Sponsored Projects and Regulatory Compliance Services (SPARCS)

1. Sponsored Projects and Regulatory Compliance Services (SPARCS) Matt Ronning Associate Vice Chancellor

2. Objectives • The Proposal and Award Process at NC State • Who to contact with Questions and to Get Started • Following the RFP • Creating a Budget • PINS – Internal Approvals before you submit a proposal • Submitting your proposal to the sponsor (eRA systems) • Negotiate an agreement – Get an Account Number • Stewarding the project through completion • Export Controls – Keep it publishable! • Conflicts of Interest and Commitment • Scientific Integrity • Animals, Humans and substances • Closeout

4. Proposal and Award Processing

5. Get to Know your CROfficers • College Research Officers • Associate Dean for Research • Directors of Research Administration • Proposal and Award Processors and Associates • Budget Reviews • RFP Assistance • Awards Management Assistance • Etc. • Central Officers

6. http://www.ncsu.edu/sparcs SPARCS Website http://www.ncsu.edu/sparcs/

7. Fundamentals • What is a proposal? • Statement of purpose • Reflection of capability • Expression of experience • Request for money • Commitment of resources • Financial • Human • Facilities • Etc. • First, Find Funding • RFP – Request for Proposal • Solicitation for Proposals • Etc. • An RFP will contain Instructions: • On type of programs allowed • Maximum funds available • Deadlines • Where and how to send the proposal • Some are electronic, others paper, etc. • Resource Needs External funding for scholarship, including research, public service and instruction is the backbone of a research extensive institution. It affects everyone at NC State University and impacts the World!

8. Matter of Resources • Gimme Gimme • Release Time • Summer Time • Overhead • Cost Sharing • Facility Allocation Starts with RFP

9. Narrative Blah, blah, blah, blah, blah, blah, I’m the greatest, I can do this, I am smart and I have Matt Ronning at my Institution! Justify to Project Description

10. Budget Justification • Why is a Gas Chromatograph, Mass Spectrometer needed for this project? • How was the cost of the GCMS derived. • Where are you traveling, for what purpose, and whom? • What is Clemson University going to do for 90,000 and how was their budget calculated?

11. Cost Sharing • aka Match • Institutional or Third Party Resources that augment the sponsor’s resources for overall project objectives • Cost Sharing can be in the forms of: • Cash • In-kind • Example of Match is when a sponsor requires that their sponsored dollars are matched at a ratio of 1:1 [sic.] with local dollars • Do not cost share if it is not required.

12. Location Research Instruction Other on-campus 48.5% 47.0% 35.0% off-campus 27.3% 26.0% 20.0% Overhead • Expansion of Institution through external support • Facilities, electricity, water, support, paper, ink, phones, etc. etc. • Costs you can’t easily identify with a single project

13. Your Guide to Budgeting http://www.ncsu.edu/sparcs/budgeting/

14. Grants.gov and Fastlane • Grants.gov – utility for submitting to nearly all federal grant programs • Fastlane – National Science Foundation only • Non-federal sponsors have a myriad of applications with varying usability indices • DON’T WAIT TO ACQUAINT YOURSEVES WITH THE SUBMISSION PROCESS!

15. Grants.gov • It’s HORRIBLE • It takes a lot of time • Write your proposal • Prepare your budget • Get it reviewed by College • Upload it into Grants.gov • Send Grants.gov app to College via PINS • File too big to e-mail, must use PINS http://www.ncsu.edu/sparcs/grants_gov.html

16. Grants.gov is a portal to your sponsor • Grants.gov is simply a clearinghouse for your proposal. • Run’s preliminary/rudimentary error checks • Passes error check, sends to sponsor • Sponsor runs RFP error check • Grants.gov takes 2 days to run error check, sponsor takes an additional 3 days. • Some errors are warnings others are FATAL! • Work Early folks…

17. Funding opp will have link to Grants.gov application packet Here’s an NIH R01 opportunity Note, button takes you straight to Grants.gov application packet

18. Grants.gov at NC State

19. Examples of Grants.gov quirks • You need a software app called Pure Edge Viewer (moving to PDF in future) • It’s like a browser plug-in – get it from Grants.gov website • Pure Edge doesn’t work very well on MACS • Pure Edge doesn’t work very well with VISTA • Pure Edge doesn’t work at all with Linux even though it says it will

20. Examples of Grants.gov quirks • Yellow fields indicate required, but… • Some fields are not yellow and still required • You Close the Form then Save – try that in Word • Never, ever, use the Browser Back Button before Saving your work – you will lose all of your work! • The Pure Edge file gets so big that it is often too big for e-mail attachments – we’re talking 20MB

21. PINS – Project Information and Navigation System • http://www.ncsu.edu/sparcs/pins/ • What is it? • It is NC State University’s system to secure institutional approvals before proposals are submitted(required by sponsors) • It is entirely paperless – entirely • How do I get help with PINS? • http://www.ncsu.edu/sparcs/help.html

22. http://www.ncsu.edu/sparcs/era/ E-Portal to Research Admin Tools

23. You’re Funded! • Do not fret a rejection – read reviews, rewrite, resubmit • Funding agreement – Grant, contract, cooperative agreements defined • Terms generally require negotiation • Preserve your ability to publish, license IP, how do we get paid, etc. • Set up an account

24. Managing the Project • Account/ Project# • Budget • Personnel • Period of Perfor. Changes

25. IP and Publications • You must disclose all inventions to your employer (NC State) • To get patented, you’ll need original laboratory notebooks. • Know your publication rules • Crediting sponsor • Pre-review requirements • Know the confidentiality provisions and manage them accordingly • http://www.ncsu.edu/sparcs/policy/ci_standards.html

26. Before you can Submit a Proposal • Certifications • Objectivity • Integrity • Security • Subjects • Substances • Etc. You and I are going to certify that federal and state rules governing these and other compliance elements are properly addressed before submitting a proposal.

27. Compliance Continuum Behavioral/Integrity Subjects Export Controls Conflicts of Interest External Consulting Research Integrity Animal Use and Care Human Subjects Use Human Embryonic Stem Cells Radiological Safety Chemical and Biological Safety Hazardous Waste Management Substances

28. Export Controls • Definition of Fundamental Research • Access to relevant information: • http://www.ncsu.edu/sparcs/exports/ • Classified Research. Third party • Confidential Disclosure Agreements Top Secret

29. Disclosure of Conflicts of Interest and Commitment

30. Interests & Commitments • Conflicts of Interests deal with your objectivity in executing your functional responsibilities as a member of the academy – that is, influences, real or apparent, that could compromise your ability to objectively propose, conduct or report research, development or other scholarly activity. If so, disclose them and work with the institution (department head and dean) to insert a means to ensure objectivity. • Conflicts of Commitment deal with your privilege to perform limited external professional activities for pay (consulting). Do you have time and is the activity consistent with your compact with the institution?

31. Why disclose? • Mitigate risk to the disclosing party and to the institution. • Maintain confidence in the self-regulation of the inherent and natural conflictsof interest • Ensure objectivity in science • The criminal statue of NC, NIH and NSF guidelines and UNC System Policy.

32. How/Where/When? • Entirely web-based utility • Annually and when circumstances change • Before you submit a proposal, select your own textbook, engage in consulting activities • http://www.ncsu.edu/sparcs/coi/

33. Who discloses • Every EPA employee • Faculty • Professionals • Post docs • And all others • All others working on sponsored projects • SPA • Graduate Students

34. What is disclosed? • Significant financial interests • $10K or more than 5% • Textbooks, other classroom materials • IP owned by disclosing party and licensed TO THE UNIVERSITY • By employee or family member living in same household.

35. Management Plans • When a real or perceived conflict exists • Establish parameters of operating with the conflict • Eliminate conflicts if management is impossible • Evaluate the speculative environment of the scientific community and the general public • Management plans should naturally fall out of the disclosure itself: • Disclosure Questions prompt for management plan components

36. Misconduct in Scholarship Some basic management skills

37. What is it? • Falsification • Fabrication • Plagiarism • NSF, NIH, NC, NC State and UNC all have rules, policies, regulations and consequences • Web resources for scholarly integrity • http://www.ncsu.edu/sparcs/compliance/integrity/

38. Quick Reads • Honor in Science, Sigma Xi • The Responsible Researcher, Sigma Xi • On Being a Scientist, National Academies • Making the Right Moves, HHMI/GSK • ORI- Management of Biomedical Labs • Look at your professional societies, etc…

39. Only Principle for Today • Notebooks!

40. Digital Age of Documentation

41. Animals and Humans

42. Subjects - Compliance • Human Subjects in Research • http://www.ncsu.edu/irb • Animal Subjects • http://www.ncsu.edu/iacuc • All compliance • http://www.ncsu.edu/compliance/