OCTOBER 8, 2013

Research Administration Forum

Agenda

Government Shutdown Rates for Fiscal Year 2014 Postdoc Benefits Caltech Projection Tool New Cargo Shipment Requirements & Penalties On-line Faculty Export Awareness Training NIH Sub-Accounting Draw Process Update on Cost Transfer and PDC Systems Expenditure Types Principal Investigators on Leave Administrative Costs on Sponsored Awards NSF & Voluntary Cost Sharing Graduate and Undergraduate Students on the NIH Commons Foreign Travel on JPL IAs Indirect Costs on Facilities Use/Technical Services Conflict of Interest Reviews for NIH/NSF Awards Office of Technology Transfer and Corporate Partnerships

Government Shutdown

Most government research administration and program offices are closed.

Work on existing grants and contracts should continue, unless notified otherwise.

NSF FastLane and Research.gov systems are down. No proposals. No reports.

The NIH Commons is down. No proposals. No reports.

Although the Grants.gov system may be up and running, NIH and NSF advise that proposals should not be submitted until after the shutdown.

Rates for Fiscal Year 2014

FY 2014 FY 2013

On-campus F&A rate (provisional) 66.5% 66.5%

Off-campus F&A rate (provisional) 26.0% 26.0%

Staff benefit rate (provisional) 29.5% 28.1%

Paid leave rate 16.5% 16.0%

GRA tuition remission rate (all federal funds, and funds that pay OH of 15% or higher)

66.0% 66.0%

GRA tuition remission rate(all non-federal funds that pay less than 15% OH)

66.0%-95.3% 66.0%-95.3%

Minimum overhead on endowment income

15.0% 15.0%

Minimum overhead on non-federal funds 15.0% 15.0%

Rates for Fiscal Year 2014 (cont.)

Implementation of New Rates For Proposals For Ongoing Awards in Effect prior to October 1, 2013 New and Renewal Awards

Postdoc Benefits

New Policy

Postdoctoral Scholars paid by stipend cannot have their health and other benefits charged to a Federal research grant.

Postdoctoral Scholars paid a salary from a Federal research grant automatically have their benefits charged to that grant.

Caltech Projection Tool

Designed by Erin Lindsay and IMSS StaffFor Grant Managers and other research

administratorsRolled out to the campus in early July 2013List of bugs to be worked outErin is here

QUESTIONS?

US Customs “Importer Security Filing” Requirement for Ocean Cargo

As of July 9, 2013, U.S. Customs and Border Protection will begin full enforcement of the Importer Security Filing (ISF) known as 10+2: 2 from the carrier prior to loading

stow vessel info and container status 10 data elements required from importer:

What information will you need to provide?

In addition to what we (the importer) normally provide (our address, EIN, HTS and Country of Origin), we will also need to provide the following for int’l ocean freight shipments:

Manufacturer (Supplier) Name and Address Seller Name & Address Consolidator Name and Address – Party who stuffed the

container Container Stuffing Location – Name and Address of

where container was stuffed.

10+2 Program: Failure to Comply

Shipment will not be loaded until importer provides required information.

If information is not provided to Customs on time, Caltech may be subject to penalties & fines, cargo inspections and other violations. $5,000.00 for late filing of ISF $5,000.00 per shipment for inaccurate ISF

Info:

http://www.cbp.gov/xp/cgov/trade/cargo_security/carriers/security_filing/

New Location for the on-line Export Awareness Program!

The Faculty Awareness Program has moved from the “Articulate” on-line platform to the Oracle Learning Management on-line site

How do you log-in? “access.caltech.edu”

What happens if I have a technical problem or cannot log-in? Contact Caltech Export or Christine Ryan at IMSS

QUESTIONS?

NIH Sub-Accounting Draw Process

Pooled (old) draw process invoices for all NIH grants generated weekly single (pooled) amount entered in the payment system cash applied to open NIH invoices

New (sub-accounting) draw process invoices for all NIH grants generated weekly cash request entered on an award by award basis cash applied to open invoices

Implementation at Caltech will require changes in OGM New Awards need to be set up for grants transitioning to

the new payment method

Impact of Implementation of New NIH Draw Process

Competing renewals No impact; new Awards are generally set up for

competing renewals Award number will start with NIHP.XXXXX

Non-competing renewals New Awards (NIH and salary cap) will need to be set up

for FY2015 funding; Award number will start with NIHP.XXXXX will be linked to the existing Project is subjected to same carry forward authorization as the

original grant Final Federal Financial Reports will be submitted for

the “old” Award

Updates on Cost Transfer and PDC Systems

Cost Transfer Application No. of cost transfers submitted on-line (count as of

10/4/13) Non-labor (since May 20, 2012): 1170 Labor adjustments requiring justification (since Aug 1,

2013): 50 Refresher’s training in early November

Payroll Distribution Confirmation System Reports for FY13-B period are expected to be

available for on-line certification in February 2014

Expenditure Types

Travel e-type (new) “Travel- Non US Carrier” to be used for airfare on non-US carriers on non-federal sponsored awards when: the sponsor does not have any restrictions on using foreign air carrier

Travel e-type “Travel-Foreign Allocable” to be used for airfare on non-US carriers on federal sponsored awards when:

open skies agreement between US and the country exists foreign airline is code sharing with an US carrier Fly America Act exception exists (pre-travel exception form approval

required)

Travel e-type “Foreign travel-Unallocable” cannot be charged to sponsored research awards

Caltech Travel Policy: Use of Foreign-Flag Air Carriers on Travelhttp://procurement.caltech.edu/documents/121-travelpolicy.pdf

Food charges during meetings

OMB A.21 Section J32. Meetings and Conferences. Costs of meetings and conferences, the primary purpose of which is the

dissemination of technical information, are allowable. This includes costs of meals, transportation, rental of facilities, speakers' fees, and other items incidental to such meetings or conferences.

Institute’s policies on “meal” expenses: Meals need to be qualified as a “business expense” per Caltech

policies to be charged to any Institutional account On sponsored research awards unless such expenses are specifically

authorized in the contract or grant, or by agency policy, and only to the extend and for the purpose (s) so authorized. In the event of a conflict between agency policy and Institute guidelines, the more restrictive of the two shall apply.

When two or more employees go to lunch to continue their business as an incidental part of the meal or when the meeting could have been scheduled during regular working hours.

California Institute of Technology, Business Expense Guidelineshttp://finance.caltech.edu/documents/25-cit_entertainment_guideline.pdf

QUESTIONS?

Principal Investigators on Leave

Federal requirement (A-110, Section 25(c)(3)): Prior approval from sponsor required for any PI/co-PI

who will be absent from the project for more than 3 months;

currently, “absent” is interpreted by auditors to mean “on leave and physically off-site”

Request must describe situation, length of absence and PI’s management plan (e.g., name substitute PI, oversee projects remotely, etc.)

PIs on Leave (cont.)

Federal requirement (cont):

Even if PI plans to oversee project during absence, that plan must be approved by sponsor.

Many non-federal sponsors impose similar requirements.

FAQ on OSR website:http://researchadministration.caltech.edu/documents/571-principal_investigators_on_leave_faqs_final.pdf

Administrative Costs on Sponsored Awards

Federal requirement (A-21, Section F.6.b(2)): Direct charging of admin/clerical staff salaries, and

office supplies, postage, local telephone, etc., can only occur if: Project requires “significantly greater” admin support

than is routine for the Division (e.g., Major Project); Proposal includes costs and brief explanation of how

project’s needs are significantly greater than “routine”; Sponsor approves those costs.

Cannot exceed amount approved in budget

Admin. Costs on Sponsored Awards (cont)

Caltech’s F&A agreement includes all of the admin costs we may charge, unless Major Project criteria are met.

No recharging of Division-based administrative resources unless recharge rate has been approved by Cost Studies

NSF and Voluntary Cost Sharing

NSF Requirement: No voluntary cost sharing is permitted; inclusion will

disqualify proposal. Waiving of F&A is considered voluntary cost sharing

by NSF and is unallowable.

http://www.nsf.gov/pubs/policydocs/csfaqs_jan13.pdf

NIH – Commons IDs for Graduate and Undergraduate Roles

NIH Requirement Beginning 10/18/2013 those with graduate and

undergraduate roles in proposals and RPPRs must have an NIH Commons ID. The Commons will generate warnings initially, but will

permit submission; beginning October 2014 proposals and RPPR will error-out and will not be accepted

OSR can authorize NIH Commons Account Administrator role for specific individuals

Foreign Travel on JPL IAs

JPL requirement: All foreign travel under JPL IAs requires JPL prior

approval. If sufficient travel information was included in

proposal, then issuance of IA will approve travel Otherwise, JPL travel form must be submitted to Pat

Spray Revised form now required and available on OSR

website.

F&A on Facilities Use and Technical Service Agreements

The on-campus F&A rate applies to new FUAs and TSAs initiated January 2013 or later.

A tiered F&A implementation will apply to agreements for continuing users/customers initiated: 1/1/13 to 9/30/13 = 20% 10/1/13 to 9/30/14 = 40% 10/1/14 to 9/30/15 = 60%, or full rate, if lower 10/1/15 and thereafter = full F&A rate

F&A on FUAs and TSAs (cont.)

The F&A rate in effect at the beginning of an agreement will carry through until renewal of the agreement.

If the tiered option applies, then multi-year agreements will need to incorporate multiple tiers

http://finance.caltech.edu/documents/167-fusets_practice_jan13update.pdf

Final Conflict Of Interest Review for NSF/NIH

NSF/NIH requirement: Funds may not be expended for new/renewal awards

until COI requirements have been met (this includes at-risk setups).

COI review is performed by Office of Research Compliance (ORC) and Division Chair.

Review may determine need for management plan, which requires input of PI.

OSR will work with ORC to perform “just-in-time” reviews in order to help mitigate delays.

QUESTIONS?

Office of Technology Transfer & Corporate Partnerships

Research Administration October 7, 2013

Dr. Karina EdmondsExecutive Director for Corporate Partnerships

Fred FarinaChief Innovation Officer

Provost’s OfficeOffice of Innovation and Corporate

Partnerships(21 staff)(Fred Farina)

University-Industry Interactions

OTT

Corp. Rel.

OSR

Biz Dev

University Corporation

Univ. Relations

Contracts

Legal

One-Stop-Shop for Industry

OTT & Corporate

Partnerships

Biz Dev

CaltechCorporation

Univ. Relations

Contracts

Legal

Other Caltech Offices

Essential Internal Partners

• Faculty• DIR• OSR (Office of Sponsored Research)• OGC (Office of the General Counsel)• CDC (Career Development Center)

Office of Corporate PartnershipsDr. Karina Edmonds, Executive Director

• Caltech Alumna (PhD’98, Aero), BS Mechanical Eng. (URI)• Serves on the Caltech Alumni Board• Registered US Patent Agent (patent holder herself!)

Experience Highlights:1997-2001: Northrop Grumman (TRW)2001-2010: Caltech/JPL, Director of JPL Tech Transfer2010-2013: DOE, Tech Transfer Coordinator (direct report to Energy Secretary Chu)

Top Level Goals

• Amplify interactions with industry to enhance mission of Institute

• Increase research funding for faculty

• Facilitate commercialization of research

Initial Strategy• Fully engage faculty while respecting their time• Focus on high quality partnerships (vs. quantity)• Identify top 20 companies Caltech should be

working with base on research synergies• Leverage Trustee and alumni networks• Closely collaborate and coordinate with DIR

(e.g., Samsung)

Sponsored Events

Matching Grants

Post-docs

Scholarship Support

Gifts-In-Kind

Licensing

Material TransfersFaculty Travel/Conference Support

Student Challenges

Sponsored Research

Student Hires

Gifts

CI2/Grubstake

Industry Support @Caltech

Current Corporate Partners

Slides from today’s presentation will be posted on our website:

http://researchadministration.caltech.edu

Thank you for attending!