Quality Research Administration Meeting

1. Quality Research Administration Meeting August 2011

2. Agenda • Sponsored Projects Administration Updates • Subaward Process Updates and Subrecipient Commitment Form Implementation • Proposed Changes to the Common Rule • Federal Budget Crisis and its Effect on Federal Awards • Into. to the Office of Research News Website • Tuition and Fee Remission Update • NSF Responsible Conduct of Research Update • ARRA Reporting Process Update • Research Safety Nancy Lewis Darlene Sullivan and Nancy Lewis Karen Allen Alison Yeung and Jeff Warner Greg Ruth Nancy Lewis Nancy Lewis Nancy Lewis Sheila Hedayati, Rebecca Lally, and Scott Jackson

3. Sponsored Projects Administration Update • Sponsored Projects Administration Update and Reminders Nancy Lewis Director, Sponsored Projects Administration nancy.lewis@research.uci.edu 949.824.2897

4. SPA Update • FY 2011 Extramural Awards • $331,484,650 represents a 2% decrease in funding from FY 2010. Percentage decrease is consistent with Universities nationwide. • Staffing Update • Darlene Sullivan, Principal Subawards Officer, leaves SPA September 1st. We are currently recruiting for her position. • Jonathan Lew and Leighsa Washington (Contract and Grant Officers for federal awards) have switched teams. Jonathan joined Allison Ramos’ team and Leighsa Washington joined Soheil Jadali’s team. • SPA workload review is underway. May result in additional departmental assignment shifts. Departments will be informed well in advance of any changes.

5. SPA Reminders • Proposal File Transfer System • Please choose the appropriate SPA team when submitting files to SPA via this system. The system defaults to the team listed first. Recently, we received files via that system that were sent to the wrong team which resulted in delays in receipt and review of those proposals. • Submission of Requests for Vital Interest Indirect Cost Waivers • Vital Interest waivers should be submitted to the appropriate Sponsored Projects Officer for review and processing. • Waiver requests submitted to the Vice Chancellor’s office will be delayed because they have to be redirected to the appropriate Sponsored Projects Officer. • Submission instructions for Vital Interest Waivers will added to the Sponsored Projects website within the next few days.

6. Sponsored Projects Subaward Update Nancy Lewis Director, Sponsored Projects Administration nancy.lewis@research.uci.edu 949.824.2897 Darlene Sullivan Principal Subcontract Officer Subawards@research.uci.edu • Subaward Process Update August 2011 QRAM

7. Subaward Mailbox • Subawards@research.uci.edu • Monitored by the Subaward Team • What’s the mailbox used for? • Completed Subaward Verification Forms • Agreements and other communications with Subrecipients

8. Streamlining the Subaward Process • Effective immediately, subawards may be issued for more than 1 year at a time depending upon the terms of the prime award • Sponsored Projects has revised its procedure to issue subawards based upon the period of performance and funding allocated to the subrecipient in the prime award unless otherwise instructed by the Principal Investigator via the Subaward Verification Form. • RESULT: Less paperwork, fewer subaward transactions which will result in faster turnaround times for placement of subawards.

9. Sponsored Projects Subaward Update Nancy Lewis Director, Sponsored Projects Administration nancy.lewis@research.uci.edu 949.824.2897 Darlene Sullivan Principal Subcontract Officer Subawards@research.uci.edu • Subrecipient Commitment Form Implementation August 2011 QRAM

10. 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, and OMB Circular A-133.

11. Subrecipient Commitment Form Implementation • Effective October 1, 2011, required for all proposals that include subawards and after-the-fact subawards proposal submissions. • Must be submitted at the proposal stage as part of the proposal package submitted to the Sponsored Projects Officers for review. • A subaward will not be issued without a signed (by an Authorized Official of the subrecipient) Subrecipient Commitment Form and subaward proposal.

12. Subaward Proposal Packet • Subrecipient Commitment Form • Scope of Work • Budget & Budget Justification • Other items that are required by the Sponsor

13. Human Research Protections Update • Proposed Changes to the Common Rule Karen Allen Director, Human Research Protections kallen@uci.edu 949.824.1558

14. Sponsored Projects Administration Update • Federal Budget Crisis and its Effect on Federal Awards Alison Yeung, Contract and Grant Officer Alison.Yeung@research.uci.edu (949) 824-2644 Jeff Warner, Contract and Grant Officer warnerj@uci.edu (949) 824-4781

15. Observations from the Federal Desk OMB budget guidance for FY 2013 NASA NSF NIH

16. OMB Budget Guidance for FY 2013 • Office of Management and Budget directs agencies to submit an FY 2013 budget request that reduces discretionary spending by five percent from its FY 2011 level. • http://www.whitehouse.gov/sites/default/files/omb/memoranda/2011/m11-30.pdf

17. NASA Timely spending, No-cost extensions • NASA is scrutinizing NCTE requests and justifications due to slow spending • NCTE requests must have scientific justification • NASA program budgets are being cut because of unspent funds on awards. Please note: NASA NCTEs processed through NASA Shared Services Center (NSSC) must come through SPA

18. NASA FY’11 allocations decreased • NASA sustained a budget decrease as part of an effort to reduce the amount of funds “uncosted” in this fiscal year • Projects with slow spending rates underwent agency mandated shift in funds • Result: for one PI - Year 2 funds reduced by 50% • Spending rates are under scrutiny: Advise PI’s to expend funds in parallel with technical progress

19. NSF appropriations cancelled • UCI recently received notice of cancellation of FY 2005 appropriations that affect four awards to UCI • Awards were in the 2nd no cost extension period • Additional no cost extensions not possible

20. NIH Graduate Student Compensation • Since 2001, compensation for graduate students supported on NIH awards should not exceed an amount equal the current NRSA Postdoctoral Training Grant zero stipend level. • Due to the current state of the federal budget, this policy is under new scrutiny at NIH. • NRSA Budgetary Policy Fiscal Year 2011 Policy: NOT-OD-11-067

21. NIH FY 2011 zero-level postdoc level: $39,000 NIH FY 2012 zero-level postdoc level: $39,500 NIH FY 2013 zero-level postdoc level: $42,000 NIH FY 2014 zero-level postdoc level: $42,000 Amount proposed (actual grad student costs – tuition, fees, salary): Year 1 (2011): $38,000 Year 2 (2012): $40,000 Year 3 (2013): $41,000 Year 4 (2014): $42,300 Even though the actual amount of grad student costs at UCI went up, you will only receive what was awarded at the FY2011 NIH zero-postdoc level, for Years 2, 3, and 4 If the award is funded in 2011, these are the amounts you will receive for grad student compensation: Year 1: $38,000 Year 2: $38,000 Year 3: $38,000 Year 4: $38,000 For Year 2, the actual cost of grad student compensation is $40,000. You can rebudget project funds to pay grad student up to NIH FY2012 level, which is $39,500, but the dept will need to pay for the remaining amount of $500) since NIH will only fund at the zero-postdoc level at the time of the award. No adjustments will be made to noncompeting total cost award levels or future year commitments. Amount you’re allowed to charge to the NIH grant: Year 1: $38,000 Year 2: $39,500 Year 3: $42,000 Year 4: $42,000 For Year 3, the actual cost is $41,000; you only received $38,000. You can rebudget the difference of $3000 in project costs to the grad student compensation, since $42,000 is the FY13 NIH zerolevel postdoc cap. If FY14 NIH zerolevel postdoc cap remains $42,000, and the actual cost increases to $42,300: the dept will need to cover the $300 difference. This chart is for training purposes only. These are not correct values. Please see Graduate Student Fees and Tuition remission policy here: http://research.uci.edu/ora/sp/studenttuition.htm

22. NIH Reminders • Due to the budget crisis, there is new scrutiny at NIH on late progress reports. Delays in submission of progress reports may jeopardize funding. • Please remind all PI’s to spend their NIH funds in accordance with the time frame set out in the approved budget to avoid cuts in future years funding. • Please remember to send the required FFD to Sponsored Projects to prevent delays in funding.

23. Office of Research Update • Intro. to the Office of Research News Website http:news.research.uci.edu Greg Ruth Communications Manager Office of Research Greg.Ruth@uci.edu 949.824.0372

24. Sponsored Projects Administration Update • Tuition and Fee Remission Update Nancy Lewis Director, Sponsored Projects Administration nancy.lewis@research.uci.edu 949.824.2897

25. Tuition and Fee Remission Update • Graduate Student Tuition and Fee Remission guidance on the SPA website has been updated to reflect the following: • Effective July 1st,in accordance with the amendment to the Regent’s Policies on Student Fees and Fees for Selected Professional Students, “Educational Fee” has been changed to “Tuition” and “Nonresident Tuition” has been changed to “Nonresident Supplemental Tuition. • Escalation factors for nonresident supplemental tuition have been reviewed in accordance with the Regent’s recent decision to increase tuition by $1,068. The increase did not result in a change to the current escalation factors.

26. Sponsored Projects Administration Update • NSF Responsible Conduct of Research Update Nancy Lewis Director, Sponsored Projects Administration nancy.lewis@research.uci.edu 949.824.2897

27. NSF Certification Requirement for RCR Training • Online form to facilitate NSF’s required certification of RCR training will be available in September • PI’s of NSF awards active as of July 31st will receive an e-mail asking them to certify training for personnel supported (i.e. paid) on the NSF award during the previous year. • Certification required annually thereafter. • Certification e-mail will be sent to the PI only. SPA will send an e-mail to Departmental Administrators via the SPA list serve advising that the certification forms were sent to NSF funded PI’s.

28. Sponsored Projects Administration Update • ARRA Reporting Process Update Nancy Lewis Director, Sponsored Projects Administration nancy.lewis@research.uci.edu 949.824.2897

29. UCI’s ARRA REPORTING Process Update

30. Overview • This UC System’s FY 2010 A-133 audit included a finding that the “The Best Available Data” model for ARRA Reporting, was no longer compliant with federal regulations. • UCI, UCR and UC Santa Cruz were required to update their reporting models to be compliant with federal regulations for ARRA reporting.

31. New for October 1, 2011 ARRA Reporting • All data elements reported must reflect current expenditures through the end of the reporting quarter. • Reporting window will be shortened as a result. Reporting cut off dates have been adjusted in order to meet our reporting timeline, please refer to our updated FAQ’s at http://www.research.uci.edu/ora/sp/arra.htm • Three day corrections window (11th -13th of the reporting month) will be utilized for submission of current data. • New tools have been or will be developed in the web reporting tool to assist with reporting of actual data.

32. New for October 1, 2011 ARRA Reporting • The Vendor sections in the Web Reporting Tool have been automated for your convenience and to ensure reporting accuracy. You may still continue to enter the vendor information manually if you choose. • Web Reporting Tool includes new options for Vendor Payment Calculations when you are editing your ARRA report.A tab has been added in the Web Reporting Tool (WRT) next to the Number of Payments to Vendors line which will take the user to a new screen to view the Data Warehouse download information, the correct payments should be selected and then the tool will proceed to enter the correct calculations into the ARRA report. Vendor entries for sub-recipients (vendor payments over $25,000) has also been added to the Web Reporting Tool.

33. NEW Option for Vendor Payment Calculation(for payments under 25K) A Calculate Vendor Payments tab has been added in the Web Reporting Tool (WRT) next to the Number of Payments to Vendors line which will take the user to a new screen to view the Data Warehouse download information, the correct payments should be selected. The tool will then proceed to another screen (Edit Report/Vendor Payment Calculation) displaying the Vendor Calculations Summary. If the total calculationsare correct, enter Save Report and the totals will be entered in the WRT for the current ARRA report.

34. Once you click on the Calculate Vendor Payments Tab you will see When you enter Save Report you will proceed to the screen below

35. When you enter Calculate Vendor Payments on the previous screen, you will be taken to the Edit Report/Vendor Payment Calculations screen below Once you enter Save Report, your calculations will be entered into your report

36. Sub-Recipient Vendors over 25K • Vendor entries for sub-recipients (vendor payments over $25,000) has also been added to the Web Reporting Tool. This option has a drop down menu for selecting sub-recipient IF applicable.  For awards w/o sub-recipients, the option will not be there.

37. Additional Resources coming soon to the SPA Website: http://www.research.uci.edu/ora/sp/arra.htm • Updated ARRA FAQ’s that include the new reporting methodology • ARRA Reporting Schedule • ARRA Reporting Guidance(a quick reference guide to submitting an ARRA Report) • ARRA Reporting Process Overview / Update for October 1, 2011- Presentation on UCI Replay • In Person ARRA Reporting Process Overview planned for mid September.

38. Questions? Evelyn McNally, ARRA Reporting Administrator Sponsored Projects Administration (SPA) evelyn.mcnally@uci.edu or x4214 .

39. EH&S Update • Research Safety Rebecca Lally Chemical Hygiene Officer, Environmental Health and Safely rlally@uci.edu 949.824.5730 Sheila Hedayati Biosafety Officer, Environmental Health and Safely shedayat@uci.edu 949.824.9888 Scott Jackson Fire Marshall, Environmental Health and Safely jacksons@uci.edu 949.824.9665

40. QUESTIONS ??