Quality Research Administration Meeting April 2011.
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Transcript of Quality Research Administration Meeting April 2011.
Quality Research Administration Meeting
April 2011
Agenda
Sponsored Projects
Administration
Payroll Confirmation Reporting
Subaward Process
NSF Data Management Plans
NSF Policies and Procedures
Responsible Conduct of Research
NIH Policies and Procedures
Research Terms and Conditions
Nancy Lewis
Rich Andrews
Dar Sullivan
Cassie Rauser
Tam Tran
Marie Richman
Sam Westcott
Nancy Lewis
April 2011 QRAM
Sponsored Projects Administration Update Staff
Funding
Federal Government Shutdown
Nancy LewisDirector, Sponsored Projects [email protected]
April 2011 QRAM
April 2011 QRAM
No More PAR’s!!! Federal Demonstration
Partnership
Payroll Certifications
HHS Approved an 18-Month Demonstration Beginning July 2001
Other Demonstration Sites: UCR, George Mason, Michigan Tech
Rich [email protected]
April 2011 QRAM
April 2011 QRAM
Going Forward
Last PAR Quarter: Winter 2011 PAR Cleanup Campaign Campus Focus Groups Developing Web Site Developing Training Staffing Changes? Government Feedback
April 2011 QRAM
Subaward Process Subrecipient Commitment Form
Federal Funding Accountability and Transparency Act (FFATA)
Dar SullivanPrincipal Subcontract Officer, Sponsored Projects [email protected]
April 2011 QRAM
Subaward Process Changes
April 2011 QRAM
Subrecipient Commitment Form
April 2011 QRAM
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 disclosures, and OMB Circular A-133.
April 2011 QRAM
What now?
• Effective July 1, 2011, Subrecipient Commitment Form for each subawardee should be provided to SPA at the proposal stage as part of a complete proposal package.
• Pilot testing April & May…volunteers?
April 2011 QRAM
Federal Funding Accountability and Transparency Act
(FFATA)
April 2011 QRAM
FFATA The Federal Funding Accountability and
Transparency Act (FFATA), enacted on September 26, 2006, requires that information on federal awards be made available to the public via www.USASpending.gov
At this time, the impact of this data collection requirement on the University is limited to the collection and reporting of information about first-tier sub-recipients under federal assistance awards and first-tier sub-recipients and vendors under federal contracts. Although the law is imprecise on the applicability of these provisions to further tiers, the Office of Management and Budget (OMB) may require reporting on second-tier awards in the future.
April 2011 QRAM
First-tier Subrecipients (see below in pink)
April 2011 QRAM
First-tier Subrecipients
April 2011 QRAM
Federal Awards Subject to FFATA Requirements
Contracts:7/8-9/30/2010: New contracts over $20 million 10/1/2010: New contracts with a prime contract value greater than $550,0003/1/2011: New contracts with prime contract value of $25,000 or over
Grants:10/1/2010: New grants $25,000 and over
Subcontracts & vendors reporting requirements: All first-tier
subcontracts/vendor agreements of $25,000 or more
First- tier subcontracts/vendor agreements under contracts subject to FFATA and ARRA must report in both FFATA and ARRA reporting systems
Subawards reporting requirements: All first-tier subawards of
$25,000 or more Excludes vendor agreements Excludes ARRA grants
* Federal contracting officers have the option of amending existing
contracts to include FFATA April 2011 QRAM
Required Reporting Elements
Unique Identifier (DUNS Number) for foreign and domestic subawardees and their parent companies (Duns & Bradstreet)
Name of Subawardee/Vendor
Amount, date and type of the subaward
Subaward number (as assigned by the prime awardee)
A 4000 character description of the products or services (including construction) being provided under the subaward, including the overall purpose and expected outcomes
Subawardee's physical address including street address, city, state, country, and nine-digit zip code and congressional district
Subawardee's primary performance location including street address, city, state, country, and nine-digit zip code and congressional district
The prime award number
Federal awarding agency name and code
Federal funding agency name and
code
Amount of subawardee cost-share
Names and total compensation of subawardee’s top 5 compensated executives (unless the conditions outlined under # 5 below are met.)
The Total Compensation and Names of the top five executives if:o More than 80% of annual gross
revenues from the federal government, and those revenues are greater than $25M annually and
o Compensation information is not already available through reporting to the SEC
April 2011 QRAM
How long do I have to report?
Prime awardees must report first-tier sub-award information by the end of the month following the month the award or award’s obligation was made.
For example, if a subaward/subcontract is fully executed on April 13, 2011, the UCI would have until May 31, 2011 to report the subaward/subcontract.
April 2011 QRAM
What do you have to do?
VERY LITTLE!! First-tier subawards/subcontracts
SPA (C&G officer) will screen the Awards for FFATA requirements. SPA (Subaward Team) will gather data needed for reporting
requirements. SPA (Evelyn McNally) will enter the data & submit the report in the
Federal Funding Accountability and Transparency Act Subaward Reporting System (FSRS).
Vendor agreements: still in the works Department/Purchasing will need to be aware of federal contracts that
are subject to FFATA (should be noted in your e-synopsis) Department/Purchasing will gather data needed for reporting
requirements. SPA (Evelyn McNally) will enter the data & submit our report in FSRS.
April 2011 QRAM
Questions?
April 2011 QRAM
NSF Data Management Plans
NSF’s Data Management Plan
Suggested Elements to Cover in Data Management Plan
Data Management Plan Resources
Office of Research Development
Casandra RauserAssistant Director of Research Development, School of Biological SciencesOffice of Research Development – Natural Sciences & [email protected] 949.824.8140
April 2011 QRAM
New REQUIREMENT for all NSF proposals submitted after January 18, 2011
Must be provided as a “supplementary document” 2 page limit (although may utilize the 15-page Project Description
for additional DMP information, but not vice versa) Subject to peer review and reviewed under the merit review
criteria – Intellectual Merit and Broader Impacts DMP should describe how the proposal will conform to NSF’s policy
on dissemination and sharing of research results If no DMP is needed, include such a statement with a clear
justification Each Directorate, Office, Division, Program, or other NSF unit may
have specific requirements for the DMP (http://www.nsf.gov/bfa/dias/policy/dmp.jsp) – otherwise follow requirements established in the Grant Proposal Guide (Chpt II.C.2.j)
NSF’s Data Management Plan (DMP)
April 2011 QRAM
HIGHLY RECOMMENDED ELEMENTS DESCRIPTION
Data description A description of the information to be gathered; the nature and scale of the data that will be generated or collected.
Format Formats in which the data will be generated, maintained, and made available, including a justification for the procedural and archival appropriateness of those formats.
Metadata A description of the metadata to be provided along with the generated data, and a discussion of the metadata standards used.
Storage and backup Storage methods and backup procedures for the data, including the physical and cyber resources and facilities that will be used for the effective preservation and storage of the research data.
Intellectual property rights Entities or persons who will hold the intellectual property rights to the data, and how IP will be protected if necessary. Any copyright constraints (e.g., copyrighted data collection instruments) should be noted.
Access and sharing A description of how data will be shared, including access procedures, embargo periods, technical mechanisms for dissemination and whether access will be open or granted only to specific user groups. A timeframe for data sharing and publishing should also be provided.
Archiving and preservation The procedures in place or envisioned for long-term archiving and preservation of the data, including succession plans for the data should the expected archiving entity go out of existence.
Ethics and privacy A discussion of how informed consent will be handled and how privacy will be protected, including any exceptional arrangements that might be needed to protect participant confidentiality, and other ethical issues that may arise.
Suggested Elements to Cover in DMP
Note: Individual Data Management Plans should be tailored to the specific research activities described within each proposal
* adapted from ICPSR Guidelines for Effective Data Management PlansApril 2011 QRAM
Suggested Elements to Cover in DMP
(adapted from ICPSR Guidelines for Effective Data Management Plans)OPTIONAL ELEMENTS DESCRIPTION
Existing data A survey of existing data relevant to the project and a discussion of whether and how these data will be integrated.
Data organization How the data will be managed during the project, with information about version control, naming conventions, etc.
Quality assurance Procedures for ensuring data quality during the project.
Security A description of technical and procedural protections for information, including confidential information, and how permissions, restrictions, and embargoes will be enforced.
Responsibility Names of the individuals responsible for data management in the research project.
Budget The costs of preparing data and documentation for archiving and how these costs will be paid. Requests for funding may be included.
Legal requirements A listing of all relevant federal or funder requirements for data management and data sharing.
Audience The potential secondary users of the data.
Selection and retention periods A description of how data will be selected for archiving, how long the data will be held, and plans for eventual transition or termination of the data collection in the future.
* adapted from ICPSR Guidelines for Effective Data Management Plans
April 2011 QRAM
Campus Resources– Office of Research Development – Natural Sciences and Medicine
(http://www.research.uci.edu/rdobsps/index.htm)– UCI Libraries (
http://www.lib.uci.edu/about/projects/scamp/nsf-data-management.html) - The UCI Libraries stand ready to assist grantees in identifying the options for sharing research data in an institutional or discipline-specific repository. Contact your subject librarian or the UCI Data Librarian ([email protected])
– UC Curation Center (UC3) for general DMP information and suggestions for organizing, managing, sharing and preserving your data (http://www.cdlib.org/services/uc3/datamanagement/index.html)
Other Resources (links can be found on the UCI Libraries DMP page)– Association of Research Libraries (ARL) "Unpacking the NSF Requirement– DataONE Data Management Plan Outline & Examples– MIT Libraries Guide for Data Management Planning & Publishing– Cornell University Libraries Guide to Data Management Planning– University of Minnesota Libraries Funding Agency and Data Management
Guidelines– ICPSR Guidelines for Effective Data Management Plans
DMP Resources
April 2011 QRAM
Services: Provide coordination and support of the grant preparation and
submission process for major interdisciplinary proposals Provide coordination and support of the grant preparation and
submission process for single PI grants for new faculty and for award agencies not typically applied to (e.g., DOD, DOE, UC)
Sponsor content area meetings (e.g., NSF Career Award Workshop, DOD DARPA)
Create institutional data repositories (e.g., Biosketch Repository, Shared Facilities)
Develop boilerplate text (e.g., outreach plans, data management plans, industry collaborations)
Interact with federal, foundation and industry funding sources Help create graduate and undergraduate program development (e.g.,
Graduate Fellowships) Support centers (i.e., CaSTL, Stem Cell) post award
Office of Research Development
April 2011 QRAM
DirectorJacob Levin, Ph.D.
Assistant Vice Chancellor – Research Development
Tel: [email protected]
Administrative Assistant: Lucinda Wong
Tel: [email protected]
Randy Berg, MBA, Ph.D.School of MedicineTel: 949-824-1709
Lori Greene, Ph.D.School of Physical Sciences
Tel: [email protected]
Casandra Rauser, Ph.D.School of Biological Sciences
Tel: [email protected]
Assistant Directors
Located on the 4th floor of Natural Sciences IIhttp://www.research.uci.edu/rdobsps/index.htm
Questions?Office of Research Development
Natural Sciences & Medicine
NSF Update • Topics
• Proposal and Award Policies
and Procedures Guide: PAPPG
• Grant Proposal Guide: GPG
• Award and Administration
Guide: AAG
• Cost Sharing Policy
Tam TranAssistant Director, Sponsored Projects [email protected]
April 2011 QRAM
April 2011 QRAM
Topics
Proposal and Award Policies and Procedures Guide (PAPPG), effective January 2011
Cost Sharing Policy, effective January 2011
April 2011 QRAM
Proposal & Award Policies & Procedures Guide (PAPPG),
January 2011
Part I is comprised of NSF’s proposal preparation and submission guidelines -- the NSF Grant Proposal Guide and the NSF Grants.gov Application Guide. Both the Grant Proposal Guide (GPG) and Grants.gov Application Guide provide guidance for the preparation and submission of proposals to NSF, whether by the NSF Fastlane System or Grants.gov.
Part II is comprised of the documents used to guide, manage, and monitor the award and administration of grants and cooperative agreements. Referred to as the Award and Administration Guide (AAG).
April 2011 QRAM
Review of Significant Changes to the GPG
Chapter II.C.2.a, Cover Sheet
Replaced the Performing/Research Organization with Project/Performance Site Primary Location information
Revised for consistency with the requirements of the Federal Funding & Accountability Act
If the project will be performed at a location other than the awardee, include organization name and address
April 2011 QRAM
Review of Significant Changes to the GPG
Chapter II.C.2.j, Special Information and Supplementary Documentation
Clarification of NSF’s long standing data policy-Data Management Plan
Must describe plans for data management and sharing of the products of research or state no plan is needed with justification
Fastlane will not permit submission of a proposal that is missing Data Management Plan
Collaborative proposals & proposals with subawards require only one combined plan
April 2011 QRAM
Other Changes to the GPG
Chapter II.C.2, Sections of the ProposalClarify that failure to submit all required
sections of the proposal may result in the proposal being returned without review
Chapter II.C.2.j, Special Information and Supplementary Documentation
Mentoring plan is not required for postdoctoral researchers who are listed as Senior Personnel on the NSF Budget.
April 2011 QRAM
Other Changes to the GPG
Chapter II.D.4.b, Collaborative ProposalsAll components of a collaborative proposal must meet
established deadline or risk being returned without review
Chapter III.C, Proposal File Updates Proposal File Update Module can no longer be used to
submit revised budget, use FastLane Revised Proposal Budget Module
Chapter V, Renewal Proposals Reminder that renewal proposals must be developed as if the applicant is applying for the first time
April 2011 QRAM
AAG Summary of Changes Chapter II.B.1.a, Changes in Objectives or
ScopeApproval is required for changes to the Facilities, Equipment, &
Other Resources section of the approved proposal that constitutechange in objective or scope
Chapter II.D, Cost SharingMandatory cost sharing included on Line M and accepted
by NSF, commitment of funds becomes legally binding & subject to audit
Chapter II.D.3, Project Outcomes Report for the General Public
Separate from the Final Project Report; Brief summary of project posted in the Research Spending & Results section of the Research.gov website
April 2011 QRAM
NSF Revised Cost Sharing Policy Significant change to the GPG, Chapter
II.C.2.g(xi), Cost Sharing
Revised to implement the National Science Board’s recommendations regarding cost sharing
Voluntary committed cost sharing is prohibited (Line M on budget not available)
In order to assess the scope of the project, all
organizational resources (physical and personnel) necessary for the project must be described in the Facilities, Equipment & Other Resources section
April 2011 QRAM
NSF Revised Cost Sharing Policy
Narrative in nature & must not include any quantifiable financial information
Program Officers may not impose or encourage cost sharing unless required in the solicitation
Risk proposal being returned without review or declined by NSF
FAQs Revised Cost Sharing Policy(dated1/27/11) http://www.nsf.gov/pubs/policydocs/csfaqs_jan2711.pdf
April 2011 QRAM
NSF Revised Cost Sharing Policy
Does not change UCI’s current practice
Unless mandatory, continue to not include voluntary cost sharing information on the Administrative Approval form
University’s policy require recovery of full cost of project, discourage voluntary cost sharing
In general, if proposed and accepted cost sharing becomes a binding commitment Administrative burden Failure to properly record cost sharing may result in audit
disallowances/return funds Reduce University's indirect cost rate during future negotiations
April 2011 QRAM
RESOURCES
National Science Foundation
www.nsf.gov/
NSF Proposal and Award Policies and Procedures Guide, January 2011 http://www.nsf.gov/publications/pub_summ.jsp?ods_key=nsf11001
FAQs Proposal Preparation and Award Administrationhttp://www.nsf.gov/pubs/policydocs/pappguide/faqs11_1.pdf
FAQs Revised Cost Sharing (dated 1/27/11) http://www.nsf.gov/pubs/policydocs/csfaqs_jan2711.pdf
Contact Contract and Grant Officer, Sponsored Projects Officehttp://apps.research.uci.edu/orastaff/staff.cfm?view_department=spda
April 2011 QRAM
QUESTIONS ??
Responsible Conduct of Research • Why are we concerned?
• What is Research
Ethics or RCR?
• Shared Values in
Research Ethics
• Training in RCR at UCI
• RCR Topics
Marie RichmanDirector, Administration and Research [email protected]
April 2011 QRAM
Why are we concerned about Research Ethics or RCR?
It’s everyone’s responsibility
It’s a requirement• National Institutes of Health (NIH)• National Science Foundation (NSF)
April 2011 QRAM
What is Research Ethics or RCR?
Good research
practices
Shared Values
Compliance with
regulations
Applies to all
stages of research:
• planning
• conduct
• data management
• reporting
• and review
April 2011 QRAM
Shared Values in Research Ethics
HONESTY — conveying information truthfully and
honoring commitments
ACCURACY— reporting findings precisely and taking
care to avoid errors
EFFICIENCY— using resources wisely and avoiding
waste
OBJECTIVITY— letting the facts speak for themselves
and avoiding improper bias
http://ori.dhhs.gov/publications/ori_intro_text.shtml
April 2011 QRAM
Training in RCR at UCI
On-line training program
In-person courses
Small group discussion with case studies
Mentoring in research environment
Lists of resources, including interactive
learning tools, videos and case studieshttp://www.research.uci.edu/ora/rcr.htm
April 2011 QRAM
RCR Topics
Data Acquisition,
Management, Sharing
and Ownership
Conflict of Interest
and Commitment
Human Subjects
Animal Welfare
Research Misconduct
Publication Practices
and Responsible
Authorship
Mentor/Trainee
Responsibilities
Peer Review
Collaborative Science
April 2011 QRAM
NIH Update Training Grants
• X-Train• Data Tables
Error Correction Window Eliminated
Adobe-B1 Forms Bibliography ARRA Supplement on
Progress Reports Personal Statement on
Biosketch
Samantha WestcottAssistant Director, Sponsored Projects [email protected]
April 2011 QRAM
NIH Listservs and Feeds
Listservs o Office of Laboratory Animal
Welfare (OLAW) o eRA Commons News o NIH Guide for Grants and
Contracts o SBIR/STTR
Twitter o NIH Extramural Nexus
(News) o NIH Guide for Grants and
Contracts o NIH Loan Repayment
Program
RSS o Rock Talk (Blog) o NIH Extramural Nexus
(News) o hESC Stem Cell Registry o NIH Guide for Grants and
Contracts o OLAW News (Office of
Laboratory Animal Welfare)
Podcast: All About Grants
April 2011 QRAM
http://grants.nih.gov/grants/get_connected.htm
Research Terms and Conditions
On January 25, 2008, the National Science and Technology Council (NSTC) published a Federal Register Final Notice giving federal agencies a new standard core set of administrative terms and conditions on research and research-related awards that are subject to OMB Circular A- 110
The new core set of research terms and conditions is largely based on the terms and conditions that have been used for a number of years by the Federal Demonstration Partnership (FDP).
Effective July 1, 2008, federal research agencies participating in the FDP must use the core set of administrative requirements, to the maximum practicable extent, in their research and research-related grant awards to organizations that are subject to OMB Circular A-110
Research Terms and Conditions
Research Terms and Conditions
Research Terms and Conditions Website:http://www.nsf.gov/awards/managing/rtc.jsp
Questions?
April 2011 QRAM
