Contracts and Grants collaborated on the development of these policies. The following outcomes resulted from their work in creating them:

Two clear policies separate responsibilities from procedure
Earning potential is the same for those affected by the new calculations
The updated IBS calculations have been tested against numerous real scenarios
Effort and earning remain congruent
New tools have been created to allow easy determination of IBS

Policy and Resource Links:

Institutional Base Salary

Institutional Base Salary Quick Guide

Summer Salary Limits for Tenured and Tenure-Track Faculty

Summer Salary Procedures

CU After Lunch (March 2019) Slide Deck

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NIH and others place emphasis on compliance disclosures

Anonymous — Thu, 13 Sep 2018 14:03:21 +0000

NIH and others place emphasis on compliance disclosures Anonymous (not verified) Thu, 09/13/2018 - 08:03

CU �鶹ӰԺ is committed to protecting the intellectual property and work of our robust research community, and we closely monitor the guidance, directives and information coming from our federal sponsors. NIH recently issued a letter to grantees about the importance of ensuring all support and financial interests are properly disclosed. The letter noted a particular concern about financial support from foreign entities that might compromise national security as well as intellectual property rights of the government and of the university. As a reminder, all external sources of income or support—including from foreign universities and research institutions—should be included in your DEPA conflict of interest disclosures.

The compliance units within the Office of Research Integrity and the Office of Contracts and Grants are here to support CU �鶹ӰԺ PIs and their departments through strategic guidance on the risks associated with any conflicts of interest, conflicts of commitment, sponsor affiliations, terms and conditions, intellectual property, sensitive data or other risk concerns.

The start of a new academic year is a great time to make sure that all of your sponsored projects are up-to-date with disclosure of financial interests and affiliations and all forms of other support. There are numerous resources available to help you throughout all stages of a sponsored award.

Resources:

Office of Research Integrity (ORI)

CU �鶹ӰԺ is committed to scientific and ethical integrity as well as academic excellence in all research activities with which our students, faculty and staff are associated. ORI supports those needs as follows:

Office of Contracts and Grants (OCG)

OCG partners to provide sponsored project award compliance support from start to finish. This support includes:

Proposal review and submission
Certifications & Representations
Restricted Research Guidance
Property and Equipment (including fabrications and borrowing or lending)
Navigating Rules & Regulations
Terms and Conditions Review and Acceptance
Travel
Reporting (Deliverables)
Administrative Closeout

Campus Controller’s Office (CCO)

CCO oversees the post-award financial administration and compliance of sponsored projects in CU �鶹ӰԺ Funds 30/31/33. CCO ensures the final financial closeout of all awards and serves as the primary point of contact for any audits.

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