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Federal Compliances and Assurances

James Madison University complies with all federal and related sponsor requirements concerning the funding and management of sponsored programs. In recent years the complexity of regulatory oversight has increased dramatically, and the potential liability of both the faculty member and the University has likewise increased. Additional information concerning these items is available from Sponsored Programs Administration. Specifically, faculty should be aware of the following issues:

Indirect Cost Issues according to OMB circular A-21

A Guide to OMB Circulars - Federal Guidelines regarding the submission and procurement of external funding.

OMB Forms related to sponsored programs

Conflict of Interest:
Faculty should be aware that federal restrictions limit the extent to which personal financial interests can be related to the conduct of federally funded research. NIH and NSF have issued rules governing the disclosure of potential conflict. The University has developed a policy which will provide further advice and systematic review of potential conflict issues. (See Policy #2203 Investigator Significant Financial Interest Disclosure Policy for Sponsored Programs)

Debarment and Suspension:
In submitting applications to the federal or state government, the faculty member certifies that he/she is not currently debarred or suspended from conducting business with the government.

Delinquency in federal debt:
The faculty member certifies that he/she is not currently delinquent in federal debt, including outstanding student loans or IRS delinquencies.

Drug free:
To comply with the Drug-Free Workplace Act of 1988, the Commonwealth of Virginia has developed a "Policy on Alcohol and Other Drugs." In addition to the Drug-Free Workplace Act of 1988, the University, as an institution of higher education receiving federal funds, must comply with the requirements of the Drug-Free Schools and Communities Act Amendments of 1989. (See Policy #1110 Alcohol and Other Drugs)

The faculty member certifies that he/she has not attempted to influence any member of Congress in support of the proposed activity, nor has paid another party to lobby on behalf of the proposal.

Student Unrest:
The faculty member certifies that he/she did not engage in any impediment of access to educational facilities or otherwise impede academic personnel from performance of their duties after August 1, 1969. This policy is the so called "sit-in" legislation that prohibits individuals from receiving federal funds if they have actively engaged in "sit-in's" after the August date.

Retention of Data:
Research data must be permanently recorded and appropriately authenticated by the investigator at the time the research is conducted. These data will be retained by the investigator for at least ten years (or for a longer period, if specified in a federally funded project). When the investigator leaves the institution, a copy of the research data records will be retained by the institution; the records to be kept will be those considered appropriate by the investigator and the department head or school director.

Research, Biohazards, Recombinant DNA:
Institutional committees meet regularly to review and approve projects that conduct research involving animal subjects, biohazards, or recombinant DNA.
See Policy 2204 for Institutional Biosafety)

Human Subjects:
The Institutional Review Board (IRB) provides oversight for all projects involving research with human subjects. It is important to note that the IRB reviews all projects, not just externally supported activities. These reviews include student research as well. (See Policy #1104 The Institutional Review Board on the Use of Human Subjects in Research)

Acknowledgment of Federal Support:
All federal funding must be acknowledged in publications, press releases, and any other external distribution of information concerning federally funded projects. Please contact Sponsored Programs for assistance or clarification.

Federally funded projects are restricted by law to comply with purchasing standards. These standards may include documentation of bid, Fly American, Buy American, utilization of women/minority owned businesses, compliance with Labor Standards, etc. While the principal investigator is the first line of review for expenditures, the compliance requirements of purchasing are best reviewed by Procurement Services. Likewise, any contractual work should be approved by Procurement.












Useful Links:
-Office of Sponsored Programs (OSP)
-Sponsored Programs Accounting
-Office of Research and Scholarship
-Academic Affairs
-Office of Technology

Last Modified April 19, 2011
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