Policies and Procedures

OSP Policies and Procedures

• Appropriate Use of Voluntary Uncommitted Cost Share
• Budget Procedures for Grants and Contracts
• Cost Sharing Policies, Procedures and Instructions
• Cost Transfer Policy
• Effort Reporting Policies and Procedures
• Extra Compensation/Supplemental Pay Policy
• Financial Stewardship
• Graduate Assistance in Areas of National Need (GAANN)
• Guidelines for Defining Teaching, Research, and Service
• How to Prevent and Resolve Deficit Budget Balances
• Institutional Base Salary for Sponsored Projects
• Minimum Allowable PI Effort
• On/Off Campus Facilities & Administrative (F & A) Rates Application
• Participant Support Costs
• Service Center Policy
• Subrecipient Monitoring Policy
• Travel Charges to Sponsored Projects – Tips & Pointers
• Tuition, Stipends, and Other Student Payments
• Guidelines for Classification of Sponsored Projects
• Procedure to Allocate Indirect Costs (IDC) to Divisions

CGA Policies and Procedures

Office for Research Compliance Policies

• Animal Subjects (IACUC)
• Conflict of Interest
• Export Control
• NIH Public Access Policy
• NSF Postdoctoral Mentoring Activities
• Scientific Misconduct

Human Subjects (IRB) Policies

• Allegations and Findings of Noncompliance
  Appropriate and Equitable Selection of Subjects
  Authority and Independence of the IRB in Protecting Human Research Participants
  Closure of Approved Protocols
  Conflict of Interest for IRB Members, Chairs, and Consultants
  Conformity of Investigational or Unlicensed Test Articles (Devices) to Federal Regulations
  Conformity of Investigational or Unlicensed Test Articles (Drugs, Biologics) to Federal Regulations
  Continuing Review of Approved IRB Protocols
  Creation, Revision, Review, and Dissemination of Policies for Human Research Protection Program
  Data and Safety Monitoring in Proposed Research
  Documentation of IRB Discussions and Decisions (IRB Minutes)
  Educational Opportunities for the Community
  Emergency Use of a Test Article
  Expedited Review
  Faculty Use of Students as Research Participants or Paid or Unpaid Assistants in their Research
  Federalwide Assurance (FWA) for Protection of Human Subjects
• Full Board Review of Protocols
  Human Research Determination
  Human Research Participant Protection Plan
  Identifying and Minimizing Risks to Human Research Participants
  Improving Qualifications and Expertise of IRB Members, Investigators, and Office for Research Staff
  Institutional Commitment to Protection of Human Subjects by the IRB
  Investigator and Staff Response to Participants’ Questions, Complaints, and Concerns
  Investigator Assessment of Participant Comprehension
  Investigator Input into the HRPP/IRB Review Process
  Investigator Responsibility for Informed Consent Process and Documentation
  IRB and Investigator Responsibilities for Applications Involving Declared or Undeclared Investigator Conflicts of Interest
  IRB Record Keeping and Management
  Modifying Approved IRB Protocols
  Monitoring of Previously Approved Research for Cause: Suspension and Termination
  Obtaining Additional Expertise or Expert Consultation for IRB Reviews
  Participant and Community Questions, Suggestions, Complaints, and Concerns about Research Studies
  Protection of Children in Research
  Protection of Human Research Participants’ Privacy and Confidentiality
  Protection of Pregnant Women, Fetuses, and Neonates
  Protection of the Cognitively Impaired
  Qualifications and Responsibilities of Investigators
  Reportable Events: Protocol Deviations, Unanticipated Problems, and Adverse Events
  Research Involving Prisoners
  Research Involving the Internet
  Research Using a Limited Data Set
  Research Using a Restricted Access Data Set
  Research Using Publicly Available Data-sets
  Research Utilizing Records, Chart Reviews, and Case Studies/Reports
  Review and Oversight of Research Conducted at Multiple Sites
  Review for Exemption
  Routine Post-Approval Monitoring of Protocols (PAM)
  Sponsored Projects Agreements for Human Subjects Research and Human Research Protections
  Student Research Pools
  Subject Recruitment and Compensation
  University Expectations for Persons Involved with HRPP
  University of Alabama Policy on Conflict of Interest/Financial Disclosures in Research and Other Sponsored Programs
  Waivers, Alterations, and Exceptions to Informed Consent or its Written Documentation

Other Policy and Related Links

Uniform Guidance Update

On July 30, 2018 The University of Alabama (UA) received approval from its cognizant agency for cost, the Department of Health and Human Services, to use the State bid threshold of $15,000 as its federal micro-purchase threshold. Purchases greater than or equal to $10,000 will no longer require additional documentation of competition and, instead, will follow standard policies and procedures related to competition. Other additional requirements for purchases from sponsored project funds (e.g. allowability, consistency, approvals) remain in place. Should you have any questions, please contact Contract and Grant Accounting.

As allowed by FAQ 313-2, the University will not change its equipment inventory systems or the data elements contained in those systems as they are in compliance with the current requirements in Circular A-110.