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Welcome to…RAIN

Welcome to…RAIN. (the meeting formerly known as SPIN). Presented by: the folks in RDA, with today’s emcee, Melanie Hawkins. Date: November 17, 2011. Agenda. Melanie Hawkins. Intros Updates & timely information from the units:. RGC CTO USR RATE Research HR ORIO. Export Controls

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Welcome to…RAIN

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  1. Welcome to…RAIN (the meeting formerly known as SPIN) Presented by: the folks in RDA, with today’s emcee, Melanie Hawkins Date: November 17, 2011

  2. Agenda Melanie Hawkins • Intros • Updates & timely information from the units: • RGC • CTO • USR • RATE • Research HR • ORIO • Export Controls • RFDS • Office of the VPR • SPA • TTBD • CRBO • Q & A RAIN: 11.17.2011

  3. RGC • Research Grants and Contracts RAIN: 11.17.2011

  4. RGC: OHSU Research Grants & Contracts Deborah Golden-Eppelein NIH Update • Publication of the Revised NIH Grants Policy Statement (Rev. 10/1/2011): Policy Changes, Clarifications and Document Enhancements (NOT-OD-12-003) http://grants.nih.gov/grants/guide/notice-files/NOT-OD-12-003.html National Institutes of Health RAIN: 11.17.2011

  5. RGC: OHSU Research Grants & Contracts Deborah Golden-Eppelein NIH Update (continued) • While this revision does not introduce any new material for the first time, it incorporates new and modified requirements, clarifies certain policies, and implements changes in statutes, regulations, and policies that have been implemented through appropriate legal and/or policy processes since the previous version of the GPS dated 10/1/2010. • Available in HTML and PDF formats: (http://grants.nih.gov/grants/policy/nihgps_2011/index.htm). The link to the 10/1/10 NIHGPS and all previous versions will remain the same. RAIN: 11.17.2011

  6. RGC: OHSU Research Grants & Contracts Deborah Golden-Eppelein NIH Update (continued) • A document is available that summarizes the significant changes that are implemented with the October 1, 2011 NIHGPS • http://grants.nih.gov/grants/policy/nihgps_2011/Significant_Changes_NIHGPS_2011.doc (MS Word - 75 KB)    RAIN: 11.17.2011

  7. RGC: OHSU Research Grants & Contracts Kellie Guentert Staff Update We are pleased to have Richard Austin joined the RGC team as Administrative Assistant! RAIN: 11.17.2011

  8. RGC: OHSU Research Grants & Contracts Kellie Guentert PPQ Revised • to add Bio-library and Advanced Imaging Research Center (AIRC) to the University Shared Resources RAIN: 11.17.2011

  9. RGC: OHSU Research Grants & Contracts Kellie Guentert Upcoming Holiday Schedule • Friday, 11/25, RGC is closed and no institutional signatures will be available. • Friday, 12/23 and Tuesday, 12/27, no institutional signatures will be available. RGC will have a skeleton crew of staff working with limited service on those dates. RAIN: 11.17.2011

  10. CTO • Clinical Trials Office • Investigator Support & Integration Services (ISIS) RAIN: 11.17.2011

  11. ISIS: OCTRI Investigator Support & Integration Services Darlene Kitterman OHSU Auditor Epic Access Procedure • Current http://ozone.ohsu.edu/healthsystem/HIS/medrectrx/Epic_Access_for_External_Auditors092909clean.pdf • Changes coming: • Requests for ID go to Cathy Schroth • Training no longer required • New link: http://ozone.ohsu.edu/healthsystem/HIS/medrectrx/Epic_Access_for_External_Auditors092909clean.pdf • No test RAIN: 11.17.2011

  12. ISIS: OCTRI Investigator Support & Integration Services Darlene Kitterman OHSU Auditor Epic Access Procedure (cont’d) • Epic access location • Epic access from OHSU guest wireless has been disabled • HIM has moved downtown (no reservable workstations on campus) • Log into OHSU workstation or Hawkeye wireless laptop with HIM Audit password RAIN: 11.17.2011

  13. ISIS: OCTRI Investigator Support & Integration Services Darlene Kitterman OHSU Auditor Epic Access Procedure (cont’d) • Probable Future • Training will be required • Access will be available from OHSU guest wireless • Access will be through OHSU Connect and limited to study subjects requested by monitor • Procedure will be updated when details are determined RAIN: 11.17.2011

  14. USR • University Shared Resources RAIN: 11.17.2011

  15. USR: University Shared Resources Andrew Chitty RAIN: 11.17.2011

  16. USR: University Shared Resources Andrew Chitty USR Cores RAIN: 11.17.2011

  17. USR: University Shared Resources Andrew Chitty Suggestions, Feedback, Complaints? We’d like to hear from you. Andy Chitty Program Manager, USR Baird Hall, 39 chitty@ohsu.edu 503-484-5887 http://www.ohsu.edu/xd/research/cores-and-shared-resources.cfm RAIN: 11.17.2011

  18. RATE • Research Administration Training & Education RAIN: 09.15.2011

  19. RATE: Research Administration Training & Education Dana Director Open Enrollment! Clinical Trials Award Administration: Pre & Post-Award January 5, 2012 – Marquam Hill RDA 101: Introduction to Research Administration February 2, 2012 – Bancroft Building, South Waterfront Registration & Details on the RATE webpage: http://www.ohsu.edu/xd/research/administration/rate_courses.cfm RAIN: 11.17.2011

  20. Research HR • Research Human Resources RAIN: 11.17.2011

  21. Research HR Human Resources Jennifer Crosby Volunteer Services Update • No NEW Volunteer Registration Packets accepted in December • Any new packets turned in Dec. 1-30 will be processed in January 2012 • All packets received by Nov. 30 will be processed in the order received • All re-activating volunteers will still be processed in December Please plan ahead! RAIN: 11.17.2011

  22. Research HR Human Resources Jennifer Crosby New Position Approval Request (PAR) • Institution-wide form; no more UPARs or Ros • Electronic process, including approvals; no more paper or hand written signatures • Programs for electronic process: MS Word & Outlook • Compatible for PC/MAC users • Fewer access barriers across all missions • Pilot Group (representatives from all missions) will start using new PAR Monday, Nov. 21 • Institution-wide launch expected around the New Year • Stay tuned to Managers Forum (blog) for updates RAIN: 11.17.2011

  23. Research HR Human Resources Jennifer Crosby Susan Christy, PhD Visit Dr. Susan Christy will be visiting on December 15 and 16 to both the West and Marquam Hill campuses. She will be giving a one hour address (repeat performance) from 12-1pm both days in the OHSU auditorium, in addition to several other workshops and talks. Here are the details: • Please join Dr. Susan Christy as she discusses how strong, productive staff-faculty relationships create the best in education, research and organizational effectiveness. Working with faculty members takes understanding, special approaches and creativity. It helps to understand the structure and culture of academic institutions, faculty work-styles and priorities, and how to get things done on campus. RAIN: 11.17.2011

  24. Research HR Human Resources Jennifer Crosby Susan Christy, PhD Visit (Continued) This interactive talk will offer many practical, positive strategies and tips for working with faculty in our complex academic medical center and university environment.  • About the speaker and author: Susan Christy, PhD, CMC, President of Christy Consulting, Inc. and author of “Working Effectively with Faculty” appreciates the complexity of college and university administration and management. Susan has consulted with over 20,000 university and college administrators, managers, staff and faculty in over 100 departments in many academic institutions over the last 18 years. Her background as an experienced College and University Consultant, a tenured Psychology Professor, Trustee of The California Institute of Integral Studies, graduate student, business owner, training company VP and TV talk-show host lend depth, flexibility and creativity to her work. RAIN: 11.17.2011

  25. ORIO • OHSU Research Integrity Office RAIN: 11.17.2011

  26. ORIO: OHSU Research Integrity Office Ames Eliot • IRB Analyst Brown Bag Session • December 5th from noon to 1:00pm • UHS 8B60 • Knight Cancer Institute and IRB Updates for Cancer-Related Studies • Joint presentation by Sarah Ward, Denise Mathes, and Susan Aust of the Knight Cancer Institute and Andrea Johnson of the IRB.  Discussion will include the following: • New IND/IDE management services for investigator initiated clinical trials • Updates to Knight CRRC review process • Updates to IRB review process for investigator initiated clinical trials • Updates to Knight DSMP • Your Questions RAIN: 11.17.2011

  27. Export Controls • Office of the Provost RAIN: 11.17.2011

  28. Export Controls: OHSU Office of Export Controls Mark Peters Case Study in How Things Go Wrong University of Tennessee Case of Dr. Roth RAIN: 11.17.2011

  29. Export Controls: OHSU Office of Export Controls Mark Peters Private Sector Partner • Atmospheric Glow Technologies, Inc. (AGT) • founded by Univ. of Tennessee (UT) alumni • Had won U.S. Air Force Small Business Innovative Research (SIBR) contracts • Established to commercialize plasma technologies RAIN: 11.17.2011

  30. Export Controls: OHSU Office of Export Controls Mark Peters UT Principal Investigator • Physics professor at the University of Tennessee (UT) • Scholar, leading researcher in plasma physics with many publications • Held several U.S. patents based on plasma research • Had been involved in academic exchanges with foreign scholars and others, including those in China RAIN: 11.17.2011

  31. Export Controls: OHSU Office of Export Controls Mark Peters SBIR Project Late 2003: U.S. Air Force releases solicitations for SBIR topics, including topic entitled “Plasma Aerodynamics for Munitions Control” Late 2003: AGT meets with Dr. Roth regarding possible collaboration on plasma actuator research May 2004: AGT President Signs Phase I Contract Contract is for “applied” research Stated application is for small munitions system Contract itself contains express export control restrictions RAIN: 11.17.2011

  32. Export Controls: OHSU Office of Export Controls Mark Peters What was the SBIR Project? • U.S. Air Force theory: plasma applied to an airfoil will also affect movement of air over that airfoil and thus aircraft motion • In theory, plasma could be manipulated by actuators to control small aircraft or even munitions traveling at subsonic speeds. • However, application of theory technically complex and existing plasma actuators were insufficient to control small munitions • AGT won SBIR aware to develop this technology for Air Force, utilizing its unique patents, personnel and materials • AGT’s proposals, reports in Phase I and II contracts confirm technology development was unique to Air Force weapons requirements under those contracts RAIN: 11.17.2011

  33. Export Controls: OHSU Office of Export Controls Mark Peters International Team Issues May -October 2004: Dr. Roth and AGT develop plan to include a Chinese national Ph.D. graduate research assistant (GRA) in forthcoming Phase II contract. October 2004: Dr. Roth and AGT negotiated by phone and email to use both a Chinese national GRA and a U.S. national GRA Labor was to be divided to keep Chinese national GRA from seeing or using AGT’s export controlled technical data January 2005: Phase II Tentative Award Letter January 2005: AGT President signs a new DD-2345 with clear clause: January 2005: AGT also submits “Contractor Data Sheet” indicating that all personnel proposed to work on contract will be U.S. citizens May 2005: Dr. Roth assigns both Chinese national GRA and U.S. national GRA to work on Phase II contract RAIN: 11.17.2011

  34. Export Controls: OHSU Office of Export Controls Mark Peters UT Export Control and Travel • March 2006: Dr. Roth invited to lecture in China that May at expense of Fudan University • May 2006: AGT e-mailed Dr. Roth about AGT issues: • AGT’s actuator design considered “company trade secret.” • About replacing the Chinese national GRA after his graduation, “For obvious security reasons, your Iranian student is not going to be acceptable.” • May 2006: Dr. Roth met with UT Export Control Coordinator to add Iranian national GRA to Phase II contract, replacing Chinese national GRA, and request UT seek ITAR export license. UT learned from Dr. Roth that UT Chinese national GRA had worked on project since May 2005 without export license. • UT immediately advised Dr. Roth that Air Force-sponsored research was export controlled. • UT urged Dr. Roth not to further expose foreign nationals toAir Force research and not to take any of research data on his planned trip to China RAIN: 11.17.2011

  35. Export Controls: OHSU Office of Export Controls Mark Peters Trouble Coming Home… • Government inspection of laptop at time of search, seizure at Detroit Airport showed it contained export controlled technical data from AGT research program. • Government computer forensics indicate laptop was connected to Fudan University network in May 2006. • E-mails also indicated a Fudan University computer technician examined the laptop when Dr. Roth had technical problems during his China trip. • Government case suggested reasonable inference that non-U.S. persons had direct access to AGT’s export controlled technical data on laptop because Dr. Roth took it to China on his trip. RAIN: 11.17.2011

  36. Export Controls: OHSU Office of Export Controls Mark Peters Indictments and Convictions • April 2008: AGT’s lead physicist pleads guilty to 1-count criminal information charging Arms Export Control Act (AECA) violation • May 2008: AGT and Dr. Roth indicted by Grand Jury in E.D. Tenn. • 1 count of conspiracy • 16 counts of AECA violations • 1 count of wire fraud [against UT] • August 2008: AGT itself enters into plea agreement and pleads guilty to 10 counts of AECA violations • August-September 2008: 7-day jury trial of Dr. Roth alone as remaining defendant • Convicted on all 17 counts of indictment against him • July 2009: Dr. Roth sentenced to 48 months in prison, fined • January 2011: 6th Circuit Court of Appeals affirmed conviction • October 2011: U.S. Supreme Court denied petition for further appeal RAIN: 11.17.2011

  37. Export Controls: OHSU Office of Export Controls Mark Peters • Questions? Mark Peters Export Compliance Officer www.ohsu.edu/export petemark@ohsu.edu (503) 494-0137 Office (503) 403-9266 Cell RAIN: 11.17.2011

  38. RFDS • Research Funding and Development Services RAIN: 11.17.2011

  39. RFDS: Research Funding and Development Services Rachel Dresbeck Staff changes: Katie Wilkes, new RFDS Program Manager She is your point of contact for: • Research News • Research Websites • Limited Submissions • Funding Opportunities initial inquiries RAIN: 11.17.2011

  40. RFDS: Research Funding and Development Services Rachel Dresbeck New Postdoc website: http://www.ohsu.edu/xd/research/postdocs-students/postdoctoral-fellows-guide/index.cfm RAIN: 11.17.2011

  41. RFDS: Research Funding and Development Services Rachel Dresbeck For your radar: Research Week 2012 First week of May, 2012 RAIN: 11.17.2011

  42. Wrap Up Everyone Q & A Reminder: We take a break in December! Next Meeting: January 19, 2011 9:30 AM Send agenda item requests to: rain@ohsu.edu Or use the feedback form at: http://www.ohsu.edu/xd/research/administration/rain.cfm RAIN: 11.17.2011

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