Southern Illinois University Edwardsville Logo
Apply to SIUE
Office of Research and Projects
Office of Research and Projects
Office of Research and Projects Header

In order to insure compliance, both regulatory and financial, SIUE is mandated to adhere to federal and state of Illinois guidelines and regulations in addition to any guidelines, terms and conditions from non-federal and non-state funding sources.

Go to Federal Regulations and Guidelines
Go to State of Illinois Regulations and Guidelines
Go to SIUE Purchasing Office website

Federal Regulations and Guidelines

OMB Circulars

A-21   Cost Principles for Educational Institutions

  • Establishes the principles for determining costs of grants, contracts and other agreements for Institutions of Higher Education
  • Defines allowable and unallowable costs
  • Defines allowable and unallowable activities
  • Defines methods of F&A (indirect)cost rate identification and calculation
  • Cost Accounting Standards
  • Disclosure Statements (DS2)

A-110   Uniform Administrative Requirements for Grants & Other Agreements with Institutions of Higher Education, Hospitals, and Other Non-Profit Organizations

Provides guidelines on the administration actions on federal grants at institutions of higher education:

For example:

  • Procedures for monitoring and reporting financial data and the necessary standard reporting forms as well as times of reporting.
  • Record retention requirements and Monitoring And Reporting Program Performance
  • Budget Revisions
  • Acquisition and disposition of equipment – Property Control expectations
  • Changes in Key Personnel or Scope of Work
  • Subcontracting and Sub-recipient Monitoring Requirements
  • Expanded Authorities

A-133   Audits of States, Local Governments, and Non-Profit Organizations
1. Establishes audit requirements for state and local governments and other non-profit organizations receiving federal funds
2. Defines federal responsibilities for implementing and monitoring those requirements
3. Audits generally include:            

  • Financial Reports                   Davis-Bacon Act            
  • Cash Management                Drug-Free Workplace
  • Civil Rights                            Effort Reporting
  • Cost Sharing                         ARRA-Stimulus Funding
  • Performance Reports             Regulatory Compliance
  • FFATA Compliance                 Cost Accounting Standards

Code of Federal Regulations (CFR)

The Code of Federal Regulations (CFR) is the codification of the general and permanent rules published in the Federal Register by the executive departments and agencies of the Federal Government. It is divided into 50 titles that represent broad areas subject to Federal regulation. Each volume of the CFR is updated once each calendar year and is issued on a quarterly basis

FAR – Federal Acquisition Regulations

The Federal Acquisition Regulation (FAR) is the principal set of rules in the Federal Acquisition Regulations System. That system consists of sets of regulations issued by agencies of the Federal government of the United States to govern what is called the "acquisition process," which is the process through which the government purchases ("acquires") goods and services.  The FAR is codified in Title 48 of the United States Code of Federal Regulations. It is issued pursuant to the Office of Federal Procurement Policy Act of 1974 (Pub. L. 93-400 and Title 41 of the United States Code).

FFATA – Federal Funds Accountability and Transparency Act

An act of Congress that requires the full disclosure to the public of all entities or organizations receiving federal funds beginning in fiscal year 2007. The website USAspending.gov opened in December 2007 as a result of the act, and is maintained by the Office of Management and Budget.

Federal Agencies Grants Policy Guidelines/Statements (NIH, NSF, DHHS, EDGAR, etc.)

Federal agencies issue Grants Policy Statements or Guidelines that provide instruction and information on the administration of grants awarded by their individual agencies.  The instructions/guidelines address both Pre-award and Post-award requirements.  Reference to applicable OMB Circulars , CFR and FAR regulations are cited and/or incorporated by reference.

STATE OF ILLINOIS

Special Award Conditions

General and special arrangements, provisions, requirements, rules, specifications, and standards that form an integral part of an agreement or contract.  Award conditions are incorporated in state contracts under contract clauses.

Contract Clauses

Grants from State of Illinois agencies are in the form of contracts.  Provision(s) are included in a written agreement or contract. A contract clause will address an aspect of the contract between parties, detailing the agreement to ensure all parties understand what is expected of the other. State contracts also include, by reference, public acts, statutes and other state regulatory compliance codes mandated by the State of Illinois

Grant Recovery Act

Illinois Compiled Statutes (30 ILCS 705/). Website on the Illinois Grant Funds Recovery Act can be found at
http://law.onecle.com/illinois/30ilcs705/4.html
http://www.ilga.gov/legislation/ilcs/ilcs3.asp?ActID=558&ChapterID=7

Basically the statute instructs State of Illinois agencies on the requirements and restrictions of grants awarded to recipients from state funds.

Illinois State Procurement Codes (applicable to all sponsored programs regardless of the source of funding)

There are a series of Illinois procurement codes that are called Public Acts or Compiled Statutes. Of particular importance to SIUE externally sponsored programs  are:

1. 2010 PUBLIC ACTS REVIEW OF LEGISLATION POTENTIALLY IMPACTING UNIVERSITY OPERATIONS 096-1456-
http://www.ilga.gov/legislation/publicacts/96/PDF/096-1456.pdf

2. Senate Bill 51 Changes to the Illinois Procurement Code-Procurement Reform-The Procurement Reform legislation impacts operations of State Agencies from procuring pencils to building bridges. These impacts include Construction Contracting, A&E Consultant Procurements, Non-Construction Procurements, Emergency Procurements, Sole Source Procurements, Grants, and Procurement Communications.

3. A new Sole Source Justification Form mandated by the State Procurement Policy Board (Public Act 96-0795) is now available at
http://www.siue.edu/purchasing/staff/forms.shtml.
The new procurement code shifts the authority from state universities to the Executive Ethics Commission through Chief Procurement Officers.  State of Illinois has 4 Chef Procurement Officers to handle procurement actions.  Each CPO is designated to oversees procurement actions for the following:
    a.Higher Education
    b.Central Management Services (CMS)
    c.Illinois Department of Transportation
    d.Capital Development Board

4. State of Illinois State Records Commission-Record Retention Policy-The State Records Unit of the State of Illinois/Illinois Archives sets forth the length of time each document or record will be retained as an active record and final disposition (archival or destruction) of the record.  Each unit at SIUE has a record retention policy.  The policies for external grants and contracts and also for the units that fall under the Provost and Vice Chancellor for Academic Affairs can be located at:
http://www.siue.edu/records/07-12_SIU-E_VP_for_Student_Affairs-RetentionSchedule.pdf

Please also see SIUE Purchasing Office website at  http://www.siue.edu/purchasing/  for purchasing guidelines and regulations.

facebookoff twitteroff vineoff linkedinoff flickeroff instagramoff googleplusoff tumblroff foursquareoff socialoff