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SPS PrimerPolicy Considerations

Ken Packman

Michael Lenetsky

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SPS PrimerPolicy Considerations

•Appropriateness

•PI Eligibility

•Consortiums/Joint Proposals

•Intellectual Property

•Publication/Authorship

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SPS PrimerPolicy Considerations

•Consultants

•Subcontracts

•Assurances

•Cost Sharing

•Award Type

•Policies Site http://www.osp.cornell.edu/Policies/

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SPS PrimerAppropriateness

•Established by Cornell Faculty Council (1989)

–Right of faculty to pursue research of their choosing if:

•Scholarly meritorious

•Accessible to all interested parties

•Complies with laws of land

–Including regulations of University

–Public service/extension

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SPS PrimerPI Eligibility

•Who is eligible to serve as a PI?

–Full time faculty members

•Both Professorial and Non-Professorial with some limitations

•Exceptions exist

–Principal Investigator Eligibility Policy

–Form 5 (Application to serve as PI/PD)

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SPS PrimerConsortiums/Joint Proposals

•What do we mean?

–Increasing number of projects consortium based

•USDA trends

•NIH trends

–Two or more organizations agree to participate in collaborative (equal contribution) project

•Not traditional Contractor – Subcontractor roles

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SPS PrimerConsortiums/Joint Proposals

(continued)

•What issues does SPS examine?

–IP, publication, work product, direction, contributions, etc.

•What is needed in SPS to establish

–Outgoing – proposal paperwork

–Incoming – statement from each participating institution

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SPS PrimerIntellectual Property

•What is Cornell’s policy?

–IP issues addressed at time of award review and negotiation

–Policy requires University to retain ownership

•Are there any exceptions?

•What about copyrights?

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SPS PrimerIntellectual Property (continued)

•What exceptions exist?

–Not many

–Sponsor rights protected through licensing agreements

•What about Copyrights?

–Generally, follows IP policies

–Note difference between traditional and encoded works

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SPS PrimerPublication/Authorship

•What policy concerns are associated with Publication and Authorship?

–Publication and Authorship are central components of University policies related to research freedoms

–Preserve right to publish

–Permissible review

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SPS PrimerConsultants

•What’s the definition?

–Independent Contractors

•Not employees of University

–Do not make intellectual contribution to project

•Perform service

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SPS PrimerConsultants (continued)

•What is needed to set up consultant agreement in proposal and post-award?

•Payment through purchase order:

–professional/non-professional

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SPS PrimerSubcontracts

•When do we make use of a subcontractor?

–Subcontractors contribute intellectual direction to project

–Unlike Consultants

–Distinct responsibility with respect to scope of work

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SPS PrimerSubcontracts (continued)

•What is needed to set up subcontracts in the proposal?

–Letter of Intent

–Subcontractor Profile information

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SPS PrimerSubcontracts (continued)

•What is needed to set up subcontracts post-award?

–Portal Request

–SOW

–Budget

–Special conditions

–Completed Profile

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SPS PrimerAssurances

•What are assurances?

•Examples:

–Drug Free Workplace

–Lobbying and Debarment

–Delinquent on Federal Debt

•Who completes and signs?

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SPS PrimerCost Sharing Issues

•What is cost sharing?

– How does voluntary committed occur?

•When is it needed?

•What are the ramifications to Cornell?

•How does it affect effort reporting?

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SPS PrimerAward Type

•What will be the format of the award?

–Contract

–Grant

–Other

•Why does this matter?

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SPS Primer

Why Worry About These Issues?

• Federal government takes issues of compliance and proper use of federal funds very seriously.– In 2004 NIH sponsored in excess of $20 bil– Important to have accountability by researchers

• Honor system no longer reliable• Auditors target financial activities

– Compliance violations can result in • Suspension• Debarment• Monetary reimbursement of funds spent• Penalties

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SPS PrimerRecent Settlements

• NYU – $15.5 mil (inflated grant costs)

• East Carolina University $2.4 mil (questionable charges on grant)

• USC $400 k (questionable charges on grant)

• University of Minnesota $32 mil (misuse of federal funds)

• Florida Atlantic University $11.5 mil (improper direct charges on grant)

• Cornell University (Weil Medical College) $4.4 mil

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SPS PrimerContact Us

Sponsored Program Services - Agreements

123 Day Hall

5-5014

www.osp.cornell.edu