Who and what is the AOR So what is OSP authorizing when we submit proposals Administrative, civil, o

1
Who (and what) is the AOR So what is OSP
authorizing when we submit proposals?
Administrative, civil, or criminal penalties Oh
My!!

• Office of Sponsored Programs
• Dec 5, 2008
• osp.syr.edu
• ospoff_at_syr.edu

2
OSP roles responsibilities.

• Central office delegated authority to legally
  obligate and bind the University on proposals (?
  contracts) and applications (? grants)
• OSP authorization according to application
  process
• Grants.gov, NSPIRES, proposal central etc
• Signed face page
• Transmittal letter
• Certify, represent, and assure

3
OSP authorization.

• the statements contained in the application are
  true, accurate and complete
• the University will comply with the assurances
  and certifications referenced in the application,
  and
• the University agrees to accept the obligation to
• comply with award terms and conditions,
• be accountable both for
• the appropriate use of funds awarded, and
• the performance of the grant-supported project or
  activities resulting from the application.

4
By whom ? An Alphabet Soup

• AOR authorized organizational representative
• SRO Sponsored Research Officer
• SO signing officer / official
• Individuals delegated by the institution to
  legally obligate and represent institution on
  applications

5
Whats the big deal ??

• The Universitys responsibilities
• establish and maintain the necessary processes
  required to monitor its compliance and
• that of our employees, consortium participants,
  and contractors, and
• take appropriate action to meet the stated
  objectives, and
• inform the sponsor of any problems or concerns.

6
Common Certs Reps

• Debarment and Suspension (specific certification
  language included in application package)
• Drug-Free Workplace
• Lobbying (specific certification language
  included in application package)
• Financial Conflict of Interest
• Research Misconduct
• Delinquent Federal Debt

7
Common Certs Reps

• Human Subjects
• Vertebrate Animals
• Age Discrimination
• Civil Rights
• Sex Discrimination
• Handicapped Individuals

8
Debarment and Suspension

• 31 U.S.C. 6101, note, E.O. 12549, E.O. 12689, 48
  CFR 9.404, and each agency's codification of the
  Common Rule for Nonprocurement suspension and
  debarment. (to be 2 CFR)
• Point individual and organization is eligible
  to receive federal funds
• contracts (procurement) and grants (assistance)
• Debar excluded from receiving federal
• Suspended status prior to debarment protect
  federal assets..
• Why folks/organizations get debarred
• Fraud
• Misconduct
• Violate any one of numerous laws statutes
• Making false statements
• Transaction terminated for cause

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Debarment and Suspension

• PIs responsible for
• knowing what debar/suspension means
• Ensuring that all engaged in project (including
  subcontractors) are eligible
• How
• www.epls.gov
• OSP also confirms

10
Drug-Free Workplace Drug-Free Workplace Act of
1988 Public Law 100-690, Title V, Subtitle D, as
amended

• Employee Anti-Drug and Alcohol Abuse Policy  
• http//supolicies.syr.edu/emp_ben/drug_alcohol.htm
  
• the unlawful manufacture, distribution,
  dispensation, possession or use of a controlled
  substance is prohibited in the workplace
• actions taken against employees for violations
• as a condition of working on the grant or
  contract, employees must agree to abide by the
  terms of the institutional policy AND notify the
  employer of any criminal drug statue conviction
  occurring in the workplace no later than five
  days after such conviction

11
Lobbying

• 31 U.S.C. 1352
• Recipients of Federal grants, cooperative
  agreements, contracts, and loans are prohibited
  by, Limitation on use of appropriated funds to
  influence certain Federal contracting and
  financial transactions, from using appropriated
  Federal funds to pay any person for influencing
  or attempting to influence any officer or
  employee of an agency, a Member of Congress, an
  officer or employee of Congress, or an employee
  of a Member of Congress with respect to the
  award, continuation, renewal, amendment, or
  modification of any of these instruments.

12
Financial Conflict of Interest

• 2 CFR Part 50, Subpart F, Responsibility of
  Applicants for Promoting Objectivity in Research
  for Which PHS Funding is Sought
• Ensure that the design, conduct, and reporting of
  research funded under PHS grants or cooperative
  agreements will not be biased by any conflicting
  financial interest of an investigator.

13
Certs Reps ? Big Responsibility

• How can OSP reasonably authorize proposals?
• Shared responsibility
• Due diligence
• Internal routing and review form
• Confirm Debar/Suspension
• Monitor COI filing
• Track and monitor human / animal approvals
• Document EHO oversight
• Rely on PIs signature

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Internal Routing Review form

• Financial conflicts of interest
• Human / animal protections
• Environmental health and saftey
• Foreign activities / export controls.

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Internal Routing Review form

• Each signatory (PI and all Key/Senior Personnel)
  certifies that the application is complete, true
  (excluding scientific hypotheses and scientific
  opinion) and accurate to the best of his/her
  knowledge and does not infringe on the property
  rights of others.
• If the application is awarded, the PI agrees to
  accept responsibility for the conduct of the
  project and to comply with award terms
  conditions including timely submission of all
  progress reports and responsible management of
  funds according to both the awards terms
  conditions and University policies and practices.

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Internal Routing Review form

• Each signatory also acknowledges that any false,
  fictitious or fraudulent statement or claims may
  subject him/her to criminal, civil or
  administrative penalties.
• The PI, and as applicable, other signatories,
  is/are responsible for informing OSP of any
  material changes to compliance certifications
  that may occur while the application is pending
  or if awarded, during the duration of support.

17
Internal Routing Review form

• Intellectual property The PI, all Key/Senior
  Personnel and all other University personnel on
  this project have agreed (or will agree if yet to
  be hired) to assign to the University all
  intellectual property rights developed in the
  course of the project.
• Neither the PI nor any Key/Senior Personnel or
  others working on this project (including
  subrecipients or consultants), are to the best of
  their knowledge, debarred, suspended or proposed
  for debarment by any Federal department or agency.

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Whats at stake

• Individual sanctions
• Institutional sanctions
• Suspend research (i.e. human subjects)
• exceptional institution (admin penalties)
• Debarred
• Civil/criminal penalties

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Authority

• The Criminal False Claims Act, 18 U.S.C. 287 and
  1001,
• criminal prosecution of a person who knowingly
  makes or presents any false, fictitious, or
  fraudulent statements or representations or
  claims against the United States.
• Violations carry a maximum sentence of 5 years
  imprisonment and a fine of 250,000.

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Authority

• The Program Fraud and Civil Remedies Act of 1986,
  31 U.S.C. 3801 et seq., (HHS)
• civil penalties and assessments against persons
  who knowingly make false, fictitious, or
  misleading claims to the Federal government for
  money, including money representing grants,
  loans, or benefits.
• Up to 5,000 per claim.
• If a grant is awarded and payment is made on a
  false or fraudulent claim, an assessment of not
  more than twice the amount of the claim, up to
  150,000, may be made in lieu of damages.
• 45 CFR Part 79 specify the process for imposing
  civil penalties and assessments, including
  hearing and appeal rights.

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Authority

• The Civil False Claims Act, 31 U.S.C. 3729(a),
• penalties and damages by the United States,
  through civil litigation, against any person who
  knowingly makes a false or fraudulent claim for
  payment, makes or uses a false record or false
  statement to get a false claim paid or approved,
  or conspires to defraud the Federal government to
  get a false claim paid.
• A false claim is any request or demand for
  money or property made to the United States or to
  a contractor, grantee, or other recipient, if the
  Federal government provides or will reimburse any
  portion of the funds claimed.
• Civil penalties of 5,500 to 11,000 may be
  imposed for each false claim, plus damages of up
  to three times the amount of the false claim.

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Toothless tiger? No

• Emory psychiatrist violated COI
• NIH terminated multi-million dollar award
  (10/2008)
• Damaged reputation profession tainted
• Retired University of Tennessee Professor
  Convicted of Arms Export Violations - Sept, 2008
• Convicted of conspiring with AGT to unlawfully
  export in 2005 and 2006 fifteen different
  "defense articles" to a citizen of the Peoples
  Republic of China in violation of the Arms Export
  Control Act.
• 15 counts of violating the Arms Export Control
  Act and one count of wire fraud relating to
  defrauding the University of Tennessee of the
  honest services by illegally exporting sensitive
  military information relating to this U.S. Air
  Force contract.
• The maximum punishment for the conspiracy
  conviction is five (5) years imprisonment and a
  fine of 250,000. The maximum penalty for each of
  the Arms Export Control Act offenses is ten (10)
  years imprisonment, a criminal fine of
  1,000,000, and a mandatory special assessment of
  100 for each offense.
• Dr. Roths sentencing has been set for January 7,
  2009, at 130 p.m., in United States District
  Court in Knoxville.

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Toothless tiger? No

• Northwestern 5.5M settlement false claims act
  (2002)
• UNIVERSITY OF MINNESOTA PAYS 32 MILLION TO
  SETTLE ALLEGATIONS OF SELLING AN UNLICENSED DRUG
  AND MISHANDLING NIH GRANT FUNDS