DIVISION OF RESEARCHEmployee Orientation - Fall

2009Greg SlackDirector of Research & Technology Transfer

Todd TravisAward Administrator

Kimberly KlattResearch Compliance Officer

CONTACT US

Division of Research (DoR) 116 Technology Advancement Center (TAC) PO Box 5630

Phone: 315-268-6475 Fax: 315-268-6515 http://www.clarkson.edu/dor

AGENDA

• DOR Overview & Summary of Funding

• Doing Research at Clarkson• Research Compliance• Technology Transfer • DoR Website

DIVISION OF RESEARCHMISSION

To provide faculty and staff with expert assistance

in sponsored projects administration to facilitate research and learning.

We do this by providing the following:• Pre-Award Services• Post-Award Services• Award Administration• Compliance Guidance• Support Staff

SUMMARY OF FUNDING

DIVISION OF RESEARCH

Dollars Received

$0

$2,000,000

$4,000,000

$6,000,000

$8,000,000

$10,000,000

$12,000,000

$14,000,000

$16,000,000

$18,000,000

$20,000,000

00 01 02 03 04 05 06 07 08 09

FISCAL YEAR

0

50

100

150

200

250

Total Dollars # Faculty

SUMMARY OF FUNDING

Breakdown of Total Funding 7/08 - 6/09

PRIVATE20%

FEDERAL61%STATE

19%

SUMMARY OF FUNDING

Breakdown of Federal Funding 7/08 - 6/09

All Others30%

National Institutes of Health

5%

Air Force Office of Scientific Research

16%

Syracuse University (Federal Prime)

6%

U.S. Army7%

National Science Foundation

36%

SUMMARY OF FUNDING

Breakdown of NYS Funding 7/08 - 6/09

All Others29%

NYS Office of Science,

Technology & Academic Research

26%

NYSERDA26%

NYS Department of Education

19%

DOR RESPONSIBILITIES& SERVICES

• Proposal Submission• Award Administration• Confidentiality

Agreement • Contract Negotiation• Intellectual Property

Management• Tech Transfer -

Licensing Agreements

• Provisional Patents • Conflict of Interest• Compliance• Education and

Training• Undergraduate

Research• Research

Appointments

PRE-AWARD SERVICES

Todd TravisAward Administratorttravis@clarkson.edu

• Full Proposal Preparation Services• Proposal Writing & Preparation Workshops• Budget Preparation• Maintain Funding Resources• Research Personnel Services

POST-AWARD SERVICES

Constance M. FergusonContract & Grant Administratorcferguson@clarkson.edu

• Administer External Research Funds • Negotiate/Receive Awards• Monitor Account Activity• Accounting Compliance Matters• Monitor Award Terms and Conditions• Interpret Sponsor Guidelines• Administer Reporting Activity

AWARD ADMINISTRATION

Dr. Gregory C. SlackDirector of Research &Technology Transfergslack@clarkson.edu

• Negotiate Awards• Confidentiality Agreements• Intellectual Property• Conflict of Interest• Institutional Review Board(s) – IACUC & IRB• Compliance

COMPLIANCE GUIDANCE

Kimberly KlattResearch Compliance Officerkklatt@clarkson.edu

• Provide oversight in compliance with regulations and certifications applicable to sponsored programs.

• Initial/Continual Training & Education• Negotiate Compliance Obligations and

Commitments• Monitor & Audit Compliance Activities• Conflict of Interest• Institutional Review Board(s) – IACUC & IRB

DoR SUPPORT STAFF

Adele PuglieseSr. Dept. Secretary

(MAE, ECE, PPAS, IACUC)Apugliese@clarkson.edu

Billi Jo GoodfellowSr. Dept. Secretary

(CBE, BIO, PSY, C&M, CUSB, HSS, PHY MCS)bgoodfellow@clarkson.edu

Norma WoodsSr. Dept. Secretary

(CAMP, CBS, PT, CEE)nwoods@clarkson.edu

Rebecca Thatcher Sr. Dept. Secretary

(Provisional Patents, NDAs, MOUs, IRB) rthatche@clarkson.edu

DOING RESEARCH AT CLARKSON…

•Funding •Proposal Submission•Grant Management

PROPOSAL PREPARATION & SUBMISSION

• Find a funding source• Submit a Proposal Submission Form to Todd

Travis, Award Administrator• Submitting the Proposal Submission Form will

generate a Research Office # (RO#) and an assigned support staff member to aid you in the process

• The DoR will help as much as necessary to prepare your proposal

• All proposals must be reviewed and submitted through the DoR

http://www.clarkson.edu/dor/proposal_prep/index.html

PROPOSAL TOOLKIT

http://www.clarkson.edu/dor/proposal_prep/index.html

• Current Rate(s) Information• DOR Forms For Proposal Processing• Proposal Budget Preparation Guidance• NSF FastLane Proposal Submission

Instructions• Agency Forms

BUDGET PREPARATION

• Faculty salary – Generally, summer salary is requested with proposal budgets.

• Graduate students – Generally, 10 credit hours of tuition is requested annually for each fully funded student supported by the grant.

BUDGET PREPARATION

• Faculty can receive up to 3 months of additional compensation from all sources during the summer (Sponsored research, teaching summer classes, etc.)

• As a general rule, in budget preparation we request either academic salary to match the summer salary requested or the tuition for the graduate students being funded.

PROPOSAL SUBMISSION FORM http://www.clarkson.edu/dor/proposal_prep/index.html

PROPOSAL SUBMISSION FORM http://www.clarkson.edu/dor/proposal_prep/index.html

GRANT MANAGEMENT –AWARD EXECUTION

Upon full execution of the award the DoR will:

• Prepare a Notice of Award that includes, but not limited to:– Funding agency– Budget period– Report requirements– Technical contact – Awarded amount – Special Terms & Conditions/Compliance Obligations

• Prepare a budget according to the approved budget

• Establish an account number for the award

• Send the Principal Investigator a copy of the Notice of Award, approved budget, congratulations letter, and a copy of the award agreement.

• Send the Comptroller’s Office a copy of the Notice of Award, approved budget, and a copy of the award agreement.

• Send your Dean, Department Chair, and the Provost a copy of the Notice of Award.

GRANT MANAGEMENT – PI RESPONSIBILITIES

The responsibilities or obligations that PI(s) agree to when accepting a grant or contract include the following:

Commitment: Review all documentation including referenced materials within the award documents and comply with the terms and conditions.

Communication: Review the roles and responsibilities of all parties involved in the project and assure that they are aware of their obligations.

Technical Management: Manage the technical aspects of the program and comply with the deadlines and reporting requirements in award documents or the statement of work.

Supervision: Staff the project and supervise project personnel

Financial: Charge to the research account only those expenditures directly related to the technical completion of the project.

Accuracy: Review the monthly accounting statements to verify that all charges to that account are appropriate.

GRANT MANAGEMENT – FINANCIAL

• As a recipient of federal funds Clarkson University is required to maintain a list of allowable and unallowable charges.– “How to Distinguish Between Direct and Indirect Charges”

is our current guideline– It can be found on the DoR website @

http://www.clarkson.edu/dor/grant_mgmt

• Only allowable costs can be charged to a sponsored project.

• Allowable charges are further classified in Clarkson University’s guideline as indirect or direct costs.

• Costs classified as indirect cannot be charged directly to your sponsored project.

GRANT MANAGEMENT – FINANCIAL

Direct vs. Indirect

Direct Costs: Allowable costs that can be identified specifically with a particular sponsored project(s) and be assigned easily with a high degree of accuracy.

Indirect Cost (F&A): Allowable costs that are incurred for

common or joint objectives and therefore cannot be identified readily and specifically with one or

more sponsored project.

GRANT MANAGEMENT – FINANCIAL

For a cost to be allowable as a direct charge it must be:

Allowable: Permitted as a charge per Clarkson’s guideline (alcoholicbeverages, entertainment, or gifts are never allowed).

Necessary: to accomplish the approved goals and objectives of the project.

Reasonable: The cost may be considered reasonable if the nature of thecost, and the price paid, reflects the action that a prudent person would

havetaken.

Allocable: Expenses can be allocated based on the benefit derived. This means cost can be allocated specifically with one research project or if the cost benefits more than one project it can be allocated based on

proportional benefit or a reasonable basis.

What I Can’t Charge Directly to My Sponsored Award?

• Office Supplies• Administrative and Clerical Staff Salaries• Basic Line Telephone Charges• Administrative Office Equipment (i.e. copiers, office

computers and printers)• General Use Software (Word, Excel, Access, or

equivalent) • General Use or janitorial Items (paper towels or soap)

“How to Distinguish Between Direct and Indirect Charges” http://www.clarkson.edu/dor/grant_mgmt

What Can I Charge to Directly to My Sponsored Award?

• Laboratory Supplies (i.e. chemicals and glassware)

• Long Distance Telephone Calls• Laboratory Equipment (>$5000 with agency

approval)• Equipment maintenance or repair • Computers, Printers and Networking Supplies (for

research data collection or processing only)• Specialized Software (Computational)• Travel

“How to Distinguish Between Direct and Indirect Charges” http://www.clarkson.edu/dor/grant_mgmt

P-Card ReconciliationsYou must provide adequate justification to determine if the charge is

allowable:

• “Expense Descriptions” should indicate the benefit to the project or scope of work (i.e. What is the item used for ?, Why do need the item?).

• Provide documented evidence to auditors that costs are necessary for the performance of the project.

• Remember to proportionally charge expenses used for more than one project or educational activity.

• Federal auditing regulations require that “Expense Descriptions” are reviewed by the Accounts Payable Staff.

• Proper “Expense Descriptions” will minimize the need for Accounts Payable to request additional information (i.e. Direct Cost Justification Form)

• This methodology also applies to purchase requisitions, disbursement orders, and travel expense accounts.

Some Expenditures Are More Scrutinized By Auditors and May Include:

General Lab Supplies (i.e. gloves)Computers & Printers

Networking Supplies & SoftwareTravel & Books

• Expense descriptions and proportional charging are often scrutinized by auditors on these types of expenditures.

• If the cost benefits one project only, then simply indicate the item is used for that project only.

• This additional documentation will minimize the need for Accounts Payable to contact you. (i.e. Direct Cost Justification Form).

Examples

Your students are working late and you want to provide them dinner. How should you pay for it?

You want to buy a computer and a printer with your research award. Can you? What about paper and toner?

You’re buying general lab supplies (gloves, soap, centrifuge

Tubes). Can I charge them to my research award. If so,

How do I proportionally charge them?

RESEARCH COMPLIANCE AT CLARKSON…

•Overview •Conflict of Interest•IRB/IACUC•Scientific Misconduct•Export Control

Clarkson University Compliance Program

• University Compliance Committee (UCC) established in 2005.

• UCC formed to ensure compliance facing the University.

• UCC consists of six sub-committees.• Committee responsible for handling,

reviewing, monitoring and enforcing all University compliance matters.

• Research compliance represents one of the six sub-committees.

Why is Research Compliance Important?

Non-compliance places Clarkson and the Principal

Investigator at significant risk and can result in:Damage to the University’s or your

reputation and integritySevere fines/penalties to the institutionDesignation as a “high risk” institutionSuspension/debarment from receiving

federal funds (University and PI’s)Criminal Prosecution

Regulatory Drivers of Research Compliance

When sponsored funding is accepted by theinstitution we are agreeing to comply with federaland state regulations:

• OMB A-21 - Cost Principles • OMB A-110 - Uniform Administrative

Requirements • OMB A-133 - Audits • Assurances, Certifications, & Representations

http://www.clarkson.edu/dor/compliance

REALITIES OF COMPLIANCE

• Research compliance is a collaborative responsibility of the administration and faculty.

• We have a legal responsibility to comply with federal and state requirements.

• We are expected to increase awareness and knowledge of the regulations and certifications agreed upon when sponsored funding is accepted.

Know that the DoR is here to help you!

RESEARCH COMPLIANCE PROGRAM

Education: Making people aware of the importance of compliance guidelines

Guidelines: Providing written documentation that clearly reflects the how to be

compliant.

Training: Providing indoctrination to guidelines and continual guidance on How to be to compliant.

Oversight: Continuous monitoring of practices such as purchasing consistent

with the guidelines of the University and sponsoring agency.

Auditing: Verification of policies and current practices.

Responsibility: Providing a clear understanding of individual responsibility .

Communication: Effectively exchanging information.

CONFLICT OF INTERESTPOLICY (COI)

http://www.clarkson.edu/dor/coiform.pdf

• All Clarkson employees are required to complete a Conflict of Interest Disclosure Form annually.

• PIs submitting proposals must certify that there are no changes since the annual disclosure.

• Changes must be updated prior to submission of a proposal to an external agency and during evaluation period of the award.

• You can obtain a COI from the DoR website

CONFLICT OF INTERESThttp://www.clarkson.edu/dor/coiform.pdf

SCIENTIFIC MISCONDUCT

http://www.clarkson.edu/dor/compliance/misconduct.html

• All Clarkson employees and students are expected to adhere to ethical conductin the exercise of their duties and studies. Should misconduct arise within the context of scholarly activity, it will be dealt with according to the following general principles:

Well-founded accusations of scholarly misconduct made in good faith must be given serious consideration;

An accused person or persons must be assumed innocent until the weight of evidence requires a conclusion to the contrary;

Every effort should be made to protect the privacy and reputation of both the complainant and the respondent, to provide for due process, and to restore the good name of the unjustly accused individual or individuals.

• Reporting Alleged Misconduct

Institutional Animal Care and Use Committee (IACUC)

http://www.clarkson.edu/dor/compliance

All research or teaching activities involving the use of animals,

Including field studies, whether funded externally or not, must be

initially reviewed by the IACUC.

• Applications for review and additional information are available on the are available on the DOR website.

• Contact the IACUC Administrative Assistant, Adele Pugliese, at ext. #6475 for further assistance.

Chair – Ken Wallace

Institutional Review Board (IRB)

http://www.clarkson.edu/dor/compliance

All research involving human subjects initially must be reviewed

and approved by the IRB.

• Approval by the IRB must be obtained prior to collecting data.• Full IRB review may be waived but only after the IRB has

approved your application for exemption. • Applications for review and exemption, and additional

information are available on the DOR website.• If you need assistance, contact the IRB Administrative

Assistant, Rebecca Thatcher, in the DOR at ext. 6475 or at irb@clarkson.edu.

Chair - Leslie Russek

Export Controls

http://www.clarkson.edu/dor/export.html

What are United States export controls and why should

you be aware?

• Export Control Laws are laws which prohibit the unlicensed “export” of certain controlled technologies to foreign persons or restricted countries for reasons of national security and trade protection.

• Any method of disclosure may apply: email, telephone, websites, tours, training sessions, shipping outside the U.S.

How do Export Controls Laws Impact Research at Clarkson?

If Clarkson research involves controlled technologies,government approval (a license) and a Technology Control Plan (TCP) may be required before allowing:

• Foreign researchers and students inside and outside the U.S. to participate in research.

• Sharing research results with foreign persons.• Providing training and other services to foreign

persons.• Sending equipment or software outside the U.S.

EXPORT CONTROLS: When Should I be most concerned?

• Foreign Travel• Foreign Collaboration• Research may have a military application.• Research involves technology that is export

controlled.• Export Controls was brought up in conversation

with the sponsor.• Export Controls language is present in the

proposed contract or award terms .

Notify Greg Slack or Kim Klatt in the DOR when you have concerns pertaining to export

controls.

Technology Transfer

•Moving Discoveries to the Marketplace•Intellectual Property•Small Business Ventures

TECHNOLOGY TRANSFER

http://www.clarkson.edu/dor/tech_transfers.html

Mission: To move discoveries from the university to the market place in

order to promote economic development and create additional research

opportunities.

• Intellectual property (IP) policy • NDAs• Market research prior to patenting• Licensing• Contact Greg Slack, Director of Research and • Technology Transfer as early as possible.  

DOR WEBSITE http://www.clarkson.edu/dor

Funding ResourcesProposal PreparationGrant ManagementComplianceTrainingExport ControlsTechnology Transfer

THANK YOU FOR

COMING!

QUESTIONS?