Post on 25-May-2015
Services of
Research and Sponsored Programs
October 27, 2010
Jackie Frederick
Director, Pre-Award Services Ext. 2664
Internal Funding Opportunities
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 GrantsProfessional
Development Grants
See: www.wright.edu/rsp/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 FY201032 proposals submitted
6 funded
Total dollars awarded--$56,496
Research Incentive Program
Research Initiation Grants FY2010Sample 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 FY201012 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, 1500-1800”
• Completion of Research in Berlin and Munich for Major Book about Bertolt Brecht, Entitled Acting Brecht”
External Funding Opportunities
Brandy FosterAssociate Director, Pre-Award
Ext. 2423
WSU Grants & Contracts Awarded by Sponsor
FY 2009-2010
Total with Stimulus: $94,111,241 Actual Total: $81,123,292
Federal Agencies47.7%
State Agencies31.1%
Industry/Business6.4%
Non-Profits5.6%
Educational Institutions7.8%
Other Government Agencies1.1%
Foreign Sponsors0.2%
Multiple Source0.0%
Awards by Major Funding Source FY10
WSU Grant and Contract Awards by Function –
FY 2009-2010
Development
Instruction
Public Service
Institutional Support
Student Aid
Research
$0 $5 $10 $15 $20 $25 $30 $35 $40
Awards by Type of Activity FY10(in millions)
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 <http://www.wright.edu/cgibin/profile.pl>
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: http://www.wright.edu/rsp
Search COS Funding
Opportunities
Pre-Award Services
Jackie Frederick, DirectorBrandy Foster, Associate Director
Marianne Shreck, Assistant DirectorSheila Bensman, Assistant Director
Proposal Preparation
Budgets?
Cost sharing?
Certifications?
Forms?Signatures?
RSP is here to help.
Proposal Preparation
Guidance on Funding SourcesApplication 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
BreakPlease 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 OverviewIRB
• 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
<http://www.wright.edu/rsp/subjects.html>
What is an IRB?
Compliance OverviewIRB
• 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 OverviewIRB
• 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 OverviewIRB
• 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 OverviewIRB
• 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 OverviewIRB
• Exempt – Exempt from federal regulations– The IRB Chair (not investigators) must
certify that the research qualifies as exempt
Levels of IRB Review
Compliance OverviewIRB
– Full Board: Monthly (3rd 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 OverviewIRB
• 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 OverviewIRB
– CITI (Collaborative Institutional Training Initiative)Human Subjects Protections
Biomedical/Social BehavioralGood Clinical Practice (GCP)Health Information Privacy and Security
(HIPS)– Refresher Course
Training
Compliance OverviewLACUC
• 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
<http://www.wright.edu/rsp/> (or through
“Policies and Procedures” on RSP homepage at
<http://www.wright.edu/rsp/policies.html>)
Compliance OverviewLACUC
• 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 OverviewLACUC
• 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 OverviewIBC
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<http://www.wright.edu/rsp/> (or through
“Policies and Procedures” on RSP homepage at<http://www.wright.edu/rsp/policies.html>)
Compliance OverviewIBC
• 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 OverviewIBC
• 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 OverviewOther 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:
http://www.wright.edu/admin/ehs/
Compliance OverviewResponsible Conduct of Research
• WSU’s Institutional Plan available at: http://www.wright.edu/rsp/rcr.html
• Training opportunities• Sponsor guidance• Resources• PI and RSP responsibilities
Compliance OverviewResponsible 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 OverviewResponsible 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 OverviewResponsible 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 OverviewResponsible Conduct of Research
• Data Management Practices– Ownership– Collection– Storage– Sharing
Compliance OverviewResponsible 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 OverviewResponsible Conduct of Research
• Peer Review– To be effective, must be
• Timely• Thorough• Constructive• Free from personal bias• Respectful of the need for
confidentiality
Compliance OverviewResponsible 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 OverviewResponsible 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 OverviewResponsible Conduct of Research
WSU Conflict of Interest Policy:
http://www.wright.edu/rsp/conflict.html
** Accessed through the “Conflict of Interest” link under“Policies & Procedures” on RSP’s homepage
Compliance OverviewResponsible 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 OverviewResponsible Conduct of Research
• Wright Way Policy no. 2101– http://www.wright.edu/wrightway/2101.html
• 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 OverviewResponsible Conduct of Research
• Protection of human subjects• Laboratory animal welfare• Laboratory safety
Compliance OverviewResponsible 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: http://www.wright.edu/rsp/rcr.html
Compliance OverviewExport 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 OverviewOther
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 forobtaining 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– http://www.wright.edu/rsp/office.html– 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 • 50-50 split
Technology Transfer (cont.)
90-10 NET royalty split
Inventor90%
Tech Transfer
10%
Inventor Tech Transfer
50-50 Gross Royalties Split
Tech Transfer
50%
Personal Income50%
Personal Income Tech Transfer
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
www.wright.edu/techtransfer
You’ll find:InformationPolicies and FormsInteresting Links
Technology Transfer (cont.)
Boonshoft School of MedicineOffice of Research Affairs
Robert E.W. Fyffe Ph.D. Associate Dean
Mark WillisResearch Coordinator
mark.willis@wright.edutel. 937 775 3814
Seed Grant Programs in Boonshoft School of Medicine
http://www.med.wright.edu/ra/grants/index.html
2011 BSOM Seed Grant Programs:
Early Stage Investigator (ESI)
Emerging Science (ES)
Medical Education
Genomics
Other support
Grants Consulting:
http://www.med.wright.edu/ra/grants/grants_consulting.html
Research Enterprise:
http://www.med.wright.edu/ra/re/
Central Research Forum:
http://www.med.wright.edu/ra/2010/crf.html
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 [http://www.med.wright.edu/pal/]
NIH
New Investigator Programs:
http://grants.nih.gov/grants/new_investigators/index.htm
NIH Roadmap for Medical Research:
http://nihroadmap.nih.gov/
Funding Opportunities:
http://grants.nih.gov/grants/oer.htm
Research in Medical Education
Research Learning Community:
https://www.medu.wright.edu/rlc
Translational Research Lecture Series:
https://www.medu.wright.edu/rlc/translational_2010
Medical Student Research Club:
https://www.medu.wright.edu/rlc/research_club
Questions?
Thank you for coming!