The ODU Research Foundation policies and procedures related to sponsored programs are designed to promote compliance with laws and regulations while providing the Principal Investigators and Research Foundation management and staff with a cohesive framework to prepare and submit accurate and high-quality proposals and manage awards with efficiency and integrity.
It is the policy of the Old Dominion University Research Foundation to comply with all United States export control laws and regulations, including the US Department of Commerce’s Export Administration Regulations (EAR) and the US Department of State’s International Traffic in Arms Regulations (ITAR) and the US Treasury Department’s Office of Foreign Assets Control (OFAC). This policy applies to all faculty, staff, and students employed by the Research Foundation or employed by Old Dominion University and performing work under sponsored programs grants or agreements.
The federal government has become increasingly concerned about protecting information and technology from disclosure when such information and technology is important for U.S. economic vitality or contributes to the military capabilities of international adversaries. Export laws and regulations restrict use of and access to this information and technology. All faculty, staff and students must comply with these laws and regulations. In case of violations, criminal penalties can be applied, including substantial fines and prison terms.
Please refer to the Research Foundation’s Review and Documentation Checklist for additional information and definitions of other key terms.
EXPORT
The term “Export” is the shipment of Controlled Physical Items that require Export Licenses or the transfer of Controlled Information, including technical data, to persons or entities outside of the US. Export involving the disclosure of controlled information, including technical data, to Foreign Nationals in the US is sometimes referred to as “Deemed Export”.
FOREIGN NATIONAL
A “Foreign National” is a natural person (or a corporation or other entity) that is not a lawful permanent resident of the United States -that is, someone who has not been issued a “green card.”
CONTROLLED PHYSICAL ITEMS
“Controlled Physical Items” means dual use, i.e., civilian and military, technologies listed on the Commerce Control List at 22 CFR § 121 of the Export Administration Regulations (EAR) and defense articles listed on the United States Munitions List (USML) at 15 CFR § 774, Supp. 1 of the International Trafficking In Arms Regulations (ITAR).
CONTROLLED PHYSICAL ITEMS
“Controlled Physical Items” means dual use, i.e., civilian and military, technologies listed on the Commerce Control List at 22 CFR § 121 of the Export Administration Regulations (EAR) and defense articles listed on the United States Munitions List (USML) at 15 CFR § 774, Supp. 1 of the International Trafficking In Arms Regulations (ITAR).
Any Research Foundation employee or member of the University community must consider whether export controls before undertaking certain activities. Amongst those activities are initiating a new funded or unfunded research effort, allowing access to current research, allowing Foreign Nationals to participate in a research activity, or receiving controlled materials from a third party.
Primary responsibility for compliance with export control regulations rests with the Principal Investigator (PI), as he or she has the best understanding of technology and tools involved. When submitting a proposal for funding, the PI will indicate in the responses to item 25 of the Proposal Transmittal Form (“Blue Sheets”) whether the project involves Foreign Nationals or foreign countries. If the response to any of the screening questions in item 25 of the Proposal Transmittal form is “Yes” then the PI is to complete the Export Control Checklist form. The additional information provided on the Export Control Checklist form will aid in assessing whether government approval for use of the Controlled Physical Items or Controlled Information is required. The Executive Director and University’s Licensing Manager are available to assist faculty, staff, and students in assessing their activities under these regulations. After work on the project has begun, the PI should notify the [Executive Director? Licensing Manager? Someone Else?] prior to implementing any changes that may give rise to the application of export controls, such as a change in the scope of work or the addition of new staff or students to the project. If it is determined that export controls apply to the project, the investigator must adhere strictly to any applicable restrictions and cooperate fully with efforts to monitor compliance. The PI will be asked to sign the Certification on the Handling of Export-Controlled Information form attesting that she or he has knowledge of export control regulations and of the penalties associated with noncompliance.
Research Foundation Grant & Contract Administrators (GCAs) will review research agreements for export control language and for terms or provisions that restrict access to or prohibit publication of research results, limit the participation of foreign nationals in the research, or otherwise render the fundamental research exclusion inapplicable. If such provisions cannot be eliminated through negotiation, and if it appears no exclusions or exemptions from the export control regulations are applicable, the GCA will consult with the PI to determine whether the technology or other material to be used in the research is included on the Commerce Control List or the US Munitions List. In consultation with the Licensing Manager, the Executive Director will make a final determination as to whether export control regulations apply to the project and will provide written notice of that determination to the PI, the department chair, the dean, and the Vice President for Research. This notice will also outline any recommendations for compliance measures to be implemented in the research.
The ODU Research Foundation provides services for the procurement of goods and services under sponsored programs, discretionary accounts and ODU Research Foundation operating expenses. Purchasing policies and procedures are designed to comply with the purchasing guidelines and cost principles found in 2 CFR Part 200 Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards and 48 CFR Part 31.2 Contracts with Commercial Organizations (Federal Acquisition Regulations (FAR)).
The Research Foundation’s goal for every purchasing transaction is to obtain the best value possible. The Research Foundation strives to procure most goods and services through the use of contracts and purchase orders with appropriate terms and conditions to properly protect the Research Foundation and the vendor. When bids are required by policy, they are to be conducted on an open and competitive basis and without favoritism. Interested suppliers will receive fair and impartial consideration.
Only persons officially designated within Finance and Administration shall have the authority to issue purchase orders. All contracts or agreements associated with a Purchase Order must be signed according to the Research Foundation signature authority. Individual departments or schools are not permitted to sign contracts or agreements on behalf of the Research Foundation. Contracts, proposals, or letters of intent that are signed and returned to suppliers directly by a department may be disclaimed by the Research Foundation and may not be binding on the Research Foundation.
Fiscal responsibility and accountability are deeply rooted in the concept of budgeting and the subsequent comparison of actual performance against budgets. Purchasing decisions are made by the Principal Investigator (PI) based upon the belief that the project will perform within the confines of their approved budgets. Purchase requisitions and other spending requests will not be processed for a grant or contract if budgeted funds are not available. The Sponsored Programs personnel are responsible to ensure that purchases are within the contract compliance, period of performance and availability of budget.
The Research Foundation is exempt from Virginia sales tax for purchases of tangible personal property, qualifying prepared meals and catering services. A tax exemption certificate is available from the Purchasing department and should be used in conjunction with any purchase made.
Principal Investigators (PIs) are responsible for communicating their requirements to the Research Foundation by submission of a purchase requisition and/or a request for bid that includes detailed specifications and/or requirements. A separate requisition must be submitted for each order. PIs, in certain circumstances, are authorized to use Procurement Cards (Bank of America Visa card).
PIs are required to adhere to Research Foundation policies when utilizing sources other than the Research Foundation for the acquisition of goods and services. Procurement cards issued to PIs and departments personnel have a $2,000 single purchase limit.
Prepaid purchases such as conference registrations, membership dues, and journal subscriptions do require a requisition, but not a Purchase Order.
The PI, or delegate, must submit a Purchase Requisition to begin the purchasing process. A requisition can be submitted via paper using the “Requisition to Purchase Supplies, Services, Equipment, Other” form or electronically from the ODURF website. The PI or delegate must have a valid MIDAS account to access the electronic requisition system.
| Dollar Value of Purchase | Quotations Required |
|---|---|
| $5,000 or less | No quotations are required. Submit standard requisition to ODU Research Foundation Purchasing. |
| $5,001 to $25,000 | Three quotations required. Telephone, internet or catalog references are acceptable. |
| $25,001 to $100,000 | Three written quotations are required. Written quotations must be attached to requisition when submitted. |
| Over $100,000 | Sealed bids. The Principal Investigator must provide written specifications. ODU Research Foundation Purchasing shall coordinate bid proposal and award process. |
State and GSA Contracts –Any item covered by a Commonwealth of Virginia or General Service Administration (GSA) contract, regardless of the dollar amount, is exempt from the above guidelines.
Single Source Justification –Justification of single or sole source should include unique performance factors of the product specified, why these specific factors are required and what other products have been examined and why rejected. Equipment component or compatibility justification must identify the compatible equipment and vendor from whom purchased.
Requests for radioactive and biohazard items must be approved by the appropriate officer in the respective departments, and any request for controlled substances must be accompanied by DEA Form 222.
After the Purchase Order items have been received and inspected by the Department, the Department must sign the Receiving form indicating that the order is complete or partially complete, attach a copy of the packing slip (if available) and send to Accounts Payable. Departments must acknowledge that the order has been received or services performed before payment can be processed.
If there are any discrepancies between the invoice and the Purchase Order, Purchasing Services and the requesting department must resolve all issues PRIOR to the invoice being paid.
Most vendors require a Return Authorization be given before any returns can be made. The Purchasing staff is available to assist with the process of returning goods. Purchasing must be notified immediately if any goods are received in damaged condition.
It is the policy of the Old Dominion University Research Foundation to comply with all United States export control laws and regulations, including the US Department of Commerce’s Export Administration Regulations (EAR) and the US Department of State’s International Traffic in Arms Regulations (ITAR) and the US Treasury Department’s Office of Foreign Assets Control (OFAC). This policy applies to all faculty, staff, and students employed by the Research Foundation or employed by Old Dominion University and performing work under sponsored programs grants or agreements.
The federal government has become increasingly concerned about protecting information and technology from disclosure when such information and technology is important for U.S. economic vitality or contributes to the military capabilities of international adversaries. Export laws and regulations restrict use of and access to this information and technology. All faculty, staff and students must comply with these laws and regulations. In case of violations, criminal penalties can be applied, including substantial fines and prison terms.
Please refer to the Research Foundation’s Review and Documentation Checklist for additional information and definitions of other key terms.
EXPORT
The term “Export” is the shipment of Controlled Physical Items that require Export Licenses or the transfer of Controlled Information, including technical data, to persons or entities outside of the US. Export involving the disclosure of controlled information, including technical data, to Foreign Nationals in the US is sometimes referred to as “Deemed Export”.
FOREIGN NATIONAL
A “Foreign National” is a natural person (or a corporation or other entity) that is not a lawful permanent resident of the United States -that is, someone who has not been issued a “green card.”
CONTROLLED PHYSICAL ITEMS
“Controlled Physical Items” means dual use, i.e., civilian and military, technologies listed on the Commerce Control List at 22 CFR § 121 of the Export Administration Regulations (EAR) and defense articles listed on the United States Munitions List (USML) at 15 CFR § 774, Supp. 1 of the International Trafficking In Arms Regulations (ITAR).
CONTROLLED PHYSICAL ITEMS
“Controlled Physical Items” means dual use, i.e., civilian and military, technologies listed on the Commerce Control List at 22 CFR § 121 of the Export Administration Regulations (EAR) and defense articles listed on the United States Munitions List (USML) at 15 CFR § 774, Supp. 1 of the International Trafficking In Arms Regulations (ITAR).
Any Research Foundation employee or member of the University community must consider whether export controls before undertaking certain activities. Amongst those activities are initiating a new funded or unfunded research effort, allowing access to current research, allowing Foreign Nationals to participate in a research activity, or receiving controlled materials from a third party.
Primary responsibility for compliance with export control regulations rests with the Principal Investigator (PI), as he or she has the best understanding of technology and tools involved. When submitting a proposal for funding, the PI will indicate in the responses to item 25 of the Proposal Transmittal Form (“Blue Sheets”) whether the project involves Foreign Nationals or foreign countries. If the response to any of the screening questions in item 25 of the Proposal Transmittal form is “Yes” then the PI is to complete the Export Control Checklist form. The additional information provided on the Export Control Checklist form will aid in assessing whether government approval for use of the Controlled Physical Items or Controlled Information is required. The Executive Director and University’s Licensing Manager are available to assist faculty, staff, and students in assessing their activities under these regulations. After work on the project has begun, the PI should notify the [Executive Director? Licensing Manager? Someone Else?] prior to implementing any changes that may give rise to the application of export controls, such as a change in the scope of work or the addition of new staff or students to the project. If it is determined that export controls apply to the project, the investigator must adhere strictly to any applicable restrictions and cooperate fully with efforts to monitor compliance. The PI will be asked to sign the Certification on the Handling of Export-Controlled Information form attesting that she or he has knowledge of export control regulations and of the penalties associated with noncompliance.
Research Foundation Grant & Contract Administrators (GCAs) will review research agreements for export control language and for terms or provisions that restrict access to or prohibit publication of research results, limit the participation of foreign nationals in the research, or otherwise render the fundamental research exclusion inapplicable. If such provisions cannot be eliminated through negotiation, and if it appears no exclusions or exemptions from the export control regulations are applicable, the GCA will consult with the PI to determine whether the technology or other material to be used in the research is included on the Commerce Control List or the US Munitions List. In consultation with the Licensing Manager, the Executive Director will make a final determination as to whether export control regulations apply to the project and will provide written notice of that determination to the PI, the department chair, the dean, and the Vice President for Research. This notice will also outline any recommendations for compliance measures to be implemented in the research.
The ODU Research Foundation provides services for the procurement of goods and services under sponsored programs, discretionary accounts and ODU Research Foundation operating expenses. Purchasing policies and procedures are designed to comply with the purchasing guidelines and cost principles found in 2 CFR Part 200 Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards and 48 CFR Part 31.2 Contracts with Commercial Organizations (Federal Acquisition Regulations (FAR)).
The Research Foundation’s goal for every purchasing transaction is to obtain the best value possible. The Research Foundation strives to procure most goods and services through the use of contracts and purchase orders with appropriate terms and conditions to properly protect the Research Foundation and the vendor. When bids are required by policy, they are to be conducted on an open and competitive basis and without favoritism. Interested suppliers will receive fair and impartial consideration.
Only persons officially designated within Finance and Administration shall have the authority to issue purchase orders. All contracts or agreements associated with a Purchase Order must be signed according to the Research Foundation signature authority. Individual departments or schools are not permitted to sign contracts or agreements on behalf of the Research Foundation. Contracts, proposals, or letters of intent that are signed and returned to suppliers directly by a department may be disclaimed by the Research Foundation and may not be binding on the Research Foundation.
Fiscal responsibility and accountability are deeply rooted in the concept of budgeting and the subsequent comparison of actual performance against budgets. Purchasing decisions are made by the Principal Investigator (PI) based upon the belief that the project will perform within the confines of their approved budgets. Purchase requisitions and other spending requests will not be processed for a grant or contract if budgeted funds are not available. The Sponsored Programs personnel are responsible to ensure that purchases are within the contract compliance, period of performance and availability of budget.
The Research Foundation is exempt from Virginia sales tax for purchases of tangible personal property, qualifying prepared meals and catering services. A tax exemption certificate is available from the Purchasing department and should be used in conjunction with any purchase made.
Principal Investigators (PIs) are responsible for communicating their requirements to the Research Foundation by submission of a purchase requisition and/or a request for bid that includes detailed specifications and/or requirements. A separate requisition must be submitted for each order. PIs, in certain circumstances, are authorized to use Procurement Cards (Bank of America Visa card).
PIs are required to adhere to Research Foundation policies when utilizing sources other than the Research Foundation for the acquisition of goods and services. Procurement cards issued to PIs and departments personnel have a $2,000 single purchase limit.
Prepaid purchases such as conference registrations, membership dues, and journal subscriptions do require a requisition, but not a Purchase Order.
The PI, or delegate, must submit a Purchase Requisition to begin the purchasing process. A requisition can be submitted via paper using the “Requisition to Purchase Supplies, Services, Equipment, Other” form or electronically from the ODURF website. The PI or delegate must have a valid MIDAS account to access the electronic requisition system.
| Dollar Value of Purchase | Quotations Required |
|---|---|
| $5,000 or less | No quotations are required. Submit standard requisition to ODU Research Foundation Purchasing. |
| $5,001 to $25,000 | Three quotations required. Telephone, internet or catalog references are acceptable. |
| $25,001 to $100,000 | Three written quotations are required. Written quotations must be attached to requisition when submitted. |
| Over $100,000 | Sealed bids. The Principal Investigator must provide written specifications. ODU Research Foundation Purchasing shall coordinate bid proposal and award process. |
State and GSA Contracts –Any item covered by a Commonwealth of Virginia or General Service Administration (GSA) contract, regardless of the dollar amount, is exempt from the above guidelines.
Single Source Justification –Justification of single or sole source should include unique performance factors of the product specified, why these specific factors are required and what other products have been examined and why rejected. Equipment component or compatibility justification must identify the compatible equipment and vendor from whom purchased.
Requests for radioactive and biohazard items must be approved by the appropriate officer in the respective departments, and any request for controlled substances must be accompanied by DEA Form 222.
After the Purchase Order items have been received and inspected by the Department, the Department must sign the Receiving form indicating that the order is complete or partially complete, attach a copy of the packing slip (if available) and send to Accounts Payable. Departments must acknowledge that the order has been received or services performed before payment can be processed.
If there are any discrepancies between the invoice and the Purchase Order, Purchasing Services and the requesting department must resolve all issues PRIOR to the invoice being paid.
Most vendors require a Return Authorization be given before any returns can be made. The Purchasing staff is available to assist with the process of returning goods. Purchasing must be notified immediately if any goods are received in damaged condition.
