Services of Research and Sponsored Programs October 27, 2010

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

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

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

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

Research Incentive Program Research Initiation Grant Awards FY2010  32 proposals submitted  6 funded  Total dollars awarded--$56,496

Research Incentive Program Research Initiation Grants FY2010 Sample Award Titles “Advanced Energy System Transient Analysis Tool Development” “Evolution of AAV Vectors for HIV Infected Cells” “Global Warming Potential of a Wetland Mitigation Bank in Southwest Ohio”

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

Research Incentive Program Professional Development Grant Awards FY2010  12 proposals submitted  6 funded  Total dollars awarded--$17,550

Research Incentive Program Professional Development Grants FY2010 Sample Award Title “Caucasian Borderlands: The Origin of Russia’s Empire in the Caucasus, ” Completion of Research in Berlin and Munich for Major Book about Bertolt Brecht, Entitled Acting Brecht”

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

WSU Grants & Contracts Awarded by Sponsor FY Total with Stimulus: $94,111,241 Actual Total: $81,123,292

WSU Grant and Contract Awards by Function – FY

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

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

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

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

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

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

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

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

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

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!

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

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

Break Please rejoin us in 10 minutes.

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

Compliance Overview IRB Local body charged by the Federal government to oversee human subjects research (45 CFR Part 46) * Guidelines and petitions found under “Human Subjects” at RSP’s homepage What is an IRB?

Compliance Overview IRB To review research and to ensure the rights and welfare of human subjects involved in research are adequately protected. Researchers are qualified to research involving human subjects. Subjects are fully aware of the study’s parameters and their role. Purpose of an IRB?

Compliance Overview IRB A living individual about whom an investigator conducting research obtains –Data through intervention or interaction with the individual, or –Identifiable private information. What is a Human Subject?

Compliance Overview IRB Full Board –More than minimal risk. –Minimal risk study that does not qualify for Expedited Review. –Review both Biomedical/Social Behavioral research. Levels of IRB Review

Compliance Overview IRB Expedited –Subcommittee of the full board (Advisory body) –Minimal risk only –Must meet one or more of the 9 federally- defined expedited categories Levels of IRB Review

Compliance Overview IRB Exempt –Exempt from federal regulations –The IRB Chair (not investigators) must certify that the research qualifies as exempt Levels of IRB Review

Compliance Overview IRB –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 When Do They Meet?

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

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

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:// “Policies and Procedures” on RSP homepage at )

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.

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.

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 )

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.

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.

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:

Compliance Overview Responsible Conduct of Research WSU’s Institutional Plan available at: Training opportunities Sponsor guidance Resources PI and RSP responsibilities

Compliance Overview Responsible Conduct of Research What is RCR? –“In general terms, responsible conduct in research is simply good citizenship applied to professional life.” –Encompasses several topic areas Source material: (ORI, Introduction to the Responsible Conduct of Research, Nicholas H. Steneck)

Compliance Overview Responsible Conduct of Research Authorship and Publication –Authorship limited to individuals who make significant contributions to reported work. –Published works accurately report results fully and fairly. Describe methods, results, and discussion.

Compliance Overview Responsible Conduct of Research Collaborative Research –Requires effective communication of: Goals and outcomes Roles Data collection and data sharing Changes in research design Ownership and Intellectual Property distribution Criteria to rank authors

Compliance Overview Responsible Conduct of Research Data Management Practices –Ownership –Collection –Storage –Sharing

Compliance Overview Responsible Conduct of Research Mentor and Trainee Responsibilities –Clearly understand mutual responsibilities –Maintain productive and supportive research environment –Proper supervision and review –Trainees are preparing for their roles as successful researchers

Compliance Overview Responsible Conduct of Research Peer Review –To be effective, must be Timely Thorough Constructive Free from personal bias Respectful of the need for confidentiality

Compliance Overview Responsible Conduct of Research Conflict of Interest –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.

Compliance Overview Responsible Conduct of Research –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.

Compliance Overview Responsible Conduct of Research WSU Conflict of Interest Policy: ** Accessed through the “Conflict of Interest” link under “Policies & Procedures” on RSP’s homepage

Compliance Overview Responsible Conduct of Research Research Misconduct –Fabrication Making up data or results –Falsification Manipulating research materials, changing or omitting data or results –Plagiarism Appropriating another’s words, processes, ideas, without due credit

Compliance Overview Responsible 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. Provides guidance for reporting and investigating allegations plus protection for whistleblowers

Compliance Overview Responsible Conduct of Research Protection of human subjects Laboratory animal welfare Laboratory safety

Compliance Overview Responsible Conduct of Research Upcoming Workshops Research Misconduct: January 24, 2011: 12 noon –163 Student Union Introduction to RCR: February 14, 2011: 12 noon –365 Joshi See:

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: Reid Smith, 180 Joshi, ext. 4277

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 –Anti-Lobbying Certifications –Civil Rights and Equal Employment Compliances –Environmental Compliances –Americans with Disabilities Act –Compliance Non-delinquency of Federal Debt –E-Verify

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

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 Kim Owens– Grants Accountant Elaine Davis – Grants Accountant Aja Ash – Grants Accountant

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.

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

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.

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.

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.

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.

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.

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.

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.

Post Award Administration Future Federally Negotiated F&A Rates* Research On Campus – 46% Off Campus – 26% Other Sponsored Activity On Campus – 35% Off Campus – 26% * Future rates are effective from 7/1/11 – 6/30/13.

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.

Post Award Administration Link to PowerPoint Post Award Training – –Federal Audit compliance –Cost Transfers –Cost Share –Direct vs Indirect Cost

OTTAD Technology Transfer & Development Reid Smith Director, Technology Transfer and Development – x 4277

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

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.)

90-10 split split Technology Transfer (cont.)

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.

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!

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

Boonshoft School of Medicine Office of Research Affairs Robert E.W. Fyffe Ph.D. Associate Dean Mark Willis Research Coordinator tel

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

Other support Grants Consulting: Research Enterprise: Central Research Forum:

Divisions, Institutes & Centers: Center for Genomics Research Center for Global Health Systems, Management & Policy Center for Healthy Communities WSU & PHP Neuroscience Institute Center for Interventions, Treatment & Addictions Research (CITAR) Lifespan Health Research Center National Center for Medical Readiness Proteome Analysis Laboratory [ Center for Genomics Research Center for Global Health Systems, Management & Policy Center for Healthy Communities WSU & PHP Neuroscience Institute Center for Interventions, Treatment & Addictions Research (CITAR) Lifespan Health Research Center National Center for Medical Readinesshttp://

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

Research in Medical Education Research Learning Community: Translational Research Lecture Series: Medical Student Research Club:

Questions? Thank you for coming!