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Services of Research and Sponsored Programs October 14, 2009.

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Presentation on theme: "Services of Research and Sponsored Programs October 14, 2009."— Presentation transcript:

1 Services of Research and Sponsored Programs October 14, 2009

2 Jackie Frederick Director, Pre-Award Services Ext Internal Funding Opportunities

3 Does WSU offer its own small grants program for new faculty?

4 Research Incentive Program Supports research and other scholarly activities.  Research Initiation Grants  Professional Development Grants See: Click on: “Internal Funding Programs”

5 Research Incentive Program  Research Initiation Grants – Purpose: To provide seed funding for new research efforts to attract external funding – Eligibility: Fully-affiliated faculty (other than Boonshoft School of Medicine) – Maximum award: $10,000 – Annual Winter quarter competition

6 Research Incentive Program Research Initiation Grant Awards FY2009  15 proposals submitted  8 funded  Total dollars awarded--$70,000

7 Research Incentive Program Research Initiation Grants FY2009 Sample Award Titles “The Londeix Lectures: Creating Digital Archives of a Master” “Bent Functions and Their Applications in Coding Theory” “Analyzing the Effects of Aisle-Width on Space and Throughput Designing Distribution Centers in Supply Chains”

8 Research Incentive Program  Professional Development Grants – Purpose: To provide seed funding for more general, diverse scholarly activities – Eligibility: Fully-affiliated faculty (other than Boonshoft School of Medicine) – Maximum award: $3,000 – Annual Winter quarter competition

9 Research Incentive Program Professional Development Grant Awards FY2009  3 proposals submitted  1 funded  Total dollars awarded--$3,000

10 Research Incentive Program Professional Development Grants FY2009 Sample Award Title “Attending Structural Equation Modeling Training Program at the ICPSR Summer Program Quantitative Research Methods”

11 External Funding Opportunities Brandy Foster Associate Director, Pre-Award Services Ext. 2423

12 WSU Grants & Contracts Awarded by Sponsor FY Total: $74,383,725

13 WSU Grant and Contract Awards by Function – FY

14 External Funding Opportunities-- Workshops/Training Faculty Orientation Subject-specific training/classes One-on-one consultation Proposal Writing Workshop Funding Opportunities Workshop Grants.gov

15 External Funding Opportunities-- Where to begin?  Faculty Interest Profile*  Web-based Tool: – COS (Includes CBD and Federal Register)  Other Resources: – Links under “Proposal Preparation” *Found at

16 External Funding Opportunities-- RSP Publications  “Research News” (Web) Published 3 times/year  RSP Annual Report Research News Research Challenge Awards Announced

17 External Funding Opportunities--Web tool  COS (Community of Science)  RSP home page: Search COS Funding Opportunities

18 Pre-Award Services Jackie Frederick, Director Brandy Foster, Associate Director Marianne Shreck, Assistant Director Sheila Schloss, Assistant Director

19 Proposal Preparation Budgets? Cost sharing? Certifications? Forms? Signatures? RSP is here to help.

20 Proposal Preparation  Guidance on Funding Sources  Application Packages and Guidelines – Electronic versus paper – Direct links to sponsor forms/sites  Liaison with Institutional Support Committees –Institutional Review Board (IRB) –Laboratory Care and Animal Use (LACUC) –Institutional Biosafety Committee (IBC)  Interpretation/Use of Sponsor Guidelines

21 Proposal Preparation  Budget Preparation – Salaries and fringe benefits – Other budget requirements – Facilities & Admin (F&A) Costs – Cost share budgets – Tuition scholarship policy – Single/Multiple year budgets – Compliance with guidelines

22 Proposal Preparation  Review Standard Forms –Complete? Accurate?  Assure Proper Administrative Designations –Grants/Contracts awarded to Institution  Assure Proper Research Committee Authorizations –IRB, LACUC, IBC  Secure proper authorizations –Internal routing Note: Ellen Reinsch Friese is the authorized signatory official for WSU

23 Proposal Preparation-- Routing Minimum required for routing: –Proposal title and Abstract/Project Summary –Final budget (sponsor and cost share, if applicable) and budget justification Pre-Award prepares for signature: –Authorization to Seek Off-Campus Funds –Conflict of Interest Statement –Other administrative forms/letters of intent The Goal: –Route before proposal submission!

24 Proposal Preparation  Getting the proposal out the door. –Check for completeness –Monitor assembly –Copy and mail (UPS) or Electronic Submission - Grants.gov -NSF FastLane -Other e-systems RSP tracks FedEx and/or electronically submitted applications to confirm sponsor receipt

25 Proposal Preparation  As appropriate, conduct negotiations on behalf of the university  Budget  Publication Rights  Intellectual Property Rights  Indemnification  Confidentiality

26 Institutional Compliance Ellen Reinsch-Friese Asst. Vice President for Research Robyn Wilks, IRB Coordinator Chris Piekkola, Programs Facilitator, LACUC and IRB Aja Ash, Program Coordinator, IRB

27 Compliance Overview ♦ What are “compliance” activities? ♦ Why should the investigator and the university be concerned?

28 Institutional Review Board What is the IRB? ♦ Local body charged by Federal government to oversee institution’s human subjects research (45 CFR Part 46) ♦ Basic mandate: protect human subjects ♦ Authority to approve, disapprove and require modification to all institution’s human subjects protocols

29 Purpose of the IRB ♦ The purpose of an IRB is to review research and to ensure the rights and welfare of human subjects involved in research are adequately protected. ♦ That researchers are qualified to conduct research involving human subjects. ♦ That subjects are fully aware of the study’s parameters and what role they (and/or their data) play.

30 Levels of IRB Review Full Board –More than minimal risk –Minimal risks studies that don’t qualify for Expedited Review –Review both Biomedical/Social Behavioral Research

31 Levels of IRB Review Expedited Review Advisory Committee –Standing Subcommittee of the Full Board –Advisory body to the Full Board –Minimal risk –One or more of 9 federally-defined expedited categories Exempt Studies –Some research is “exempt” from federal regulations, but the IRB Chair (not investigators) must certify that the research qualifies as “exempt”

32 When Do They Meet? –Full Board: Monthly (3 rd Monday) 8 working days before meeting –Expedited Advisory Review Committee: Bi-weekly 5 working days before meeting –Exempt: No meeting. Decision within a week of submission

33 What to Submit IRB Petition Summary –Limitation requirements in petition instructions Consent form/Cover Letter Supporting Documents –Permission letters –Questionnaires –Interview questions –Advertisements –Debriefing document

34 Additional Information Required Training –CITI (Collaborative Institutional Training Initiative)  Human Subjects Protections  Biomedical/Social Behavioral  Good Clinical Practice (GCP)  Health Information Privacy and Security (HIPS) –Refresher Course

35 Additional Information Where to find information –Human Subjects Website Standard Operating Procedures

36 Compliance Overview LACUC Laboratory Animal Care & Use Committee (LACUC) * What is an animal? All vertebrate animals involved in research, testing, and teaching * Guidelines and petitions found under “Human Subjects” or “Laboratory Animals” links at RSP’s homepage (or throughhttp://www.wright.edu/rsp/ “Policies and Procedures” on RSP homepage at )http://www.wright.edu/rsp/policies.html

37 Compliance Overview LACUC LACUC Mission Statement: –Assure that all activities involving animals meet the ethical and legal requirements for their humane care and use. –Maintain and promote an open and cooperative relationship with investigators, faculty, and the greater University community. –Educate the WSU community concerning the ethical and regulatory considerations for the humane care of animals.

38 Compliance Overview LACUC LACUC –All use of vertebrate animals in research, testing or teaching must be approved by the LACUC prior to commencement of the project. –Requires veterinarian review and consultation prior to submission of protocol to RSP.

39 Compliance Overview IBC  Institutional Biosafety Committee (IBC) * Oversees the safe and ethical use of: --Recombinant DNA (rDNA) and – Biohazardous agents – Biohazardous agent is an infectious agent or other substance produced by a living organism that causes disease in another living organism. * Guidelines and petitions found under “Biohazards” link at RSP’s homepage (or through “Policies and Procedures” on RSP homepage at )

40 Compliance Overview IBC IBC Mission Statement: –Assure that all activities involving recombinant DNA and biohazardous agents meet the ethical and legal requirements for the responsible use of these agents. –Establish policies and make recommendations to the University regarding such activities. –Maintain and promote an open and cooperative relationship with investigators and the WSU community. –Educate the WSU community concerning the regulatory requirements for the use of these agents.

41 Compliance Overview IBC IBC –Anyone intending to perform activities involving recombinant DNA or biohazardous agents must submit a protocol to the IBC for consideration. –Requires Institutional Biosafety Officer review and consultation prior to submission of protocol to RSP.

42 Compliance Overview Other Safety Programs Other WSU Safety programs; e.g., Radiation Safety, Occupational Safety and Health, etc., are administered by Environmental Health and Safety. Resources may be found at:

43 Compliance Overview Conflict of Interest Conflict of Interest Policy –Purpose: to protect the integrity of the design, conduct, and reporting of project activities by effectively managing, reducing, or eliminating those significant financial interests which cause or appear to cause a conflict of interest on the part of an investigator. –Required by federal regulations to collect data and manage Conflicts.

44 Compliance Overview Conflict of Interest –Disclosure process included in proposal routing at Pre-Award stage. –“Significant” perceived conflict triggered by information contained in Financial Interest Disclosure Form. –May require Conflict of Interest Management Plan.

45 Compliance Overview Conflict of Interest WSU Conflict of Interest documents available on the World Wide Web ** -WSU Policy -Conflict of Interest Statement -Financial Interest Disclosure ** Accessed through the “Conflict of Interest” link under “Policies & Procedures” on RSP’s homepage

46 Compliance Overview Ethical Standards in the Conduct of Research Wright Way Policy no Purpose: to maintain the highest standards and to establish institutional policies that provide a conspicuous and understandable mechanism for dealing with instances of alleged misconduct. WSU’s Ethical Standards in the Conduct of Research policy is available at:

47 Compliance Overview Ethical Standards in the Conduct of Research Upcoming Workshops November 5, 2009: 11:30 a.m.-12:30 p.m. –163 Student Union (Faculty) November 18, 2009: 11:30 a.m.-12:30 p.m. –E156 Student Union (Students) January 11, 2010: 11:30 a.m.-12:30 p.m. –E156 Student Union (Faculty) January 20, 2010: 11:30 a.m.-12:30 p.m. –163 Student Union (Students)

48 Compliance Overview Export Control “Export Controls” refers collectively to those U.S. laws and regulations that govern the transfer of controlled information or technologies to foreign nationals and/or foreign countries. Clause found in sponsored research agreements, often with the Dept. of Defense Pre-Award staff will route a “Certification on the Handling of Export Controlled Information” to affected faculty and staff. WSU’s Export Control Officer: Connie Dudley, J.D., 181 Joshi, ext. 4280

49 Compliance Overview Other Source of Information In addition to the compliance activities in which RSP has a direct involvement (either through coordination or liaison), we are the "information clearinghouse" regarding the following miscellaneous compliance/assurance requirements: –Drug-Free Workplace –Debarment or Suspension –Scientific Fraud and Misconduct –Anti-Lobbying Certifications –Civil Rights and Equal Employment Compliances –Environmental Compliances –Americans with Disabilities Act –Compliance Non-delinquency of Federal Debt

50 Compliance Overview SUMMARY Principal Investigators are responsible for obtaining the necessary reviews and approvals RSP is responsible for assuring that these approvals have been secured prior to SUBMISSION OF THE PROPOSAL or, if allowable, PRIOR TO PROJECT INITIATION

51 Post-Award Administration Post Award Personnel Glen Jones - Director, Post Award Services Yun Wu – Associate Director Danielle Booth – Grants Accountant II Gene Florkey – Grants Accountant John Wedig – Grants Accountant Elaine Davis – Grants Accountant Aja Ash – Records Technician II

52 Post Award Administration What Happens Once Award is Funded? A Grant Fund is assigned in Banner for the award. The award is processed in Filemaker and Banner. The budget is added to Banner. The PI is notified of the grant number. The PI is sent the award packet.

53 Post Award Administration Award Packet Award Letter Copy of Award Budget Salary Letter

54 Post Award Administration Subcontracts Negotiate Subcontracts. Initiate Requisition for Subcontract PO. Send Invoices for PI Approval. Provide AP with FOAP to process invoices. Request A-133 confirmations from Subs.

55 Post Award Administration Expenditure Monitoring Review and approve all expenses on grants $5,000 or greater. Approve all requests for procards on grants. Monitor expenses less than $5,000 via exception reports.

56 Post Award Administration Mandatory and Committed Cost Sharing Set up Activity code in Banner for Cost Share. Set up Cost Share Orgn if necessary. Provide information for cost sharing effort on the quarterly effort report. Document all cost share for audits and reports.

57 Post Award Administration Grant Administration Request budget revisions/modifications. Request No-cost extensions. Monitor status of non-financial reports. Send reminders to PI for report due dates. Complete Invention, Property and Close-out Reports. Act as liaison between sponsor and PI.

58 Post Award Administration Cash Management of Grants Deposit all funds received by RSP for grants. Invoice sponsors. Request draws for letter-of-credit grants. Reconcile Grant Payment Clearing Fund. Follow-up on outstanding receivables. Write off bad debts.

59 Post Award Administration Financial Reporting Prepare all quarterly SF272 reports. Prepare all annual SF269 reports. Prepare all Final SF272 & SF269 reports. Prepare all FERs for ODE grants. Prepare grant specific financial reports as needed.

60 Post Award Administration Current Federally Negotiated F&A Rates* Research On Campus – 45% Off Campus – 26% Other Sponsored Activity On Campus – 35% Off Campus – 26% * Current rates are effective from 7/1/09 – 6/30/11.

61 Post Award Administration Grant Close-outs Initiate Final Billing. Initiate Final Reporting. Initiate Cost Overrun entries as needed. Initiate Residual entries as needed. Initiate Budget Reduction Entries as needed. Submit All financial and close-out reports. Terminate grant funds when grant balance is zero and all reports have been submitted.

62 Technology Transfer & Development Connie Dudley, J.D. Director, Technology Transfer – x 4280 Reid Smith Sr. Licensing Associate – x 4277

63 So What Does OTTAD Handle??? Non-Disclosure Agreements (NDAs) Material Transfer Agreements (MTAs) Commercialization Plans Inter-Institutional Agreements Invention Disclosures Patents, Copyrights & Trademarks Spin-Offs/Start-Ups Technology Transfer

64 So WHY do I need to work with OTTAD? Royalty income supports research; university wide and in your lab. Royalty incentives spur innovation and connect basic research to practical “real world” applications. You can exercise your entrepreneurial chops with a dedicated support team to guide you. University policy and state law provide a mechanism and framework for creating value from IP that benefits the institution and the inventor. Technology Transfer (cont.)

65 90-10 split split Technology Transfer (cont.)

66 Common Misconceptions : “OTTAD is just a speed bump…” NO! We work hard to make sure that your research doesn’t grind to a halt because of unforeseen problems (when the honeymoon ends). We work with you early on to avoid any unnecessary delays later.

67 Technology Transfer (cont.) Common Misconceptions : “OTTAD just does patents” Not at all! We help you engage with a wide variety of partners via transactions that assist in moving your technology and ideas toward commercialization. We help you connect!

68  FIND US ON THE WEB  You’ll find:  Information  Policies and Forms  Interesting Links Technology Transfer (cont.)

69 Boonshoft School of Medicine Office of Research Affairs Associate Dean Robert E.W. Fyffe PhD tel

70 Seed Grant Programs in Boonshoft School of Medicine BSOM Seed Grant Programs: Early Stage Investigator (ESI) Emerging Science (ES) Medical Education Genomics

71 Other support Grants Consulting: Research enterprise: Central Research Forum:

72 Divisions, Institutes & Centers: Center for Genomics Research Center for Global Health Systems, Management & Policy Center for Healthy Communities Comprehensive Neuroscience Center Center for Interventions, Treatment & Addictions Research (CITAR) Lifespan Health Research Center National Center for Medical Readiness Proteome Analysis Laboratory [http://www.med.wright.edu/pal/] Center for Genomics Research Center for Global Health Systems, Management & Policy Center for Healthy Communities Comprehensive Neuroscience Center Center for Interventions, Treatment & Addictions Research (CITAR) Lifespan Health Research Center National Center for Medical Readinesshttp://www.med.wright.edu/pal/

73 NIH New Investigator Programs: NIH Roadmap for Medical Research: Funding Opportunities:

74 Questions? Thank you for coming!


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