Quality Research Administration Meeting August 2011.

Quality Research Administration Meeting

August 2011

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 August 2011 QRAM

Sponsored Projects Administration Update Sponsored Projects

Administration Update and Reminders

Nancy LewisDirector, Sponsored Projects [email protected]

August 2011 QRAM

mailto:[email protected]

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.

August 2011 QRAM

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.

August 2011 QRAM

Sponsored Projects Subaward Update Subaward Process

UpdateNancy LewisDirector, Sponsored Projects [email protected]

Darlene SullivanPrincipal Subcontract [email protected]

August 2011 QRAM

Subaward Mailbox

[email protected] Monitored by the Subaward Team What’s the mailbox used for?

Completed Subaward Verification Forms

Agreements and other communications with Subrecipients

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.

Sponsored Projects Subaward Update Subrecipient

Commitment Form Implementation


Darlene SullivanPrincipal Subcontract [email protected]

August 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, and OMB Circular A-133.

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.

Subaward Proposal Packet

Subrecipient Commitment Form Scope of Work Budget & Budget Justification Other items that are required by the

Sponsor

Human Research Protections Update Proposed Changes to

the Common RuleKaren AllenDirector, Human Research [email protected]

August 2011 QRAM

Sponsored Projects Administration Update Federal Budget Crisis

and its Effect on Federal Awards

Alison Yeung, Contract and Grant [email protected](949) 824-2644

Jeff Warner,Contract and Grant [email protected](949) 824-4781

August 2011 QRAM

Observations from the Federal Desk

•OMB budget guidance for FY 2013•NASA•NSF•NIH

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

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

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

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

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

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

NIH FY 2011 zero-level postdoc level:

$39,000


$39,500

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

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

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.


$42,000

Amount you’re allowed to charge to the NIH grant:Year 1: $38,000

Year 2: $39,500Year 3: $42,000Year 4: $42,000


$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

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.

Office of Research Update Intro. to the Office of

Research News Website

http:news.research.uci.edu

Greg RuthCommunications ManagerOffice of [email protected]

August 2011 QRAM

Sponsored Projects Administration Update Tuition and Fee

Remission UpdateNancy LewisDirector, Sponsored Projects [email protected]

August 2011 QRAM

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.

August 2011 QRAM

Sponsored Projects Administration Update NSF Responsible

Conduct of Research Update


August 2011 QRAM

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.

August 2011 QRAM

Sponsored Projects Administration Update ARRA Reporting

Process UpdateNancy LewisDirector, Sponsored Projects [email protected]

August 2011 QRAM

UCI’s ARRA REPORTING Process Update

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.

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.

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.

NEW Option for Vendor Payment Calculation(for payments under 25K)

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

Once you click on the Calculate Vendor Payments Tab you will see

When you enter When you enter Save ReportSave Report you will proceed to the screen below you will proceed to the screen below

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

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.

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.

Questions?

Evelyn McNally, ARRA Reporting Administrator Sponsored Projects Administration

(SPA) [email protected] or x4214

.

EH&S Update Research SafetyRebecca LallyChemical Hygiene Officer, Environmental Health and [email protected]

Sheila HedayatiBiosafety Officer,Environmental Health and [email protected]

Scott JacksonFire Marshall, Environmental Health and [email protected]

August 2011 QRAM

August 2011 QRAM

QUESTIONS ??

Quality Research Administration Meeting August 2011.

Documents

Transcript of Quality Research Administration Meeting August 2011.