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Compliance

Federal Regulations and UR Guidance

Title
Description
Office of Management and Budget Uniform Administrative Requirements,Cost Principles, and Audit Requirements for Federal Awards
Official daily publication of rules, proposed rules and notices of federal agencies
Codification of the rules published in the Federal Register
Compliance Notice: Section 889 of 2019 National Defense Authorization Act (NDAA) - Prohibition on Certain Telecommunications and Video surveillance services or equipment.
Cost principles for educational institutions
Uniform administrative requirements for grants and agreements
Audits of institutions of higher education and other non-profit institutions
Explanation of federal regulation regarding compliance with debarment and suspension
Explanation of assurance of compliance with federal statutes relating to lobbying activities
Explanation of federal regulation regarding lobbying activities
Form to report all lobbying activities and expenditures
Memo regarding Freedom of Information Act and applicability to University of Rochester
Link to UofR Provost's website for Guidelines for the handling of research data.
Link to UofR Provost's website for Data Security Classificaiton Policy..
Link to Guidance for International Research
Explanation of prohibited activities of personnel who develop and submit proposals for federal funding
Highlights of the NIH policy on sharing of model organisms for biomedical research
Current Facilities and Administrative Cost Rate Agreement
Memo explaining Fiscal 2015 - 2019 Facilities and Administrative Cost rates

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
Miner Library website with overview of NIH Public Access Policy
Federal Public Access Plans by Agency

 

NIH (National Institute of Health) Specific Documents

Title
Description
NIH Grants Policy Statement
Memo describing University of Rochester's implementation of the NIH salary limitation effective January 5, 2020
A link to the NIH Policy for Genomic Data Sharing
A link to the NIH Policy and frequently asked questions
A link to the NIH Policy for Scientific Data Sharing

 

NSF (National Science Foundation) Specific Documents

Title
Description
Requirements related to National Science Foundation's (NSF) proposal and award process effective February 25, 2019
Conditions applicable to all National Science Foundation (NSF) grants
UR Implementation Plan for Responsible Conduct of Research Training under NSF Grants

 

Policies and Guidance Specifically Related to Current/Pending Support, Biosketches and Foreign Components

Title
Description
The Council on Governmental Relations (COGR) has developed a chart that compares the key issues associated with the referenced documents and the similarities/differences among them. COGR is updating this as new resources are disseminated.
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
Instructions on how to use DocuSign to sign a document

 

 Clinical Trials

Title
Description
Information, Sharepoint Site and Online Course Listings
To start a clinical trial record in ePARC
To make changes to a research record in ePARC
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
Frequently asked questions about University of Rochester's faculty Conflict of Commitment and Interest Policy
Summaries of, and links to, University of Rochester's Conflict of Interest Policies
Rules about the decision making process where the University of Rochester may have a conflict of interest
Guidance and Advice for Faculty who Engage in Outside Consulting
An example of standard terms for consulting agreements
Description of sanctions against faculty who fail to comply with University of Rochester's Faculty Conflict of Commitment and Interest Policy
Guidelines on research integrity and conflict of interest for graduate students and Postdoctoral appointees
University of Rochester Medical Center (URMC) guidelines for managing faculty financial interests in clinical trials
University of Rochester's process for complying with requests for information regarding financial conflicts of interest
University of Rochester Conflict of Interest Committee Charter
URMC Website
AS& E Website - Intranet login required
ESM Website - Intranet login required
Form for non-SMD, SON, AS&E and ESM faculty/staff used to report conflicts of interest
Form to be completed annually by each Dean or Director

 

Export Controls

Title
Description
Management Commitment Statement
Manual for the University of Rochester to ensure export compliance
Definitions of fundamental research under the EAR and ITAR, and recommended steps to ensure compliance
University of Rochester guidance for online education and Cuba, Iran, North Korea, Syria, Crimea region of Ukraine sanctions
Summary and Guidance for the University of Rochester Community
University science and security guidance for disclosing international collaborations and support, hosting visitors, travel abroad, publications and IP
Resources to assist with export compliance

 

Links to Other UR Sites

Title
Description
Committee on Animal Resources Website
Environmental Health & Safety Institutional Biosafety Committee (IBC) Website
Environmental Health & Safety Website
Office for Global Engagement Website
Office for Human Subject Protection Website
Radiation Safety Website
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