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Slide 1 - Wright State University - Dayton, Ohio






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Slide 1 - Wright State University - Dayton, Ohio Slide 1 - Wright State University - Dayton, Ohio Presentation Transcript

  • Services of
    Research and Sponsored Programs
    October 27, 2010
  • Jackie Frederick
    Director, Pre-Award Services Ext. 2664
    Internal Funding Opportunities
  • Internal Funding Opportunities
    Does WSU offer its own small grants program for new faculty?
    View slide
  • Research Incentive Program
    Supports research and other scholarly activities.
    • Research Initiation Grants View slide
    • Professional Development Grants
    See: www.wright.edu/rsp/
    Click on: “Internal Funding Programs”
  • Research Incentive Program
    • Research Initiation Grants
    • Purpose: To provide seed funding for new research efforts to attract external funding
    • Eligibility: Fully-affiliated faculty (other than Boonshoft School of Medicine)
    • Maximum award: $10,000
    • Annual Winter quarter competition
  • Research Incentive Program
    Research Initiation Grant Awards FY2010
    • 32 proposals submitted
    • 6 funded
    • Total dollars awarded--$56,496
  • Research Incentive Program
    Research Initiation Grants FY2010
    Sample Award Titles
    “Advanced Energy System Transient Analysis Tool Development”
    “Evolution of AAV Vectors for HIV Infected Cells”
    “Global Warming Potential of a Wetland Mitigation Bank in Southwest Ohio”
  • Research Incentive Program
    • Professional Development Grants
    • Purpose: To provide seed funding for more general, diverse scholarly activities
    • Eligibility: Fully-affiliated faculty (other than Boonshoft School of Medicine)
    • Maximum award: $3,000
    • Annual Winter quarter competition
  • Research Incentive Program
    Professional Development Grant
    Awards FY2010
    • 12 proposals submitted
    • 6 funded
    • Total dollars awarded--$17,550
  • Research Incentive Program
    Professional Development Grants
    Sample Award Title
    “Caucasian Borderlands: The Origin of Russia’s Empire in the Caucasus, 1500-1800”
    Completion of Research in Berlin and Munich for Major Book about Bertolt Brecht, Entitled Acting Brecht”
  • External Funding Opportunities
    Brandy Foster
    Associate Director, Pre-Award
    Ext. 2423
  • WSU Grants & Contracts Awarded by Sponsor FY 2009-2010
    Total with Stimulus: $94,111,241 Actual Total: $81,123,292
  • WSU Grant and Contract Awards by Function – FY 2009-2010
  • External Funding Opportunities--Workshops/Training
    • Faculty Orientation
    • Subject-specific training/classes
    • One-on-one consultation
    • Proposal Writing Workshop
    • Funding Opportunities Workshop
  • External Funding Opportunities-- Where to begin?
    • Faculty Interest Profile*
    • Web-based Tool:
    • COS (Includes CBD and Federal Register)
    • Other Resources:
    • Links under “Proposal Preparation”
    *Found at <http://www.wright.edu/cgibin/profile.pl>
  • External Funding Opportunities-- RSP Publications
    • “Research News” (Web)
    Published 3 times/year
    • RSP Annual Report
    Research News
    Research Challenge Awards Announced
  • External Funding Opportunities--Web Tool
    • COS (Community of Science)
    • RSP home page: http://www.wright.edu/rsp
    Search COS
  • Pre-Award Services
    Jackie Frederick, Director
    Brandy Foster, Associate Director
    Marianne Shreck, Assistant Director
    Sheila Bensman, Assistant Director
  • Proposal Preparation
    Cost sharing?
    RSP is here to help.
  • Proposal Preparation
    • Guidance on Funding Sources
    • Application Packages and Guidelines
    Electronic versus paper
    Direct links to sponsor forms/sites
    • Liaison with Institutional Support Committees
    Institutional Review Board (IRB)
    Laboratory Care and Animal Use (LACUC)
    Institutional Biosafety Committee (IBC)
    • Interpretation/Use of Sponsor Guidelines
  • Proposal Preparation
    • Budget Preparation
    Salaries and fringe benefits
    Other budget requirements
    Facilities & Admin (F&A) Costs
    Cost share budgets
    Tuition scholarship policy
    Single/Multiple year budgets
    Compliance with guidelines
  • Proposal Preparation
    • Review Standard Forms
    Complete? Accurate?
    • Assure Proper Administrative Designations
    Grants/Contracts awarded to Institution
    • Assure Proper Research Committee Authorizations
    • Secure Proper Authorizations
    Internal routing
    Note: Ellen Reinsch Friese is the authorized signatory official for WSU
  • Proposal Preparation--Routing
    Minimum required for routing:
    Proposal title and Abstract/Project Summary
    Final budget (sponsor and cost share, if applicable) and budget justification
    Pre-Award prepares for signature:
    Authorization to Seek Off-Campus Funds
    Conflict of Interest Statement
    Other administrative forms/letters of intent
    The Goal:
    Route before proposal submission!
  • Proposal Preparation
    • Getting the proposal out the door.
    Check for completeness
    Monitor assembly
    Copy and mail(UPS)
    Electronic Submission
    -NSF FastLane
    -Other e-systems
    RSP tracks FedEx and/or electronically submitted
    applications to confirm sponsor receipt
  • Proposal Preparation
    • As appropriate, conduct negotiations on behalf of the university
    • Budget
    • Publication Rights
    • Intellectual Property Rights
    • Indemnification
    • Confidentiality
  • Break
    Please rejoin us in 10 minutes.
  • Institutional Compliance
    Ellen Reinsch-Friese
    Asst. Vice President for Research
    Robyn Wilks, IRB Coordinator
    Chris Piekkola, Programs Facilitator, LACUC and IBC
    Jodi Blacklidge, Program Coordinator, IRB
  • Compliance OverviewIRB
    What is an IRB?
    Local body charged by the Federal government to oversee human subjects research (45 CFR Part 46)
    * Guidelines and petitions found under “Human Subjects”
    at RSP’s homepage
  • Compliance OverviewIRB
    Purpose of an IRB?
    To review research and to ensure the rights and welfare of human subjects involved in research are adequately protected.
    Researchers are qualified to research involving human subjects.
    Subjects are fully aware of the study’s parameters and their role.
  • Compliance OverviewIRB
    What is a Human Subject?
    A living individual about whom an investigator conducting research obtains
    Data through intervention or interaction with the individual, or
    Identifiable private information.
  • Compliance OverviewIRB
    Levels of IRB Review
    Full Board
    More than minimal risk.
    Minimal risk study that does not qualify for Expedited Review.
    Review both Biomedical/Social Behavioral research.
  • Compliance OverviewIRB
    Levels of IRB Review
    Subcommittee of the full board (Advisory body)
    Minimal risk only
    Must meet one or more of the 9 federally-defined expedited categories
  • Compliance OverviewIRB
    Levels of IRB Review
    Exempt from federal regulations
    The IRB Chair (not investigators) must certify that the research qualifies as exempt
  • Compliance OverviewIRB
    When Do They Meet?
    Full Board: Monthly (3rd Monday)
    8 working days before meeting
    Expedited Advisory Review Committee: Bi-weekly
    5 working days before meeting
    Exempt: No meeting. Decision within a week of submission
  • Compliance OverviewIRB
    What to Submit
    IRB Petition
    Limitation requirements in petition instructions
    Consent form/Cover Letter
    Supporting Documents
    Permission letters, Questionnaires
    Interview questions
    Debriefing document
  • Compliance OverviewIRB
    CITI (Collaborative Institutional Training Initiative)
    • Human Subjects Protections
    • Biomedical/Social Behavioral
    • Good Clinical Practice (GCP)
    • Health Information Privacy and Security (HIPS)
    Refresher Course
  • Compliance OverviewLACUC
    • Laboratory Animal Care & Use Committee (LACUC) *
    What is an animal?
    All vertebrate animals involved in research, testing, and teaching
    * Guidelines and petitions found under “Human Subjects” or
    “Laboratory Animals” links at RSP’s homepage
    <http://www.wright.edu/rsp/> (or through
    “Policies and Procedures” on RSP homepage at
  • Compliance OverviewLACUC
    LACUC Mission Statement:
    Assure that all activities involving animals meet the ethical and legal requirements for their humane care and use.
    Maintain and promote an open and cooperative relationship with investigators, faculty, and the greater University community.
    Educate the WSU community concerning the ethical and regulatory considerations for the humane care of animals.
  • Compliance OverviewLACUC
    All use of vertebrate animals in research, testing or teaching must be approved by the LACUC prior to commencement of the project.
    Requires veterinarian review and consultation prior to submission of protocol to RSP.
  • Compliance OverviewIBC
    • Institutional Biosafety Committee (IBC) *
    Oversees the safe and ethical use of:
    -- Recombinant DNA (rDNA) and
    • Biohazardous agents
    • Biohazardous agent is an infectious agent or other substance produced by a living organism that causes disease in another living organism.
    * Guidelines and petitions found under “Biohazards” link at RSP’s homepage
    <http://www.wright.edu/rsp/> (or through
    “Policies and Procedures” on RSP homepage at
  • Compliance OverviewIBC
    IBC Mission Statement:
    Assure that all activities involving recombinant DNA and biohazardous agents meet the ethical and legal requirements for the responsible use of these agents.
    Establish policies and make recommendations to the University regarding such activities.
    Maintain and promote an open and cooperative relationship with investigators and the WSU community.
    Educate the WSU community concerning the regulatory requirements for the use of these agents.
  • Compliance OverviewIBC
    Anyone intending to perform activities involving recombinant DNA or biohazardous agents must submit a protocol to the IBC for consideration.
    Requires Institutional Biosafety Officer review and consultation prior to submission of protocol to RSP.
  • Compliance OverviewOther Safety Programs
    Other WSU Safety programs; e.g., Radiation Safety, Occupational Safety and Health, etc., are administered by Environmental Health and Safety.
    Resources may be found at:
  • Compliance OverviewResponsible Conduct of Research
    WSU’s Institutional Plan available at: http://www.wright.edu/rsp/rcr.html
    Training opportunities
    Sponsor guidance
    PI and RSP responsibilities
  • Compliance OverviewResponsible Conduct of Research
    What is RCR?
    “In general terms, responsible conduct in research is simply good citizenship applied to professional life.”
    Encompasses several topic areas
    Source material: (ORI, Introduction to the Responsible Conduct of Research, Nicholas H. Steneck)
  • Compliance OverviewResponsible Conduct of Research
    Authorship and Publication
    Authorship limited to individuals who make significant contributions to reported work.
    Published works accurately report results fully and fairly. Describe methods, results, and discussion.
  • Compliance OverviewResponsible Conduct of Research
    Collaborative Research
    Requires effective communication of:
    Goals and outcomes
    Data collection and data sharing
    Changes in research design
    Ownership and Intellectual Property distribution
    Criteria to rank authors
  • Compliance OverviewResponsible Conduct of Research
    Data Management Practices
  • Compliance OverviewResponsible Conduct of Research
    Mentor and Trainee Responsibilities
    Clearly understand mutual responsibilities
    Maintain productive and supportive research environment
    Proper supervision and review
    Trainees are preparing for their roles as successful researchers
  • Compliance OverviewResponsible Conduct of Research
    Peer Review
    To be effective, must be
    Free from personal bias
    Respectful of the need for confidentiality
  • Compliance OverviewResponsible Conduct of Research
    Conflict of Interest
    Purpose: to protect the integrity of the design, conduct, and reporting of project activities by effectively managing, reducing, or eliminating those significant financial interests which cause or appear to cause a conflict of interest on the part of an investigator.
    Required by federal regulations to collect data and manage conflicts.
  • Compliance OverviewResponsible Conduct of Research
    Disclosure process included in proposal routing at Pre-Award stage.
    “Significant” perceived conflict triggered by information contained in Financial Interest Disclosure Form.
    May require Conflict of Interest Management Plan.
  • Compliance OverviewResponsible Conduct of Research
    WSU Conflict of Interest Policy:
    ** Accessed through the “Conflict of Interest” link under
    “Policies & Procedures” on RSP’s homepage
  • Compliance OverviewResponsible Conduct of Research
    Research Misconduct
    Making up data or results
    Manipulating research materials, changing or omitting data or results
    Appropriating another’s words, processes, ideas, without due credit
  • Compliance OverviewResponsible Conduct of Research
    Wright Way Policy no. 2101
    Purpose: to maintain the highest standards and to establish institutional policies that provide a conspicuous and understandable mechanism for dealing with instances of alleged misconduct.
    Provides guidance for reporting and investigating allegations plus protection for whistleblowers
  • Compliance OverviewResponsible Conduct of Research
    Protection of human subjects
    Laboratory animal welfare
    Laboratory safety
  • Compliance OverviewResponsible Conduct of Research
    Upcoming Workshops
    Research Misconduct:
    January 24, 2011: 12 noon
    163 Student Union
    Introduction to RCR:
    February 14, 2011: 12 noon
    365 Joshi
    See: http://www.wright.edu/rsp/rcr.html
  • Compliance OverviewExport Control
    “Export Controls” refers collectively to those U.S. laws and regulations that govern the transfer of controlled information or technologies to foreign nationals and/or foreign countries.
    Clause found in sponsored research agreements, often with the Dept. of Defense
    Pre-Award staff will route a “Certification on the Handling of Export Controlled Information” to affected faculty and staff.
    WSU’s Export Control Officer:
    Reid Smith, 180 Joshi, ext. 4277
  • Compliance OverviewOther
    Source of Information
    In addition to the compliance activities in which RSP has a direct involvement (either through coordination or liaison), we are the "information clearinghouse" regarding the following miscellaneous compliance/assurance requirements:
    Drug-Free Workplace
    Debarment or Suspension
    Anti-Lobbying Certifications
    Civil Rights and Equal Employment Compliances
    Environmental Compliances
    Americans with Disabilities Act
    Compliance Non-delinquency of Federal Debt
  • Compliance Overview
    Principal Investigators are responsible for
    obtaining the necessary reviews and approvals
    RSP is responsible for assuring that these
    approvals have been secured prior to
    SUBMISSION OF THE PROPOSAL or, if allowable,
  • Post-Award Administration
    Post Award Personnel
    Glen Jones - Director, Post Award Services
    Yun Wu – Associate Director
    Danielle Booth – Grants Accountant II
    Gene Florkey – Grants Accountant
    Kim Owens– Grants Accountant
    Elaine Davis – Grants Accountant
    Aja Ash – Grants Accountant
  • Post Award Administration
    What Happens Once Award Is Funded?
    A Grant Fund is assigned in Banner for the award.
    The award is processed in Filemaker and Banner.
    The budget is added to Banner.
    The PI is notified of the grant number.
    The PI is sent the award packet.
  • Post Award Administration
    Award Packet
    Award Letter
    Copy of Award
    Salary Letter
  • Post Award Administration
    Negotiate Subcontracts.
    Initiate Requisition for Subcontract PO.
    Send Invoices for PI Approval.
    Provide AP with FOAP to process invoices.
    Request A-133 confirmations from Subs.
  • Post Award Administration
    Expenditure Monitoring
    Review and approve all expenses on grants $5,000 or greater.
    Approve all requests for procards on grants.
    Monitor expenses less than $5,000 via exception reports.
  • Post Award Administration
    Mandatory and Committed Cost Sharing
    Set up Activity code in Banner for Cost Share.
    Set up Cost Share Orgn if necessary.
    Provide information for cost sharing effort on the quarterly effort report.
    Document all cost share for audits and reports.
  • Post Award Administration
    Grant Administration
    Request budget revisions/modifications.
    Request No-cost extensions.
    Monitor status of non-financial reports.
    • Send reminders to PI for report due dates.
    • Complete Invention, Property and Close-out Reports.
    Act as liaison between sponsor and PI.
  • Post Award Administration
    Cash Management of Grants
    Deposit all funds received by RSP for grants.
    Invoice sponsors.
    Request draws for letter-of-credit grants.
    Reconcile Grant Payment Clearing Fund.
    Follow-up on outstanding receivables.
    Write off bad debts.
  • Post Award Administration
    Financial Reporting
    Prepare all quarterly SF272 reports.
    Prepare all annual SF269 reports.
    Prepare all Final SF272 & SF269 reports.
    Prepare all FERs for ODE grants.
    Prepare grant specific financial reports as needed.
  • Post Award Administration
    Current Federally Negotiated F&A Rates*
    • On Campus – 45%
    • Off Campus – 26%
    Other Sponsored Activity
    • On Campus – 35%
    • Off Campus – 26%
    * Current rates are effective from 7/1/09 – 6/30/11.
  • Post Award Administration
    Future Federally Negotiated F&A Rates*
    • On Campus – 46%
    • Off Campus – 26%
    Other Sponsored Activity
    • On Campus – 35%
    • Off Campus – 26%
    * Future rates are effective from 7/1/11 – 6/30/13.
  • Post Award Administration
    Grant Close-outs
    Initiate Final Billing.
    Initiate Final Reporting.
    Initiate Cost Overrun entries as needed.
    Initiate Residual entries as needed.
    Initiate Budget Reduction Entries as needed.
    Submit All financial and close-out reports.
    Terminate grant funds when grant balance is zero and all reports have been submitted.
  • Post Award Administration
    Link to PowerPoint Post Award Training
    Federal Audit compliance
    Cost Transfers
    Cost Share
    Direct vs Indirect Cost
    Technology Transfer & Development
    Reid Smith
    Director, Technology Transfer and Development – x 4277
  • Technology Transfer
    So What Does OTTAD Handle?
    • Non-Disclosure Agreements (NDAs)
    • Material Transfer Agreements (MTAs)
    • Commercialization Plans
    • Inter-Institutional Agreements
    • Invention Disclosures
    • Patents, Copyrights & Trademarks
    • Spin-Offs/Start-Ups
  • Technology Transfer (cont.)
    So WHY do I need to work with OTTAD?
    • Royalty income supports research; university wide and in your lab.
    • Royalty incentives spur innovation and connect basic research to practical “real world” applications.
    • You can exercise your entrepreneurial chops with a dedicated support team to guide you.
    • University policy and state law provide a mechanism and framework for creating value from IP that benefits the institution and the inventor.
  • Technology Transfer (cont.)
    90-10 split
    50-50 split
  • Technology Transfer (cont.)
    Common Misconceptions:
    “OTTAD is just a speed bump…”
    • NO! We work hard to make sure that your research doesn’t grind to a halt because of unforeseen problems (when the honeymoon ends).
    • We work with you early on to avoid any unnecessary delays later.
  • Technology Transfer (cont.)
    Common Misconceptions:
    “OTTAD just does patents”
    • Not at all! We help you engage with a wide variety of partners via transactions that assist in moving your technology and ideas toward commercialization. We help you connect!
  • Technology Transfer (cont.)
    • You’ll find:
    • Information
    • Policies and Forms
    • Interesting Links
  • BoonshoftSchool of MedicineOffice of Research AffairsRobert E.W. Fyffe Ph.D. Associate DeanMark WillisResearch Coordinator mark.willis@wright.edutel. 937 775 3814
  • Seed Grant Programs in BoonshoftSchool of Medicinehttp://www.med.wright.edu/ra/grants/index.html
    2011 BSOM Seed Grant Programs:Early Stage Investigator (ESI)
    Emerging Science (ES)
    Medical Education
  • Other supportGrants Consulting:http://www.med.wright.edu/ra/grants/grants_consulting.htmlResearch Enterprise:http://www.med.wright.edu/ra/re/Central Research Forum:http://www.med.wright.edu/ra/2010/crf.html
  • Divisions, Institutes & Centers:Center for Genomics ResearchCenter for Global Health Systems, Management & PolicyCenter for Healthy CommunitiesWSU & PHP Neuroscience InstituteCenter for Interventions, Treatment & Addictions Research (CITAR)Lifespan Health Research CenterNational Center for Medical ReadinessProteome Analysis Laboratory [http://www.med.wright.edu/pal/]
  • NIHNew Investigator Programs:http://grants.nih.gov/grants/new_investigators/index.htmNIH Roadmap for Medical Research:http://nihroadmap.nih.gov/Funding Opportunities:http://grants.nih.gov/grants/oer.htm
  • Research in Medical EducationResearch Learning Community:https://www.medu.wright.edu/rlcTranslational Research Lecture Series:https://www.medu.wright.edu/rlc/translational_2010Medical Student Research Club:https://www.medu.wright.edu/rlc/research_club
  • Questions?
    Thank you for coming!