How to Wright Research Proposal - PowerPoint by sde35783


More Info
									      Services of
Research and Sponsored

   October 14, 2009
Internal Funding Opportunities

      Jackie Frederick
Director, Pre-Award Services
           Ext. 2664
Internal Funding

   Does WSU offer
   its own small
   grants program
   for new faculty?
           Research Incentive
Supports research
and other scholarly
activities.                         Research
                                     Initiation Grants

     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
    – Maximum award: $10,000
    – Annual Winter quarter competition
 Research Incentive Program

Research Initiation Grant Awards FY2009
     15 proposals submitted
     8 funded
     Total dollars awarded--$70,000
    Research Incentive Program

   Research Initiation Grants FY2009
         Sample Award Titles
• “The Londeix Lectures: Creating Digital
  Archives of a Master”
• “Bent Functions and Their Applications in
  Coding Theory”
• “Analyzing the Effects of Aisle-Width on Space
  and Throughput Designing Distribution Centers
  in Supply Chains”
Research Incentive Program

       Professional Development
        – Purpose: To provide seed funding for
          more general, diverse scholarly
        – 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 FY2009
   3 proposals submitted
   1 funded
   Total dollars awarded--$3,000
Research Incentive Program

  Professional Development Grants
         Sample Award Title
• “Attending Structural Equation Modeling
  Training Program at the ICPSR Summer
  Program Quantitative Research Methods”
    External Funding

       Brandy Foster
Associate Director, Pre-Award
    Services Ext. 2423
WSU Grants & Contracts
 Awarded by Sponsor
    FY 2008-2009

          Total: $74,383,725
                  WSU Grant and Contract
                   Awards by Function –
                      FY 2008-2009
Figure 2                    Awards by Type of Activity FY09
                                         (in millions)


  Student Aid


Public Service



                  $0   $5    $10   $15     $20           $25   $30   $35   $40
      External Funding
•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
Other Resources:
    –Links under “Proposal Preparation”

*Found at <>
External Funding Opportunities--
       RSP Publications

 “Research News” (Web)
     Published 3 times/year

 RSP Annual Report

                              Research News
                              Challenge Awards
      External Funding
    Opportunities--Web tool

 COS (Community of Science)

 RSP home page:
                              Search COS
    Pre-Award Services

     Jackie Frederick, Director
 Brandy Foster, Associate Director
Marianne Shreck, Assistant Director
 Sheila Schloss, Assistant Director
      Proposal Preparation

               Cost sharing?

Budgets?                          Certifications?


           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
  – Institutional Review Board (IRB)
  – Laboratory Care and Animal Use
  – Institutional Biosafety Committee (IBC)
Interpretation/Use of Sponsor
      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
      – Grants/Contracts awarded to Institution
  Assure Proper Research Committee
      – IRB, LACUC, IBC
  Secure proper authorizations
      – Internal routing
Note: Ellen Reinsch Friese is the authorized signatory official for WSU
    Proposal Preparation--
• 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)
                                 -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
     Budget
     Publication Rights
     Intellectual Property Rights
     Indemnification
     Confidentiality
   Institutional Compliance

        Ellen Reinsch-Friese
 Asst. Vice President for Research
   Robyn Wilks, IRB Coordinator
Chris Piekkola, Programs Facilitator,
            LACUC and IRB
 Aja Ash, Program Coordinator, IRB
     Compliance Overview

♦ What are “compliance”
♦ Why should the investigator
and the university be concerned?
 Institutional Review Board

          What is the IRB?
♦ Local body charged by Federal
  government to oversee institution’s
  human subjects research (45 CFR Part
♦ Basic mandate: protect human subjects
♦ Authority to approve, disapprove and
  require modification to all institution’s
  human subjects protocols
        Purpose of the IRB

♦ The purpose of an IRB is to review
  research and to ensure the rights
  and welfare of human subjects
  involved in research are adequately
  ♦ That researchers are qualified to
    conduct research involving
    human subjects.
  ♦ That subjects are fully aware of
    the study’s parameters and what
    role they (and/or their data) play.
       Levels of IRB Review

• Full Board
  – More than minimal risk
  – Minimal risks studies that don’t
    qualify for Expedited Review
  – Review both Biomedical/Social Behavioral
           Levels of IRB Review

• Expedited Review Advisory
  –   Standing Subcommittee of the Full Board
  –   Advisory body to the Full Board
  –   Minimal risk
  –   One or more of 9 federally-defined
      expedited categories
• Exempt Studies
  – Some research is “exempt” from federal
    regulations, but the IRB Chair (not
    investigators) must certify that the research
    qualifies as “exempt”
• 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
             What to Submit

• IRB Petition
• Summary
  – Limitation requirements in petition instructions
• Consent form/Cover Letter
• Supporting Documents
  –   Permission letters
  –   Questionnaires
  –   Interview questions
  –   Advertisements
  –   Debriefing document
     Additional Information

• Required Training
  – CITI (Collaborative Institutional
    Training Initiative)
      Human Subjects Protections
         Biomedical/Social Behavioral
      Good Clinical Practice (GCP)
      Health Information Privacy and
       Security (HIPS)
  – Refresher Course
     Additional Information

• Where to find information
  – Human Subjects Website
    • Standard Operating Procedures
            Compliance Overview

• 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
           <> (or through
       “Policies and Procedures” on RSP homepage at
         Compliance Overview
• 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
  – Educate the WSU community concerning
    the ethical and regulatory considerations
    for the humane care of animals.
       Compliance Overview

 – 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 Overview
 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
                   <> (or through
                “Policies and Procedures” on RSP homepage at
          Compliance Overview
• 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
  – Educate the WSU community concerning the
    regulatory requirements for the use of these
        Compliance Overview

  – Anyone intending to perform
    activities involving recombinant DNA
    or biohazardous agents must submit
    a protocol to the IBC for
  – Requires Institutional Biosafety
    Officer review and consultation prior
    to submission of protocol to RSP.
           Compliance Overview
            Other 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 Overview
                 Conflict of Interest
• Conflict of Interest Policy
  – 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 Overview
            Conflict of Interest
– Disclosure process included in
  proposal routing at Pre-Award
– “Significant” perceived conflict
  triggered by information contained
  in Financial Interest Disclosure
– May require Conflict of Interest
  Management Plan.
              Compliance Overview
                        Conflict of Interest

  WSU Conflict of Interest documents
   available on the World Wide Web **

-WSU Policy

-Conflict of Interest Statement

-Financial Interest Disclosure

        ** Accessed through the “Conflict of Interest” link under
              “Policies & Procedures” on RSP’s homepage
          Compliance Overview
     Ethical Standards in the Conduct of

• 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.

  WSU’s Ethical Standards in the Conduct of
        Research policy is available at:
           Compliance Overview
    Ethical Standards in the Conduct of
          Upcoming Workshops

• November 5, 2009: 11:30 a.m.-12:30 p.m.
   – 163 Student Union (Faculty)
• November 18, 2009: 11:30 a.m.-12:30 p.m.
   – E156 Student Union (Students)

• January 11, 2010: 11:30 a.m.-12:30 p.m.
   – E156 Student Union (Faculty)
• January 20, 2010: 11:30 a.m.-12:30 p.m.
   – 163 Student Union (Students)
           Compliance Overview
                 Export 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:
  Connie Dudley, J.D., 181 Joshi, ext. 4280
           Compliance Overview
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
   – Scientific Fraud and Misconduct
   – 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

      Post Award Personnel
• Glen Jones - Director, Post Award
• Yun Wu – Associate Director
• Danielle Booth – Grants Accountant II
• Gene Florkey – Grants Accountant
• John Wedig – Grants Accountant
• Elaine Davis – Grants Accountant
• Aja Ash – Records Technician II
            Post Award
     What Happens Once Award is
• A Grant Fund is assigned in Banner for the
• The award is processed in Filemaker and
• The budget is added to Banner.
• The PI is notified of the grant number.
• The PI is sent the award packet.
          Post Award
         Award Packet

•   Award Letter
•   Copy of Award
•   Budget
•   Salary Letter
          Post Award

• Negotiate Subcontracts.
• Initiate Requisition for Subcontract PO.
• Send Invoices for PI Approval.
• Provide AP with FOAP to process
• Request A-133 confirmations from Subs.
          Post Award
     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
  Mandatory and Committed Cost
• Set up Activity code in Banner for Cost
• 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
           Post Award
        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
   Cash Management of Grants

• Deposit all funds received by RSP for
• Invoice sponsors.
• Request draws for letter-of-credit
• Reconcile Grant Payment Clearing
• Follow-up on outstanding receivables.
• Write off bad debts.
           Post Award
        Financial Reporting

• Prepare all quarterly SF272 reports.
• Prepare all annual SF269 reports.
• Prepare all Final SF272 & SF269
• Prepare all FERs for ODE grants.
• Prepare grant specific financial reports
  as needed.
            Post Award
Current Federally Negotiated F&A Rates*

• Research
   • On Campus – 45%
   • Off Campus – 26%
• Other Sponsored Activity
   • On Campus – 35%
   • Off Campus – 26%
* Current rates are effective from 7/1/09 –
               Post Award
               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.
Technology Transfer &
          Connie Dudley, J.D.
Director, Technology Transfer – x 4280

                  Reid Smith
       Sr. Licensing Associate – 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
  • 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

• 90-10 split   • 50-50 split
      Technology Transfer

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
•We work with you early on to avoid any
unnecessary delays later.
       Technology Transfer

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
You’ll find:
  Policies and Forms
  Interesting Links
Boonshoft School of Medicine
 Office of Research Affairs

       Associate Dean
     Robert E.W. Fyffe PhD
       tel. 937-775-3018
 Seed Grant Programs in Boonshoft School of

             2010 BSOM Seed Grant Programs:

                 Early Stage Investigator (ESI)

                        Emerging Science (ES)

                            Medical Education

                     Other support

                  Grants Consulting:

                 Research enterprise:

               Central Research Forum:
               Divisions, Institutes & Centers:

               Center for Genomics Research

   Center for Global Health Systems, Management & Policy

               Center for Healthy Communities

            Comprehensive Neuroscience Center

 Center for Interventions, Treatment & Addictions Research

              Lifespan Health Research Center

           National Center for Medical Readiness

Proteome Analysis Laboratory []

              New Investigator Programs:

         NIH Roadmap for Medical Research:


                Funding Opportunities:


Thank you for coming!

To top