Quality Research Administration Meeting€¦ · – Opportunities to meet with representatives from...

December 5, 2018

Quality Research Administration Meeting

2

Happy Holidaysfrom the Office of Research!

Winter QRAM 2018

*Proper food handling techniques were used to package your cookies.

Make sure to enter the raffle!

Make sure to enter the raffle!

3Winter QRAM 2018

4

Agenda• General Announcements • OIT Recharge Services• Composite Benefit Rates (CBR)• C&G Accounting Updates• ERA Updates• Introduction to Office of Research IT • Federal Update• HRP Common Rule • REF Updates

Winter QRAM 2018

5

Tentative 2019 QRAM Schedule

• Wednesday, March 27, 2019 • Wednesday, August 28, 2019 • Wednesday, December 4, 2019

*Location is TBD

Winter QRAM 2018

6

Research Support Fair(s)• Starting in January, the Office of Research will be holding

Research Support Fair events across the campus.• Target audience: UCI faculty, staff, etc. involved in research• Highlights:

– Q&A Session with OR Senior Leadership– Opportunities to meet with representatives from the many resources

available at UCI related to research– Win raffle prizes

• Time: 12:45-3:00 PM

Winter QRAM 2018

7

Research Support Fair(s)Schools Date LocationArts, Business, Education, Humanities, Law, Social Ecology, Social Sciences

Tuesday, January 15, 2019 Social and Behavioral Sciences Gateway, Room 1517

Biological Sciences, Physical Sciences Wednesday, February 13, 2019 Natural Sciences I, Room 1114

Engineering, Information & Computer Sciences Wednesday, March 6, 2019 Donald Bren Hall Room 6011

Medicine and College of Health Sciences (campus) Tuesday, April 9, 2019 Gross Hall 4th Floor Thorp Conference Center

Medicine (UCIMC) Thursday, May 9, 2019 UCI Medical Center Building 54, Podlich Conference Center, 5th Floor

Winter QRAM 2018

8

Staffing Updates

• Sponsored Projects Administration– C&G– REF

• Research Protections

Winter QRAM 2018

9


Winter QRAM 2018

OIT Research Support Services

Brian Buckler, Director, Service Quality, Enterprise Infrastructure, Office of Information Technology

Winter QRAM 2018

11

Presentation Outline

• Goals and objectives• OIT services• RCIC• How to contact us• Questions and discussion

Winter QRAM 2018

12

Goals and Objectives• Increase awareness of OIT services• Provide relevant and valuable services• Develop a process to enable OIT to be engaged in grant

proposal development so that researchers can include OIT services in their grant proposals

• Understand the grant development process in each school and identify school liaisons

• Provide IT consulting, planning and budget development

Winter QRAM 2018

13

OIT Services• OIT Core Funded and Recharge services

– Core funded services• No charge to OIT customers• Includes network, security, email, file sharing and collaboration, instant

messaging & basic website hosting, support for instruction, classroom and lab technology support, and some RCIC services

– Recharge services• Many services across all areas of IT• https://www.oit.uci.edu/recharge-services/

– A list of all OIT services is available on the OIT website• https://www.oit.uci.edu/services/

Winter QRAM 2018

https://www.oit.uci.edu/recharge-services/

https://www.oit.uci.edu/services/

14

RCIC

• Research Cyberinfrastructure Center (RCIC)– Phil Papadopoulos, Director– RCIC and OIT are partners in the delivery of research

computing support– Services include

• HPC• CRSP• SRE

Winter QRAM 2018

15

How To Contact Us

• For research grant proposal IT consultation, contact Brian Buckler– 824-7955– [email protected]

• For all other OIT services and support, contact the OIT Help Desk – 824-2222– [email protected]

Winter QRAM 2018

mailto:[email protected]

16

Questions and Discussion• Your questions for me• My questions for you

– Who can I work with in each school to help me understand how the grant proposal development process works in each school and who is involved?

– How can OIT get engaged early in the grant proposal planning and development process in each school?

– What are the most common IT services needed by researchers?– What are the unmet needs?

Winter QRAM 2018

17Winter QRAM 2018

18


Winter QRAM 2018

CompositeBenefits

Rates

Planning & Budget Division of Finance and Administration

December 2018

Overview

20

Many components of total benefits cost previously charged individually will be combined into a CBR rate

CBR

NOT included in CBR: Vacation Leave, Sabbaticals, Tuition Remission, GSHIP, GAEL/EPL, UCRP Borrowing Interest.

OPEB

Dental

Vision

Workers’ Comp

RetirementHealth

DisabilityOASDI

Medicare

UI

Life Ins

Benefit Admin

Emp Support

UCRP Supp

21

Benefits & Other Charges after UC Path

Federal Funds*

Non-Federal Funds

Composite Benefits Rates

UCRP Borrowing Interest Cost

Vacation (Leave) Accrual

Tuition Remission**

Graduate Student Health Insurance**

Liability Insurance (GAEL/EPL)

* Includes Federal Flow-Through Funds** When applicable for TAs and GSRs (similar to current process)

Overview

What’s changing?• UC-paid benefits pooled into single charge

– Upon UC Path implementation for UCI– Currently scheduled for late-March/early-April

• Consistent method of charging benefits costs• Rates are based on 10 employee groups • Certain components of pay not charged CBR• Departmental benefits charges will be different

What’s not changing?• Employee-paid benefits amounts are not affected• Total campus/MC benefits costs will be the same

22

Positive Benefits

• Easier to budget employee benefits costs• Easier to project employee benefits costs• Reduction in benefits transactions in the General Ledger

and financial reports• Eliminates variability in benefits costs when employee

has a life change• Annual benefits rates published in advance

23

Transitional Changes

• Departments may see differences between current benefits costs and new CBR charges

• UC must seek federal approval of rates each year• Actual costs must be reconciled to CBR rates to ensure

we are recovering costs appropriately– This is done at the campus level only

• While overall campus benefits costs will not change, there will be differential impacts across campus (positive and negative)– Most differences at the School/Divisional level are not expected

to be large– Mitigation strategies will be discussed later

24

CBR Employee Groups

• Employees fall into CBR group based on:– Employee Class (staff/academic, career/limited)– Benefits eligibility level (full, partial, none)– FLSA status (exempt, non-exempt)– Job code– Faculty summer salary (based on earnings code)– Campus and UCIMC have separate CBR groups/rates

• Remember: Specific employee choices do not impact CBR group the employee falls under.

25

Planning Rates for C&G Proposals

26

Rates shown beyond FY20 are for planning and budgeting purposes only.

Campus Employee Groups FY19 FY20 FY21 FY22 FY23 FY24For Employees with Full Benefits

1 Faculty 34.3% 35.0% 36.1% 37.1% 38.2% 39.4%2 Other Academic 44.9% 45.8% 47.2% 48.6% 50.0% 51.5%3 Post Doc 23.7% 24.3% 25.0% 25.8% 26.6% 27.3%4 HCOMP Faculty/Physician (MSP)/Law Faculty/Police 25.7% 26.2% 27.0% 27.8% 28.6% 29.5%5 Staff Exempt 42.8% 43.6% 44.9% 46.3% 47.6% 49.1%6 Staff Non-Exempt 51.0% 52.1% 53.7% 55.3% 56.9% 58.6%7 Food-Custodian-Grounds-Building Maintenance Workers 71.1% 72.8% 75.0% 77.2% 79.6% 81.9%

For Employees with Less than Full Benefits and Students8 Faculty Summer Salary 9.5% 9.5% 9.8% 10.1% 10.4% 10.7%9 Students and Employees with No Eligibility 2.3% 2.3% 2.4% 2.4% 2.5% 2.6%

10 Partial Benefit Eligibility 10.6% 10.8% 11.1% 11.5% 11.8% 12.2%

Campus Rates Estimated Rates (for C&G)

For Planning Purposes Only(Subject to Change)Pending DHHS Approval

C&G Mitigation Transition

• The campus will provide one-time funding directly to individual grants where CBR causes significant increase in benefits costs. Limited duration Eligibility criteria to be established

• A workgroup is being formed to develop eligibility criteria and process for applying for mitigation assistance.

• New proposals should incorporate proposed Composite Benefits Rates Campus mitigation assistance provided if proposal submitted

prior to 11/15/18 and used old benefits rate budgeting.

27

CBR Website

• There is a UCPath Composite Benefit Rate website located on Budget Office Website – http://www.budgetoffice.uci.edu/

• Website includes– Communication letter from Provost– Final CBR rates– Various reference tables– Frequently Asked Questions section– Page will be updated periodically as more information is

available

28

http://www.budgetoffice.uci.edu/

How to determine CBR groups and assessments

29

How Typical Jobs Fall Into CBR Groups (with full benefits)

Faculty• Professor Series• Director• Dean (incl Assoc)• Visiting Professor Series• Adjunct Professor Series• Prof of Clinical (non HCOMP)• HS Clinical Prof (non HCOMP)• Lecturer• Lecturer w/ SOE/PSOE• Supervisor of Teacher Ed• Coordinator of Field Work

30

Other Academic• Academic Coordinator• Academic Administrator• Researcher Series• Resident Physician• Specialist (incl Jr/Asst/Assoc)• Project Scientist• Program Coordinator• Teacher – University Extension• Librarian Series• Curator Series

NOTE: If benefits eligibility is less than full, CBR group is partial or no benefits.

How Typical Jobs Fall Into CBR Groups (with full benefits)

Student• Associate In ___• Teaching Assistant• Teaching Fellow• Reader• Tutor• Graduate Student Researcher

31

HCOMP/Law Fac/Phys• Prof of Clin – HCOMP• Professor – Law Scale• Professor – HCOMP (includes

Asst/Assoc)• Lecturer SOE – HCOMP• Visiting Professor – HCOMP• HS Clinical Prof – HCOMP• Instructor – HCOMP• Physician (Diplomate) Sr• Assoc/Asst/Staff Physician

(Diplomate)

Employee Group Mapping (1)

1) If Employee Class = 9 (Faculty) and DOS code = ACM, AFR, STS, ACA, APA, AAC, ACR, ARC, or SSC, then CBR is “Faculty Summer Salary” group

2) If Eligibility Configuration is Mid-level or Core, then CBR is “Partial Benefit Eligibility”

3) If Eligibility Configuration is None OR Employee Class = 5 or 11 (students), then CBR is “Students and Employees with No Eligibility”

4) If Employee Class = 23 (Postdocs), then CBR is “Postdocs”

32

Employee Group Mapping (2)

4) If Eligibility Configuration is Full, then one of 7 groups under Employees with Full Benefits.a) Staff groups (Employee Class = 1, 2, 7, or 8)

1) Review Table 3 job code list for job specific groups:1) HCOMP Faculty/Physician (MSP)/Law Faculty/Police2) Food/Custodian/Grounds/Building Maintenance Workers

2) If Fair Labor Standards Act (FLSA) status is Exempt, then employee group is “Staff Exempt”

3) If Fair labor Stands Act (FLSA) status is Non-Exempt, then employee group is “Staff Non-Exempt”

b) Faculty groups (Employee Class = 9)a) Refer to Non-staff Title Code Mapping for HCOMP faculty codesb) All other job codes = Faculty group

c) Other Academic (Employee Class = 10 or 22)

33

Earnings Codes Excluded from CBR

34

NOTE: This list may be modified by the time UC Path is implemented.

Earnings Code Earnings Code Description Earnings Code Earnings Code Description Earnings Code Earnings Code DescriptionAAP Academic Award Program HZC HLTH Sciences-Z (Clinical) SHB Shift BonusANN Annuity Payments HZO HLTH Sciences-Z (Outside Act) SLA Sick Leave-AccruedAWD Award Payment ICP Incentive Pay SPI Staff Physician Pay-IncentiveB2B Benefits Billing ITL Involuntary Term-Lump Sum TFB Taxable Fringe BenefitBON Bonus ITP Involuntary Term-Pay In Lieu TID Travel of Indefinite DurationBYH ACA Earnings ITR Involuntary Term-Regular TLI Tail Insurance PremiumCBB Donate Cat Leave Bal to Bank ITS Involuntary Term-Severance TPR Tax Prep Reimbursement CBE Donat Cat Leav Bal to Employee LFN Leave-No Pay-FMLA - Hourly TRM Terminal Vacation-PayCBN Collective Bargaining-Flat Amt LNF Leave-No Pay-FMLA Salaried UNI Uniform Allowance-NontaxableCCA Child Care Assistance LNP Leave-No Pay Salaried UNT Uniform Allowance-TaxableCDB Cat Leave Donation to Bank LPN Leave-No Pay Hourly URL UCPATH Relocation PayCDE Cat Leave Donation to Employee LVC Leave-No Pay-Curtailment Sal VAC Vacation Leave-Used SalariedCNB Coach Non-Base (Coach NB) LVN Leave-No Pay-Curtailment Hrly VCN Vacation Leave-Used HourlyCRB Cat Leave Received from Bank MOV Moving Expenses-Pay VLA Vacation Leave-AccruedCRE Cat Leave Received from Employ MVE Moving Expenses-Imputed VLC Catastrophic Leave Taken SalCTA Compensatory Time-Accrued NCA Noncash Award VLN Catastrophic Leave Taken HrlyEAA Employee Auto Allowance OVP Overpayment VTL Voluntary Term-Lump SumERT ERIT-Regular PDA Award-Professional Development VTR Voluntary Term-RegularETI Tip-Income PDE Paid Direct-Earnings VTS Voluntary Term-SeveranceETR Tip-Reporting PEI In Lieu-Endorsment-3rd Party WCN Workers Comp - No PayFMV Fair Market Value - Taxable PFM Perq-House-Meal-Memo WNP Workers’ Comp Without PayFRA Faculty Recruitment Allowance PQT Perq-House-Meal-Taxable WOS Without SalaryFSA FSA Unsub Claim PRQ Perq-House-Meal-Deduction XCE Clinical ENT MGMT RecognitionGAP Unpaid Cap Gap RIP Relocation Payment XCI Clinical Incentive PlanHCE Holiday-Comp-Time-Earned RPL Phased Retirement-Lump XSC Star Spot Award CentralHFE Holiday-Float-Comp-Time-Earned RPS Phased Retirement-Shift XSL Star Award LocalHSG Housing Allowance RPT Phased Retirement-Regular XTI Treasurers Incentive AwardHSZ HLTH Sciences-Z (General) RPY Retention Pay XUI UC Incentive ProgramHZA HLTH Sciences-Z (Admin)

Pop Quiz – Which CBR Group Applies?

1. Employee Class = 11 (Academic Student), Job Code = 2310 (Teaching Assistant), ERN Code = REG CBR Group = Students & Employees with no eligibility

2. Employee Class = 9 (Academic-Faculty), Job Code = 1453 (Prof of Clin_HCOMP), ERN Code = HSZ No CBR Assessment applies (HSZ ERN code excluded)

3. Employee Class = 2 (Staff: Career), Benefits Eligibility = Mid-Level, FLSA Status = Exempt, ERN Code = REG CBR Group = Partial Benefits Eligibility

4. Employee Class = 10 (Academic: Non-Faculty), Benefits Eligibility = Full, ERN Code = STP (stipend) CBR Group = Other Academic

35

Pop Quiz – Which CBR Group Applies?

5. Employee Class = 1 (Staff: Contract), Benefits Eligibility = Full, FLSA Status = Non-Exempt, Job Code = 4722 (__Asst III), ERN Code = OTP CBR Group = Staff Non-Exempt

6. Employee Class = 9 (Academic-Faculty), Benefits Elig = Full, Job Code = 1100 (Professor), ERN Code = ACR Faculty Summer Salary

7. Employee Class = 2 (Staff: Career), Benefits Elig = Full, FLSA = Non-Exempt, Job Code = 5523 (Cook) CBR Group = Food/Custodian/Ground/BMW

8. Employee Class = 2 (Staff: Career), Benefits Elig = Full, FLSA = Exempt, ERN Code = VAC (vacation) No CBR Assessment applies (VAC excluded)

36

Vacation (aka Leave) Accrual

37

Vacation Accrual

• UC Path will continue practice of charging departments for vacation accrual and crediting departments for vacation used/paid.

• Vacation accrual will be a percentage of salary:– Fiscal year faculty– Accruing staff and non-faculty academics– Non-accruing staff and academic year faculty

• Accrual intended to generate funding to cover expected vacation usage and terminal vacation for the year.

• Rates will be reviewed and updated at least annually.

38

Vacation Accrual Key Points

• Amount accrued will not be based on vacation hours earned – only a set percentage of salary.

• Accrual includes salary portion only – not benefits.• Vacation accrual continues regardless of whether

employee is at the maximum or not.• Credits for vacation usage will be based on the hours

used/paid and the hourly salary at the time.• Campus and UCIMC will have separate accrual rates.

39

GAEL/EPL

40

What is GAEL/EPL?

• GAEL stands for General, Automobile, and Employment Practices Liability– At UCI, sometimes referred to EPL

• GAEL represents UC’s liability insurance and related loss prevention programs

• Not charged to federal funds– Fund ranges 21100-33999

• Not charged to federal flow-through funds– State of California funds 18200-18299– Local Government funds 20600-20699– Private funds 77300-78999

• Nearly all ERN codes included in GAEL charges• Current rate is 0.68% of payroll (will change for UCPath)

41

Budgeting Example

42

Budgeting Example

Associate Professor Parker is developing a grant proposal with the following elements:

– 3 year proposal– Start date: January 1, 2020– Includes 20% of his academic year salary ($100,000/year)– Next academic review: 2020-21 (effective 7/1/2021)– Includes 2 months summer salary (July and August)

What relevant questions should be asked?– What CBR groups do Dr. Parker’s pay elements fall under?– What is the funding source of the grant?– What changes in his salary amounts can be expected?– What changes in CBR and other charges should I plan for?

43

Budgeting Example

44

Jan-June (FY20)

July-Dec (FY21) Total

Jan-June (FY21)


Jan-June (FY22)


Base Salary 100,000$ Effort 20.0%Range Adj 4.0% 10,400$ 10,820$ 21,220$ Merit 5.0% 10,820$ 11,820$ 22,640$ 11,820$ 12,290$ 24,110$

Summer Salary 22,222$ 24,036$ 24,036$ 26,247$ 26,247$ 27,297$ 27,297$

Total Salary 45,256$ 48,887$ 51,407$

CBRBase Salary Faculty 35.0% 36.1% 7,546$ 36.1% 37.1% 8,291$ 37.1% 38.2% 9,080$ Summer Salary 9.5% 9.8% 2,355$ 9.8% 10.1% 2,651$ 10.1% 10.4% 2,839$

Total CBR 9,902$ 10,942$ 11,919$

FEDERAL FUNDS TOTAL 55,157$ 59,829$ 63,326$

UCRP Interest BENF 1.28% 1.73% 320$ 1.73% 1.66% 383$ 1.66% 1.57% 389$ GAEL/EPL GENX 0.70% 0.70% 317$ 0.70% 0.70% 342$ 0.70% 0.70% 360$

NON-FEDERAL FUNDS TOTAL 55,794$ 60,555$ 64,075$

Year One (2020) Year Two (2021) Year Three (2022)

Reporting Examples

NOTE: The following slides are simplified depictions based on current information available and subject to change.

45

Reporting Example #1

Wilma Worker is a non-exempt employee with full benefits and the following pay for the month of May:

– Base salary = $25.00 per hour– Overtime paid for 6 hours (straight time only)– 8 hours of sick leave taken

For simplicity, assume the following assessment rates:– CBR = 50%– UCRP Interest = 1% (does not apply to federal funds)– Leave Accrual = 10%– There will also be GAEL/EPL assessments (not included in the

example)

46


47

UC Path

Employee NameFiscal

PeriodPay Period End Date

ERN Code Rate Time Gross Pay CBR

UCRP Interest Leave

Total Benefits

Wilma Worker 5/31/2018 5/5/2018 REG 25.00 72.00 1,800.00 900.00 18.00 180.00 1,098.00 Wilma Worker 5/31/2018 5/5/2018 SKL 25.00 8.00 200.00 100.00 2.00 20.00 122.00 Wilma Worker 5/31/2018 5/5/2018 OTS 25.00 6.00 150.00 75.00 - 15.00 90.00 Wilma Worker 5/31/2018 5/19/2018 REG 25.00 80.00 2,000.00 1,000.00 20.00 200.00 1,220.00 TOTAL 4,150.00 2,075.00 40.00 415.00 2,530.00

General Ledger Object Cons Code MayGross Pay 1200 SWG2 4,150.00 TOTAL SWG2 4,150.00 CBR 1685 BENF 2,075.00 UCRP Interest 1678 BENF 40.00 Leave Accruals 1627 BENF 415.00 TOTAL BENF 2,530.00 CBR as percent of total pay 50%

Benefits


Sally Staff is an exempt employee with full benefits and the following pay for the months of July and August:

– Base salary = $5,000 per month– Stipend = $600 per month– Sally takes 16 hours of vacation in July, which is reported in

arrears in August

For simplicity, assume the following assessment rates:– CBR = 50%– UCRP Interest = 1% (does not apply to federal funds)– Leave Accrual = 10%– There will also be GAEL/EPL assessments (not included in the

example)

48


49

UC Path

Employee NameFiscal

PeriodPay Period End Date

ERN Code Rate Time Gross Pay CBR

UCRP Interest Leave

Total Benefits

Sally Staff 7/31/2018 7/31/2018 REG 5,000.00 176.00 5,000.00 2,500.00 50.00 500.00 3,050.00 Sally Staff 7/31/2018 7/31/2018 SAS 600.00 1.0000 600.00 300.00 6.00 60.00 366.00 TOTAL 5,600.00 2,800.00 56.00 560.00 3,416.00 Sally Staff 8/31/2018 8/31/2018 REG 5,000.00 184.00 5,000.00 2,500.00 50.00 500.00 3,050.00 Sally Staff 8/31/2018 8/31/2018 SAS 600.00 1.0000 600.00 300.00 6.00 60.00 366.00 Sally Staff 8/31/2018 7/31/2018 REG 28.74 (16.00) (459.84) (229.92) (4.60) (45.98) (280.50) Sally Staff 8/31/2018 7/31/2018 VAC 28.74 16.00 459.84 - 4.60 (459.84) (455.24) TOTAL 5,600.00 2,570.08 56.00 54.18 2,680.26

General Ledger Object Cons Code July AugustGross Pay 1200 SWG2 5,600.00 5,140.16 Vacation Pay 1285 SWG2 0 459.84 TOTAL SWG2 5,600.00 5,600.00 CBR 1685 BENF 2,800.00 2,570.08 UCRP Interest 1678 BENF 56.00 56.00 Leave Accruals 1627 BENF 560.00 54.18 TOTAL BENF 3,416.00 2,680.26 CBR as percent of total pay 50% 46%

Benefits

CBR and C&G Billing/Reporting

• State Awards Contracts and Grants Accounting will calculate benefits charges applicable to the individual employees if State awards require benefits to be reported separately for each person.

• NIH Kirschstein-NRSA AwardsDepartments will be responsible for moving off all unallowable parts of the CBR applicable to FICA, workers comp, life insurance, unemployment insurance, and union dues if applicable (the same process as we have it now). CGA will help with clarifying the amounts that are not allowed on these awards.

Questions and Discussion

51

Winter QRAM 2018

53


Winter QRAM 2018

Beata Najman, Director, Extramural Funds AccountingContracts and Grants Accounting

Winter QRAM 2018

55

C&G Reminders

• Payroll Certification – departments are responsible for timely certification of salaries and wages charged to Federal contracts and grants.

• Cost Sharing – departments are required to ensure timely submittal of cost sharing reports.

Winter QRAM 2018

1) Total Direct Cost (TDC)

Award Total Cost = $100,000Indirect Cost = 10% TDC

---------------------------------------------------------Total Direct Cost $ 90,909.09Total Indirect @10% TDC $ 9,090.91Total Cost $100,000.00-----------------------------------------------------------------------------------------------------------------

2) Total Cost (TC)

Award Total Cost = $100,000Indirect Cost = 10% TC-------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------

IF Indirect Cost is 10% of $ 100,000Indirect Cost @ 10% TC = $ 10,000------------------------------------------------------Total Direct Cost $ 90,000Total Indirect @ 10% TC $ 10,000Total Cost $ 100,000----------------------------------------------------------------------------------------------------------

10,000 ÷ 100,000 = 0.10 = 10% of TC10,000 ÷ 90,000 = 0.111 = 11.1% of TDC

Indirect Cost “follows” Direct Costs and the award with TC has to be set up in our financial system with TDC at a higher % in order to account for the indirect cost correctly.

Indirect Cost Examples: TDC ≠ TC

Winter QRAM 2018

57

Recovering the Costs of Research

• “Every proposal budget that is submitted for sponsored funding should seek full-cost recovery.”

https://www.ucop.edu/research-policy-analysis-coordination/policies-guidance/indirect-cost-recovery/recovering-the-costs-of-research.html

• Contract and Grant ManualComputation of Indirect Costs, Chapter 8-300

https://www.ucop.edu/research-policy-analysis-coordination/resources-tools/contract-and-grant-manual/chapter8/chapter-8-300.html

Chapter 8-360.1 TC, Chapter 8-360.2 TDC

Winter QRAM 2018

https://www.ucop.edu/research-policy-analysis-coordination/policies-guidance/indirect-cost-recovery/recovering-the-costs-of-research.html

https://www.ucop.edu/research-policy-analysis-coordination/resources-tools/contract-and-grant-manual/chapter8/chapter-8-300.html

58

Questions?

Winter QRAM 2018

59Winter QRAM 2018

60


Winter QRAM 2018

ERA UpdateBarbara Inderwiesche

Director, ERA

62

New! Report Available in Zot!Portal

63

• Caveat: We take and report monthly snapshots the first of every month

69

Please send feedback to [email protected]


70

Questions

71Winter QRAM 2018

72


Winter QRAM 2018

Noah MargolisManager, Office of Research IT

Introduction to Office of Research IT

74

People

• Carolyn Lai• Chris Price• Da Lu• David Tieu• Eric Taggart

• Noah Margolis• Omar Morales• Tim Bui• Vaheid Shahmohammad• Students

75

We support Office of Research

• Kuali Research• RMS• Reports and Data warehouse• Information Security Coordinator• And much more…

76

Just some impacts of UCPath

• Faculty Profile System• VC Ops System• BioMaterial Transfer System (BMTA)• ULAR Timesheets• iMedRIS• UCOP quarterly report of Proposals and Awards

77

Any Questions?

• Please contact [email protected] for questions related to Office of Research related IT systems


78Winter QRAM 2018

79


Winter QRAM 2018

Sandra StevensAssociate Director, Sponsored Projects

Federal Update

Winter QRAM 2018

81

Federal UpdateNSFA revised version of NSF PAPPG was released in November of 2018 and will become effective for proposals submitted, or due on or after January 28, 2019. The following are highlights of some significant changes:

o Revision of resubmission guidelines for NSF programs that accept proposals at any time: Some declined proposals may now be ineligible for resubmission for a

specified period of time. (Significant changes must be made for re-consideration)

Winter QRAM 2018

82

oGuidance in the Participant Support Costs section has been updated:

• Speakers and trainers are not considered participants and should not be included in this section of the budget.

– However, if the primary purpose of the individual’s attendance at the conference is learning and receiving training as a participant, then the costs may be included under participant support. If the primary purpose is to speak or assist with management of the conference, then such costs should be budgeted in appropriate categories other than participant support.

• Participant support costs may not be budgeted to cover room rental fees, catering costs, supplies, etc. related to an NSF-sponsored conference.

Winter QRAM 2018

83

o Addition of Research.gov as an option for proposal preparation and submission, and proposal file updates:

• As Research.gov will eventually replace Fastlane, it is recommended that departments practice preparing eligible applications (Full, Research, non-collaborative proposals) in the new system.

– Here are some things we have discovered when using Research.gov:» LaTex Software is currently not supported on Research.gov» Must create new proposal if selected the wrong program announcement –

cannot edit» If applying as collaborative proposal, must use Fastlane for now» If your project description exceeds 15 pages (if allowed by the solicitation),

must use Fastlane for now.

Winter QRAM 2018

84

o Subawards• Updated to clarify that, if known, the intent to subaward must either be

disclosed in the proposal at the time of submission or the grantee will need to seek prior approval after award.

Winter QRAM 2018

85

Tips from your local CGO:

When requesting no cost time extension, please be aware that the annual report for the current year is due on the anniversary date while the final and outcome reports will be extended to the new end date.

Winter QRAM 2018

86

NIH• In early November, NIH issued a guide notice that

requires that all applications for institutional training grants include a letter from a key institutional leader that describes the institution’s commitment to ensure that policies, procedures, and oversight are in place to prevent discriminatory harassment and other discriminatory practices. The requirement is effective for applications submitted on or after January 25, 2019. We will provide a template letter to satisfy this requirement within the next couple of weeks.

Winter QRAM 2018

87

General Reminder: Refer to the VCR’s communication dated November 5, 2018 to the campus entitled, “Disclosing Resources and Support in Federal Funding Applications.” • To promote and foster compliance with federal funding application rules, it is

important to carefully follow the instructions published by federal sponsors when including Current and Pending Support. – NIH: “Other Support includes all financial resources, whether Federal, non-Federal,

commercial or institutional, available in direct support of an individual's research endeavors, including but not limited to research grants, cooperative agreements, contracts, and/or institutional awards. Training awards, prizes, or gifts do not need to be included”.

– NSF: Current and Pending Support is the support requested or available from other Federal agencies and other sources. The NSF Grant Proposal Guide Chapter II.C.2.h states that “All current project support from whatever source (e.g., Federal, State, local or foreign government agencies, public or private foundations, industrial or other commercial organizations, or internal funds allocated toward specific projects) must be listed. The proposed project and all other projects or activities requiring a portion of time of the PI and any other senior personnel must be included, even if they receive no salary support from the project(s).”

Winter QRAM 2018

88

Tips from your local CGO:

When submitting proposals under RFPs or Solicitations that include terms and conditions—where submission of a proposal will constitute acceptance of the terms and conditions--please notify your CGO immediately and provide information about the call so they may start reviewing the terms and conditions and/or other required documents. Note that in some instances, we may need to seek approval or confer with UCOP and / or other campuses.

Winter QRAM 2018

89

Questions?

Winter QRAM 2018

90Winter QRAM 2018

91

Agenda• General Announcements • OIT Recharge Services• Composite Benefit Rates (CBR)• C&G Accounting Updates• ERA Updates• Introduction to Office of Research IT • Federal Update• HRP Common Rule• REF Updates

Winter QRAM 2018

REVISED COMMON

RULE

SUMMARY OF TOP 7

NEW ELEMENTS

Laverne Estanol, M.S., CHRC, CIP, MRQAAssistant Director, Human Research Protections

Revised Common Rule webpage:https://research.uci.edu/compliance/human-research-protections/researchers/2018-common-rule-requirements.html

Jessica Sheldon, CIPPrincipal Analyst II, Human Research Protections

https://research.uci.edu/compliance/human-research-protections/researchers/2018-common-rule-requirements.html

HUMAN SUBJECTS

1. Obtains information or

biospecimens, or

A living individual about whom an

investigator conducting research:

2. Obtain, use, study, analyze, generate

identifiable private information or

identifiable biospecimens

NOTHUMAN

SUBJECTS RESEARCH

Public Health Surveillance

Scholarly / Journalistic

activities

Activities performed

for/by a criminal justice agency

1. DEFINITIONS

normal educational practices not likely to adversely impact students’ opportunity to learn

criteria iii specifies that an IRB can conduct a limited review for studies in which identifiable information is obtained/recorded

2. EXEMPT CATEGORY RESEARCH

1

2*

research involving benign behavioral interventions with adult subjects, in conjunction with the collection (verbal, written, data entry, audio/visual recording) of information is permitted with prospective consent and at least one of three additional criteria are met

secondary research for which consent is not required is permitted if at least one of three additional criteria are met

3*

4*A Limited IRB Review is performed at an IRB Expedited Subcommittee meeting by an IRB Chair or an IRB Chair-designee

https://www.federalregister.gov/d/2017-01058/p-1377

Continuing review is not required when:

- Research is eligible for expedited review

- Research is reviewed by the Limited IRB reviewProcess

- Research is limited to only: data analysis, or accessing follow-up clinical data (performed as part of clinical care)

3. IRB REVIEW OF RESEARCH

• Removes pregnant women and handicapped/mentally disabledas a vulnerable population

• Specifies individuals with impaired decision-making capacity and economically/educationally disadvantaged as a vulnerable population

• Include adequate provisions to protect privacy of subjects and the confidentiality of data

4. CRITERIA FOR IRB APPROVAL

5. COOPERATIVE RESEARCH

Any institution engaged in an NIHcooperative research must rely upon

approval by a single IRB for that portion of the research that is

conducted in the US

• Begin with a concise and focused presentation of the key information that facilitates comprehension

•When a clinical trial has reached the status of closed to recruitment, posting one IRB-approved clinical trial consent form is required for a clinical trial supported by a federal department

6. INFORMED CONSENT

• Ensure that the key information was presented first to the subject

• If the subject are members of a distinct cultural group in which signing forms is not the norm, an IRB may waive requirement of documentation of informed consent when:

• the research presents no more than minimal risk of harm to subjects, and

• provided there is an appropriate alternative mechanism for documenting that informed consent was obtained

7. DOCUMENTATION OF INFORMED CONSENT

DETERMINATION OF NON-EXEMPT HUMAN SUBJECTS RESEARCH

101

Questions?

Winter QRAM 2018

102Winter QRAM 2018

103


Winter QRAM 2018

REF Team Update:Universities, Foreign Influence on Research,

and IP TheftMarci Copeland

Assistant Director, REF Export Control Officer

Winter QRAM 2018

105

For Export Control Inquiries, contactMarci Copeland:

[email protected](949) 824-0445

Winter QRAM 2018


106

See you next time…

(Tentative) Spring QRAM

• Date: Wednesday, March 27, 2019• Time: 1:30-3:30• Location: UCI Student Center - TBD

Winter QRAM 2018

107Winter QRAM 2018

108

Happy Holidaysfrom the Office of Research!

Winter QRAM 2018

Quality Research Administration Meeting€¦ · – Opportunities to meet with representatives from...

Documents

Transcript of Quality Research Administration Meeting€¦ · – Opportunities to meet with representatives from...