Office of Research & Sponsored Programs

Compliance with Federal Directives

Federal Directives

The following directives are examples of public policy requirements grantees must abide by when receiving federal funds. The public policy requirements are stated in the award document or are incorporated by reference. Directives in prime awards usually flow down to subrecipients.

Byrd Lobbying Disclosure Act of 1995
Conflict of Interest
Davis-Bacon Act
Debarment and Suspension
Drug Free Workplace Act of 1988
Export Controls
Fraud, Waste and Abuse
Texting While Driving
Links to Federal Regulations

For sponsored projects, the Director of the Office of Research & Sponsored Programs or his/her designee has the authority to complete and sign these certifications.

Timing of Certifications

Many of the requests for certification and assurances of compliance with Federal Directives will be required at the time of submission of a proposal. There are several agencies that require periodic certifications such as the System for Award Management (SAM) and the Federal Transit Authority (FTA). SAM should be updated on an annual basis at FTA should be updated on an annual basis (usually beginning November with a completion date in January) by visiting

Contact Information

Lobbying Activities: Andrew Morse, Special Asst to Pres/Board & Govt. Relations, (319) 273-6144
Conflict of Interest: Tolif Hunt, Director, Research and Sponsored Programs (319) 273-3217
University General Counsel: Timothy McKenna, University General Counsel, (319) 273-3241
Export Controls: Kyle Fogt, University Associate Counsel, (319) 273-7272
Compliance and Equity Management: Leah Gutknecht, Asst. to President, (319) 273-2846
Research Compliance: Todd Evans, IRB Chair, (319) 273-6152


Drug Free Workplace Act of 1988

The grantee certifies that it will or will continue to provide a drug-free workplace by:

(a) Publishing a statement notifying employees that the unlawful manufacture, distribution, dispensing, possession, or use of a controlled substance is prohibited in the grantee's workplace and specifying the actions that will be taken against employees for violation of such prohibition;
(b) Establishing an ongoing drug-free awareness program to inform employees about --

  1. (1) The dangers of drug abuse in the workplace;
    (2) The grantee's policy of maintaining a drug-free workplace;
    (3) Any available drug counseling, rehabilitation, and employee assistance programs; and
    (4) The penalties that may be imposed upon employees for drug abuse violations occurring in the workplace;

(c) Making it a requirement that each employee to be engaged in the performance of the grant be given a copy of the statement required by paragraph (a);
(d) Notifying the employee in the statement required by paragraph (a) that, as a condition of employment under the grant, the employee will -- (1) Abide by the terms of the statement; and
(2) Notify the employer in writing of his or her conviction for a violation of a criminal drug statute occurring in the workplace no later than five calendar days after such conviction;
(e) Notifying the agency in writing, within ten calendar days after receiving notice under paragraph (d)(2) from an employee or otherwise receiving actual notice of such conviction. Employers of convicted employees must provide notice, including position title, to every grant officer or other designee on whose grant activity the convicted employee was working, unless the Federal agency has designated a central point for the receipt of such notices. Notice shall include the identification number(s) of each affected grant;
(f) Taking one of the following actions, within 30 calendar days of receiving notice under paragraph (d)(2), with respect to any employee who is so convicted -- (1) Taking appropriate personnel action against such an employee, up to and including termination, consistent with the requirements of the Rehabilitation Act of 1973, as amended; or (2) Requiring such employee to participate satisfactorily in a drug abuse assistance or rehabilitation program approved for such purposes by a Federal, State, or local health, law enforcement, or other appropriate agency;
(g) Making a good faith effort to continue to maintain a drug-free workplace through implementation of paragraphs (a), (b), (c), (d), (e) and (f).

For more information, please visit the Drug Free Workplace Programs section of the Substance Abuse and Mental Health Services Administration (SAMHSA) website.

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Byrd Lobbying Disclosure Act of 1995

Contractors who apply or bid for an award of $100,000 or more shall file the required certification. Each tier certifies to the tier above that it will not and has not used Federal appropriated funds to pay any person or organization for influencing or attempting to influence an officer or employee of any agency, a member of Congress, officer or employee of Congress, or an employee of a member of Congress in connection with obtaining any Federal contract, grant or any other award covered by 31 U.S.C. 1352. Each tier shall also disclose any lobbying with non-Federal funds that takes place in connection with obtaining any Federal award. Such disclosures are forwarded from tier to tier up to the recipient. (OMB Circular A-110).

Any lobbying with non-federal funds must be reported in accordance with the form instructions on the "Disclosure Form to Report Lobbying", Standard Form-LLL (DOC). 

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Davis-Bacon Act

When required by Federal program legislation, all construction contracts awarded by the recipients and subrecipients of more than $2000 shall include a provision for compliance with the Davis-Bacon Act (40 U.S.C. 27a to a-7) and as supplemented by Department of Labor regulations (29 CFR part 5, "Labor Standards Provisions Applicable to Contracts Governing Federally Financed and Assisted Construction"). Under this Act, contractors shall be required to pay wages to laborers and mechanics at a rate not less than the minimum wages specified in a wage determination made by the Secretary of Labor. In addition, contractors shall be required to pay wages not less than once a week. The recipient shall place a copy of the current prevailing wage determination issued by the Department of Labor in each solicitation and the award of a contract shall be conditioned upon the acceptance of the wage determination. The recipient shall report all suspected or reported violations to the Federal awarding agency. (OMB Circular A-110). For more detailed information on DBRA, please visit the Davis Bacon and Related Acts section of the DOL's website.

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Export Controls

Export Administration Regulations (EAR) and International Traffic in Arms Regulations (ITAR)

The vast majority of research at the university level is not affected by the Export Administration Regulations (EAR) or International Traffic in Arms Regulations (ITAR); however it is very important to understand the applicable regulations in order to determine if they apply to a particular project, whether funded or not.  Violations can lead to loss of research contracts, monetary penalties, probation and imprisonment. The potential impact these regulations have for universities includes:

  • foreign students participating in research involving controlled technology;
  • providing services, including the training in the use of controlled equipment, to foreign nationals; and
  • sending controlled equipment to foreign countries, including laptop computers which have sensitive material saved on them.

PI/PDs prior to commencing any research, should:

  • Determine whether their research is impacted by the controls or requirements contained within export regulations;
  • Re-evaluate the export control determination before changing the scope or adding new staff to the project to determine if such changes alter the initial determination; and
  • Make export determinations far enough in advance to obtain an authorization (license), if necessary.

The University will assist PI/PDs in assessing the application of such regulations, but primary compliance responsibility rests with the PI/PD.

To view the text of the federal regulations as created by the US Dept. of Commerce Bureau of Industry and Security, please visit the Export Administration Regulations database.

For more information about EAR/ITAR and other Export Control regulations, please visit the RSP website's Export Controls page.

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Fraud, Waste, and Abuse

The Office of the Inspector General (OIG) investigates allegations of fraud, waste, abuse, and misconduct by Department of Justice employees, contractors, and grantees. The OIG is an independent entity within the Department of Justice that reports to both the Attorney General and Congress on issues that affect the Department's personnel or operations. To report suspected fraud, waste, or mismanagement of federal funds, please visit the Fraudnet page from the Government Accountability Office (GAO).

For more information on the Procurement Integrity, please visit the Departmental Ethics Office of the US Department of Justice.

For more information on UNI’s purchasing guidelines and policies, please refer to the Procurement Services Guidelines and Procedures (PDF).

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Texting While Driving

Prohibition of text messaging and emailing while driving during official federal grant business: Federal grant recipients, sub recipients and their grant personnel are prohibited from text messaging while driving a government owned vehicle, or while driving their own privately owned vehicle during official grant business, or from using government supplied electronic equipment to text message or email when driving. Recipients must comply with these conditions under Executive Order 13513, "Federal Leadership On Reducing Text Messaging While Driving," October 1, 2009.

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Debarment and Suspension

No contract shall be made to parties listed on the General Services Administration's List of Parties Excluded from Federal Procurement or Nonprocurement Programs in accordance with E.O.s 12549 and 12689, "Debarment and Suspension." This list contains the names of parties debarred, suspended, or otherwise excluded by agencies, and contractors declared ineligible under statutory or regulatory authority other than E.O. 12549. Contractors with awards that exceed the small purchase threshold shall provide the required certification regarding its exclusion status and that of its principal employees. (OMB Circular A-110). To view the List of Parties Excluded from Federal Procurement, please refer to 48 CFR 2809.404 (PDF) of the Code of Federal Regulations.

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Conflict of Interest

UNI Policy
Reporting Form (PDF)

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Links to Federal Grant and Contract Regulations

Code of Federal Regulations (CFR)
Federal Acquisition Regulations (FAR)
Office of Management and Budget (OMB) Circulars

Environmental Protection Agency: EPA Uniform Grant Administrative Regulations
National Aeronautics and Space Administration:  (NASA)
National Endowment for the Arts:  (NEA)
National Endowment for the Humanities:  (NEH)
National Science Foundation (NSF):  Proposal & Award Policies & Procedures 2013, 2014, 2015, 2016, 2017, 2018, 2019

U.S. Department of Agriculture:  

U.S. Department of Commerce:  DOC Grants Policy
U.S. Department of Defense:  Defense Grant and Agreement Regulatory System (DGARS)
U.S. Department of Education:  Education Department General Administrative Regulations (EDGAR)
U.S. Department of Energy:  DOE Financial Assistance Rules

U.S. Department of Health and Human Services (DHHS): HHS Grants Policy Statement (PDF) 

U.S. Department of Homeland Security:  DHS Grants Financial Management Guide (PDF)
U.S. Department of the Interior:  DOI Financial Assistance Policy and Regulations

U.S. Department of Justice:  

U.S. Department of Transportation:

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