Section Overview II

1. Section Overview II Proposal Preparation Electronic Research Administration (ERA) Systems Proposal Budgeting Allowable Costs Cost Share Proposal Deadline and Authorization Conflict of Interest Research Misconduct Review Boards Export Controls Export Agencies and Regulations

2. Contact: Lisa Jukkala Manager, Government Contracts/Training Research & Sponsored Programs 487-2226 lajukkal@mtu.edu

3. Proposal Preparation Inform Research & Sponsored Programs Review solicitation Limited submission Guidelines can be found on web

4. Proposal Preparation (continued) Internal Forms: http://www.mtu.edu/ Transmittal Sheet Pay attention to special approvals that may be required Budget Spreadsheet Cost Share/Matching Support Form – if needed Conflict of Interest Disclosure Form – if needed

5. Electronic Research Administration (ERA) Systems Multiple Agency System: Grants.gov Allows organizations to electronically find and apply for competitive grant opportunities from all Federal grant-making agencies Located at: http://www.grants.gov/ Agency Specific Systems: e Center: U.S. Department of Energy, located at http://e-center.doe.gov/ NSPIRES: National Aeronautics and Space Administration, located at http://nspires.nasaprs.com/external/ ERA Commons: National Institutes of Health, located at https://commons.era.nih.gov/commons/ FastLane: National Science Foundation, located at https://www.fastlane.nsf.gov/fastlane.jsp

6. Proposal Budgeting Determine anticipated start date and budget by year or applicable time period. Direct cost categories may include: Personnel GRA stipend rates found on web Fringe Benefits Current fringe benefit rates found on web Equipment/Fabricated Equipment Travel Consultants Materials/Supplies

7. Proposal Budgeting(continued) Internal/External Services Subcontracts Publication Costs Tuition/Fees GRA tuition/fee rates found on web Other Direct Costs Facilities and Administrative (F&A) Costs Determined by project function and location Current F&A rates found on Web

8. Allowable Costs OMB Circular A-21, Cost Principles for Educational Institutions Principles for determining costs applicable to research and development, training, and other sponsored work under grants, contracts and other agreements with educational institutions Summary found on web

9. Cost Share Portion of project costs not paid by the sponsor Types of cost share: Mandatory: % or amount required by solicitation Voluntary: not required by solicitation value not disclosed to sponsor Sources of cost share: University funds Faculty academic year time GACS (guidelines found on web) External funds Cost share expenditures must occur in the approved period of performance

10. Proposal Deadline and Authorization It is strongly recommended that all internal paperwork and complete proposal be submitted to Research & Sponsored Programs at least 48 hours prior to the proposal mailing or electronic submission deadline. Board of Control policy requires that all proposals submitted from the University be authorized by a designated University official. Research & Sponsored Programs is the unit responsible for review and submission of all proposals on behalf of Michigan Tech. Principal investigators do not have authority to submit proposals.

11. Contact: Joanne Polzien Director Research Compliance 487-2902 jpolzien@mtu.edu August 23, 2007

12. Presentation Overview Conflict of Interest Faculty Handbook: 3.1.1 Conflict of Interest/Effort Faculty Handbook: Appendix B. Conflict of Interest Procedures Conflict of Interest Disclosure Form Research Misconduct Faculty Handbook: 3.3.5 Scientific Misconduct Faculty Handbook: Appendix F. Scientific Misconduct Procedures Review Boards Export Controls

13. Conflict of Interest Conflict of Interest Coordinator Dr. David Hand, Civil & Environmental Engineering 487-2777 or dwhand@mtu.edu MTU’s Transmittal form has a disclosure section that you need to complete.

14. Conflict of Interest Conflicts of interest at Michigan Tech are divided into five categories of increasing seriousness: Category I: Exempt Activities - almost all outside professional activities can pose conflicts of interest, if an honoraria or royalties are received, or conflicts of commitment. But participation in certain traditional professional activities expected of all members of the MTU academic community does not have to be reported or disclosed.

15. Conflict of Interest Category II: Professional activities and academic service that pose very little conflict of interest in traditional financial terms, but because they require a commitment of time beyond that normally allowed for consulting relationships can create conflicts of commitment. Category III: External professional relationships with minimal financial interests, such as consulting relationships or royalty sharing arrangements, outside research contracts and grants, adoption of self-authored textbooks and other learning aids.

16. Conflict of Interest Category IV: Outside business activities, including entrepreneurial activities such as ownership of outside companies, that are connected to one’s professional activities within the University and that involve more complex financial relationships. Category V: Other outside professional activities that create unacceptable conflicts of interest.

17. Conflict of Interest Conflict of Interest/Effort Policy can be found at: http://www.admin.mtu.edu/admin/prov/facbook/ch3/3chap-01.htm#P4_55 Conflict of Interest Procedures can be found at:http://www.admin.mtu.edu/admin/prov/facbook/appb/bapp2.html

18. Research Misconduct Significant departure from commonly accepted practices in the scientific community in proposing, performing or reviewing research, or reporting research, such as fabrication, plagiarism, falsification, deception, misrepresentation, or arbitrary selection of data; Plagiarism or other appropriation of the work of another individual and presenting it as if it were one’s own or without credit to the originator as is required by commonly accepted practices in the scientific community;

19. Research Misconduct • Material failure to comply with funding agency (federal, state, or private, etc) requirements that are uniquely related to the conduct of the research; and • Retaliation against a person who, acting in good faith, has reported or provided information about suspected or alleged misconduct.

20. Research Misconduct Any questions, concerns, or interpretations should be directed to Joanne Polzien in the Research Compliance Office. A detailed definition for Scientific Misconduct can be found at: www.admin.mtu.edu/admin/prov/facbook/ch3/3chap-31.htm Scientific Misconduct Procedures can be found at: www.admin.mtu.edu/admin/prov/facbook/appf/fapp.htm

21. Review Boards IRB Institutional Review Board - Human Subjects Committee Dr. Willie Melton, Chair, Dept. of Social Sciences IACUC Institutional Animal Care and Use Committee Dr. Ann MacLean, Chair, School of Forest Resources and Environmental Science IBC Institutional Biosafety Committee (Recombinant DNA) Dr. Shekhar Joshi, Chair, School of Forest Resources and Environmental Science

22. Review Boards Information and forms for these committees may be found at: http://www.admin.mtu.edu/research/vpr/review.html All Applications for research to use human subjects, animals, and R-DNA need to be submitted to the Research Compliance Office for dissemination to the appropriate board/committee for review and approval.

23. Review Boards Human Subject Research All human research conducted at, by, or under the auspices of Michigan Tech, whether funded or not and whether conducted by administrators, faculty, staff, or students, must be reviewed and approved before the research begins. Exempt - "exempt" does not mean exempt from review - “Exempt" is a determination that the research in question does not meet the requirements of oversight.

24. Review Boards Questions to consider: Is your study a systematic investigation designed to develop or contribute to the body of generalizable knowledge? If yes, then your study is defined as research. Will you obtain data through investigation or interaction with one or more living individuals, or will you obtain any identifiable private information about a living individual? If yes, then you are using human subjects.

25. Review Boards If you answered yes to both questions, then your study is defined as research with human subjects and must be approved by the IRB before you begin recruitment of research participants or data collection. Please note that survey research, all pilot studies, and oral history research do meet this definition and must be approved by the IRB before you send out questionnaires, interview subjects, or otherwise have contact with potential subjects.

26. Contact: Jay Meldrum Director Keweenaw Research Center 487-3178 jmeldrum@mtu.edu

27. Export Agencies & Regulations Export Administration Regulations (EAR) Department of Commerce, Bureau of Industry and Security (BIS) Commercial or dual-use items (military/commercial) International Traffic in Arms Regulations (ITAR) Department of State, Office of Defense Trade Control (ODTC) Military items classified on the Munitions List 15 CFR 730.3

28. Export Agencies & Regulations Department of the Treasury Office of Foreign Assets Control (OFAC) Department of Justice Department of Energy Nuclear Regulatory Commission Department of Homeland Security Boarder and Transportation Security U.S. Customs

29. Export Defined Sending or taking a defense article out of the United States in any manner, except by mere travel outside of the United States by a person whose personal knowledge includes technical data. Disclosing (including oral or visual disclosure) or transferring technical data to a foreign person, whether in the United States or abroad (so-called “deemed export”). 15 CFR 730.5; 22 CFR 120.17

30. Export of Items Important questions: What is my item? Where is it going? Who will receive it? What will be the end use? What else do I know about my end user?

31. Export of Items General Prohibitions must be checked. There are 10 General Prohibitions. No exports to certain persons, countries, end use, and end users.

32. General Prohibitions Denied Persons (Dept. of Commerce) Parties previously denied export privileges. Unverified List (Dept. of Commerce) Foreign parties to transactions, where post-shipment verifications or pre-licensed checks could not be conducted. Entity List (Dept. of Commerce) Foreign parties for which there are concerns of possible proliferation activities. Debarred List (Dept. of State) Persons convicted of violating or conspiring to violate the Arms Export Control Act

33. General Prohibitions OFAC Lists (Dept. of Treasury) Countries against which United States has declared embargo or sanctions. Countries accused by United States of sponsoring terrorism. OFAC Lists Primarily Address: Cuba, North Korea, Libya, Iraq, Iran, Burma (Myanmar), Sudan, Liberia, The Balkans, and Zimbabwe Diamond Trade, Narcotics, Terrorism, and Weapons of Mass Destruction

34. Is a License Required? Assuming no General Prohibitions apply: If it is not on the EAR or ITAR list of restricted items, no license is required. If item is on the list and exception applies, no license required. Even if item is on the list and no exception applies, regulations may not require license for export to country of destination. Contact Joanne Polzien, 487-2902 for assistance.

35. Applying for License Technical data describing export item must be provided. Purchase order required for export license under ITAR. If all goes well, license may be obtained in 45-60 days.

36. Foreign Person Any natural person who is not a lawful permanent resident or who is not a protected individual. Lawful Permanent Resident “Green card” = permanent resident. Student visa = not permanent resident. 22 CFR 120.16

37. Foreign Person Any foreign corporation, business association, partnership, trust, society or any other entity or group that is not incorporated or organized to do business in the United States, as well as international organizations, foreign governments and any agency or subdivision of foreign governments (e.g., diplomatic missions). 22 CFR 120.16

38. University Exceptions for Deemed Exports No license required under EAR or ITAR for the deemed export of technology that: is already published or will be published; arises during or results from fundamental research; is educational; or is included in patent applications and communicated to foreign persons under certain conditions. 15 CFR 734.3(b)(3) & 734.7-734.9; 22 CFR 120.10 & 120.11

39. “Published” and “Public Domain” Exceptions Information is published when generally accessible to the interested public in any form, and including: Published in any media (Internet, bookstores, newsstands, etc.). Available in public or university libraries. Published in patent or patent application. Released at an “open” conference. 15 CFR 734.7; 22 CFR 120.11

40. “Fundamental Research” Exception Basic and applied research in science and engineering, where resulting information is ordinarily published and shared broadly within the scientific community. Not proprietary research or industrial R&D, the results of which ordinarily are restricted for proprietary reasons or specific national security reasons. 15 CFR 734.8; 22 CFR 120.11

41. “Fundamental Research” Exception Not fundamental research if: University or its researchers accept other restrictions on publication of scientific and technical information resulting from the project or activity. Research is funded by the U.S. Government and specific access and dissemination controls protecting information resulting from the research are applicable. 15 CFR 734.8; 22 CFR 120.11

42. “Fundamental Research” Exception Transfer of background proprietary information is not part of the fundamental research and is subject to export regulation. Still considered fundamental research if sponsor requires prepublication review for removal of background proprietary information or to avoid compromising patent rights. 15 CFR 734.8; 22 CFR 120.11

43. MTU Policy MTU will accept research funding when advance sponsor notification or limited-time (generally < 60 days) sponsor review prior to publication is required for review of intellectual property. www.admin.mtu.edu/rgs/research/sprot/policies/natlsecurity.html

44. “Fundamental Research” Exception Foreign nationals can work on research projects and write theses, just as United States students can, provided the research qualifies as “fundamental research.” 15 CFR 734.8; 22 CFR 120.11

45. “Educational” Exception No license required for information released by instruction in catalog courses and associated teaching laboratories of academic institutions. If you teach it in an open-enrollment class with no registration restrictions, there is no export license required! 15 CFR 734.9; 22 CFR 120.10

46. MTU Policy All sponsored projects received by MTU with national security restrictions on publication of results and/or participation by foreign nationals will be administered through Jay Meldrum at KRC. www.admin.mtu.edu/rgs/research/sprot/policies/natlsecurity.html

47. MTU Policy In all cases, MTU will not accept projects unless both the Principal Investigator (PI) and unit administrator(s) concur with this decision, and agree to comply, and enforce compliance, with all contract terms and conditions. www.admin.mtu.edu/rgs/research/sprot/policies/natlsecurity.html

48. MTU Policy MTU will not under any circumstance accept research funding supporting development of graduate student theses/dissertations when publication is prohibited or requires prior sponsor approval. www.admin.mtu.edu/rgs/research/sprot/policies/natlsecurity.html

49. MTU Policy MTU may consider accepting national security publication restrictions when these are immaterial to the conduct of the project or the thesis/dissertation of a student working on the project (such as testing or service projects) www.admin.mtu.edu/rgs/research/sprot/policies/natlsecurity.html

50. MTU Policy MTU may consider accepting restrictions on participation by foreign nationals when these are immaterial to the conduct of the project; this determination is to rely heavily on the recommendations of the PI and unit administrator (s). www.admin.mtu.edu/rgs/research/sprot/policies/natlsecurity.html