Policies & Guidelines

Overview Conflict of Interest (COI) Signature Authorization Procedure Purchasing Policy Procurement Card Policy & Settlement Procedures Travel Policy Export Control Eligible PI Qualifications Other Policy & Procedures Links Budgeting & Proposal Submission Links

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.��

This list includes policies and procedures that are considered most relevant to the responsibilities of Principal Investigators in the management of their awards and contracts.

In its role as fiscal and administrative agent for sponsored programs for Old Dominion 91��Ƶ, where applicable, the ODU Research Foundation applies the policies of Old Dominion 91��Ƶ. ODU Policies and Procedures can be found at��/about/policiesandprocedures. Examples of ODU policies monitored by the Research Foundation include the Export Control Policy (5340) and portions of the International Travel Policy (6-714).

Conflict of Interest (COI)

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Financial conflicts of interest in sponsored research occur when the financial interests of Investigators (or those of the Investigator’s spouse/domestic partner and dependent children) could directly and significantly affect the design, conduct or reporting of ODU research, or present the appearance of doing so. Conflicts of interest have the potential to inappropriately influence many aspects of research – from how a study is designed, how data is collected, analyzed and reported, to what individuals/suppliers are involved in the work. In a university setting, especially one that promotes technology transfer and entrepreneurial activity, conflicts of interest naturally arise and they must be addressed appropriately.

Federal regulations and guidance regarding financial conflicts of interest in research (e.g., PHS regulations entitled “Promoting Objectivity in Research,” 42 CFR Part 50 and 45 CFR Part 94) also promote objectivity in research and require that the design, conduct, and reporting of research funded under federal grants, cooperative agreements, or contracts will be free from bias resulting from conflicts. Many nongovernmental funding organizations also have conflict of interest requirements.

Conflicts may also arise in other 91��Ƶ activities unrelated to sponsored research (e.g., unfunded research or educational or service activities) when a 91��Ƶ member’s personal/external interests may influence how they conduct their 91��Ƶ activities.

This web page provides a summary of relevant information. Additional detail can be found in the information below:

To complete a disclosure in the ODU COI Management System, it is critical to understand the terms used in the regulations and ODU requirements.

��Ա��پ��ٴǰ�”��includes the Principal Investigator (PI), Co-Principal Investigator (Co-PI), Co-Investigator (Co-I), and any other key personnel, regardless of title or position, who has the responsible charge or oversight for the design, conduct, or reporting of research. The PI for any research activity conducted at a 91��Ƶ facility must be a 91��Ƶ employee or Old Dominion 91��Ƶ Research Foundation (RF) employee, or, under appropriate circumstances (e.g., NSF Graduate Fellowship), graduate student, post-doc, research assistants. Co-PIs are key personnel who have responsibilities like that of a PI on research projects. While the PI has ultimate responsibility for the conduct of a research project, the Co-PI is also obligated to ensure the project is conducted in compliance with applicable laws and regulations and institutional policy governing the conduct of sponsored research. Note: The PI determines who is an Investigator on a project.

Immediate Family Member��is a spouse and any other person residing in the same household as the investigator who is a dependent of the investigator or of whom the investigator is a dependent.

Significant Financial Interest��is a significant financial interest means the receipt by an Investigator or an Investigator’s Immediate Family Member of anything of monetary value, including but not limited to the following, provided they appear to be reasonably related to the Investigator’s Institutional Responsibilities:

Non-publicly traded entity: if the value of any remuneration received from any foreign or domestic, non-publicly-traded entity over a 12-month period, when aggregated, exceeds $5,000, or when the Investigator or the Investigator’s Immediate Family Members holds any equity interest.
Publicly traded entity: Any equity interest, including stock options in any foreign or domestic publicly-traded entity held by an Investigator and the Investigator’s immediate family members, that, when aggregated, exceeds 5% ownership interest in any single entity or a current value of $5,000, as determined through reference to public prices, recent financing events, or other reasonable measures of fair market value.
Salary, consulting fees, honoraria, royalties, and other payments received directly from a single outside entity that, when aggregated for the Investigator and the Investigator’s Immediate Family Members, exceeds $5,000 over a 12-month period.
Any sponsored or reimbursed travel related to Institutional Responsibilities, regardless of dollar amount.
Any income received from rights in Intellectual Property (e.g., patents, copyrights), as measured over a 12-month basis.
Any venture or other capital financing.

Exclusions from the Significant Financial Interest Definition:

Salary or supplementary payments paid by ODU or its affiliates.
Income from mutual funds and/or retirement accounts so long as you do not have direct control over investment decisions.
Income from seminars, lectures, teaching, service on advisory committees or review panels, for federal, state or local government agency, institution of higher education (as defined by 20 USC 1001(a)), an academic teaching hospital, a medical center, or a research institute affiliated with an institution of higher education;
Reimbursed or sponsored travel by a Federal, state, or local government agency, an institution of higher education as defined at 20 U.S.C. 1001(a), an academic medical center, or a research institute that is affiliated with an Institution of higher education.
Royalties, milestone payments, licensing fees, or other remuneration paid by the 91��Ƶ, or its affiliates to the Investigator if the Investigator is currently employed or otherwise appointed by the 91��Ƶ or the Old Dominion 91��Ƶ Research Foundation.

Exceptions and examples are listed in the FCOI Guidelines.

Disclosures are filed via the��under��My Menu Options��and��My COI.

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Disclosures must be filed at the following times:

Before engaging in research proposed to or funded by sponsors subject to ODU’s COI requirements
- A disclosure must be on file in ODU’s Research Portal COI Module for each Investigator on a proposal before the proposal can be submitted to the sponsor by the institution, and/or for each PI, Co-Investigator, or Key Personnel on an IRB protocol before a protocol can be approved by ODU’s Institutional Review Board (IRB).
Within 30 days of receiving or becoming aware of a new SFI
- SFIs must be disclosed in the ODU Research Portal COI Module within 30 days of acquisition, receipt of payment, etc.
- Do NOT wait until annual disclosure time to update your disclosure with new SFIs.
At least annually by February 28th each year.
- If you have no new SFIs to disclose between annual COI disclosure cycle, the annual COI disclosure is sufficient. You must complete a COI disclosure annually, even if acknowledging no change, by carrying over your prior annual disclosure to the new reporting year.
- The annual COI cycle runs between January and February of every year.
- The information collected is for the previous calendar year (January – December), to align with the receipt of income forms/statements and preparation of taxes.

ODU now uses the��to electronically to collect and store disclosures and certifications.

Disclosures/Significant Financial Interests (SFIs) are reviewed in comparison to each open research project subject to ODU’s COI requirements. ODU’s Office of Research AVP for Compliance performs an initial review; if a potential or actual COI is identified, the review is referred to the COI Committee (COIC).

A COI exists when the Conflict of Interest Committee (COIC) reasonably determines that the SFI could directly and significantly affect the design, conduct, or reporting of the Investigator’s research activity.

SIGNIFICANT FINANCIAL INTERESTS vs. CONFLICTS OF INTEREST
A SFI is any financial interest meeting the definition that is related to your Institutional Responsibilities. These must be disclosed.

Institutions then review SFIs relative to research projects to identify any potential overlap or relationship. Not every disclosed SFI is a COI.

A Financial Conflict of Interest (FCOI or COI) is an SFI that could directly and significantly affect the design conduct or report of specific research activity. These must be managed, reduce or eliminated.

If the COIC identifies a COI, they will provide suggested management strategies to the AVP for Compliance. The the AVP for Compliance will then work with the Investigator to reduce, manage, or eliminate the COI through the implementation of a Conflict Management Plan (CMP).

Examples of management strategies include:

Public disclosure of financial interests (e.g., when presenting or publishing research);
Written disclosure to colleagues and collaborators;
Disclosure to IRB and to research participants;
Reduced role in project;
Independent data review and/or monitoring;
Modification of the research plan;
Change of personnel or personnel responsibilities;
Divestment of the financial interest;
Severance of relationships that create the conflict (e.g., consulting);

The AVP for Compliance will communicate the COIC’s determination regarding a management plan to the Investigator. The Investigator may not commence or participate in the research until the Investigator agrees to and complies with a management plan imposed to manage a COI. Once agreed to, the AVP for Compliance works with departments to monitor compliance with the management plan. Management plans are sometimes updated to reflect changes in research personnel, financial interests or other factors.

Some sponsors require that certain information relative to COIs be reported prior to expenditure of funds, which is done by the ODU Research Foundation. The ODU Research Foundation will notify Investigators prior to such reporting.

Certain COI information relative to PHS-funded research must be made available to the public upon request. ODU Research Foundation will notify Investigators prior to provision of such information.

ODU is required to notify certain research sponsors about COIs and management plans to address the COI. Investigators will cooperate with ODU’s AVP for Compliance to fulfill all reporting requirements to research sponsors, including those relating to organizational conflicts of interest and other conflicts.

In the event it is determined that a researcher has a financial conflict of interest as it relates to PHS or DOE funded research, the regulation requires that certain information be made available to the public about the Investigator’s significant financial interest (SFI). The information that ODU is required to release includes:

Investigator’s name;
Investigator’s title, and role with respect to the research;
Name of the entity in which the SFI is held;
Nature of the SFI (stock, income, etc.);
Approximate dollar value of the SFI in dollar ranges ($0 – $4,999, $5,000 – $9,999, $10,000 – $19,999, amounts between $20,000 – $100,00 by increments of $20,000, amounts above $100,000 by increments of $50,000), or if the interest is one whose value cannot be readily determined through reference to public information, a statement to that effect.

In these cases, the PHS and DOE regulations provide the university with a choice between posting information about financial conflicts of interest on the internet and making the information available within five (5) days of a written request. ODU has chosen to make information available upon written request to the ODU Office of Research AVP for Compliance. Requests can be made by submitting the��[PDF].

The Public Health Service includes the following agencies:

Administration for Children and Families (ACF)
Agency for Health Care Research & Quality (AHRQ)
Agency for Toxic Substances and Disease Registry (ATSDR)
Centers for Disease Control and Prevention (CDC)
Food and Drug Administration (FDA)
Health Resources and Services Administration (HRSA)
Indian Health Service (IHS)
National Institutes of Health (NIH)
Office of Global Affairs (OG)
Office of the Assistant Secretary for Health (OASH)
Office of the Assistant Secretary for Preparedness and Response (ASPR)
Office of Public Health and Science (OPHS)
Substance Abuse and Mental Health Services Administration (SAMHSA)
A number of other sponsors have adopted the PHS COI standards

To access COI resources, including COI training, travel decision tree, user guides and quick references, see the COI Resources page located here:��

PHS and DOE-funded Investigators are required to disclose sponsored or reimbursed travel that is related to their institutional responsibilities. Reimbursed travel involves instances where the Investigator is directly reimbursed by a non-ODU entity for the Investigator’s travel expenses. Sponsored travel involves situations where an Investigator’s travel is paid directly by the external sponsoring entity and is not reimbursed to the Investigator.

There are a number of exceptions to the travel disclosure requirement. Please note, the following��exceptions do not apply to foreign travel��. You are not required to disclose travel that is reimbursed or sponsored by a��domestic:

Federal, state, or local government agency;
institution of higher education as defined at 20 U.S.C. 1001 (a);
academic or teaching hospital;
medical center; or
research institution that is affiliated with an institution of higher education.

ODU Research Foundation’s (the Foundation) policies and procedures require that any financial transaction initiated be done so with appropriate levels of authorization. Signature authority is the responsibility of the designated Principal Investigator on individual project accounts, cost centers, overhead accounts, and discretionary accounts. Co-Principal Investigators have automatic signature authority for projects on which they are so designated. The signature authorization may be delegated to staff or research assistants only upon expressed written approval of the Principal or Co-Principal Investigator.

The ODU Research Foundation��Signature Authorization / Delegation Form��is the mechanism that is used to authenticate or delegate signature authorization. Part A – SIGNATURE AUTHORIZATION is completed for any investigator with an account established at the Foundation. Part A is to be completed only once and becomes a permanent record for signature verification purposes. Part B – SIGNATURE DELEGATION is initiated by the Principal Investigator or Co-Principal Investigator to identify the specific projects or accounts and individuals for which authority is delegated. Limited signature authorization is allowed up to certain dollar limitations designated by the Investigator.

The signature authorization may be delegated for the following functions:

Budget Revisions
Purchase Requisitions
Procurement Card Settlements
Travel and��reimbursement payments
Research Portal Access - Report, Payroll, and Employee Timesheets
Consultant & Honorarium Payments��
Procurement Card Settlements
Vendor Payments

In addition to the delegated authority, Part B is used to grant employee access to reports sponsored projects, discretionary and cost center accounts via the Research Portal. Authorization to create Payroll Authorizations via ePAS can also be designated in this section.

The signature authorization form is located at��here. This fillable form is to be completed with original signatures of designated personnel obtained. The Principal or Co-Principal Investigator can digitally sign the form. The form is to be returned to the Research Foundation via email to��rfpurchashing@odu.edu.��

Signature authorizations will remain in effect until superseded or rescinded by the Principal or Co-Principal Investigator.

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��. 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.

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91��Ƶ 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.

Old Dominion 91��Ƶ Research Foundation has a procurement card program for researchers to use on sponsored program, cost center and discretionary purchases. The purpose of this program is to afford authorized users greater flexibility in making small dollar procurements. The use of a procurement card will in no way change the required documentation for purchases or change any existing procurement policies. The single purchase limit on all credit card purchases is no greater than the monthly card overall limit and not to exceed $2,500.

All purchases made with the procurement card (P-card) are subject to the same guidelines as to reasonableness, allowability and allocability as any expenditure on a sponsored program. Therefore, in order to qualify for a card, a Personal discretionary, Departmental/College discretionary or Center overhead account, or Interim BVHS Guarantee will be designated to cover any unallowable or undocumented purchases made with an individual procurement card.

The guidelines for issuing a procurement card are as follows:

Cards will be issued with credit limits of $500 to $10,000
Requests for credit cards must be made via the��Procurement Card Application
Guarantee accounts will be determined as follows:��Discretionary accounts��–Personal discretionary account or colleague discretionary account administered by the Research Foundation.��Departmental or Overhead accounts��– minimum balance in account – must be greater than twenty percent (20%) of the total of all credit guarantees issued against the account and administered by the Research Foundation. Approval of Department Chair, Dean or Director required.��Interim BHVS Guarantee– To be used by VHS faculty whose research incentive accounts are held at the 91��Ƶ. Approval of BVHS Business Office and Division of Research and Economic Development (DivRED).
Approvals Required:

Discretionary Accounts – Principal investigator on account

Departmental / Overhead Accounts – Department Chair, College Dean, or Center Director

Interim BVHS – BVHS Business Office and DivRED

Cards will be issued in individual cardholder’s name and distributed by the Program Administrator upon receipt of a duly executed ODU Research Foundation��Procurement Card Agreement.

Additional terms and conditions governing the use of an ODU Research Foundation procurement card by the Cardholder include but are not limited to:

Ensuring purchases comply with ODU Research Foundation policies and procedures
Complying with allowable and non-allowable expenditures
Ensuring transactions are within established transaction limits and monthly cycle limits
Do not split orders to avoid issuing a purchase order or exceeding single card transaction limits
Attempt to resolve any billing disputes directly with the supplier
Contacting the Bank of America to file a vendor dispute when a vendor incorrectly charges your card and will not correct the transaction
Contacting the Bank of America Fraud Specialists at 866-500-8262 if you suspect that fraudulent activity has occurred on your account (Notify Program Administrator if fraud has occurred)
Security and safekeeping of the card is the responsibility of the cardholder
I agree to use this Card for approved purchases only and agree not to charge personal purchases. I understand the 91��Ƶ will review the use of this Card and related management reports and take appropriate action based on any discrepancies
I agree not to write down or share my Card’s PIN number with anyone, including my Program Administrator or Bank of America
I will not store my card number on any mobile devices, nor will I utilize any type of mobile payment or digital wallet service such as Apple Pay, Google Pay, Samsung Pay, etc.
I agree to not share my card or card number with anyone other than a vendor I am doing business with. Failure to do so may result in either revocation of my privileges and/or other disciplinary actions
Cardholder must download their monthly statement of a credit card activity from Bank of America via��
Cardholder must provide ODU Research Foundation with a monthly settlement of the card activity designating the projects and object codes to be charged
Cardholder will surrender procurement card to ODU Research Foundation upon termination of employment
Misuse of the card will result in forfeiture of card and required repayment of unacceptable expenditures by ODU employees and possible payroll deduction of Research Foundation employees if not personally reimbursed
There will be a graduated scale for violations that will vary from warnings to permanent revocation of cardholder privileges

Appropriate supporting documentation in the form of original sales receipts, packing lists, credit card slips, etc. is required. The statement along with supporting documentation (receipts) should be scanned into one document and emailed to��RFPcard@odu.edu��by the requested date.

MUST HAVE:

Please make sure make sure you provide a detailed receipt (must have description and amount), all food receipts need a list of people and reason (alcohol must be separated from food charges), all charges must have a project number and if you have a lost receipt provide an explanation. All memberships and subscription need the start and end dates. Regalia is unallowable and will need to be paid back if charged. If statements are not received in time these charges can be charged to the guaranteed account for your card.

Procurement cards require approximately two weeks to process, set-up and issue cards. To obtain an ODU Research Foundation procurement card, complete an application including any required approvals and submit to��RFPCard@odu.edu.

he Old Dominion 91��Ƶ Research Foundation is administered through Bank of America Credit Card Services. The instrument used for this program is a VISA corporate credit card program. Each month the individual cardholder will download a statement of card activity using Global Card Access (.

The cardholder is responsible for downloading the statement, reviewing the card activity and authorizing payment of the current charges. The cardholder is to appropriately code the project number and object code for all charges on the statement. Project numbers and object codes may be recorded directly on the face of the monthly statement, or a��Settlement Sheet��may be used if there is insufficient space on the statement. Appropriate supporting documentation in the form of sales receipts, packing lists, credit card slips, hotel portfolio statements, etc. should be attached to the statement. The statement should be signed by the cardholder and the “Manager Signature” should be the Principal Investigator/Co-Principal Investigator or other individual (not the cardholder) who has procurement card settlement delegation for the listed project(s) on file. Once obtained, please forward to ODU Research Foundation Accounts Payable at��rfinvoices@odu.edu��for processing.��

Please make sure make sure you provide a detailed receipt (must have description and amount). All food receipts need a list of people and reason (alcohol must be separated from food charges), memberships and subscriptions need the start and end dates. Regalia is unallowable and will need to be paid back if charged. If statements are not received in time these charges can be charged to the guaranteed account for your card.

ODU Research Foundation Accounts Payable will process all credit card payments on a monthly basis. Detailed project activity reports will reflect credit card charges as “Bank of America” in the description field with “VISA and month of the statement” indicated in the reference field. Any questions concerning the amounts reflected in the project activity reports may be directed to ODU Research Foundation Accounts Payable at��rfinvoices@odu.edu.

Additional terms and conditions governing the use of an ODU Research Foundation procurement card are:

The single purchase limit on all credit card purchases is $2,000. All purchases made with the procurement card are subject to the same guidelines as to the reasonableness, allowability, and allocability as any expenditure on a sponsored program.
Security and safekeeping of the card is the responsibility of the cardholder.
Misuse of the card will result in the forfeiture and possible payroll deduction of unaccountable expenditures.
Cardholder will attempt to resolve any billing disputes directly with the supplier.
Bank of America Customer Service inquiries may be made to 1-888-449-2273, 24 hours a day.
Cardholder will notify Bank of America immediately if the credit card is lost or stolen. The telephone number to report lost or stolen cards is 1-888-449-2273, 24 hours a day.
Cardholder will surrender procurement card to ODU Research Foundation upon the termination of employment.

Inquiries concerning the ODU Research Foundation Procurement Card Program may be forwarded to��the Program Administrator, Dawn Hamilton, at��shamilto@odu.edu.

The ODU Research Foundation works with Principal Investigators to ensure that Principal Investigators obtain proper authorization for travel and are reimbursed in a timely manner.

All travel expenditures must be specifically authorized in accordance with the sponsoring agency’s rules and regulations. All foreign travel requires prior approval and export control review. Please check with your Grant and Contract Administrator for the specific regulations that apply to your sponsored program. All travel is subject to availability of funds on the particular sponsored program.

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For a copy of the Research Related Travel process, please click��here.��

Any travel out of town for one or more nights and any travel, regardless of duration, requiring the use of a rental car requires advance authorization. Information collected to assign Advance Travel Authorization (ATA) numbers is used to track travel trends and provide our insurance providers with information for risk assessment. The ATA number should be included in all paperwork related to travel expenses including Requisitions and . Please provide your post-award Sponsored Programs representative with a completed Advance Travel Authorization Request Form. The Sponsored Programs representative will review this information and your project then, if appropriate, issue an ATA number.

Conference and registration fees are allowable costs subject to the specific rules and regulations of the sponsoring agency. If you would like the Research Foundation to prepay the registration fees, please complete an ODU Research Foundation Requisition Form and forward it to the Foundation with the appropriate registration form at least ten (10) working days before the fee is due. The Foundation will issue a check and mail it with the registration forms no later than three (3) working days before it is due.

You may also request the registration fee as part of your travel advance. Proof of payment must be provided to be reimbursed for this expense.

Reasonable lodging expenses are an allowable cost, subject to the specific rules and regulations of the sponsoring agencies. The Foundation allows a conference participant to stay in the “conference headquarters” hotel even if other, less expensive, hotels are available.

Special lodging per diems can be authorized by the sponsoring agency and/or the Foundation for unusual travel circumstances. This usually involves extended travel in areas where normal commercial lodging is not available. Lodging per diems may also be appropriate for extended foreign travel. This type of travel needs to be anticipated at the time of proposal submission.

Unless a lodging per diem is authorized by the Foundation in advance, all lodging expenses must be substantiated with an original receipt from the lodging establishment. The receipt needs to provide sufficient detail for the Foundation to determine the cost of the room and any other charges included in the bill.

The Foundation can prepay room deposits using the same procedure described for prepaying registration/conference fees above. You may also request lodging expenses as part of your travel advance. In either case, the original lodging receipt is required as part of the travel settlement.

Per diem is the allowance for meals and incidental expenses (M&IE). The General Services Administration (GSA) establishes per diem rates for destinations within the Continental United 91��Ƶs (CONUS). Please consult��for current per diem rates.

Meals while on out-of-town travel (outside a 50-mile radius of traveler’s normal place of business) are an allowable cost subject to the specific rules and regulations of the sponsoring agency. When on travel status, the traveler can be reimbursed for actual meal expenses, if reasonable and documented by receipts, or for meal expenses using per diem. Only one system may be used while on travel. If traveler requests to be reimbursed for actual costs, receipts for all meals while on travel must be obtained. Travelers will only be reimbursed up to the amount of receipts provided with travel expense reports. No per diem rates will be used if receipts are submitted for actual cost reimbursement.

The per diem rate is calculated at 75 percent of the maximum daily reimbursement (per diem) rates for M&IE on the first and last days of travel. All other travel days are calculated at 100 percent of the maximum daily reimbursement M& IE per diem rate.

The M&IE rates differ by travel location. Please visit��to view your destination(s) to determine which M&IE rates apply. If the city or the county of destination is not listed on the GSA per diem rate page, then the standard CONUS rates must be used. The current standard CONUS rate of $55.00 for meals applies. NOTE: Meals that are furnished, partially or in whole must be deducted from per diem reimbursement claims. The Foundation follows the Federal Code for determining the appropriate per diem rate.

Commercial transportation expense is an allowable cost subject to the specific rules and regulations of the sponsoring agency. All Foundation travel should be procured at the lowest coach or tourist class services available that meet the specific needs of the traveler. First, business class, or comfort upgrade rail or air service is not an allowable cost.

The Research Foundation employs travel services from CI Azumano for Research Foundation business at no out-of-pocket expense to travelers. If you wish to use the services of CI Azumano, please contact them directly. When you contact them, you will need to provide the Advanced Travel Authorization (ATA) number issued by your Research Foundation’s Sponsored Programs Representative. CI Azumano’s contact information: 92 Ballard St, Suite 200, Virginia Beach, Norfolk, VA 23462; (757) 461-0022.��aneary@citravel.com.

Please note that the Federal government requires almost all foreign travel on its sponsored programs to be conducted on U.S. airlines. This rule applies even if the cost is higher and the service less convenient. Foreign travel needs to be anticipated at the time of proposal submission.

The Foundation will reimburse the traveler for actual miles traveled in one’s personal automobile, provided that:

The travel is an allowable cost, subject to the specific rules and regulations of the sponsoring agencies, and
Actual cost does not exceed the lowest tourist or coach commercial air fare.

The Foundation may periodically revise its mileage reimbursement rate. Current rates are listed at the end of this policy. In no case will this rate exceed the mileage reimbursement rate set by the Internal Revenue Service.

The Research Foundation maintains an insurance policy to cover “Hired and non-Owned Autos” rented by authorized individuals for research-related activities through the Research Foundation account. The policy provides for both liability and property damage (collision) coverage for vehicles valued up to $45,000. When renting cars in the United 91��Ƶs it is not necessary to buy the additional damage waiver coverage from the rental car company. The insurance policy does not cover vehicle rentals outside of the United 91��Ƶs. When renting a vehicle in a foreign country, the traveler must purchase insurance when the vehicle is rented.

A DMV information release to ODU Research Foundation will determine either the employee is or is not eligible as a driver with this policy. If not eligible, insurance must be purchased when renting a car, paid at the driver’s expense. Employees must follow all state mandated laws when operating any vehicle owned, leased or rented. All employees are required to wear a seat belt. The use of communication devices when operating any vehicle is strictly prohibited, including cell phones. Authorized drivers must be employees of the ODU Research Foundation to be covered by ODU Research Foundation policies. In all cases, accidents that occur when conducting ODU Research Foundation business must be reported immediately to the ODU Research Foundation Human Resources.

Discounts -If reservations for an Enterprise vehicle are being booked through the on-line registration system for out of area travel, the traveler can get a discounted rate US-wide by entering our corporate account number and pin number where indicated on the reservation process screens.

The Foundation allows the following travel expenses provided that they are reasonable and consistent with the purpose of the travel:

Taxi fares/airport limousine service
Airport parking
One personal long-distance call for each night on travel status
Baggage fees

To obtain a travel advance and/or reimbursement, you must complete ODU Research Foundation’s Travel Advance/Expense Report Form. The top portion must be completed to include beginning and ending dates and times of travel, as well as destination and purpose. For advances, Part A needs to be filled out to include all amounts required in the various expenditure categories, including any miscellaneous items, such as tips for luggage handling, etc. For an advance to be issued, the bottom left portion must be completed including the signature of the traveler as well as the principal investigator responsible for the grant being charged.

The Foundation will reimburse mileage on personal automobiles at $0.655 per mile (effective 1/1/2023).
The Foundation will reimburse mileage on personal automobiles at $0.67 per mile (effective 1/1/2024).
The Foundation will reimburse per diem meal expenses at the daily rate specified for the city of travel destination.
Rates are available on the Web at��. Daily rates are prorated in quarter-day increments based on time of departure and arrival.

ODU RESEARCH FOUNDATION GRANT I.D. NUMBER
The nine-digit ODU Research Foundation project number and travel object code from budget.

CHECK IF FOREIGN TRAVEL
Check here if your travel will take you outside the continental U.S. Consult with your Grant and Contract Administrator concerning any foreign travel.

NAME OF TRAVELER
Place the name of the person who will be traveling in this space.

UIN
Place the UIN of the person who will be traveling in this space.

MAILING ADDRESS
Place the address of the person who will be traveling in this space. You may use either a home or a campus address. This is the address the check will be sent, unless otherwise specified.

PURPOSE OF TRAVEL
Place the reason for your travel in this space.

FROM/DATE
This is the date you will be departing on your travel.

FROM/TIME
This is the time you will be departing on your travel.

TO/DATE
This is the date you will be returning from your travel.

TO/TIME
This is the time you will be returning from your travel

NOTE: Times must be filled in to determine per diem rates.

DESTINATION
The place to which you will be traveling.

COMMON CARRIER
To be used for airplane, train, or bus tickets. These items should be prepaid. Obtain an ATA number from your Grant and Contract Administrator.

MILEAGE
Estimate the number of miles to be driven times the current rate per mile if you are using a personal vehicle. Consult with ODU Research Foundation Accounts Receivable for applicable per mile rate. (Can only process 30 days before travel departure.)

LODGING
Enter costs based on price quote from the hotel or per diem rate will be used for lodging. Hotel rooms can be prepaid. Submit ODU Research Foundation Requisition Form 109.

MEALS
Estimate the cost of meals during your travel. Consult with ODU Research Foundation Accounts Receivable for applicable per diem rate. (Can only process 30 days before travel departure.)

TOLLS/PARKING
Estimate the cost of tolls or parking fees you may incur during your travel. (Can only process 30 days before travel departure.)

TAXI/BUS
Estimate the cost of taxi or bus fares you may incur during your travel. Do not include any bus fare for which an ATA number was issued. (Can only process 30 days before travel departure.)

REGISTRATIONS
All registration fees to conferences, seminars, etc. should be prepaid. Submit an ODU Research Foundation Requisition to Purchase form for fees (ODU Research Foundation Form 109).

OTHER EXPENSES
Estimate the cost of any other expenses for which there is not a specific line on this form that you may incur during your travel.

ADVANCE REQUESTED
Total of all amounts listed above.

RECEIPT OR TICKET REQUIRED

Use this line if you used a common carrier and no ATA number was issued. A copy of a paid receipt must accompany this form.
___ #MI@ ___/#MI

Multiply actual total miles driven by per mile rate. Consult with ODU Research Foundation Accounts Receivable for per-mile rate.

HOTEL RECEIPTS REQUIRED
Attach all itemized hotel receipts received during your travel, even if per diem rate for lodging was initially used to obtain advance.
# MEALS _______ RECEIPTS REQUIRED

Attach all meal receipts received during your travel if per diem rate was not used. If the per diem rate was used, no receipts are required. Indicate the per diem amount that is justified based on actual time of departure and actual time of return.

TOLLS / PARKING – RECEIPTS ATTACHED
Attach all other receipts pertaining to tolls/parking expenses.

TAXI / BUS – RECEIPTS ATTACHED
Attach all other receipts pertaining to taxi/bus expenses.

REGISTRATIONS – RECEIPTS ATTACHED
Attach all other receipts pertaining to registrations paid while on travel.

OTHER EXPENSES – RECEIPTS REQUIRED
Any additional expenditures listed as “other” must be verified with paid receipts.

TOTAL TRAVEL EXPENSES
Total amount of all items listed above.

PART C. TRAVEL SETTLEMENT SECTION

TOTAL TRAVEL EXPENSES
Total of Part B.

ADVANCE REQUESTED
Total of Part A.

BALANCE FOR SETTLEMENT
Difference between total advance and total expenses.

DUE ODU RESEARCH FOUNDATION
If the amount of your advance is greater than your total expenses, place that amount here. This is the amount you will return to ODU Research Foundation at the time you settle your advance

DUE TRAVELER
If the amount of your total expenses is greater than your advance, place that amount here. This is the amount you will be refunded by ODU Research Foundation.

Do not use the areas in the right half of this section. They are for ODU Research Foundation USE ONLY!

SIGNATURE OF TRAVELER
The person who actually will be traveling must sign the left-hand side at the time an advance is requested. The right-hand side must be signed at the time the advance is settled.

SIGNATURE OF PRINCIPAL INVESTIGATOR
The signature of the principal investigator in charge of the project to which travel will be charged. Principal investigators traveling under their own projects need only sign under APPROVALS. Again, only sign the left side for an advance, the right side to settle.

EXECUTIVE DIRECTOR

This signature is required only for travel by ODU Research Foundation core staff.

NOTE:
All travel advances are to be settled within 10 days of return date. No new advance will be issued until all outstanding advances are settled.

Export Control

It is the policy of the Old Dominion 91��Ƶ Research Foundation to comply with all United 91��Ƶs export control laws and regulations, including the US Department of Commerce’s Export Administration Regulations (EAR) and the US Department of 91��Ƶ’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 91��Ƶ 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��for additional information and definitions of other key terms.

EXPORT

The term��“E��ǰ��”��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 91��Ƶs -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 91��Ƶs Munitions List (USML) at 15 CFR § 774, Supp. 1 of the International Trafficking In Arms Regulations (ITAR).

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Any Research Foundation employee or member of the 91��Ƶ 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 91��Ƶ’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.

For more information on export controlled activities, see��Export Control Activities in research.��

(91��Ƶ Faculty Handbook,��Faculty Research and Development Assignments, page 308)��
A. The Principal Investigator (PI) is the lead person on the research project and is responsible for the
ethical and professional conduct of all aspects of the project. In the case of doctoral students as the PI, this responsibility falls to the supporting faculty member.

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All full-time faculty members, self-supporting research professionals, or new faculty who have signed full-time contracts are eligible to be Principal Investigators.
Administrators holding the titles of vice president, associate vice president, assistant vice president, vice provost, dean, university librarian, associate dean, assistant dean, and emeritus full and associate professor may be named as PI on projects directly related to the mission and responsibilities of their offices.
Doctoral students seeking funding for fellowships, tuition, or support of research leading to the dissertation may be named as PI when a full-time teaching or research faculty member is named on the project as the responsible PI. The faculty member is responsible for seeing that the terms of the grant or contract are fulfilled.
Persons holding the following titles in the absence of a faculty appointment as noted above are not eligible to be a PI: director, associate director, assistant director, postdoctoral associate, visiting professors at all levels, and research associates at all levels.
1. Requests for exceptions for those within Academic Affairs can be made by the unit head with written approval of the college dean and the provost and vice president for academic affairs. For those in areas other than Academic Affairs, it will require that such an application for an exception has been recommended by the unit head and approved by the corresponding vice president. All requests must be accompanied by the curriculum vitae of the prospective investigator.
2. The Research Foundation will maintain a list of non-faculty individuals who have been granted permission to submit proposals. The list will note if permission was given on a one-time-only basis or for a more extended period of time. This list will be reported to the provost and vice president for academic affairs, vice president for research, and deans annually.

-Approved by the president
August 21, 2003
Revised July 17, 2006
Revised March 8, 2013