1 SPS Primer Policy Considerations Ken Packman Michael Lenetsky

2 SPS Primer Policy Considerations Appropriateness PI Eligibility Consortiums/Joint Proposals Intellectual Property Publication/Authorship

3 SPS Primer Policy Considerations Consultants Subcontracts Assurances Cost Sharing Award Type Policies Site

4 SPS Primer Appropriateness 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

5 SPS Primer PI 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)

6 SPS Primer Consortiums/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

7 SPS Primer Consortiums/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

8 SPS Primer Intellectual 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?

9 SPS Primer Intellectual 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

10 SPS Primer Publication/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

11 SPS Primer Consultants What’s the definition? –Independent Contractors Not employees of University –Do not make intellectual contribution to project Perform service

12 SPS Primer Consultants (continued) What is needed to set up consultant agreement in proposal and post-award? Payment through purchase order: –professional/non-professional

13 SPS Primer Subcontracts When do we make use of a subcontractor? –Subcontractors contribute intellectual direction to project –Unlike Consultants –Distinct responsibility with respect to scope of work

14 SPS Primer Subcontracts (continued) What is needed to set up subcontracts in the proposal? –Letter of Intent –Subcontractor Profile information

15 SPS Primer Subcontracts (continued) What is needed to set up subcontracts post-award? –Portal Request –SOW –Budget –Special conditions –Completed Profile

16 SPS Primer Assurances What are assurances? Examples: –Drug Free Workplace –Lobbying and Debarment –Delinquent on Federal Debt Who completes and signs?

17 SPS Primer Cost 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?

18 SPS Primer Award Type What will be the format of the award? –Contract –Grant –Other Why does this matter?

19 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

20 SPS Primer Recent 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

21 SPS Primer Contact Us Sponsored Program Services - Agreements 123 Day Hall