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Indiana University Indiana University CATSCATS
Sponsored Research ServicesSponsored Research ServicesOffice of the Vice President for ResearchOffice of the Vice President for Research
Steven A. MartinSteven A. MartinAssistant Vice President for ResearchAssistant Vice President for Research
Sponsored ProgramsSponsored ProgramsJust a few things before you get startedJust a few things before you get started……
Effort ReportingEffort Reporting OrganizationsOrganizations
– SRS, RUGS, C&G, FMS, IRB, SRS, RUGS, C&G, FMS, IRB, IACUC, IBCIACUC, IBC
Human SubjectsHuman Subjects Bio-safetyBio-safety AnimalAnimal Research MisconductResearch Misconduct Agency GuidelinesAgency Guidelines HIPAAHIPAA Indirect CostsIndirect Costs ITAR and Export ControlsITAR and Export Controls Confidentiality AgreementsConfidentiality Agreements Material Transfer AgreementsMaterial Transfer Agreements
OMB A-21OMB A-21 OMB A-110OMB A-110 OMB A-133OMB A-133 U.S. CodeU.S. Code Code of Federal RegulationsCode of Federal Regulations Federal Acquisition RegulationsFederal Acquisition Regulations U.S. Patriot ActU.S. Patriot Act Cost Accounting StandardsCost Accounting Standards Academic HandbookAcademic Handbook Intellectual Property PolicyIntellectual Property Policy Conflict of Interest PolicyConflict of Interest Policy IU Financial PolicyIU Financial Policy Important NoticesImportant Notices
Glacial Lake Agassiz ProjectGlacial Lake Agassiz Project
Dr. Timothy FisherDr. Timothy Fisher
$230K from NSF$230K from NSF
Reconstructing Reconstructing
deglacial events in deglacial events in
N.W. SaskatchewanN.W. Saskatchewan
1908 Sinking of S.S. 1908 Sinking of S.S. PomonaPomona
•Grant from State of California
•Study to determine viability of underwater park for divers
•Site map, diver safety, environmental impact, historic significance
Benton Murals ProjectBenton Murals Project
Commissioned for the Chicago International Exhibition of 1933, where the 26 panels were originally mounted in a continuous ribbon more than 200 feet in length
•Grant from NEA
•Restore art work in the IU Auditorium and Woodburn
•Considered among IU’s greatest treasures
In-Home & Community Services In-Home & Community Services AgencyAgency
Senior CentersSenior Centers Adult Day CareAdult Day Care Meals on Meals on
WheelsWheels Children’s Children’s
Special Health Special Health Care ServicesCare Services
TransportationTransportation
Bloomington25%
Indianapolis69%
University Admin.
4%
Regional Campuses
2%
FY 2003 - $383M in AwardsFY 2003 - $383M in Awards
FY 2003 Award Distribution by Agency Type
Federal52%
Foundations17%
State7%
Non-Profit10%
Higher Ed.4%
Commercial9%
Other Gov.1%
10 ReasonsWhy the Good go Bad
1.1. Working w/o Comprehensive AgreementWorking w/o Comprehensive Agreement
““Why wait for some legalistic Why wait for some legalistic document that nobody understands document that nobody understands anyway? These folks giving us the anyway? These folks giving us the money seem nice enough and I’m money seem nice enough and I’m sure we all agree on how this will sure we all agree on how this will work. Don’t look a gift horse in the work. Don’t look a gift horse in the mouth”mouth”
10 ReasonsWhy the Good go Bad
1.1. Working w/o Comprehensive AgreementWorking w/o Comprehensive Agreement
““What happens if there is a dispute later What happens if there is a dispute later on?on?
Will they pay us and what if they don’t?Will they pay us and what if they don’t?
Who owns ‘this’ when we are done? Who owns ‘this’ when we are done? Confidentiality? Confidentiality?
Publication Rights?Publication Rights?
Liability?Liability?
It is better to be safe than sorry.”It is better to be safe than sorry.”
10 ReasonsWhy the Good go Bad
2.2. Completeness of the Work StatementCompleteness of the Work Statement
““Oh for badness sake! The people Oh for badness sake! The people giving you the money just want you giving you the money just want you to get busy on the work. You know to get busy on the work. You know what they say about idle hands. what they say about idle hands. Just throw a few words down for the Just throw a few words down for the work statement and be done with it. work statement and be done with it. Get a life!Get a life!
10 ReasonsWhy the Good go Bad
2.2. Completeness of the Work StatementCompleteness of the Work Statement““But, what if they really have different But, what if they really have different expectations for the outcome of this expectations for the outcome of this project? It would be a shame to do all project? It would be a shame to do all of that work and have everyone walk a of that work and have everyone walk a way disappointed. I think you had way disappointed. I think you had better sort this out now by being better sort this out now by being explicit about the work that will be explicit about the work that will be done.”done.”
10 ReasonsWhy the Good go Bad
3.3. Verbal AmendmentsVerbal Amendments
““Oh for crying out loud, there you Oh for crying out loud, there you go again, “Get it in writing”. What go again, “Get it in writing”. What hogwash!”hogwash!”
““Don’t be petty about this whole Don’t be petty about this whole thing. So they asked for a slight thing. So they asked for a slight deviation from the contract. What’s deviation from the contract. What’s the big deal? Don’t be so paranoid!”the big deal? Don’t be so paranoid!”
10 ReasonsWhy the Good go Bad
3.3. Verbal AmendmentsVerbal Amendments““Everyone knows that you can’t alter a Everyone knows that you can’t alter a written agreement unless it is in writing. written agreement unless it is in writing. What if the person who agreed to all of What if the person who agreed to all of this isn’t around next week? Getting it this isn’t around next week? Getting it in an email may not suffice either. I will in an email may not suffice either. I will pray for you to be enlightened or at pray for you to be enlightened or at least check with SRS.”least check with SRS.”
10 ReasonsWhy the Good go Bad
4.4. Payment TermsPayment Terms
““It’s a big company you are working It’s a big company you are working with here. So what if they don’t pay with here. So what if they don’t pay you 90% of the $ until the end. I’m you 90% of the $ until the end. I’m sure the university will cover it until sure the university will cover it until then. Its not like this company is a then. Its not like this company is a Mom and Pop outfit. With a name Mom and Pop outfit. With a name like Enron, you know they will be like Enron, you know they will be around for a while.”around for a while.”
10 ReasonsWhy the Good go Bad
4.4. Payment TermsPayment Terms
““Oh dear me, you really need to Oh dear me, you really need to think this one through. If they don’t think this one through. If they don’t pay, your department might get pay, your department might get stuck for it. SRS says that they stuck for it. SRS says that they prefer 20% or less withheld until prefer 20% or less withheld until the end of the project”the end of the project”
10 ReasonsWhy the Good go Bad
5.5. Fiscal Management of Fixed Price AwardsFiscal Management of Fixed Price Awards
““Here is our chance to make some Here is our chance to make some money!!! No more “but its not in the money!!! No more “but its not in the budget” from those C&G yo-yo’s. budget” from those C&G yo-yo’s. Buddy, we can charge anything we Buddy, we can charge anything we want to this account, whether it want to this account, whether it relates or not. Yippee!”relates or not. Yippee!”
10 ReasonsWhy the Good go Bad
5.5. Fiscal Management of Fixed Price AwardsFiscal Management of Fixed Price Awards
““What if you need to know how much What if you need to know how much this project cost you at some point? I this project cost you at some point? I also remember something about a also remember something about a “TIDBIT” or “UBIT”. Well, whatever it “TIDBIT” or “UBIT”. Well, whatever it was, it wasn’t good. You might also was, it wasn’t good. You might also raise questions about the validity of raise questions about the validity of charges to your other projects.”charges to your other projects.”
10 ReasonsWhy the Good go Bad
6.6. Failure to Route the ProposalFailure to Route the Proposal
““You cannot be slowed down by You cannot be slowed down by routing this project. I am sure it can routing this project. I am sure it can all be fixed after the fact. Anyway, all be fixed after the fact. Anyway, that is only a recommendation to that is only a recommendation to those who have time.”those who have time.”
10 ReasonsWhy the Good go Bad
6.6. Failure to Route the ProposalFailure to Route the Proposal
““It is the policy of the university. The It is the policy of the university. The purpose of routing the project is to ensure purpose of routing the project is to ensure that the department, school, and that the department, school, and university support the project and to university support the project and to review for any potential problems upfront. review for any potential problems upfront. You don’t want to make promises we can’t You don’t want to make promises we can’t keep. We will all look bad then.”keep. We will all look bad then.”
10 ReasonsWhy the Good go Bad
6.6. Failure to Route the ProposalFailure to Route the Proposal Types of issues reviewedTypes of issues reviewed
– Reps and CertsReps and Certs
– BudgetBudget
– Human Subjects, Animal Research, Bio-hazards Human Subjects, Animal Research, Bio-hazards approvalsapprovals
– Space RequirementsSpace Requirements
– Cost ShareCost Share
– Subcontractor letters of supportSubcontractor letters of support
– Limited CompetitionsLimited Competitions
10 ReasonsWhy the Good go Bad
7.7. Authority to Enter into AgreementsAuthority to Enter into Agreements
““Hey, if they didn’t want you signing Hey, if they didn’t want you signing agreements, they would not supply agreements, they would not supply you with ink pens. The meek may you with ink pens. The meek may inherit the Earth but they won’t get inherit the Earth but they won’t get an agreement executed and get an agreement executed and get funded.”funded.”
10 ReasonsWhy the Good go Bad
7.7. Authority to Enter into AgreementsAuthority to Enter into Agreements““Agreements are between the other party Agreements are between the other party and the Trustees of Indiana University. and the Trustees of Indiana University. Only certain individuals may sign Only certain individuals may sign agreements on behalf of the Trustees. agreements on behalf of the Trustees. That includes all grant agreements, That includes all grant agreements, contracts, material transfer agreements, contracts, material transfer agreements, and confidentiality agreements.”and confidentiality agreements.”
10 ReasonsWhy the Good go Bad
8.8. Supplemental Pay RestrictionsSupplemental Pay Restrictions
““Go ahead and just put it in the Go ahead and just put it in the budget under “Consultant Pay” and budget under “Consultant Pay” and they will never catch it. Besides, they will never catch it. Besides, you have spoken to the sponsor and you have spoken to the sponsor and they don’t mind.”they don’t mind.”
10 ReasonsWhy the Good go Bad
8.8. Supplemental Pay RestrictionsSupplemental Pay Restrictions
““The Academic Handbook states that The Academic Handbook states that sponsored program activity should be sponsored program activity should be conducted through release time for conducted through release time for faculty. Check with SRS before you put faculty. Check with SRS before you put it in the budget.”it in the budget.”
10 ReasonsWhy the Good go Bad
9.9. Give the research office sufficient time to Give the research office sufficient time to negotiate what might be deal breakersnegotiate what might be deal breakers
““24 hours should be plenty of time 24 hours should be plenty of time to negotiate any agreement. to negotiate any agreement. Besides, you don’t plan to publish Besides, you don’t plan to publish anything from this research anything from this research anyway.”anyway.”
10 ReasonsWhy the Good go Bad
9.9. Give the research office sufficient time to Give the research office sufficient time to negotiate what might be deal breakersnegotiate what might be deal breakers
““Those folks in SRS are able to Those folks in SRS are able to successfully work it out if you just give successfully work it out if you just give them sufficient time to work through the them sufficient time to work through the rough spots. I am sure you know that rough spots. I am sure you know that there are some areas where it cannot there are some areas where it cannot just accept anything.”just accept anything.”
10 ReasonsWhy the Good go Bad
9.9. Give the research office sufficient time to Give the research office sufficient time to negotiate what might be deal breakersnegotiate what might be deal breakers
Classified ProjectsClassified ProjectsPublication ApprovalPublication ApprovalIP Ownership (No work for hire IP Ownership (No work for hire projects)projects)Indemnification of other entitiesIndemnification of other entities
10 ReasonsWhy the Good go Bad
10.10. Include Indirect CostsInclude Indirect Costs
““Look, we all know that “indirect Look, we all know that “indirect costs” is just another word for profit costs” is just another word for profit for administrative fat cats. Besides, for administrative fat cats. Besides, what benefit is it to you or your what benefit is it to you or your research.”research.”
10 ReasonsWhy the Good go Bad
10.10.Include Indirect CostsInclude Indirect Costs
““Those indirect costs go to help Those indirect costs go to help support your research by paying for all support your research by paying for all those things you take for granted like those things you take for granted like the building, lights, the library, etc. In the building, lights, the library, etc. In fact, the folks at SRS say that even at fact, the folks at SRS say that even at full indirect costs, we still subsidize full indirect costs, we still subsidize most projects.”most projects.”
Indirect Costs and IU Policy
Current Rates –Current Rates – Important Notice 02-5Important Notice 02-5– http://http://
www.fms.indiana.edu/cg/www.fms.indiana.edu/cg/imp_notice/02-5.aspimp_notice/02-5.asp
Waiver PolicyWaiver Policy– Important Notice 89-18Important Notice 89-18
http://www.fms.indiana.edhttp://www.fms.indiana.edu/cg/imp_notice/89-18.aspu/cg/imp_notice/89-18.asp
– Financial Policy III-1Financial Policy III-1 http://www.indiana.edu/~vhttp://www.indiana.edu/~v
pcfo/policies/contract/iii-01pcfo/policies/contract/iii-01.html.html
Policy Summary– Full IDC should be
included on all proposals– All exceptions must be
approved by Dept School Research Office / AVP
– Typical Exceptions State – non Fed Agency stated policy to
all responding to an RFP
IU Rate by ComponentsIU Rate by Components ResearchResearch ONON OFFOFFFacilitiesFacilities Building DepreciationBuilding Depreciation 4.3%4.3% Equipment DepreciationEquipment Depreciation 4.7%4.7% Operation & MaintenanceOperation & Maintenance 11.9%11.9% InterestInterest 1.9%1.9% LibraryLibrary 1.7%1.7% Sub-totalSub-total 24.5%24.5% Administration*Administration* Sponsored Program AdministrationSponsored Program Administration 3.3%3.3% 3.3%3.3%Departmental AdministrationDepartmental Administration 16.8%16.8% 16.8%16.8%Administration & General Administration & General (Purchasing, HR, etc)(Purchasing, HR, etc) 5.9%5.9% 5.9%5.9%Student Services AdministrationStudent Services Administration 0.0%0.0% 0.0%0.0%Sub-TotalSub-Total 26.0%26.0% 26.0%26.0% TotalTotal 50.50%50.50% 26.00%26.00%
62.6%
55.4%
50.5%
26.8%
0.0% 20.0% 40.0% 60.0% 80.0%
Percent
Actual Rate
Capped Rate
Negotiated Rate
Effective Rate
IDC Recovery Research
$35.4M $16.0M
$51.4M$40.0M
Words of Wisdom
Not to harp on this but…be an Angel and work Not to harp on this but…be an Angel and work with SRS. It can be a heavenly experiencewith SRS. It can be a heavenly experience
The Devil really is in the detailsThe Devil really is in the details
The road to Hell is paved with good intentions.The road to Hell is paved with good intentions.
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