Introduction to Introduction to Research @ WSUResearch @ WSU

www.research.wayne.eduwww.research.wayne.edu

Dr. Hilary H. Ratner, Vice President for Research

Sarah James, Research Support Liaison

James Barbret, Associate VP for Sponsored Program Administration & Assistant Vice President for Finance

August 26, 2008

OverviewOverviewDr. Hilary H. Ratner, Vice President for Research Organization and WSU Profile Faculty roles Funding opportunities Divisions of Research (minus SPA)

Sarah James, Research Support Liaison OVPR Products and Services for New Faculty

◦ Internal Funding Programs◦ Workshops & Trainings◦ Other Resources & Support

James Barbret, Associate VP for SPA & Assistant VP for Finance Sponsored Program Administration

◦ Pre-Award◦ Post-Award

Folder Review

Questions

Research Warrior Jeopardy!

Break-Out Sessions Setting Up a Lab: Purchasing & Facilities Interdisciplinary Research & Mentoring

Division of ResearchDivision of Research

Office of the Vice President Office of the Vice President for Research (OVPR)for Research (OVPR)

Leadership in achieving the University’s research mission

Oversight and direction of the university’s research standings, reputation, and portfolio in partnership with academic units

Facilitation and stimulation of research Research administration Establishment and implementation of research policies and

procedures Commercialization of faculty discoveries and inventions Compliance with federal, state, and local regulations governing

research activities

WSU ProfileWSU ProfileNSF ranks WSU 50th

◦ Research expenditures ◦ Public universities

Urban teaching, service and research mission◦ Transformed from city college to internationally

recognized institution◦ Center of intellectual vitality in city and region◦ Embedded in life of community

Diversity and urban issues Contribute to health and well being of region Economic development

See ncareport.wayne.edu

NSF Research Expenditure DollarsNSF Research Expenditure Dollars

WSU Major Research SponsorsWSU Major Research Sponsors

Major Major FederalFederal Research Sponsors Research Sponsors

Who we are in OVPRWho we are in OVPR

OVPR is here to help you! OVPR is here to help you!

Director, Research Collaborations Nancy Christ

Director, Inter-institutional InitiativesFreda Giblin

Director, Communications OfficeJulie O’Connor

Research Support LiaisonSarah James

Assistants to the Vice PresidentShay Izzard & Joann Yucha

See folder for contact information

Communications OfficeCommunications OfficeObjectives

◦ Promotes WSU’s research enterprise Significance, Solutions, Impact

Better quality of life Discoveries, products, services, methods Economic development

Student learning & training“Let Us Make You Famous” flyer

◦ Press releases◦ Media advisories◦ Web presence◦ Research@wayne◦ New Science

Research Advisory GroupsResearch Advisory Groups

Research Committee

of the Academic

Senate

Efficiency & Processing

Improvement Committee

(EPIC)

Computer Research

Working Group(CRWG)

Research Deans and Directors

OVPR

Faculty Research Advisory

Committee (FRAC)

College of Engineerin

g

College of Liberal Arts &

Sciences

School of Medicine

Other School/College Research Advisory

Groups

University Research CorridorUniversity Research Corridor Alliance

◦ Michigan State University

◦ University of Michigan

◦ Wayne State University

Profile◦ Complete graduate and undergraduate education, as well as

professional degrees in medicine, business and the law

◦ Conduct more than $1.3 billion in research per year

◦ 95% of the academic R&D conducted in Michigan

◦ Produce hundreds of patents each year

Objective◦ Leverage the intellectual capital of the three public research universities

to transform, strengthen and diversify Michigan’s economy

Recent accomplishment◦ Nearly $1 million investment in alternative energy projects

Faculty RolesFaculty RolesScholar

◦Evaluation◦Promotion and Tenure

School/College/Department Guidelines Network with colleagues Find a mentor Ask colleagues for CVs

Teacher◦Classroom◦Laboratory, Field

Faculty Roles continuedFaculty Roles continued

Merging roles◦ Engage graduate and undergraduate

students early in scholarship Provides better understanding of and training in

rapidly emerging areas Teaches scientific, ethical and global concerns Retention and degree completion

◦ Feedback, evaluation, engagement, consider student needs

NIH Pathways to Independence NIH Pathways to Independence The NIH Pathways to Independence Program employs multiple strategies to facilitate receiving an R01 award earlier in an investigator’s research career. These involve: Pathway to Independence Award NIH Director's New Innovator Award NRSA Individual and Institutional Training Awards Career Development Awards - K Kiosk Research Project Grant Program - (R01) NIH Institute and Center Practices Resources for New Investigators Go to http://grants.nih.gov/grants/new_investigators/index.htm for information

NSF CAREER AwardNSF CAREER AwardEarly Career Development ProgramFoundation-wide activity that supports junior faculty

◦ Exemplify teacher-scholar role Outstanding research, Excellent education Integration of education and research within the context of

institutional mission

Foundation for a lifetime of leadership Especially encourages women, members of

underrepresented minority groups, and persons with disabilities to apply

For more information, go to: http://www.nsf.gov/funding

NIH/NSF Research Teams NIH/NSF Research Teams

Mathematicians

Mathematicians

Psychologists

Psychologists

Physicists

Physicists

NursesNurses

Economists

Economists

Engineers

Engineers

Dentists

Dentists

Sociologists

Sociologists

Physicians

Physicians

WSU Interdisciplinary WSU Interdisciplinary Research InitiativesResearch Initiatives http://research.wayne.edu/idre/http://research.wayne.edu/idre/NIH Clinical and Translational Science Award (CTSA)

Planning Grant◦ Move research more quickly from bench to bedside◦ Create an academic home for clinical and translational science◦ Train the next generation of clinical and translational scientists

CTSA application submitted June, 2008◦ DRICTR◦ Urban health◦ Involves faculty from all schools and colleges

OVPR helps establish collaborative groups and assists faculty in finding research funding

Research ComplianceResearch Compliance

“An ounce of prevention is worth a pound of

cure.”Henry de Bracton, 1240

Research Compliance AreasResearch Compliance Areas

Human Investigation Committee (HIC)Animal Investigation Committee (AIC)Scientific Misconduct

◦ Fabrication, falsification, plagiarism, or other practices that seriously deviate from commonly accepted practices

Conflict of InterestEnvironmental Health and SafetyExport Control Regulations

◦ Federal regulations limit transfer of certain information, technology, goods or services to certain foreign nationals in U.S. or abroad

◦ Severe criminal and civil sanctions for violations

HIC & AICHIC & AIC

WSU is committed to full compliance with federal, state and local regulations that apply to the ethical conduct of research

Whether human or animal subjects are involved, researchers, including students, must obtain written approval from the HIC or AIC before beginning their projects

Consequences of Failure to Comply Consequences of Failure to Comply with HIC or AIC Policieswith HIC or AIC Policies

Termination of your projectTermination or suspension of your ability

to perform research at WSUInability to use your dataProbation for the institutionClosure of all human or animal research

projects in the entire university and its affiliates

On-line TrainingOn-line Training

Completion of HIC and/or AIC online training program is mandatory for all investigators and key personnel listed on the protocol summary form◦www.hic.wayne.edu or www.aic.wayne.edu

Technology Commercialization Technology Commercialization

Technology transfer ◦ Identify, protect, market and license

intellectual property developed by faculty Patents, unique biological/other materials, and

copyrights

Venture Development◦Help launch technology businesses

Liaison between industry and academia

OVPR Products & ServicesOVPR Products & Services for New Faculty for New Faculty

Sarah James, Research Support Liaison

Research Mentors Program for New FacultyGraduate Research Assistantship CompetitionPre-submission Review (scientific review by expert in

field)Research Enhancement Program (REP) in ArtsREP in Humanities & Social Sciences

See “OVPR Internal Funding Programs” in folder for more information.

Internal Funding ProgramsInternal Funding Programs

Trainings & WorkshopsTrainings & Workshops

Professional and Academic Development (PAD) Seminar Series ◦ offered jointly by OVPR, Provost’s Office and Graduate

School

Nano@Wayne Seminar SeriesBio 101 Seminar SeriesGrant-writing seminars

See “Seminars” packet in folder for more information.

Other Resources & SupportOther Resources & Support

Proquest COSResearch@WayneInternal Research Support

BookletOffice of Corporate & Foundation

RelationsLibrary SystemsAssociate Research Deans

Working with Sponsored Working with Sponsored Program AdministrationProgram Administration

James Barbret, Associate VP for Sponsored Program Administration & Assistant Vice President for Finance

Who is Sponsored Program Who is Sponsored Program Administration (SPA)?Administration (SPA)?

• SPA is the institutional office responsible for administrative oversight of WSU’s externally sponsored research

• SPA combines the administrative and accounting functions in a single office

• SPA reports primarily to the Office of the Vice President for Research, but also reports to the Vice President for Finance to retain financial oversight

Sponsored Programs Sponsored Programs Administration OrganizationAdministration Organization• SPA is divided in to two operating divisions – Pre and

Post Award• Both units are led by a Director supported by a

number of professional and administrative staff• Both groups are assigned a number of WSU units to

provide support• These units play a role throughout the lifecycle of the

project that includes:– Proposal preparation and submission– Award acceptance and management– Oversight throughout the execution of the project

Pre Award ActivitiesPre Award Activities• Grant and Contract Officers are the primary contact

for faculty members in preparing and submitting proposals.

• Grant and Contact Officers handle the award negotiation and acceptance.

• Grant and Contract officers may engage the services of the Office of General Counsel.

• Provide training of WSU staff in management requirements

Key Pre Award ConceptsKey Pre Award Concepts

All proposals to any governmental units to fund any and all activities, not only research, need to be processed through SPA

SPA and WSU’s Development Office coordinate submission to private entities, i.e. foundations, corporations, etc

SPA is the Authorized Official for submissions, as well as the Business Officer

Who and When do I contact SPA ?Who and When do I contact SPA ?

Who? Grant and Contract officers are assigned by College They change rarely so you be able to connect with

them Our website has the latest assignments

When? As soon as possible - when you are anticipating

submitting a proposal to an outside agency

Help you through some of the pitfalls of proposal development

Some of the “trouble areas”Some of the “trouble areas”

Pre-proposals and letters of intent: Okay to be sent w/o processing through SPA if no

commitments are made Not okay if requires institution’s signature Not okay if WSU is restricted or limited submissions

Subcontractors: If you are using a subcontractor, we need a

“proposal” from them with authorization

If you are the subcontractor, process a proposal through SPA, treating the source (where WSU gets its funds) as your agency

Who and When do I contact SPA ?Who and When do I contact SPA ?Who?

Post Award Administrators are assigned by College and department

They change rarely so you be able to connect with them

Our website has the latest assignmentsWhen?

Any formal request correspondence to the sponsor normally requires an institutional endorsement or signature – that is a SPA person

Help you through some of the pitfalls of project execution and costing questions

Post Award ActivitiesPost Award Activities• The Post Award Administrators Officers are the

primary contact for faculty and administrators in questions regarding the conduct of their programs.

• The Post Award Administrators review the award agreement for “restrictive” terms and conditions

• The Accounting Support group establishes accounts in the University financial system, enters the award budget

• The Accounting Support group generates all necessary accounting entries

Key Post Award ConceptsKey Post Award Concepts

Two areas of concentration: ◦ Financial◦ Programmatic

Investigators, departmental staff and SPA share these responsibility

Financial: Are we executing the work and charging/utilizing the funds within the guidelines and principles?

Programmatic: Are we accomplishing the work as proposed?

Some of the “trouble Some of the “trouble areas”areas”

Financial Cost PrinciplesFinancial Cost PrinciplesREASONABLE: A prudent business person would

have purchased this item and paid this price.ALLOCABLE: It can be assigned to the activity on

some reasonable basis.CONSISTENTLY TREATED: Like costs must be

treated the same in like circumstances, as either direct or F&A costs.

If a cost cannot meet the above criteria, it is unallowable, no matter what it is for.

Changes during the ProjectChanges during the Project

What constitutes a change?◦Re-budgeting funds◦Change in scope or aims◦Absence of PI/Key Personnel◦No cost time extension

Contact SPA – Can we document internally or do we need to request sponsor approval?

Two MythsTwo Myths

“My Program Officer said it was okay…..”◦ In most cases, the Program Officer has no authority◦ They are likely to give opinions, not approvals◦ Costing issues are unique to each campus and are

based on institutional policies◦ There is still a need for documentation

“The Sponsor cares about the science, not the costs …”◦ Expanded authorities gave us the authority, did not

eliminate the rules◦ Modular budgets are still bound by the costs guidelines

The Results of Non Compliance:The Results of Non Compliance: Significant Audits/Settlements Significant Audits/Settlements

Public Demandfor

Improved Control

Johns Hopkins Univ Effort Certification

$2.7 million

University of MinnesotaMisuse federal funds

$32 million

New York University Medical Center

Inflated research grant costs$15.5 million

Mayo FoundationMischarging federal

grants $6.5 million

Harvard/BIDMCCosting Issues Self-Reported

$3.25 millionNorthwestern UniversityCommitted Time/Effort

$5 million

Univ Alabama/BirminghamEffort Certification & Clinical Research Billing $3.4 million

East Carolina Univ Questioned Costs HHS/OIG Audit

$2.4 million

Univ of Southern California Questioned Costs

HHS/OIG Audit $400,000

Florida International UnivEffort Certification & Direct Costs

$11.5 million

Univ California/San FranciscoAnimal Care Allegations

$92,500 fine

Cornell Medical Clinical Research Issues

$4.4 million