|
Chapter
6 -
Compliance With University, Regents, And
State And Federal Regulations And Governmental Regulations
A.
Compliance Review:
 1.
Human Subjects Experimentation. Sponsored projects
at Fort Hays State University that involve human subjects must
be submitted to the university’s Institutional Review Board
(IRB) on the Protection of Human Subjects for approval. The university's
policy on experiments with human subjects is contained in the
Protecting the Rights of Human Subjects: University Policy and
Procedures Guide and in this Grants Manual. This policy document
is primarily based on the federal regulations promulgated at 45
CFR 46. (See Appendix M). Note: A revised version of the
university’s IRB Policies and procedures were approved in
May, 1997.
2. Animal Care and Use. The care and use
of animals in research is governed by regulations issued by the
National Institutes of Health and the U. S. Department of Agriculture.
Failing to conform to the government regulations could lead to
loss of funding for federally funded projects. Abuse of animals
is wrong in any event. Proposals for research involving animals,
therefore, must have the approval of the Institutional Animal
Care and Use Committee (IACUC). NIH will not review a proposal
until it has approval of the campus animal care committee, and
most sponsors want the approval prior to the initiation of funding.
Please contact the Grants Office well in advance of submitting
the proposal. (For IACUC Policy see Appendix O).
3.
Conflict of Interest. The policy for proposals to for-profit
organizations, as well as non-profits and to state and federal
agencies, is that the Principal Investigator must file a statement
disclosing any financial or management interest he or she may
have with the sponsoring organization. In most of these cases,
there is no potential conflict of interest, and nothing is required
beyond filling out the Conflict of Interest and Time form, if
one is not on file. Copies of the forms are available in the Provost's
Office and will be supplied if required. Also state, federal,
Regents, and all agency policies related to conflict and interest
must be followed. Note: New federal regulations on Conflict
of Interest and Time became effective in July of 1995. The appearance
of conflict, as well as actual conflict, is an issue. (See Appendix
N). Note: The Kansas Board of Regents also has a statement
on conflict of interest that you must read. Compliance with the
Regents policy is also required.
4.
Conflict Of Times.
5.
Safety: Radiation, Hazardous Materials. If your project requires
the use of chemicals, radioactive material, or non-ionizing radiation
such as lasers, check with the Physical Plant Office to be sure
you have all the necessary permits and training. You must check
on the storage and disposal of these materials.
6.
Lobbying. For federal grants and contracts, it is illegal
to use federal funds for lobbying legislators and agency officials
to influence the outcome of a grant or contract decision. However,
the distinctions between proper and improper communications have
not yet been fully clarified. The use of "hired gun"
consultants to influence a decision is not permissible, and neither
are various other flagrant attempts to distort the proposal review
process. Ordinary technical and academic discussions with agency
officials about a proposal submission are still permitted, provided
they are directly related to the preparation of that particular
submission. Ordinary contacts in the course of administering an
existing award are also generally permitted. Most agencies require
forms relative to lobbying that must be completed and submitted
with the grant proposal. If you have any questions about your
own procedures or if agency officials raise such questions with
you, you should contact the Grants Office.
For grant or contract applications in excess of
$100,000, a certification must be filed with every grant stating
that no federal funds were used for lobbying, and the use of nonfederal
funds to hire lobbyists must be disclosed. Check the forms that
are a part of the grants guidelines.
7. Disbarment
8.
Dilinquient
9.
Drug-Free Workplace
B. Purchasing:
1.
Competitive procurement procedures. Equipment purchases and
subcontracts made under a grant or contract are subject to state
and/or federal requirements for competitive bidding. Check with
the University Purchasing Office or the Business Office for specific
information. State in your proposal that state bidding policies
and procedures apply.
2.
Items needed that are available on state contract. Check with
the University Purchasing Office to determine if items needed
in your proposal are on state contract. If they are, include the
contract number. Later, use the contract number on the agency
purchase order if a grant is approved.
C.
Credit Generating Proposals:
 Credit
Coursework as Part of a Project. If the project involves
training or educating a group of persons, you may wish to consider
giving them academic credit for the work. There are several different
ways to do this:
a.
If the coursework is part of the regular state-funded Fall,
Spring, and Summer term offerings, the students must be matriculated
at Fort Hays State University or alternatively enrolled in the
course as continuing education students.
b.
Coursework offered at times other than the state-funded Fall
and Spring semester, and the Summer term is offered through
the Virtual College and may be either residence (regular) credit
or continuing education credit. In either case, the students'
fees are determined by Fort Hays State University policy. Note:
The university tries to maximize credit hour production from
training grants. Please review credit hours carefully with your
chair and your college dean.
c.
Alternatively, a course may be offered on a contract basis if
the entire cost of instruction including salary, materials,
and facility use is paid from sources other than fees and if
the course is not a public offering. Under these circumstances,
check with the Business Office about fees.
In
any of these cases, either full fee or contract fee, you may
choose to have the fees paid by either the students or by the
sponsor. Some sponsors, notably NSF, prefer not to pay these
fees. Check with the Registrar’s Office, the Virtual College,
and the Grants Office for further information about credit generating
proposals. Make sure that your chair and dean understand how
you propose to offer credit and that they agree in writing to
accept your proposed method. Note: Keep a copy of the
letter, or letters, in your file and submit a copy to the Grants
Office.
D.
Contracts:
1.
A Contract or other signed agreement may be needed to secure
the obligations of the university and of the sponsor. This is
frequently the case with industrial sponsors and state and local
agencies. The contract may be drafted after the proposal is awarded,
or it may be accompanied by a "statement of work" and
budget that together serve as the proposal. In some cases, the
agreement will take the form of a purchase order from the sponsor.
You should seek the assistance of the Grants Office and the Business
Office in negotiating or reviewing the language of the agreement.
In most cases, the person who actually signs the contract must
be the Vice President for Administration and Finance who also
reviews it with the University Purchasing Officer.
2.
Contract agreements may vary widely in the arrangements for payment
and timing. If the agreement is for the repeated performance of
certain services (such as conducting specialized interviews),
then the charges would normally be based on a per-hour or per-item
rate, and the total expenditure or termination date might or might
not be specified. If the contract is for a whole project (such
as producing a prototype widget), then the budget is usually based
on the whole effort and a termination or completion date clearly
established. In such cases, the budget might be for a "fixed
price" that you earn no matter what the actual costs turn
out to be; in such a case, you take the risk of earning extra
funds or taking a loss. Alternatively, the budget might provide
for reimbursement of actual costs up to specified ceiling. The
schedule for sending invoices and receiving payments is usually
also negotiable.
E.
Subcontract:
Subcontracts
may be included in proposals or in proposal contracts. If you
intend to use a subcontractor for some significant part of the
work, it helps (and is often required) to have a letter of intent
from that person or organization to include in your proposal indicating
the work that will be done and the price that will be charged.
Without the letter, your proposal leaves too many uncertainties.
Included all aspects and charges for the subcontract in your proposal.
F.
Accepting Contracts and Grants:
All grants and contracts are to be accepted by authorized
officials of the university, usually the Vice President for Administration
and Finance, and not by an individual faculty member, chair, or
dean. The units receiving grants have the responsibility for the
fiscal administration of the grant or contract award. Contact
the Business Office immediately upon notification of a grant award
or a contract. The Business Office will assist you in setting
up your account. Check with the Business Office for policies on
travel, personnel, contracts, equipment, payroll, purchasing,
and other special procedures.
Note: The Business
Office will provide you with post-award services, such as the
establishment of accounts, providing monthly reports, electronic
maintenance of accounts daily, processing all agency purchase
orders, and similar activities. The Business Office will assist
you in setting up your account and your object codes. Remember
that even if you have a grant or a contract, all travel, personnel,
contract equipment, payroll, purchasing, and other special procedures
must go through the appropriate areas under the Vice President
for Administration and Finance.
|
