Office of Research & Sponsored Programs

Compliance - Regulations, Policies & Procedures

This webpage provides a ‘short list’ of federal regulations, and University of Maine System (UMS), University of Maine (UMaine), and Office of Research & Sponsored Programs (ORSP) policies and procedures governing sponsored activity at the University of Maine.  Additional  information and guidance on these and other relevant regulations and policies can be found by following the links provided by subtopic heading or via the links provided under Compliance on the sidebar menu.

Some of the documents on this page are in PDF (Portable Document Format).  To view them you will need to have the Adobe Acrobat Reader plug-in installed on your computer.

Federal Regulations

e-CFR – Searchable database of U.S. Code of Federal Regulations (CFR)

Fiscal Accountability

Office of Management & Budget

• OMB Circular A-21 – Cost Principles for Educational Institutions codified in 2 CFR, Part 220 (PDF)
• OMB Circular A-110 – Uniform Administrative Requirements for Grants and Other Agreements with Institutions of Higher Education, Hospitals and other Non-Profit Organizations codified in 2 CFR, Part 215 (PDF)
  • Standard Research Terms & Conditions – National Science Foundation (NSF)
    hosted web page that consolidates and organizes the Federal Demonstration Partnership (FDP) standard core set of administrative terms and conditions for research and research-related awards that are subject to OMB Circular A-110, including agency-specific terms and conditions.
  • Chart of OMB-110 and government-wide grants requirements tabulated by federal department & agency.
• OMB Circular A-133 (PDF) – Audits of States, Local Governments, and Non-Profit Organizations
• American Recovery & Reinvestment Act (ARRA)
  • Accelerating Spending of Remaining Funds from ARRA for Discretionary Grant Programs (PDF)
  • Holding Recipients Accountable for Reporting Compliance under ARRA (PDF)
  • Updated Guidance on ARRA (PDF)

Federal Acquisition Regulations

• Defense Federal Acquisition Regulation Supplement & Procedures, Guidance, and Information
  • Combating Trafficking in Persons
  • Subpart 52.222-50 – Contractor’s Clause

Responsible Conduct of Research

• 42 CFR Part 93 – Public Health Service (PHS) Policies on Research Misconduct
• 45 CFR Part 76 (PDF) - Health & Human Services (HHS) Debarment Regulations
• 45 CFR 689 – NSF Research Misconduct Regulation
• 5 U.S.C. § 1201 – Federal Whistleblower Protection Act of 1989
• NSF Responsible Conduct of Research – Implementation of Section 7009 of the America COMPETES Act
• Research Misconduct – Other Federal Agencies

Conflict of Interest

• 42 CFR Part 50 § F – PHS Responsibility of Applicants for Promoting Objectivity in Research for which PHS Funding is Sought
• 45 CFR Part 94  – PHS Responsible Prospective Contractors

Animal & Human Subjects

• 7 USC 54 (PDF) – Animal Welfare Act
• Public Law 99-158 Part 495 – Health Research Extension Act of 1985: Animals in Research
• 7 CFR Parts 2.22, 2.80, & 371.7 – United States Department of Agriculture (USDA) Animal Welfare Regulations
  • USDA Animal Care Policy Manual
• PHS Policy on Humane Care and Use of Laboratory Animals
• Public Law 103-43 (PDF) – NIH Plan for Use of Animals in Research

• 21 CFR Part 50 & 56 - FDA Regulations for the Protection of Human Subjects
• 45 CFR Part 46 – HHS Regulations for the Protection of Human Subjects
• 45 CFR Part 690 § A (PDF) – NSF Implementation of the Common Rule for the Protection of Human Subjects
• 45 CFR Parts 160 & 164 – Health Insurance Portability and Accountability Act (HIPAA) Regulations for Standards for Privacy of Individually Identifiable Health Information
• Declaration of Helsinki  – Ethical Principles for Medical Research Involving Human Subjects
• The Nuremberg Code

Laboratory & Environmental Safety

• CFR 29 Part 1910 - Occupational Safety & Health Standards (OSHA) Regulations
• CFR 29 Part 1910.97 – OSHA regulations re: Nonionizing radiation
• CFR 29 Part 1910.1096 – OSHA regulations re:Bloodborne pathogens
• NIH Guidelines for Research Involving Recombinant DNA Molecules

Export Control Regulations

• Export Administration Regulations (EAR) – Administered by the U.S. Department of Commerce, codified in 15 CFR Parts 730-774
  • EAR Commerce Control List
  • EAR Commerce Country Chart (PDF)
  • Enhancing Responsible Science – Considerations for the Development and Dissemination of Codes  of Conduct for Dual Use Research (PDF) -National Science Advisory Board for Biosecurity recommendations for the development, utilization and promotion of codes of conduct for dual use research.
• International Traffic in Arms Regulations (ITAR) -  Administered by the U.S. Department of State, codified in 22 CFR 120-130
  • ITAR United States Munitions List (PDF)
  • ITAR Country Policies & Embargoes Chart
• Foreign Assets Controls (FAC) – Administered by the U.S. Department of the Treasury, codified in 31 CFR Parts 500-598
  • OFAC Specially Designated Nationals & Blocked Persons Lists
  • OFAC Country Sanctions Lists
• List of Federal Agencies & Departments with Export Control Responsibilities

Intellectual Property

• American Inventor’s Protection Act of 1999 (PDF)
  • Patent Laws, Consolidated (PDF)
  • Patent Rules, Consolidated (PDF)
• NIH Intellectual Property Policy
• NIH Chart of Extramural Invention Reporting Compliance Responsibilities
• NSF Patents Rights Clause

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UMS Policies & Procedures

Laws Governing Higher Education & UMS Policies/Procedures – List of federal and state laws governing higher education, and list of UMS policies and procedures

Fiscal Accountability

• UMS American Recovery & Reinvestment Act (ARRA) Reporting (PDF)
• UMS A-133 Audit Reports
• UMS Accounting for Grants and Contracts (Word)
• UMS APL IV-I:  Use of University Funds (PDF)
• UMS APL VII-B:  Procurement Standards of Conduct (PDF)
• UMS APL VIII:  Sponsored Programs
  • § A:  Cost Sharing (PDF)
  • § B:  Restricted Expendable Funds Guidelines (PDF)
  • § C:  Direct Charging of Expenses (PDF)
  • § D:  Subrecipient Monitoring (PDF)
  • § E:  Effort Certification (PDF)
  • § F:  Intercampus Sponsored Projects (PDF)
  • § G:  Program Income (PDF)
  • § H:  Compliance Monitoring Program (PDF)
  • § I:  Revision of Budget and Program Plans (PDF)
  • § J:  Financial Reporting (PDF)
  • § K:  Cost Transfers (PDF)
  • § L:  Closeout Procedures (PDF)
• UMS Cost Accounting Standards Board Disclosure Statement (PDF)

Responsible Conduct of Research

See UMaine RCR

Conflict of Interest

• UMS Conflicts of Interest Policy

Animal & Human Subjects

• UMS Policy Manual § 601 – Human Subject Research
• UMS Administrative Procedures for Human Subject Research (Word)

Laboratory & Environmental Safety

• UMS APL II-E: Safety & Environmental Management (PDF)
• UMS Environmental & Safety Management System Policy (PDF)

Export Control Regulations

See UMaine ECR

Intellectual Property

• UMS Information Security Policies & Standard (PDF)
• UMS Policy Manual § 209 - Intellectual Property
• UMS Statement of Policy Governing Patents and Copyrights (PDF)

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UMaine & ORSP Policies & Procedures

Fiscal Accountability

• UMaine Compensation of Personnel from Extramural Funds (Word)
• UMaine Disadvantaged Business Enterprise Policy (Word)
  • UMaine Subaward Disadvantaged Business Enterprise Clause (Word)
• UMaine  Limited & Internal Competitions Policy (Word) see also Limited Competitions
• UMaine 2012 Summer Salary Memo

• ORSP Advance Project Policy and Procedure (PDF)
• ORSP Policy & Procedure for Sponsored Projects Cost Transfers (Word)
• ORSP Post Award Role & Responsibilities of a Principal Investigator at UMaine (PDF)
• ORSP Memoranda:
  • Graduate Assistantship Guidance (Word)
  • Guidance for UMaine Personnel Seeking Extramural & Gift Support (Word)
  • Telephone Related Expenses (Word)
  • Timeline for ORSP Proposal Review (PDF)
• Procedures for Administration of American Recovery & Reinvestment Act (ARRA) Projects at UMaine (PDF)

Responsible Conduct of Research

• UMaine Misconduct in Research and Other Scholarly Activities
• UMaine Plan for Responsible Conduct of Research (PDF)

Conflict of Interest

• UMaine Policies & Procedures for Financial Disclosures and Conflicts of Interest In Extramurally Sponsored Activities (PDF)

Animal & Human Subjects

• UMaine Policies & Procedures for the Humane Care and Use of Animals in Research (PDF)
• UMaine Policies and Procedures for the Protection of Human Subjects of Research (Word)

Laboratory & Environmental Safety (SEM)

• Biomedical Waste Management Policy (PDF)
  • Biomedical Waste Management Plan (PDF)
• Bloodborne Pathogens Exposure Control Plans (PDF)
  • Bloodborne Pathogens Program (PDF)
• Chemical Safety Policy (PDF)
  • Chemical Waste Management Policy (PDF)
• Incident Reporting and Investigation Policy (PDF)
• Personal Protective Equipment (PPE) Policy (PDF)
• Radiation Safety Program (PDF)
• Safety & Environmental Management (SEM) Policy (PDF)
• SEM Training Requirements Policy (PDF)
• Research Involving Recombinant DNA or Infectious Agents Policy & Procedures

Export Control Regulations

• Memorandum: Export Control Regulations (PDF)
• H1-B Visa Deemed Export Attestation (Fillable PDF)

Intellectual Property

• Technology Transfer Standard Operating Procedures

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