of Research Administration
Transcription
of Research Administration
Final Program as of August 7, 2014 National Council of University Research Administrators THE evo ution of Research Administration Facing the Future... 56 th ANNUAL MEETING August 10-13, 2014 ~ Washington, DC 56 th ANNUAL MEETING Welcome! Summer is just around the corner and we are looking forward to seeing you August 10-13, 2014 in Washington, DC for NCURA’s 56th Annual Meeting! The meeting plans are coming together nicely and we are so excited about this year’s offering (and we think you will be too)! As we looked at the trends in our profession, we thought about all the issues that have affected Research Administrators throughout the years. We noted that the number of things that have changed or are in the process of changing as it relates to our profession is quite staggering. From the recent issuance of the Uniform Guidance to the upcoming full-blown implementation of sub-account processing for HHS draw functionality, those of us in research administration have witnessed so many changes in the last several years that it makes one’s head spin. We have seen ARRA come and go, the addition of FFATA reporting, COI rules strengthened, Responsible Conduct in Research (the list goes on and on)…all of which has increased the cost of compliance that institutions have had to absorb. In relation to all these regulatory changes, one thing has never changed – the value of your “professional family” provided through your NCURA membership. It is the extensive network of colleagues available to you every day that you can reach out to for guidance which makes being a member of NCURA priceless. This network is where our theme for AM 56 was born: “The Evolution of Research Administration – facing the future... together.” We hope that you will join us at AM 56 to meet with old friends and colleagues as well as collaborate with new ones. Our track leaders have been hard at work creating a robust and meaningful program for you. You asked and we listened to your evaluations and we have added more senior sessions, including some senior level workshops on Sunday. We’ve expanded the size and number of Senior Level Discussions available so that our “seasoned leaders” will be able to participate in meaningful interactions. We will hear from our popular federal agencies such as NSF and NIH and we have expanded our Federal track to include presentations from USDA, EPA, NEA/NEH and USAID. The effect of the new Uniform Guidance will also be covered as OMB will be there to answer your questions. Discussion Groups will be offered to continue the dialog that may begin in Concurrent Sessions on hot topics as well as Spark Sessions for those quick sound bites on relevant topics. As our NCURA membership expands internationally, our International track leaders are working to provide insight on doing business as global partners. With the launch of Horizon 2020 and BILAT, there will be many sessions presented to learn about the evolving international research environment that these funding opportunities offer and how to deal with international contractual issues. We encourage everyone to welcome our new International Region and be an active part of our growing global partnership. NCURA has also launched a new application that will help you plan your meeting. Watch for updates on how to build your meeting plans on your personal computing device so that session times and meeting rooms are just a click away. We are pleased to announce that we will be entertained on Sunday evening with an invigorating “fireside chat” between Paul Begala and Tucker Carlson after dinner. Their conversation won’t disappoint so plan on relaxing and laughing after dinner as we all enjoy their lively banter. For our Monday keynote, we have invited a fascinating and engaging speaker, Dr. Robert Sapolsky, to officially kick-off our meeting. Dr. Sapolsky is a world-renowned professor of biology and neurology at Stanford University and you will want to come to the ballroom on Monday morning to hear him speak. In addition to all the wonderful workshops and sessions and speakers we have lined up for our attendees, back by popular demand is Camp NCURA! So if you want to bring your family to enjoy some time in DC while you attend the conference, you can sign your children up for camp to keep them entertained during the day. Plans are also well on the way for a fun-filled Tuesday evening event to celebrate and reflect on what is shaping up to be a very busy summer of change for those of us in Research Administration. Watch for more news as we get closer to the meeting. A great part of our lives is spent at our jobs. Remember to include AM56 and your professional family in your summer plans this August. Join us as we contemplate, commiserate and collaborate how we will evolve into better Research Administrators as we - face the future... together. NCURA 56th Annual Meeting Co-Chairs Georgette Sakumoto, University of Hawaii Cathy Snyder, Vanderbilt University Michelle Vazin, Vanderbilt University Georgette Cathy Michelle Program Committee NCURA 2014 Vice President Michelle Vazin, Vanderbilt University THANK YOU to the following sponsors for your generous support! NCURA MEMBER SPONSORS Co-Chairs Georgette Sakumoto, University of Hawaii Cathy Snyder, Vanderbilt University Biomedical Track Jamie Caldwell, Loyola University Chicago Ben Prince, University of Massachusetts Medical School Career Skills/Professional Development Track Amy Kimble, Evisions, Inc. Vicki Krell, Arizona State University Anthony Ventimiglia, Auburn University NCURA CONTRIBUTING SPONSORS Compliance Track John Hanold, The Pennsylvania State University Kerry Peluso, Emory University Departmental Track Tolise Miles, Children's National Medical Center Beth Seaton, Northwestern University Federal Track Susan Sedwick, University of Texas at Austin Jean Feldman, National Science Foundation International Track Siegfried Huemer, Vienna University of Technology David Mayo, California Institute of Technology Denise Wallen, University of New Mexico Post-Award Track Jeffrey Silber, Cornell University Randi Wasik, University of Washington Pre-award Track Robyn Remotigue, University of North Texas Health Science Center at Fort Worth Amanda Snyder, University of Maryland, Baltimore PUI Track Kris Monahan, Providence College Melissa Mullen, California Polytechnic State University-San Luis Obispo Workshops Denise Moody, Harvard University Pam Whitlock, University of North Carolina at Wilmington (Emeritus) 3 56 th CONTINUING PROFESSIONAL EDUCATION ANNUAL MEETING GENERAL NCURA is accredited by the National Registry of CPE Sponsors. This program is administered by the National Association of State Boards of Accountancy (NASBA) to sponsor and award Continuing Professional Education (CPEs) to accounting professionals. Certified Public Accountants will need to complete a CPE credit form in order to receive CPE credits. CPE forms are available at the NCURA AM56 Concierge on the Terrace. Forms must be deposited in the CPE boxes located at the NCURA AM56 Concierge desk. In accordance with the standards of the National Registry of CPE Sponsors, 50 minutes equals 1 CPE. Depending on the sessions and workshops you choose to attend a maximum of 30.5 CPE credits can be issued for NCURA’s 56th Annual Meeting. The field of study available is Specialized Knowledge and Applications (SK). REGISTRATION Registration is available at www.ncura.edu and is available to any individual engaged in the administration of sponsored programs in a college, university, or teaching hospital. Please Note: Learning objectives for each session will be noted in the conference program. Please consult the session descriptions for program level details. The only prerequisite for meeting attendance is current involvement in university sponsored research programs. There is no advanced preparation required to attend sessions.This conference is a “group-live” offering. For information regarding administrative policies such as complaint resolution and refund, please contact our office at 202-466-3894. NCURA is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be submitted to the National Registry of CPE Sponsors through its website: www.learningmarket.org. Discussion Groups and the Keynote Address will not be eligible for CPE Credits. 4 OVERVIEW OF CONCURRENT SESSIONS AND WORKSHOPS BASIC assumes some basic, fundamental research administration knowledge. INTERMEDIATE assumes basic knowledge and the sessions introduce and develop topics that exceed basic knowledge. Sessions focus on building grant and contract competency. ADVANCED assumes mastery of the subject and the session focuses on in-depth knowledge or a broader range of topics. Sessions focus on mastering more difficult and complex scenarios. SENIOR AND SENIOR LEVEL DISCUSSIONS assumes that the member has policy level responsibility. OVERVIEW provides a general review of a subject area from a broader perspective. UPDATE provides a general review of new developments. 6 WORKSHOPS SCHEDULEAT-A-GLANCE 7 SUNDAY WORKSHOPS 25 THURSDAY WORKSHOP 27 SENIOR LEVEL DISCUSSIONS SATURDAY 8.9.14 4:00 – 7:00 pm 29 REGISTRATION WELCOME LOUNGE SUNDAY 8.10.14 7:30 am – 5:00 pm 29 REGISTRATION 8:30 am – 5:00 pm 29 WORKSHOPS (Additional fee required) Noon – 1:30 pm 29 WORKSHOP LUNCHEON FOR FULL DAY SESSION PARTICIPANTS, FACULTY AND EVALUATORS 1:00 – 5:00 pm 29 NCURA MARKETPLACE 6:15 – 7:00 pm 29 RECEPTION 7:00 pm 29 SUNDAY DINNER 8:30 pm 29 FIRESIDE CHAT” BETWEEN PAUL BEGALA AND TUCKER CARLSON 9:00 pm 29 REGIONAL HOSPITALITY SUITES OPEN MONDAY 8.11.14 6:15 – 7:15 am 30 NCURA FITNESS 7:30 am – 5:00 pm 30 AM56 CONCIERGE EXPOSITION 2014 7:30 – 8:15 am 30 CONTINENTAL BREAKFAST 8:30 – 10:00 am 30 KEYNOTE ADDRESS OUTSTANDING ACHIEVEMENT IN RESEARCH ADMINISTRATION AWARD 10:00 – 10:30 am 30 NETWORKING AND REFRESHMENT BREAK 30 GET CONNECTED AND GET INVOLVED FAIR 10:00 am – 5:00 pm 30 NCURA MARKETPLACE 10:30 – Noon 31 SPARK SESSIONS 31 CONCURRENT SESSIONS 35 DISCUSSION GROUPS 39 SENIOR LEVEL DISCUSSIONS Noon – 1:30 pm 40 LUNCHEON AND PRESENTATION OF DISTINGUISHED SERVICE AWARD RECIPIENTS AND JOSEPH CARRABINO AWARD 40 41 43 47 1:30 – 2:45 pm SPARK SESSIONS CONCURRENT SESSIONS DISCUSSION GROUPS SENIOR LEVEL DISCUSSIONS 2:45 – 3:00 pm 47 NETWORKING AND REFRESHMENT BREAK 3:00 – 3:45 pm 47 REGIONAL BUSINESS MEETINGS 3:45 – 4:00 pm 48 NETWORKING AND REFRESHMENT BREAK 4:00 – 5:00 pm 48 SPARK SESSIONS 48 CONCURRENT SESSIONS 53 DISCUSSION GROUPS 4:00 – 5:00 pm 55 “APPY” HOUR WITH HOW TO DOERs 11:45 am – 1:15 pm 75 LUNCHEON AND VOLUNTEER RECOGNITION 75 75 79 82 1:15 – 2:15 pm SPARK SESSIONS CONCURRENT SESSIONS DISCUSSION GROUPS SENIOR LEVEL DISCUSSIONS 2:30 – 3:30 pm 82 SPARK SESSIONS 82 CONCURRENT SESSIONS 87 DISCUSSION GROUPS 3:30 – 4:00 pm 90 NETWORKING AND REFRESHMENT BREAK 3:30 – 4:00 pm 90 GET CONNECTED AND GET INVOLVED FAIR 4:00 – 5:00 pm 91 SPARK SESSIONS 91 CONCURRENT SESSIONS 94 DISCUSSION GROUPS 6:00 pm 55 MONDAY EVENING DINE AROUNDS 9:00 pm 55 REGIONAL HOSPITALITY SUITES OPEN 9:00 pm 97 REGIONAL HOSPITALITY SUITES OPEN WEDNESDAY 8.13.14 6:15 – 7:15 am 56 NCURA FITNESS 7:30 am – Noon 98 AM56 CONCIERGE 7:30 am – 5:00 pm 56 AM56 CONCIERGE EXPOSITION 2014 7:30 – 8:30 am 98 ANNUAL BUSINESS MEETING AND CONTINENTAL BREAKFAST 7:30 – 8:15 am 56 CONTINENTAL BREAKFAST AND BREAKFAST ROUNDTABLES 8:00 am – 5:00 pm 56 NCURA MARKETPLACE 8:15 – 9:45 am 57 SPARK SESSIONS 57 CONCURRENT SESSIONS 63 DISCUSSION GROUPS 67 SENIOR LEVEL DISCUSSIONS 9:45 – 10:15 am 67 NETWORKING BREAK 67 GET CONNECTED AND GET INVOLVED FAIR 10:15 – 11:45 67 SPARK SESSIONS 68 CONCURRENT SESSIONS 72 DISCUSSION GROUPS CONTENTS 2:15 – 2:30 pm 82 NETWORKING AND REFRESHMENT BREAK 7:00 – 11:30 pm 97 TUESDAY NIGHT EVENT – FUN IN THE SUMMERTIME: UNDER THE SEA! TUESDAY 8.12.14 TABLE OF 7:30 – 11:00 am 98 NCURA MARKETPLACE 8:30 – 10:00 am 98 SPARK SESSIONS 98 CONCURRENT SESSIONS 102 DISCUSSION GROUPS 105 SENIOR LEVEL DISCUSSIONS 10:00 – 10:30 am 105 NETWORKING AND REFRESHMENT BREAK 10:00 – 10:30 am 105 GET CONNECTED AND GET INVOLVED FAIR 10:30 am – Noon 105 SPARK SESSIONS 106 CONCURRENT SESSIONS 110 DISCUSSION GROUPS Noon ADJOURNMENT 5 56 th PRE-CONFERENCE WORKSHOPS SCHEDULE AT-A-GLANCE ANNUAL MEETING Sunday 8.10.14 PRE-CONFERENCE 8:30 AM – 5:00 PM FULL DAY PRE-CONFERENCE WORKSHOPS WORKSHOP 1 WORKSHOP 2 WORKSHOP 3 WORKSHOP 21 WORKSHOP 22 WORKSHOP 23 WORKSHOP 24 WORKSHOPS 8:30 AM – 12:00 PM MORNING PRE-CONFERENCE WORKSHOPS WORKSHOP 25 WORKSHOP 4 WORKSHOP 26 WORKSHOP 5 WORKSHOP 6 WORKSHOP 7 WORKSHOP 8 WORKSHOP 9 WORKSHOP 10 WORKSHOP 11 WORKSHOP 12 WORKSHOP 13 Sunday 8.10.14 WORKSHOP 14 WORKSHOP 15 Thursday 8.14.14 WORKSHOP 16 WORKSHOP 17 WORKSHOP 18 WORKSHOP 19 WORKSHOP 20 6 THE BASICS: PRE-AWARD FUNDAMENTALS POST-AWARD BASICS A PRE-AWARD AND POST-AWARD TUTORIAL FOR DEPARTMENT ADMINISTRATORS 1:30 PM – 5:00 PM AFTERNOON PRE-CONFERENCE WORKSHOPS UNDERSTANDING RESEARCH ADMINISTRATION AND CLINICAL TRIALS – THE POCKET EDITION: CHAPTER 1 BASICS OF CONTRACT DRAFTING AND NEGOTIATIONS AN INTRODUCTION TO WORKING WITH U.S. INSTITUTIONS AND SPONSORS EFFORT REPORTING: HOW TO MINIMIZE RISK SUBAWARDS & SUBRECIPIENT MONITORING: THE BASICS AND BEYOND FINANCIAL COMPLIANCE: CURRENT AND FUTURE CONSIDERATIONS OMB CIRCULAR OVERVIEW EXPORT CONTROLS AND U(NIVERSITIES): WHAT YOU (AND "U") NEED TO KNOW! CREATING A POSITIVE AND CANDID CULTURE IN YOUR OFFICE GRANT WRITING SECRETS EVERY RESEARCH ADMINISTRATOR NEEDS TO KNOW COMPLIANCE 101 – THE BASICS F&A RATE PREPARATION/ NEGOTIATION FOR THE PREDOMINANTLY UNDERGRADUATE INSTITUTION (PUI) TRAINING PROGRAMS 101: ENGAGE, DEVELOP, AND IMPLEMENT! USING EXCEL FOR BUDGETING COST SHARING: HOW PRE- AND POST-AWARD OFFICES CAN WORK TOGETHER THE CONSOLIDATION OF THE OMB CIRCULARS: EXPLORING THE "NEW" ADMINISTRATIVE RULES SENIOR ADVANCED FORUM FOR EXECUTIVES WORKSHOP 27 WORKSHOP 28 WORKSHOP 29 WORKSHOP 30 WORKSHOP 31 WORKSHOP 32 WORKSHOP 33 WORKSHOP 34 WORKSHOP 35 WORKSHOP 36 ADVANCED CLINICAL TRIALS WORKSHOP FAR/DFAR DECONSTRUCTED HERE COME THE FEDS! WHAT A SPONSOR AUDIT IS LOOKING FOR AND HOW TO PREPARE YOUR INSTITUTION SERVICE CENTERS – HOW TO OPEN AND OPERATE – LEGALLY! TECHNOLOGY TRANSFER, START UPS AND INDUSTRIAL COLLABORATIONS BUILDING BRIDGES: A CROSSWALK TO THE NEW OMB CIRCULAR LICENSING & PROVEN EXPORT CONTROL METHODS FOR EAR/ITAR/OFAC COMPLIANCE EMPLOYED AT UNIVERSITIES A TEAM APPROACH TO DEVELOPING COMPETITIVE GRANT PROPOSALS THE "I"S HAVE IT: UNDERSTANDING THE IRB, IACUC AND IBC WORKING WITH INTERNATIONAL INSTITUTIONS; ASSESSING COMPLIANCE AND MITIGATING RISK SMALL IS BEAUTIFUL: DOING IT ALL AT A PUI WITH FEW STAFF MEMBERS TRAINING PROGRAMS 201: DEVELOPING TOOLS AND TRAINING FOR ALL LEVELS OF RESEARCH ADMINISTRATORS CURRENT ISSUES FOR SENIOR RESEARCH ADMINISTRATORS USING EXCEL FOR POST-AWARD GRANT MANAGEMENT (AT THE DEPARTMENT LEVEL) BUILDING RESEARCH DEVELOPMENT INFRASTRUCTURE IN A DECENTRALIZED UNIVERSITY: A CASE STUDY POLICIES, POLICIES, POLICIES!! HOW TO DEVELOP, IMPLEMENT, COMMUNICATE AND MAINTAIN POLICIES FOR RESEARCH ADMINISTRATION! Thursday 8.14.14 8:30 AM – 5:00 PM FULL DAY WORKSHOP WORKSHOP 37 - PUTTING THE “FUN” IN NIH FUNDING! A DAY WITH NIH! 8:30 AM – 5:00 PM PRE-CONFERENCE FULL DAY PRE-CONFERENCE WORKSHOPS WORKSHOP 1 B THE BASICS: PRE-AWARD FUNDAMENTALS As research administrators, we play a key supportive role in assisting principal investigators to navigate their research projects through the various phases in the sponsored projects lifecycle. The pre-award phase of the lifecycle encompasses the development, institutional review and submission of proposals to external sponsors, as well as the negotiation and acceptance of sponsored research awards. Within the landscape of the pre-award phase, research administrators are consistently challenged with ever-changing rules and regulations related to a myriad topics, including proposal submission, conflict of interest, use of animals in research and export controls, just to name a few. In this workshop, we will delve into the general regulations governing sponsored research and apply them in the context of case studies. We will also explore many of the key pre-award processes, as well as examine key compliance areas that affect sponsored research during the pre-award phase of the sponsored projects lifecycle. WORKSHOP 2 B POST-AWARD BASICS This workshop will focus on the topics that are most relevant in the day-to-day financial management of sponsored projects while exploring a bit of the history and big picture in order to explain why it is we do what we do. It is designed for individuals new to post-award research and will include a discussion of issues such as managing overspending on awards, timeliness of financial reports, closeout of awards, collections, cost transfers, cost sharing, effort reporting, allowable costs, preparing for audit, and much more. Come and hear the challenges, successes and lessons learned of the faculty while engaging in hands-on activities to help you apply your new knowledge. Bring your questions, concerns, and your institution's experience and expect a lively discussion. WORKSHOPS Learning Objectives: After completing this workshop, participants will be able to: • Participants will be able to articulate the various stages and activities associated with the pre-award phase of the sponsored projects lifecycle. • Participants will be able to communicate, interpret and apply the general regulations applicable to sponsored research in the context of the pre-award phase. • Participants will identify the various elements of a proposal and describe their purpose and importance. • Participants will discuss the key compliance areas that impact the pre-award phase. Sunday 8.10.14 Bruce Morgan*, Assistant Vice Chancellor for Research Administration, University of California-Irvine Csilla Csaplár, Department Manager, Geophysics, Stanford University Learning Objectives • Participants will gain a basic understanding of the concepts involved in post award administration. • Participants will identify ways to manage dayto-day post award activities from receipt to closeout and explore ways to minimize institutional risk. Debra Murray*, Director, Sponsored Projects Financial Operations, Georgetown University Janice Oakley, Manager, Office of Contract and Grant Accounting, University of Maryland, College Park Timothy R. Schailey, Director, Sponsored Programs, Christiana Care Health System PROGRAM LEVELS: B – BASIC; I – INTERMEDIATE; A – ADVANCED; O – OVERVIEW; U – UPDATE * Lead presenter 7 56 th 8:30 AM – 5:00 PM ANNUAL FULL DAY PRE-CONFERENCE WORKSHOPS (continued) MEETING WORKSHOP 3 B PRE-CONFERENCE WORKSHOPS Sunday 8.10.14 A PRE-AWARD AND POST-AWARD TUTORIAL FOR DEPARTMENT ADMINISTRATORS This workshop will focus on topics that influence the daily operations of managing pre and post award. It is designed for research administrators and will provide them with an overview of the significant principles and issues surrounding proposals, grants and contracts. Topics will include proposal and budget development, identifying key personnel, subcontract verses service agreement and cost sharing. This session will also focus on preparing financial status reports, account reconciliation, closeout of awards, cost transfers, allowable and allocable costs and much more. Learning Objectives: • Participants will obtain information and learn techniques to manage the financial day-to-day activities between pre and post award. • Participants will learn the basic components of the proposal budget. Tolise Miles*, Senior Grants and Contracts Specialist, Children's National Medical Center Anne Albinak, Senior Administrative Manager, Johns Hopkins University Erin E. Bailey, Associate Director, University at Buffalo Fannie Cruz R. Walton, Senior Administrative Director, Georgetown University Medical Center Research administration responsibilities can be overwhelming. The process of putting a proposal together, managing a grant once funded and properly closing it out at the end are the day-to-day activities that department administrators struggle with. This session will introduce best practices that will assist department administrators with pre- and post-award administration. 8:30 AM – 12:00 PM MORNING PRE-CONFERENCE WORKSHOPS WORKSHOP 4 I UNDERSTANDING RESEARCH ADMINISTRATION AND CLINICAL TRIALS – THE POCKET EDITION: CHAPTER 1 Clinical trials are conducted in a variety of institutional settings, and if your organization is engaged in clinical trials it is likely that you face complex problems, issues and challenges on a regular basis whether you are a research administrator in a central sponsored projects office, in a medical school department, or in a teaching hospital or research institute. This interactive workshop will examine key administrative, contractual, financial, and regulatory issues that arise in the planning, funding and conduct of clinical trials, including: • The unique complex regulatory environment for clinical trials. • The intricacies of developing a clinical trial budget, identifying start up costs, hidden costs and managing expenditures. • Types of payment schedules and their impact on cash flow. • Key negotiation issues that often arise in a clinical trial agreement. Learning Objectives: • Participants will gain an understanding of the nuances involved in developing and managing a clinical trial budget and project expenses. • Participants will learn how to manage multifaceted issues that often arise in a negotiation of trial agreements. • Participants will increase their knowledge in the review of key contract terms and their implications and gain confidence in the negotiation process with sponsors. • Participants will learn about the complexities of managing clinical trials, study billing processes and how it relates to financial compliance. • Participants will learn how clinical trials are closedout and how to manage post-close-out institutional obligations and responsibilities. > continued on next page 8 PROGRAM LEVELS: B – BASIC; I – INTERMEDIATE; A – ADVANCED; O – OVERVIEW; U – UPDATE * Lead presenter 8:30 AM – 12:00 PM PRE-CONFERENCE MORNING PRE-CONFERENCE WORKSHOPS (continued) WORKSHOP 4 I UNDERSTANDING RESEARCH ADMINISTRATION AND CLINICAL TRIALS – THE POCKET EDITION: CHAPTER 1 (CONTINUED) • Identifying strategies for negotiating a successful trial agreement. • Exploring institutional models to manage regulatory challenges such as research billing, financial disclosures and NIH clinical trials. • Tools and solutions to manage the clinical trials enterprise. • Closing-out clinical trials. WORKSHOP 5 B BASICS OF CONTRACT DRAFTING AND NEGOTIATIONS What does all of that legalese mean? How can I best approach review and negotiation of a "thick" contract? What sections of a contract should I focus on? This workshop will introduce participants to the basics of contract review, drafting and negotiations with an emphasis on contracts with non-profit and for-profit sponsors. The session will focus on contracts for research and clinical trials. The workshop will use a combination of lecture, examples, and interactive exercises to review the meaning and context of common legal terms and provide techniques to spot troublesome clauses and redraft them. The workshop will also discuss how to communicate positions persuasively and effectively during negotiations to achieve desired outcomes and build successful relationships. WORKSHOP 6 B AN INTRODUCTION TO WORKING WITH U.S. INSTITUTIONS AND SPONSORS This workshop will introduce participants to working under U.S. government funding. The format of the workshop will follow the basic lifecycle of an award, from finding funding, applying for funding, accepting the award, managing the award to closing out the award. Pre-Award topics covered will include: finding funding, institutional registrations with U.S. government agencies and systems, and common proposal/budget preparation concerns. Post-award topics will include financial management, procurement, property management and subawards. Compliance topics will include audit, protection of research Lisa Benson*, Director, Research Administration and Sponsored Programs, Connecticut Children's Medical Center Patricia Travis, Associate Director, Clinical Research, Johns Hopkins University School of Medicine WORKSHOPS Sunday 8.10.14 Learning Objectives: • Participants will learn about the contract mechanisms used for research and clinical trials. • Participants will learn common legal terms and techniques to spot troublesome clauses. • Participants will learn best practices for drafting and redrafting contracts clauses to meet the needs of the parties. • Participants will learn to communicate positions effectively and persuasively during difficult contract negotiations. Nancy Lewis*, Director, Sponsored Projects, University of California-Irvine Heather Kubinec, Senior Contract & Grant Officer, University of California-Irvine Tam Tran, Assistant Director, University of California-Irvine Learning Objectives: • Participants will be able to describe the steps for registering to apply for U.S. funding. • Participants will be able to search for funding on Grants.gov. • Participants will recognize key proposal components. • Participants will be able to explain the minimum requirements for administrative systems under U.S. funding. • Participants will be able to identify key compliance issues associated with U.S. funding. > continued on next page PROGRAM LEVELS: B – BASIC; I – INTERMEDIATE; A – ADVANCED; O – OVERVIEW; U – UPDATE * Lead presenter 9 56 th 8:30 AM – 12:00 PM ANNUAL MORNING PRE-CONFERENCE WORKSHOPS (continued) MEETING WORKSHOP 6 B PRE-CONFERENCE WORKSHOPS subjects, and effort reporting. The purpose of this workshop is to provide participants with a broad overview of the various issues associated with working under U.S. government funding in order to better understand the relevant terminology and concepts. Sources of additional information on the various topics will also be provided, for participants who seek more in-depth knowledge than this workshop can cover. This workshop is intended for research administrators from non-U.S. institutions who are seeking insight into how to work with U.S. government sponsors, and collaborating with U.S. institutions from which they receive U.S. government funding. WORKSHOP 7 B 10 EFFORT REPORTING: HOW TO MINIMIZE RISK Hoping that effort reporting would go away with the new Federal grant reform?—No such luck. While there may be some changes, documenting how faculty and staff are spending their time is still necessary. And, there aren't many financial compliance issues that can draw the wrath of PIs and the interest of auditors as fast as this one. What can we do to improve the process and minimize the audit risk? This workshop will focus on some key principles for good management of the requirements for effort reporting: policies and procedures, training programs, documentation and oversight. In addition, given the continuing federal audits of effort reporting, the workshop will focus on some common issues that have arisen in a number of audits. Workshop participants should plan to engage in a conversation with the faculty and to bring suggestions and questions. WORKSHOP 8 Sunday 8.10.14 AN INTRODUCTION TO WORKING WITH U.S. INSTITUTIONS AND SPONSORS (CONTINUED) O SUBAWARDS & SUBRECIPIENT MONITORING: THE BASICS AND BEYOND This workshop will explore the full cycle of subawards and subrecipient monitoring, a complex, shared responsibility that begins at the time of proposal development and extends throughout the life of the subaward. The workshop will focus on sharing tips, strategies and practical guidance, and is designed to introduce the topic to newcomers, as well as provide comprehensive tools to more experienced research administrators. Through discussions, case studies and exercises, participants will work through implementation strategies, approaches and solutions in areas of pre-award risk analysis, as well as post-award monitoring. David Mayo*, Director of Sponsored Research, California Institute of Technology David W. Richardson, Associate Vice Chancellor for Research and Director of Sponsored Programs, University of Illinois at Urbana-Champaign Learning Objectives: Participants will gain an understanding of the principal requirements of institutional effort reporting systems, including policies and procedures; knowledge of effort reporting audits and findings; knowledge about key issues that need attention in university practices on effort reporting. Robert Andresen*, Director of Research Financial Services, Associate Director, Research and Sponsored Programs, University of Wisconsin-Madison Zach Belton, Director, Huron Consulting Group Learning Objectives: • Participants will recognize subaward characteristics. • Participants will understand subrecipient monitoring responsibilities. • Participants will learn strategies for addressing day-to-day monitoring issues. • Participants will learn strategies for addressing central monitoring responsibilities. Antoinette Lawson*, Director, Office of Research Administration, University of Maryland, College Park Aimee L. Howell, Manager, University of Maryland, Baltimore County Anthony Maranto, Subaward Specialist, Johns Hopkins University, Bloomberg School of Public Health PROGRAM LEVELS: B – BASIC; I – INTERMEDIATE; A – ADVANCED; O – OVERVIEW; U – UPDATE * Lead presenter 8:30 AM – 12:00 PM PRE-CONFERENCE MORNING PRE-CONFERENCE WORKSHOPS (continued) WORKSHOP 9 I FINANCIAL COMPLIANCE: CURRENT AND FUTURE CONSIDERATIONS Compliance touches everything – direct costs, indirect costs, equipment purchases, service center costs, effort reporting, cost sharing, cost transfers, contracts, subcontracts, gifts, ARRA funding, you name it. As sponsored research administrators, we face an ever growing list of financial compliance requirements. The complexity and risks of our work requires periodic reviews of financial compliance issues. The workshop will discuss financial and operational compliance risks and offer possible strategies to mitigate the risk. Using a combination of the personal experiences, case studies and OIG audit reports, this interactive workshop will rely on audience participation and proven strategies to provide participants with alternatives for reducing risk in financial compliance. The session will also provide perspective on new unified federal guidance. WORKSHOP 10 B OMB CIRCULAR OVERVIEW New circulars? Old circulars? The basics haven’t changed! The Office of Management & Budget, (OMB), issues the regulations that all federal agencies have to follow. These fundamental principles must be understood at the transactional level to ensure compliance and sound financial stewardship of sponsored funds. Just as importantly, universities, non-profits and hospitals use these circulars as the foundation of their policies and procedures for managing sponsored awards. This workshop will allow the participants to review the basic principles outlined in the existing and revised OMB Circulars. The workshop will focus on definitions, the principles of allowable, allocable and reasonable, and guidelines for administrating federal awards. Additional topics will include, re-budgeting, cost-sharing, subcontractor monitoring requirements and audits. A brief overview of the F&A calculation is also included. The presenters will share their “real-life” experiences and demonstrate practical application of these regulations and will reference current audits to drive home the costs of non-compliance. Learning Objectives: • Participants will learn about the current audit environment related to research compliance and specific audits at research universities. • Participants will learn where their institution’s largest financial risks are. • Participants will learn how to mitigate these risks. • Participants will gain perspective on new unified guidance. WORKSHOPS Sunday 8.10.14 Prerequisites: Basic understanding of allowability standards, e.g., allowability, allocability, consistency, reasonableness Marisa Zuskar*, Manager, Huron Consulting Group Learning Objectives: • Participants will gain general knowledge of the circulars including what costs are allowed to be charged to contracts and grants. • Participants will gain an understanding of the minimum administrative requirements of managing awards and what auditors are looking for when they perform reviews. • Participants will use the circulars to examine real life issues in research administration. • Participants will understand the basics of the Facilities and Administrative (F&A) rate calculation. This knowledge will allow them to understand what the F&A rate is paying for at their institutions. Denise Clark*, Associate Vice President for Administration and Chief of Staff, Division of Research, University of Maryland, College Park Erin E Bailey, Associate Director, University at Buffalo Ann M. Holmes, Assistant Dean, Administration and Finance, University of Maryland, College Park PROGRAM LEVELS: B – BASIC; I – INTERMEDIATE; A – ADVANCED; O – OVERVIEW; U – UPDATE * Lead presenter 11 56 th 8:30 AM – 12:00 PM ANNUAL MORNING PRE-CONFERENCE WORKSHOPS (continued) MEETING WORKSHOP 11 B PRE-CONFERENCE WORKSHOPS Sunday 8.10.14 EXPORT CONTROLS AND U(NIVERSITIES): WHAT YOU (AND "U") NEED TO KNOW! So you have heard about these things called Export Controls and you might even know a little bit about them. But what you don’t know can hurt “U”. What do you really need to consider when developing an Export Compliance Program? This workshop will help you and your “U”niversity to gather the basics and begin considering your next steps. We will dig into the following questions: What are the big Export Control issues? How do those issues impact universities (e.g. touch points)? What administrative functions should be considered and who should be involved in the export compliance process? We will also discuss developing practical approaches to compliance, conducting a risk assessment, getting and giving training, and highlighting resources to tap into as you build an Export Compliance Program for you and your “U”. Learning Objectives: • Participants will learn the common regulatory terms and concepts pertaining to export controls. • Participants will develop familiarity with the organization and content of the export control regulations. • Participants will learn to identify "red flags" that may indicate the need for additional export assessment for a particular grant, contract, or proposed activity. • Participants will better understand the impact export control regulations have on research activities at colleges and universities. • Participants will learn about the different types of export licenses and agreements and the steps to take if a license is needed. • Participants will learn how to protect export controlled projects. • Participants will understand how to use some of the most common license exceptions and exemptions related to research and travel outside the U.S. Jennifer May*, Director, Research Compliance Services, University of Missouri - Columbia Adilia Koch, Director of Export Compliance, California Institute of Technology WORKSHOP 12 O CREATING A POSITIVE AND CANDID CULTURE IN YOUR OFFICE The Gallup Organization launched a multi-year research project to try to define a great workplace. Based on this research, the number one key discovery was: It was not the companies that were great; it was the workgroups that were great. In this workshop we are going to look at positive office culture through the lens of what practices we, as individuals, can incorporate -- beginning right away -- that will create and enhance our business relationships, leading to a more positive, candid, and effective work place. Utilizing a wide variety of resources, including those from NCURA’s Leadership Development Institute and the subsequent Executive Leadership Program, we will focus on three components of what we can do to create or enhance the culture in our work place: Learning Objectives: • Participants will learn the most effective tools for self-management and what goes into managing your professional reputation. • This workshop will also examine the gift of feedback and follow up in your one-on-one relationships with colleagues, direct reports and supervisor. • Further, strategies for effective team communication and team meetings (and they’re not in the conference room!) will be explored. Tara E. Bishop*, Associate Executive Director, National Council of University Research Administrators • Management of Self: Emotional Intelligence and our professional reputation • One on One Communications: with your colleagues, direct reports and supervisor • Teams and Team Meetings Sharing goals, managing obstacles, and experiencing successes as well as disappointments can create strong bonds when they are coupled with a mindful and candid approach to self, others, and team communications. 12 PROGRAM LEVELS: B – BASIC; I – INTERMEDIATE; A – ADVANCED; O – OVERVIEW; U – UPDATE * Lead presenter 8:30 AM – 12:00 PM PRE-CONFERENCE MORNING PRE-CONFERENCE WORKSHOPS (continued) WORKSHOP 13 B GRANT WRITING SECRETS EVERY RESEARCH ADMINISTRATOR NEEDS TO KNOW Are you new to the world of proposal writing and looking to understand the basics? Are you a practicing grant writer looking to sharpen your skills? Are you a seasoned research administrator exploring ways to add value to the customer service you offer to faculty? In this pre-award workshop, the presenters will share top grant writing secrets that will help increase the overall quality and competitiveness of the proposals you submit. Through a mock proposal review, you will experience the grants process from the sponsor’s point of view, deciding whether or not proposals should be funded. These hands-on and minds-on activities will help you to effectively analyze RFPs, better match institutional needs with sponsor funding priorities, develop persuasive proposals, and avoid common mistakes. WORKSHOP 14 B COMPLIANCE 101 – THE BASICS IACUC, IRB, IBC, COI, ITAR, EAR, RCR – fun with alphabet soup or research compliance lingo? What does it all mean? What do I need to know? In Compliance 101: The Basics, we will provide an overview of research compliance areas - including human subjects protections, animal care and use, biosafety, export controls, conflict of interest, research misconduct and responsible conduct of research - for those new to Sponsored Programs. Seasoned compliance officers will share their practical experiences, useful definitions, and resources. Learning Objectives: • Participants will be able to analyze grant application guidelines. • Participants will be able to identify sponsor hot buttons. • Participants will be able to weave persuasive themes throughout proposals. • Participants will understand the grant review process. • Participants will be able to identify 5 common grant pitfalls—and how to avoid them. WORKSHOPS Sunday 8.10.14 Jeremy Miner*, Director of Grants and Contracts, University of Wisconsin-Eau Claire Joseph C. McNicholas, Director, Office for Research and Sponsored Projects, Loyola Marymount University Learning Objectives: • Participants will have a general understanding of common research compliance issues encountered at a research institution. • Participants will be able to identify activities that may require a compliance review. Tracy Arwood*, Assistant Vice President for Research Compliance, Clemson University Daniel Vasgird, Director, Office of Research Integrity and Compliance, West Virginia University PROGRAM LEVELS: B – BASIC; I – INTERMEDIATE; A – ADVANCED; O – OVERVIEW; U – UPDATE * Lead presenter 13 56 th 8:30 AM – 12:00 PM ANNUAL MORNING PRE-CONFERENCE WORKSHOPS (continued) MEETING WORKSHOP 15 I PRE-CONFERENCE WORKSHOPS Sunday 8.10.14 F&A RATE PREPARATION/ NEGOTIATION FOR THE PREDOMINANTLY UNDERGRADUATE INSTITUTION (PUI) In the first part of this workshop, two research administrators – one from an institution with a rate calculated using the short form and one from an institution that uses the long form – and one F&A rate consultant will introduce workshop participants to the world of F&A rate preparation. They will explain the difference between the short form and the long form and an MTDC base vs. a salaries and wages base, and will discuss the pros and cons of selecting one process over the other. They will review the rate preparation and negotiation process so each participant understands what is involved in developing a rate. Participants will learn what financial data is used to prepare the rate. In the second part of the workshop, the group will review a sample short form rate proposal and a sample long form rate proposal, paying particular attention to the different components used to calculate the rate. WORKSHOP 16 B TRAINING PROGRAMS 101: ENGAGE, DEVELOP, AND IMPLEMENT! Providing educational opportunities for faculty, staff and students related to sponsored programs is critical for many reasons, including ensuring compliance with federal regulations. However, in many situations, it is done on a case-by-case basis (if at all….) and may not necessarily meet the needs of the stakeholders involved. This workshop will focus on the basics of establishing a training program at your institution focusing on three pillars of activity: engaging the stakeholders; developing the appropriate program; and implementing the program successfully. This will be a highly interactive workshop targeted for individuals considering a program for their institution. WORKSHOP 17 B USING EXCEL FOR BUDGETING This half day workshop will help the attendee to get familiar with some basics of MS Excel. We will work on how to re-make a detailed budget for an initial budget period as well as a budget for an entire proposed project period using an Excel format. Using Excel will give the user the advantage of calculating and re-calculating the budget quickly and linking the numbers within the tabs and workbooks. 14 Learning Objectives: • Participants will be able to explain the difference between the short form and the long form, and MTDC vs. salaries and wages, and advise their campus which form is most appropriate for them. • Participants will be able to outline the rate negotiation process, including the process timeline. • Participants will be able to discuss the components that determine the F&A rate. • Participants will be able to advise their campus on strategies to maximize their F&A rate for the subsequent rate preparation and negotiation. Prerequisites: Participants should have a thorough understanding of how the F&A rate is calculated and applied on project budgets. They should also have a working knowledge of the components that comprise the rate as explained in the federal regulations (A-21). Panda Powell*, Director of Sponsored Programs, University of North Carolina at Wilmington Jim Carter, Senior Director, Huron Consulting Group Carolyn Elliott-Farino, Director, Contracts and Grants Administration, Kennesaw State University Learning Objectives: • Participants will learn what should be considered before a training program is initiated. Participants will learn about specific tools available when developing a program. • Participants will learn about ways to market and advertise their program. Anthony Ventimiglia*, Associate Director, Office of Sponsored Programs, Auburn University Candice Ferguson, Manager, Research Education & Communications, Georgia Institute of Technology Garrett Steed, Contracting Officer, University of Colorado-Boulder Learning Objectives: • Participants will become familiar with creating an excel budget template with formulas. • Participants will become familiar with tips and tricks in excel. • Participants will leave with the template they created to use on the job. Prerequisites: Attendees will need to bring a laptop with Excel 2007 or later. Fredric Majnoun*, Director of Finance and Administration, Boston University Medical Campus PROGRAM LEVELS: B – BASIC; I – INTERMEDIATE; A – ADVANCED; O – OVERVIEW; U – UPDATE * Lead presenter 8:30 AM – 12:00 PM PRE-CONFERENCE MORNING PRE-CONFERENCE WORKSHOPS (continued) WORKSHOP 18 I COST SHARING: HOW PREAND POST-AWARD OFFICES CAN WORK TOGETHER When a Principal Investigator proposes to share costs of an exciting research project by donating his or her time or some other tangibles, the pre and post award administrators are often the last ones to find out about some of the commitments made in the proposals. Cost sharing requires involvement at many levels-the Principal Investigator, department administrator, pre and post award offices and sponsoring agency. We will discuss how by getting involved right from the very beginning may help the university stay compliant with Federal requirements and keep the auditors at bay. This workshop will provide an in-depth, detailed review of the issues surrounding cost sharing on sponsored projects, primarily grants funded by Federal agencies. The workshop will define cost sharing, including voluntary and mandatory, committed and uncommitted cost sharing. Changes in cost sharing requirements in the recently published OMB Omni Circular, Uniform Administrative Requirements, Cost Principles, and Audit Requirements will also be discussed. We will review different types of costs that qualify for cost sharing and the requirements for documenting, tracking and reporting cost sharing. The relationship between cost sharing, effort reporting, and indirect cost rates will be analyzed and discussed. The workshop will include some case studies, based on real incidents, concerning various aspects of cost sharing. WORKSHOP 19 O THE CONSOLIDATION OF THE OMB CIRCULARS: EXPLORING THE "NEW" ADMINISTRATIVE RULES How will the consolidation of the OMB Circulars into general government-wide guidance affect award administration at colleges and universities? Will the “super-circular” end up being “super-confusing”? When it comes to the administering federal assistance awards, some things will change, but much has stayed the same. This workshop will outline the consolidated guidance and how it applies to day-to-day award administration. Designed for the newcomer as well as the seasoned research administrator unfamiliar with the consolidated circular, this overview will examine the guidance with an emphasis on the “super-important” basics. Come prepared to learn the ins and outs of this complexity of administrative rules and how the individual federal agencies will incorporate the guidance into their own administrative requirements. Learning Objectives: • Participants will understand what constitutes cost sharing. • Participants will acquire an understanding of the applicable federal policies, including expectations for reporting and record keeping. • Participants will learn different methods for capturing, tracking and reporting cost sharing. • Participants will learn how cost sharing impacts Facilities & Administrative (F&A) rates. WORKSHOPS Sunday 8.10.14 Prerequisites: Pre-award and/or post-award intermediate level personnel or those reexamining cost sharing policies and practices at their institution. Patricia Hawk*, Director, Sponsored Programs, Oregon State University Learning Objectives: • Participants will gain an understanding of the OMB guidance on federal financial assistance awards. • Participants will learn how to apply this guidance in award administration. • Participants will learn the next steps in the implementation of the new federal guidance. FULL Jane A. Youngers*, Assistant Vice President for Research Administration, The University of Texas Health Science Center at San Antonio Gunta Liders, Associate Vice President for Research Administration, University of Rochester PROGRAM LEVELS: B – BASIC; I – INTERMEDIATE; A – ADVANCED; O – OVERVIEW; U – UPDATE * Lead presenter 15 56 th 8:30 AM – 12:00 PM ANNUAL MORNING PRE-CONFERENCE WORKSHOPS (continued) MEETING WORKSHOP 20 SENIOR ADVANCED FORUM A PRE-CONFERENCE WORKSHOPS Sunday 8.10.14 16 FOR EXECUTIVES Senior administrators are willing to share their experience and knowledge with you and facilitate an open dialogue on hot topics of interest to the participants. Managing conflicts of interest and commitment, implementing or revising policies in response to the Uniform Guidance, and managing and motivating professionals in tight economic times are but a few of the topics that might be covered but this workshop is designed as an interactive forum in which registered participants create the agenda by submitting topics and questions they want addressed at the forum. Registered participants will receive advance notice of the topics/questions and are asked to share strategies to address the topics during the forum. The questions and discussions should be treated as confidential, so you can feel SAFE in participating. Come share your questions and your experience with your colleagues. Learning Objectives: • Participants will learn how to address and problem solve complex problems and issues. • Participants will gain insights into how other institutions are handling issues arising in research administration. Prerequisites: Participants should be senior administrators with experience and responsibility for decision making and effecting policy. Susan Sedwick*, Associate Vice President for Research and Director, University of Texas at Austin Jim Luther, Associate Vice President, Research Cost Compliance, Duke University Marianne R. Woods, Academic Program Director, Master of Science in Research Administration, Johns Hopkins University 1:30 PM – 5:00 PM AFTERNOON PRE-CONFERENCE WORKSHOPS WORKSHOP 21 A ADVANCED CLINICAL TRIALS WORKSHOP This workshop will delve deeper into the elements of successfully conducting clinical trials. It will focus on navigating the complex regulatory environment governing research, building an adequate infrastructure to support clinical research and strategies for institutional oversight to mitigate risk. Topics covered will include establishing processes and work flows to ensure regulatory compliance; developing an infrastructure that reduces the administrative burden on investigators, increases efficiency and reduces timelines; and working across the institution to leverage expertise in order to facilitate streamlined and effective oversight of clinical research. Learning Objectives: • Participants will determine key elements involved in a robust clinical research enterprise. • Participants will learn how to effectively manage regulatory requirements. • Participants will learn how to create an infrastructure to support clinical research. • Participants will learn strategies for institutional oversight of clinical research. Prerequisites: Advanced level of understanding of clinical trials. This session will build on standard operating procedures and best practices. Tesheia Johnson*, Associate Director of Clinical Research for Yale School of Medicine COO, YCCI, Yale University PROGRAM LEVELS: B – BASIC; I – INTERMEDIATE; A – ADVANCED; O – OVERVIEW; U – UPDATE * Lead presenter 1:30 PM – 5:00 PM PRE-CONFERENCE AFTERNOON PRE-CONFERENCE WORKSHOPS (continued) WORKSHOP 22 I FAR/DFAR DECONSTRUCTED Do you consider spiderwebs ghastly, horrifying, the very stuff of nightmares? Or do you find them oddly elegant as they glisten in the morning dew? Your answer to this regulatory Rorschach test may offer a clue as to your attitudes toward the Federal Acquisition Regulation (FAR). Some see the FAR as the very worst in bureaucratic opacity, with definitions and alternates and prescriptions cross-linked in ever-widening circles. Others see the FAR as a magnificent achievement in organic rule-making, a subtle edifice of our nation's concerted efforts to purchase goods and services in a fair-minded, even-handed way. Even if the poetry of the FAR leaves you cold, it should be obvious why we need to study it. As our researchers face an increasingly competitive market for federal grants, more and more of them will turn to federal contract work. Federal contracts, subject to the FAR, are more complicated than federal grants. And contractual work scopes tend to be tightly prescribed, significantly increasing the risk of default. In this session, we will review the basic structure of the FAR and DFARS. There is no way to review every FAR clause in a single workshop, but we will highlight a number of representative clauses. In addition to explaining some of the key clauses, we also will discuss negotiation strategies for removing inappropriate clauses and incorporating appropriate alternates and deviations. Finally, we will discuss ways of communicating the implications of the FAR to your post-award offices. We know that our post-award offices never read any of the clauses referenced in a FAR contract (unless they are included in full text), thus it is up to us to communicate the administrative requirements in a clear and understandable way. Learning Objectives: • Participants will learn how to identify and analyze key FAR and DFARS clauses. • Participants will gain confidence in your ability to negotiate a FAR contract that will protect your institutional interests. • Participants will learn how to communicate the administrative requirements of the FAR and DFARS to your PI and post-award office. WORKSHOPS Sunday 8.10.14 Prerequisites: This workshop will be taught at the intermediate level. Thus, it would be helpful if all participants had some familiarity with the FAR. We will explain basic terms (e.g., "prescription"), but only briefly. John Hanold*, Interim Director, Office of Sponsored Programs, The Pennsylvania State University Amanda Snyder, Assistant Director, Sponsored Programs Administration, University of Maryland, Baltimore Robin Riglin, Associate Director, Office of Sponsored Programs, The Pennsylvania State University PROGRAM LEVELS: B – BASIC; I – INTERMEDIATE; A – ADVANCED; O – OVERVIEW; U – UPDATE * Lead presenter 17 56 th 1:30 PM – 5:00 PM ANNUAL AFTERNOON PRE-CONFERENCE WORKSHOPS (continued) MEETING WORKSHOP 23 I PRE-CONFERENCE WORKSHOPS Sunday 8.10.14 18 HERE COME THE FEDS! WHAT A SPONSOR AUDIT IS LOOKING FOR AND HOW TO PREPARE YOUR INSTITUTION OIG – The three most feared letters in sponsored research (just beating out COI and RCR). As Offices of Inspector General have gained additional funding and resources, more research programs and offices find themselves under scrutiny. Most of you have likely either experienced an audit, or live in fear of receiving an intent to audit letter. While sponsor audits are inevitable, and unavoidable, component of receiving research funding, they don't have to be a nightmare. This session will help participants to understand what areas Federal auditors are most likely to focus on, common findings from the field, and best practices for "surviving" a sponsor audit. We will discuss: Learning Objectives: Participants will be provided with a working knowledge of audit preparation and management. Prerequisites: Experience managing sponsored awards, transactions, or audits. Jeffrey Silber*, Senior Director, Sponsored Financial Services, Cornell University Kimberly Ginn, Principal, Baker Tilly • Types of audits conducted (and who is involved) • The FY2014 audit plans for the major research agencies (NIH and NSF) • Purpose of audits and what OIGs are really looking for • Common findings • Practical advice on how to best position and prepare your institution to face an OIG audit WORKSHOP 24 I SERVICE CENTERS – HOW TO OPEN AND OPERATE – LEGALLY! University departments use a variety of products or services to perform their activities. When these products or services are provided within the university these units function as nonprofit businesses and are called recharge or service centers. The cost of providing products and services are allocated to users, including federally sponsored agreements, by establishing billing rates which are applied to the actual usage of services. The rate is designed to recover costs from those users who benefit from the products or services offered. The complexities of setting up and running a service center, or recharge center, continue to be a challenge for research universities and this subject is often on the DHHS OIG Work Plan for audits. This session will look at considerations when setting up and operating a service center. The session will look in-depth at the rate development including components of the budget, the rate base and service center audits. The workshop will incorporate a case study and exercises. Learning Objectives: • Participants will learn the characteristics of a service center. • Participants will learn what to budget in the billing rate. • Participants will learn the different rate bases that can be used to calculate the rate. • Participants will learn what the audit findings on service centers have been and the risks your institution should manage. Patrick Fitzgerald*, Associate Dean for Research Administration, Harvard University Anne Sullivan, Senior Director, Huron Consulting Group PROGRAM LEVELS: B – BASIC; I – INTERMEDIATE; A – ADVANCED; O – OVERVIEW; U – UPDATE * Lead presenter 1:30 PM – 5:00 PM PRE-CONFERENCE AFTERNOON PRE-CONFERENCE WORKSHOPS (continued) WORKSHOP 25 B TECHNOLOGY TRANSFER, START UPS AND INDUSTRIAL COLLABORATIONS Intellectual property that results from university research is frequently licensed (a Bayh-Dole success!) to new or existing companies for commercialization. Often faculty present interesting new concepts not yet reduced to practice that companies wish to further develop through research contracts that include the eventual right to license the technology. Nascent technology needs further development to bridge the oft-discussed "Valley of Death" through translational research. The federal government is keenly interested in moving the technologies from the laboratory to the marketplace and is funding the effort through programs such as NSF's i-Corp. Many universities are also exploring new contracting mechanisms with new intellectual property terms. This workshop will examine the complex relationships that arise when universities interact in research projects that involve technology transfer. Learning Objectives: • Participants will gain an understanding of commonly used contracting licensing approaches that address background intellectual property and new foreground intellectual property. • Participants will explore the concept of a "Background Intellectual Property Briarpatch," understand the importance of sponsored programs office in managing the IP portfolio, and propose remedies. • Participants will consider how to construct field of use licenses to meet the needs of sponsors, faculty, and start-up companies. • Participants will review proprietary rights agreements for SBIR and STTR projects. • Participants will share experiences with federally-funded technology translation programs. • Participants will consider the special financial arrangements and constraints (risks) in working with start-ups. • Participants will discuss the requirements for financial conflict of interest disclosures and management plans. WORKSHOPS Sunday 8.10.14 Jilda Garton*, Vice President for Research and General Manager of GTRC and GTARC, Georgia Institute of Technology WORKSHOP 26 BUILDING BRIDGES: A CROSSWALK TO THE NEW OMB CIRCULAR This workshop will feature a detailed review of the new OMB Circular with reference points and crosswalks to previous OMB A-21, A-110 and A-133 circulars, plus a discussion of the potential impact changes in the new circular may pose for college and universities. Participants will have the opportunity to engage in discussions of the implications of the changes in the new circular and to become more conversant with the circular language and format, locating familiar sections, and identifying new language and guidance. Learning Objectives: • Participants will review key elements of the new OMB combined circular. • Participants will be provided with a descriptive review of contents of the new circular in terms of A-21 and A-110 guidance. • Participants will be provided a guided forum for discussion of the potential impact of the revised circular on college and university policies and processes. Julie Cole*, Director of Research Costing Compliance, Duke University Robin L. Cyr, Associate Vice Chancellor for Research, Director, Office of Sponsored Research, University of North Carolina at Chapel Hill PROGRAM LEVELS: B – BASIC; I – INTERMEDIATE; A – ADVANCED; O – OVERVIEW; U – UPDATE * Lead presenter 19 56 th 1:30 PM – 5:00 PM ANNUAL AFTERNOON PRE-CONFERENCE WORKSHOPS (continued) MEETING WORKSHOP 27 I PRE-CONFERENCE WORKSHOPS Sunday 8.10.14 20 LICENSING & PROVEN EXPORT CONTROL METHODS FOR EAR/ITAR/OFAC COMPLIANCE EMPLOYED AT UNIVERSITIES This workshop will deliver practical information on proven export control management methods implemented by universities to comply with export regulations administered by the Departments of State, Treasury and Commerce. Methods include effective management of jurisdiction determinations, licensing and voluntary self-disclosures. Workshop faculty will use real-world examples to facilitate learning and discussion. Workshop attendees will participate in the identification, jurisdiction determination, licensing and technology control process including managing disclosures. Time will be allowed for questions, discussion and networking with others who are responsible for day-to-day oversight and management of export compliance. WORKSHOP 28 A TEAM APPROACH TO I DEVELOPING COMPETITIVE GRANT PROPOSALS: THE PREAWARD ROLE IN SUPPORTING SUCCESS Today it is common to have a collaborative team approach to developing and writing a competitive proposal. This workshop combines didactic and hands-on activities to explore best practices for proposal development and good grant writing. Participants will team up during the workshop and work together on ideas for possible grant proposals, but you do not need an idea for a project to participate! The focus will be more on the process than the content. Just bring is your own brainpower, enthusiasm and experience -- and your willingness to join a proposal development team. You will have an interactive opportunity to develop proposal components using good grant writing techniques. Learning Objectives: • Participants will learn the key attributes of an effective compliance program. • Participants will learn how to prepare commodity jurisdiction requests, export license applications, and other licenses required under the EAR, the ITAR and OFAC. • Participants will learn how to detect and manage voluntary self-disclosures of potential export violations. Prerequisites: Participants should have an in-depth understanding or familiarity with the International Traffic in Arms Regulations (22 CFR 120-130), Export Administration Regulations (15 CFR 300-799) and various Foreign Assets Control Regulations (FACR) and sanctions programs. Kay Ellis*, Director of Export Compliance and Export Control Officer, University of Arizona Adilia Koch, Director of Export Compliance, California Institute of Technology Jennifer May, Director, Research Compliance Services, University of Missouri - Columbia Learning Objectives: • Participants will learn how to develop and evaluate good ideas for proposals. • Participants will discover how to build an effective team for proposal development. • Participants will learn about creating a proposal development plan. • Participants will learn some of the techniques of effective proposal writing. • Participants will work in small teams to develop proposal sections. Prerequisites: Participants should have a working knowledge of the grants and proposal process. Denise Wallen*, Research Officer/Senior Fellow; Research Assistant Professor, University of New Mexico Jackie Hinton, Senior Grant & Contract Administrator, Northern Arizona University Joseph McNicholas, Director, Office for Research & Sponsored Projets, Loyola Marymount University PROGRAM LEVELS: B – BASIC; I – INTERMEDIATE; A – ADVANCED; O – OVERVIEW; U – UPDATE * Lead presenter 1:30 PM – 5:00 PM PRE-CONFERENCE AFTERNOON PRE-CONFERENCE WORKSHOPS (continued) WORKSHOP 29 THE "I"S HAVE IT: I UNDERSTANDING THE IRB, IACUC AND IBC This workshop offers detailed information for mid-level research administrators about the three regulatory committees that oversee use of human subjects (IRB), animals (IACUC), and rDNA (IBC) in research. Learning Objectives: • Participants will learn when IRB, IACUC, or IBC approval of research is required. • Participants will understand the authority and responsibilities of each committee and how they sometimes overlap. • Participants will learn to illuminate the role of the research administrator, as a steward of research funding, in assuring institutional compliance with the applicable IRB, IACUC or IBC regulations. WORKSHOPS Sunday 8.10.14 Prerequisites: Basic-level knowledge of the research regulatory landscape and a willingness to learn more. Suzanne Rivera*, Associate Vice President for Research, Case Western Reserve University WORKSHOP 30 WORKING WITH O INTERNATIONAL INSTITUTIONS; ASSESSING COMPLIANCE AND MITIGATING RISK Research universities and institutions worldwide are reaching across the globe to compete for project funding and sponsorship while at the same time the nature of research is becoming more collaborative and inter-disciplinary. These factors are translating to a higher number of research opportunities made possible through cooperation and collaboration with international partners. Research administrators must confront a variety of administrative, legal and compliance challenges when negotiating and administering projects with international sponsors and/or international research collaborators. Workshop participants will be introduced to a variety of topics relating to international research collaborations, from export control compliance to tax implications. Through exercises, discussions and presentations, participants will gain a better understanding of the unique challenges relating to research administration for international projects. Learning Objectives: • Participants will learn to outline a riskmitigating approach to managing international research projects. • Participants will learn practical approaches and solutions to resolving typical issues in international projects. • Participants will be encouraged to start a dialogue among participants regarding "best practice" in administration, legal and compliance matters surrounding international collaborations. Jennifer Donais*, Director, Research Compliance, University of Massachusetts Amherst Jeffrey Newman, Associate Director, Contract Management, Vanderbilt University PROGRAM LEVELS: B – BASIC; I – INTERMEDIATE; A – ADVANCED; O – OVERVIEW; U – UPDATE * Lead presenter 21 56 th 1:30 PM – 5:00 PM ANNUAL AFTERNOON PRE-CONFERENCE WORKSHOPS (continued) MEETING WORKSHOP 31 O SMALL IS BEAUTIFUL: DOING IT ALL AT A PUI WITH FEW STAFF MEMBERS PRE-CONFERENCE WORKSHOPS Predominately undergraduate institutions (PUIs) come in all sizes, shapes, and award volumes. This session is geared toward those who work at institutions with four or fewer administrators to manage all aspects of research administration – people who must have a very broad knowledge base, and who have no departmental administrators on their campuses. The workshop will be highly interactive, as we discuss best practices for juggling all our responsibilities with limited resources. We'll also discuss how to go about adding additional staff positions as the enterprise grows, some "must-have" professional resources, succession planning for small offices, and other issues specific to staffs that are small in number but large in capacity and talent. WORKSHOP 32 O TRAINING PROGRAMS 201: DEVELOPING TOOLS AND TRAINING FOR ALL LEVELS OF RESEARCH ADMINISTRATORS This session will demonstrate how to use a variety of training techniques to develop your colleagues and improve business processes. This session will be interactive so come prepared to participate. Participants will be have the opportunity to apply the methods discussed and return to their institutions with techniques that can be implemented in their offices. Learning Objectives: • Participants will be able to state best practices for offices with small staffs. • Participants will be able to list at least three resources for small offices. • Participants will be able to define typical succession plans for small offices, (4) perform a self-evaluation of their practices. Prerequisites: Participants should be working (or have previously worked) at a PUI with four or fewer staff members involved in research administration. Pamela Napier*, Director, Office of Sponsored Programs, Agnes Scott College Kris Monahan, Director of Sponsored Research and Programs, Providence College Learning Objectives: • Participants will learn about specific tools available when developing a program. • Participants will learn how to develop and apply formative assessments tools. • Participants will learn how to develop and apply problem-based learning tools. Garrett Steed*, Contracting Officer, University of Colorado-Boulder Candice Ferguson, Manager, Research Education & Communications, Georgia Institute of Technology Samuel Gannon, Manager, Education & Training, Vanderbilt University Medical Center Sunday 8.10.14 22 PROGRAM LEVELS: B – BASIC; I – INTERMEDIATE; A – ADVANCED; O – OVERVIEW; U – UPDATE * Lead presenter 1:30 PM – 5:00 PM PRE-CONFERENCE AFTERNOON PRE-CONFERENCE WORKSHOPS (continued) WORKSHOP 33 A CURRENT ISSUES FOR SENIOR RESEARCH ADMINISTRATORS This is a highly interactive session for senior research administrators targeting topics that are currently under discussion in the field. These are the hot topics we need to address on our own campuses, and this workshop is a great place to understand common approaches and concerns. The panel will address major issues including (1) the Uniform Guidance and how we can plan to implement it at our universities, (2) financial and programmatic reporting, including our concerns about NIH sub-accounting, (3) Internal Controls in the context of research administration and especially with the emphasis in the Uniform Guidance, and (4) training programs for departmental staff, central administration and faculty on topics from the Uniform Guidance. In addition, we will discuss questions suggested by the participants before and during the workshop. Participants will be asked to suggest topics or questions in advance, but there will be plenty of time for spontaneity. Come share your questions and your experience with colleagues who speak the common language of research administration! WORKSHOP 34 I USING EXCEL FOR POST-AWARD GRANT MANAGEMENT (AT THE DEPARTMENT LEVEL) This ½ day workshop will help the attendee to get familiar with how to organize and manage their grants using MS Excel. We will work on how to build financial reports and present data to PIs, department heads and ourselves using macros and pivot tables among other tools in MS Excel. Learning Objectives: • Participants will learn how to address current, complex problems in research administration. • Participants will understand prevailing opinions on major topics in the field. • Participants will build a network of senior administrators who deal with common problems. WORKSHOPS Sunday 8.10.14 Prerequisites: This workshop is for senior research administrators who have an understanding of the broad spectrum of issues in management and in research administration. Kim Moreland*, Associate Vice Chancellor for Research & Sponsored Programs, University of Wisconsin-Madison Patricia Hawk, Director, Sponsored Programs, Oregon State University Cathy Snyder, Director, Vanderbilt Costing Activities, Office of Contract And Grant Accounting, Vanderbilt University Learning Objectives: • Participants will learn that using Excel will give the user the advantage of recognizing potential issues related to grants. • Participants will become familiar with macros for time saving and making reports more readable. • Participants will become familiar with pivot tables to summarize data more easily. Prerequisites: Attendees will need to bring a laptop with Excel 2007 or later. Charlotte Gallant*, Compliance Specialist, Harvard University PROGRAM LEVELS: B – BASIC; I – INTERMEDIATE; A – ADVANCED; O – OVERVIEW; U – UPDATE * Lead presenter 23 56 th 1:30 PM – 5:00 PM ANNUAL AFTERNOON PRE-CONFERENCE WORKSHOPS (continued) MEETING WORKSHOP 35 O PRE-CONFERENCE WORKSHOPS Sunday 8.10.14 24 BUILDING RESEARCH DEVELOPMENT INFRASTRUCTURE IN A DECENTRALIZED UNIVERSITY: A CASE STUDY This interactive workshop will focus on how to build a research development program at both the school and central levels and how these efforts might compliment and bolster each other. Discussion will focus around initial steps and challenges faced in a decentralized school and university setting and how to work through these challenges to create a strong and value added program. Learning Objectives: • Participants will outline the main functions of research development at the school and university level to establish baseline understanding. • Participants will go through a case study, using Harvard as an example, on a step by step basis, learning how research development infrastructure and support have grown at Harvard and how these joint efforts have provided support to our faculty. • Participants will come away with specific tools and ideas to help you get started at your home institution and help guide first steps in building your own program. Elizabeth Lennox*, Assistant Dean of Research Administration, Harvard University Susan Gomes, Director of Research Development and Strategy, Faculty of Arts and Sciences, Harvard University Elizabeth Langdon-Gray, Assistant Provost for Research Development and Planning, Office of the Vice Provost for Research, Harvard University WORKSHOP 36 A POLICIES, POLICIES, POLICIES!! HOW TO DEVELOP, IMPLEMENT, COMMUNICATE AND MAINTAIN POLICIES FOR RESEARCH ADMINISTRATION! This workshop provides a foundational understanding of the key components of policy development and management. Developing effective policies that can be clearly understood and followed, that address the needs of the many, and that ensure compliance, can be quite challenging. This workshop takes attendees through the full process of developing relevant policies, rolling out policies to research communities and provides strategies for monitoring policies to ensure continued applicability and compliance. Policies are not procedures. Poorly written policies can create negative and unnecessary consequences in an audit. It is critical that those involved in policy development understand the importance of this process. Learning Objectives: • Participants will have an understanding of how to develop an effective policy that meets the needs of the organization. • Participants will be able to evaluate existing policies to determine if they effectively meet the needs or the organization and if they create an unnecessary risk. • Participants will have strategies on how to involve others in the policy development process and how to effectively communicate policies through an organization. Prerequisites: Foundational understanding of general research administration. General understanding of the polices typically needed for the administration of research. Kerry Peluso*, Associate Vice President for Research Administration, Emory University James Casey, Attorney and Research Manager; President-elect, NRLD, State Bar of Wisconsin PROGRAM LEVELS: B – BASIC; I – INTERMEDIATE; A – ADVANCED; O – OVERVIEW; U – UPDATE * Lead presenter 8:30 AM – 5:00 PM PRE-CONFERENCE FULL DAY POST-CONFERENCE WORKSHOP WORKSHOP 37 O PUTTING THE ‘FUN’ IN NIH FUNDING…A DAY WITH NIH! Wear your favorite tropical shirt (it is summer time!), put on your comfy sandals or loafers, and join NIH experts for a day of smooth sailing through the latest NIH grants process, programs and policies. You may not think of trying to understand the application forms, working in the eRA Commons or navigating the NIH websites as “fun,” but don’t let that stop you from participating in NCURA’s, “A Day with NIH” on Thursday, August 14. NIH Program, Review, and Grants Management officials are offering a laid back day, filled with informative and interactive presentations, guidance, and an array of future NIH contacts for critical points in the grants process! With what seems like an ocean-size amount of information to absorb about NIH, the goal of this day will be to help you steer through the resources, understand the course, get-to-know the rules, and obtain tips for sailing through the eSubmission and awards process, as well as learn how avoid getting stuck in the sand along the way. We’ll share details on high priority initiatives taking place at NIH, guidance on grant writing, administrative issues, and so much more. Experts will demonstrate NIH on-line resources, such as RePORT and RePORTER, and how these tools can help administrators and investigators learn more about NIH funded research. WORKSHOPS Learning Objectives: • Participants will gain a better understanding of policies and procedures affecting the NIH grants process from application to post-award. • Participants will have the opportunity for personal interaction with NIH staff and be able to obtain insight and suggestions for managing research grants in an increasingly complex environment. Thursday 8.14.14 Cynthia Dwyer*, Communications Specialist & Outreach Coordinator, Office of Extramural Research, National Institutes of Health (NIH) Michelle Bulls, Director, Office of Policy for Extramural Research Administration (OPERA), National Institutes of Health Sherri Cummins, Customer Relationship Manager, eRA, Commons and eSubmission, National Institutes of Health Dee Doherty, Deputy, Grants Management Officer, National Institutes of Health, NIDDK/GMB Della Hann, Deputy Director, Office of Extramural Research (OER), National Institutes of Health Michael Reddy, Program Officer, Genetics and Developmental Biology (GDB) Division, National Institute of General Medical Sciences (NIGMS), National Institutes of Health Joe Schumaker, Communication Specialist, Electronic Research Administration (eRA), Office of Extramural Research (OER), National Institutes of Health When the sun sets, you’ll be able to return to your office or lab with a more complete understanding of NIH and the grants process, as well as the knowledge of available resources to help…plus have a chance to relax a little before heading back to reality. PROGRAM LEVELS: B – BASIC; I – INTERMEDIATE; A – ADVANCED; O – OVERVIEW; U – UPDATE * Lead presenter 25 56 th Monday 8.11.14 ANNUAL MEETING 10:30 AM – NOON ~ SENIOR LEVEL DISCUSSION TRAINING AND EVALUATION OF STAFF SENIOR LEVEL DISCUSSIONS Monday 8.11.14 Are you a supervisor, colleague, coach and/or mentor who decides what is needed in order to develop, nurture, and grow staff through training? Do you supervise staff and need to determine how best to evaluate their success? If so, this Senior Forum is for you! We will host an interactive session in which participants will be actively engaged in in-depth discussions on key topics and issues regarding training and evaluating staff. FULL Dennis Paffrath*, Assistant Vice President for Sponsored Programs Administration, University of Maryland, Baltimore Denise Clark, Associate Vice President for Administration and Chief of Staff, Division of Research, University of Maryland, College Park Vivian Holmes, Director, Sponsored Research Operations, Broad Institute of MIT and Harvard No Fee. Pre-registration is required. 1:30 – 2:45 PM ~ SENIOR LEVEL DISCUSSION CARBON AND SILICONE: INFORMATION SYSTEMS AND THE SENIOR RESEARCH ADMINISTRATOR Learning Objectives: This session is to provide the audience with: This session will target the Senior Research Administrator interested in how best to leverage information technology to improve research administration operations. The discussion will include panelists from two separate institutions along with a Director from Huron's Higher Education Technology practice. Each panelist has been focused in some capacity on bringing value to research operations and their research community through the implementation of technology. We will explore such question and topic as: • A clearer picture of what types of technologies and implementation projects have proven be the most impactful • Insight on lessons learned through experience • Perspective on how best to succeed on improving operations through the use of technology. FULL • Areas of challenge implementing technology • Identifying the type of technology and/or implementation that has had the most value to organizations. • Key lessons learned through past projects • The road ahead. 26 Learning Objectives: • Participants will learn how to create an effective training program. • Participants will have a better understanding of creating pathways for staff development and progress. • Participants will learn what factors impact the success of employee training. • Participants will hear about the role of employees in their own professional development and evaluation. • Participants will be able to determine appropriate and measurable goals to use during the evaluation process. Phil Infurna*, Director, Huron Consulting Group Diane Baldwin, Assistant Vice President, Sponsored Programs, Boston University Marcia Smith, Associate Vice Chancellor, Research Administration, University of California-Los Angeles No Fee. Pre-registration is required. PROGRAM LEVELS: B – BASIC; I – INTERMEDIATE; A – ADVANCED; O – OVERVIEW; U – UPDATE * Lead presenter Tuesday 8.12.14 8:15 – 9:45 AM ~ SENIOR LEVEL DISCUSSION INTERNATIONAL RESEARCH ADMINISTRATION FULL SENIOR LEVEL DISCUSSIONS David Richardson*, Associate Vice Chancellor for Research and Director of Sponsored Programs, University of Illinois at Urbana-Champaign Simon Kerridge, Director, Research Services, University of Kent No Fee. Pre-registration is required. Tuesday 8.12.14 1:15 – 2:15 PM ~ SENIOR LEVEL DISCUSSION ASSESSING WORKLOAD, COMPLIANCE AND TRAINING NEEDS THROUGH INSTITUTIONAL METRICS This session provides an update on Duke University's metrics initiative. For several years Duke has been refining the use of metrics to assess grant management workload, identify key indicators of financial compliance, and target training to appropriate audiences. The most recent enhancements have enabled the institution to combine various components into a powerful management tool for supervisors, business managers and senior leadership to better understand and plan for targeted deployment of resources, specific training and personnel needs, and potential compliance issues. Panelists will describe the journey in developing these separate processes and how they are being brought together to form a comprehensive interactive business tool. Learning Objectives: To identify areas of compliance, workload and training that are appropriate for metric analysis To discuss the planning process for developing and implementing appropriate metric analyses To discuss possible ways that separate metric analyses can be effectively used in combination to facilitate institutional management of the research administration enterprise. FULL Jim Luther*, Associate Vice President, Research Cost Compliance, Duke University No Fee. Pre-registration is required. PROGRAM LEVELS: B – BASIC; I – INTERMEDIATE; A – ADVANCED; O – OVERVIEW; U – UPDATE * Lead presenter 27 56 th Wednesday 8.13.14 ANNUAL MEETING 8:30 – 10:00 AM ~ SENIOR LEVEL DISCUSSION EXPORT REFORM AND ITS IMPACTS ON HIGHER EDUCATION AGENDA Wednesday 8.13.14 28 At long last export control reform is here! In major changes to International Traffic in Arms (ITAR) and Export Administration Regulations (EAR), the Department of Commerce and State have coordinated their regulatory rulemaking in an effort to place "higher fences around fewer items". They have moved many items off of the United States Munitions List (USML) and on to new sections of the Commerce Control List (CCL). To do this, the USML is being completely overhauled, and changed to a "positive", specification-based list. The CCL is being expanded to accommodate items moving off the USML, with special rules for control of those items moved to the CCL. And, in a separate move, the Department of Energy has proposed harmonizing its rules with those of Commerce and State. Learning Objectives: • Participants will learn about what is migrating from the Munitions List and what major changes have been made to the ITAR. • Participants will learn the rules covering items that have been taken off the Munitions List and placed on the new Commerce "Munitions" List. • Participants will earn about new contract clauses that will impact fundamental research in defense contracts. Prerequisites: Basic knowledge of existing export regulations (ITAR & EAR), and experience reviewing and negotiating contract terms and conditions that affect export determinations. FULL In this discussion group, we will introduce many new and challenging concepts such as "catch and release", and "specially designed", and revised definitions such "defense services" and "use". Understanding these concepts and terms are essential to complying with the new rules. Special attention will be given to new contract clauses and contract requirements which are needed to preserve fundamental research. Participants are invited to share their experiences, issues, and questions with export reform. David Brady*, Director, Export and Secure Research Compliance, Virginia Tech Elizabeth Peloso, Associate Vice Provost/ Associate Vice President, Research Services, University of Pennsylvania No Fee. Pre-registration is required. PROGRAM LEVELS: B – BASIC; I – INTERMEDIATE; A – ADVANCED; O – OVERVIEW; U – UPDATE * Lead presenter Saturday 8.9.14 AGENDA 4:00 – 7:00 PM Saturday 8.9.14 REGISTRATION WELCOME LOUNGE Sunday 8.10.14 Sunday 8.10.14 7:30 AM – 5:00 PM 8:30 PM REGISTRATION PAUL AND TUCKER: AFTER DARK After a delicious dinner, join us for great after dinner conversation with Paul and Tucker. 8:30 AM – 5:00 PM WORKSHOPS Paul Edward Begala is an American political consultant and political commentator. He was an adviser to President Bill Clinton. Begala was a chief strategist for the 1992 Clinton-Gore campaign, which carried 33 states and made Clinton the first Democrat to win the White House in twelve years. As counselor to the President in the Clinton White House, he coordinated policy, politics, and communications. (Additional fee required) NOON – 1:30 PM WORKSHOP LUNCHEON FOR WORKSHOP FULL DAY SESSION PARTICIPANTS, FACULTY AND EVALUATORS 1:00 – 5:00 PM NCURA MARKETPLACE 6:15 – 7:00 PM Tucker Carlson is an American political news correspondent and libertarian conservative commentator for the Fox News Channel. He is cofounder and editor-in-chief of The Daily Caller. He is a senior fellow of the Cato Institute and formerly co-hosted CNN's Crossfire and MSNBC's Tucker. RECEPTION 7:00 PM SUNDAY DINNER 9:00 PM REGIONAL HOSPITALITY SUITES OPEN PROGRAM LEVELS: B – BASIC; I – INTERMEDIATE; A – ADVANCED; O – OVERVIEW; U – UPDATE * Lead presenter 29 56 th 6:15 – 7:15 AM 8:30 – 10:00 AM ANNUAL NCURA FUN RUN ~ POWER WALK MEETING The day will start at 6:15 am at the Hilton’s main PRESENTATION OF THE 2014 OUTSTANDING ACHIEVEMENT IN RESEARCH ADMINISTRATION AWARD AGENDA entrance foyer on the lobby level for stretching. Runners and walkers will then be provided with maps and directions prior to departing the hotel at 6:30 am and returning around 7:15 am with plenty of time left for participants to get ready before the first session. Jamie Caldwell, Loyola University Chicago KEYNOTE ADDRESS 7:30 AM – 5:00 PM AM56 CONCIERGE EXPOSITION 2014 7:30 – 8:15 AM CONTINENTAL BREAKFAST Monday 8.11.14 Dr. Robert M. Sapolsky Dr. Robert M. Sapolsky is an American neuroendocrinologist, professor of biology, neuroscience, and neurosurgery at Stanford University, researcher, author and stress expert. Dr. Sapolsky is a MacArthur “Genius” Fellow, a professor of biology and neurology at Stanford University, and a research associate with the Institute of Primate Research at the National Museum of Kenya. In 2008, National Geographic & PBS aired an hour-long special on stress featuring Dr. Sapolsky and his research on the subject. In addition to A Primate’s Memoir, which won the 2001 Bay Area Book Reviewers Award in nonfiction, Robert Sapolsky has written three other books, including The Trouble with Testosterone, Why Zebras Don’t Get Ulcers, and Monkeyluv and Other Essays on our Lives as Animals. Dr. Sapolsky was awarded Rockefeller University’s Lewis Thomas Prize for Writing about Science for 2008. His articles have appeared in publications such as Discover and The New Yorker, and he writes a biweekly column for the Wall Street Journal entitled “Mind & Matter.” He is currently working on a book to be titled: Human Aggression, Human Compassion And the Ambiguities of Biology. 10:00 – 10:30 AM ~ NETWORKING AND REFRESHMENT BREAK 10:00 – 10:30 AM ~ GET CONNECTED AND GET INVOLVED FAIR! NCURA REGIONS Colleagues from NCURA’s regions will be available to talk with you and answer questions on the front terrace. This is a perfect opportunity to learn about the different facets of NCURA and how to get involved TODAY in your region. Grow your peer network…visit the Get Connected and Get Involved Fair throughout the Conference! 10:00 AM – 5:00 PM ~ NCURA MARKETPLACE 30 PROGRAM LEVELS: B – BASIC; I – INTERMEDIATE; A – ADVANCED; O – OVERVIEW; U – UPDATE * Lead presenter 10:30 AM – NOON ~ SPARK SESSIONS These 15-20 minute, high energy, high deliverable offerings will get right to the good stuff and you will be able to check out multiple topics in each time slot. 10:30 – 10:50 AM BRIDGING THE GAP: CENTRAL ADMINISTRATION AND ACADEMIC DEPARTMENTS WORKING TOGETHER Nicole Hammill*, Coordinator, Grants and Development, Louisiana State University Health Sciences Center New Orleans 11:00 – 11:20 AM TICK-TOCK, EFFECTIVELY MANAGING YOUR TIME Rashonda Harris*, Associate Director, Research Accounting Services, Temple University 11:30 – 11:50 AM HOW TO WRITE AN EFFECTIVE BUDGET Deanna Hendrickson*, Manager, Kennesaw State University AGENDA Monday 8.11.14 10:30 AM – NOON ~ CONCURRENT SESSIONS BIOMEDICAL O CONSTRUCTING MULTI-CENTER TRIALS: A COORDINATING CENTER EMPLOYMENT OF NOVEL THINKING (ACCENT) It seems to be a prerequisite to develop a catchy title that can be turned into an acronym to describe a multi-site trial, but there are many more aspects! Contractual considerations, financial finagling, and political discussions abound. This session will address many of the challenges related to the structuring, proposing, and ramping up over multiple institutions. While focusing on the perspective of the financial/contracting coordinating center, we will walk through reasonable ways to propose financial reimbursement plans across sites, site participation in the proposal process, and approaches to agreements, providing insight to both centers and individual sites participating in trials. Institutional factors play a heavy role behind the scenes, too! Attend and walk through the major issues. Learning Objectives: • Participants will be able to identify potential financial model for proposing and administering multi-site trials. • Participants will understand opportunities to refine development of a trial budget. • Participants will learnto describe approaches to negotiating site reimbursements and invoicing approaches. Valerie L. Stevenson*, Administrative Director, University of Michigan Heather M. Offhaus, Director, Medical School Grant Review & Analysis, University of Michigan-Ann Arbor PROGRAM LEVELS: B – BASIC; I – INTERMEDIATE; A – ADVANCED; O – OVERVIEW; U – UPDATE * Lead presenter 31 56 th 10:30 AM – NOON ~ CONCURRENT SESSIONS (continued) ANNUAL MEETING BIOMEDICAL I MANAGING FACULTY APPOINTMENTS AT ACADEMIC MEDICAL CENTERS AGENDA Monday 8.11.14 Many differences and complexities exist in the administration of research programs in a clinical setting compared with those in a traditional university environment. This session will explore some of these differences and expand on issues related to academic medical centers and clinically based research programs. For example, universities often complain that it is difficult for institutions to account fully for the time spent by physician scientists because the boundaries associated with teaching, research, and patient care are blurred. Moreover, these activities are accounted for differently by specific federal agencies. This session will cover topics such as appointment letters, the definition of institutional base salary, clinical practice plans, affiliated vs. nonaffiliated hospitals, what constitutes 100% effort, distinguishing between clinical effort and clinical trial effort, how to manage effort commitments on K Awards, VA appointments in conjunction with other clinical responsibilities. This session is designed to facilitate dialogue among the participants. CAREER SKILLS/PROFESSIONAL DEVELOPMENT B PRESENTATION AND TRAINING DELIVERY SKILLS: HOW TO ENGAGE YOUR AUDIENCE By delivering presentations we learn more about the subject matter we are presenting and we increase our visibility with our clients, stakeholders and peers. In this session we will focus on reducing presentation anxiety through successful preparation, gaining audience participation, sending the message you want and how to handle difficult participants. CAREER SKILLS/PROFESSIONAL DEVELOPMENT O WORKING WITH MILLENNIAL EMPLOYEES IN CROSS-GENERATIONAL ENVIRONMENTS: TIPS FOR BETTER EMPLOYEE/SUPERVISOR RELATIONS This session will discuss the characteristics of the Millennial Generation and the affects these have on cross-generational work environments. Practical tips for playing to Millennial employees' strengths and how to incorporate them as team members will be presented. 32 Learning Objectives: • Participants will gain knowledge about compensation and effort reporting requirements within academic medical centers and clinically based research programs. • Participants will articulate federal guidance that governs faculty appointments at academic medical centers with a focus on guidance applicable to University-VA joint appointments and how this is implemented at research institutions. • Participants will assist hospital and clinically based administrators in better understanding the administrative and regulatory environments. • Participants will gain a better understanding of what is involved in the management of a comprehensive effort reporting program and provide the opportunity to discuss participant practices and experiences. Prerequisites: Practical experience in managing complex faculty appointments (including practice plans and VA appointments), the research portfolio, and the effort reporting process for physicians and researchers in academic medical centers. Jamie Caldwell*, Director, Office of Research Services, Loyola University Chicago Learning Objectives: • Participants will learn to prepare for a successful presentation. • Participants will use adult learning principles to increase the participation of your audience. • Participants will use their voice, tone, body language to convey the message they want. • Participants will identify tactics for handling difficult participants. Marci Copeland*, Export Control Administrator/ Trainer, University of California - Irvine Samantha Westcott, Manager, Sponsored Projects Team, Children’s Hospital Los Angeles Angie Karchmer, Principal Contract and Grant Officer, University of California-Irvine Learning Objectives: • Participants will learn the characteristics of the Millennial generation. • Participants will learn ways in which these may affect a cross-generational work environment. • Participants will learn how to address these employees needs, play to their strengths and incorporate them successfully into your team. Mandy Funderburk*, Director of Assessment and Academic Services, Presbyterian College Sheila T. Lischwe, Director, Office of Sponsored Programs, Clemson University PROGRAM LEVELS: B – BASIC; I – INTERMEDIATE; A – ADVANCED; O – OVERVIEW; U – UPDATE * Lead presenter 10:30 AM – NOON ~ CONCURRENT SESSIONS (continued) COMPLIANCE B SUBRECIPIENT MONITORING: STRATEGIES FOR MANAGING SUBAWARDS FROM CRADLE TO GRAVE This session will address institutional and Principal Investigator roles and responsibilities to monitor subawards to achieve compliance with Federal laws and regulations, other sponsored provisions and institutional policies that govern the subaward. All stages of the subaward from proposal to award closeout will be covered. Topics to be covered include risk assessment tools, risk management solutions, FCOI, and overall procedures, and process flow. Copies of the University of Minnesota subrecipient risk assessment tools and procedures will be shared. The session will also briefly cover the changes expected under the new Uniform Guidance. DEPARTMENTAL I CAN I CHARGE THAT TO A GRANT? Have you ever wondered if you could charge an item to a sponsored project? This session is designed to assist administrators determine if a proposed expense is allowable or unallowable. We will offer an overview of the cost principles defined by the OMB providing the basis for direct charging to sponsored projects. We will discuss those charges that are normally considered unallowable and what justifications are needed to support their inclusion as an allowable direct cost. FEDERAL U NSF UPDATE This session is a comprehensive review of what is new and developing with the National Science Foundation's programs, policies, people and budgets. Participants will learn about changes affecting their institution and new programs of interest to their researchers. And visit us at the Ask the National Science Foundation booth in the exhibit hall today! Learning Objectives: • Participants will learn how to effectively assess their subrecipients' risk. • Participants will learn strategies to manage issues that arise during the lifecycle of a subaward. • Participants will understand the topics that need to be addressed in their subrecipient monitoring policies and procedures. • Participants will gain insight regarding the new OMB Uniform Guidance related to subrecipient monitoring. AGENDA Monday 8.11.14 Judith A. Krzyzek*, Associate Director, Sponsored Projects Administration, University of Minnesota Andrea Marshall, Senior Grant & Contract Administrator, University of Minnesota-Twin Cities Learning Objectives: • Participants will gain an understanding on why tying expenses to the scope of work is essential when it comes to cost allowability. • Participants will learn how developing good habits will assist in the preparation for audits, especially those where questionable expenses have been charged to your projects. • Participants will gain insight on how to classify expenses as a direct cost or indirect cost based on their usage. Glenda Bullock*, Manager of Business Operations, Washington University in St. Louis Craig A. Reynolds, Associate Director, Office of Research and Sponsored Projects, University of Michigan-Ann Arbor Learning Objectives: • Participants will understand upcoming changes to NSF policies and procedures. • Participants will learn about current and future NSF budgets, agency priorities, and involvement in electronic initiatives including advances with Research.gov. Jean Feldman*, Head, Policy Office, Office of Budget, Finance & Award Management, National Science Foundation PROGRAM LEVELS: B – BASIC; I – INTERMEDIATE; A – ADVANCED; O – OVERVIEW; U – UPDATE * Lead presenter 33 56 th 10:30 AM – NOON ~ CONCURRENT SESSIONS (continued) ANNUAL MEETING FEDERAL U WASHINGTON UPDATE AGENDA Monday 8.11.14 David Kennedy will share an update on the status of the OMB Uniform Guidance and other issues that COGR is currently engaged. Madeline Nykaza will review the status of appropriations bills and provide an update on other legislation of interest to the research community. INTERNATIONAL O LEGAL AND BUSINESS CHALLENGES OF INTERNATIONAL EMPLOYMENT AND TAXATION: HOW TO STAY ON THE RIGHT SIDE OF THE LAW Increasingly universities establish long-term "boots on the ground" operations in foreign countries for purposes of research, technical assistance, or other federally sponsored projects there. This presentation provides an overview of the nuts and bolts of maintaining such operations. We focus on human resources issues arising from sponsored projects performed overseas; topics include immigration and visas for expatriates and third country nationals, foreign employment and labor law, consultants and contractors versus employees, and tax issues that cover personal and organizational incomes taxes for both the US and host country, VAT, custom duties, and when tax and if exemption applies. POST-AWARD A OMB UNIFORM GUIDANCE AND F&A PROPOSALS Are you still wondering what changes in the new Uniform Guidance (OMNI Circular) will affect your F&A proposal? Well don't feel like the Lone Ranger! Come to this session where we will examine the good, the bad and the ugly. We will discuss the critical changes affecting the F&A proposal process, what you need to be aware of, how some institutions are dealing with the changes and what questions still remain. While the focus will be on long form F&A institutions, those using the simplified method (short form) will also benefit from this session. While this is a concurrent session you are strongly encouraged to bring your questions for discussion and feedback. 34 David Kennedy*, Director, Costing Policy, Council on Governmental Relations (COGR) Madeline Nykaza, Legislative Analyst, Congressional and Governmental Affairs, Association of Public and Land-grant Universities Learning Objectives: • Participants will appreciate the unique business and legal challenges of "boots on the ground" operations abroad. • Participants will have an understanding of the requirements involved with international employment for expatriates and third country nationals. • Participants will be given an overview of the various tax obligations for individuals and institutions involved in global and international activities Prerequisites: Minimal international/global experience. Marjorie Forster*, Assistant Vice President for Research and Global Health Initiatives, University of Maryland, Baltimore William Ferreira*, Counsel, Hogan Lovells Bob Lammey, Senior Director, Higher Education and Non-Profits, High Street Partners Learning Objectives: This session will provide insight to the critical changes contained in the new Uniform Guidance (OMNI Circular) that impact the F&A proposal and what institutions need to do to ensure compliance with same. Prerequisites: Good understanding of the current requirements of 2CFR, Part 220 - Cost Principles for Educational Institutions (OMB Circular A-21) and knowledge of your institution's current F&A process. Also, at least a basic familiarity with the changes to the costing principles resulting from the new Guidance. Michael Anthony*, Executive Director, Management Accounting and Analysis, University of Washington Lynn McGinley, Assistant Vice President, Sponsored Projects Accounting and Compliance, University of Maryland, Baltimore Paul Nacon, Senior Director, Huron Consulting Group PROGRAM LEVELS: B – BASIC; I – INTERMEDIATE; A – ADVANCED; O – OVERVIEW; U – UPDATE * Lead presenter 10:30 AM – NOON ~ CONCURRENT SESSIONS (continued) PRE-AWARD A MOVING FROM DOGMATISM TO EMPIRICISM IN CONTRACT NEGOTIATION New negotiators are often trained to spot bad clauses: Product Liability is bad. Publication restrictions are bad. Trade secrets are bad. Etc. This results in a "black or white" approach to contact negotiation, where the negotiator reads through the agreement, identifies the bad clauses, recites standard arguments for the removal of such clauses, and then waits for a response from the sponsor. Advanced negotiators need to develop pathways to more subtle negotiations. We need to ask ourselves whether a copyright indemnity clause will hurt the university in the context of a particular project, and if not, whether we need to waste resources negotiating it out. If it really is important to negotiate it out, the scope-specific context should make our argument all the stronger. If it isn't important to negotiate it out, we should just move on. There's always another contract to read, and we need to avoid spinning our wheels if the clause in question won't have any practical impact on the work we are doing. PRE-AWARD B GIFT VS GRANT - CREATING A WIN/WIN FOR THE UNIVERSITY AND THE FOUNDATION Gifts are defined by the IRS tax code, but how funds received from a charitable organization are administered can sometimes feel like a mystery wrapped in an enigma. Arizona State University and the ASU Foundation launched a pilot to create a win/win scenario for both the University and the Foundation. Learning Objectives: • Participants will discuss a number of examples of where negotiators can move from a more dogmatic to a more flexible approach without exposing their institutions to additional risk. • Participants will consider the development of risk matrices to facilitate good judgment in contract negotiation. • Participants will discuss the challenges of developing “black or white” negotiators into more agile and advanced thinkers. AGENDA Monday 8.11.14 Prerequisites: Participants should be familiar with issues typically addressed in federal and/or industrial contract negotiations. John Hanold*, Interim Director, Office of Sponsored Programs, The Pennsylvania State University Learning Objectives: This session will highlight why the pilot was created, lessons learned and the best practices for implementation. Lisa E. Mosley*, Executive Director, Research Operations, Arizona State University PROGRAM LEVELS: B – BASIC; I – INTERMEDIATE; A – ADVANCED; O – OVERVIEW; U – UPDATE * Lead presenter 35 56 th 10:30 AM – NOON ~ DISCUSSION GROUPS ANNUAL MEETING BIOMEDICAL CONFLICT OF INTEREST IN INVESTIGATOR INITIATED CLINICAL TRIALS: CHALLENGES AND PITFALLS AGENDA Monday 8.11.14 You will never forget the day when you received a phone call from one of your investigators stating, “I would like to initiate a clinical study. What do I need to do?” Well, your summer reading just became 21 CFR, Part 312. So many questions race through your head. What do you mean I am now the Sponsor? What forms are required? Who completes the forms? Why won’t the pharma company indemnify us? What are the risks? Whether you are a veteran research administrator of investigator initiated studies or just received “the call”. Come join us as we discuss our challenges, pitfalls and successes. BIOMEDICAL CONVERSATIONS WITH CLINICAL AND TRANSLATIONAL SCIENCE AWARD (CTSA) INSTITUTIONS Sidnee N. Paschal Young*, Financial Director, Emory University In the absence of the Administration Key Function Committee, this session will provide a forum for CTSA administrators to discuss topics such as: How have you established partnerships with industry? How do you define an investigator for the purpose of support and tracking? How do you address cost allowability? What are your thoughts on the upcoming renewal applications? Other questions and ideas for discussion will be encouraged and welcomed. CAREER SKILLS/PROFESSIONAL DEVELOPMENT STICKING TOGETHER: USING YOUR NETWORK DURING A CAREER TRANSITION As research administrators, we are responsible for helping our PIs and institutions adapt to an ever changing landscape. So where do we turn for support when it is time for us to make changes in our own careers? To each other, of course! Networking is probably the single-most important thing to do when making a career change. Finding the right people with whom to associate is about so much more than finding a new job; it's also about creating a support system. Three research administrators with different backgrounds will share their recent journeys through career transition. They will share how their professional association (NCURA) strengthened their planning process in finding a new path and managing the transition period that followed. 36 Scott B. Davis*, Associate Director, Office of Research Administration, University of Oklahoma Health Sciences Center Learning Objectives: Participants will come away with: • Ability to recognize when it is time to initiate a change. • Strategies for networking with colleagues during a career change. • Creative approaches to making a change. • Advice on preparing for your transition. • Tips for managing the transition to a new role or environment. Robyn Remotigue*, Research Manager, School of Public Health, University of North Texas Health Science Center at Fort Worth Laura Letbetter, Contracting Officer, Georgia Institute of Technology Rosemary Madnick, Director, Office of Grants and Contracts Administration, University of Alaska, Fairbanks Susan Zipkin, Associate Director, Research Operations, Boston Medical Center PROGRAM LEVELS: B – BASIC; I – INTERMEDIATE; A – ADVANCED; O – OVERVIEW; U – UPDATE * Lead presenter 10:30 AM – NOON ~ DISCUSSION GROUPS (continued) COMPLIANCE AUDIT FINDINGS AND CORRECTIVE ACTION Sponsors fund universities, colleges, hospitals, and non-profit organizations to conduct research and advance science. Research funding from sponsors requires all recipients to follow regulations, guidelines, sponsor rules, and best practices With these rules come audit findings from A-133 audits, direct cost audits, and sponsor priority areas for compliance reviews . This session will discuss how to prepare for an audit, the audit methodology, recent audit findings and corrective actions , while providing an opportunity for attendees to bring their own examples and questions relating to audits on our campuses. The session will be interactive and discussion is encouraged to provide guidance to all attendees. DEPARTMENTAL FROM START TO FINISH: HOW TO ASSIST YOUR PI WITH PROPOSAL SUBMISSION? Gregory Antonecchia*, Manager, Grants & Contracts Accounting, Memorial Sloan-Kettering Cancer Center Keith Graff, Director, Health Industries Advisory, PricewaterhouseCoopers, LLP Charlie Tardivo, Principal, Research Administration Consulting Services LLC AGENDA Monday 8.11.14 Gina Concannon*, Assistant Director for Administration, Texas A&M University-Corpus Christi Are you already involved in pre-award research administration, or are you hoping to become more involved in the process? Would you like to identify ways you can support new faculty or senior faculty who are already pros at the proposal submission process. There are a variety of ways you can contribute whether or not you have a technical background or many years of experience. We hope this discussion group will be comprised of both veteran and new departmental and central office administrators in order to foster a dynamic dialogue focusing on how you can help your PI get from point A to point B in submitting a compliant and competitive proposal. FEDERAL DEPARTMENT OF EDUCATION UPDATE The Office of Postsecondary Education (OPE) formulates federal postsecondary education policy and administers programs that address critical national needs in support of our mission to increase access to quality postsecondary education. In addition to managing policy for Federal Student Aid, the grant programs of OPE provide support to postsecondary institutions and other entities; in FY 2014 OPE manages a portfolio of more than 5,000 grants, with over $7.1 billion dollars obligated. This presentation will provide an overview of OPE’s current and new programs, including our First in the World initiative, and will also describe what is known to date about grant opportunities in FY 2015. John Clement*, Division Director, US Department of Education, Office of Postsecondary Education Eileen Bland, Division Director, Undergraduate Studies Division, Student Service, US Department of Education, Office of Postsecondary Education Don Crews, Grants Management Specialist, Strengthening Institutions Division, Institutional Service, US Department of Education, Office of Postsecondary Education Kelly Harris, Senior Program Officer, Fund for the Improvement of Postsecondary Education (FIPSE), US Department of Education, Office of Postsecondary Education PROGRAM LEVELS: B – BASIC; I – INTERMEDIATE; A – ADVANCED; O – OVERVIEW; U – UPDATE * Lead presenter 37 56 th 10:30 AM – NOON ~ DISCUSSION GROUPS (continued) ANNUAL MEETING POST-AWARD FINANCIAL COMPLIANCE STORIES – WHAT WE CAN LEARN FROM EACH OTHER AGENDA In all likelihood all sponsored projects offices have undergone some type of a review, assessment, audit, or examination of research financial compliance. Whether these were conducted by your internal auditor, external/single audit firms, OIG, OMA or agency sponsor it is likely that you and your institution came away with at least one new or enhanced process or procedure that served to improve compliance with the myriad financial requirements of post-award administration. This session is intended to enable participants to share examples of challenges to financial compliance and how these were addressed. Please join us to share how your institution implemented a corrective action or pro-active change in process/procedure that others can l earn from or adapt for themselves. PRE-AWARD Monday 8.11.14 TEAM COLLABORATION IN PROJECT DEVELOPMENT AND PROPOSAL WRITING: CHALLENGES AND SOLUTIONS Proposal writers face numerous challenges whether they are coordinators of their own scientific research or experts in proposal writing services at universities or industry/commercial/ private sector Some common questions are: how do they function, how do their teams work? Is there a "dream team" technique about? We recognize that the writing team is not necessarily the scientific team, though it is increasingly common to have both parties working together. There are numerous models to implement in-house service units as well as external SMEs to develop projects, write funding proposals for clients, support teams. They all need to succeed in: • Finding the right complementary talents to create a new team. • Dealing with existing teams and maximizing their different talents. • Maintaining team commitments and enthusiasm. • Making ends meet in the final phase. • Integrating and disseminating lessons learned. 38 Mary Lee Brown*, Associate Vice President for Audit, Compliance and Privacy, University of Pennsylvania Pamela S. Caudill, Associate Vice President, University of Pennsylvania Participant Benefits: • Will learn about team models. • Will be made more conscious about their own and colleagues' talents. • Will learn how to SWOT with the team talents. • Will be inspired to try something new next time Learning Objectives: • Facilitators will share different team approaches and discuss their benefits and weaknesses. • This session will provide an environment to learn team techniques and how to find appropriate team players that will function as a successful team. Prerequisites: Participants should have been involved in proposal writing or in designing projects at the pre-award phase. Denise Wallen*, Research Officer and Senior Fellow; Research Assistant Professor, University of New Mexico Joseph McNicholas, Director, Office for Research and Sponsored Projects, Loyola Marymount University E. Jacqueline Hinton, Senior Grant & Contract Administrator (GCA), Office of Grant and Contract Services, Northern Arizona University PROGRAM LEVELS: B – BASIC; I – INTERMEDIATE; A – ADVANCED; O – OVERVIEW; U – UPDATE * Lead presenter 10:30 AM – NOON ~ DISCUSSION GROUPS (continued) Suzanne Rocha*, Assistant Director, Research Administration, Tufts University PRE-AWARD LIMITED SUBMISSIONS UNCUT Certain agencies limit the number of proposal submissions allowed from a given institution. Limited submissions are becoming more common as they allow the sponsor, federal or private, to rely on the institution for the first round of proposal review. The discussion for this session will focus on the limited submission process at our different institutions, including internal announcement methods and selection processes, in an effort to identify best practices. PREDOMINANTLY UNDERGRADUATE INSTITUTIONS STIMULATING RESEARCH AND SCHOLARLY ACTIVITY THROUGH FACULTY INCENTIVES It's a common goal for many offices of sponsored programs: to increase the number of applications submitted and the amount of funding received. Join your colleagues in a rich discussion of the combination of faculty incentives – financial, time, human resource, other enforced rewards – that effectively stimulate research and scholarly activity. In this interactive session, you are also encouraged to ask questions, share experiences, and reflect on lessons learned for developing, implementing, managing, and funding faculty incentives. AGENDA Monday 8.11.14 Learning Objectives: • Participants will identify financial and nonfinancial incentives that can be used to stimulate research and scholarly activity among faculty. • Participants will gain insights on strategies for developing and implementing faculty incentives. Jeremy Miner*, Director of Grants and Contracts, University of Wisconsin-Eau Claire 10:30 AM – NOON ~ SENIOR LEVEL DISCUSSION Training and Evaluation of Staff Are you a supervisor, colleague, coach and/or mentor who decides what is needed in order to develop, nurture, and grow staff through training? Do you supervise staff and need to determine how best to evaluate their success? If so, this Senior Forum is for you! We will host an interactive session in which participants will be actively engaged in in-depth discussions on key topics and issues regarding training and evaluating staff. Learning Objectives: • Participants will learn how to create an effective training program. • Participants will have a better understanding of creating pathways for staff development and progress. • Participants will learn what factors impact the success of employee training. • Participants will hear about the role of employees in their own professional development and evaluation. • Participants will be able to determine appropriate and measurable goals to use during the evaluation process. FULL Dennis Paffrath*, Assistant Vice President for Sponsored Programs Administration, University of Maryland, Baltimore Denise Clark, Associate Vice President for Administration and Chief of Staff, Division of Research, University of Maryland, College Park Vivian Holmes, Director, Sponsored Research Operations, Broad Institute of MIT and Harvard No Fee. Pre-registration is required. PROGRAM LEVELS: B – BASIC; I – INTERMEDIATE; A – ADVANCED; O – OVERVIEW; U – UPDATE * Lead presenter 39 56 th ANNUAL MEETING NOON – 1:30 PM ~ LUNCHEON AND PRESENTATION OF NCURA JULIA JACOBSEN DISTINGUISHED SERVICE AWARD RECIPIENTS AND JOSEPH CARRABINO AWARD JOSEPH F. CARRABINO AWARD AGENDA Evelyn Baisey-Thomas Information Technology Specialist National Science Foundation, Emeritus NCURA JULIA JACOBSEN DISTINGUISHED SERVICE AWARD Cynthia Hope Assistant Vice President for Research & Director, Sponsored Programs The University of Alabama Antoinette Lawson Director, Office of Research Administration University of Maryland, College Park Timothy Reuter Director, Post-Award Operations, Office of Sponsored Research Stanford University Monday 8.11.14 Cathy Snyder Dan Nordquist Director, Vanderbilt Costing Activities, Office of Contract and Grant Accounting Vanderbilt University Assistant Vice President/Director, Office of Grant and Research Development Washington State University 1:30 – 2:45 PM ~ SPARK SESSIONS These 15-20 minute, high energy, high deliverable offerings will get right to the good stuff and you will be able to check out multiple topics in each time slot. 40 1:30 – 1:50 PM CULTIVATING RESEARCH: ESTABLISHING A COUNCIL OF PRINCIPAL INVESTIGATORS AND RESEARCH ADMINISTRATORS Gina Concannon*, Assistant Director for Administration, Texas A&M University-Corpus Christi 2:00 – 2:20 PM CONFLICTS OF INTEREST AND COLLABORATIVE SCIENCE Tony Onofrietti*, Director, Research Education, The University of Utah PROGRAM LEVELS: B – BASIC; I – INTERMEDIATE; A – ADVANCED; O – OVERVIEW; U – UPDATE * Lead presenter 1:30 – 2:45 PM ~ CONCURRENT SESSIONS CAREER SKILLS/PROFESSIONAL DEVELOPMENT I PRACTICAL STEPS FOR DESIGNING EFFECTIVE TRAINING & PRESENTATIONS The goal of this session is to enable participants to apply the ADDIE model to design and development effective training workshops and conference presentations. Content includes discussions on when training is or is not the appropriate method to resolve a performance issue, traits of adult learners, steps in developing a workshop/presentation, presentation tips and techniques, and evaluation methods. CAREER SKILLS/PROFESSIONAL DEVELOPMENT B SOCIAL MEDIA AND RESEARCH ADMINISTRATION Social media is as common a communication tool now as email and fax machines and yet, in research administration, the use is limited. If you have felt overwhelmed by how to use it or even if you should use it (or for that matter, how to use it), then this session is for you! Twitter, Facebook, and many other platforms can be powerful tools in the business of research administration. Use them internally for your own professional knowledge and support and/or use them externally to connect with others and gather important information, either way, they can be a valuable part of your communication toolbox (if used appropriately). This is an interactive session so feel free to bring your tech and work along and ask questions. CAREER SKILLS/PROFESSIONAL DEVELOPMENT B MIND MAPPING FOR THE RESEARCH ADMINISTRATOR Have you ever brainstormed a project or had an idea, only to find yourself with pages of information, but no clear view of how it fitted together? This is where mind mapping can help you. Mind mapping is a useful technique that helps you learn more effectively, improves the way you record information, and supports and enhances creative problem solving. A mind map is a graphical way to represent ideas and concepts. It is a visual thinking tool that helps structuring information, helping an individual to better analyze, comprehend, synthesize, recall and generate new ideas. Learning Objectives: • Participants will apply the ADDIE model when creating an instructional workshop. • Participants will write clear learning goals & objectives. • Participants will learn tips about instructional and presentation skills. • Participants will identify & select instructional techniques and activities. • Participants will identify evaluation techniques and use of results. AGENDA Monday 8.11.14 Jo Ann Smith*, Director, Graduate Programs in Research Administration, University of Central Florida Learning Objectives: • Participants will understand how to search for what you need (@ signs and # hastags). • Participants will "pull" information from agencies, nonprofit, industry to know what is going on in general. • Participants will "push" information out to your constituents and campus. • Participants will search specific keywords for targeted searches. • Participants will network with other Research Administrators. Prerequisites: Attendees should have access to either a Twitter or Facebook account and already have had some exposure to social media, however, newbies to social media are welcome to attend too. Jeanne M. Viviani*, Director, Research Programs And Services, New College of Florida David Ngo, Assistant Vice President of Sponsored Projects Administration, University of Texas Southwestern Medical Center Learning Objectives: • Participants will be able to quickly identify and understand the structure of the project, idea and or concept. • Participants will be able to see the way pieces of information fit together, as well as record the information in a visual format. Rosemary Madnick*, Director, Office of Grants and Contracts Administration, University of Alaska, Fairbanks Andrew M. Gray, Director, Office of Sponsored Programs, University of Alaska, Fairbanks PROGRAM LEVELS: B – BASIC; I – INTERMEDIATE; A – ADVANCED; O – OVERVIEW; U – UPDATE * Lead presenter 41 56 th 1:30 – 2:45 PM ~ CONCURRENT SESSIONS (continued) ANNUAL MEETING COMPLIANCE I EDUCATING AND TRAINING YOUR UNIVERSITY AGENDA Monday 8.11.14 Training is often viewed as critically important…..as long as it doesn’t interrupt our day jobs. The problem we encounter is that we are ALWAYS busy with other work, which makes it difficult to find the time to be trained. However, training is not only a key element of enforcing compliance; it is also an ongoing effort that will help to make us much more knowledgeable, efficient, and respected at our jobs. This session will cover the basics of training at a higher education institution, including the rationale behind training, how you can promote it where you work, and training on specific research administration and costing topics. FEDERAL U NSF PROPOSAL PREPARATION: THE GOOD, THE BAD, AND THE UGLY This session will provide everything you need to know about preparing and submitting a proposal to the National Science Foundation. Learn about the different types of funding opportunities that NSF employs, where to find the relevant policies governing proposal preparation, merit review, and special guidelines for other topical areas such as conference proposals and RAPID and EAGER proposals. INTERNATIONAL O EXPORT COMPLIANCE IN GLOBAL COLLABORATIONS International research collaborations can be complicated depending on the type of research and the parties involved. This session will review the complexities that result from university multiparty collaborations and global export compliance regulations. It is not just the United States that has export control and import regulations and requirements! Understanding these complexities and being able to forecast them will help you prevent unnecessary delays, unforeseen costs, export violations and other hurdles that can interfere with your international partner's participation and devastate your research project. What effect can embargoes and sanctions, anti-boycott regulations, International Traffic In Arms Regulations, U.S. Commerce regulations, U.S. Customs regulations have on your international collaborations? Learn how to read the international landscape, find the hurdles and help your PI go into the collaboration fully aware of the responsibilities and cost of doing business outside the United States. 42 Learning Objectives: • Participants will be able to articulate why training is important for achieving compliance. • Participants will learn about the different methods of training available at universities and how to use them. • Participants will learn more about specific topics where training is needed from a research compliance perspective. Josh Rosenberg, Director, Cost Studies, Emory University Demetrice Bryant, Director of Training and Communications, Emory University Learning Objectives: • Participants will understand what to look for in an NSF funding announcement. • Participants will know what is required as part of an NSF proposal. Jean Feldman*, Head, Policy Office, Office of Budget, Finance & Award Management, National Science Foundation Learning Objectives: • Participants will discuss different international collaboration scenarios and lessons learned, and benefit from the experience of others • Participants will discuss solutions for handling potential issues brought about by the challenges of U.S. and global export compliance regulations that may affect your project. Adilia Koch*, Director of Export Compliance, California Institute of Technology Elizabeth Peloso, Associate Vice Provost/ Associate Vice President, Research Services, University of Pennsylvania PROGRAM LEVELS: B – BASIC; I – INTERMEDIATE; A – ADVANCED; O – OVERVIEW; U – UPDATE * Lead presenter 1:30 – 2:45 PM ~ CONCURRENT SESSIONS (continued) POST-AWARD B YOURS, MINE, AND OURS: THE COST SHARING LIFE CYCLE Cost sharing is a binding commitment that a Principal Investigator puts an university into, either by responding to a program solicitation that requires university commitment or by voluntarily offering in un-solicited grant proposal. In some schools cost sharing commitment requires a Dean, Division Chair or Provost's approval, while in many other schools, where in absence of a written policy, these binding commitments go under the radar of the Academic Departments. Fulfilling the cost sharing commitments require involvement at many levels-the Principal Investigator, department administrator, pre and post award offices and sponsoring agency. We will discuss how by getting involved right from the very beginning may help the university stay compliant with Federal requirements and keep the auditors at bay. POST-AWARD A SERVICE CENTERS: ADVANCED COST ANALYSIS TECHNIQUES A Service Center Cost Analysis is a key operational and compliance requirement to set rates in compliance with federal costing regulations. The elements of a good cost analysis are more than coming up with budget. This session will dive into advanced cost analysis issues focusing on analyzing costs, usage volume, and market factors, while documenting your assumptions and operational constraints. The session will use real data in a live cost analysis model to demonstrate the techniques presented. PRE-AWARD B BUDGETING 101 This session will lay the basic framework for budgeting in sponsored programs. It is intended that this session will be somewhat interactive and the participants will be given the opportunity to build budgets themselves, running some quick numbers through handheld calculators that will be available for participants to use. Learning Objectives: • Participants will understand what constitutes cost sharing. • Participants will acquire an understanding of the applicable federal policies, including expectations for reporting and record keeping. • Participants will learn different methods for capturing, tracking and reporting cost sharing. AGENDA Monday 8.11.14 Prerequisites: Pre-award and/or post-award intermediate level personnel or those reexamining cost sharing policies and practices at their institution. Urmila Bajaj*, Director of Project Accounting, California Institute of Technology Randi Wasik, Director of Administration and Finance, University of Washington Learning Objectives: • Participants will gain a command of advanced costing strategies. • Participants will learn proper elements to a cost analysis. • Participants will learn techniques to properly estimate costs. Prerequisites: • Working knowledge of Cost Accounting Standards. • Service Center requirements from OMB Circular A-21, A-122, or Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards (§ 200.468). Martin B. Smith*, Manager, Higher Education and Academic Medical Centers, Attain, LLC Andres Chan, Director, Office of Financial Analysis, University of Southern California Learning Objectives: • Participants will learn about A-21 general costing principles. • Participants will learn about direct vs. indirect costs. • Participants will learn about mechanics of building a budget, with special attention to be paid to the various bases used for F&A calculations and sponsor limitations on F&A. • Participants will learn about tips and tricks for common budgeting problems. Carly Cummings*, Assistant to the Dean Research, Mississippi State University PROGRAM LEVELS: B – BASIC; I – INTERMEDIATE; A – ADVANCED; O – OVERVIEW; U – UPDATE * Lead presenter 43 56 th 1:30 – 2:45 PM ~ CONCURRENT SESSIONS (continued) ANNUAL MEETING PREDOMINANTLY UNDERGRADUATE INSTITUTIONS I POST-AWARD MANAGEMENT: RISK ANALYSIS AND GETTING THROUGH AUDITS AT SMALL INSTITUTIONS AGENDA Monday 8.11.14 In this session, we will present strategies, tips and best practices for small institutions to manage the audit process. Emphasis will be on audit preparation strategies, how to respond to and implement recommendations, and best practices for addressing findings. We will also touch on approaches to assess and control for audit risks. • The purpose and nature of audit. • Audit preparation strategies and best practices for follow up. • Approaches for on-going monitoring and risk analysis. • Tools for effective risk analysis and mitigation. Alison Sanders*, Director, Research and Sponsored Programs, San Francisco State University Marisa Zuskar, Manager, Huron Consulting Group Jeffrey Wilson, Director, Sponsored Programs, Sonoma State University 1:30 – 2:45 PM ~ DISCUSSION GROUPS CAREER SKILLS/PROFESSIONAL DEVELOPMENT INTERNAL AND EXTERNAL RESEARCH MARKETING Creative ways to communicate internal and external research possibilities from both centralized and decentralized perspectives and how the two are married to ultimately grow research at your institution. COMPLIANCE A VACATION FROM THE GRAY AREA OF FINANCIAL COMPLIANCE Pack your bags; you are now an express trip to the land of black and white! Compliance is often defined as being one big gray area and we, as research administrators, need to take time to step back and place our issues in the black and white. In this session, we will discuss financial compliance issues brought about by the participants and then vote as a group to place the issues in the black or white. If you ever wish you had a room full of research administrators to help you with a pressing issue that you just can't seem to come to a final conclusion on, then this session is for you! DEPARTMENTAL Follow-up to Concurrent Session: Can I Charge that to a Grant, held at 10:30 am CAN I CHARGE THAT TO A GRANT? This follow up discussion of "Can I Charge that to a Grant" will discuss specific items normally denied on sponsored projects and what could possibly be done to change the designation to an allowable costs. We will discuss cost benefit allocations and some standard justification language that may assist administrators with direct vs. indirect charging issues. 44 Learning Objectives: This session will build participants understanding of: Erica Gambrell*, Coordinator of Research Services, University of Alabama Kirsten Yehl, Administrative Director, Northwestern University Learning Objectives: Participants will receive live financial compliance support by the group on their gray area issue. Each issue will have a live "black" or "white" vote a the conclusion of each issue discussed so that each gray area issue is assigned a final answer. Prerequisites: Participants should bring a gray area issue to submit anonymously to the group at the start of the session. Rashonda Harris*, Associate Director, Research Accounting Services, Temple University Albana Cejne, Associate Director, Research Accounting Services, Temple University Glenda Bullock*, Manager of Business Operations, Washington University in St. Louis Craig A. Reynolds, Associate Director, Office of Research and Sponsored Projects, University of Michigan-Ann Arbor PROGRAM LEVELS: B – BASIC; I – INTERMEDIATE; A – ADVANCED; O – OVERVIEW; U – UPDATE * Lead presenter 1:30 – 2:45 PM ~ DISCUSSION GROUPS (continued) FEDERAL USAID: ISSUES WITH UNIVERSITY SPONSORED PROJECTS Lealie Perry*, United States Agency for International Development The U.S. Agency for International Development (USAID) is THE funding agency for development projects abroad. Join us for a discussion on doing business with USAID, the ins and outs from 'cradle to grave'. Learn more about the USAID resources available to both the seasoned USAID contractor, and the organization that is looking to respond to a RFP/RFA for the very first time. Also learn more about other types of funding mechanisms that is available to you. Bring your questions to the table and let's talk about it. Before joining the discussion, please visit USAID's website at: www.usaid.gov, and select the link "Work with USAID". INTERNATIONAL DEVELOPING RESEARCH MANAGEMENT LEADERS FOR A GLOBAL RESEARCH ENVIRONMENT – INTERACTIVE BRAINSTORMING FORMAT How does one define global research? What role should research managers play in improving collaboration across global research? What are the most likely changes to the global research environment? What is expected of a leader in this field? These questions and more will be discussed in this interactive and structured session. INTERNATIONAL NCURA’S INTERNATIONAL REGION: OPPORTUNITIES THAT CAN PUT YOU IN THE SPOTLIGHT AND ENHANCE YOUR CAREER How can chairing or serving on a volunteer committee move you up the career ladder? Join this discussion group to learn about volunteerism and how your US colleagues use opportunities in their professional society to highlight their leadership ability, expand their professional network, and grow their reputation as a subject matter expert. Learn the best ways in which to make your institution aware of your acknowledged expertise and how your connections with colleagues from around the world can help them grow their own reputation. AGENDA Monday 8.11.14 Learning Objectives: • Participants will learn more about the nature of global research and its future implications for supporting grants. • Participants will have at least 2 take home messages about the importance and significance of global research. Prerequisites: Participants should have at least 5 years experience in Research Management (pre- or post award) and some (but not necessarily extensive) experience of funding outside the US. David Lauder, European Research Project Manager, University of York Denise Wallen*, Research Officer, College of Education, Research Assistant Professor, Language, Literacy & Sociocultural Studies, Research Officer/Senior Fellow, RWJF Center for Health Policy, The University of New Mexico Eva Björndal, Team Leader, Post-Contract and Financial Compliance Grants Office, Karolinska Institutet Jesse Szeto, Senior Manager, NCURA Global, National Council of University Research Administrators PROGRAM LEVELS: B – BASIC; I – INTERMEDIATE; A – ADVANCED; O – OVERVIEW; U – UPDATE * Lead presenter 45 56 th 1:30 – 2:45 PM ~ DISCUSSION GROUPS (continued) ANNUAL MEETING POST-AWARD OMB UNIFORM GUIDANCE: ADVANCED TOPICS AND DISCUSSION AGENDA This will be a discussion and Q&A on the status of specific and technical aspects of the OMB Uniform Guidance implementation. The discussion leader will have minimal prepared comments and the focus will be on questions and issues raised by the participants. PRE-AWARD Follow-up to Concurrent Session: Advanced Topics in Contract Negotiations, held at 10:30 am John Hanold*, Interim Director, Office of Sponsored Programs, The Pennsylvania State University ADVANCED TOPICS IN CONTRACT NEGOTIATIONS PREDOMINANTLY UNDERGRADUATE INSTITUTIONS CREATING A CULTURE OF COMPLIANCE: MANAGING RESEARCH DEVELOPMENT AND COMPLIANCE FUNCTIONS IN THE SAME OFFICE Monday 8.11.14 David Kennedy*, Council on Governmental Relations (COGR), Director, Costing Policy Research Administrators at PUIs are tasked with driving the research enterprise on campus through "soft skills" while introducing and maintaining strict compliance requirements mandated by federal regulations. How to balance the two is increasingly challenging, especially given the human and financial resources allocated to their small offices. The presentation will address specifically how to manage and motivate faculty toward greater grant productivity and concurrently identify workflow to meet compliance regulations that may be perceived by faculty as an undue burden. Learning Objectives • Participants will understand how to use research administration methods to promote a compliance oriented campus. • Participants will understand how to inform or train faculty of the compliance process • Participants will learn how to manage different compliance processes using multiple personnel in the sponsored research office. Prerequisites: Knowledge of research administration compliance. Delia Gallinaro*, Executive Director, Sam Houston State University From a management point of view, this presentation will address: • How staff resources can be allocated to meet dual entrepreneurial and regulatory needs. • The sponsored office's chain of command for keeping up with the new and more complex government concerns regarding scientific oversight, industry-academic partnerships, research objectivity and institutional integrity. • How to create efficient compliance delivery systems in a cost effective manner. • Winning over faculty through customer service and training. • Creating areas of responsibilities that enhance institutional efficiencies. • Advocating for additional compliance-specific financial resources with upper administration. • Problem solving faculty compliance issues while separating research interests that may benefit the university. • Other issues specific to PUIs that promote a culture of compliance. 46 PROGRAM LEVELS: B – BASIC; I – INTERMEDIATE; A – ADVANCED; O – OVERVIEW; U – UPDATE * Lead presenter 1:30 – 2:45 PM ~ SENIOR LEVEL DISCUSSION CARBON AND SILICONE: INFORMATION SYSTEMS AND THE SENIOR RESEARCH ADMINISTRATOR This session will target the Senior Research Administrator interested in how best to leverage information technology to improve research administration operations. The discussion will include panelists from two separate institutions along with a Director from Huron's Higher Education Technology practice. Each panelist has been focused in some capacity on bringing value to research operations and their research community through the implementation of technology. We will explore such question and topic as: Learning Objectives: This session is to provide the audience with: • A clearer picture of what types of technologies and implementation projects have proven be the most impactful • Insight on lessons learned through experience • Perspective on how best to succeed on improving operations through the use of technology. AGENDA Monday 8.11.14 FULL • Areas of challenge implementing technology • Identifying the type of technology and/or implementation that has had the most value to organizations. • Key lessons learned through past projects • The road ahead. Phil Infurna*, Director, Huron Consulting Group Diane Baldwin, Assistant Vice President, Sponsored Programs, Boston University Marcia Smith, Associate Vice Chancellor, Research Administration, University of California-Los Angeles No Fee. Pre-registration is required. 2:45 – 3:00 PM ~ NETWORKING AND REFRESHMENT BREAK 3:00 – 3:45 PM • REGIONAL BUSINESS MEETINGS Open to all Annual Meeting participants, and led by the Region’s chairperson, the Regional Business Meetings introduce current and incoming officers, describe ongoing initiatives and provide information on the regional meetings and how you can get involved in your region! REGION I, NEW ENGLAND REGION V, SOUTHWESTERN (Connecticut, Maine, Massachusetts, New Hampshire, Rhode Island, Vermont) (Oklahoma, Texas) REGION II, MID-ATLANTIC (Delaware, Maryland, New Jersey, New York, Pennsylvania, Washington, D.C., West Virginia) REGION III, SOUTHEASTERN (Alabama, Arkansas, Florida, Georgia, Kentucky, Louisiana, Mississippi, North Carolina, Puerto Rico, South Carolina, Tennessee, Virgin Islands, Virginia) REGION VI, WESTERN (Alaska, California, Hawaii, Nevada, Oregon, Washington) REGION VII, ROCKY MOUNTAIN (Arizona, Colorado, Idaho, Montana, New Mexico, Utah, Wyoming) REGION VIII, INTERNATIONAL REGION REGION IV, MID-AMERICA (Illinois, Indiana, Iowa, Kansas, Michigan, Minnesota, Missouri, Nebraska, North Dakota, Ohio, South Dakota, Wisconsin) PROGRAM LEVELS: B – BASIC; I – INTERMEDIATE; A – ADVANCED; O – OVERVIEW; U – UPDATE * Lead presenter 47 56 th 3:45 – 4:00 PM ~ NETWORKING AND REFRESHMENT BREAK ANNUAL MEETING 4:00 – 5:00 PM ~ SPARK SESSIONS These 15-20 minute, high energy, high deliverable offerings will get right to the good stuff and you will be able to check out multiple topics in each time slot. AGENDA Monday 8.11.14 4:00 – 4:20 PM HOW TO MANAGE A BUDGET Deanna Hendrickson*, Manager, Kennesaw State University 4:30 – 4:50 PM GENERAL GUIDANCE IN WRITING A STATEMENT OF WORK Lucien Finley*, Assistant Director, Sponsored Projects, The University of Texas at Dallas 4:00 – 5:00 PM ~ CONCURRENT SESSIONS BIOMEDICAL O EFFECTIVE PROPOSAL DEVELOPMENT FOR HOSPITALS AND ACADEMIC MEDICAL CENTERS The multi-faceted demands placed on researchers at academic medical centers and hospitals present unique challenges for faculty, administrators, and their institutions. Planning is key to successful proposal development in this arena. In this overview session we will discuss strategies to keep the proposal process on track. Key topics will include communicating roles and responsibilities, identifying and addressing bottlenecks, and successful timeline development. BIOMEDICAL O TIME MANAGEMENT FOR THE BIOMEDICAL RESEARCH ADMINISTRATOR We work in a fast paced environment with competing demands for our time and energy. At Any given moment we may have to redirect our energies due to an urgent demand. We have to manage demands from multiple sources and requiring divergent knowledge sets. Stress can be almost crippling if we fall prey to those who demand our talents and do not manage both them and ourselves. Time management skills are necessary tools for our individual toolkits to help maintain calm, increase energy, meet and exceed any goals and objectives and keep forward momentum. 48 Learning Objectives: • Participants will learn strategies to plan and manage proposal preparation and submission. • Participants will gain an understanding of potential barriers to success and how to manage these barriers. • Participants will learn how to effectively communicate guidelines and deadlines. • Participants will learn various helpful tips to aid in preparing and submitting proposals. Jane Tolbert*, Administrator, University of Rochester Lynette Nelson, Supervisor, St Jude Children's Research Hospital Learning Objectives: • Participants will be shown different methodologies for time management. • Participants will examine steps and techniques that can help you maintain or regain control of your time. • Participants will also examine how you can manage your interactions with your staff and others. • Participants will discuss the physical impact of time management – understanding your personal energy levels and the need to factoring this into your daily map. Randi Wasik*, Director of Administration and Finance, University of Washington Julie Guggino, Director, Research & Sponsored Programs, Central Washington University PROGRAM LEVELS: B – BASIC; I – INTERMEDIATE; A – ADVANCED; O – OVERVIEW; U – UPDATE * Lead presenter 4:00 – 5:00 PM ~ CONCURRENT SESSIONS (continued) CAREER SKILLS/PROFESSIONAL DEVELOPMENT A "HOW MAY I SERVE YOU?" CHANGING THE FOCUS FROM SERVICE TO PROFESSION We, research administrators, pride ourselves in being professionals. We gather to improve ourselves, expand our knowledgebase and to promote our profession. Often times, we focus on the service component of our profession with job descriptions seeking "service oriented" "customer focused" "client-driven" staff that also happens to know how to deal with the complexities of our industry. Learning Objectives: This session seeks to open a dialogue with Senior Research Administrators on addressing the merits of bringing the professional expertise and the dedication to the field of research administration to the forefront. AGENDA Monday 8.11.14 Shella Batelman*, Senior Grant Administrator, Suffolk University Pam B. Whitlock, Director, Office of Sponsored Programs, University of North Carolina at Wilmington (Emeritus) Samantha J. Westcott, Manager, Sponsored Projects Team, Children’s Hospital Los Angeles While no one wants a team of people unwilling to be helpful, it is our knowledge, experience, and professional skills that our institutions rely upon. Emphasis on professionalism rather than "servicing" might strengthen our position within the institutional hierarchy and consequently enhance our ability to perform at the highest level of excellence with a greater professional satisfaction. CAREER SKILLS/PROFESSIONAL DEVELOPMENT O EMBRACING CHAOS, CHANGE, CUSTOMER SERVICE & COMPLIANCE: BUILDING INTEGRATED TEAMS AT HOME AND ABROAD Research Administration, whether you work in a central office or a department sometimes feels chaotic. Changes both internal and external require administrators and teams to be adaptable yet remain compliant. Demand for "better" customer service seems to increase when the chaos seems to be growing. Balancing this chaos requires vigilance and flexibility by the administrator and the team. This session will explore tips and techniques for building flexible integrated teams with the goal of breaking down the internal and external silos which hamper flexibility and slow down change. LEARNING OBJECTIVES: • Participants will gain an understanding of the importance of a team approach to problem solving in the context of research administration. • Participants will develop strategies for building successful teams. • Participants will begin to recognize potential pitfalls to be encountered during implementation. Patrick Medina*, Director of Grants and Contract Services, Research and Sponsored Programs, University of Wisconsin-Madison Bonniejean Zitske, Managing Officer, Research and Sponsored Programs, University of Wisconsin-Madison PROGRAM LEVELS: B – BASIC; I – INTERMEDIATE; A – ADVANCED; O – OVERVIEW; U – UPDATE * Lead presenter 49 56 th 4:00 – 5:00 PM ~ CONCURRENT SESSIONS (continued) ANNUAL MEETING COMPLIANCE A USING YOUR ELECTRONIC SYSTEMS TO ASSIST IN FINANCIAL COMPLIANCE MANAGEMENT AGENDA Monday 8.11.14 Using electronic systems and spreadsheets to efficiently and effectively manage the financial reporting process and the closeout process for sponsored research. Use of Metric Reports to measure performance on meeting sponsor requirements and performance accountability from a central perspective. COMPLIANCE I GRANT ACCOUNTING ISSUES IMPACTING PROPER AWARD CLOSEOUTS The grant accounting operation exposes the institution to considerable risk. At year-end, the fund balances may be telling a story that is not being acted on. Important functions such as billing, cash application, and closeouts are critical to the compliance success of the institution. Oftentimes, the focus of compliance is on the day-to-day transactions; however, the actual accounting for those transactions and subsequent billing and closeout expose the institution to the most risk. All of these issues impact proper closeout of awards. This session will demonstrate how front-end financial transactions make the back-end closeout an arduous task. The institution is exposed to cash flow issues and financial compliance risks when closeouts are not performed properly. DEPARTMENTAL B OFFICE POLITICS: TAMING THE 800 POUND GORILLA IN THE ROOM Politics exists in every organization and at every level. It is inescapable. It is a game we all must play in order to be successful and get "stuff" done. By being political savvy you can gain access to resources, information, and control outcomes. It also allows you to build stronger relationships with your investigators, your boss, and become more effective. Learning Objectives: Instead of being frustrated with sponsored research electronic systems, learn how to work with them to create efficiencies, metrics and compliance transparencies. Prerequisites: General knowledge of financial post award sponsor requirements and related compliance issues. Evelyn Balabis*, Director, Post Award Administration, Emory University Nadia Kiklio, Manager, Attain, LLC Melissa Kuskie, Sponsored Research Financial Analyst, Emory University Learning Objectives: • Participants will be able to identify the source of issues impacting proper award closeout. • Participants will learn strategies to remedy the financial compliance issues. • Participants will see a demonstration of the General Ledger Balance Sheet and Income Statement Accounts that require ongoing reconciliation. Prerequisites: • Interest in grant accounting and its impact on financial operations. • A basic understanding of key accounting terms such as "accruals", "cash basis", "balance sheet accounts", "income statement accounts", "deferred revenue", and "revenue recognition". Martin B. Smith*, Manager, Higher Education and Academic Medical Centers, Attain, LLC Mark C. Davis, Vice President & Partner, Higher Education and Academic Medical Centers, Attain, LLC Learning Objectives: • Participants will understand the importance of building relationships and establishing a personal power base in order to better perform your work. • Participants will understand how power and influence are related to communication, negotiation and conflict resolution, and organizational culture. • Participants will be able to identify the elements of managing yourself and others. • Participants will develop political awareness of the opportunities and pitfalls that affect our overall success as a manager and leader. Dwayne Lehman*, Research Administrator, Carnegie Mellon University Dennis J. Paffrath, Assistant Vice President for Sponsored Programs Administration, University of Maryland, Baltimore 50 PROGRAM LEVELS: B – BASIC; I – INTERMEDIATE; A – ADVANCED; O – OVERVIEW; U – UPDATE * Lead presenter 4:00 – 5:00 PM ~ CONCURRENT SESSIONS (continued) DEPARTMENTAL A COST TRANSFERS FOR THE DEPARTMENTAL ADMINISTRATOR: A NECESSARY EVIL What are some best practices to avoid cost transfers? When a cost transfer is necessary, what documentation is required? This session will address the key issues departmental administrators face concerning cost transfers and the impact of non-compliance. This session is interactive. The presenters will share real life examples and encourage participants to do the same. FEDERAL U INSTITUTIONAL EFFORTS TO REDUCE ADMINISTRATIVE BURDENS ON FACULTY Learning Objectives: • Participants will understand the responsibilities of the PI, DRA and Central Administration in the area of cost transfers. • Participants will understand the compliance requirements for payroll and non-payroll cost transfers. • Participants will share best practices for minimizing cost transfers. AGENDA Monday 8.11.14 Debra Murray*, Director, Sponsored Projects Financial Operations, Georgetown University Janice Oakley, Manager, Office of Contract & Grant Accounting, University of Maryland, College Park Jamie Szabo, Senior Fiscal Analyst, PostAward, University of Missouri-Columbia Jim Luther*, Associate Vice President, Research Cost Compliance, Duke University Faculty administrative burden continues to be identified as a significant issue facing institutions. Research administrators and institutional leadership are committed to addressing but increasing regulatory burden and significant change driven by events such as the Uniform Guidance, make it a challenge. In this session, we will focus on the recent enforcement by several agencies on closeout reporting requirements (all financial and programmatic reports are due within 90 days after the end of the award) and how one university is revising/creating policies, developing technology solutions, and implementing training and monitoring to respond to the impending enforcement. The eRAD Closeout Project Team, and associated Departmental Implementation Teams, are focused on removing barriers to the closeout process and providing improved service to faculty throughout the life-cycle of the award. INTERNATIONAL O INTELLECTUAL PROPERTY CHALLENGES IN GLOBALLY SPONSORED RESEARCH Globalization of research brings about enhanced challenges when negotiating disposition of rights to intellectual property in research agreements. Not only are the governing laws and associated regulations differ by country, but also the diverse cultures of the research sponsors outside of the U.S. affect their expectations and therefore the terms and Learning Objectives: • Participants will understand the basic differentiating issues in regard to intellectual property in global research agreements. • Participants will be briefed on the primary considerations when entering into research agreements with foreign industrial sponsors. • Participants will gain an understanding of how the European Commission works with intellectual property in international research projects related to FP7 and the Horizon 2020 research and innovation programme. > continued on next page PROGRAM LEVELS: B – BASIC; I – INTERMEDIATE; A – ADVANCED; O – OVERVIEW; U – UPDATE * Lead presenter 51 56 th 4:00 – 5:00 PM ~ CONCURRENT SESSIONS (continued) ANNUAL MEETING INTERNATIONAL O INTELLECTUAL PROPERTY CHALLENGES IN GLOBALLY SPONSORED RESEARCH (CONTINUED) AGENDA Monday 8.11.14 conditions of the award. While there is a shared aim for discovery, dissemination, and application of knowledge, the strategies to accomplish this may vary greatly. POST-AWARD I MANAGING A LARGE AUDIT OR INVESTIGATION Any audit can present challenges. Audits are time consuming, can present financial and reputational risk, any may disrupt your funding stream. A large audit or investigation is all that and more, requiring extra steps to manage resources and best position your institution for an accurate review. We will emphasize the federal audit process, and focus on specific audits in which we have participated. PRE-AWARD O LARGE RESEARCH PROPOSALS AND THE PROCESS FOR SUCCESSFUL PROPOSALS Penn State is doing a survey on "Large Proposals" and whether coordination through specific "Large Proposal Office" is a more effective and successful structure than an informal structure in the Pre-Award office. They would plan to discuss the survey at the meeting and possibly share preliminary results from pilot groups. PREDOMINANTLY UNDERGRADUATE INSTITUTIONS B UNDERGRADUATE RESEARCH FUNDING SOURCES AT A PUI This session will cover internal and external ways to promote and support undergraduate research at PUIs (Predominantly Undergraduate Institutions) and ERIs (Emerging Research Institutions). Carolyn Elliott-Farino, the Executive Director of the Office of Research at Kennesaw State University, will provide the PUI perspective, while Tricia Callahan, Director of Proposal Development at Miami University, will talk from the ERI perspective. Some of the better known external sources to support undergraduate research (such as NSF's RUI grant and NIH's AREA grant) will be covered in depth. Also covered will be some lesser known funding sources as well as ways to support undergraduate research internally. 52 Alexandra McKeown*, Associate Vice Provost for Research Administration, The Johns Hopkins University Troels Jacobsen, Director of Research, Research and Innovation Department, University of Stavanger, President of Norwegian Association for Research Managers and Administrators (NARMA) George McGuire, Member, Chairman Intellectual Property Group, Bond, Schoeneck & King, PLLC Gregory Slack, Director of Research and Technology Transfer, Clarkson University Learning Objectives: This session will assist you in establishing a framework to manage a large audit or investigation. Prerequisites: Attendees should have hands-on experience with one or more audits. Jeffrey Silber*, Senior Director, Sponsored Financial Services, Cornell University Leslie L. Schmidt, Assistant Vice President for Research, Office of Sponsored Programs, Montana State University Learning Objectives: The session will discuss best practices for larger, complex proposal preparation. Matthew J. Faris*, Director, Huron Consulting Group Learning Objectives: • Participants will be able to identify external sources of funding specific to PUIs and ERIs. • Participants will be able to interpret and apply the RUI and AREA grant mechanisms. • Participants will have the opportunity to share what they are doing in terms of supporting undergraduate research at their institutions. Carolyn Elliott-Farino*, Director, Contracts and Grants Administration, Kennesaw State University Tricia Callahan, Director, Proposal Development, Miami University PROGRAM LEVELS: B – BASIC; I – INTERMEDIATE; A – ADVANCED; O – OVERVIEW; U – UPDATE * Lead presenter 4:00 – 5:00 PM ~ DISCUSSION GROUPS BIOMEDICAL MULTIPLE CAMPUS COLLABORATIONS/ BIOMEDICAL AND THE COLLEGE OF ARTS AND SCIENCES Wayne Brown*, Director of Finance, Rutgers, The State University of New Jersey AGENDA Monday 8.11.14 How can universities inspire researchers to work with their College of Arts and Sciences to cultivate collaborations with various discipline on Campus? With the growing demand to bring in research dollars, it is vital that The College of Arts and Sciences work with researchers to find innovative research ideas from multiple campus sources. What are our challenges? Why is this necessary? Is it possible to unite multiple campus units and the College of Arts and Sciences? CAREER SKILLS/PROFESSIONAL DEVELOPMENT IS A CERTIFICATION PROGRAM RIGHT FOR MY INSTITUTION? It seems that creating certifications programs or revamping current ones is the new "norm" in research administration. While many institutions are trying to jump on board before getting left behind, there are numerous things to consider before taking that initial plunge. This will be an interactive session in which the presenters will share experiences and best practices from their institutions, as well as solicit feedback from attendees to address issues of concern, burning questions, and general advice related to this topic. COMPLIANCE ALLOWABILITY OF COSTS - MANAGING COMPLIANCE WITH COST STANDARDS Anthony Ventimiglia*, Associate Director, Auburn University Vicki Krell, Assistant Director, Research Advancement, Arizona State University Main Bob Andresen*, Director of Research Financial Services, University of Wisconsin Every day we are asked the question: “Can I charge this to my grant?” and every day we answer: “It depends.” How do we keep track of those expenses that we said are OK to direct charge and how do we catch those questionable expenses that try to sneak through? Join this discussion to share your questions and ideas on how to identify those expenses that raise red flags with the sponsor and the auditor. Learn strategies on how to monitor and document expenses. PROGRAM LEVELS: B – BASIC; I – INTERMEDIATE; A – ADVANCED; O – OVERVIEW; U – UPDATE * Lead presenter 53 56 th 4:00 – 5:00 PM ~ DISCUSSION GROUPS (continued) ANNUAL MEETING DEPARTMENTAL STRATEGIES FOR BUILDING RELATIONSHIPS WITH FACULTY AGENDA Monday 8.11.14 This session will discuss effective ways for new research administrators to build relationships with faculty, focusing on generational, cultural, discipline and personality-based differences. The three panelist will speak about their own unique styles of interaction with their faculty at the department, school and college-level. This session is geared towards new research administrators, but contains helpful insights for all. FEDERAL ARE YOU READY FOR THE UNIFORM GUIDANCE: WHAT HAS YOUR INSTITUTION DONE TO PREPARE? Margaret Austin*, Associate Director, for Budget and Administration, Syracuse University Jennifer Rudes, Director, Sponsored Programs Pre-Award & Clinical Trials Officer, The Research Foundation of State University of New York Upstate Medical University Christina Deitz, Grant Development Administrator, Maxwell School of Syracuse University Michael Ludwig*, Associate Vice President for Research Administration, University of Chicago This session will be a discussion of what actions Universities are taking to prepare for the implementation of the Uniform Guidance. How are others dealing with new Procurement requirements? Terminal leave benefits? Effort reporting alternative? These topics and other implementation considerations will be discussed. INTERNATIONAL INTERNATIONAL TRAVEL/IMMIGRATION ISSUES Susan Sedwick*, Associate Vice President for Research and Director, University of Texas at Austin Visa export certifications, NASA’s China Rule, and managing export issues in general are just a few of the fun issues we deal with on a daily basis. The current national security climate has made it more challenging for international research collaboration to happen. Increasingly inquiries are being made by agents not only from the Federal Bureau of Information but Immigration and Customs Enforcement. This discussion group will facilitate sharing of good practices and a few good horror stories. The meek of heart should not attend. POST-AWARD THE F&A PROPOSAL PROCESS – TIPS AND PITFALLS Are you working on your first F&A proposal? Second? Third? Are you responsible for preparing the proposal? Did you get put in 'charge' of the space survey? How do you know if you have calculated a supportable rate? How do you measure success? What are the 5-6 areas that you should spend the most time working on? What are the stupid mistakes you can avoid? When do you start working on the proposal? Learning Objectives: This session will help identify the areas that an Institution should be thinking about in regards to the F&A proposal process. The panel will provide some of their Tips and Pitfalls they've experienced. The audience should be prepared to ask questions. > continued on next page 54 PROGRAM LEVELS: B – BASIC; I – INTERMEDIATE; A – ADVANCED; O – OVERVIEW; U – UPDATE * Lead presenter 4:00 – 5:00 PM ~ DISCUSSION GROUPS (continued) POST-AWARD THE F&A PROPOSAL PROCESS – TIPS AND PITFALLS (CONTINUED) If you want to learn the answer to these questions and any other you have about the proposal process this session is for you. A panel of F&A experts will are ready to provide answers, stories, suggestions, tips and pitfalls about one of the most important and frustrating projects you'll be involved on at a University, Non-profit or Hospital. Jim Carter*, Senior Director, Huron Consulting Group Brian Farmer, Senior Director, Academic Affairs, The Cleveland Clinic Foundation Michael R. Legrand, Director, Costing Policy & Analysis, University of California-Davis AGENDA Monday 8.11.14 Ruthanne Porreca*, Assistant Dean of Research Administration, Emory University PRE-AWARD STRATEGIES FOR SUCCESSFUL PROPOSAL SUBMISSIONS Are tools and templates used, such as timelines and budget templates, effective, consistent and efficient? Are techniques, such as mock reviews, valuable and helpful? This session will be an interactive discussion of the pre-award process and ways to streamline the process and successfully develop quality applications. Come prepared to share the tools and techniques used by your institution. PREDOMINANTLY UNDERGRADUATE INSTITUTIONS LEVERAGING DEPARTMENTAL ADMINISTRATOR SUPPORT AT PUIs At predominantly undergraduate institutions, staff is often thin. However, there are often administrators and others working within departments and centers who have abilities to provide at least some level of support for proposal development and award management. How do you/can you identify hidden talent among departmental support? What training might you provide? In what ways, can existing staff at the department level be utilized to support the research enterprise? Come discuss and bring your ideas! Learning Objectives: Participants will be able to identify administrators and support professionals who can help support the sponsored research enterprise. -Discuss how to creatively train and leverage existing talent at the PUI. Kris A. Monahan*, Director of Sponsored Research and Programs, Providence College 4:00 – 5:00 PM ~ APPY HOUR WITH HOW TO DOERS Get acquainted with NCURA on Twitter, YouTube and Collaborate at the NCURA Social Media “Appy Hour with How-To-Doers”. Join NCURA for quick social media tutorials, contests and even the opportunity on How to Tweet sessions! Join your fellow research administrators in spreading the wealth of knowledge by Tweeting what you learn. Everyone that Tweets something that they learned from a session with #NCURAAM56 #AppyHour will have a chance to win one of three gifts! Stephanie Moore*, Community Curator, National Council of University Research Administrators 6:00 PM ~ DINE AROUNDS 9:00 PM ~ REGIONAL HOSPITALITY SUITES OPEN PROGRAM LEVELS: B – BASIC; I – INTERMEDIATE; A – ADVANCED; O – OVERVIEW; U – UPDATE * Lead presenter 55 56 th 6:15 – 7:15 AM 7:30 AM – 5:00 PM ANNUAL NCURA FUN RUN ~ POWER WALK MEETING The day will start at 6:15 am at the Hilton’s main AGENDA entrance foyer on the lobby level for stretching. Runners and walkers will then be provided with maps and directions prior to departing the hotel at 6:30 am and returning around 7:15 am with plenty of time left for participants to get ready before the first session. AM56 CONCIERGE EXPOSITION 2014 7:30 – 8:15 AM CONTINENTAL BREAKFAST AND BREAKFAST ROUNDTABLES Grab your breakfast and join your community for some coffee and conversation! COMPLIANCE COMMUNITY COMPLIANCE CHALLENGES WITH THE NEW UNIFORM GUIDANCE Anastacia Feldman, Financial Officer, MIT Computer Science and Artificial Intelligence Lab DEPARTMENTAL COMMUNITY ISSUES FACING DEPARTMENTAL ADMINISTRATORS Randi Wasik, Director of Administration and Finance, University of Washington ERA COMMUNITY ERA - SUGAR, SPICE AND EVERYTHING NICE? Tuesday 8.12.14 Hosted by the eRA Committee FRA COMMUNITY GUIDANCE FOR FINANCIAL RESEARCH ADMINISTRATORS Julia Rodriguez, Grants and Contracts Administrator, University of Missouri - Columbia GLOBAL COMMUNITY GLOBAL FUNDING AND COLLABORATION Amanda Snyder, Assistant Director, Sponsored Programs Administration, University of Maryland, Baltimore Siegfried Huemer, Head of EU Research Support, Vienna University of Technology PRE-AWARD COMMUNITY IDENTIFYING FUNDING OPPORTUNITIES Nicole Derr, Contract & Grant Specialist, University of Maryland, School of Pharmacy Jennifer Harman, Director of Sponsored Programs and Faculty Research, Nazareth College PUI COMMUNITY CHALLENGES ENCOUNTERED BY THE PUI OFFICE OF RESEARCH ADMINISTRATION Andrea Moshier, Director of Sponsored Research, Western Carolina University 8:00 AM – 5:00 PM ~ NCURA MARKETPLACE 56 PROGRAM LEVELS: B – BASIC; I – INTERMEDIATE; A – ADVANCED; O – OVERVIEW; U – UPDATE * Lead presenter 8:15 – 9:45 AM ~ SPARK SESSIONS These 15-20 minute, high energy, high deliverable offerings will get right to the good stuff and you will be able to check out multiple topics in each time slot. 8:15 – 8:35 AM KEYS TO DEPARTMENTAL SUBAWARD MONITORING Jeanne Galvin-Clarke*, Manager, Sponsored Programs Administration, University of Maryland, Baltimore 8:45 – 9:05 AM NEW ACCELERATED CLINICAL TRIAL AGREEMENT Brenda Kavanaugh*, Associate Director, Office of Research and Project Administration, University of Rochester 9:15 – 9:35 AM AUTOMATING GRANTS MANAGEMENT WITHOUT BREAKING THE BANK Diane Barrett*, Senior Research Administration Consultant, rSmart AGENDA Tuesday 8.12.14 8:15 – 9:45 AM ~ CONCURRENT SESSIONS BIOMEDICAL O VIRTUAL DATA WAREHOUSES: WELCOME TO THE NEW WORLD OF EMR AND DATA SHARING IN BIOMEDICAL RESEARCH APPLICATIONS The massive amounts of data available via electronic medical records and the requirement of a data sharing plan for federal grants translate to a host of issues that academic research institutions need to address. This session will focus on what to consider for data sharing involving enterprise-wide EMRs. Topics will include whether to include identifiable data, privacy concerns, opt in vs. opt out, data integrity, and how to ensure fundable grant applications. CAREER SKILLS/PROFESSIONAL DEVELOPMENT I SPANNING THE DECADES: HOW TO PLAN AND PERSONALIZE YOUR CAREER Many of us "wandered" into our careers in research administration without really knowing how we got here, often remarking "this opportunity came along and I took it." We all know that career planning is important, but how do you set the course for your career when you are in your 20s, 30s, 40s, or 50s and beyond? A panel of research administrators spanning these decades will discuss strategies for setting your career compass, navigating your career at each stage, and mapping goals to achieve the best results and keep you on your path to success. Learning Objectives: • Participants will understanding key issues to consider when developing data sharing for research applications. • Participants will understanding how data sharing is reviewed by the NIH. • Participants will learn tips for vendor criteria to consider when building and implementing a data warehouse. Prerequisites: Understanding of grant requirements and basic clinical research principles. Tesheia Johnson*, Associate Director of Clinical Research for Yale School of Medicine COO, YCCI, Yale University Learning Objectives: Participants will learn how to advance their career by personalizing and setting goals, regardless of where they are in their careers. Sue Kelch*, Senior Financial Specialist, University of Michigan-Ann Arbor Michelle Schoenecker, Senior Proposal Development Manager, University of Wisconsin-Milwaukee Bonniejean Zitske, Managing Officer, Research and Sponsored Programs, University of Wisconsin-Madison PROGRAM LEVELS: B – BASIC; I – INTERMEDIATE; A – ADVANCED; O – OVERVIEW; U – UPDATE * Lead presenter 57 56 th 8:15 – 9:45 AM ~ CONCURRENT SESSIONS (continued) ANNUAL MEETING CAREER SKILLS/PROFESSIONAL DEVELOPMENT O HOW TO DEVELOP AND CREATE A NCURA YOUTUBE TUESDAY VIDEO AGENDA CAREER SKILLS/PROFESSIONAL DEVELOPMENT I MOVING IN THE RIGHT DIRECTION: FORMAL AND INFORMAL METHODS OF EVALUATION FOR STAFF TRAINING PROGRAMS Even the best training programs require care and feeding. Ideally, evaluation plans are considered at the design and implementation phases of each program. Most of the time, evaluation is an afterthought. Evaluation is a powerful tool that can help managers keep a program relevant, make changes when necessary and even support requests for additional resources. We will address informal and formal methods of evaluation, timing of designing and implementing evaluation programs, and setting the course for the future based on results. We will provide tips for managing this when time, budget and data retrieval are challenges. Tuesday 8.12.14 Learning Objectives: • Participants will understand the 10 basic considerations/components that should be present in plans for developing a training program. • Participants will learn the importance of evaluation for training programs, and how to make the case for doing this. • Participants will learn informal and formal methods of evaluation (including specific known frameworks). • Participants will learn how to establish evaluation metrics. • Participants will learn how to use the information obtained to validate, improve, change (or even eliminate) their program. • Participants will learn how to view evaluation results from an immediate and longitudinal perspective. • Participants will learn how to communicate the results to stakeholders. Andrea R. Ward Ross*, Assistant Dean, The Ohio State University Main Campus Tom Kornacki, Sponsored Programs and Research, Bowling Green State University Aimee Nielsen-Link, Director, Health Sciences Office, Ohio State University Karla Gengler-Nowak, Director of Business Analytics & Research Reporting, The Ohio State University College of Medicine COMPLIANCE B EFFORT REPORTING PRIMER This effort reporting primer session will give an overview of effort reporting, what it is, why it is required, and how to best manage the process. Additional time will be given to discussing what the circulars have to say about effort, a background on university audits concerning effort, the meaning of institutional base salary, best practices, and roles and responsibilities. 58 Tara E. Bishop*, Associate Executive Director, National Council of University Research Administrators Kallie Firestone, Senior Compliance Specialist, Massachusetts Institute of Technology Learning Objectives: • Participants will leave with a clear understanding of the effort reporting process. • Participants will be able to use applied concepts to ensure their university remains in compliance with regulations. • Participants will gain an understanding of effort best practices. James Goff*, Associate Director - Cost Analyst and Reporting, Emory University Josh Rosenberg, Director, Cost Studies, Emory University PROGRAM LEVELS: B – BASIC; I – INTERMEDIATE; A – ADVANCED; O – OVERVIEW; U – UPDATE * Lead presenter 8:15 – 9:45 AM ~ CONCURRENT SESSIONS (continued) DEPARTMENTAL I NAVIGATING THE RAILS: TRAINING GRANTS, NIH AND BEYOND Despite their common presence within academic institutions - the variability between the many awards we call training grants is significant. Generally they support a trainee and some portion of their work. Beyond that? Well, a departmental administrator can easily be overwhelmed with the many requirements, jargon and peculiarities of these awards. Through a review of different types of training grants from several federals sponsors (NIH, HRSA, AHRQ) attendees will gain an understanding of how best to navigate the requirements and successfully manage their awards while still maintaining their sense of humor. Practical tools and resources will be provided which administrators can put to use immediately. Topics to be covered will include proposal submission, appointment of trainees, allowable uses of trainee funds, stipend supplementation, and requesting carry forward. FEDERAL U NSF OIG AND DATA ANALYTICS Presentation will cover NSF OIG audit planning, approaches, communication, and automated technologies for NSF operational and grant oversight. Material will also cover the use of data analytics and government-wide topics being addressed in the Federal audit community. Learning Objectives: • Participants will gain an understanding of the broad array of training grants available from the different DHHS funding organizations – beyond NIH. • Participant will be given the information they'll need to be confident when faced with reviewing, submitting and eventually managing one of these unique training grants. • Through the experience of the presenters and their colleagues the participant will begin to understand the complexity and diversity of training grants. AGENDA Tuesday 8.12.14 Prerequisites: • Participant should hold a basic familiarity with federal grant policies and procedures. • Participant need not currently work with training grants but should be familiar with their purpose and intent. Anthony Beckman*, Research Administrator, University of Rochester Wendy Lynn Roemer, Research Administrator, University of Rochester Learning Objectives: • Participants should be able to describe the NSF OIG approach to operational and grant oversight. • Participants should be able to assess the use of data analytics. • Participants should be able to identify current topics being addressed in the Federal audit community. Brett Baker*, Assistant Inspector General for Audit, National Science Foundation PROGRAM LEVELS: B – BASIC; I – INTERMEDIATE; A – ADVANCED; O – OVERVIEW; U – UPDATE * Lead presenter 59 56 th 8:15 – 9:45 AM ~ CONCURRENT SESSIONS (continued) ANNUAL MEETING INTERNATIONAL O TRANSATLANTIC (GLOBAL) FUNDING DICTIONARY OR A PLAY ON WORDS IN AN INFINITE NUMBER OF PARTS AGENDA Tuesday 8.12.14 Why the need for a dictionary? Don’t we have enough books already? Vivian Holmes*, Director, Sponsored Research Operations, Broad Institute of MIT and Harvard David Lauder, European Research Project Manager, University of York Olaf Svenningsen, Head of Research Support Office, University of Southern Denmark In this session, you will learn precisely why a dictionary can be helpful for both research administrators and our faculty– not only in one system, but globally. We use an example of a talented Professor who has crossed from UK to the US and is now looking for help with a major grant application. We walk him through the entire process from preparation through to compliance and post-award management. The session will explore the differences in terminology as well as the very different cultural milieu in which research support takes place on either side of the Atlantic with the aim of taking the first steps towards the production of a transatlantic and, ultimately, a global funding dictionary. And we do this in the form of a play! Come and prepare to be astounded at the acting talents of the presenters. You will also have the chance to participate in this novel new project. INTERNATIONAL O HORIZON 2020: NEW SCIENTIFIC FUNDING OPPORTUNITIES TO IMPROVE GLOBAL RESEARCH EFFORTS Horizon 2020 is the biggest EU Research and Innovation Programme ever with nearly ⇔ 80 billion of funding available over the next 7 years (2014 to 2020). It promises more breakthroughs, discoveries and world-firsts by taking great ideas from the lab to the market. By coupling research and innovation, Horizon 2020 is helping to achieve this with its emphasis on excellent science, industrial leadership and tackling societal challenges. H2020 is open to everyone, with a lean structure and simplified procedures to encourage worldwide participation. But H2020 is still a mega financial instrument with many different funding schemes. The session will focus on an update of the EU Framework Programme, which first calls have already launched. > continued on next page 60 PROGRAM LEVELS: B – BASIC; I – INTERMEDIATE; A – ADVANCED; O – OVERVIEW; U – UPDATE * Lead presenter 8:15 – 9:45 AM ~ CONCURRENT SESSIONS (continued) INTERNATIONAL O HORIZON 2020: NEW SCIENTIFIC FUNDING OPPORTUNITIES TO IMPROVE GLOBAL RESEARCH EFFORTS (CONTINUED) An explicit attention will be given to the rules for participation for US institutions and practical advices on how to participate in an EU project as a US institution. Participants will learn the different programme types and funding schemes in H2020 suitable best for US institutions. The sessions aims to bring together representatives of the US institutions interested in trans-atlantic collaboration with representatives of the European Commission, European organizations and currently on-going European research projects, both from the US and EU. Our intention is to initiate a lively discussion about personal experiences in EU projects, ways to foster collaboration between America and Europe, and coherence towards the global challenges. POST-AWARD A OMB UNIFORM GUIDANCE: A SUMMARY OF CHANGES AND STRATEGIES FOR IMPLEMENTATION ON YOUR CAMPUS The Uniform Guidance was issued on December 26, 2013, and it takes effect at the end of this year. There has been analysis, interpretation, and debate, as well as prolonged pondering and many perplexed expressions about the implications for universities and non-profits. As NCURA, COGR, and FDP continue to work with OMB and COFAR to develop a common understanding of the Guidance, there has been an evolving sense of what the document means for our campuses. While we are still waiting to see agency implementation plans, we are actively developing strategies for application of the Guidance to our quickly changing policies and procedures. This session will discuss major issues in the Guidance and provide news on recent developments in the dialogue with Federal agencies and OMB. In addition, the panel will offer information about efforts to manage the many changes that are necessary to apply the Guidance to sponsored programs in the coming months. Join us to discuss this major change in research administration! Learning Objectives: • Participants will be briefed about Horizon 2020 strategy and structure. • Participants will learn programme types and funding schemes suitable for US institutions. • Participants will learn rules for participation for US institutions. • Participants will hear about personal experiences and best practices of applying and managing research projects from representatives of both US and EU institutions. • Participants will debate about US - EU cooperative efforts to tackle with global challenges. AGENDA Tuesday 8.12.14 Prerequisites: No prior knowledge on European Framework Programmes is required. Siegfried Huemer*, Head of EU Research Support, Vienna University of Technology Patricia A. Hawk, Director, Sponsored Programs, Oregon State University Ralf Koenig, The Austrian Research Promotion Agency Errol G. Levy, First Secretary, Research and Innovation Deputy Head of the Science, Technology and Education Section Delegation of the European Union to the United States of America Learning Objectives: • Participants will gain an understanding of the major issues with the Uniform Guidance and expected developments with it. • Participants will learn about strategies to manage institutional policies and implement the Guidance. Kim Moreland*, Associate Vice Chancellor, Director/Research and Sponsored Programs, University of Wisconsin-Madison Mark Davis, Vice President & Partner, Higher Education and Academic Medical Centers, Attain, LLC Cynthia Hope, Assistant Vice President for Research & Director, Sponsored Programs, The University of Alabama Jeffrey Silber, Senior Director, Sponsored Financial Services, Cornell University PROGRAM LEVELS: B – BASIC; I – INTERMEDIATE; A – ADVANCED; O – OVERVIEW; U – UPDATE * Lead presenter 61 56 th 8:15 – 9:45 AM ~ CONCURRENT SESSIONS (continued) ANNUAL MEETING PRE-AWARD A AGENDA A NEW WORLD FOR RESEARCH ADMINISTRATION – A CASE STUDY OF EMORY’S MOVE FROM A TRADITIONAL ORGANIZATION FOR THE SUPPORT OF RESEARCH TO A SHARED SERVICES MODEL Representatives from Emory University will share and discuss their experiences as Emory transitioned from a traditional model for research administration support to a shared services model for research administration. Early in 2013, Emory began to roll out service center units to support research throughout the University as the institution moved from having hundreds of separate departments handling research administration tasks to world where they will eventually have only nine service center units to provide these same services. Topics discussed will include planning, change management, training, challenges faced and many other related topics. PREDOMINANTLY UNDERGRADUATE INSTITUTIONS O Tuesday 8.12.14 62 STRATEGIC PLANNING FOR YOUR PUI SPONSORED RESEARCH OFFICE: FACING THE FUTURE Change happens. But controlled change is better than reactionary change – seeing where the current takes you – or spontaneous change initiated by someone else. Planning strategically should ideally cover all the activities, services and resources that the SRO is engaged in, support the effective use of its current resources while making the case for increases if necessary, and rely on and stretch the training and skills of the staff. Even with the best planning, though, anticipated challenges arise: people leave, administrators change, institutional initiatives begin, proposal- and award-related adventures distract. But when planning happens, should (can?) the personal and professional goals, aspirations and intentions of the SRO staff be considered? While retirements may be predictable, many life events are not. Can someone's hope for increased responsibility be built into the plan so as to avoid losing them to a promotion in another department or institution? How might personal considerations be utilized to positively affect the quality of the SRO's activities? These are questions that can be even more complex at PUIs where offices may be dependent on just one or two employees. This interactive session will explore strategies for answering these questions and will look at both the practical and personal sides of strategic planning. Learning Objectives: • Participants will have an understanding about this new model for research administration support. • Participants will have an understanding of the process to move from a traditional research administration support model to a service center unit model. • Participants will have an understanding of the challenges faced during this process and how Emory addressed them. Prerequisites: General understanding of research administration support. Kerry Peluso*, Associate Vice President for Research Administration, Emory University Kathleen Bienkowski, Associate Vice President for Research Administration Services, Emory University Learning Objectives: Participants will learn strategies for: • developing a holistic view of strategic planning. • building a strategic plan that is size and staff appropriate. • approaching strategic planning from a proactive rather than a reactive perspective. Martin Williams*, Director, Office of Sponsored Programs, William Paterson University Angela Rochat, Director of Sponsored Research & Federal Relations, Fort Lewis College Roger Wareham, Director, Grants Development, University of Minnesota, Morris Shannon Sutton, Director, Sponsored Projects, Western Illinois University PROGRAM LEVELS: B – BASIC; I – INTERMEDIATE; A – ADVANCED; O – OVERVIEW; U – UPDATE * Lead presenter 8:15 – 9:45 AM ~ CONCURRENT SESSIONS (continued) PREDOMINANTLY UNDERGRADUATE INSTITUTIONS B CROWDFUNDING—A MATTER FOR SPONSORED RESEARCH OFFICES? Crowdfunding is a recent phenomenon where a large number of contributors pool small individual donations to support a project in which they share a common interest. Crowdfunding is used to support a wide variety of activities including disaster relief, research, art projects, films, games, music, technology, and startup companies. Faculty, staff and students from many institutions have utilized crowdfunding web sites to raise funds to support a wide range of projects that typically fall outside the usual funding channels. Crowdfunding is also a new way of engaging the public in higher education. This form of research support raises many questions for research administrators. How to deal with these "unregulated" funds? Should they be treated as grants or gifts? If treated as gifts, how do these projects affect such concerns as ethical and financial compliance across campus? Should the SRO be involved in the crowdfunding projects at all? These questions and more will be discussed as we explore the potentials and the pitfalls in this new territory of sponsored projects. Two models developed by two separate institutions will be presented as examples of administering "crowd-funded" projects. Learning Objectives: • Participants will learn the definition of crowdfunding and receive an introduction to models that may be useful for supporting university activity. • Participants will understand what types of activities might be best supported through crowdfunding. • Participants will understand the particular fundraising and compliance challenges that may arise in crowd-funded projects. • Participants will discuss the role of the sponsored research office, if any, in administering crowdfunding projects. • Participants will gain familiarity with two different models of administering. crowdfunding projects at the university level • Participants will see an example of a university project seeking crowdfunding support. AGENDA Tuesday 8.12.14 Patience Graybill*, Research Administrator, PreAward, Southern Illinois University Edwardsville Dave Reed, Vice President for Research, Michigan Technological University Jerry Weinberg, Associate Provost for Research and Dean, The Graduate School, Southern Illinois University Edwardsville 8:15 – 9:45 AM ~ DISCUSSION GROUPS BIOMEDICAL WHAT IS PCORI? PATIENT-CENTERED OUTCOMES RESEARCH INSTITUTE As research administrators, in order to effectively manage the lifecycle of a grant, it behooves us to know as much about the organizations that we apply to as possible. In this session we will introduce PCORI, Patient-Centered Outcomes Research Institute; defining who and what PCORI is, reviewing their mission and vision, and exploring the various intricacies of applying to this organization. Specifically, we will discuss their application process and online submission system, award terms and conditions, budget restrictions, and contract execution. Lindsey Demeritt*, Assistant Manager, Sponsored Projects Team, Children's Hospital, Los Angeles Faith Thurmond, Business Administrative Associate, College of Applied Health Sciences, University of Illinois at Chicago Lori Walker, Grants and Contract Officer, Cedars-Sinai Medical Center Hector Jimenez, Unified Administrator, Yeshiva University PROGRAM LEVELS: B – BASIC; I – INTERMEDIATE; A – ADVANCED; O – OVERVIEW; U – UPDATE * Lead presenter 63 56 th 8:15 – 9:45 AM ~ DISCUSSION GROUPS (continued) ANNUAL MEETING BIOMEDICAL FINANCIAL MANAGEMENT IN CLINICAL TRIALS AGENDA With the increased complexity of clinical trials, increased scrutiny placed on the financial management of both federally and industry sponsored trials, and the bottom line impact on the institutions, the management of clinical trials has become difficult for all administrators on campus. As research administration becomes more highly specialized, understanding how to manage a clinical trial from inception (budget, payment schedules billing process) to the closeout (hospital costs, final bills, audit, etc.) is critical. This discussion will give attendees an opportunity to exchange challenges/solutions in the clinical trial day-to-day financial management, as well as get input from some experts in the room on running those trials successfully. CAREER SKILLS/PROFESSIONAL DEVELOPMENT COLLABORATIONS WITH HSI, TCU, MSI, HBCU AND OTHERS Tuesday 8.12.14 F. John Case*, Senior Vice President for Operations and Chief Financial Officer, Morehouse School of Medicine While the policies and regulations of research administration apply to all of us, universities have specific needs depending on their size, type and focus. This discussion group will focus on minority institutions and provide an interactive environment to discuss needs and best practices to enhance office infrastructure, staff training and professional development, and strategies to collaborate with other institutions. We will encourage discussion about existing models across all NCURA regions and an exploration of the ways to encourage, support and sustain networking amongst minority institutions. CAREER SKILLS/PROFESSIONAL DEVELOPMENT GOING OFF THE GRID: THE IMPORTANCE OF AVOIDING BURNOUT BY LEARNING TO DELEGATE Learning Objectives: Sharing experience and increasing motivation to expand the network for professional development and collaboration amongst minority institutions. Samantha Westcott*, Manager, Sponsored Projects Team, Children’s Hospital Los Angeles Denise Wallen, Research Officer and Senior Fellow; Research Assistant Professor, University of New Mexico Josie Jimenez, Associate Director, Office of Grants and Contracts, New Mexico State University Leslie Schmidt, Assistant Vice President for Research, Office of Sponsored Programs, Montana State University Kathleen Larmett*, Executive Director, National Council of University Research Administrators Stress continues to be a major cause of illness in the workplace, and yet, many of us in senior level positions seem to have a problem letting go of it. As technology shrinks our world, some of us feel we are never really out of the office; we carry it with us wherever we go. We are always on call and, at times, wonder why we bother with vacation when our staff continues to email us. Why are we reading email on vacation? Why are we texting in the elevator? Why does the flight attendant need to tell us to close our laptop? Can burnout be far behind? Let’s find out! Come on in and turn off your iPhone, close your iPad and your laptop and let’s talk. 64 PROGRAM LEVELS: B – BASIC; I – INTERMEDIATE; A – ADVANCED; O – OVERVIEW; U – UPDATE * Lead presenter 8:15 – 9:45 AM ~ DISCUSSION GROUPS (continued) COMPLIANCE ANIMAL SUBJECTS RESEARCH: WORKING CONSTRUCTIVELY WITH OUR CRITICS Bill Greer*, Compliance Manager, The Pennsylvania State University AGENDA Tuesday 8.12.14 This session will address animal subjects research, specifically as it relates to institutional efforts to engage respectfully with the animal rights community, while at the same time protecting our facilities from extremist threats. DEPARTMENTAL SUCCESSION PLANNING FOR THE DEPARTMENT RESEARCH ADMINISTRATOR Beth Seaton*, Director of Research Administration, Northwestern University When the department research administrator leaves for a different job or happens to retire, there is often no one in the "pipeline" to fill that role--leaving the department without research administration help for a period of weeks or even months. What can managers do to ensure there is a plan for succession? What can you do to ensure there will be someone capable of taking your place should you be planning to retire or move on to another post? Come to discuss the problems associated with departmental vacancies and effective strategies to avoid potential disasters. FEDERAL FDP: MOVING ON TO PHASE VI The Federal Demonstration Partnership (FDP) is an association of federal US agencies, academic research institutions with administrative, faculty and technical representation, and research policy organizations that work to streamline the administration of federally sponsored research. FDP members of all sectors cooperate in identifying, testing, and implementing new, more effective ways of managing federal research grants with the goal of improving the productivity of research without compromising its stewardship. This session should be of global interest as it will provide a model by highlighting successful demonstrations and projects accrued through the work of the FDP over the past 25+ years and insights into current and planned initiatives. Susan Sedwick*, Associate Vice President for Research and Director, University of Texas at Austin PROGRAM LEVELS: B – BASIC; I – INTERMEDIATE; A – ADVANCED; O – OVERVIEW; U – UPDATE * Lead presenter 65 56 th 8:15 – 9:45 AM ~ DISCUSSION GROUPS (continued) ANNUAL MEETING POST-AWARD CLOSING OUT AN AWARD – WHAT WORKS AND PITFALLS TO BE AWARE OF AGENDA Closeout is the process in which a sponsor determines all applicable administrative actions have been completed by the recipient. The timely closeout of an award is important in order to meet the obligations of the award. This discussion session will serve as a platform for colleagues to discuss and share ways of closing out an award. The panel will share their insights and tips for closeout. Participants are encouraged to bring their ideas, tips and tools. In addition, participants will find the information useful and possibly apply the tips and tools to their environment. We encourage you to bring your lessons learned and success stories to share with your colleagues. PRE-AWARD HELPFUL TIPS FOR GETTING THE PROPOSAL OUT THE DOOR Tuesday 8.12.14 Rosemary Madnick*, Director, Office of Grants and Contracts Administration, University of Alaska, Fairbanks Andrew Gray, Director, Office of Sponsored Programs, University of Alaska, Fairbanks This session will share best practices for getting a quality product out the door in sufficient time to meet the submission deadline, while adhering to all the sponsor's requirements. Specific topics to be discussed include proposal preparation, review, approval and submission processes, incentivizing investigators to submit their applications in a timely manner, internal technical review and feedback activities and leadership. PREDOMINANTLY UNDERGRADUATE INSTITUTIONS CONSIDERING AND IMPLEMENTING BEST PRACTICES (FROM AN R1) IN A SMALL RESEARCH INSTITUTION: REVIEW OF RISK, POLICY, RESPONSIBILITY, IMPLEMENTATION AND MONITORING Tolise Miles*, Senior Grants & Contracts Specialist,Grants and Contracts Administration and Finance, Children's National Medical Center Cherri Helms, Director, Sponsored Programs Administration, Towson University Mary E. Schmiedel, Associate Dean for Research Administration & Director, Office of Sponsored Programs, Georgetown University Jared Littman*, Director, Office of Grants and Sponsored Research, St. John's University Have you or do you need to implement a policy or procedure where the best samples are mostly from larger institutions? How do you, as a PUI, keep the integrity of the "best practice" and harmonize it with your campus environment, while balancing risk and resources; defining roles and responsibilities; obtaining proper buy-in, and implementation with an ongoing monitoring plan? Come share your successes and lessons learned to implement successful "best practices" with your PUI community colleagues. 66 PROGRAM LEVELS: B – BASIC; I – INTERMEDIATE; A – ADVANCED; O – OVERVIEW; U – UPDATE * Lead presenter 8:15 – 9:45 AM ~ SENIOR LEVEL DISCUSSION INTERNATIONAL RESEARCH ADMINISTRATION David Richardson*, Associate Vice Chancellor for Research and Director of Sponsored Programs, University of Illinois at UrbanaChampaign Simon Kerridge, Director, Research Services, University of Kent FULL AGENDA Tuesday 8.12.14 No Fee. Pre-registration is required. 9:45 – 10:15 AM ~ NETWORKING AND REFRESHMENT BREAK 9:45 – 10:15 AM ~ GET CONNECTED AND GET INVOLVED FAIR! NCURA COLLABORATE COMMUNITIES Colleagues from NCURA’s Collaborate Communities will be available to talk with you and answer questions on the front terrace. This is a perfect opportunity to learn about the different facets of NCURA’s Communities and how to get involved TODAY. Grow your peer network…visit the Get Connected and Get Involved Fair throughout the Conference! 10:15 – 11:45 AM ~ SPARK SESSIONS These 15-20 minute, high energy, high deliverable offerings will get right to the good stuff and you will be able to check out multiple topics in each time slot. 10:15 – 10:35 AM 10 STEPS TO FOLLOW WHEN CONTACTING A SPONSOR Jo Ann Smith*, Director, Graduate Programs in Research Administration, University of Central Florida 10:45 – 11:05 AM WHAT’S MY SOCIAL FINGER-PRINT Rashonda Harris*, Associate Director, Research Accounting Services, Temple University 11:15 – 11:35 AM MEETING FEDERAL DATA SHARING REQUIREMENTS Linda Detterman*, Assistant Director, Collection Delivery, ICPSR - University of Michigan PROGRAM LEVELS: B – BASIC; I – INTERMEDIATE; A – ADVANCED; O – OVERVIEW; U – UPDATE * Lead presenter 67 56 th 10:15 – 11:45 AM ~ CONCURRENT SESSIONS ANNUAL MEETING BIOMEDICAL O BEST PRACTICES: SUBMISSION AND MANAGEMENT OF NIH K-AWARDS AND TRAINING GRANTS AGENDA Tuesday 8.12.14 NIH Career (K) awards and Training Grants (T, F) provide valuable opportunities for developing the new generation of scientific researchers. However, the submission and management of these awards present unique challenges. In this session we will review key aspects, and share best practices, for application preparation and post-award management. BIOMEDICAL O CLINICAL TRIALS BUDGET DEVELOPMENT AND MANAGEMENT Learning Objectives: • Participants will gain an understanding of the submission and management of the various NIH career developments and training awards. • Participants will become familiar with key aspects of institutional training grant application and management. • Participants will learn how to guide junior faculty, post-docs and graduate students through the application process for individual career awards and fellowships. Jane Tolbert*, Administrator, University of Rochester Glenda Bullock, Manager of Business Operations, Washington University in St. Louis Govind Narasimhan*, Director of Research Finance, University of Texas M.D. Anderson Cancer Center The session will offer an overview of clinical trial budgets and issues associated with the fiscal management of clinical trials. The session will discuss cost considerations that support the development of a clinical trial budget, post award and financial management of clinical trials including close out. CAREER SKILLS/PROFESSIONAL DEVELOPMENT B HOW NCURA MEMBERS CAN COLLABORATE ON COLLABORATE! – NCURA’S PROFESSIONAL NETWORKING PLATFORM Stephanie M. Moore*, Community Curator, National Council of University Research Administrators This session will serve as an introduction to help members understand and maximize the opportunities that are available with NCURA’s professional networking platform, COLLABORATE.Come and take this opportunity to explore the possibilities of the great networking features on Collaborate. 68 PROGRAM LEVELS: B – BASIC; I – INTERMEDIATE; A – ADVANCED; O – OVERVIEW; U – UPDATE * Lead presenter 10:15 – 11:45 AM ~ CONCURRENT SESSIONS (continued) COMPLIANCE I CASE STUDIES IN RESEARCH ETHICS: AN HISTORICAL PERSPECTIVE The proper conduct and reporting of research is of paramount importance to our institutions. Noncompliance can result in severe penalties to the organization, the individual(s), and their reputations. The modern definition of research misconduct however, in the context of responsible conduct of research training, reflects an evolution of hundreds of years of social and ethical issues that have arisen in the practice of scientific research. What may have been acceptable practice a century ago may be considered unacceptable practice by today's standards. An examination of the global history of biology, chemistry, physics and medicine provides some insightful examples of both responsibly and irresponsibly conducted research by many famous scientists. In this highly interactive session, participants will become familiar with an international case history of research misconduct and will engage in discussion of how these prominent cases have shaped contemporary perspectives on the responsible conduct of research. DEPARTMENTAL I FINDING A-110 IN THE OMB UNIFORM GUIDANCE: STILL YOUR BLUEPRINT TO A FEDERALLY COMPLIANT INSTITUTION This highly interactive session is aimed at both the new and more experienced research administrator as we focus on the old and the new OMB administrative requirements facing us at the end of this year. For the new administrator, we will provide an introduction to many of the circular's definitions and pre- and post-award requirements. For the experienced administrator, we will emphasize what's new in the Omnicircular and follow-up with discussion and analysis of key sections. At the end of the session, participants will better understand how these basic standards affect institutional sponsored program policies, procedures and practices. FEDERAL U NIH UPDATE Learning Objectives: • Participants will be able to describe a variety of famous cases involving ethical issues in research and apply modern RCR standards to better assess and work through those issues. • Participants will discuss the relevant rules and regulations of modern RCR standards and the ethical principles and cases that justify current institutional compliance policies. AGENDA Tuesday 8.12.14 Prerequisites: A basic working knowledge and fundamental understanding of responsible conduct of research. Tony Onofrietti*, Director, Research Education, University of Utah NOTE: This is a highly interactive session using a wireless audience response system to engage participants, evaluate feedback and formulate group consensus on a variety of ethical issues and questions. Learning Objectives: • Participants will learn some of the basics of the Office of Management and Budget's Uniform Administrative Requirements for Federal Awards. • Participants will understand how the circular's guidance relates to their own institution's administration of sponsored programs. Cheryl Williams*, Associate Director, Office of Research and Project Administration, University of Rochester Krista Carmichael, Senior Sponsored Research Administrator, Harvard University Learning Objectives: • Participants will learn about NIH budget priorities. • Participants will learn about the evolution of new policies. • Participants will gain insight of the current issues at NIH. Michelle Bulls*, Director, Office of Policy for Extramural Research Administration (OPERA), National Institutes of Health PROGRAM LEVELS: B – BASIC; I – INTERMEDIATE; A – ADVANCED; O – OVERVIEW; U – UPDATE * Lead presenter 69 56 th 10:15 – 11:45 AM ~ CONCURRENT SESSIONS (continued) ANNUAL MEETING INTERNATIONAL O INTERNATIONAL PROJECTS -- COMPLIANCE WITH THE NEW OMB UNIFORM GUIDANCE IN CROSS-BORDER PROJECTS AGENDA Tuesday 8.12.14 This discussion-oriented session focuses on how the new OMB Circular will affect financial and administrative compliance in federally funded foreign projects and collaborations. For example, unique costs in international projects include, among others, foreign housing and living expenses, value added taxes, consular and visa fees, currency fluctuation, relocation, security, and severance payments to foreign nationals. The session will include considerable opportunity for questions from, discussion with, and sharing of experiences by, the audience. POST-AWARD B IMPLEMENTATION OF NIH SUBACCOUNTING This session will discuss the NIH transition from a pooled draw to a Sub Account (Award by Award) draw. The presentation will discuss the challenges for both central administration as well as department research administrators during the transition process. The key topics will include account transition issues, FFR reporting, final draw timing, subcontracts, invoicing, and increased workload. There will be time for questions and discussion about how other institutions are managing the transition. POST-AWARD U NSF'S HIGHER EDUCATION R&D SURVEY UPDATE This session will provide an update on the latest data available from the NSF Higher Education R&D Survey, a survey of academic institutional R&D expenditures. We will also discuss planned changes to the survey's field of research taxonomy. PRE-AWARD B EXPLORING THE ALPHABET SOUP OF NON-TRADITIONAL AGREEMENTS: CDAs, MTAs, DUA, MOUs, CA, TAs Are you interested in learning the meaning behind all of the acronyms that go into making the alphabet soup of non-traditional agreements? If you are, then this is the session for you. Many nontraditional agreements needed to facilitate research do not involve a monetary award, but the terms and conditions of these agreements are critical in ensuring that an institution's, and its faculty's, Learning Objectives: Participants will learn to appreciate how the new OMB Circular may influence the financial and administrative management of transnational projects. William Ferreira*, Counsel, Hogan Lovells Janet Simons*, Director, Research Policy, University of Maryland, Baltimore Marta Thompson, Associate, Hogan Lovells Learning Objectives: • Participants will be given an overview of the current DHHS transition plan. • Participants will learn about the potential challenges to the university community. • Participants will explore the need for staffing and systems changes to accommodate the transition. Prerequisites: Participants should have a general understanding of institutional financial systems, cash management and reporting. Krystina Gross*, Manager, Washington University in St. Louis Nicole Nichols, Research Administrator, Washington University in St. Louis Learning Objectives: • Participants will learn the types of data available on R&D spending within universities. • Survey respondents will learn about upcoming changes to the survey. Ronda Britt*, Survey Statistician, National Science Foundation Learning Objectives: • Participants will understand the meaning behind the acronyms and characteristics of each agreement. • Participants will recognize circumstances in which non-traditional agreements are needed and identify the most appropriate type of agreement to use. • Participants will identify key issues to be considered when drafting and negotiating the different types of agreements. > continued on next page 70 PROGRAM LEVELS: B – BASIC; I – INTERMEDIATE; A – ADVANCED; O – OVERVIEW; U – UPDATE * Lead presenter 10:15 – 11:45 AM ~ CONCURRENT SESSIONS (continued) PRE-AWARD B EXPLORING THE ALPHABET SOUP OF NON-TRADITIONAL AGREEMENTS: CDAs, MTAs, DUA, MOUs, CA, TAs (CONTINUED) Marjorie Forster*, Assistant Vice President for Research and Global Health Initiatives, University of Maryland, Baltimore Amanda Miller, Manager, Contracts, The University of Texas at Dallas AGENDA Tuesday 8.12.14 rights are protected. The main objectives of this session are to first teach participants the meaning behind the acronyms and characteristics of each agreement. Second we want to explain why it is important for you as a research administrator to understand the importance and significance of putting these types of agreements in place at your institution. We will explore how these agreements can protect you, your institution and faculty, particularly in the areas of intellectual property, data ownership, liability, and material transfers. In addition, we will discuss the circumstances under which institutions may want to expand their collaboration with other entities and outline the types of agreements that should be used in those situations. PRE-AWARD I PROPOSAL SUBMISSION: THE GOOD, THE PRACTICAL AND THE POSSIBLE This session will review proposal submission considerations for research administrators when things are good (you have all the time in the world); when you have to concentrate on the practical (you are short on time); and what should be possible (no matter how much time you have). The discussion will focus on budget development and authorization, but will include general proposal techniques and timeline considerations. The panel will include perspectives from the department, college, and central office level. PREDOMINANTLY UNDERGRADUATE INSTITUTIONS I THE ROLE(S) OF THE PUI SPONSORED RESEARCH OFFICER IN CONSORTIA AND COLLABORATIONS At predominantly undergraduate institutions, partnerships and collaborations are essential to creating and sustaining a robust research program. Increasingly grant guidelines explicitly suggest the creation of consortia to expand the impact of federal research dollars. Costconscious universities are also looking to streamline research operations through collaborations. Such consortia and collaborations have a long history in educational programs but have been undertaken on an ad hoc basis with research. In the midst of these forces, what can a research administrator do to help identify, create and sustain consortia and collaborations? Learning Objectives: • Participants will learn how to identify good, practical and possible techniques for proposal development and submission based on the time allowed. • Participants will gain an understanding of how to prioritize proposal development tasks and identify potential road blocks to successful proposal submission. Jennifer Rudes*, Director, Sponsored Programs Pre-Award & Clinical Trials Officer, The Research Foundation of State University of New York Upstate Medical University Christina Deitz, Grant Development Administrator, Maxwell School of Syracuse University Margaret Austin, Associate Director for Budget and Administration, Syracuse University Learning Objectives: • Participants will understand how PUIs can create and leverage collaborations to best advantage. • Participants will increase their knowledge of the strategies used to create and sustain of collaborations at PUIs. • Participants will expand their network of resource people who can aide you when you return to your campus. Joseph McNicholas*, Director, Office of Research and Sponsored Projects, Loyola Marymount University Crist Khachikian, Associate Vice President for Research, California State University, Northridge Joann Waite, Director of Sponsored Research & Programs, Gonzaga University PROGRAM LEVELS: B – BASIC; I – INTERMEDIATE; A – ADVANCED; O – OVERVIEW; U – UPDATE * Lead presenter 71 56 th 10:15 – 11:45 AM ~ DISCUSSION GROUPS ANNUAL MEETING BIOMEDICAL NEVER A DULL MOMENT: THE EVOLUTION OF CLINICAL RESEARCH PROGRAMS IN ACADEMIC MEDICAL CENTERS AGENDA Clinical research administration is a dynamic and challenging professional path. As research administrators, we see guidance, regulations, and institutional priorities evolving as we try to address the needs of investigators for effective and efficient management of their increasingly complex clinical and translational research portfolio. How do we stay ahead of this learning curve? What training and support needs do we have for our own professional growth, and how do we ensure proper oversight required with high-impact clinical studies? This discussion session will highlight some of the contemporary issues we all face when supporting the work of faculty, including realigning resources and promoting adherence to ‘best practices’ in human research. Through a variety of case studies, and sharing of our own professional experiences, we will explore possible solutions to the daily challenges of clinical research administration. CAREER SKILLS/PROFESSIONAL DEVELOPMENT Tuesday 8.12.14 Jamie Caldwell*, Director, Office of Research Services for the Health Sciences Health Sciences Division, Loyola University Chicago SUCCESSFUL MANAGING AND MENTORING: KEEP THE BEST AND THE BRIGHTEST IN TOUGH TIMES To be a good leader you must learn to effectively manage your team or run the risk of losing valuable people. We have gathered a team of senior administrators who will teach you how to motivate, inspire and encourage your staff. They will share their personal experiences that have helped them to thrive as supervisors, and help steer you away from fail practices. Learn how to reach goals and contribute to the success of your organization by understanding what your role is, as a manager. This session will provide tools and techniques that can be used in your day-to-day routine. Tolise Miles*, Senior Grants & Contracts Specialist,Grants and Contracts Administration and Finance, Children's National Medical Center Anne Albinak, Senior Administrative Manager, Johns Hopkins University Mary L. Healy, Associate Director, Research Administration, Krieger School of Arts and Sciences, Johns Hopkins University Dennis J. Paffrath, Assistant Vice President for Sponsored Programs Administration, University of Maryland, Baltimore David K. Smelser, Assistant Director of Sponsored Programs, University of Tennessee Pim Thukral, Vice President, Financial Accounting and Systems, Georgetown University Pamela M. Valentine, Director, Research Support Services, University of Memphis COMPLIANCE COMPLIANCE WITH FEDERAL POST-AWARD ADMINISTRATION POLICIES AND PROCEDURES Developing standard office procedures to comply with the federal post award policies can be challenging. This discussion will cover the challenges many institutions face in adhering to the policies and identify key controls that need to be in place to ensure compliance including special terms and conditions, financial and letter of credit (LOC) reporting, invoicing, collections, cost transfers, > continued on next page 72 PROGRAM LEVELS: B – BASIC; I – INTERMEDIATE; A – ADVANCED; O – OVERVIEW; U – UPDATE * Lead presenter 10:15 – 11:45 AM ~ DISCUSSION GROUPS (continued) COMPLIANCE COMPLIANCE WITH FEDERAL POSTAWARD ADMINISTRATION POLICIES AND PROCEDURES (CONTINUED) Kim Garrison*, Director of Post-Award, University of Pennsylvania AGENDA Tuesday 8.12.14 subcontract financial monitoring, Research Performance Progress Report (RPPR) submissions and audits. Participants are encouraged to bring questions and or share scenarios and best practices from their own experiences in developing and or implementing post award compliance policies and procedures. DEPARTMENTAL SUBRECIPIENT MONITORING: IT ALL BEGINS WITH COMMUNICATION Subrecipient Monitoring is a shared responsibility between both departmental and central administrators. It takes understanding who will be responsible for what aspects of administering the subaward. In this discussion group, we'll share some basic business practices for subrecipient monitoring. Come prepared to share your experiences, what worked and didn't work and lessons learned. FEDERAL REPORT OF THE ADMINISTRATIVE BURDEN TASK FORCE Louise G. Davis*, Compliance Specialist, Office of Research Administration, University of Maryland, College Park Tamara N. Lucas, Specialist, Contracts and Grants, University of Maryland, Baltimore Arthur Bienenstock*, National Science Board Member; Professor of Photon Science, Stanford University (Emeritus) The National Science Board's Task Force on Administrative Burdens was created in December 2012 and charged with examining the administrative burden imposed on federally supported researchers. The Task Force, made up of current and former vice-presidents for research and university professors, engaged in data collection efforts in the spring of 2013. Through a request for information and a series of roundtable discussions, investigators were asked to identify which Federal agency and institutional requirements contribute most to their administrative workload and to offer recommendations for reducing that workload. The responses received represent the views of roughly 3,400 investigators, university administrators, and organizations. The Task Force's findings, the National Science Board's recommendations and future activities will be discussed. PROGRAM LEVELS: B – BASIC; I – INTERMEDIATE; A – ADVANCED; O – OVERVIEW; U – UPDATE * Lead presenter 73 56 th 10:15 – 11:45 AM ~ DISCUSSION GROUPS (continued) ANNUAL MEETING INTERNATIONAL CHALLENGES TO ESTABLISHING COLLABORATIONS WITH INTERNATIONAL ORGANIZATIONS AGENDA Tuesday 8.12.14 Tiina Berg*, Senior Research Funding Advisor, University of Helsinki David J. Mayo, Director of Sponsored Research, California Institute of Technology Law, language, business culture, and a host of other issues can create challenges when trying to establish a collaboration with a partner outside your country’s borders. Participants in this session will share some of the challenges they have encountered as well as solutions they have devised. POST-AWARD DIFFICULT CONVERSATIONS WITH OUR GRANT PARTNERS - INTERNAL AND EXTERNAL TO OUR ORGANIZATION This session will examine the sometimes difficult conversations that we need to have with our grant partners, internal and external to our organization. The session will also demonstrate to participants the utilization of management monitoring techniques to identify trends; ensure efficient operations; take corrective actions, and sometimes playing the role of "Good Cop and Bad Cop". Learning Objectives: • Participants will develop an understanding of an effective communication strategy with our grant partners • Participants will identify important financial, operational and compliance trends • Participants will provide tools to monitor and manage vital post award functions • Participants will discuss escalation and enforcement activities Prerequisites: Basic knowledge of post-award management. Richard Blair*, Director, Extramural Funds, University of California-San Francisco PRE-AWARD THE MEAT AND POTATOES OF RESEARCH DEVELOPMENT Over the past several years, we have seen significant growth in research development programs and the benefits this service provides to growing the scholarly and research enterprise. In this session, we will dive into the meat and potatoes of research development and focus on opportunistic areas that you can take back to your institutions. Now and looking ahead, we are facing a tough funding environment and we need to leverage our resources to get the biggest bang for the buck! Vegetarians are encouraged to attend. PREDOMINANTLY UNDERGRADUATE INSTITUTIONS Follow-up to Concurrent Session: Strategic Planning for Your Sponsored Research Office: Facing the Future, held at 8:15 am STRATEGIC PLANNING FOR YOUR SPONSORED RESEARCH OFFICE: FACING THE FUTURE Learning Objectives: In this session, we will discuss: • Finding funding sources/opportunities and education of Faculty (certifications, faculty workshops.) • Funding dissemination (Research websites, newsletters, social media, etc.) • Communication (Networking events, Studios/Coffee talks/Research week, etc.) Erica Gambrell*, Coordinator of Research Services, University of Alabama Marc Haon, Research Services Advisor, Auburn University Kirsten Yehl, Administrative Director, Northwestern University Martin Williams*, Director, Office of Sponsored Programs, William Paterson University Angela Rochat, Director of Sponsored Research & Federal Relations, Fort Lewis College Roger Wareham, Director, Grants Development, University of Minnesota, Morris Shannon Sutton, Director, Sponsored Projects, Western Illinois University This discussion session will provide participants from the current session to discuss and consider how to effectively incorporate personal considerations in their strategic planning. 74 PROGRAM LEVELS: B – BASIC; I – INTERMEDIATE; A – ADVANCED; O – OVERVIEW; U – UPDATE * Lead presenter 11:45 AM – 1:15 PM ~ LUNCHEON AND VOLUNTEER RECOGNITION 1:15 – 2:15 PM ~ SPARK SESSIONS These 15-20 minute, high energy, high deliverable offerings will get right to the good stuff and you will be able to check out multiple topics in each time slot. 1:15 – 1:35 PM HOW TO STAY SANE DURING F&A PROPOSAL PREPARATION Mira Levine, Manager, Higher Education Practice, MAXIMUS 1:45 – 2:05 PM IS MY TRAINING EFFECTIVE? Rashonda Harris*, Associate Director, Research Accounting Services, Temple University AGENDA Tuesday 8.12.14 1:15 – 2:15 PM ~ CONCURRENT SESSIONS BIOMEDICAL O SUBMISSION, PEER REVIEW AND BEST PRACTICES OF MENTORED NIH CAREER DEVELOPMENT AWARDS (KS) EMPHASIS ON K25/ K99/R00 We will address the goals, development and traits of how to submit various K awards, how the NIH peer review process is when dealing with K's and some best practices that may assist in making an administrators life easier when submitting and managing K awards. CAREER SKILLS/PROFESSIONAL DEVELOPMENT I THERE'S AN APP FOR THAT! This concurrent session will focus on the use of applications in our work environments. Applications will be covered broadly including computer applications and accessories, web applications, and mobile applications. Come ready with your ideas and input this session is meant to be a collaborative sharing of knowledge and best practices on how to improve communication and performance for all. CAREER SKILLS/PROFESSIONAL DEVELOPMENT O BE THE CHANGE - ADAPTING TO YOUR EVOLVING OFFICE In this session, we will present how to adapt to changes in a research administration office – including leadership changes, staff fluctuations, and technology/environment changes. Between Lynda and Joanne, they have over 50 years of experience in research administrative offices and been part of multiple staff transitions. Come join this lively discussion of how to evolve in a challenging environment in order to avoid extinction. Learning Objectives: Participants will be assisted with the Career development of Postdoctoral Fellows. Peter Hague*, Senior Research Administrator Wellman Center for Photomedicine, Massachusetts General Hospital Chuck Washabaugh, Health Scientist Administrator, National Institutes of Health Learning Objectives: • Participants will explore new apps that are utilized for communication and information sharing. • Participants will examine the differences in how applications are used in our personal lives versus our professional lives. • Participants will investigate concerns with using applications to support communication and information sharing. Candice Ferguson*, Manager, Research Education and Communications, Georgia Institute of Technology Garrett Steed, Contracting Officer, University of Colorado-Boulder Learning Objectives: Participants will engage in discussion and ideas on how to survive and flourish with leadership changes, reduction in staff, and workplace environment changes. Prerequisites: A willingness to interact and participate in the discussion Lynda Wolter*, Deputy Director, ERA and Training, University of Chicago Joanne Altieri, Associate Director, Grants Management, University of Chicago PROGRAM LEVELS: B – BASIC; I – INTERMEDIATE; A – ADVANCED; O – OVERVIEW; U – UPDATE * Lead presenter 75 56 th 1:15 – 2:15 PM ~ CONCURRENT SESSIONS (continued) ANNUAL MEETING COMPLIANCE A SPECIAL COMPLIANCE ISSUES ASSOCIATED WITH INTERNATIONAL PROGRAMS AGENDA Engaging in programs with international collaborators introduce risks of noncompliance with numerous federal compliance laws and regulations not encountered in comparable programs with domestic partners. In this session, we will focus several of these compliance issues, including aspects of import, export, and sanctions compliance issues that are unique to international partnerships, and compliance with Anti boycott regulations and the Foreign Corrupt Practices Act. Additionally we will address immigration issues and issues related to compliance with foreign laws. DEPARTMENTAL B FINANCIAL MANAGEMENT FOR DEPARTMENT ADMINISTRATORS Tuesday 8.12.14 As we strive to manage our daily departmental tasks and achieve successful post-award funds management, we balance the needs of our faculty, staff, central offices, and sponsors, as well as a myriad of internal and external rules/regulations/ deadlines/etc. In a funding environment with increasingly complex regulations and collaborations, we need to continually educate our staff and ourselves to manage portfolios successfully. This session will examine the department administrator's role in the post award life cycle, including tips for successful portfolio management, navigating potential pitfalls, and what we all really need to have in our toolkits. FEDERAL U SciENCV: HOW ARE THE PILOTS GOING? The shared presentation will describe an FDP project called the Science Experts Network Curriculum Vitae (SciENcv). This system was initiated to develop single collection of data that are normally contained in a curriculum vitae so that it can be used to help complete biosketches for federal grant applications or progress reports. Version 2 of the system has been built and housed by the National Center of Biotechnology Information at the National Library of Medicine. It is limited to the creation of NIH biosketches at the moment, but in the Fall, SciENcv also will create NSF biosketches. In addition to future plans for SciENcv there will be a description of the Open Researcher and Contributor Identifier (ORCID) and how ORCIDs are collected in SciENcv. Finally, the presentation will cover planned changes in the NIH biosketch and the pilot that has been launched to test the new format. 76 Learning Objectives: • Participants will learn about import, export and sanctions compliance issues specific to international programs, including compliance with Anti boycott regulations. • Participants will learn about compliance with the Foreign Corrupt Practices Act. • Participants will learn about compliance issues associated with immigration. Prerequisites: Participants should have experience with negotiating or managing international agreements. David Brady*, Director, Export and Secure Research Compliance, Virginia Tech Elisabeth Liadis, Associate, Attorney, Hogan Lovells Learning Objectives: • Participants will gain insight into the department administrator's role in financial management of all forms of funds. • Participants will learn departmental best practices we can all share. • Participants will learn to recognize and develop collaborations within their department and with their central offices to manage the award process. Randi Wasik*, Director of Administration and Finance, University of Washington Csilla Csaplár, Department Manager, Geophysics, Stanford University Heather M. Offhaus, Director, Medical School Grant Review & Analysis, University of Michigan-Ann Arbor Sinnamon A. Tierney, Assistant Director of Departmental Research Administration, Portland State University Walter Schaffer*, Senior Advisor, National Institutes of Health Lori Ann M. Schultz, Assistant Director, Sponsored Projects Services, University of Arizona Ron Splittgerber, Director, Research Services, Colorado State University PROGRAM LEVELS: B – BASIC; I – INTERMEDIATE; A – ADVANCED; O – OVERVIEW; U – UPDATE * Lead presenter 1:15 – 2:15 PM ~ CONCURRENT SESSIONS (continued) FEDERAL I NATIONAL SCIENCE FOUNDATION (NSF) CRITICAL DATES FOR THE FISCAL YEAR END AND ACM BASED AWARD MONITORING ACTIVITIES The National Science Foundation (NSF) will be implementing a new core accounting system in October 2014. As part of the transition to that system, NSF will be taking their award payment system, ACM$, off-line for awardee payments on September 18, 2014. ACM$ will remain offline until the new accounting system is operational. This session will provide awardee institutions with important information and advice that will be critical to insuring successful operations during that time period. Secondly, the implementation of ACM$ provided NSF with the opportunity to revise many of its baseline post award financial monitoring activities. The session will review new developments in award monitoring activities and provide awardees with insight into areas of emphasis for the future. Lastly, the session will provide attendees the opportunity to ask questions directly to NSF staff members responsible for these activities. INTERNATIONAL O NCURA INTERNATIONAL FELLOWSHIP EXCHANGE PROGRAMS NCURA's International Fellowship Program is now in its fifth year. Fellows have reported the experience from enjoyable to beyond expectations to career-changing. In this session, you will have the opportunity to hear from two Fellows: one who traveled to the United States; and one who was hosted in Sweden. Join us to learn about: the benefits you and your staff receive when hosting an NCURA International Fellow; expenses for Hosts and Fellows and what travel money is available from NCURA; how to apply to become an NCURA International Fellow or a Host contact; and what the selection committee looks for when making decisions for this highly successful program. Learning Objectives: • Participants are informed of NSF's transition to its new accounting system. • Participants are informed of all actions required to be completed by their institutions due to NSF's transition to its new accounting system. • Participants can prepare to take actions to insure successful operations during NSF's transition to its new accounting system. • Participants are aware of NSF policy and procedure changes related to changes to baseline award monitoring activities. • Participants are informed of key NSF contacts that can provide assistance concerning the subject areas. AGENDA Tuesday 8.12.14 Michael Howe*, Section Head, Grantee Cash Management Section, Division of Financial Management, National Science Foundation Kathleen Larmett*, Executive Director, National Council of University Research Administrators David Lauder, European Research Project Manager, University of York Andreas Ledergerber, Head of Office, Office of Science & Technology Education, Embassy of Switzerland in the United States of America Dan Nordquist, Assistant Vice President/ Director, Office of Grant and Research Development. Washington State University Amanda Snyder, Assistant Director, Sponsored Programs Administration, University of Maryland, Baltimore PROGRAM LEVELS: B – BASIC; I – INTERMEDIATE; A – ADVANCED; O – OVERVIEW; U – UPDATE * Lead presenter 77 56 th 1:15 – 2:15 PM ~ CONCURRENT SESSIONS (continued) ANNUAL MEETING POST-AWARD I AUDIT – FROM START TO FINISH – LOOKING AT HOW TO SURVIVE AN AUDIT AGENDA Tuesday 8.12.14 Understanding the audit cycle from start (before the first transaction) to finish (post audit resolution and corrective action) can greatly reduce the stress and risk the accompanies a visit from your friendly neighborhood (or ahem...federal!) auditor. Learning Objectives: This session will detail the audit process and provide tips on surviving an audit including ideas for gathering documentation, managing the audit process, insights into auditortype questions, and understanding audit observations and findings. Participants are encouraged to share experiences with their peers. Prerequisites: Participants should have a basic understanding of federal grant regulations and audits. Kimberly Ginn*, Principal, Baker Tilly Mary Lee Brown, Associate Vice President for Audit,Compliance and Privacy, University of Pennsylvania PRE-AWARD I LIMITED PROPOSAL SUBMISSIONS: UNDERSTANDING THE CHALLENGES As funding continues to decline, an increasing amount of Federal and non-federal sponsors are relying more heavily on institutions to screen all potential proposals and only submit their best. Sponsors achieve their goal of reducing the number of submissions and improving the quality of proposals by limiting the number of proposals submitted by an organization (or organizational unit) to specific program solicitations. Learn how two institutions: • identify these limited submission opportunities; • distribute information regarding these restricted opportunities to researchers; • structure an internal review/decision process; • handle instances of multiple proposals that appear at the last moment. Learning Objectives: • Participants will gain insight into how other universities are managing limited submissions. Learn strategies for locating limited submission opportunities. • Participants will discover new ways to distribute information related to limited submissions to faculty and staff on campus. Danielle McElwain*, Senior Sponsored Programs Administrator, University of South Carolina Courtney Swaney, Assistant Director, Proposal Administration, Office of Sponsored Projects, University of Texas at Austin All these and more related topics will be discussed in this concurrent session. Participants are encouraged to bring questions or situations occurring at their own institution for discussion at the end of the presentation. PREDOMINANTLY UNDERGRADUATE INSTITUTIONS O YOU DON’T HAVE TO DO IT ALONE... PUIs Explore the ways to create a professional support network within your institution by sharing your knowledge and expertise in research administration with various layers of administrative staff. Even though your office may only have a few staff, there are resources throughout your campus that can provide valuable assistance. Come take part in an interactive session to gain new ideas for expanding outreach to others on your campus. Discuss various way of engaging your colleagues in becoming your partners in reaching the external funding goals and assure compliance. Share your experiences – positive and negative – in reaching out and expanding institutional resources to enhance sponsored program activities. 78 Learning Objectives: • Participants will formulate practical strategies to strengthen the research administration enterprise in spite of extremely limited workforce resources. • Participants will learn how to seize an opportunity to engage department administrators and business office staff in active learning, to reinforce their commitment and maintain their involvement. • Participants will expand your view of what other units can do to support sponsored programs and serve as your first line of defense in managing external funds. Shella Batelman*, Senior Grant Administrator, Suffolk University Pam Whitlock, Director, Office of Sponsored Programs, University of North Carolina at Wilmington (Emeritus) PROGRAM LEVELS: B – BASIC; I – INTERMEDIATE; A – ADVANCED; O – OVERVIEW; U – UPDATE * Lead presenter 1:15 – 2:15 PM ~ DISCUSSION GROUPS BIOMEDICAL HOT TOPICS IN CLINICAL TRIAL AGREEMENT LANGUAGE Scott Davis*, Associate Director, Office of Research Administration, University of Oklahoma Health Sciences Center AGENDA Tuesday 8.12.14 Clinical Trial Agreement (CTA) language is becoming more complex each year. Indemnification, Subject Injury, Publication, Intellectual Property, AAHRPP requirements: where does it end? These are just some of the areas in which new laws and regulations- have recently been added to the extensive list of items that research administrators must review in Clinical Trial Agreements. Be prepared to discuss which CTA language is problematic to your institution and to share your successes in having clinical trial sponsors revise their CTA language. You can expect a lively discussion with plenty of ideas on how to handle your problematic Clinical Trial Agreement language. CAREER SKILLS/PROFESSIONAL DEVELOPMENT BUILDING A LOCAL AREA RESEARCH ADMINISTRATION NETWORK Barbara Richard*, Director, Sponsored Programs Administration, Baystate Medical Center This session will present some personal experiences in creating a Local Area Research Administration group. We will identify the frustrations and the rewards. We will talk about how to get started and how to identify potential participants. We will explore how to maintain interest among research administrators from institutions of diverse size and missions (i.e., finding commonalities for community colleges and academic medical centers!). COMPLIANCE THE BENEFITS OF HUMAN RESEARCH PROTECTION ACCREDITATION IN A COMPETITIVE AND GLOBAL RESEARCH ENVIRONMENT Sarah Kiskaddon*, Director, Business Development, Communications, and Public Relations, Association for the Accreditation of Human Research Protection Programs (AAHRPP) This panel will discuss the need to ensure compliance, and build an effective infrastructure before expanding a research portfolio. Efficiency and collaboration are on the rise in order to maximize the impact of research funding. What is the best way to function at high standards and allow flexibility in order to increase efficiency? The importance of forming alliances with other HRPPs, and sharing/ceding IRB review will be discussed. PROGRAM LEVELS: B – BASIC; I – INTERMEDIATE; A – ADVANCED; O – OVERVIEW; U – UPDATE * Lead presenter 79 56 th 1:15 – 2:15 PM ~ DISCUSSION GROUPS (continued) ANNUAL MEETING DEPARTMENTAL Follow-up to Concurrent Session: A-110/ OMB Uniform Guidance: Your Blueprint to a Federally Compliant Institution, held @ 10:15 am AGENDA Tuesday 8.12.14 OMB UNIFORM GUIDANCE: EXPECTATIONS FROM OMB’S STREAMLINING OF THE FEDERAL ADMINISTRATIVE REQUIREMENTS We will continue discussions started in the session, "Finding A-110 in the Omnicircular (A-81): Still Your Blueprint to a Federally Compliant Institution," and will especially focus on the impact of the A-81 Administrative Requirements to institutional sponsored programs policies, procedures and practices. FEDERAL ENERGY AND ENVIRONMENT: THE PROGRAMS OF ARPA-E AND EPA The U.S. Department of Energy’s Advanced Research Projects Agency-Energy (ARPA-E) representative and an EPA representative will discuss current trends in federal R&D investments. ARPA-E invests in disruptive ideas to create America’s future energy technologies while EPA funds a wide-range of grants focused on protecting human health and the environment. INTERNATIONAL CHALLENGES MANAGING A GLOBALLY FUNDED PORTFOLIO As universities become more successful in diversifying their research funding sources, this expansion has increasingly included funding sources from different countries. Especially with regards to government research funding agencies, these different funding sources will have their own sets of rules and regulations. For institutions that may be optimized for one particular set of government rules and regulations, it may be challenging to discern what new systems, policies, and procedures are needed in order to comply with different countries' research funding agencies. This session will discuss ways that an institution can review its policies and identify common issues that will need to be addressed in order to successfully manage an globally funded research portfolio. 80 Krista Carmichael*, Senior Sponsored Research Administration, Harvard University Cheryl Williams, Associate Director, Office of Research and Project Administration, University of Rochester Shane Kosinski*, Deputy Director for Operations, Advanced Research Projects Agency-Energy (ARPA-E) Adam H. Goldstein, Support Contractor to ARPA-E, Booz Allen Hamilton Bronda Harrison, United States Environmental Protection Agency James H. Johnson, Director, National Center for Environmental Research, Office of Research and Development, U. S. Environmental Protection Agency David W. Richardson*, Associate Vice Chancellor for Research and Director of Sponsored Programs, University of Illinois at Urbana-Champaign Simon Kerridge, Director, Research Services, University of Kent PROGRAM LEVELS: B – BASIC; I – INTERMEDIATE; A – ADVANCED; O – OVERVIEW; U – UPDATE * Lead presenter 1:15 – 2:15 PM ~ DISCUSSION GROUPS (continued) POST-AWARD MANAGING F&A AS WELL AS SURPLUS DOLLARS – FROM ALLOCATION TO WHAT THEY ARE USED FOR Deanna Hendrickson*, Grants Manager, Kennesaw State University AGENDA Tuesday 8.12.14 What happens when you have left-over funds from awards? What are you allowed to spend them on? This session will focus on how to manage surplus funds when and if we are allowed to keep them. Budget management and how to monitor your rate of spending through the life of the award so you zero out at the end can also be reviewed. Participants are encouraged to share their tips and best practices. PRE-AWARD A NEW WORLD FOR RESEARCH ADMINISTRATION – MOVING FROM A TRADITIONAL ORGANIZATION FOR THE SUPPORT OF RESEARCH TO A SHARED SERVICES MODEL, DISCUSSING THE OPPORTUNITIES AND CHALLENGES Kerry Peluso*, Associate Vice President for Research Administration, Emory University This discussion group will provide an opportunity to discuss the challenges and opportunities offered by moving to non-traditional organizational structures to support research administration. PREDOMINANTLY UNDERGRADUATE INSTITUTIONS SO ALIKE, SO DIFFERENT: COMPARING RESEARCH ADMINISTRATION AT PUBLIC AND PRIVATE PUIs Research administrators at public and private PUIs contend with the same regulations and grant programs, but we do so within differing institutional structures and cultures that present both challenges and opportunities. This discussion session will identify and explore some of the many ways in which our daily work is directly affected by our institutions' identities, affiliations, and missions, such as faculty workload and flexibility, attitudes toward compliance, relationships with development offices, budgeting constraints, and state policies in addition to federal ones. Sally J. Southwick*, Director of Sponsored Programs & Foundation Relations, Earlham College Anne Pascucci, Director, Sponsored Programs Christopher Newport University PROGRAM LEVELS: B – BASIC; I – INTERMEDIATE; A – ADVANCED; O – OVERVIEW; U – UPDATE * Lead presenter 81 56 th 1:15 – 2:15 PM ~ SENIOR LEVEL DISCUSSION ANNUAL MEETING ASSESSING WORKLOAD, COMPLIANCE AND TRAINING NEEDS THROUGH INSTITUTIONAL METRICS AGENDA Learning Objectives: To identify areas of compliance, workload and training that are appropriate for metric analysis To discuss the planning process for developing and implementing appropriate metric analyses To discuss possible ways that separate metric analyses can be effectively used in combination to facilitate institutional management of the research administration enterprise. FULL This session provides an update on Duke University's metrics initiative. For several years Duke has been refining the use of metrics to assess grant management workload, identify key indicators of financial compliance, and target training to appropriate audiences. The most recent enhancements have enabled the institution to combine various components into a powerful management tool for supervisors, business managers and senior leadership to better understand and plan for targeted deployment of resources, specific training and personnel needs, and potential compliance issues. Panelists will describe the journey in developing these separate processes and how they are being brought together to form a comprehensive interactive business tool. Jim Luther*, Associate Vice President, Research Cost Compliance, Duke University No Fee. Pre-registration is required. 2:15 – 2:30 PM ~ NETWORKING AND REFRESHMENT BREAK 2:30 – 3:30 PM ~ SPARK SESSIONS Tuesday 8.12.14 82 These 15-20 minute, high energy, high deliverable offerings will get right to the good stuff. 2:30 – 2:50 PM CHARTING COMMON GROUND: CONSIDERATIONS FOR RESEARCH ADMINISTRATION FOR INTERDISCIPLINARY INSTITUTES Christina Leigh Deitz*, Grant Development Administrator, Maxwell School, Syracuse University PROGRAM LEVELS: B – BASIC; I – INTERMEDIATE; A – ADVANCED; O – OVERVIEW; U – UPDATE * Lead presenter 2:30 – 3:30 PM ~ CONCURRENT SESSIONS BIOMEDICAL O TRANSLATIONAL RESEARCH: FUNDAMENTALS AND CHALLENGES Translation of biomedical innovations to commercial partners and ultimately to clinical practice is of critical importance for improving patient care and advancing science. Translational research process management is very challenging because it requires a strong team approach, visionary planning, interdisciplinary performance, coordination across multiple interfaces, specific education and training. This session will introduce key challenges and potential models for improving the process and accelerating the pace of translational research. CAREER SKILLS/PROFESSIONAL DEVELOPMENT B TIME MANAGEMENT SUPER POWERS: OVERCOME THE TIME-DESTROYING FORCES OF EVIL! Have you ever experienced the disheartening feeling that you have worked like a maniac all day long and cannot answer the simple question: "What did you do today?" It might be time for you to take a refresher course in time management. In this interactive session, we will explore methods to tie what you WANT to do with your day with how you actually spend your day. Time management is a self-discipline super power for productivity that enables you to get more of your priorities accomplished and helps you to feel a greater sense of satisfaction with the results of your day. Learn some simple techniques to help you get more done and draw some lines through that long "to do" list. Oh yeah, and you also be able to answer the "What did you do today?" question with a mind boggling stream of accomplishments! CAREER SKILLS/PROFESSIONAL DEVELOPMENT O MAXIMIZING YOUR NCURA EXPERIENCE Gabriela Apiou*, Translational Research Core Director, Massachusetts General Hospital Tammy Heesakker, Senior Business Strategy and Licensing Manager, Partners Healthcare Innovation AGENDA Tuesday 8.12.14 Learning Objectives: • Participants will learn techniques for setting daily priorities. • Participants will learn techniques for eliminating time wasters. • Participants will learn how to tactfully say "No" when appropriate. • Participants will learn tactics to increase task completion rates for higher productivity. Brigette S. Pfister*, Director of Sponsored Programs, College of Humanities & Sciences, Virginia Commonwealth University David L. Mineo, Managing Director, DLMineo Consulting, LLC Tara E. Bishop*, Associate Executive Director, National Council of University Research Administrators Emily Ainsworth, Coordinator of Membership Services, National Council of University Research Administrators Christina K. Hansen, Regional Volunteer Assistance Coordinator, National Council of University Research Administrators Stephanie M. Moore*, Community Curator, National Council of University Research Administrators PROGRAM LEVELS: B – BASIC; I – INTERMEDIATE; A – ADVANCED; O – OVERVIEW; U – UPDATE * Lead presenter 83 56 th 2:30 – 3:30 PM ~ CONCURRENT SESSIONS (continued) ANNUAL MEETING COMPLIANCE B EXPORT CONTROLS BASIC AGENDA While universities generally have a mission to disseminate knowledge to the greatest extent possible, US Export regulations are designed to restrict the dissemination of technology, commodities, and services to non-US persons and locations. This session will provide an overview of the regulations applicable to university research while providing some basic guidance for administrators on how to maintain compliance while staying true to the mission of the university. We will discuss questions such as: When do OFAC sanctions apply to research? What is a "deemed export"? What is the fundamental research exclusion and when does it apply? What are the technologies I need to be concerned about? What are the export control considerations for international research? Session will include examples and scenarios. DEPARTMENTAL I ETHICAL DILEMMAS FACING DEPARTMENT RESEARCH ADMINISTRATORS Tuesday 8.12.14 As Department Research Administrators, we are often faced with decisions that pose ethical dilemmas. Although there are rules and regulations that we need to follow, there are far more grey areas than black and white. For example, a PI asks you to order something that you feel may not be appropriate. You know you can get it done, but should you? In this session, we will discuss examples of ethical dilemmas facing Department Research Administrators and strategies for handling them. We have our own thoughts about how to handle these situations; however we are also looking for answers so come prepared to share and discuss this intriguing topic with us. FEDERAL U PUBLIC ACCESS FROM AN INSTITUTIONAL PERSPECTIVE Recent directives from funding agencies as well as institutions that have adopted open access policies requires increased awareness of issues such as copyright, compliance, handling of sensitive information, and support for meeting new public access requirements. Researchers are often confused and seek guidance for understanding what their roles and responsibilities are in complying. Others feel that they don't really need to change the way they work and choose not to comply. In the end, it is many times the institution that is scrambling to provide education about public access, services to ensure compliance, and mediation with commercial publishers regarding research publications. What part of the institution does this? It takes a campus. 84 Learning Objectives: • Participants will have a basic understanding of the export regulations most applicable to university research. • Participants will identify export compliance risks related to technical data, international travel, visitors, collaboration and physical exports. • Participants will have a basic understanding of common university practices to help mitigate compliance risks. • Participants will know when to ask for help! Adam Grant*, Export Compliance Officer, University of Maryland, College Park Marci Copeland, Export Control Administrator/ Trainer, University of California - Irvine Learning Objectives: • Participants will identify the ethical values that are important to Department Research Administrators. • Participants will recognize unethical behavior and what to consider when faced with an ethical dilemma. • Participants will learn the strategies and decision making processes that provide a framework for understanding and working through ethical conflicts. Jim Maus*, Senior Research Administrator, Washington University in St. Louis Diane L. Hillebrand, Grant & Contract Officer, School of Medicine & Health Sciences, University of North Dakota Learning Objectives: This session will provide an overview of the current state of public access and how institutions can draw on the expertise throughout the campus to address the public access policies around research publications. Geneva Henry*, UV Librarian & Vice Provost, George Washington University PROGRAM LEVELS: B – BASIC; I – INTERMEDIATE; A – ADVANCED; O – OVERVIEW; U – UPDATE * Lead presenter 2:30 – 3:30 PM ~ CONCURRENT SESSIONS (continued) FEDERAL O IT IS TIME TO RENEW OUR VOWS: REVITALIZING THE UNIVERSITY/FEDERAL AGENCY PARTNERSHIP When personal relationships get tense, the best course of action is typically to take a step back, take a deep breath and commit to having a calm and rational discussion about the situation. Once it is all sorted out, it often turns out that the problems were really rooted in a lack of mutual understanding about the roles, responsibilities and expectations of each partner. While the FDP is, of course, an excellent forum for discussion of the University and Agency partnership, there isn't always the time to take that step back and talk about the roles of the agencies, the IGs, the OMB and the various other federal offices, councils, etc. that all have a bearing on the administrative burden research institutions bear. Our best chance for a happy future is to understand our partner and recognize that we're stuck between the rock and the hard place together. INTERNATIONAL O INTERNATIONAL SUBRECIPIENTS – THE LONG AND WINDING ROAD Are you responsible for issuing or managing international subrecipient agreements? If so, then you know they have interesting twists and turns. Don't let challenging situations and unique issues that arise stand in the way of a productive international collaboration. Starting with the proposal and moving through effective subaward negotiation and subaward management, the presenters will provide tips, tools and examples from our experiences. We will delve into the complexities of risk assessment, export and other compliance issues. We will discuss agreement terms and subrecipient oversight strategies that balance monitoring and micromanagement. POST-AWARD A LEAN IN: THE POST-AWARD PROCESS AT THE UNIVERSITY OF MICHIGAN MEDICAL SCHOOL For the past 2+ years the Medical School has been developing new ways of performing work under the post-award umbrella. Teams have been formed and Lean principles have been used to develop new standard work across the Medical Campus. Using Lean to improve business processes is becoming more popular in academia and in this session you will learn how to use Lean principles in your own operation to standardize and refresh how you do business. Cynthia Hope*, Assistant Vice President for Research & Director, Sponsored Programs, The University of Alabama Jean Feldman, Head, Policy Office, Office of Budget, Finance & Award Management, National Science Foundation Jennifer Rodis, Grants and Contracts Specialist, University of Wisconsin-Madison AGENDA Tuesday 8.12.14 Learning Objectives: Key take-aways for participants will include: • Questions to ask before submission when the proposal involves an international subrecipient. • Tools to identify potential export control, sanctions, and other compliance red flags that may require action before the collaborator can begin project work. • Specific examples of agreement terms that address key issues unique to international subawards. • Effective strategies for monitoring your international collaborators' project work. Janet Simons*, Director, Research Policy, University of Maryland, Baltimore David Brady, Director, Export and Secure Research Compliance, Virginia Tech Learning Objectives: • Participants will learn how to use Lean principles in your own operation. • Participants will gain knowledge about the major lessons learned and the wins realized from the new process. • Participants will learn how and why Procurement is considered part of post-award. Melissa Karby*, Administrative Manager Associate, University of Michigan Elizabeth Brant, Senior Research Administrator, University of Michigan PROGRAM LEVELS: B – BASIC; I – INTERMEDIATE; A – ADVANCED; O – OVERVIEW; U – UPDATE * Lead presenter 85 56 th 2:30 – 3:30 PM ~ CONCURRENT SESSIONS (continued) ANNUAL MEETING POST-AWARD A F&A STRATEGIES FOR SENIOR LEADERSHIP AGENDA Tuesday 8.12.14 This session will provide an overview of facilities and administrative (F&A) rate strategies geared towards senior leadership and decision makers for F&A approach at your institution. This session will explore opportunities with Operations and Maintenance (O&M) cost pools, Building depreciation, Equipment depreciation, and Organized Research Space Utilization, along with impact of the new Uniform Circular. PREDOMINANTLY UNDERGRADUATE INSTITUTIONS I DEVELOPING NEW SPONSORED PROGRAM OFFICES: THE PUI PERSPECTIVE As research administrators we share many common obligations and responsibilities; but at PUIs we also encounter special situations and circumstances that make our lives uniquely challenging -- and colorful. In this session a panel of seasoned research administrators from a diverse group of Predominantly Undergraduate Institutions will share personal experience, insights, and useful tips for developing and enhancing sponsored programs offices at PUIs. PRE-AWARD A STRUCTURING A PRE-AWARD OFFICE FOR MAXIMUM EFFECTIVENESS Working smarter, not harder. Doing more with less. These are the realities of our current environment. How do we accomplish this objective without burning out our most precious resource - our people? This session will explore ways to structure a central, pre-award office for maximum efficiency. Our panelists will explore areas such as the pros and cons of various structures, having staff act as generalists vs. specialists, pulling out unique tasks to be handled by separate groups, establishing career ladders within the office, and the role that technology can play. They will give examples of what has worked in their offices, as well as specific challenges to keep in mind. 86 Learning Objectives: Participants will gain a better understanding of strategies that can be used by institutional senior leaders in developing an F&A rate proposal. Prerequisites: Basic understanding of cost principles and components of F&A Rate proposal. Martin Smith*, Manager, Higher Education and Academic Medical Centers, Attain, LLC Wallace Davis, Partner, Attain, LLC Deston Halverson, Senior Manager, Attain, LLC Learning Objectives: Participants will learn about the unique challenges (and joys) associated with guiding the development of a sponsored programs office at a PUI, including: • How the unique culture of each institution plays a role in the development of a sponsored programs office. • The value of good assessment in determining your institution's sponsored programs needs. • Common PUI pitfalls that you will want to avoid. • What we can do to ensure that our offices continue to evolve in positive directions. Roberta Truscello*, Director of Sponsored Programs, Hobart and William Smith Colleges Pamela Napier, Director, Office of Sponsored Programs, Agnes Scott College Sally J. Southwick, Director of Sponsored Programs & Foundation Relations, Earlham College Martin Williams, Director, Office of Sponsored Programs, William Paterson University Learning Objectives: • Participants will leave with an understanding of the pros and cons of various pre-award office structures and strategies as they relate to overall operating efficiency. • Participants will discover how to use technology in connection with office structure to ensure an effective pre-award office. Prerequisites: Participants should have a general understanding of the needs of a central, pre-award research administration office and of the challenges facing managers in organizational change and structure. Amanda Snyder*, Assistant Director, Sponsored Programs Administration, University of Maryland, Baltimore Barbara Gray, Director of Sponsored Programs, East Carolina University Dennis Paffrath, Assistant Vice President for Sponsored Programs Administration, University of Maryland, Baltimore PROGRAM LEVELS: B – BASIC; I – INTERMEDIATE; A – ADVANCED; O – OVERVIEW; U – UPDATE * Lead presenter 2:30 – 3:30 PM ~ DISCUSSION GROUPS BIOMEDICAL GETTING A HANDLE ON DARING (OR, RATHER, DATA SCATTERING) AGREEMENTS Collaboration across disciplines, across institutions and across international boundaries defines today's research environment. And these days it's not just ideas that get tossed around. Data that results from those ideas gets passed from one investigator to another, back again, then is tossed to a new colleague who has interesting, intersecting research ideas. More and more the casual group of colleagues grows into a "center" or "consortium" or other more formal, yet less understood, relationships. There may or may not be interinstitutional agreements underpinning these scientific collaborations. Jeanne Galvin-Clarke*, Manager, Sponsored Programs Administration, University of Maryland, Baltimore Leerin Shields, Manager, Contracts & Grants, University of Maryland, Baltimore AGENDA Tuesday 8.12.14 We will discuss the complications that arise in structuring a data sharing agreement that can accommodate the reality of data-scattering. How do you begin to capture all the potential institutions that should be party to such an agreement and define all the possible crosssharing among them? How is this affected when federal data repositories are involved in the mix? Should there be formal agreements at all? Whether you have answers or questions, stories to share, solutions you've tried and others you need to figure out, please join us to take a stab at tackling this puzzle. CAREER SKILLS/PROFESSIONAL DEVELOPMENT LEADERSHIP DEVELOPMENT FOR INTROVERTS Being an introvert does not mean sitting in a corner and watching the business world happen around you. Many of today's most successful leaders are introverts, but how do they do it? Come and learn about strategies and techniques, tips and tricks, that can help you navigate a world of extroverts. Learning Objectives: • Participants will identify resources for introverts (print, online, social networking). • Participants will talk with other self-identified introverts about career development techniques. • Participants will learn how to navigate through the NCURA annual meeting when you are overwhelmed with all of the information and interaction. Robin Dewey*, Director of Academic and Government Grants, McDaniel College Gayle Hurlbutt, Administrator, University of Rochester PROGRAM LEVELS: B – BASIC; I – INTERMEDIATE; A – ADVANCED; O – OVERVIEW; U – UPDATE * Lead presenter 87 56 th 2:30 – 3:30 PM ~ DISCUSSION GROUPS (continued) ANNUAL MEETING COMPLIANCE COI WAR STORIES (IMPLEMENTING THE AUGUST 2012 REVISION TO NIH’S COI POLICY) AGENDA Tuesday 8.12.14 This discussion group will present an open forum for participants to share the challenges they encountered and the triumphs they achieved in implementing the August 2012 revisions to the National Institutes of Health's policy on Financial Conflicts of Interest. Many institutions, of all sizes, faced challenges in the months leading up to the effective date of the policy change. Now that the effective date is in our rear view mirror, this session affords participants the opportunity to reflect on their processes, and to consider how what they learned could be applied to future policy changes. DEPARTMENTAL FEDERAL FINANCIAL COMPLIANCE: WHAT’S A DEPARTMENT TO DO? Anne Albinak*, Senior Administrative Manager, Johns Hopkins University Does your department have internal controls in place for compliance with federal rules and regulations for allowable costs, cost sharing, cash management and/or financial reporting? Are some of these issues more difficult to comply with than others? Do you have advice for others about issues you've encountered and solved? We will discuss problems as well as solutions for financial compliance issues in departments. FEDERAL USDA/NIFA UPDATE The National Institute of Food and Agriculture (NIFA) is an agency within the U.S. Department of Agriculture (USDA). Congress created NIFA through the Food, Conservation, and Energy Act of 2008. NIFA replaced the former Cooperative State Research, Education, and Extension Service (CSREES), which had been in existence since 1994. The Office of Grants and Financial Management (OGFM) supports NIFA’s mission of advancing food and agricultural science by administering grants, cooperative agreements, and other federal financial assistance with policy, funding, and oversight. This session will provide participants with the opportunity to meet OGFM staff and learn more about NIFA and its financial assistance efforts. 88 Holly Sommers*, Director, Pre-Award Grants Administration, Emory University Maria Koszalka*, Director, Division of Policy and Oversight, National Institute of Food and Agriculture, U.S. Department of Agriculture Melanie Krizmanich, Senior Policy Specialist, POD, National Institute of Food and Agriculture, Lisa Scott-Morring, Branch Chief, Policy Branch, OGFM, National Institute of Food and Agriculture, U.S. Department of Agriculture PROGRAM LEVELS: B – BASIC; I – INTERMEDIATE; A – ADVANCED; O – OVERVIEW; U – UPDATE * Lead presenter 2:30 – 3:30 PM ~ DISCUSSION GROUPS (continued) INTERNATIONAL INTERNATIONAL CONTRACTING ISSUES David Mayo*, Director of Sponsored Research, California Institute of Technology Our researchers are collaborating more and more with international partners, and these collaborations often create new challenges for the research administrator. This session will discuss various issues associated with international contracting, including protection of IP, disputes, dealing with exchange rates, and choice of applicable law. POST-AWARD BEST PRACTICES FOR SUBRECIPIENT MONITORING AGENDA Tuesday 8.12.14 Keri Godin*, Assistant Director of Research Integrity, Harvard Medical School This discussion group session will enable participants to share established best practices in fulfilling prime institutions' Subrecipient Monitoring obligations and will serve as a sounding board for proposed implementation of monitoring policies, tools and guidance documents to mitigate risk and promote compliance in this high-risk area. Time will be allotted to discuss how the Uniform Guidance may impact institutions' policies and practices related to subrecipient monitoring and what proactive measures institutions are implementing now in anticipation of forthcoming changes. PRE-AWARD USING SOCIAL MEDIA IN PRE-AWARD O.k., O.k., now that we are getting used to the Social Media stuff, let's really discuss if it's working or not. Are you using Facebook for funding opportunities, policy dissemination, managing events, etc.? Does Twitter work for your office and/or institution? What about blogs, are any you (us) using them? Then there are all the others - Google Plus, home-grown systems, am I leaving anything out? Come on by and let's discuss. I will for sure tell you my story - it's ups and downs and all arounds. Dan Nordquist*, Assistant Vice President/ Director, Office of Grant and Research Development. Washington State University PROGRAM LEVELS: B – BASIC; I – INTERMEDIATE; A – ADVANCED; O – OVERVIEW; U – UPDATE * Lead presenter 89 56 th 2:30 – 3:30 PM ~ DISCUSSION GROUPS (continued) ANNUAL MEETING POST-AWARD WHAT IS IT? WHO PROCESSES IT? DETERMINING RESEARCH V. GIFT V SERVICE AGENDA Tuesday 8.12.14 Have you ever received a document for review and weren’t quite sure what the document was or who should process it? Funding mechanism determination is step 1 and critical to maintaining streamlined research administration operations. This session will provide participants with best practices for interpreting and reviewing of funding mechanisms. Through real life examples, participants will gain a greater ability to recognize the attributes of funding mechanisms, have a better understanding of how the funding mechanisms differ and learn about the nuanced gray lines that exist between funding mechanisms. PREDOMINANTLY UNDERGRADUATE INSTITUTIONS WHAT NEW FACULTY AT PUIs NEED TO KNOW ABOUT SPONSORED RESEARCH David Ngo*, Assistant Vice President of Sponsored Projects Administration, University of Texas Southwestern Medical Center Brian Korblick, Manager, Huron Consulting Group Stacy Riseman*, Director of Sponsored Research, College of the Holy Cross Building a new faculty orientation program? Are you part of the interview process for hiring new faculty at your institution? What are some of the things these individuals need to know during their tenure at a predominately undergraduate institution? Some things we will discuss are the challenges faculty at PUI's cope with, such as higher teaching loads, closer interaction with students, juggling time and many responsibilities, lack of research overlap with other faculty, and how all of this affects applying for and receiving grants. Let's discuss what our institutions do to support new faculty facing these challenges. Our goal is to come away with fresh and exciting ideas to take back to our own PUI's! Please share at least one creative idea your institution has created or plans to create. 3:30 – 4:00 PM ~ NETWORKING AND REFRESHMENT BREAK 3:30 – 4:00 PM ~ GET CONNECTED AND GET INVOLVED FAIR! NCURA NATIONAL COMMITTEES Colleagues from NCURA’s National Committees – Board of Directors, Financial Management Committee, Nominating and Leadership Committee and the Professional Development Committee will be available to talk with you and answer questions on the front terrace. This is a perfect opportunity to learn about the different facets of NCURA. Grow your peer network…visit the Get Connected and Get Involved Fair throughout the Conference! 90 PROGRAM LEVELS: B – BASIC; I – INTERMEDIATE; A – ADVANCED; O – OVERVIEW; U – UPDATE * Lead presenter 4:00 – 5:00 PM ~ SPARK SESSIONS These 15-20 minute, high energy, high deliverable offerings will get right to the good stuff and you will be able to check out multiple topics in each time slot. 4:00 – 4:20 PM CONNECT WITH ME! NCURA’S SOCIAL MEDIA David Ngo*, Assistant Vice President of Sponsored Projects Administration, University of Texas Southwestern Medical Center 4:30 – 4:50 PM BASE TYPES AND WHEN TO CHARGE IDC Lucien Finley*, Assistant Director, Sponsored Projects, The University of Texas at Dallas AGENDA Tuesday 8.12.14 4:00 – 5:00 PM ~ CONCURRENT SESSIONS BIOMEDICAL O PRIMER ON CLINICAL TRIALS Classic training for research administrators will often focus on submitting grant proposals and administering federal awards. While this may provide very good fundamental background, the clinical research environment differs greatly. This session offers an overview of the process, types, phases, institutional complexities and regulatory requirements necessary for successful administration of clinical trials, as provided in the recently issued NCURA publication of the same name. Learning Objectives: • Participants will obtain an understanding of the regulatory framework that governs many aspects of clinical research. • Participants will obtain an understanding of the contracting process for review and negotiation of clinical research agreements with a commercial sponsor. • Participants will obtain an understanding of an approach to prepare and negotiate a clinical trial budget to ensure the trial is selfsustaining and to prevent billing errors. • Participants will obtain an understanding o fprevention and detection controls to achieve improved financial oversight and mitigation for the risk of billing errors. David Lynch*, Executive Director, Office of Sponsored Research, Northwestern University Ronald Polizzi, Associate Director, Contracts Office of Research Administration Thomas Jefferson University Thomas Wilson, Assistant Vice President/Senior Research Administration, Rush University Medical Center CAREER SKILLS/PROFESSIONAL DEVELOPMENT O LIFE, LOVE AND RESEARCH ADMINISTRATION As research administrators we often get caught up into the high demands our jobs. Whether meeting deadlines, filing reports, or simply fulfilling customer service duties, we can sometimes forget about ourselves - getting lost in the chaos of day-to-day requirements. This workshop will provide an insightful glimpse into the human aspect of research administration. We will take you on a guided tour of "YOU", the most valuable asset. We will offer tips on how to successfully navigate through your journey as a research administrator while balancing the demands of life. After all, what is research administration without YOU? Learning Objectives: • Participants will understand the value of Human Capital. • Participants will apply the principles of Maslow's Hierarchy in the workplace. • Participants will enhance knowledge of personality types/behaviors. • Participants will walk away having insight on how to balance the demands of work/life. Tonya Pinkerton*, Compliance Manager, Texas Tech University Adrien Bennings, Accounting Manager, Texas Tech University PROGRAM LEVELS: B – BASIC; I – INTERMEDIATE; A – ADVANCED; O – OVERVIEW; U – UPDATE * Lead presenter 91 56 th 4:00 – 5:00 PM ~ CONCURRENT SESSIONS (continued) ANNUAL MEETING COMPLIANCE I IMPACTS OF OMB UNIFORM GUIDANCE AGENDA Tuesday 8.12.14 The Uniform Guidance has challenged all of us to take a hard look at our practices, policies and procedures to ensure that we are in compliance with these new regulations. While research administrators are working to identify the impacts, many of us are facing the challenge of getting others in our organizations involved in the process. This session will outline the major impacts of the Uniform Guidance and introduce ideas for addressing these changes across the organization. DEPARTMENTAL B ORGANIZING YOUR DAY: TIPS FOR SUCCESSFULLY MANAGING YOUR WORKLOAD FOR PRE AND POST-AWARD ADMINISTRATORS The dynamic world of research administration can be havoc to control without the right tools and organization. This session will offer demonstrated approaches for managing your workload for both pre- and post-award administrators. You will learn strategies to simplify your work so that you can take control of your day before it takes control of you! FEDERAL O HIGHER EDUCATION AND NATIONAL SECURITY: BRIDGING THE GAP BETWEEN LAW ENFORCEMENT, INTELLIGENCE GATHERING, AND ACADEMIA The FBI’s Academic Alliance Program is a national outreach effort charged with sharing information and establishing a dialogue with academic institutions to increase awareness of threat and national security. The FBI’s goal is to help universities take proactive steps to better protect their institutions. We also aim to help develop new strategies to keep Americans safe while remaining sensitive to unique concerns and cultures on campus. FEDERAL U DEPARTMENT OF COMMERCE UPDATE: THE PROGRAMS OF NIST AND NOAA This session will describe the research grant (federal financial assistance) programs of the Department of Commerce's two largest science bureaus - NIST and NOAA. 92 Learning Objectives: • Participants will have a better understanding of the clauses in the Uniform Guidance may require changes to the practices and/or policies of your institution. • Participants will be able to identify which departments or units within your organization should be involved in the changes. • Participants will learn approaches to organizing a team dedicated to addressing the impact of the changes within your institution. Ann Holmes*, Assistant Dean, Administration and Finance, University of Maryland, College Park Learning Objectives: • Participants will learn to be prepared for their many different types of responsibilities. • Participants will learn to organize their time to effectively tackle the tasks at hand at any point in time. • Participants will identify tools they can use to simplify their work. Brooke Marchetti*, Research Administration Manager, University of Pittsburgh Darleen Noah, Research Manager, Juvenile Diabetes Institute, University of Pittsburgh Learning Objectives: • Participants will discuss the outreach efforts of the FBI to academic institutions. • Participants will be provided awareness of the threats to academic research, products and personnel. • Participants will be provided practical ways to lessen the vulnerabilities at academic institutions. Kescha Wilson*, Special Agent, Strategic Partnership Program, Federal Bureau of Investigation Phillip Hoffman*, Director, Oceans and Atmospheric Research (OAR) Cooperative Institutes Dianne Poster, Special Assistant to the Principal Deputy and Associate Director for Laboratory Programs, National Institute of Standards and Technology (NIST) PROGRAM LEVELS: B – BASIC; I – INTERMEDIATE; A – ADVANCED; O – OVERVIEW; U – UPDATE * Lead presenter 4:00 – 5:00 PM ~ CONCURRENT SESSIONS (continued) INTERNATIONAL O ASSESSING AND MANAGING RISKS IN INTERNATIONAL PROJECTS Sponsored research has become a global enterprise, and with greater international research collaborations come greater institutional risks that are often unique and different than risks inherent in domestic research agreements. From compliance with federal laws that regulate academic exchanges and international collaborations , such as export and sanctions, antiboycott and foreign corruption regulations, to intellectual property, tax, and legal issues, international project risks can frequently be identified at the Pre-Award phase of project development, and mitigated in the negotiation of the agreement. Using traditional risk assessment approaches, the presenters will identify a variety of red flags associated with international research collaborations, discuss methods of assessing these risks, and discuss mitigation strategies. POST-AWARD B MANAGING A SUBRECIPIENT MONITORING PROCESS Subrecipient Monitoring efforts often require review and refining to ensure compliance with federal requirements and institutional policies. Managing this function can be challenging with competing priorities and limited resources. This session will explore institutional policies and procedures and steps taken to maintain compliance with federal regulations. PRE-AWARD B SUBCONTRACT BASICS In today’s highly regulated environment, Subawards are becoming increasingly complex to create and monitor. This session is an overview of what it takes to prepare a Subaward and what is involved in monitoring that agreement throughout the period of performance. It will touch on a few laws/regulations governing the Subaward process. Learning Objectives: • Participants will be provided with an overview of institutional risks that are unique to, or more challenging in, international projects. • Using risk assessment analysis, participants will learn how institutions can assess their risks in an international project and develop mitigation strategies for their international projects. AGENDA Tuesday 8.12.14 David Brady*, Director, Export and Secure Research Compliance, Virginia Tech Janet Simons, Director, Research Policy, University of Maryland, Baltimore Learning Objectives: Participants will examine the decision making process for implementing subrecipient monitoring procedures. Antoinette Lawson*, Director, Office of Research Administration, University of Maryland, College Park Aimee Howell, Manager, University of Maryland, Baltimore County Learning Objectives: This session will focus on the basics of Subaward Management and Administration. By the end of the session, we will have provided tools showing: • How to prepare and manage Subawards including: – Before you write the Subaward—analysis – Appropriate flow down from prime awards – Crafting your subaward—key clauses – Subrecipient monitoring – FFATA Debra E. Brodlie*, Assistant Director, Subawards, Johns Hopkins University, Bloomberg School Public Health PROGRAM LEVELS: B – BASIC; I – INTERMEDIATE; A – ADVANCED; O – OVERVIEW; U – UPDATE * Lead presenter 93 56 th 4:00 – 5:00 PM ~ CONCURRENT SESSIONS (continued) ANNUAL MEETING POST-AWARD I COST SHARING AGENDA Tuesday 8.12.14 Cost sharing represents an administratively complex and high-risk business objective. This session will discuss many elements of cost sharing, including more basic concepts such as what constitutes cost sharing at the proposal stage and federal policies and guidelines related to cost sharing. Additionally, this session will examine more complicated concepts, including the impacts of cost sharing on an institution, the functional areas cost sharing touches outside of sponsored research (e.g., finance and budget), and the weighing of strategic interests against traditional compliance when entering into a cost share agreement. The session will also explore challenges and approaches related to tracking and funding of cost share commitments and effectively using enterprise management systems to help where possible, which will include a review of recent institutional changes in the way Northwestern University manages post-award cost sharing tracking (including evaluation, design, and implementation). Learning Objectives: • Participants will gain an understanding of the different considerations that are taken into account when deciding to cost share and the reasoning behind the decision to engage in voluntary cost sharing. • Participants will understand the various impacts cost sharing has on an institution, including the compliance, administrative, financial, investigator, and F&A rate impacts. • Participants will be presented with various approaches to tracking and managing cost share commitments at the post-award stage. Kelly E. Morrison*, Grant and Cost Share Officer, Northwestern University 4:00 – 5:00 PM ~ DISCUSSION GROUPS BIOMEDICAL Follow-up to Concurrent Session: Best Practices: Submission and Management of NIH K-awards and Training Grants, held at 10:15 am BEST PRACTICES: SUBMISSION AND MANAGEMENT OF NIH K-AWARDS AND TRAINING GRANTS Jane Tolbert*, Administrator, University of Rochester Glenda Bullock, Manager of Business Operations, Washington University in St. Louis NIH Career (K) awards and Training Grants (T, F) provide valuable opportunities for developing the new generation of (biomedical) scientific researchers. However, the submission and management of these awards present some unique challenges. Join us to discuss tips and tools for preand post-award management of these awards. CAREER SKILLS/PROFESSIONAL DEVELOPMENT CREATING A CRA STUDY GROUP FOR YOUR CAMPUS Marjorie Townsend*, Research Advancement Manager, Arizona State University Main Get a step-up on studying for the Certified Research Administrator exam. When starting a group, keeping them active and motivated can be a difficult task. Using technology to your advantage can target multiple departments and helps keep the group focused while advancing their knowledge. This discussion group will provide tips and tricks on successful techniques used to aid in studying for professional certification. 94 PROGRAM LEVELS: B – BASIC; I – INTERMEDIATE; A – ADVANCED; O – OVERVIEW; U – UPDATE * Lead presenter 4:00 – 5:00 PM ~ DISCUSSION GROUPS (continued) COMPLIANCE EXPORT CONTROL REFORM – WHERE DO WE STAND? Wayne L. Mowery Jr.*, University Export Compliance Officer, The Pennsylvania State University Export Control Reform is real, but it is far from spectacular! As we begin to cope with the first real, major changes to the Export Regulations in the last 15 years, come join other Research Administrators and Export Compliance Officers as we discuss the benefits and the challenges that have been created as part of the Export Control Reform process. AGENDA Tuesday 8.12.14 This Discussion Group will not have any prepared agenda or presentation materials. It is designed to allow for discussion of your problems with ECR and how your institution is addressing the changing landscape of export controls. COMPLIANCE HOW INTERNAL AUDIT CAN HELP YOU MANAGE RESEARCH AND RELATED RISKS When we hear the word "audit" in terms of research compliance, we tend to think of Federal audit reports and the current "hot audit topics". However, you can use internal auditors' expertise to evaluate your institutional research risks, and have them help you drive organizational change to manage those risks. This breakout session will focus on how to engage your own Internal Auditors to: • Assist management in determining if anecdotal research risks are factual, thus transitioning from subjective decision making into objective decision making. • Review the current internal control structure for research risks and operational efficiencies. • Help determine if the organization is meeting their obligations as required in sponsored program grant and contractual agreements. • Determine if sufficient monitoring practices and controls are in place to comply with regulatory requirement (IRB, IACUC, effort reporting, allowable and allocable expenses charged to sponsor budgets, conflict of interest, etc.). Learning Objectives: Participants will explore the relationship between their internal audit function and research at their institution. • In what ways has internal audit helped your institution to manage research risk? • Are there Non-traditional audit areas where internal auditors can help your institution to manage research risk? • How can internal audit further help your institution? Prerequisites: Openness to ways Internal Audit can assist in managing research risk in your organization. Suzanne M. Cheesebrough*, Financial Auditor, The Pennsylvania State University Vincent Falvo, Associate Controller, Department of Finance & Business, The Pennsylvania State University With your internal auditors' assessment of your research operations and controls there should be less angst when government auditors notify you that they are coming to audit. PROGRAM LEVELS: B – BASIC; I – INTERMEDIATE; A – ADVANCED; O – OVERVIEW; U – UPDATE * Lead presenter 95 56 th 4:00 – 5:00 PM ~ DISCUSSION GROUPS (continued) ANNUAL MEETING DEPARTMENTAL CURRENT ISSUES IN MANAGING RESEARCH ADMINISTRATION: BEST PRACTICES FOR DEPARTMENT ADMINISTRATORS AGENDA Tuesday 8.12.14 This discussion session will focus on crucial issues associated with managing research administration at the departmental level. The panel will discuss successful policies and procedures that have been developed in their departments. Please join our open forum discussion as we review key research issues that are affecting departmental administrators. FEDERAL NSF GRADUATE RESEARCH FELLOWSHIPS: ISSUES ON THE CAMPUS This is an informal discussion group for the people who help manage NSF Graduate Research Fellowships at their institution. This includes coordinating officials and financial officials at campuses where NSF Fellows are enrolled. Others who have an interest in this program are also welcome. The discussion will begin with a brief overview of the structure of NSF Fellowship awards and the purpose of the Cost of Education Allowance component of the grants. Participants will be encouraged to share information about how NSF Fellowships are managed at their institutions. INTERNATIONAL NSF AND NIH – OUTSIDE THE U.S. Are you an international institution receiving NIH/NSF grants or a US institution managing NIH/NSF projects with foreign subrecipients? Please come and join this discussion group where we will learn from each other regarding the challenges of ensuring compliance for international organizations. What regulations, policies and procedures can be implemented at your institution to overcome both financial and non-financial compliance challenges? POST-AWARD COMPLEX FUNDING MANAGEMENT This discussion group will engage participants in examining best practices and challenges in managing complex awards. In an increasingly collaborative research world, we are seeing more applications submitted that will require subcontracts, multiple budgets, multiple sites, international and many other components to the award. As administrators our challenge is to be a part of the grant as early as possible and have a proverbial seat at the table. This means that we have to come in with knowledge and expertise, and be ready to participate in the administration of these projects from the very start so as to avoid being considered a hindrance to the research success. 96 Tolise Miles*, Senior Grants & Contracts Specialist,Grants and Contracts Administration and Finance, Children's National Medical Center Mary E. Schmiedel, Associate Dean for Research Administration & Director, Office of Sponsored Programs, Georgetown University Kris K. Wolff, Director, Office of Sponsored Programs, Fordham University Learning Objectives: • Participants will learn the structure of NSF Graduate Research Fellowships. • Participants will learn how one campus administers and manages the Fellowships. • Participants will learn other examples and options for managing the Cost of Education Allowance. Prerequisite: There are no prerequisites for participation; however, those who are designated as the coordinating official or financial official for NSF Fellowships will benefit more than those who are not in such a role. Steven Smartt*, Associate Dean, Graduate School and Assistant Provost for Research, Vanderbilt University Learning Objectives: To discuss compliance challenges common to international institutions and how to overcome them. Eva Bjorndal*, Compliance Coordinator, Karolinska Institutet Tiina Berg, Senior Advisor, Research Funding Services, University of Helsinki Laura Plant, Coordinator, Grants Office, Karolinska Institute Olaf Svenningsen, Head of Research Support Office, University of Southern Denmark Randi Wasik*, Director of Administration and Finance, University of Washington Lindsey Demeritt, Assistant Manager, Sponsored Projects Team, Children's Hospital, Los Angeles PROGRAM LEVELS: B – BASIC; I – INTERMEDIATE; A – ADVANCED; O – OVERVIEW; U – UPDATE * Lead presenter 4:00 – 5:00 PM ~ DISCUSSION GROUPS (continued) PRE-AWARD CROWDFUNDING – HOW DO WE DO THAT? Crowdfunding is an alternative funding source that several Institutions are using, or thinking about using, to fund a variety of research projects. Unlike traditional funding sources, Crowdfunding capitalizes on the use of social media and communication. What are the risks? What are the benefits? Is this the next big thing or just a passing fad? Join us to discuss the ins and outs of Crowdfunding and share best practices from other Institutions. PREDOMINANTLY UNDERGRADUATE INSTITUTIONS TIPS, TOOLS, AND TEMPLATES TO MAKE STRONGER GRANT PROPOSALS If we come away from a conference with even one idea for improving the services of our office, we count our time well spent. Bring your best idea for solving proposal problems including web pages, forms, templates or even advice from a mentor. Be prepared to share your idea and maybe have your headaches cured by a tip from a colleague! Whether you are a seasoned veteran or a newcomer to our field, you can always use a good idea. Come and share or just come and listen...it will be time well spent! Lisa Mosley*, Executive Director, Research Operations, Arizona State University Jeremy Forsberg, Assistant Vice President of Research, The University of Texas at Arlington AGENDA Tuesday 8.12.14 Patricia Zibluk*, Director, Sponsored Programs and Research, Southern Connecticut State University Vincenzo Cassella, Assistant Director for PostAward Services, Southern Connecticut State University 7:00 – 11:30 PM ~ TUESDAY NIGHT EVENT NCURA FUN IN THE SUMMERTIME: UNDER THE SEA! Join us for a night to unwind and enjoy in the International Ballroom! Doors open at 7:00 pm with summertime fare and the dancing begins at 7:30 pm. Drink tickets are in your packet and your badge is your entrance ticket. NCURA will have a photo station from 7:30 – 9:30 pm so wear your happy face and upload your photos to Facebook and Twitter right from the photo station! Bring the kids for fun times in the moon bounce and face painting from 7:00 – 9:30 pm. At 9:30 pm we’ll say good night to the children, with music and dancing continuing until 11:30 pm for the adults. 9:00 PM ~ REGIONAL HOSPITALITY SUITES OPEN PROGRAM LEVELS: B – BASIC; I – INTERMEDIATE; A – ADVANCED; O – OVERVIEW; U – UPDATE * Lead presenter 97 56 th 7:30 AM – NOON 7:30 – 8:30 AM ANNUAL AM56 CONCIERGE MEETING ANNUAL BUSINESS MEETING AND CONTINENTAL BREAKFAST 7:30 – 11:00 AM ~ NCURA MARKETPLACE AGENDA Wednesday 8.13.14 8:30 – 10:00 AM ~ SPARK SESSIONS These 15-20 minute, high energy, high deliverable offerings will get right to the good stuff and you will be able to check out multiple topics in each time slot. 8:30 – 8:50 AM DEVELOPING A GRANTSMANSHIP SERIES FOR GRADUATE STUDENTS Jo Ann Smith*, Director, Graduate Programs in Research Administration, University of Central Florida 9:00 – 9:20 AM STREAMLINING SPONSORED PROGRAMS MANAGEMENT WITH ERA Tiffanie Nichols*, Marketing Manager, rSmart 9:30 – 9:50 AM IT’S NOT US, IT’S THEM: HOW DO WE COMMUNICATE WITH OUR PEERS? Tolise Miles*, Senior Grants and Contracts Specialist, Children's National Medical Center 8:30 – 10:00 AM ~ CONCURRENT SESSIONS CAREER SKILLS/PROFESSIONAL DEVELOPMENT I THE CHANGING SPACE OF ELECTRONIC RESEARCH ADMINISTRATION For years, electronic research administration (eRA) meant proposal and award management experience with Grants.gov, the eRA Commons, and NSF FastLane. However, as cloud-based tools such as PARiS, Kuali Coeus, Sophia, Dropbox, Cayuse, etc., have come online, eRA means so much more. Effective eRA is shifting to require the knowledge and expertise to use what you have available to you in the most efficient way possible--whether that be a sophisticated data management tool, or a shared drive and an Excel spreadsheet. This session will look at various options and tools available--both free source and for purchase and how to use what you have more effectively. 98 Learning Objectives: • Participants will learn about the various cloudbased systems available to them: Ex Sophia, PARiS, Coeus, Dropbox. • Participants will learn how to use in house systems to better share information: Ex. Shared drives, VPNs. • Participants will learn how to present these tools to faculty and staff. Lindsey Demeritt*, Assistant Manager, Sponsored Projects Team, Children's Hospital, Los Angeles Diane Meyer, Pre-Award Services, Iowa State University Chad Macuszonok, Assistant Director, IT Business Services, University of Central Florida PROGRAM LEVELS: B – BASIC; I – INTERMEDIATE; A – ADVANCED; O – OVERVIEW; U – UPDATE * Lead presenter 8:30 – 10:00 AM ~ CONCURRENT SESSIONS (continued) COMPLIANCE A RESEARCH MISCONDUCT: BEST PRACTICES AND LESSONS LEARNED FOR HANDLING A LARGE SCALE, PUBLIC INVESTIGATION Gearoid Griffin*, Research Integrity Officer, Harvard University AGENDA Wednesday 8.13.14 This presentation will provide a general overview of a research misconduct case that Harvard University conducted into Marc Hauser, a former tenured professor at the university. Lessons learned and best practices for largescale research misconduct investigations and handling the process of publically releasing information. DEPARTMENTAL B DEPARTMENTAL RESEARCH ADMINISTRATION 101 A Departmental Research Administrator (DRA) oversees and coordinates all aspects of sponsored project administration at the departmental level in support of the researcher. As a liaison between central offices, faculty, and staff they also serve as educators while striving to ensure compliance with federal regulation and institutional policies. This session will provide a basic understanding of a DRA's responsibilities as well as tools and strategies for success. Topics include proposal development, award review, subagreements, cost transfers, cost sharing, closeout and audit. FEDERAL U AGENCY IMPLEMENTATION OF PUBLIC ACCESS Representatives from NASA, NIH, and NSF will discuss their agencies' approaches to expanding public access to the results of Federally funded research, as required by the February 22, 2013 memorandum research by the Office of Science and Technology Policy (OSTP). Their presentations will address the following: Learning Objectives: • Participants will gain an understanding of the role of the Departmental Research Administrator. • Participants will hear tips on how to manage sponsored projects at the department level. • Participants will gain an appreciation of how federal regulations and institutional policies impact their work. Brenda Kavanaugh*, Associate Director, Office of Research and Project Administration, University of Rochester Nathan Youngblood, Research Coordinator, Northwestern University Amy Friedlander*, Senior Advisor, National Science Foundation Mark Allen, Deputy Associate Administrator of Research, Science Mission Directorate, NASA Kathryn Funk, Program Specialist, PMC (contractor) NCBI, National Library of Medicine Neil Thakur, Special Assistant to the NIH Director for Extramural Research, National Institutes of Health (NIH) • What is the requirement? • What should institutions do to prepare? • What's the current status of the initiative at an agency? • How do might systems phase in (for those that aren't up and running yet) or evolve functions or capabilities? PROGRAM LEVELS: B – BASIC; I – INTERMEDIATE; A – ADVANCED; O – OVERVIEW; U – UPDATE * Lead presenter 99 56 th 8:30 – 10:00 AM ~ CONCURRENT SESSIONS (continued) ANNUAL MEETING INTERNATIONAL O FINANCIAL RISK MANAGEMENT WITH FOREIGN INSTITUTIONS AGENDA Wednesday 8.13.14 This session will focus on financial risks that are common to foreign institutions receiving US federal funding. No project is completely risk free, but which financial risks may be necessary to accept? And which risks should be avoided at any costs ? Do you have the right internal controls and policies in place in order to identify and mitigate financial risks? This session will focus on the most common financial risks, some of them specific to academic medical centers and others more general, and will be based on the panel’s own experience from Foreign Organization Systems Review (FOS). Welcome to what we are hoping to be a very interactive session! INTERNATIONAL O WORKING WITH JAPANESE RESEARCH UNIVERSITIES Japanese research institutions and researchers are some of the most prominent in the world and have consistently been among the top-ranked in patent applications, scientific literature, and absolute R&D spending as a percentage of GDP. Over the past decades, Japanese universities have significantly increased collaborative research with foreign institutions. This session will share how a non-Japanese institution can successfully undertake in such collaboration. We will explore some of the main regulatory and compliance issues that a nonJapanese institution might encounter and discuss the biggest challenges that a non-Japanese institution might face when receiving sub awards involving Japanese funding agencies. POST-AWARD I EFFORT REPORTING IN THE AGE OF OMB UNIFORM GUIDANCE Join us for a session to review the changes to effort reporting in the Uniformed Guidance. The specific examples contained in A-21 have been eliminated providing institutions more flexibility to develop systems and processes that will meet the documentation requirements. The changes, including the added emphasis on the internal control system, create questions on how personnel charges will be audited in the future. The Federal Demonstration Partnership (FDP) has piloted Payroll Certification (an alternative to effort reporting) at four FDP institutions since 2011. We will review the background, structure and current status of the pilots. We hope the experiences and lessons learned from these schools will inform the broader research community as institutions evaluate potential changes to their own systems. 100 Learning objectives: • Participants will learn about financial risks that foreign institutions often face when receiving US federal funding. • Participants will learn about Foreign Organization Systems Review (FOS). Eva Bjorndal*, Compliance Coordinator, Karolinska Institutet Tiina Berg, Senior Advisor, Research Funding Services, University of Helsinki Olaf Svenningsen, Head of Research Support Office, University of Southern Denmark David W. Richardson*, Associate Vice Chancellor for Research and Director of Sponsored Programs, University of Illinois at Urbana-Champaign David Hajime Kornhäuser, Senior Research University Administrator, International Affairs & Communications, Kyoto University Tadashi Sugihara, Research Administrator, Kyoto University Michael Laskofski*, Associate Vice President of Research Operations, Office of Sponsored Programs, George Mason University Deborah Rafi, Director, Indirect Cost Branch, Office of Naval Research PROGRAM LEVELS: B – BASIC; I – INTERMEDIATE; A – ADVANCED; O – OVERVIEW; U – UPDATE * Lead presenter 8:30 – 10:00 AM ~ CONCURRENT SESSIONS (continued) PRE-AWARD I INTELLECTUAL PROPERTY CONSIDERATIONS FOR THE PRE-AWARD OFFICE As the competition for federal and state funding increases Universities are seeking to enhance their interactions with industry to secure a new source of sponsored funding. Universities strive to serve as the R & D arm of existing industries or as the source of new technology for the industries of tomorrow. Industry- university relationships often look great on paper and have great potential to benefit both parties in areas beyond research and development (R&D). In reality the differing expectations of both parties put the research administrators in a difficult situation. As they are expected to close the deal while negotiating agreements that complying with state and federal regulations that govern not-for-profit entities that grant IP rights and the industry partner expects to maintain complete ownership of any IP. These two positions appear to be in direct conflict. Learning Objectives: • Participants will about intellectual property, copyrights, inventions, trademarks and plant varieties. • Participants will research contract negotiating strategies for managing industry IP expectations. • Participants will learn the obstacles to colleges and universities prospectively granting intellectual property rights to inventions resulting from sponsored research. • Participants will learn about IP rights in Federal awards. AGENDA Wednesday 8.13.14 Gregory Slack*, Director of Research & Technology Transfer, Clarkson University Charles Bartunek, Contracts Associate, The Johns Hopkins University Bloomberg School of Public Health George McGuire, Bond, Schoeneck & King, PLLC This session focuses on the many challenges facing research administrators who manage intellectual property, negotiate private industrial research agreements, and state and federal awards. PREDOMINANTLY UNDERGRADUATE INSTITUTIONS I EXPORT CONTROL: RISK ASSESSMENT AND COMPLIANCE STRATEGIES FOR PUIs Export control law applies equally to all individuals and to all institutions, regardless of size, type or resources. The applicable statutes and regulations are daunting in their complexity and scope, and the potential civil and criminal penalties are stiff. Research administrators at PUIs have been known to emerge from sessions on this topic looking dazed, shellshocked and terrified. Research administrators at small (and not-so-small) institutions often fear that if they take on the challenge, they will become de facto export control officers. Presenters at this session will draw on their experiences assisting in policy development and implementation at two very different types of PUIs. Topics to be covered include: realistic risk-assessment; characterizing institutional culture to determine effective means of spreading the word about export control; and helping our institutions reasonably assign compliance responsibilities. Learning Objectives: • Participants will learn strategies for assessing the level and urgency of export control risk exposure at their institutions. • Participants will learn approaches for creating a culture of compliance at their institution. • Participants will discover resources for keeping apace of a frequently changing regulatory environment. Prerequisite: Session will be most useful to research administrators from PUIs who have some prior familiarity with EAR and ITAR regulations. Joseph Tomaras*, Associate Director, Office for External Grants, Bates College Pamela Vargas, Executive Director, Kutztown University Research Center, Kutztown University of Pennsylvania PROGRAM LEVELS: B – BASIC; I – INTERMEDIATE; A – ADVANCED; O – OVERVIEW; U – UPDATE * Lead presenter 101 56 th 8:30 – 10:00 AM ~ DISCUSSION GROUPS ANNUAL MEETING BIOMEDICAL Follow-up to Concurrent Session: Translational Research: Fundamentals and Challenges, held at 2:30 pm on Tuesday. AGENDA Wednesday 8.13.14 TRANSLATIONAL RESEARCH: FUNDAMENTALS AND CHALLENGES This session will introduce concrete examples of success and failure in the process of moving a new idea through the stages of exploratory, feasibility, development and transfer to market. The main goal will be to share with the attendees multi-institutional experiences, discuss different approaches and overall improve our way of thinking and performing in the complex environment of translational research. CAREER SKILLS/PROFESSIONAL DEVELOPMENT NCURA BOOK CLUB: SERVANT LEADERSHIP Servant leadership is increasingly becoming a aligned with research administration. This session will discuss how to be a servant leader and build a creative team, develop great morale and improve bottom line performance. Gabriela Apiou*, Translational Research Core Director, Massachusetts General Hospital Tammy Heesakker, Senior Business Strategy and Licensing Manager, Partners Healthcare Innovation Les Lipkind, Senior Translational Research Program Manager, Wellman Center for Photomedicine, Massachusetts General Hospital David Ngo*, Assistant Vice President of Sponsored Projects Administration, University of Texas Southwestern Medical Center Greg Luttrell, Director, Research Contracts and Awards, University of Notre Dame This session will go into depth on bestselling author James A Autry's book, "The Servant Leader", which offers practical suggestions on how to heartfully create better operational results and transform managers into leaders. COMPLIANCE CHALLENGES IN MANAGING SERVICE AND RECHARGE CENTERS Josh Rosenberg*, Director, Cost Studies, Emory University For those individuals actively involved in running a service or recharge center to those who are tasked with oversight and approval, a strong understanding of the rate calculation process, university accounting, compliance with federal regulations, and how to manage day to day operations is required. This discussion session will cover the issues and challenges associated with service center operations and strategies for effective management at both the departmental and central levels. DEPARTMENTAL WE’RE PLAYING IN THE SAME SANDBOX: COLLABORATING ACROSS CAMPUS SO EVERYONE WINS It is important to abide by the rules of the sandbox: • • • • • 102 Linnea Minnema*, Director of Research and Evaluation, University of Tennessee Jennifer Webster, Sponsored Programs Administrator, University of Tennessee David K. Smelser, Assistant Director of Sponsored Programs, University of Tennessee Throwing sand is not OK. Being mean will result in you playing on your own. No taking other people's buckets. No kicking other people's sandcastles. The best sandcastles are built at low tide. PROGRAM LEVELS: B – BASIC; I – INTERMEDIATE; A – ADVANCED; O – OVERVIEW; U – UPDATE * Lead presenter 8:30 – 10:00 AM ~ DISCUSSION GROUPS (continued) INTERNATIONAL SUCCESS FACTORY MOBILITY: MARIE S. CURIE ACTIONS UNDER HORIZON 2020 Marie Skłodowska-Curie actions (MSCA) serve as the worldwide cross-sector mobility career development and training program targeted at beginning researchers under Horizon 2020, the European Union’s biggest EU Research and Innovation program ever with nearly ⇔80 billion of committed funding available over the next seven years. Viktoria Bodnarova*, Regional Representative, Euraxess Michael J. Kusiak, Research Policy Analyst, University of California Office of the President David Lauder, European Research Project Manager, University of York AGENDA Wednesday 8.13.14 Under the EU’s previous Seventh Framework Program (FP7), over 55,000 researchers were supported. Horizon 2020 will expand this base of support to as many as 65,000 researchers over the next seven years. Under FP7, 728 European researchers took advantage of the International Outgoing Fellowships, finding a host institution in the United States, one of the top destinations for European fellows outside Europe. Even for the largest research universities, negotiating and understanding the nuances of MSCA agreement can be daunting. The purpose of this discussion group is to help research administrators understand the advantages and challenges of hosting MSCA fellows and develop strategies to streamline the negotiation process to weigh institutional risk and enable international research collaboration. POST-AWARD ONLY THE SHADOW KNOWS – THE POWER AND WEAKNESS OF SHADOW SYSTEMS Randi Wasik*, Director of Administration and Finance, University of Washington As our profession continues to transform to meet the change to the new OMB circular, difficulties in obtaining funding, shrinking in award levels, etc. we must become more nimble with and astute in managing the funding we have. Most of us have developed shadow systems, but they are just that – a shadow reporting on the system of record at our institutions. This discussion group will focus on the power and weakness in shadow systems. We need to partner in discussing challenges we have all faced in maintaining/reporting from our shadow systems so that when we implement these systems the blinders are off and these systems enable us to achieve our financial goals. PROGRAM LEVELS: B – BASIC; I – INTERMEDIATE; A – ADVANCED; O – OVERVIEW; U – UPDATE * Lead presenter 103 56 th 8:30 – 10:00 AM ~ DISCUSSION GROUPS (continued) ANNUAL MEETING PRE-AWARD TIPS FOR IDENTIFYING AND DISSEMINATING FUNDING INFORMATION AGENDA Positioning your faculty and institution to be competitive in the race for funding starts well before a proposal is written. There are thousands of funding announcements for federal, state, nonprofit, and corporate sponsors, and many sources of information for finding those opportunities. Identifying the best ones for your faculty and institution is an essential step toward getting funded. Would you like to become a better matchmaker? This session will focus on tips for finding funding opportunities that fit your faculty's research and program interests. We will also discuss how to disseminate funding information effectively on your campus. Participants are encouraged to share their tips and best practices. PREDOMINANTLY UNDERGRADUATE INSTITUTIONS DIRECTING THE DEVELOPMENT OF YOUR WEBSITE Wednesday 8.13.14 104 Deanna Hendrickson*, Grants Manager, Kennesaw State University Pamela Napier*, Director, Office of Sponsored Programs, Agnes Scott College Sponsored programs websites are important tools for ensuring transparency about policies and procedures. What are the best practices for sharing mission statements, new policies and procedures, financial reports, and other information through your office website? Should it be open to the public, or protected behind a password wall? How do you keep yours up to date? What happens when your campus overhauls its entire web presence? These are just some of the questions we will tackle in this session which focuses on websites at the macro level. PROGRAM LEVELS: B – BASIC; I – INTERMEDIATE; A – ADVANCED; O – OVERVIEW; U – UPDATE * Lead presenter 8:30 – 10:00 AM ~ SENIOR LEVEL DISCUSSION EXPORT REFORM AND ITS IMPACTS ON HIGHER EDUCATION At long last export control reform is here! In major changes to International Traffic in Arms (ITAR) and Export Administration Regulations (EAR), the Department of Commerce and State have coordinated their regulatory rulemaking in an effort to place "higher fences around fewer items". They have moved many items off of the United States Munitions List (USML) and on to new sections of the Commerce Control List (CCL). To do this, the USML is being completely overhauled, and changed to a "positive", specification-based list. The CCL is being expanded to accommodate items moving off the USML, with special rules for control of those items moved to the CCL. And, in a separate move, the Department of Energy has proposed harmonizing its rules with those of Commerce and State. Learning Objectives: • Participants will learn about what is migrating from the Munitions List and what major changes have been made to the ITAR. • Participants will learn the rules covering items that have been taken off the Munitions List and placed on the new Commerce "Munitions" List. • Participants will earn about new contract clauses that will impact fundamental research in defense contracts. AGENDA Wednesday 8.13.14 Prerequisites: Basic knowledge of existing export regulations (ITAR & EAR), and experience reviewing and negotiating contract terms and conditions that affect export determinations. FULL In this discussion group, we will introduce many new and challenging concepts such as "catch and release", and "specially designed", and revised definitions such "defense services" and "use". Understanding these concepts and terms are essential to complying with the new rules. Special attention will be given to new contract clauses and contract requirements which are needed to preserve fundamental research. Participants are invited to share their experiences, issues, and questions with export reform. David Brady*, Director, Export and Secure Research Compliance, Virginia Tech Elizabeth Peloso, Associate Vice Provost/ Associate Vice President, Research Services, University of Pennsylvania No Fee. Pre-registration is required. 10:00 – 10:30 AM ~ NETWORKING AND REFRESHMENT BREAK 10:00 – 10:30 AM ~ GET CONNECTED AND GET INVOLVED FAIR! NCURA MAGAZINE, JOURNAL (RMR) AND MEMBERSHIP SERVICES Colleagues from NCURA’s Magazine, Journal (RMR) and Membership Services will be available to talk with you and answer questions on the front terrace. This is a perfect opportunity to learn about the different facets of NCURA and how to get involved TODAY. Grow your peer network…visit the Get Connected and Get Involved Fair! 10:30 AM – NOON ~ SPARK SESSIONS These 15-20 minute, high energy, high deliverable offerings will get right to the good stuff. 10:30 – 10:50 AM JOINT EFFORT BETWEEN THE CTSAS AND THE UIDP Brenda Kavanaugh*, Associate Director, Office of Research and Project Administration, University of Rochester PROGRAM LEVELS: B – BASIC; I – INTERMEDIATE; A – ADVANCED; O – OVERVIEW; U – UPDATE * Lead presenter 105 56 th 10:30 AM – NOON ~ CONCURRENT SESSIONS ANNUAL MEETING CAREER SKILLS/PROFESSIONAL DEVELOPMENT I ASSESSMENT AND ADMINISTRATIVE BURDEN: WHY ASSESSMENT IS IMPORTANT AGENDA Wednesday 8.13.14 This session will explore the various types of assessment that can be useful for research administration offices, and the importance of the information that can arise from assessment. We will examine the tipping point between this valuable information and the growing administrative burden that arises from sponsored program activity. We will also discuss several illustrative case studies. COMPLIANCE B HOW TO EFFECTIVELY INFLUENCE FACULTY BEHAVIOR: IS IT POSSIBLE? Faculty members are notoriously resistant to training efforts. You can make them do online tutorials, but they only do the bare minimum to pass the simple little quizzes, then they print off their certificates, and immediately forget everything. It is sometimes possible to get them to learn a little bit about export control (especially if you threaten them with jail time). But it often seems like a lost cause to get faculty members to understand what effort certification is all about. Faculty seem genuinely clueless about why they can't just charge their equipment to whatever project has the largest remaining balance (or whatever project is going to be expiring first). And there are SO MANY topics that they need trained on: effort, cost-sharing, export, re-budgeting rules, cost allowability and allocability, human subjects, conflict of interest, lab safety, research misconduct, coauthorship rules, mentorship responsibilities, intellectual property, etc. Every office on campus considers their issue to be the most important issue in the world. If you added up all the time it would take to an effective job of providing training on all of these issues, it would require an insanely long time. But whenever there is a scandal, an audit finding, or a subject injury, all of the administrators run around screaming: "faculty training, faculty training, what we need more than anything is faculty training!" Learning Objectives: • Participants will be able to Identify the various types of assessment. • Participants will be able to analyze the pros and cons of assessment in the context of administrative burden. Brigette Pfister*, Director of Sponsored Programs, College of Humanities & Sciences, Virginia Commonwealth University David Mineo, Managing Director, DLMineo Consulting, LLC Learning Objectives: • Participants will commiserate with other research administrators who, like you, have been asked to do the impossible. • Participants will discuss advantages and disadvantages of different faculty training methodologies and strategies. • Participants will compare your approach to faculty training to those of other research administrators. John Hanold*, Interim Director, Office of Sponsored Programs, The Pennsylvania State University Pamela A. Webb, Associate Vice President for Research, University of Minnesota The purpose of this session is to consider possible approaches to faculty training: online, in person, transactional, and other. We will consider the challenges associated with prioritizing among all of the topics where, arguably, more faculty training is needed. We will discuss the distortion effect that results when training resources are focused on responding to scandals rather than optimizing faculty behavior. And we'll encourage all participants to share success stories and strategies for improving faculty education efforts at their own institutions. 106 PROGRAM LEVELS: B – BASIC; I – INTERMEDIATE; A – ADVANCED; O – OVERVIEW; U – UPDATE * Lead presenter 10:30 AM – NOON ~ CONCURRENT SESSIONS (continued) DEPARTMENTAL I MY SHADOW AND I: SHARING IDEAS ON HOW TO BETTER MONITOR YOUR EXPENSE ACTIVITIES AND PROJECTIONS IN YOUR AWARD PORTFOLIO This panel presentation focuses on ways to facilitate effective reporting. The session will contain ideas on how to create an award portfolio monitoring spreadsheet, as well as tools that will enhance forecasting of revenues and expenditures. It will also show easy ways to make these financial tools faster to read for the final users (PIs). FEDERAL U OMB UNIFORM GUIDANCE: TELL US WHAT TO EXPECT, OMB!! On December 26, 2013, the Office of Management and Budget issued final guidance on federal grants: 2 CFR 200. The new guidance – a sweeping consolidation of decades of OMB circulars, guidance, and the “common rule” on grants management – will replace ALL the current OMB Grant Circulars and will have a profound impact on how grants are awarded, administered and audited. So put your Old Circulars A-21, A110 and A-133 in the shredder and come listen to OMB and NSF at this session. This session will include a brief history, a summary of the process used to develop the Uniform Guidance and a high level assessment of how the guidance will impact your institution, including Single Audits. Both OMB and Agency perspectives will frame this conversation. Learning Objectives: • Participants will understanding the needs of PIs when reviewing financial information. • Participants will learn to present data effectively. • Participants will improving on forecasting techniques. • Participants will learn to provide analysis of financial information. AGENDA Wednesday 8.13.14 Muftiat Fahm*, Director, Georgetown University Medical Center Donna Jean Garrett, Assistant Director, Finance and Administration, Georgetown University Ricardo Roques, Senior Research and Financial Administrator, Georgetown University Medical Center Learning Objectives: • Participants will gain insight into the development of the Uniform Guidance. • Participants will understand the highlights of key changes in grant requirements. • Participants will learn about the potential impact on institution grant management systems. • Participants will know the timelines for implementation and effective dates. Gilbert Tran*, Senior Technical Manager, Office of Management and Budget Michelle Bulls, Director, Office of Policy for Extramural Research Administration (OPERA), National Institutes of Health Victoria Collin, Policy Analyst, Office of Management and Budget Jean I. Feldman, Head, Policy Office, Office of Budget, Finance & Award Management, National Science Foundation PROGRAM LEVELS: B – BASIC; I – INTERMEDIATE; A – ADVANCED; O – OVERVIEW; U – UPDATE * Lead presenter 107 56 th 10:30 AM – NOON ~ CONCURRENT SESSIONS (continued) ANNUAL MEETING INTERNATIONAL O INTERNATIONAL FUNDING OPPORTUNITIES AND THEIR COLLABORATIONS AND CHALLENGES AGENDA Faculty collaborate globally and faculty complete for funding globally. However, language/terms used in U.S. funding opportunity announcement and language used in funding opportunities outside of the U.S. may be different. Horizon 2020 is the new "umbrella" for European research and innovation funding, and there are two different agencies who administer the programs: the Research Executive Agency (REA) and the European Research Council (ERC). In order for our faculty to successfully compete for funding at a global level, this session will compare and contrast a funding opportunity announcement from the European Commission and from the United States. POST-AWARD A CLINICAL TRIAL PLANNING AND FINANCIAL MANAGEMENT Wednesday 8.13.14 This session will focus on the lifecycle of a clinical trial from negotiation to close-out. We will discuss challenges and management for success. Learning Objectives: Participants will learn to compare and contrast European and U.S. funding opportunities, therefore gaining a better understanding of the similarities and differences between funding agencies. Patricia Hawk*, Director, Sponsored Programs, Oregon State University Learning Objectives: • Participants will understand the lifecycle of a clinical study from a financial point of view. • Participants will understand the purpose and impact of an internal budget and how it should be used in contract negotiations. • Participants will understand what kinds of costs will be incurred. • Participants will understand how revenue is earned and paid by the company. • Participants will understand the importance of financial planning and management for success. Prerequisites: Attendees should have basic knowledge of clinical research or research funded using capitated rate structures. Loretta Bassler*, Research Administrator, Internal Medicine, University of Iowa Brian Farmer, Senior Director, Academic Affairs, The Cleveland Clinic Foundation 108 PROGRAM LEVELS: B – BASIC; I – INTERMEDIATE; A – ADVANCED; O – OVERVIEW; U – UPDATE * Lead presenter 10:30 AM – NOON ~ CONCURRENT SESSIONS (continued) PRE-AWARD A IMPLEMENTING ERA SYSTEMS: DO YOUR HOMEWORK! You've decided to either replace a legacy eRA system, or implement an eRA system to move away from paper. Now what? No matter what system you choose, or what functionality you implement, the same process and pitfalls apply. We'll talk about how to manage the changes that result in having a new system, and the resultant shift in your business processes. Plenty of advance preparation is key! PREDOMINANTLY UNDERGRADUATE INSTITUTIONS O SPONSORED PROGRAM MANAGEMENT IN THE CLOUD The grants management landscape is more challenging than ever with an increased focus on research and other sponsored funding, internal competitions, compliance regulations, and demand for oversight and reporting. For many PUIs, a comprehensive grant and research management solution has been out of reach due to the cost, complexity, and limited IT resources. Participants will share: • The decision-making processes and experiences of implementing an electronic system. • What processes and systems should move first. • Various electronic research administration (eRA) solutions and why they chose a cloudbased solution. • The implementation process, timeline, and lessons learned as early adopters of a cloudbased grants management solution. • Specific examples of how they were able to reduce paper-based or other processes and improve efficiencies with online workflows and electronic notifications. • The value of built-in reporting and real-time visibility into campus performance in sponsored programs activity. Learning Objectives: • Participants will learn best practices in eRA implementation. • Participants will review the issues common to system implementations, large or small. • Participants will evaluate impact on users, processes, and your staff. • Participants will learn about options: doing it yourself or hiring outside. AGENDA Wednesday 8.13.14 Lori Ann Schultz*, Assistant Director, Sponsored Projects Services, University of Arizona Steve Dowdy, Director, Research Information and Systems, Massachusetts Institute of Technology Learning Objectives: • Participants will learn tips for preparing for an implementation. • Participants will identify the key parts of an implementation process. • Participants will learn options for go-live and campus training. Diane Barrett*, Senior Research Administration Consultant, rSmart Diane Ashe, Senior Account Manager, rSmart Dawn Boatman, Director, Sponsored Projects Administration, Portland State University Bruxanne Hein, Director, Office of Research Services, Coastal Carolina University Pamela Whitlock, Director, Office of Sponsored Programs, University of North Carolina at Wilmington (Emeritus) PROGRAM LEVELS: B – BASIC; I – INTERMEDIATE; A – ADVANCED; O – OVERVIEW; U – UPDATE * Lead presenter 109 56 th 10:30 AM – NOON ~ DISCUSSION GROUPS ANNUAL MEETING BIOMEDICAL DRUG DISCOVERY 101 AGENDA Wednesday 8.13.14 Are you new to clinical research? Would you like to learn more about how drugs are developed from initial concept to entering the market? Bring your questions! We will discuss the clinical research process, including a summary of new drug development (key steps, study phases), and the (many!) parties involved in getting a drug from lab to market. CAREER SKILLS/PROFESSIONAL DEVELOPMENT NO ONE TOLD ME! TIPS AND HINTS FOR INFORMATION DISSEMINATION As research administrators, our universal mantra is "It depends". However, we regularly hear a different mantra from principal investigators and others engaged in the research enterprise at our institutions and organizations…"No one told me!" As committed research administrators, it is disconcerting and frustrating to hear these words. This discussion session will seek to identify and explore successful practices and experiences in the marketing of research administration information that includes policies, procedures, and services – all methods to promote compliance. Participants are encouraged to contribute to the discussion by sharing their experiences, practices, strategies and tactics for ensuring that communications and messages to our research communities are delivered, received, understood and retained. COMPLIANCE RCR TRAINING – HOW TO TEACH COMPLIANCE Jane Tolbert*, Administrator, University of Rochester Jennifer Harman, Director of Sponsored Programs and Facility Research, Nazareth College of Rochester Bruce Morgan*, Assistant Vice Chancellor for Research Administration, University of California Irvine Lisa Mosley, Executive Director, Research Operations, Arizona State University Kris West*, Associate Vice President, Research and Compliance, Emory University Discussion to include: • NIH/NSF requirements for mandatory training. re. the responsible conduct of research. • On-line and in-person training requirements. • Tracking of training completion. • Monitoring of program. 110 PROGRAM LEVELS: B – BASIC; I – INTERMEDIATE; A – ADVANCED; O – OVERVIEW; U – UPDATE * Lead presenter 10:30 AM – NOON ~ DISCUSSION GROUPS (continued) DEPARTMENTAL THE DRA: DEPARTMENT RESEARCH ADMINISTRATORS, THE FIRST LINE OF DEFENSE FOR COMPLIANCE Department Research Administrators are often the first to learn or discover issues associated with compliance, as such, this session will provide an open forum of discussion for DRA's to discover alternate options utilized to resolve various compliance related issues. This session will also provide attendees with guidance on compliance regulations. Learning Objectives: • Participants will leave with detailed material about current and ongoing issues that directly impact Department Research Administrators, especially and specifically those areas where the compliance of an institution is dependent upon the due-diligence of the Departmental Administrator. • Participants are encouraged to share their tools and practices in managing their workload while meeting the compliance requirements, as well as navigating the responsibilities of being the liaison between the central administrative office, faculty, and any other research units. AGENDA Wednesday 8.13.14 Prerequisites: Participants should have a basic understanding of general terms, structure, and the business of research administration as a whole as well as within their respective institutions. Our session will cover a wide range of research administration issues for Departmental Research Administrators. We anticipate that this session will be helpful to newcomers allowing them to get up-to-speed quickly on what is a priority; we also expect that participants with many years of experience will gain useful and timely information also. Rashonda Harris*, Associate Director, Research Accounting Services, Temple University Albana Cejne, Associate Director, Research Accounting Services, Temple University Derick Jones, Program Manager, The Medical Genetics Institute, Los Angeles Biomedical Research Institute FEDERAL UPDATE ON FUNDING OPPORTUNITIES AT THE NEA, NEH, AND IMLS Representatives of the National Endowment for the Arts, National Endowment for the Humanities, and Institute of Museum and Library Services will describe current grant initiatives at the cultural agencies and answer questions about programs and grant management. Learning Objectives: Participants will gain a greater awareness of grant opportunities at the cultural agencies. Carrie Holbo*, Grants Management Specialist, National Endowment for the Arts Karmen Bisher, Senior Grants Management Specialist, Institute of Museum and Library Services Anne Lopez-Buitrago, Deputy Director, National Endowment for the Humanities Russell Wyland, Deputy Director, National Endowment for the Humanities PROGRAM LEVELS: B – BASIC; I – INTERMEDIATE; A – ADVANCED; O – OVERVIEW; U – UPDATE * Lead presenter 111 56 th 10:30 AM – NOON ~ DISCUSSION GROUPS (continued) ANNUAL MEETING POST-AWARD RECORDS RETENTION AGENDA Wednesday 8.13.14 Learning Objectives: Participants will better understand their institution's policy. Retaining records serves two main purposes. In the short term, it provides those responsible for management with the means to monitor transactions and resolve problems. In the long term, it enables the Institution to comply with Federal Acquisition Regulations, the Internal Revenue Service regulations and other federal, state and local regulations governing auditability. Mitali Ravindrakumar*, Contract Administrator, Rand Corporation POST-AWARD Caroline Beeman*, Senior Manager, Maximus Mira L. Levine, Manager, Maximus OMB UNIFORM GUIDANCE ON ADMINISTRATIVE REQUIREMENTS What are the administrative change implications of 2 CFR 200, the new Uniform Guidance? Are we improving outcomes by reducing red tape? The new circular brings administrative change implications for Internal controls, procurement, equipment, reporting performance and financial data, subawards and subrecipient monitoring, cost sharing, proposal budgets, and direct charging. We will discuss what the impact of each of these may be on affected institutions. PRE-AWARD Follow-up to Concurrent Session: Intellectual Property Considerations for the Pre-Award Office, held @ 8:30 am INTELLECTUAL PROPERTY CONSIDERATIONS FOR THE PRE-AWARD OFFICE Gregory Slack*, Director of Research & Technology Transfer, Clarkson University George McGuire, Bond, Schoeneck & King, PLLC Charles Bartunek, Contracts Associate, The Johns Hopkins University Bloomberg School of Public Health As the competition for federal and state funding increases Universities are seeking to enhance their interactions with industry to secure a new source of sponsored funding. Universities strive to serve as the R & D arm of existing industries or as the source of new technology for the industries of tomorrow. Industry- university relationships often look great on paper and have great potential to benefit both parties in areas beyond research and development (R&D). In reality the differing expectations of both parties put the research administrators in a difficult situation. As they are expected to close the deal while negotiating agreements that complying with state and federal regulations that govern not-for-profit entities that grant IP rights and the industry partner expects to maintain complete ownership of any IP. These two positions appear to be in direct conflict. This session will be a follow up open forum focusing on the many challenges facing research administrators who manage intellectual property, negotiate private industrial research agreements, and state and federal awards. 112 PROGRAM LEVELS: B – BASIC; I – INTERMEDIATE; A – ADVANCED; O – OVERVIEW; U – UPDATE * Lead presenter 10:30 AM – NOON ~ DISCUSSION GROUPS (continued) PREDOMINANTLY UNDERGRADUATE INSTITUTIONS TOOLS OF THE PUI COMMUNITY TO MANAGE POST-AWARD COMPLIANCE AT SMALL INSTITUTIONS Have you looked at your policy recently and realized you are at audit risk for compliance? Have you already received recommendations to improve your policies and procedures? As a Predominately Undergraduate Institution, what are the tools your colleagues have used to implement best practices from larger institutions that work well for your campus environment. The discussion will focus the group on sharing various tools used to improve post-award compliance policies and procedures in key areas including, internal controls, sub-recipient monitoring, procurement transactions and cost-share. Melissa Mullen*, Sponsored Programs Manager, California Polytechnic State University-San Luis Obispo Katie Plum, Director, Office of Sponsored Projects, Angelo State University AGENDA Wednesday 8.13.14 NOON ~ CONFERENCE ADJOURNS PROGRAM LEVELS: B – BASIC; I – INTERMEDIATE; A – ADVANCED; O – OVERVIEW; U – UPDATE * Lead presenter 113