FACULTY ORIENTATION
ALL ABOUT GRANTS
A workshop presented by the Office of Research Services
Loyola University Chicago
6439 N. Sheridan Road, Granada Center, 4th Floor
Chicago, IL 60626-5309
Phone: 773.508.2471
Fax: 773.508.8942
E-mail: ors@luc.edu
luc.edu/ors
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FINDING FUNDING
Susan Clarke
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ORS Faculty Interests Database
& Grants Notification System
• LUC’s Internal Grants Notification System
• Get funding opportunities that match keywords sent right
to your e-mail (about 1-4 times/month)
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ORS Faculty Interests Database
& Grants Notification System
• ORS’ internal system - notifies faculty of funding opportunities
matching interests
• Faculty chooses key words to match research interests
• Key words are the same as those for Pivot (formerly COS)
• Optional fields to upload C.V., publication lists, links to your lab
website, etc.
To access: www.luc.edu/ors
Tips: Avoid overly broad terms, such as “education” or “humanities”
Do not check “select all”
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Proposal-ese
• RFI :
(Request for Information)
• RFA :
(Request for Application)
• RFP :
(Request for Proposal)
(Contract)
• FOA :
(Funding Opportunity Available)
• NOFA :
(Notice of Funding Available)
The World’s Largest Funding Database
https://pivot.cos.com/
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THE PIVOT DATABASE (FORMERLY “COS”)
• Free to LUC users
• Thousands of opportunities worldwide: Government and
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private
Includes many opps for grad students (tell yours!)
Can search by any word, or use Pivot keywords
Can combine multiple terms by “and” / “or”
Can narrow search by location, type of funding, etc.
Can modify search
Can search without creating an account, but….
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CREATE AN ACCOUNT IN PIVOT TO:
• Save searches (create a “basic search” template to avoid starting over with
each search)
• Receive e-mail updates (one for all) from your saved searches (can turn off
and on) (no spam)
• Track funding opps (get due date reminders)
• Create a profile and choose keywords – the database will continually match
funding opps to your keywords (open your profile to see latest opps)
• Access the database off-campus
• To access: https://pivot.cos.com or use link on ORS homepage
• Put it on you speed dial!
• Tip: The “include” options are virtually the default, you really only need to
“exclude” options.
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See tutorials and demo videos on the Pivot website; webinars
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FEDERAL FUNDING
• Search in Grants.gov: www.grants.gov/web/grants/home.html
• Surf the Agency and Institute websites directly (NSF, NIMH,
NICHD, etc.)
• Get feeds and e-mail alerts
http://www07.grants.gov/rss/GG_NewOppByAgency.xml
• Use Pivot
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GRANTS.GOV
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GRANTS.GOV
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GRANTS.GOV
http://www.grants.gov/web/grants/manage-subscriptions.html
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GRANTS.GOV
http://www.grants.gov/web/grants/search-grants.html?keywords=RFI
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WHERE DO YOU WANT TO WORK?
Ex: Grant Programs in (Soviet) Georgia
• Translating Healthcare Research Into Practice Workshop (NYU)
• Democracy Commission Grant Program (PAS)
• Alumni Grants (PAS)
• University Research Program Synopsis and RFA (PAS)
• Georgian Media Partnership Program (PAS)
• Book Translation Program (PAS)
• Media Educational Program (PAS)
• 2013 Alumni Engagement Innovation Fund (AEIF) Competition
• Ambassador's Fund for Cultural Preservation
• USAID/Georgia’s Restoring Efficiency to Agriculture Production (REAP)
• Administration, Registration and Evaluation Support for the 2015
annual “Women In Policing” Conference (INL)
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Private Funding Source Databases
Guidestar:
http://www.guidestar.org(free)
Basic sponsor info including website, view 990
The Foundation Center:
http://www.fdncenter.org
• Some limited info free
• Free newsletters, including RFPs
www.fundsnetservices.com(free)
• Large database organized by topic and type, including 19 pages of
international funding, tips on fund-raising, links to other sites
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FREE GRANT ALERTS
• Seliger + Associates (Weekly)
• L&D Associates (Weekly)
• U.S. Dept of Health + Human Services (Weekly)
• Grants Gov. posting Update (Every few days)
• Individual Agency Updates (Weekly)
Contact me: aclarke@luc.edu or (773) 508-8952
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GREAT GRANT BOOKS
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HAPPY HUNTING
AND
GOOD LUCK!
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INTERNAL RESEARCH SUPPORT
Tracy Foxworth
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INTERNAL RESEARCH SUPPORT
Lakeside units
 Arrupe College
 Centers for Excellence
 College of Arts and Sciences (CAS)
 Institute of Environmental Sustainability (IES)
 Institute of Pastoral Studies (IPS)
 School of Business
 School of Communication
 School of Continuing and Professional Studies
 School of Education
 School of Law
 School of Social Work
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INTERNAL RESEARCH SUPPORT - PUBLISHING
Manuscript Publication Assistance
• Award: Fifty percent of total cost up to $1,000
• Requirements:
 Project Description
 Expenditure justification
 Proof of cost share source: departmental/school or college/grant
Book Subvention
• Award: $2,000
• Requirements:
 Description of work
 Copy of Letter of Agreement or Contract from a university press
 Budget
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INTERNAL RESEARCH SUPPORT - PROPOSALS
Peer Reviewer
• Award: $100
• Requirements:




Statement of work for the peer reviewer
Description of the qualifications of the perspective peer reviewer
Description of the funding opportunity being applied for
Outcomes report
Grant Writing and Editing
• Maximum Award: $2,500
• Requirements:




Statement of work for the grant writer/editor
Description of the funding opportunity being applied for
Resume of the prospective grant writer/editor
Outcomes report
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INTERNAL RESEARCH SUPPORT - NON·COMPETITIVE
Research Support Grant
• Maximum award: $5,000
• Average project period is 12 to 14 months
• Requirements:
 Cover Page
 Abstract
 Project Narrative
 Budget and Budget Justification
 Funding Summary
 Curriculum Vitae
• Submission deadline is at least 6 weeks prior to the start of the
project
• Final Report
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MANAGING YOUR AWARD
• Expense Reimbursement, Payment Requisitions,
Purchase Requisitions, etc.
(Financial Services – Online forms: http://luc.edu/finance/forms.shtml)
• New Employee Packets, Personnel Action Forms, etc.
(Human Resources – Online forms: http://www.luc.edu/hr/online_forms.shtml)
• Reports
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INTERNAL RESEARCH SUPPORT - MISCELLANEOUS
• Journal Article Reprints
• Statistical Consultation
• Fred Bryant, Department of Psychology
fbryant@luc.edu or 8-3033
• Tim O’Brien, Department of Mathematics & Statistics
tobrie1@luc.edu or 8-2129
• Research Data Center
• A 1,000-square-foot facility dedicated to support research and
funded grants projects; provides a secure home for the
computational clusters and related equipment that can be used by
the LUC research community.
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INTERNAL RESEARCH SUPPORT
Guidelines and applications for ORS opportunities can be
found at:
• http://luc.edu/ors/internalfunding.shtml
• http://iprs.luc.edu
• or contact Tracy Foxworth (tfoxwor@luc.edu) or extension 8-2985.
Other internal resources
• Your Department Chairperson or College/School Dean
• Faculty Administration
Summer Research Stipends
(http://www.luc.edu/academicaffairs/resources/summerresearchstipends)
Faculty Development Leave Program
(http://www.luc.edu/academicaffairs/resources/facultydevelopmentleaveprogram)
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BUDGETING
Rosaria Aguirre
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WHAT TO CONSIDER
Award
Public Laws
Program
Rules
Agency Terms
and Conditions
OMB Guidance
Institutional
Policies
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BUDGET BASICS
Your Goal
- To develop a budget that adheres to the guidelines and policies
of the RFP and University:
• Reasonable
• Appropriate/Allocable
• Consistent
• Compliant
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REASONABLE
What does it mean:
• Prudent person:
• Necessary
• Contextual
• Newspaper test
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ALLOCABLE (Appropriate)
A cost is allocable to a particular grant or contract if the goods or
services involved provides a sole benefit to the specific grant or
contract.
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CONSISTENT
Expenditures that are consistently treated as
Direct Costs or Indirect Costs (F&A) across all
Institution’s sponsored projects
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ALLOWABLE (COMPLIANT)
• What does it mean:
• Part 220 OMB guidance- Cost principles for
educational institutions
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SPONSOR GUIDELINES
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BUDGET CHECKLIST
• Sponsor guidelines & Institutional policy
• Funding cap?
• F&A rate?
• Project Period?
• Personnel and roles?
• What needs to be done?
Identify all the costs that are necessary and reasonable to
complete the work described in your proposal.
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DIRECT COSTS VS INDIRECT COSTS
• Costs that can be identified specifically
with a particular sponsored project, or
activity. It can be assigned directly to the
Direct Costs
project with a high degree of accuracy.
• Costs that are incurred by the grantee
and cannot be easily identified with a
Indirect Costs
particular project or activity.
(F/A)
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SALARY COSTS
Personnel on grants
(Agency guidelines for Salary caps and University policy)
All of those employed at LUC
• Faculty Salary (Academic Year, Summer Salary & Incidental)
• http://www.luc.edu/ors/facultysalary.shtml
• Staff (full time & part time)
• Students (hourly, monthly stipend)
• Fringe Benefits: http://luc.edu/ors/facostpolicy.shtml
•
•
•
•
Full-time Faculty/Post Docs-24.8%
Staff FTE-27.4%
Graduate Students-46.6%
PT Employee (faculty and/or staff)-7.6%
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OTHER DIRECT COSTS
Materials and Supplies
Travel
Fly America Act (federal awards only)
Honoraria, Consultants
Sub-awards
Equipment
Other
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BUDGET BASICS
Indirect Costs- costs that are incurred for common or joint objectives and therefore
cannot be identified readily and specifically with a particular sponsored project
• Also called Facilities & Administrative costs (F&A)
• Does the funder allow indirect costs?
• Is there a cap?
• Federally approved indirect cost rate
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BUDGET BASICS – (SIMPLE EXAMPLE)
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See attachment #1
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See attachment #2
BUDGET BASICS ( DETAILED WITH COST SHARE)
PI:
Agency:
Budget Period:
Due Date:
Total:
Jan 1, 2016- Dec. 30, 2018
30% cost share required
28%
$279,677
max amount of request
500,000
Base
Description
Salary
PI AY Salary-years 1&2
96,000
PI Summer Salary all years
96,000
co-PI, 3% increase for Years 2 and 3
84,000
co-PI Summer Salary all years
84,000
Graduate Student hourly pay
Graduate Student Stipends
22,000
Undergraduate Student Workers
$10/hr.
Fringes Faculty @24.8%
Fringes for grad student @ 46.6%
Total Salaries & fringes
Loyola Consultant
Loyola-consultant fringe @24.8%
Consultant-outside Loyola
Total Consultants
Other Expenses
Participant Support Costs-human subjects
Travel
Local Travel
Total Other Costs
Total Direct Costs
MTDC
F&A @ 43%
TOTAL PROJECT COST
% effort
15%
5%
15%
5%
100%
100%
24.80%
46.60%
24.80%
LUC cost
YR ONE
share Yr 1
14,400
9,600
1,600
9,600
12,600
6,720
1,400
4,200
10,000
22,000
8,000
7,440
8,735
10,252
0
$87,692
$38,855
2,000
496
3,000
$5,496
$0
750
3,600
977
$5,327
$98,515
88,263
37,953
$136,468
$0
$38,855
LUC cost
YR TWO
share Yr 2
14,832
9,888
1,648
9,888
0
6,922
1,442
4,326
10,000
22,000
12,000
4,445
8,997
10,252
0
$76,619
$40,020
2,000
496
3,000
$5,496
$0
1,500
16,950
2,664
$21,114
$103,229
92,977
39,980
$143,209
$0
$40,020
Total LUC
Total
cost share
29,232
19,488
3,248
19,488
12,600
13,642
2,842
8,526
20,000
44,000
0
20,000
11,885
17,732
20,504
0
$164,311
$78,875
4,000
992
6,000
$10,992
$0
2,250
20,550
0
3,641
$26,441
$0
$201,744
$78,875
181,240
77,933
$279,677
$78,875
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BUDGET BASICS
Budget Narrative (see http://www.luc.edu/media/lucedu/ors/pdfsanddocs/research/Sample_justification.docx)
• Make your case that the budget is reasonable, appropriate, and
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•
•
•
adequate
Provide detail about, and rationale for, items to be purchased
Indicate how costs were calculated
Make sure the budget narrative is consistent with the proposal
narrative
No surprises!
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BUDGET BASICS
Two simple rules to follow:
Develop
a realistic
budget!
Justify
your
needs!
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BUDGET BASICS
The bottom line:
Keep it reasonable.
Keep it clear.
The science or activity drives the budget
and justification.
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APPLYING FOR
EXTERNAL
GRANTS (PTAP)
Angelica Vaca
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WHY SHOULD WE APPLY FOR GRANTS?
Sponsor’s
Perspective
•
Advance agency mission
•
Train future scientist/teachers
•
Enhance outreach
Institution’s
Perspective
• Advance and disseminate
knowledge
• Train future
scientists/teachers/scholars
• Attract new faculty and students
Faculty’s
Perspective
• Advance career
• Research improves teaching
content
• Ability to support graduate
students
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BEGINNING THE PROCESS
Contact your Research Administrator
• Phone
• Email
• Walk-In
• Initiating PTAP
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BEGINNING THE PROCESS
INITIATING THE PTAP PROCESS
To access the Proposal Transmittal Application Process
(PTAP):
• At the LUC Home page
• Under Academics, click on Research
• Under Proposals/PTAP, click on PTAP
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CONTINUE THE PTAP
• Completing the PTAP
• Upload Scope of Work and Budget
• Submit to ORS
Next Step
 ORS reviews PTAP
• If further clarification or revision is needed we will communicate with PI.
 ORS routes for Approval
 Proposal is ready to be submitted to sponsor
• Remember
• The main purposes of the PTAP are to facilitate the preparation of external grant
proposals and to ensure they are reviewed and approved by the appropriate LUC
officials. The actual submission of the proposal to the sponsor is done separately!
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PROPOSAL SUBMISSION
And now…we wait to hear from the sponsor
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AWARD MANAGEMENT
Angelica Vaca
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CONDUCTING THE PROJECT
We Were Awarded…
Now what?
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CONDUCTING THE PROJECT
• Notice of Award (NOA) is received
Review terms and conditions
Revise awarded budget, if needed
• ORS requests Sponsored Program
Accounting (SPA) to set up
Accounting Unit (AU)
AU is set up using account codes
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CONDUCTING THE PROJECT
• If your awarded budget includes
A. Consultants (see http://www.luc.edu/ors/payingindividuals.shtml)
Over $5,000 contact Purchasing to complete
Checklist & Bid Summary Form as well as
coordinate with your RA the preparation of the
Consultant Agreement
Less than $5,000 coordinate with your RA to
prepare Consultant Agreement
B. Subawards
 Work directly with your RA to prepare
Subaward Agreement
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CONDUCTING THE PROJECT
Modifications/Amendments
• Continuation
• Typical of multi-year projects
• Adds more funding, as well as extending the period of
performance: more money and more time
• Supplement
• Adds more funding for the same time period; the end date of the
project remains unchanged
• No Cost Extension (NCE)
• Adds more time, no new funds
PTAP must be updated by RA and routed for approval
at the time of the request-Not after.
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CONDUCTING THE PROJECT
Re-budgets:
• Re-budgeting allows the PI to “fine tune” the proposed/awarded budget
• Contact your RA to verify if prior approval is needed
 The terms and conditions of your grant will determine what kinds of deviations from the
approved project plan and budget need to be approved by the sponsor before they
can be implemented
 The list of things that require prior approval can range enormously: some grants do not
have any prior approval requirements; some require prior approval for even the
slightest deviation
 Typically, though, you will need to obtain prior approval for a change in scope, a
change in key personnel, and major revisions in the budget
 Requests for prior approval must be submitted through ORS
• Coordinate request with your RA
• Once approved your RA will submit to SPA for update
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CONDUCTING THE PROJECT
Reporting:
• Any interim or annual programmatic reports that are required are
submitted to the sponsor by the PI, as well as they need to be
uploaded to the PTAP.
At Close Out
• Most grants require a financial report and a final programmatic
report
• SPA provides the financial; PIs provide the programmatic, and
uploads it to PTAP.
• Occasionally invention reports are required (to be submitted by
ORS after discussing with PI)
Other kinds of reports may sometimes be required — be sure to
read the terms and conditions of your grant carefully!
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COMPLIANCE
RESEARCH INVOLVING HUMAN SUBJECTS, LABORATORY
ANIMALS, BIOLOGICAL OR CHEMICAL HAZARDS,
OR RADIATION
Andrew Ellis
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INTRODUCTION-OVERVIEW
• Greeting
• A branch of ORS dedicated to ensuring compliance with
the regulations.
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ROLES AT LOYOLA
1
2
3
4
5
Assist researchers when they need to comply with
regulations and/or University Policies.
Help inform and educate researchers about
requirements and any changes.
Work with inspectors or auditors when they are on
campus.
Maintain records of compliance activities.
Support the compliance related committees.
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AREAS OF RESEARCH COMPLIANCE
• Human Subject Research
• Laboratory Animals (for research or teaching)
• Biological and Chemical Hazards
• Radiation
• Responsible Conduct Training- “RCRS”
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HUMAN SUBJECT RESEARCH
• Requires oversight of the LUC IRB
• Must obtain approval before involving any human subject
in research.
• Three “levels of review”
• Convened
• Expedited
• Exempt
• Training Requirements (www.citiprogram.org)
• Applications are done online using the CAP system.
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ANIMAL USE IN RESEARCH & EDUCATION
• Any use of live vertebrate animals on/off campus needs to
•
•
•
•
•
have IACUC oversight.
Approval must be obtained in advance.
Research team needs to have completed online training
and have a current tetanus inoculation statement with the
application.
Most animals are housed in the Animal Care Facility
(ACF) in the Quinlan Life Science Building
Should work with the LUC Attending Veterinarian (Dr.
Andres)
Applications are done online using the CAP system.
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BIOSAFETY
• The Institutional Biosafety Committee (IBC)
• Meets about 3 times a year
• Biosafety Officer
• Reports to the National Institutes of Health (NIH) annually
• Loyola University Chicago takes very seriously its obligation to
oversee research and instruction that involves biohazardous
materials and/or recombinant DNA.
• Before initiating any work involving biohazardous materials
and/or recombinant DNA, whether supported by external
funding or not, principal investigators are required to have their
protocol approved by the Institutional Biosafety Committee
(IBC).
• Seek approval before ordering/purchasing/acquiring material
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RADIATION SAFETY PROGRAM
• Radiation Safety Committee
• Meets about 6 times a year
• Radiation Safety Officer
• RSSI a safety company that does inspections and
surveying, training, and assists with the licensing
requirements
• Must have approval of the RSC to have or use any
radioactive materials
• Must report any equipment (produces radiation or laser
energy) to Andrew and the RSO
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RESPONSIBLE CONDUCT OF RESEARCH
SCHOLARSHIP PROGRAM
AND
• Required for people funded by the NSF or NIH.
• Required for any graduate student that conducts
“research”
• Thesis or Dissertation
• UNIV 370
• Two Day program
• Usually scheduled during breaks
• Next session is May 2016
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TIPS
• Consider the requirements for using human subjects or
animals in your research from the start.
• Plan your applications in advance (including renewals)
• Report any concerns or issues as soon as possible.
• Do not hesitate to contact Andy or a compliance assistant
for help.
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RESOURCES-CONTACT INFORMATION
• The ORS web site www.luc.edu/ors
• Research Compliance web site
http://www.luc.edu/ors/compliance.shtml
• Contact me anytime
Andrew Ellis
Assistant Director for Research Compliance
aellis5@luc.edu
(773) 508-2689
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QUESTIONS?
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