1. DIVISION OF RESEARCH Employee Orientation - Fall 2009 Greg Slack Director of Research & Technology Transfer Todd Travis Award Administrator Kimberly Klatt Research Compliance Officer

2. CONTACT US Division of Research (DoR) 116 Technology Advancement Center (TAC) PO Box 5630 Phone: 315-268-6475 Fax: 315-268-6515 http://www.clarkson.edu/dor

3. AGENDA DOR Overview & Summary of Funding Doing Research at Clarkson Research Compliance Technology Transfer DoR Website

4. D IVISION OF RESEARCH MISSION To provide faculty and staff with expert assistance in sponsored projects administration to facilitate research and learning. We do this by providing the following: Pre-Award Services Post-Award Services Award Administration Compliance Guidance Support Staff

5. SUMMARY OF FUNDING

9. DOR RESPONSIBILITIES & SERVICES Proposal Submission Award Administration Confidentiality Agreement Contract Negotiation Intellectual Property Management Tech Transfer - Licensing Agreements Provisional Patents Conflict of Interest Compliance Education and Training Undergraduate Research Research Appointments

10. PRE-AWARD SERVICES Todd Travis Award Administrator ttravis@clarkson.edu Full Proposal Preparation Services Proposal Writing & Preparation Workshops Budget Preparation Maintain Funding Resources Research Personnel Services

11. POST-AWARD SERVICES Constance M. Ferguson Contract & Grant Administrator cferguson@clarkson.edu Administer External Research Funds Negotiate/Receive Awards Monitor Account Activity Accounting Compliance Matters Monitor Award Terms and Conditions Interpret Sponsor Guidelines Administer Reporting Activity

12. AWARD ADMINISTRATION Dr. Gregory C. Slack Director of Research & Technology Transfer gslack@clarkson.edu Negotiate Awards Confidentiality Agreements Intellectual Property Conflict of Interest Institutional Review Board(s) – IACUC & IRB Compliance

13. COMPLIANCE GUIDANCE Kimberly Klatt Research Compliance Officer kklatt@clarkson.edu Provide oversight in compliance with regulations and certifications applicable to sponsored programs. Initial/Continual Training & Education Negotiate Compliance Obligations and Commitments Monitor & Audit Compliance Activities Conflict of Interest Institutional Review Board(s) – IACUC & IRB

14. DoR SUPPORT STAFF Adele Pugliese Sr. Dept. Secretary (MAE, ECE, PPAS, IACUC) Apugliese@clarkson.edu Billi Jo Goodfellow Sr. Dept. Secretary (CBE, BIO, PSY, C&M, CUSB, HSS, PHY MCS) bgoodfellow@clarkson.edu bgoodfellow@clarkson.edu Norma Woods Sr. Dept. Secretary (CAMP, CBS, PT, CEE) nwoods@clarkson.edu nwoods@clarkson.edu Rebecca Thatcher Sr. Dept. Secretary (Provisional Patents, NDAs, MOUs, IRB) rthatche@clarkson.edu

15. DOING RESEARCH AT CLARKSON… Funding Proposal Submission Grant Management

16. PROPOSAL PREPARATION & SUBMISSION Find a funding source Submit a Proposal Submission Form to Todd Travis, Award Administrator Submitting the Proposal Submission Form will generate a Research Office # (RO#) and an assigned support staff member to aid you in the process The DoR will help as much as necessary to prepare your proposal All proposals must be reviewed and submitted through the DoR http://www.clarkson.edu/dor/proposal_prep/index.html

17. PROPOSAL TOOLKIT http://www.clarkson.edu/dor/proposal_prep/index.html Current Rate(s) Information DOR Forms For Proposal Processing Proposal Budget Preparation Guidance NSF FastLane Proposal Submission Instructions Agency Forms

18. BUDGET PREPARATION Faculty salary – Generally, summer salary is requested with proposal budgets. Graduate students – Generally, 10 credit hours of tuition is requested annually for each fully funded student supported by the grant.

19. BUDGET PREPARATION Faculty can receive up to 3 months of additional compensation from all sources during the summer (Sponsored research, teaching summer classes, etc.) As a general rule, in budget preparation we request either academic salary to match the summer salary requested or the tuition for the graduate students being funded.

20. PROPOSAL SUBMISSION FORM http://www.clarkson.edu/dor/proposal_prep/index.html

22. GRANT MANAGEMENT – AWARD EXECUTION Upon full execution of the award the DoR will: Prepare a Notice of Award that includes, but not limited to: –Funding agency –Budget period –Report requirements –Technical contact –Awarded amount –Special Terms & Conditions/Compliance Obligations Prepare a budget according to the approved budget Establish an account number for the award Send the Principal Investigator a copy of the Notice of Award, approved budget, congratulations letter, and a copy of the award agreement. Send the Comptroller’s Office a copy of the Notice of Award, approved budget, and a copy of the award agreement. Send your Dean, Department Chair, and the Provost a copy of the Notice of Award.

23. GRANT MANAGEMENT – PI RESPONSIBILITIES The responsibilities or obligations that PI(s) agree to when accepting a grant or contract include the following:  Commitment: Review all documentation including referenced materials within the award documents and comply with the terms and conditions.  Communication: Review the roles and responsibilities of all parties involved in the project and assure that they are aware of their obligations.  Technical Management: Manage the technical aspects of the program and comply with the deadlines and reporting requirements in award documents or the statement of work.  Supervision: Staff the project and supervise project personnel  Financial: Charge to the research account only those expenditures directly related to the technical completion of the project.  Accuracy: Review the monthly accounting statements to verify that all charges to that account are appropriate.

24. GRANT MANAGEMENT – FINANCIAL As a recipient of federal funds Clarkson University is required to maintain a list of allowable and unallowable charges. –“How to Distinguish Between Direct and Indirect Charges” is our current guideline –It can be found on the DoR website @ http://www.clarkson.edu/dor/grant_mgmt Only allowable costs can be charged to a sponsored project. Allowable charges are further classified in Clarkson University’s guideline as indirect or direct costs. Costs classified as indirect cannot be charged directly to your sponsored project.

25. GRANT MANAGEMENT – FINANCIAL Direct vs. Indirect Direct Costs: Allowable costs that can be identified specifically with a particular sponsored project(s) and be assigned easily with a high degree of accuracy. Indirect Cost (F&A): Allowable costs that are incurred for common or joint objectives and therefore cannot be identified readily and specifically with one or more sponsored project.

26. GRANT MANAGEMENT – FINANCIAL For a cost to be allowable as a direct charge it must be: Allowable: Permitted as a charge per Clarkson’s guideline (alcoholic beverages, entertainment, or gifts are never allowed). Necessary: to accomplish the approved goals and objectives of the project. Reasonable: The cost may be considered reasonable if the nature of the cost, and the price paid, reflects the action that a prudent person would have taken. Allocable: Expenses can be allocated based on the benefit derived. This means cost can be allocated specifically with one research project or if the cost benefits more than one project it can be allocated based on proportional benefit or a reasonable basis.

27. What I Can’t Charge Directly to My Sponsored Award? Office Supplies Administrative and Clerical Staff Salaries Basic Line Telephone Charges Administrative Office Equipment (i.e. copiers, office computers and printers) General Use Software (Word, Excel, Access, or equivalent) General Use or janitorial Items (paper towels or soap) “How to Distinguish Between Direct and Indirect Charges” http://www.clarkson.edu/dor/grant_mgmt

28. What Can I Charge to Directly to My Sponsored Award? Laboratory Supplies (i.e. chemicals and glassware) Long Distance Telephone Calls Laboratory Equipment (>$5000 with agency approval) Equipment maintenance or repair Computers, Printers and Networking Supplies (for research data collection or processing only) Specialized Software (Computational) Travel “How to Distinguish Between Direct and Indirect Charges” http://www.clarkson.edu/dor/grant_mgmt

29. P-Card Reconciliations You must provide adequate justification to determine if the charge is allowable: “Expense Descriptions” should indicate the benefit to the project or scope of work (i.e. What is the item used for ?, Why do need the item?). Provide documented evidence to auditors that costs are necessary for the performance of the project. Remember to proportionally charge expenses used for more than one project or educational activity. Federal auditing regulations require that “Expense Descriptions” are reviewed by the Accounts Payable Staff. Proper “Expense Descriptions” will minimize the need for Accounts Payable to request additional information (i.e. Direct Cost Justification Form) This methodology also applies to purchase requisitions, disbursement orders, and travel expense accounts.

30. Some Expenditures Are More Scrutinized By Auditors and May Include: General Lab Supplies (i.e. gloves) Computers & Printers Networking Supplies & Software Travel & Books Expense descriptions and proportional charging are often scrutinized by auditors on these types of expenditures. If the cost benefits one project only, then simply indicate the item is used for that project only. This additional documentation will minimize the need for Accounts Payable to contact you. (i.e. Direct Cost Justification Form).

31. Examples Your students are working late and you want to provide them dinner. How should you pay for it? You want to buy a computer and a printer with your research award. Can you? What about paper and toner? You’re buying general lab supplies (gloves, soap, centrifuge Tubes). Can I charge them to my research award. If so, How do I proportionally charge them?

32. RESEARCH COMPLIANCE AT CLARKSON… Overview Conflict of Interest IRB/IACUC Scientific Misconduct Export Control

33. Clarkson University Compliance Program University Compliance Committee (UCC) established in 2005. UCC formed to ensure compliance facing the University. UCC consists of six sub-committees. Committee responsible for handling, reviewing, monitoring and enforcing all University compliance matters. Research compliance represents one of the six sub-committees.

34. Why is Research Compliance Important? Non-compliance places Clarkson and the Principal Investigator at significant risk and can result in:  Damage to the University’s or your reputation and integrity  Severe fines/penalties to the institution  Designation as a “high risk” institution  Suspension/debarment from receiving federal funds (University and PI’s)  Criminal Prosecution

35. Regulatory Drivers of Research Compliance When sponsored funding is accepted by the institution we are agreeing to comply with federal and state regulations: OMB A-21 - Cost Principles OMB A-110 - Uniform Administrative Requirements OMB A-133 - Audits Assurances, Certifications, & Representations http://www.clarkson.edu/dor/compliance

36. REALITIES OF COMPLIANCE Research compliance is a collaborative responsibility of the administration and faculty. We have a legal responsibility to comply with federal and state requirements. We are expected to increase awareness and knowledge of the regulations and certifications agreed upon when sponsored funding is accepted. Know that the DoR is here to help you!

37. RESEARCH COMPLIANCE PROGRAM Education: Making people aware of the importance of compliance guidelines Guidelines: Providing written documentation that clearly reflects the how to be compliant. Training: Providing indoctrination to guidelines and continual guidance on How to be to compliant. Oversight: Continuous monitoring of practices such as purchasing consistent with the guidelines of the University and sponsoring agency. Auditing: Verification of policies and current practices. Responsibility: Providing a clear understanding of individual responsibility. Communication: Effectively exchanging information.

38. CONFLICT OF INTEREST POLICY (COI) http://www.clarkson.edu/dor/coiform.pdf All Clarkson employees are required to complete a Conflict of Interest Disclosure Form annually. PIs submitting proposals must certify that there are no changes since the annual disclosure. Changes must be updated prior to submission of a proposal to an external agency and during evaluation period of the award. You can obtain a COI from the DoR website

39. CONFLICT OF INTEREST http://www.clarkson.edu/dor/coiform.pdf

40. SCIENTIFIC MISCONDUCT http://www.clarkson.edu/dor/compliance/misconduct.html All Clarkson employees and students are expected to adhere to ethical conduct in the exercise of their duties and studies. Should misconduct arise within the context of scholarly activity, it will be dealt with according to the following general principles:  Well-founded accusations of scholarly misconduct made in good faith must be given serious consideration;  An accused person or persons must be assumed innocent until the weight of evidence requires a conclusion to the contrary;  Every effort should be made to protect the privacy and reputation of both the complainant and the respondent, to provide for due process, and to restore the good name of the unjustly accused individual or individuals. Reporting Alleged Misconduct

41. Institutional Animal Care and Use Committee (IACUC) http://www.clarkson.edu/dor/compliance All research or teaching activities involving the use of animals, Including field studies, whether funded externally or not, must be initially reviewed by the IACUC. Applications for review and additional information are available on the are available on the DOR website. Contact the IACUC Administrative Assistant, Adele Pugliese, at ext. #6475 for further assistance. Chair – Ken Wallace

42. Institutional Review Board (IRB) http://www.clarkson.edu/dor/compliance All research involving human subjects initially must be reviewed and approved by the IRB. Approval by the IRB must be obtained prior to collecting data. Full IRB review may be waived but only after the IRB has approved your application for exemption. Applications for review and exemption, and additional information are available on the DOR website. If you need assistance, contact the IRB Administrative Assistant, Rebecca Thatcher, in the DOR at ext. 6475 or at irb@clarkson.edu. Chair - Leslie Russek

43. Export Controls http://www.clarkson.edu/dor/export.html What are United States export controls and why should you be aware? Export Control Laws are laws which prohibit the unlicensed “export” of certain controlled technologies to foreign persons or restricted countries for reasons of national security and trade protection. Any method of disclosure may apply: email, telephone, websites, tours, training sessions, shipping outside the U.S.

44. How do Export Controls Laws Impact Research at Clarkson? If Clarkson research involves controlled technologies, government approval (a license) and a Technology Control Plan (TCP) may be required before allowing: Foreign researchers and students inside and outside the U.S. to participate in research. Sharing research results with foreign persons. Providing training and other services to foreign persons. Sending equipment or software outside the U.S.

45. EXPORT CONTROLS: When Should I be most concerned? Foreign Travel Foreign Collaboration Research may have a military application. Research involves technology that is export controlled. Export Controls was brought up in conversation with the sponsor. Export Controls language is present in the proposed contract or award terms. Notify Greg Slack or Kim Klatt in the DOR when you have concerns pertaining to export controls.

46. Technology Transfer Moving Discoveries to the Marketplace Intellectual Property Small Business Ventures

47. TECHNOLOGY TRANSFER http://www.clarkson.edu/dor/tech_transfers.html Mission: To move discoveries from the university to the market place in order to promote economic development and create additional research opportunities. Intellectual property (IP) policy NDAs Market research prior to patenting Licensing Contact Greg Slack, Director of Research and Technology Transfer as early as possible.

48. DOR WEBSITE http://www.clarkson.edu/dor  Funding Resources  Proposal Preparation  Grant Management  Compliance  Training  Export Controls  Technology Transfer

49. THANK YOU FOR COMING! QUESTIONS?