New Faculty Orientation 2014: Research and Scholarship


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University of Southern Mississippi
New Faculty Orientation 2014

Dr. Gordon C. Cannon

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New Faculty Orientation 2014: Research and Scholarship

  1. 1. The University of Southern Mississippi Research and Scholarship The University of Southern Mississippi Gordon C. Cannon Vice President for Research P.O. Box 5116 Administration Building 202 Tel. No. 601-266-5116 Fax No. 601-467-4377
  2. 2. The University of Southern Mississippi Vice President for Research Asst. VP for Research Admin. Proposal Development Post-award Compliance Contracts and Grants Accounting Office of Research Integrity Animal Care (IACUC) Institutional Research Board Responsible Conduct of Research Office of Technology Development USM Research Foundation Intellectual Property Management Research Support Center for Research Support Environm. Health and Safety University Research Centers Inst. f. Disability Studies MS Network f. Cancer Control NCS4 CLTT Executive Secretary Financial Assistant University Research Council Organizational Chart
  3. 3. Publish or Perish Publish and Flourish The University of Southern Mississippi
  4. 4. USM Research Expenditures FY 2010 $66,337,353 FY 2011 $70,865,692 FY 2012 $69,762,807 FY 2013 $58,496.381 FYFF$58,496,381 Research The University of Southern Mississippi
  5. 5. The University of Southern Mississippi Upcoming Workshops IRB Review: Mock Review Tuesday September 9, 5:00 – 6:00 pm Wednesday September 10, 12:00 -1:00 pm NIH R03 and R15 Writing Advice from funded PIs Monday September. 22, 11:30 am – 1:00 pm Plagiarism in the Humanities and the Arts Tuesday October 28, 12:15 – 1:00 pm Grant Management Wednesday November 12, 11:30 am – 1:00 pm Finding Funding with the Pivot Database Monday November 17, 12:00 – 1:00 pm IRB Review: Mock Review Friday November 21, 2:00 3:00 pm
  6. 6. New Grant Development Program Research The University of Southern Mississippi $2,000 External Proposal Development Grant (interdisciplinary, multi-PI preferred) Details on web page Annual Deadline is April 15
  7. 7. PI Travel Support Research The University of Southern Mississippi Visits to Program Officers (Federal Funding Agencies) Request Form Four-Color “Leave Behind” Follow-up Report
  8. 8. The University of Southern Mississippi Center for Undergraduate Research Research Opportunities for All Undergraduates Formal Venue Affiliated Faculty
  9. 9. The University of Southern Mississippi Dos, Don’ts and Some Suggestions for Managing Your Grant-Supported Research
  10. 10. The University of Southern Mississippi Start early!!! Request For Proposals (RFP) Meet with Sponsored Program Administration (SPA) Make sure they have RFP! Give them your best guess for a budget early! (I suggest a month in advance) Budget Justification - give this much thought! (Even if not required I suggest you prepare one) Project and Proposal Development
  11. 11. The University of Southern Mississippi Human Subjects – IRB (Institutional Review Board) Animal Welfare - IACUC (Institutional Animal Care and Use Committee) Biological Hazard - IBC (Institutional Biosafety Committee) Radiological Control - IRC (Institutional Radiation Safety Committee) Export Control (“I’ve called to speak to you about your torpedo”) Important Checklist
  12. 12. The University of Southern Mississippi Each step takes time! Always assume something will go wrong! (e.g. signature authority not available) Signed IAF and budget must be at SPA 5 working days before deadline Feel free to tinker with narrative as needed until close to deadline Approval Chain
  13. 13. “In the conduct of research and scholarship, all faculty members have the right to academic freedom as outlined by the University Faculty Handbook. Faculty members have the right to conduct research and scholarly activities and to disseminate the results of their work without suppression or modification by external sponsors. Along with these freedoms come corresponding responsibilities. It is important to adhere to both the spirit and the letter of Research Policies” Paraphrased from Seaton Hall PI Handbook The University of Southern Mississippi
  14. 14. The University of Southern Mississippi Academic release time (requires negotiations with Chair/Director, Dean) (Office of VPR does not recommend 100% release) Issues with Facilities and Administrative Costs (F&A Costs = indirects = overhead) On campus 46.5% MTDC Off Campus 28% Full F&A is expected (unless prohibited by agency)! (lower rates, waivers require approval by Chair/Director, Dean, VPR) Institutional matching (requires approval by Chair/Director, Dean, VPR) Sub-awardee budget and institutional approval Possible IAF Delays
  15. 15. The University of Southern Mississippi Hard copies: Consider mailing time, number of copies, etc. Electronic submission:; You are responsible for uploading your proposal documents! (you will give SPA grants administrator access) SPA grants administrator submits the proposal. (keep SPA - GA in the loop!) Cannon’s corollary to Murphy’s Law: The likelihood that network or fastlane difficulties will occur increases exponentially as the deadline approaches. The Submission Process
  16. 16. The University of Southern Mississippi The Program Manager Call: “Intends to recommend funding but ……” Budget and scope change (usually small window for negotiation - make the best of it!) Make changes in consultation with your SPA GA (provide all the extras program manager needs; then wait…..) Can you start the work? Need an award letter!! (sometimes pre-award spending period, but need strong assurance from agency that award will be made) The Proposal Is Reviewed Positively
  17. 17. The University of Southern Mississippi GR account number is set up at SPA. You and any qualified person(s) you designate will be granted signature authority. Set up your own simple spreadsheet (Excel) so that you can track expenditures yourself! (Soarfin works but is cumbersome) Finally the Award Letter Arrives
  18. 18. The University of Southern Mississippi Summer Salary for PIs Must be budgeted to the degree allowable by agency (NSF: 2 person months total per year for all NSF-funded projects combined) PI’s responsibility to set up PAF for summer pay
  19. 19. The University of Southern Mississippi If work is not completed by the end of the project period: Request a no-cost extension (has to be approved by granting agency; requesting time solely to spend residual funds is NOT an acceptable reason!) Post-work period budget revisions: the number one red flag for OMB that triggers a general audit. Grant Must Be Spent Within the Award Dates
  20. 20. The University of Southern Mississippi Budget category switching (requires agency approval; latitude varies by agency) USM monitors category changes (necessary and helpful tool for tracking changes) For allowable changes: fill out an internal budget modification form Grant Must Be Spent on Budgeted Items
  21. 21. The University of Southern Mississippi Contact appropriate vendors and USM Purchasing Department. (state purchasing policies must be followed in all instances) Equipment over $5,000 must be bought on bid. (exception: sole source vendor) Equipment bought on grants is the property of the State and University; PI is responsible! (PI must cooperate with their home department and USM Property Accounting for inventory policies/procedures, periodic state audits!) Equipment must not be removed from campus without proper permissions. (from Chair/Director, Dean) Equipment Purchases
  22. 22. The University of Southern Mississippi Likely overlap in services and goods purchased. Be careful in your spending!!! (No need to buy multiples of each supply item for multiple projects) (Travel by assistant to Ireland to study court records for one funded historical study and then continue on to France for another unfunded study: Gets dicey!) Best advice: always be upfront, ask agency contact before making expenditure. “It’s better to ask forgiveness than permission” – NOT true for funded research! Multiple Projects - Multiple Grants
  23. 23. The University of Southern Mississippi Students and assistants: How to manage? (e.g. grant ends, graduate assistant is not ready to graduate. Can you just switch to another project? Maybe, if the student’s efforts will truly be related to the second project. Keep a brief justification for such changes!) Who has the expertise to call you on this? (Maybe no one at USM, so why should you care?) When OMB comes a-calling, they have the resources to obtain expert evaluation of your actions! University of Central Florida Case Multiple Projects-Multiple Grants, cont.
  24. 24. The University of Southern Mississippi Normally detailed in budget justification of proposal. Most agencies have rules. Must conform to USM and state travel regulations. (Grant-funded travel does not exempt you and your students from state travel regulations!) PI and Student Travel
  25. 25. The University of Southern Mississippi Accounting rules that govern federal government funding of university research. (Why can’t I hire a secretary from my grant?) (Why can’t I buy an office computer for the office secretary from my grant?) (Why must I file monthly time and effort reports?) You need to work with the university accountants to ensure compliance. Avonelle Pugh – never said it but probably thought: “It’s not my A-21”. A-21 Task force. OMB Circulars A-21 and A-110
  26. 26. The University of Southern Mississippi Multidisciplinary projects with multiple PIs. Everyone’s roles and responsibilities should be defined before proposal is submitted and stated in proposal text (if practical). Have a documented plan for budgeting and spending! Multi-PI Grants
  27. 27. The University of Southern Mississippi HHS definition of COI: “When outside activities interfere with scholar’s university duties” Conflict of Commitment: outside employment (Human Resources, President must approve; Rule of thumb: ~8 hours per week allowed) Financial conflict of interest Conflicts of Interest (COI) and Commitment (COC)
  28. 28. Research The University of Southern Mississippi Notebooks, other data archives (university-issued and –owned computers) (Data Management Plan required by agencies) Intellectual property protection (new first-to-file patent regulations) Who owns the data? Documentation in case of dispute Unintentional misinterpretation of data (intentional misinterpretation, sloppy data documentation could lead to misconduct) Data Management
  29. 29. Research The University of Southern Mississippi All agencies require progress and final reports. (Usually technical and/or financial reports; frequency depends on agency) Technical reports: written and submitted by the PI. (Timely submission is crucial! NSF blocks submission of new grants by all PIs on grant if reports are late! Copies of the final report to SPA) Financial reports: assembled, submitted by USM Office of Contracts and Grants Accounting (OCGA). (some universities recommend PI review) Other deliverables: Software, Maps, Databases, etc. Reports and Reporting Periods