Choi by hedongchenchen

VIEWS: 2 PAGES: 21

									                     Presented By:
Mee Mee Lee-Choi, Associate Director of Grants & Contracts

                   September 30, 2010




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          Institutional Responsibility
When we accept an award, we……
 …agree to adhere to all of the terms, conditions and
  guidelines.
 …have a fiduciary responsibility to spend the
  money in a reasonable and responsible manner.
 …have to demonstrate adherence to the key cost
  principle (Reasonable, Allowable, Allocable,
  Consistent) for treatment of all costs


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        K-Awards Terms and Conditions
 K-Award recipients must be full-time employees
 Acceptance of a K-award may require a redistribution of
  effort to reflect the required level of commitment to the
  award (usually 75%)
 No-cost extensions still require the same level of effort
  required by the award
 Salary supplementation may NOT be from Federal
  funds unless specifically authorized by the Federal
  program from which such funds are derived




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       K-Awards Terms and Conditions
 Any change in employee status or responsibilities
  requires notification to the funding agency
 Salary for mentors, secretarial and administrative
  assistance, etc. is NOT allowed
 Candidate may not simultaneously submit or have an
  application pending for any other career award
 Ineligible candidates include current or former
  principal investigators on NIH research project grants,
  or project leaders on sub-projects of program project or
  center grants, or other career development awards

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        Common Compliance Issues
 Level of effort requirement
 Full-time appointment requirement
 Salary limitation
 Use of non-salary support
 Others
    Prior approval requirement (special leave, no-cost
     extension, reduction in effort, changes in career
     development plan, changes in institution, etc)
    Citizenship requirement
    Degree requirement


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    Importance of Compliance & Risks
• Increased monitoring and oversight
• Repayment of funds
• Loss of current and/or future funding
• Compromise expanded authorities
• Compromise institution’s reputation
• Could be breaking the law


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   K-Award Recipient Responsibilities
 Review award terms and NIH Grant Policy
  Statement
 Be aware of NIH policy concerning concurrent
  support from career development award and
  research grant
     Allowable only in the final two years of K-award
     Effort required on K-award may be reduced to no less than
      50%
     Complimented by an appropriate percentage of effort from
      the research award
     Maintain total level of research commitment at 75% or more


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K-Award Recipient Responsibilities (cont.)
• PI must have ability to commit required % effort
• Department head must agree that the PI will be
  permitted to spend the prescribed % of time on
  K activities.
 And, the department will cover required cost
  sharing




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K-Award Recipient Responsibilities (cont.)
 Expend and report effort accurately
     Example:
     K07 requires a minimum 75% effort by the PI and has a salary
     limit of $75,000
     PI: 75% Effort and IBS = $115,385
                             Payroll        Effort Distribution
     K07 Award               $ 75,000                65.0%
     Cost Share to K         $ 11,539                10.0%
     Other Sources           $ 28,846                25.0%
     Total                   $115,385                100.0%


 Submit timely progress reports
                                                                    9
 Don’t Overcommit Effort or Could Lose K Award and $’s

1. For each identified project, identify % sponsored project effort
   commitments in proposals and awards
2. Determine effort commitments for non-sponsored commitments
    •   University non-sponsored: reasonable estimates based on tasks performed
        (classes taught, administrative roles).
    •   MSP: Clinical schedules (outpatient, inpatient service, O.R., procedure
        time [which can readily be audited]).
    •   (If applicable) UIMC: medical administrative roles.
    •   Will likely need to initially express commitments in terms of hours and
        then convert to %’s (after all commitments are identified)
    •   If so, document total hours/week used as denominator (needs to be
        reasonable, assuming same average hours for all weeks of the year)


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Don’t Overcommit Effort or Could Lose K Award and $’s

 3.       If applicable, determine areas of clinical/research
          overlap; K award overlap
            K award: apportion as communicated to sponsor
           Clinical research: reasonable basis (e.g. proportion of effort
            expended on patients enrolled in research study and
            proportion of time spent on tests, treatments and care
            related to study when handling these patents –the
            chargeable portion)
 4.       Ensure effort commitments can be reconciled within
          100%
            If overcommitted, we will need to address (surface to ORS
             ASAP)
            Note: 25% reduction in effort on a grant must be
             communicated to sponsor
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    Learnings from K-Awards Investigation
• Faculty Activity Analysis (FAA) reports must
  reflect the required effort percentage of a K-
  award
• Effort Certification being reviewed and signed
  without proper understanding
• Over commitments on clinical activity and
  under commitments on research effort
• All changes must be documented and agreed to
  in writing by the sponsor.



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                       In Summary
• Be mindful of minimum effort commitment
  requirement and salary cap

• Effort reporting is one of the areas of federal
  government focus
  • Who ensures appropriate salary is charged?
  • Who ensures level of commitment is reasonable?
  • Who signs the effort reports?


• Compliance is not only for post-award administration


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Who Is Responsible for Compliance?

           Office of                    Office of

      Grants & Contracts        Research Services




                 Award Recipient Unit




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      Types of K Awards with Effort Requirements

K01    Mentored Research Scientist Development Award
       Career development in a new area of research.
       3-5 yrs; Salary determined by the sponsoring institute.

K01    International Research Scientist Development K01 Award
       (IRSDA)
       Provides US scientists with the opportunity to embark/enhance
       research careers related to global health.

K02    Independent Scientist Award
       Develop the career of the funded scientist.
       5 yrs; 75% effort.

K05    Senior Scientist Award
       For outstanding scientist with a sustained level of high productivity.
       5 yrs; 75% effort; Funding determined by the sponsoring institute.

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      Types of K Awards with Effort Requirements
K07       Academic Career Award
          Developmental/Leadership in academic instruction, research,
          administration. 2-5 yrs, 25-75% effort; requires institutional sponsorship.

K08       Mentored Clinical Scientist Development Award
          Development of the independent clinical research scientist.
          3-5 yrs; 75% effort.

K12       Mentored Clinical Scientist Development Program Award
          Support to an institution for the development of independent clinical
          scientists. 5 yrs; 75% effort; initiated by the educational institution.

         NCI
         NCRR
         NEI
         NIA
         NICHD
         NIDA
         NIDCR

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          Types of K Awards with Effort Requirements
K07       Academic Career Award
          Developmental/Leadership in academic instruction, research,
          administration. 2-5 yrs, 25-75% effort; requires institutional sponsorship.

K08       Mentored Clinical Scientist Development Award
          Development of the independent clinical research scientist.
          3-5 yrs; 75% effort.

K12       Mentored Clinical Scientist Development Program Award
          Support to an institution for the development of independent clinical
          scientists. 5 yrs; 75% effort; initiated by the educational institution.

         NCI
         NCRR
         NEI
         NIA
         NICHD
         NIDA
         NIDCR

                                                                                        17
      Types of K Awards with Effort Requirements

K18    Career Enhancement Award for Stem Cell Research
       Supports full-time or part-time training in the use of human or animal
       embryonic, adult, or cord blood stem cells. Usually 6 months to 1
       year (up to 2 years allowed) full or part-time. NIDDK, NIAAA, NIAID,
       NHLBI, and         NINR participate.

K22    Career Transition Award
       Support to an individual postdoctoral fellow in transition to a faculty
       position.

      NCI                 NIDCR              NINR
      NHGRI               NHLBI              NIDDK
      NLM                 NIAID              NIEHS
      NIAMS               NIMH
      NIDA                NINDS


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      Types of K Awards with Effort Requirements
K23   Mentored Patient-Oriented Research Career Development
      Award
      Development of the independent research scientist in the clinical arena.
      3-5 yrs, 75% commitment.

K24   Midcareer Investigator Award In Patient-Oriented Research
      Development of clinical mentors conducting funded research.
      3-5 yrs, 25 to 50% effort.

K25   Mentored Quantitative Research Career Development Award
      To foster interdisciplinary collaboration in biomedical research by
      supporting          career development experiences for scientists with
      quantitative and engineering           backgrounds. 3-5 yrs; 75 % effort.

K26   Midcareer Investigator Award In Mouse Pathobiology Research
      Provides support for established pathobiologists who wish to devote up
      to 50 percent of their effort to research and mentoring in the field of
      mouse pathobiology. 3 to 5 yrs, renewable 25 to 50% effort.
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      Types of K Awards with Effort Requirements
K30   Clinical Research Curriculum Development
      Institutional Award for development of a clinical research curriculum.
      5 yrs; up to $200,000 per year.




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                               Questions?


DRIA, ORS, and Grants and Contracts are available to assist:
Mary Lelik, DRIA at 6-3254 or DRIA@uic.edu
Luis Vargas, ORS, at 6-6150 or LRVARGAS@uic.edu
Mee Mee Lee-Choi, Grants and Contracts, at 6-5961 or meemlee@uillinois.edu



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