slide 1 - wright state university - dayton, ohio

Services of

Research and Sponsored Programs

October 27, 2010

Jackie Frederick

Director, Pre-Award Services Ext. 2664

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 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 Initiation Grant Awards FY201032 proposals submitted

6 funded

Total dollars awarded--$56,496

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”

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

Professional Development Grant

Awards FY201012 proposals submitted

6 funded

Total dollars awarded--$17,550

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.

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

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

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!

Getting the proposal out the door.– Check for completeness– Monitor assembly– Copy and mail (UPS)

Electronic

Submission -Grants.gov -NSF FastLane -Other e-systems

RSP tracks FedEx and/or electronically submitted applications to confirm sponsor receipt

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?

• 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?

• 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?

• 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

• Expedited – Subcommittee of the full board (Advisory

body)– Minimal risk only– Must meet one or more of the 9 federally-

defined expedited categories

• Exempt – Exempt from federal regulations– The IRB Chair (not investigators) must

certify that the research qualifies as exempt

– 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?

• 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

– 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>)

• 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.

• 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>)

• 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.

• 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

• 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)

• 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.

• 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

• Data Management Practices– Ownership– Collection– Storage– Sharing

• 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

• Peer Review– To be effective, must be

• Timely• Thorough• Constructive• Free from personal bias• Respectful of the need for

confidentiality

• 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.

– 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.

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

• 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

• 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

• Protection of human subjects• Laboratory animal welfare• Laboratory safety

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.

Award Packet

• Award Letter• Copy of Award• Budget• Salary Letter

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.

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.

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.

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.

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.

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.

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.

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.

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.

• Link to PowerPoint Post Award Training– http://www.wright.edu/rsp/office.html– Federal Audit compliance– Cost Transfers– Cost Share– Direct vs Indirect Cost

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

90-10 NET royalty split

Inventor90%

Tech Transfer

Inventor Tech Transfer

50-50 Gross Royalties Split

Tech Transfer

Personal Income50%

Personal Income Tech Transfer

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.

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

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/]

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!

slide 1 - wright state university - dayton, ohio

services of research

completion of research

internal funding opportunities

seed funding

proposal preparation

new research efforts

external funding eligibility

proposal preparation

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