Quality Research Administration Meeting

1. Quality Research Administration Meeting April 2011

2. Agenda • Sponsored Projects Administration • Payroll Confirmation Reporting • Subaward Process • NSF Data Management Plans • NSF Policies and Procedures • Responsible Conduct of Research • NIH Policies and Procedures • Research Terms and Conditions Nancy Lewis Rich Andrews Dar Sullivan Cassie Rauser Tam Tran Marie Richman Sam Westcott Nancy Lewis

3. Sponsored Projects Administration Update • Staff • Funding • Federal Government Shutdown Nancy Lewis Director, Sponsored Projects Administration nancy.lewis@research.uci.edu 949.824.2897

5. No More PAR’s!!! • Federal Demonstration Partnership • Payroll Certifications • HHS Approved an 18-Month Demonstration Beginning July 2001 • Other Demonstration Sites: UCR, George Mason, Michigan Tech Rich Andrews Controller randrews@uci.edu 949.824.8987

7. Going Forward • Last PAR Quarter: Winter 2011 • PAR Cleanup Campaign • Campus Focus Groups • Developing Web Site • Developing Training • Staffing Changes? • Government Feedback

8. Subaward Process • Subrecipient Commitment Form • Federal Funding Accountability and Transparency Act (FFATA) Dar Sullivan Principal Subcontract Officer, Sponsored Projects Administration dksulliv@uci.edu 949.824.0341

9. Subaward Process Changes

10. Subrecipient Commitment Form

11. Purpose • Expedite the process of setting up subawards • Designed to help subrecipients understand at the proposal stage what will be required of them by UCI should an award be made • Includes compliance with federal regulations such as those governing research with human or animal subjects, conflict of interest disclosures, and OMB Circular A-133.

12. What now? • Effective July 1, 2011, Subrecipient Commitment Form for each subawardee should be provided to SPA at the proposal stage as part of a complete proposal package. • Pilot testing April & May…volunteers?

13. Federal Funding Accountability and Transparency Act (FFATA)

14. FFATA • The Federal Funding Accountability and Transparency Act (FFATA), enacted on September 26, 2006, requires that information on federal awards be made available to the public via www.USASpending.gov • At this time, the impact of this data collection requirement on the University is limited to the collection and reporting of information about first-tier sub-recipients under federal assistance awards and first-tier sub-recipients and vendors under federal contracts.  Although the law is imprecise on the applicability of these provisions to further tiers, the Office of Management and Budget (OMB) may require reporting on second-tier awards in the future.

15. First-tier Subrecipients (see below in pink)

16. First-tier Subrecipients

17. Federal Awards Subject to FFATA Requirements • Contracts: 7/8-9/30/2010: New contracts over $20 million 10/1/2010: New contracts with a prime contract value greater than $550,000 3/1/2011: New contracts with prime contract value of $25,000 or over • Grants: 10/1/2010: New grants $25,000 and over • Subcontracts & vendors reporting requirements: • All first-tier subcontracts/vendor agreements of $25,000 or more • First- tier subcontracts/vendor agreements under contracts subject to FFATA and ARRA must report in both FFATA and ARRA reporting systems • Subawards reporting requirements: • All first-tier subawards of $25,000 or more • Excludes vendor agreements • Excludes ARRA grants * Federal contracting officers have the option of amending existing contracts to include FFATA

18. Unique Identifier (DUNS Number) for foreign and domestic subawardees and their parent companies (Duns & Bradstreet) Name of Subawardee/Vendor Amount, date and type of the subaward Subaward number (as assigned by the prime awardee) A 4000 character description of the products or services (including construction) being provided under the subaward, including the overall purpose and expected outcomes Subawardee's physical address including street address, city, state, country, and nine-digit zip code and congressional district Subawardee's primary performance location including street address, city, state, country, and nine-digit zip code and congressional district The prime award number Federal awarding agency name and code Federal funding agency name and code Amount of subawardee cost-share Names and total compensation of subawardee’s top 5 compensated executives (unless the conditions outlined under # 5 below are met.) The Total Compensation and Names of the top five executives if: More than 80% of annual gross revenues from the federal government, and those revenues are greater than $25M annually and Compensation information is not already available through reporting to the SEC Required Reporting Elements

19. How long do I have to report? • Prime awardees must report first-tier sub-award information by the end of the month following the month the award or award’s obligation was made. • For example, if a subaward/subcontract is fully executed on April 13, 2011, the UCI would have until May 31, 2011 to report the subaward/subcontract.

20. What do you have to do? VERY LITTLE!! • First-tier subawards/subcontracts • SPA (C&G officer) will screen the Awards for FFATA requirements. • SPA (Subaward Team) will gather data needed for reporting requirements. • SPA (Evelyn McNally) will enter the data & submit the report in the Federal Funding Accountability and Transparency Act Subaward Reporting System (FSRS). • Vendor agreements: still in the works • Department/Purchasing will need to be aware of federal contracts that are subject to FFATA (should be noted in your e-synopsis) • Department/Purchasing will gather data needed for reporting requirements. • SPA (Evelyn McNally) will enter the data & submit our report in FSRS.

21. Questions?

22. NSF Data Management Plans • NSF’s Data Management Plan • Suggested Elements to Cover in Data Management Plan • Data Management Plan Resources • Office of Research Development Casandra Rauser Assistant Director of Research Development, School of Biological Sciences Office of Research Development – Natural Sciences & Medicine crauser@uci.edu 949.824.8140

23. NSF’s Data Management Plan (DMP) • New REQUIREMENT for all NSF proposals submitted after January 18, 2011 • Must be provided as a “supplementary document” • 2 page limit (although may utilize the 15-page Project Description for additional DMP information, but not vice versa) • Subject to peer review and reviewed under the merit review criteria – Intellectual Merit and Broader Impacts • DMP should describe how the proposal will conform to NSF’s policy on dissemination and sharing of research results • If no DMP is needed, include such a statement with a clear justification • Each Directorate, Office, Division, Program, or other NSF unit may have specific requirements for the DMP (http://www.nsf.gov/bfa/dias/policy/dmp.jsp) – otherwise follow requirements established in the Grant Proposal Guide (Chpt II.C.2.j)

24. Suggested Elements to Cover in DMPNote: Individual Data Management Plans should be tailored to the specific research activities described within each proposal * adapted from ICPSR Guidelines for Effective Data Management Plans

25. Suggested Elements to Cover in DMP(adapted from ICPSR Guidelines for Effective Data Management Plans) * adapted from ICPSR Guidelines for Effective Data Management Plans

26. DMP Resources • Campus Resources • Office of Research Development – Natural Sciences and Medicine (http://www.research.uci.edu/rdobsps/index.htm) • UCI Libraries (http://www.lib.uci.edu/about/projects/scamp/nsf-data-management.html) - The UCI Libraries stand ready to assist grantees in identifying the options for sharing research data in an institutional or discipline-specific repository. Contact your subject librarian or the UCI Data Librarian (dtsang@uci.edu) • UC Curation Center (UC3) for general DMP information and suggestions for organizing, managing, sharing and preserving your data (http://www.cdlib.org/services/uc3/datamanagement/index.html) • Other Resources (links can be found on the UCI Libraries DMP page) • Association of Research Libraries (ARL) "Unpacking the NSF Requirement • DataONE Data Management Plan Outline & Examples • MIT Libraries Guide for Data Management Planning & Publishing • Cornell University Libraries Guide to Data Management Planning • University of Minnesota Libraries Funding Agency and Data Management Guidelines • ICPSR Guidelines for Effective Data Management Plans

27. Office of Research Development Services: • Provide coordination and support of the grant preparation and submission process for major interdisciplinary proposals • Provide coordination and support of the grant preparation and submission process for single PI grants for new faculty and for award agencies not typically applied to (e.g., DOD, DOE, UC) • Sponsor content area meetings (e.g., NSF Career Award Workshop, DOD DARPA) • Create institutional data repositories (e.g., Biosketch Repository, Shared Facilities) • Develop boilerplate text (e.g., outreach plans, data management plans, industry collaborations) • Interact with federal, foundation and industry funding sources • Help create graduate and undergraduate program development (e.g., Graduate Fellowships) • Support centers (i.e., CaSTL, Stem Cell) post award

28. Questions? Office of Research Development Natural Sciences & Medicine Director Jacob Levin, Ph.D. Assistant Vice Chancellor – Research Development Tel: 949-824-0126 jlevin@uci.edu Administrative Assistant: Lucinda Wong Tel: 949-824-3853 lucinda.k@uci.edu Assistant Directors Randy Berg, MBA, Ph.D. School of Medicine Tel: 949-824-1709 rberg@uci.edu Lori Greene, Ph.D. School of Physical Sciences Tel: 949-824-5562 legreene@uci.edu Casandra Rauser, Ph.D. School of Biological Sciences Tel: 949-824-8140 crauser@uci.edu Located on the 4th floor of Natural Sciences II http://www.research.uci.edu/rdobsps/index.htm

29. NSF Update • Topics • Proposal and Award Policies and Procedures Guide: PAPPG • Grant Proposal Guide: GPG • Award and Administration Guide: AAG • Cost Sharing Policy Tam Tran Assistant Director, Sponsored Projects Administration tamkt@uci.edu 949.824.7813

30. Topics • Proposal and Award Policies and Procedures Guide (PAPPG), effective January 2011 • Cost Sharing Policy, effective January 2011

31. Proposal & Award Policies & Procedures Guide (PAPPG), January 2011 • Part I is comprised of NSF’s proposal preparation and submission guidelines -- the NSF Grant Proposal Guide and the NSF Grants.gov Application Guide. Both the Grant Proposal Guide (GPG) and Grants.gov Application Guide provide guidance for the preparation and submission of proposals to NSF, whether by the NSF Fastlane System or Grants.gov. • Part II is comprised of the documents used to guide, manage, and monitor the award and administration of grants and cooperative agreements.Referred to as the Award and Administration Guide (AAG).

32. Review of Significant Changes to the GPG • Chapter II.C.2.a, Cover Sheet • Replaced the Performing/Research Organization with Project/Performance Site Primary Location information • Revised for consistency with the requirements of the Federal Funding & Accountability Act • If the project will be performed at a location other than the awardee, include organization name and address

33. Review of Significant Changes to the GPG • Chapter II.C.2.j, Special Information and Supplementary Documentation • Clarification of NSF’s long standing data policy-Data Management Plan • Must describe plans for data management and sharing of the products of research or state no plan is needed with justification • Fastlane will not permit submission of a proposal that is missing Data Management Plan • Collaborative proposals & proposals with subawards require only one combined plan

34. Other Changes to the GPG • Chapter II.C.2, Sections of the Proposal Clarify that failure to submit all required sections of the proposal may result in the proposal being returned without review • Chapter II.C.2.j, Special Information and Supplementary Documentation Mentoring plan is not required for postdoctoral researchers who are listed as Senior Personnel on the NSF Budget.

35. Other Changes to the GPG • Chapter II.D.4.b, Collaborative Proposals All components of a collaborative proposal must meet established deadline or risk being returned without review • Chapter III.C, Proposal File Updates Proposal File Update Module can no longer be used to submit revised budget, use FastLane Revised Proposal Budget Module • Chapter V, Renewal Proposals Reminder that renewal proposals must be developed as if the applicant is applying for the first time

36. AAG Summary of Changes • Chapter II.B.1.a, Changes in Objectives or Scope Approval is required for changes to the Facilities, Equipment, & Other Resources section of the approved proposal that constitute change in objective or scope • Chapter II.D, Cost Sharing Mandatory cost sharing included on Line M and accepted by NSF, commitment of funds becomes legally binding & subject to audit • Chapter II.D.3, Project Outcomes Report for the General Public Separate from the Final Project Report; Brief summary of project posted in the Research Spending & Results section of the Research.gov website

37. NSF Revised Cost Sharing Policy • Significant change to the GPG, Chapter II.C.2.g(xi), Cost Sharing • Revised to implement the National Science Board’s recommendations regarding cost sharing • Voluntary committed cost sharing is prohibited (Line M on budget not available) • In order to assess the scope of the project, all organizational resources (physical and personnel) necessary for the project must be described in the Facilities, Equipment & Other Resources section

38. NSF Revised Cost Sharing Policy • Narrative in nature & must not include any quantifiable financial information • Program Officers may not impose or encourage cost sharing unless required in the solicitation • Risk proposal being returned without review or declined by NSF • FAQs Revised Cost Sharing Policy(dated1/27/11)http://www.nsf.gov/pubs/policydocs/csfaqs_jan2711.pdf

39. NSF Revised Cost Sharing Policy • Does not change UCI’s current practice • Unless mandatory, continue to not include voluntary cost sharing information on the Administrative Approval form • University’s policy require recovery of full cost of project, discourage voluntary cost sharing • In general, if proposed and accepted cost sharing becomes a binding commitment • Administrative burden • Failure to properly record cost sharing may result in audit disallowances/return funds • Reduce University's indirect cost rate during future negotiations

40. RESOURCES • National Science Foundation www.nsf.gov/ • NSF Proposal and Award Policies and Procedures Guide, January 2011http://www.nsf.gov/publications/pub_summ.jsp?ods_key=nsf11001 • FAQs Proposal Preparation and Award Administration http://www.nsf.gov/pubs/policydocs/pappguide/faqs11_1.pdf • FAQs Revised Cost Sharing (dated 1/27/11)http://www.nsf.gov/pubs/policydocs/csfaqs_jan2711.pdf • Contact Contract and Grant Officer, Sponsored Projects Office http://apps.research.uci.edu/orastaff/staff.cfm?view_department=spda

41. QUESTIONS ??

42. Responsible Conduct of Research • Why are we concerned? • What is Research Ethics or RCR? • Shared Values in Research Ethics • Training in RCR at UCI • RCR Topics Marie Richman Director, Administration and Research Policy richman@uci.edu 949.824.2898

43. Why are we concerned about Research Ethics or RCR? • It’s everyone’s responsibility • It’s a requirement • National Institutes of Health (NIH) • National Science Foundation (NSF)

44. What is Research Ethics or RCR? • Good research practices • Shared Values • Compliance with regulations • Applies to all stages of research: • planning • conduct • data management • reporting • and review

45. Shared Values in Research Ethics HONESTY — conveying information truthfully and honoring commitments ACCURACY— reporting findings precisely and taking care to avoid errors EFFICIENCY— using resources wisely and avoiding waste OBJECTIVITY— letting the facts speak for themselves and avoiding improper bias http://ori.dhhs.gov/publications/ori_intro_text.shtml

46. Training in RCR at UCI • On-line training program • In-person courses • Small group discussion with case studies • Mentoring in research environment • Lists of resources, including interactive learning tools, videos and case studies http://www.research.uci.edu/ora/rcr.htm

47. RCR Topics • Data Acquisition, Management, Sharing and Ownership • Conflict of Interest and Commitment • Human Subjects • Animal Welfare • Research Misconduct • Publication Practices and Responsible Authorship • Mentor/Trainee Responsibilities • Peer Review • Collaborative Science

48. NIH Update • Training Grants • X-Train • Data Tables • Error Correction Window Eliminated • Adobe-B1 Forms • Bibliography • ARRA Supplement on Progress Reports • Personal Statement on Biosketch Samantha Westcott Assistant Director, Sponsored Projects Administration sjwestco@uci.edu 949.824.4928

49. NIH Listservs and Feeds • Listservs • Office of Laboratory Animal Welfare (OLAW) • eRA Commons News • NIH Guide for Grants and Contracts • SBIR/STTR • Twitter • NIH Extramural Nexus (News) • NIH Guide for Grants and Contracts • NIH Loan Repayment Program • RSS • Rock Talk (Blog) • NIH Extramural Nexus (News) • hESCStem Cell Registry • NIH Guide for Grants and Contracts • OLAW News (Office of Laboratory Animal Welfare) • Podcast: All About Grants http://grants.nih.gov/grants/get_connected.htm

50. Research Terms and Conditions • On January 25, 2008, the National Science and Technology Council (NSTC) published a Federal Register Final Notice giving federal agencies a new standard core set of administrative terms and conditions on research and research-related awards that are subject to OMB Circular A-­110 • The new core set of research terms and conditions is largely based on the terms and conditions that have been used for a number of years by the Federal Demonstration Partnership (FDP). • Effective July 1, 2008, federal research agencies participating in the FDP must use the core set of administrative requirements, to the maximum practicable extent, in their research and research-related grant awards to organizations that are subject to OMB Circular A-110