Transcript Welcome to Wayne State University’s Division of Research

Introduction to
Research @ WSU
www.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
Overview
Dr. Hilary H. Ratner, Vice President for Research
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Organization and WSU Profile
Faculty roles
Funding opportunities
Divisions of Research (minus SPA)
Sarah James, Research Support Liaison
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OVPR Products and Services for New Faculty
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Internal Funding Programs
Workshops & Trainings
Other Resources & Support
James Barbret, Associate VP for SPA & Assistant VP for Finance
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Sponsored Program Administration
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Pre-Award
Post-Award
Folder Review
Questions
Research Warrior Jeopardy!
Break-Out Sessions
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Setting Up a Lab: Purchasing & Facilities
Interdisciplinary Research & Mentoring
Division of Research
Office of the Vice
President for
Research
Type II Research
Centers and
Institutes
Sponsored
Program
Administration
Research
Compliance
Technology
Commercialization
Office of the Vice President
for Research (OVPR)
Leadership in achieving the University’s
research mission
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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 Profile
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NSF ranks WSU 50th
◦ Research expenditures
◦ Public universities
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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
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See ncareport.wayne.edu
NSF Research Expenditure Dollars
NSF Research Expenditure Dollars (Thousands)
$235,135
$250,000
$200,000
$150,000
$124,303
$100,000
$50,000
$-
1997
2007
WSU Major Research Sponsors
FY 2007 Research Awards by Major Sponsor Type
$6,222,854
$7,484,931
$22,368,627
Federal Government
Other
Foundations and Associations
State
$110,047,829
Major Federal Research Sponsors
FY 2007 Federal Research Awards
by Major Sponsor Type
$1,746,172
$380,850
$529,542
$6,406,679
$6,549,463
NIH
US DEFENSE DEPARTMENT
NSF
US DEPARTMENT OF ENERGY
US DEPARTMENT OF EDUCATION
Other
$94,435,123
Who we are in OVPR
Hilary Ratner
Joe Dunbar
Gloria Heppner
CLAS: Social Sciences and
Humanities areas
Medicine
Engineering
Nursing
CLAS: Physical Sciences
Social Work
Pharmacy and Health
Sciences
Fine, Performing &
Communication Arts:
Communication
Institute for
Manufacturing
Research
Fine, Performing &
Communication Arts: Art
and Art History; Music;
Dance
Institute of Gerontology
Center for Molecular
Medicine and Genetics
Education
Merrill Palmer Skillman
Institute
Center to Advance
Palliative Care
Excellence
Institute of Environmental
Health Sciences
OVPR is here to help you!
Director, Research Collaborations
Nancy Christ
Director, Inter-institutional Initiatives
Freda Giblin
Director, Communications Office
Julie O’Connor
Research Support Liaison
Sarah James
Assistants to the Vice President
Shay Izzard & Joann Yucha
See folder for contact information
Communications Office
Objectives
◦ 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
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Press releases
Media advisories
Web presence
Research@wayne
New Science
Research Advisory Groups
OVPR
Research
Committee of
the Academic
Senate
Efficiency &
Processing
Improvement
Committee
(EPIC)
Faculty Research
Advisory
Committee
(FRAC)
Computer
Research Working
Group
(CRWG)
Research Deans
and Directors
College of
Engineering
College of Liberal
Arts & Sciences
School of
Medicine
Other School/College
Research Advisory Groups
University Research Corridor
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Alliance
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Michigan State University
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University of Michigan
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Wayne State University
Profile
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Complete graduate and undergraduate education, as well as professional
degrees in medicine, business and the law
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Conduct more than $1.3 billion in research per year
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95% of the academic R&D conducted in Michigan
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Produce hundreds of patents each year
Objective
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Leverage the intellectual capital of the three public research universities
to transform, strengthen and diversify Michigan’s economy
Recent accomplishment
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Nearly $1 million investment in alternative energy projects
Faculty Roles
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Scholar
◦ Evaluation
◦ Promotion and Tenure
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School/College/Department Guidelines
Network with colleagues
Find a mentor
Ask colleagues for CVs
Teacher
◦ Classroom
◦ Laboratory, Field
Faculty Roles continued
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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
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 Award
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Early Career Development Program
Foundation-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
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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
Mathematicians
Psychologists
Physicists
Physicians
Nurses
Sociologists
Dentists
Economists
Engineers
WSU Interdisciplinary
Research Initiatives
http://research.wayne.edu/idre/
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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
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CTSA application submitted June, 2008
◦ DRICTR
◦ Urban health
◦ Involves faculty from all schools and colleges
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OVPR helps establish collaborative groups and assists faculty in
finding research funding
Research Compliance
“An ounce of prevention is
worth a pound of cure.”
Henry de Bracton, 1240
Research Compliance Areas
Human Investigation Committee (HIC)
 Animal Investigation Committee (AIC)
 Scientific Misconduct
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◦ Fabrication, falsification, plagiarism, or other practices that
seriously deviate from commonly accepted practices
Conflict of Interest
 Environmental Health and Safety
 Export Control Regulations
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◦ 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 & AIC
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WSU is committed to full compliance with
federal, state and local regulations that
apply to the ethical conduct of research
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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
with HIC or AIC Policies
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Termination of your project
Termination or suspension of your ability
to perform research at WSU
Inability to use your data
Probation for the institution
Closure of all human or animal research
projects in the entire university and its
affiliates
On-line Training
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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 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 & Services
for New Faculty
Sarah James, Research Support Liaison
Internal Funding Programs
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Research Mentors Program for New Faculty
Graduate Research Assistantship Competition
Pre-submission Review (scientific review by expert in
field)
Research Enhancement Program (REP) in Arts
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REP in Humanities & Social Sciences
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See “OVPR Internal Funding Programs” in folder for more
information.
Trainings & Workshops
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Professional and Academic Development
(PAD) Seminar Series
◦ offered jointly by OVPR, Provost’s Office and Graduate
School
Nano@Wayne Seminar Series
 Bio 101 Seminar Series
 Grant-writing seminars
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See “Seminars” packet in folder for more information.
Other Resources & Support
Proquest COS
 Research@Wayne
 Internal Research Support Booklet
 Office of Corporate & Foundation
Relations
 Library Systems
 Associate Research Deans
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Working with Sponsored
Program Administration
James Barbret, Associate VP for Sponsored
Program Administration & Assistant Vice
President for Finance
Who is Sponsored Program
Administration (SPA)?
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SPA is the institutional office responsible for
administrative oversight of WSU’s externally
sponsored research
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SPA combines the administrative and accounting
functions in a single office
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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
Administration Organization
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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 Activities
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Grant and Contract Officers are the primary contact
for faculty members in preparing and submitting
proposals.
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Grant and Contact Officers handle the award
negotiation and acceptance.
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Grant and Contract officers may engage the
services of the Office of General Counsel.
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Provide training of WSU staff in management
requirements
Key Pre Award Concepts
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All proposals to any governmental units to fund any
and all activities, not only research, need to be
processed through SPA
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SPA and WSU’s Development Office coordinate
submission to private entities, i.e. foundations,
corporations, etc
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SPA is the Authorized Official for submissions, as
well as the Business Officer
Who and When do I contact SPA ?
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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
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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”
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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
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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 ?
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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 assignments
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When?
 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 Activities
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The Post Award Administrators Officers are the
primary contact for faculty and administrators in
questions regarding the conduct of their programs.
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The Post Award Administrators review the award
agreement for “restrictive” terms and conditions
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The Accounting Support group establishes accounts
in the University financial system, enters the award
budget
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The Accounting Support group generates all
necessary accounting entries
Key Post Award Concepts
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Two areas of concentration:
◦ Financial
◦ Programmatic
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Investigators, departmental staff and SPA share
these responsibility
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Financial: Are we executing the work and
charging/utilizing the funds within the guidelines
and principles?
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Programmatic: Are we accomplishing the work as
proposed?
Some of the “trouble areas”
Financial Cost Principles
 REASONABLE: 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 Project
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What constitutes a change?
◦ Re-budgeting funds
◦ Change in scope or aims
◦ Absence of PI/Key Personnel
◦ No cost time extension
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Contact SPA – Can we document
internally or do we need to request
sponsor approval?
Two Myths
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“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
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“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:
Significant Audits/Settlements
University of Minnesota
Misuse federal funds
$32 million
Univ of Southern California
Questioned Costs
HHS/OIG Audit
$400,000
East Carolina Univ
Questioned Costs
HHS/OIG Audit
$2.4 million
Univ Alabama/Birmingham
Effort Certification & Clinical
Research Billing $3.4 million
Florida International Univ
Effort Certification & Direct Costs
$11.5 million
Univ California/San Francisco
Animal Care Allegations
$92,500 fine
Public Demand
for
Improved Control
Harvard/BIDMC
Costing Issues
Self-Reported
$3.25 million
Johns Hopkins Univ
Effort Certification
$2.7 million
New York University
Medical Center
Inflated research grant costs
$15.5 million
Mayo Foundation
Mischarging federal
grants
$6.5 million
Cornell Medical
Clinical Research Issues
$4.4 million
Northwestern University
Committed Time/Effort
$5 million