Compliance
Federal Regulations and UR Guidance
Title |
Description |
|---|---|
Office of Management and Budget Uniform Administrative Requirements,Cost Principles, and Audit Requirements for Federal Awards |
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Official daily publication of rules, proposed rules and notices of federal agencies |
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Codification of the rules published in the Federal Register |
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Compliance Notice: FAR Clause (52.204-27) Banning TikTok on Devices used for Federal Contracts |
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Compliance Notice: Section 889 of 2019 National Defense Authorization Act (NDAA) - Prohibition on Certain Telecommunications and Video surveillance services or equipment. |
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Cost principles for educational institutions |
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Uniform administrative requirements for grants and agreements |
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Audits of institutions of higher education and other non-profit institutions |
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| Explanation of federal regulation regarding compliance with debarment and suspension | |
Explanation of assurance of compliance with federal statutes relating to lobbying activities |
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Explanation of federal regulation regarding lobbying activities |
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Form to report all lobbying activities and expenditures |
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University of Rochester Summary Table on Notifications to Agencies about Harassment, Sexual Harassment, Bullying, or other Behavior that Creates a Hostile Working Environment |
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Memo regarding Freedom of Information Act and applicability to University of Rochester |
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Link to UofR Provost's website for Guidelines for the handling of research data. |
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Link to UofR Provost's website for Data Security Classificaiton Policy.. |
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Link to Guidance for International Research |
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Explanation of prohibited activities of personnel who develop and submit proposals for federal funding |
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Highlights of the NIH policy on sharing of model organisms for biomedical research |
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Current Facilities and Administrative Cost Rate Agreement |
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Memo explaining Fiscal 2015 - 2019 Facilities and Administrative Cost rates |
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Highlights of the major changes in 2 CFR 200 (Uniform Guidance) affecting proposal budgets and charging of indirect costs Additional guidance regarding (a) charging administrative and direct costs; (b) overhead for subagreements; and (c) fixed price/rate subawards |
Federal Public Access
Title |
Description |
|---|---|
NIH website with explanation of requirements and how to comply |
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Miner Library website with overview of NIH Public Access Policy |
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Federal Public Access Plans by Agency |
NIH (National Institute of Health) Specific Documents
Title |
Description |
|---|---|
NIH Grants Policy Statement |
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Memo describing University of Rochester's implementation of the NIH salary limitation effective January 5, 2020 |
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A link to the NIH Policy for Genomic Data Sharing |
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A link to the NIH Policy and frequently asked questions |
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A link to the NIH Policy for Scientific Data Sharing |
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NSF (National Science Foundation) Specific Documents
Title |
Description |
|---|---|
Requirements related to National Science Foundation's (NSF) proposal and award process effective May 20, 2024 |
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Conditions applicable to all National Science Foundation (NSF) grants |
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UR Implementation Plan for Responsible Conduct of Research Training under NSF Grants |
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Guidance on NSF-Supported Conferences, Workshops, and Symposia Requirements. Includes NSF Code of Conduct letter to be sent to conference attendees |
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Guidance on NSF Travel Grants – Requirement on Code-of-Conduct or a Policy that Addresses Harassment |
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Safe and Inclusive Working Environments for Off-Campus or Off-Site Research: Procedure applies to faculty in any UR school seeking NSF or NASA funding for off-site research |
NASA (National Aeronautics and Space Administration) Specific Documents
Title |
Description |
|---|---|
Guidance on NASA Prohibitions and Disclosures for University Researchers |
Policies and Guidance Specifically Related to Current/Pending Support, Biosketches and Foreign Components
Title |
Description |
|---|---|
A comprehensive site that lists documents/regulations related to foreign influence and faculty disclosure forms. This site will be updated by COGR as new developments emerge. |
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| Memo from OSTP outlining timing and content of implementation guidelines for NSPM-33, including disclosure policies. | |
| Article from Research Connections at The University of Rochester | |
| This is a compilation of all current requirements compiled by ORPA and will be updated as new requirements are implemented. | |
| DOD requirements for a cover letter certifying to the accuracy and completeness of Other Support and signed by the organization's Business Office (ORPA) | |
| A Financial Assistance Letter (FAL) that outlines requirements for DOE and NNSA Current and Pending Support Disclosure Requirements | |
| This information relates specifically to NIH guidance, other sponosrs may require similar levels of detail in Other Support forms. | |
| NIH Other Support Forms and Foreign Component Disclosure Checklist for University of Rochester (UR) Faculty. (Use for Other Support submitted on or after January 25, 2022) | |
| This NIH Announcement provides updated forms and instructions that will be required as of January 25, 2022. Of significance, a signature a signature block has been added for the PD/PI or other Senior/Key personnel to certify the accuracy of the information submitted. In addition, copies of contracts, grants or any other agreement specific to senior/key personnel foreign appointments and/or employment with a foreign institution for all foreign activities or resources that are reported in Other Support. | |
| NIH Implementation of NOT-OD-21-073 Changes to Biosketch and Other Support | This document summarizes the changes to NIH’s Biosketch and Other Support from the earlier version. |
| NIH Frequently Asked Questions (FAQs) Other Support and Foreign Components | The NIH FAQ’s are updated as new resources are disseminated by NIH, and as the agency receives additional questions. |
| NIH - Protecting Innovation | Link to NIH Policy and and Compliance in regard to Protecting U.S. Biomedical Intellectual Innovation |
| NSF Pre-award and Post-award Disclosures Relating to the Biographical Sketch and Current and Pending Support | This NSF resource assists reference information regarding pre-award and post-award disclosure information in the biographical sketch and current and pending support. |
| NSF Approved Formats for Current and Pending Support | This site specifies the approved formats for creating current & pending support. |
| The NSF FAQ’s are updated as new resources are disseminated by NSF, and as the agency received additional questions. |
Electronic Signature Guidance Related to NIH Requirements
Title |
Description |
|---|---|
| Memo regarding e-signatures - Steve Dewhurst, Interim VP for Research | Memo (February 10, 2022) to NIH Investigators and Research Administration with additional information on Electronic Signatures Required by NIH |
Instructions for requesting a free DocuSign Account |
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Instructions on how to use DocuSign to sign a document |
Clinical Trials
Title |
Description |
|---|---|
Information, Sharepoint Site and Online Course Listings |
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To start a clinical trial record in ePARC |
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To make changes to a research record in ePARC |
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To close a research record in ePARC |
FISMA
Title |
Description |
|---|---|
Understanding Federal Information Security Management Act requirements |
Responsible Conduct in Research
Title |
Description |
|---|---|
Financial Conflict of Interest
Title |
Description |
|---|---|
University of Rochester's faculty Conflict of Commitment and Interest Policy |
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Frequently asked questions about University of Rochester's faculty Conflict of Commitment and Interest Policy |
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Summaries of, and links to, University of Rochester's Conflict of Interest Policies |
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Rules about the decision making process where the University of Rochester may have a conflict of interest |
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Guidance and Advice for Faculty who Engage in Outside Consulting |
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An example of standard terms for consulting agreements |
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Description of sanctions against faculty who fail to comply with University of Rochester's Faculty Conflict of Commitment and Interest Policy |
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Guidelines on research integrity and conflict of interest for graduate students and Postdoctoral appointees |
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University of Rochester Medical Center (URMC) guidelines for managing faculty financial interests in clinical trials |
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University of Rochester's process for complying with requests for information regarding financial conflicts of interest |
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University of Rochester Conflict of Interest Committee Charter |
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URMC Website |
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AS& E Website - Intranet login required |
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ESM Website - Intranet login required |
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Form for the Warner School of Education and Simon Business School faculty/staff used to report outside conflicts of interests |
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Form to be completed annually by each Dean or Director |
Export Controls
Title |
Description |
|---|---|
Management Commitment Statement |
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Manual for the University of Rochester to ensure export compliance |
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Definitions of fundamental research under the EAR and ITAR, and recommended steps to ensure compliance |
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Deemed Export Risks - Guidance for the University Community |
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University of Rochester guidance for online education and Cuba, Iran, North Korea, Syria, Crimea region of Ukraine sanctions |
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Summary and Guidance for the University of Rochester Community |
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University science and security guidance for disclosing international collaborations and support, hosting visitors, travel abroad, publications and IP |
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eShipGlobal information with a link to Sharepoint training resources |
Links to Other UR Sites
Title |
Description |
|---|---|
Committee on Animal Resources Website |
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Environmental Health & Safety Institutional Biosafety Committee (IBC) Website |
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Environmental Health & Safety Website |
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Office for Global Engagement Website |
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Office for Human Subject Protection Website |
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Radiation Safety Website |