Pre-Award Policies and Compliance
- Debarment, Suspension, and Delinquent Debt
- Drug-Free Workplace
- Civil Rights
- Conflict of Interest/Objectivity in Research
- Human Subjects
- Use of Animals in Research
- Misconduct in Science
- US Office of Management and Budget CircularsFederal Acquisition Regulations
- Uniform Guidance
- Federal Acquisition Regulation
- Export Control
- Copyrights/Publications, Software, Patents, and Inventions
- Classified Research
- University Affiliation for Project Director
- Intergovernmental Personnel Assignment Agreements
- Sponsored Programs
Federal sponsors, responding to legislative initiatives concerned with issues of social and fiscal accountability, have attached a variety of regulatory requirements to government assistance programs which must be satisfied in advance of, or during, the conduct of a funded project. These requirements usually call for special review processes to ensure compliance with applicable federal, state, and/or institutional regulations, as attested to by the signature of the Principal Investigator and/or the University's authorizing official.
The University must certify that it is not delinquent on the repayment of any federal debt before an award can be made. In addition, the Principal Investigator is individually required to certify that s/he is neither debarred nor suspended from doing business with the federal government. Affirmation is made by completing and signing the>Gallaudet University Proposal Routing Form>. Affirmation of nondebarment and nonsuspension for the principals of the University is made by the signature of the University's authorizing official.
Federal regulations require the University to maintain both a drug-free workplace and formal drug and alcohol abuse prevention programs. Gallaudet's policy can be found in the Administration and Operations Manual at this link.
Federal rules prohibit the use of federal funds to influence officials of Congress and Executive Branch agencies in connection with a specific award. University funds may be used for such activities; any lobbying by individuals, however, must be coordinated through the President's Office. Any lobbying by individuals other than regularly employed staff must be disclosed to the agency in writing and the President's Office is responsible for notification of the Office of Sponsored Programs in the even that lobbying in relationship to a specific award is planned so that disclosure to the agency may be undertaken.
The University is committed to ensuring that civil rights are not violated either purposefully or inadvertently. This extends to the rights of persons with disabilities, and discrimination based on sex or age. Moreover, it is the responsibility of all University personnel to avoid discrimination and of University management to take appropriate action as an equal opportunity employer. Follow this link for policy.
Conflict of interest situations arise when employees use, or appear to be able to use, their positions for private gain for themselves or others. See the policy contained in the Administration and Organization Manual or follow this link.
Objectivity in Research (NIH, NSF)
In addition to the Conflict of Interest Policy above, the Public Health Service (PHS), which includes the National Institutes of Health, and the National Science Foundation require applicant organizations to certify that the institution has written and enforced administrative policies for identifying, managing, and reporting the significant outside financial interests of principal project staff. In cases where no significant outside financial interest exists, this certification may be made on the second page of the Gallaudet University Proposal Routing Form. Where this certification cannot be made, the Principal Investigator and/or other key personnel must complete the COI FORM. The GU policy on Objectivity in Research may be found here.
The University adheres to 45 CRF 46, Protection of Human Subjects. In accordance with the University's General Assurance issued by Health and Human Service Office of the Protection from Research Risks, each proposed project involving human subjects must be reviewed by the University Institutional Review Board(IRB). Except under unusual circumstances, the University IRB is able to perform review which will not cause time delay in the grants process. To download a copy of the current IRB application click here or go to the IRB website.
The University is not authorized to conduct research projects involving animal subjects.
The University has established procedures for responding to inquiries regarding the conduct of research and for investigating, reporting, and dealing with any such situations which may arise. That policy is procedurally implemented via the Provost for Academic Affairs. Follow this link for policy.
The federal government, through the Office of Management and Budget, has developed a document which streamlines the Federal government's guidance on Administrative Requirements, Cost Principles, and Audit Requirements for Federal awards and dictates the manner in which grant and contract funds may be expended by educational institutions. Gallaudet University abides by these regulations and guidelines.
(Previous Circulars superseded by the Uniform Guidance - archived at obamawhitehouse.gov)
- A-21:Cost Principles for Educational Institutions
- A-110:Uniform Administrative Standards
- A-133:Audits of Institutions of Higher Education and Other Non-Profit Organizations
The Federal Acquisition Regulations (FAR) governs all federal procurement for goods and services. In some instances, individual agencies have amended the FAR to meet their agency needs.
It is the policy of Gallaudet University to fully abide by federal and state laws and regulations including Export Administration Regulations (EAR) and the International Traffic in Arms Regulations (ITAR) and other bodies of export regulations. University research results can remain compliant with export laws under the federal research "exemption" by ensuring it meets the definition of fundamental research, which is research that is conducted with a clear intent to publish, and to do so without restriction or required approval, and research that does not voluntarily exclude the participation of foreign nationals or contain other national security controls. As part of the routing and approval process, the OSP flags export control issues by asking PIs/PDs about the use of technology and equipment outside of the US as well as the receipt on campus of any export controlled information from outside the US from a foreign entity. Should either question be answered "yes" the matter is referred to Administration and Finance (the post-award unit on campus) to be addressed. You can access more information regarding Export Control from the Georgia Tech Export Control webpage by clicking this link.
In accordance with the custom of institutions of higher learning, the right of first publication shall be the property of the author unless the copyrightable material resulted from an assisted or assigned project, or unless the terms of the grant or contract specify otherwise.
Discoveries or inventions that, in the judgment of the Principal Investigator, appear to be patentable must be brought to the attention of the University, which will determine whether and to what extent the University has a property interest in the discovery or invention. In addition, federal patent law requires that all employees file with the University an agreement that they will report any inventions made during the course of a federally funded project and assign rights to the institution. Consult the Office of Sponsored Programs when preparing a proposal for a project that might result in patentable discovery. Follow this link.
The University does not accept funding of research projects that (1) restrict publication of the results of the project or (2) prohibit the free exchange of ideas. However, it is recognized that contracts and grants may legitimately vest proprietary rights in products or by-products and that the investigator may be required to protect these rights against disclosure.
The practice of many sponsors is to require that results and reports be submitted to the sponsors for their information, review and comment before publication. This practice is viewed by the University as being normal and legitimate provided that such comment time does not prevent publication for more than sixty (60) days. Contractual language that provides for sponsor review and approval shall not be accepted by Gallaudet University.
In view of the substantial responsibility inherent in the Principal Investigator's position, the named Principal Investigator/Project Director should be a full-time member of the faculty or professional staff, or be a full-time administrative officer of the University. In some cases a temporary employee whose appointment is the term of their grant period of performance may be supported in the role of PI/PD as suits the University's mission.
Under the Intergovernmental Personnel Act (IPA) of 1970, University faculty and staff may arrange to work with government agencies for a temporary period, or federal government employees may arrange to work at the University. Since such assignments may incur commitments and liability on the part of the University, IPA's must be signed by an authorized University official.
To insure accuracy and completeness, all IPA's must be processed and submitted through the Office of Sponsored Programs to the appropriate agency. The IPA should be forwarded with a Gallaudet University Sponsored Project Routing and Approval Form, and be signed by the appropriate department, college, and University officials with an acknowledgment of any cost-sharing commitments that may be required.
The Gallaudet University policy on sponsored programs may be found at this link.