Welcome to Wayne State University Division of Research by alicejenny


									   Introduction to
  Research @ WSU

  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
   Dr. 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
   Research Warrior Jeopardy!
   Break-Out Sessions
      Setting Up a Lab: Purchasing & Facilities
      Interdisciplinary Research & Mentoring
Division of Research
Office of the Vice President
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
    Commercialization of faculty discoveries and inventions
    Compliance with federal, state, and local regulations governing
     research activities
WSU Profile
    NSF 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 Dollars
              NSF Research Expenditure Dollars (Thousands)

  $250,000                                   $235,135


  $150,000        $124,303



WSU Major Research Sponsors
                 FY 2007 Research Awards by Major Sponsor Type


                                                          Federal Government
                                                          Foundations and Associations

Major Federal Research Sponsors
                    FY 2007 Federal Research Awards
                         by Major Sponsor Type
            $1,746,172   $380,850   $529,542



                                                      US DEFENSE DEPARTMENT
                                                      US DEPARTMENT OF ENERGY
                                                      US DEPARTMENT OF EDUCATION

Who we are in OVPR
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
   ◦ 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 Groups
     Committee of               Efficiency &
     the Academic               Processing
                               Improvement                 Faculty Research
        Senate                  Committee
                                   (EPIC)                     Advisory
                             Research Working

                              Research Deans
                               and Directors

College of    College of Liberal        School of        Other School/College
Engineering    Arts & Sciences          Medicine       Research Advisory Groups
University 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 Roles
     Scholar
      ◦ Evaluation
      ◦ Promotion and Tenure
          School/College/Department Guidelines
          Network with colleagues
          Find a mentor
          Ask colleagues for CVs
     Teacher
      ◦ Classroom
      ◦ Laboratory, Field
Faculty 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
 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
    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
    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

   Physicians                                                    Physicists


                Dentists                            Economists

WSU Interdisciplinary
Research Initiatives
   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 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
     ◦ Fabrication, falsification, plagiarism, or other practices that
       seriously deviate from commonly accepted practices
  Conflict of Interest
  Environmental Health and Safety
  Export 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
   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
with HIC or AIC Policies

    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
On-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 transfer
     ◦ Identify, protect, market and license
       intellectual property developed by faculty
        Patents, unique biological/other materials, and
   Venture Development
    ◦ Help launch technology businesses
   Liaison between industry and
OVPR Products & Services
for New Faculty

Sarah James, Research Support Liaison
Internal Funding Programs
   Research Mentors Program for New Faculty
   Graduate Research Assistantship Competition
   Pre-submission Review (scientific review by expert in
   Research Enhancement Program (REP) in Arts
   REP in Humanities & Social Sciences

See “OVPR Internal Funding Programs” in folder for more
Trainings & Workshops

   Professional and Academic Development
    (PAD) Seminar Series
    ◦ offered jointly by OVPR, Provost’s Office and Graduate
 Nano@Wayne Seminar Series
 Bio 101 Seminar Series
 Grant-writing seminars

    See “Seminars” packet in folder for more information.
Other Resources & Support
 Proquest COS
 Research@Wayne
 Internal Research Support Booklet
 Office of Corporate & Foundation
 Library Systems
 Associate Research Deans
Working with Sponsored
Program Administration

James Barbret, Associate VP for Sponsored
Program Administration & Assistant Vice
President for Finance
Who is Sponsored Program
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
Administration 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 Activities
•   Grant and Contract Officers are the primary contact
    for faculty members in preparing and submitting
•   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
Key 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?
       Grant and Contract officers are assigned by College
       They change rarely so you be able to connect with
       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
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?
       Post Award Administrators are assigned by College
        and department
       They change rarely so you be able to connect with
       Our website has the latest assignments
    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
•   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
•   The Accounting Support group generates all
    necessary accounting entries
Key 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
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

    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 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:
      Significant Audits/Settlements
                                           Florida International Univ
                                       Effort Certification & Direct Costs
  University of Minnesota                         $11.5 million                        Johns Hopkins Univ
   Misuse federal funds                                                                 Effort Certification
        $32 million                                                                         $2.7 million

                                       Univ California/San Francisco
Univ of Southern California                                                       New York University
                                         Animal Care Allegations
    Questioned Costs                           $92,500 fine                         Medical Center
      HHS/OIG Audit                                                          Inflated research grant costs
         $400,000                                                                    $15.5 million

                                            Public Demand                         Mayo Foundation
     East Carolina Univ
     Questioned Costs                             for                             Mischarging federal
      HHS/OIG Audit                        Improved Control                             grants
        $2.4 million                                                                 $6.5 million

     Univ Alabama/Birmingham                                                     Cornell Medical
                                              Harvard/BIDMC                  Clinical Research Issues
     Effort Certification & Clinical           Costing Issues
     Research Billing $3.4 million             Self-Reported                       $4.4 million
                                               $3.25 million
                                                                       Northwestern University
                                                                       Committed Time/Effort
                                                                             $5 million

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