Institutional Compliance
The (1) actual shipment or transmission of any goods or items subject to export control regulations out of the United States; and (2) release of any covered technology, software (including source code), or technical data to any foreign national whether in the U.S. or abroad.
What is Export?
This compliance area’s policies, processes and system to declare financial or other relationships with outside entities ensures compliance with all university, sponsor, ABOR, federal, state, local laws and regulations are effective to not create situations that are, or appear to be, in conflict with the values or free and unbiased inquiry.
What is Conflict of Interest (COI)?
This document contains 2 CFR 200 Subpart E – Cost Principles, which defines factors affecting allowability of costs for federal awards.
What is Uniform Guidance?
Together with the Fiscal Oversight Team (FOT), provides post-award services to ASU faculty and staff in compliance with sponsor (federal, state, etc.) and ASU policies and procedures.
What is the Award Management Team (AMT)?
The applicant for charitable grants and the receiver of unrestricted gifts to ASU.
What is Arizona State University Foundation (ASUF)?
Equipment provided to the university by the federal government or government contractor; title may or may not remain with the government.
What is Government-furnished Equipment?
The role of this compliance area is to review all proposed research involving human subjects to ensure that subjects are treated ethically and that their rights and welfare are adequately protected.
What is Institutional Review Board (IRB)?
Referred to as an ATF, this type of proposal is submitted to a sponsor without using the internal routing process.
What is After-the-Fact?
Institutional official/liaison for audits, expenditure monitoring and risk management.
What is the Fiscal Compliance Team (FCT)?
Any project that will have multiple members that have come together to jointly fund research projects through pooled membership fees.
What is a Consortium?
The act of mixing funds belonging to one party with those of another party, especially when a fiduciary has responsibility to keep the funds separated.
What is comingling?
This compliance area oversees a compliant and human animal care and use program that supports the research and teaching programs of our researchers, instructors, and students.
What is Institutional Animal Care and Use Committee (IACUC)?
This Facilities and Administration rate base excludes equipment, capital expenditures, charges for patient care, participant support costs, student tuition remission, rental costs of off-site facilities, scholarships, fellowships, and the portion of each subgrant and subcontract in excess of $25,000.
What is Modified Total Direct Costs (MTDC)?
Area of post-award services involving management of requests for revisions to funded awards and liaising with sponsor entities.
What is the Award Change functional role?
The Federal agency designated with responsibility for performing audit-related activities on behalf of the federal government for federally-funded activity at the University.
What is cognizant audit agency?
IP that was conceived, created, or developed prior to, or independent of, any research performed pursuant to the Agreement and necessary for or used in the performance of the project.
What is background intellectual property?
This compliance area is responsible for the review and oversight of research or teaching conducted under the auspices of ASU that utilizes recombinant or synthetic nucleic acid molecules, biohazards or infectious agents, select agents and toxins or dual use research of concern.
What is Institutional Biosafety Committee (IBC)?
This team facilitates Non-Disclosure, Material Transfer, Data Use, and other non-monetary agreements.
What is Industry Agreements Group?
Cross-cutting area of research administration involving post- and pre-award services in managing collaborations with external partners receiving funding from ASU.
What is Subaward Management?
Two or more public agencies, by direct contract or agreement, may contract for services or jointly exercise any powers common to the contracting parties and may enter into agreements with one another for joint or cooperative action, so long as each agency has been authorized by their legislative or other governing body. (A.R.S. § 11-952).
What is Intergovernmental Agreement?
A release of technology and/or software subject to export control regulations to a foreign national inside the United States.
What is a Deemed Export?
Other areas that ORIA reviews compliance for on pending proposals are?
What is radiation safety, scientific diving, cultural reviews related to Native Americans, and responsible conduct of research?
This entity identifier replaced the Dun & Bradstreet DUNS number in April 2022.
What is Unique Entity ID?
This entity sells services and/or products for a fee and must have its rates reviewed and approved on a regular basis to be eligible to charge to sponsored projects.
What is recharge center?
Responsible for the negotiation, execution, and administration of user agency contracts involving classified material; each member of this group shall have an appropriate security clearance.
What is Classified Material Management Group?