Office of Research and Project Administration

SPONSORED PROGRAMS COMPLIANCE

10. Award Terms and Conditions

Administrative Responsibilities/Issues:

It is important that the complete proposal go through the University sign-off process before submission to a sponsor for consideration of funding. This will ensure compliance with University and Federal regulations. Once an award has been issued to the University these are some standard terms you can expect to see:

Publication:

Why are publication rights important to the University of Rochester?

• Publications are crucial to academic advancement for faculty.
• Graduate students will often use publications involved in research for presenting at conferences. If the right to publish were restricted, that could prevent graduate students from defending and receiving their Ph.D.
• The sponsor is given the option of being identified as the source of support on a particular project.
  
  

  • Example: "This material is based upon work supported by _____________ under grant number _____________. Any opinions, findings, and conclusions or recommendations expressed in this material are those of the author(s) and do not necessarily reflect the views of ____________________."
    
    
• The PI and UR may publish all data first produced in the performance of the project.
  
• A Disclaimer is required in publications, indicating the views expressed are not endorsed by the sponsor.
• Sources of support must be disclosed on statements, press releases, request's for proposals, bid solicitations and other documents describing projects. When writing grant proposals, the agency, grant amount, dates of project, and proportion of total cost should be shown in the current and pending support page for each investigator.

Intellectual Property:

The UR retains title to any invention that results from sponsored basic research. Questions regarding licensing should be directed to the Office(s) of Technology Transfer. http://www.rochester.edu/ott/

Rights in Data:

In most cases, the sponsor is given a royalty free license to use data.

Travel:

• It is important to remember that if a sponsor is a federal agency, the use of US air carriers is required for travel (even if it costs more money). There are some exceptions to this but check the individual agency guidelines for clarification.
• Alcoholic beverages are not an allowable cost on sponsored projects.
• Receipts for reimbursement should be itemized. Entertainment (e.g., movie rental, personal phone, laundry) is not allowed. Refer to the UR finance manual for specific guidelines at: http://www.uis.rochester.edu/finance/unallow.htm
• A Travel & Conference report form (F-3) is used to reimburse the PI for costs associated with travel. The PI must provide a receipt for any expense over $25.00. This form is available for down load at: http://www.uis.rochester.edu/finance/F3.XLS

Equipment:

• General-purpose items such as photocopiers and fax machines cannot be purchased with sponsored funds. Computers can be purchased if they are listed in the original proposal and approved by the sponsor. If the item is not in the original proposal, the PI must provide a written document for the file stating that the computer was purchased to complete the research. Normally, equipment purchases will not be approved 90 days prior to the termination of the grant unless it is essential to the completion of the project.
• Usually equipment title rests with the University of Rochester. There are some sponsors that retain ownership. Be aware of the terms of ownership and if property reporting is required.
• Some sponsors require prior approval of equipment changes or purchases not originally identified in the proposal.
  

Subcontracts:

• All subcontracts to other institutions/individuals should be identified in the original proposal.
• The PI needs to get prior approval from the sponsor to add another subcontractor once the proposal is awarded.
  
  

Prior Approval and Notification:

This varies with each sponsor, but in general, approvals or notifications are needed for the following:

• Some sponsors allow no cost extensions on the award. They should be notified 30 - 60 days prior to the end of the project. The PI needs to send a letter or e-mail to ORPA requesting the extension. ORPA will then contact the sponsor to notify them of the extension and the revised project end date. You should also contact your ORPA administrator regarding the agency's specific requirements.
• Prior approval is required for substantive changes in the Statement of Work (SOW).
• Prior approval is required for absence and/or change of PI.
• Prior approval required for alteration and/or renovation costs.
• Prior approval required for change in key personnel.
• Prior approval required for transfer of award to another institution.
• Grants Officer must be notified within 10 days of exercise of single no-cost extension to award.
• Carry forward of unexpended funds in excess of 25% of the current period obligation (or $25,000, whichever is less) will be questioned and must be justified.
• Terms and conditions will vary from award to award and reporting and opportunity for acknowledgment will vary from award to award.
• The principal investigator and the University of Rochester always retain the right to publish.

Reporting Requirements:

• Most sponsors require at a minimum, technical and financial reports. These may be quarterly, semi-annually, or annually. Final reports are always due at the end of the project period. The administrator/PI should meet before submitting the financial report to Office of Research Accounting and Costing Standards (ORACS) to review all financial obligations. Financial reports will be submitted to the sponsor by ORACS. Interaction between the department administrator and the accountant at ORACS is required. The technical report is the PI's responsibility.
• PI's who fail to submit progress reports jeopardize their next year's funding.
• PI's who fail to submit progress reports also jeopardize funding for the entire University.