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Even before you apply for the award, OCG Compliance can, in conunction with your proposal analyst, guide you through requirements to identify resources you need.

Certifications & Representations

Sponsors often require CU to certify the University’s funding management processes before project funding can be received.

Key certifications include:

• Compliance with cost accounting standards
• Maintaining a drug-free workplace
• Having a whistleblower policy
• Assurance that funds will not be used for lobbying
• Prohibition of employees who are suspended, debarred, or charged with crimes from managing federal funds

Property/Fabrications

• Budget justifications and scope of work must clearly explain how proposed property and equipment purchases are reasonable, allocable, and essential for the project.
• Having this information readily available at the start will help Department Administrators, OCG, and other central offices assist Principal Investigators (PIs) in managing these purchases.
• OCG Compliance can also guide PIs and Department Administrators on allowable costs related to fabrications.

Learn more about Property and Fabrications.

Restricted Research Guidance

For some projects, CU is required to meet additional security requirements as outlined by the Federal Government.Ìý The OCG Compliance team provides guidance for PIs and Departments in navigating additional requirements of restricted research.Ìý

Contact Justin Mack for Restricted Research Guidance.

Borrowing or Lending (Bailment Agreements)

If equipment is leaving campus, submit an Off-Campus form with the Property Accounting Office. OCG Compliance can help determine if a Bailment Agreement is necessary or if there are any sponsor restrictions.

Fabrications

A fabrication is the transformation of materials, non-consumable supplies and hardware into a one-of-a-kind piece of equipment or scientific instrument that meets a unique research need. Fabrications are considered capital equipment when they have an acquisition cost of $5,000 or more and a useful life of at least one year.

Sponsored Property Restrictions (purchasing, use, and disposal)

OCG Compliance provides specialized expertise and support to PIs and Departments in navigating the terms and conditions associated with sponsored project property including any restrictions for purchasing, use and disposal. The Sponsored Projects Property Control Manual captures CU Boulder campus’ policies, processes and procedures for property acquired on sponsored awards. Contact ocgproperty@colorado.edu for assistance.

Reporting

OCG Compliance supports the Principal Investigator (PI) and department to complete property reports for sponsors as required by the award's terms. This includes annual reports to agencies, national labs, and federal sponsors at the end of the federal fiscal year. A report may still be required if no accountable property was acquired on an award.

Research compliance is complex, and OCG Compliance helps ensure that all obligations related to sponsored projects are met. Please reach out to the team about these topics and when you are in question of anything compliance related:

• Federal and State Regulations
• Sponsor Requirements/Clauses
• Order of Precedence
• International Travel/Fly America Act
• Federal Security Regulations
• Audits and On-Site visits
• External Activities requiring disclosure to the sponsor

Reports Required: Deliverables often include reports mandated by the sponsor, which must be submitted on or before the specific due date to comply with award conditions.

OCG Compliance Role: Assists Principal Investigators (PIs) with submissions and stores semi-annual, annual, and final reports in the official award record.

Overdue reports can create consequences, such as suspended funding from the sponsor to the entire institution.Ìý

Technical Reporting

PI Responsibilities: PIs must submit reports detailing project progress, milestones, and any new inventions.

Common report types include:

• RPPR (Research Performance Progress Report)
• Technical Report
• Performance Report
• Project Report

Due dates: Annual and final technical or summary of research reports are considered deliverables and must meet sponsor due dates outlined in the award document.

Patents and Inventions

Invention Reports: If required, patent and invention reports may need to be submitted separately. Contact OCG atÌýocgcloseout@colorado.eduÌýfor assistance.

Collaboration: OCG Compliance works with the Principal Investigator (PI), department, accounting, and sponsor to facilitate the closeout of the award.

Timeline: All projects must be closed out withinÌý120 daysÌýof the award end date.

Requirements: Closeout requirements are based on Federal Agency standards and specific award terms.

OCG Compliance Support: Assists PIs and departments with administrative tasks, including:

• Submission of final technical and progress reports
• Patent and property reports

Financial Closeout: Managed by the Campus Controller’s Office, which handles financial reports and invoices.