Title: Who and what is the AOR So what is OSP authorizing when we submit proposals Administrative, civil, o
1Who (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
2OSP 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
3OSP 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.
4By 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
5Whats 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.
6Common 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
7Common Certs Reps
- Human Subjects
- Vertebrate Animals
- Age Discrimination
- Civil Rights
- Sex Discrimination
- Handicapped Individuals
8Debarment 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
9Debarment 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
10Drug-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
11Lobbying
- 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.
12Financial 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.
13Certs 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
14Internal Routing Review form
- Financial conflicts of interest
- Human / animal protections
- Environmental health and saftey
- Foreign activities / export controls.
15Internal 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.
16Internal 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.
17Internal 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.
18Whats at stake
- Individual sanctions
- Institutional sanctions
- Suspend research (i.e. human subjects)
- exceptional institution (admin penalties)
- Debarred
- Civil/criminal penalties
19Authority
- 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.
20Authority
- 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.
21Authority
- 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.
22Toothless 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.
23Toothless 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