University Policies ▸

-links to the UofL Research and Innovation Policies and Procedures section. Information pertinent to the College of Arts and Sciences are described and linked below.

The Institutional Compliance Office has created a University Policy and Procedure Library. Follow this link to the Research Policies and Procedures section of the Library.

Guidelines for Comparing FWLA to Effort Commitments ▸

NIH Cap Policy ▸

There is a legislatively mandated a limitation on direct salary an individual may receive on certain federally sponsored projects, including DHHS/NIH programs. As stated in Section 202 of the Consolidated Appropriations Act, 2017 (Public Law 115-31):  “none of the funds appropriated in this title shall be used to pay the salary of an individual, through a grant or other extramural mechanism, at a rate in excess of Executive Level II.” The current salary cap is $212,100. This rate is based on a 12 month appointment and translates to $17,675/month. For faculty on 9 month appointments, the salary cap is $159,075. This rate needs to be used in calculating the appropriate salary that can be charged directly to DHHS/NIH sponsored projects. Salary “over the cap” needs to be captured and tracked in a separate cost share account and funded from an unrestricted source. The salary cap information is available on Sponsored Programs Administration’s (SPA) website in the following sections:
- a link to SPA Training section
- a link to SPA's homepage - click on “Quick Links”
- a link to SPA's Proposal Preparation section

Conflict of Interest Program ▸

All staff and faculty are required to complete an Attestation and Disclosure Form (ADF) on an annual basis according to UofL policy.  The first part relates to the code of conduct and the second part refers to financial interests related to potential conflicts of interest. It only takes a few minutes to complete unless you have significant financial interests to report. The A&S Research Office sends a reminder email to faculty and staff when it is time to complete a new ADF. Scroll down to view a video about how to successfully log in to iRIS and submit an ADF on the Conflict of Interest Program's website.

Sponsoring Visiting Students for Research Purposes▸

A&S faculty may serve as mentors and hosts for non-enrolled students. This section of the Research and Innovation website addresses the issues and authorizations that should be sought when hosting students who are not enrolled or employed by the University for their activities. The A&S process for requesting secured access and access to specialized resources is as follows. Faculty Mentors in the College of Arts and Sciences complete the Campus Card Request Form (Word document) linked here and email to Holly Hogue in the A&S Research Office. Holly will print the request on Dean's Office letterhead, obtain the Dean's signature and send a scan of the signed letter to be taken to the Campus Card office in the lower level of Houchens. If the student will need to access the Shumaker Research Building, a Proximity ID card must be requested. Inform Holly about the student needing access to Shumaker when the request form is submitted so that the correct ID card can be issued. Please visit the Research and Innovation website to download the required forms and review the policies.