DIVISION OF RESEARCH
Employee Orientation - Fall 2009
Greg Slack
Director of Research &
Technology Transfer
Todd Travis
Award Administrator
Kimberly Klatt
Research Compliance Officer
CONTACT US
Division of Research (DoR)
116 Technology Advancement
Center (TAC)
PO Box 5630
Phone: 315-268-6475
Fax: 315-268-6515
http://www.clarkson.edu/dor
AGENDA
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DOR Overview & Summary of Funding
Doing Research at Clarkson
Research Compliance
Technology Transfer
DoR Website
DIVISION OF RESEARCH
MISSION
To provide faculty and staff with expert assistance
in sponsored projects administration to facilitate
research and learning.
We do this by providing the following:
• Pre-Award Services
• Post-Award Services
• Award Administration
• Compliance Guidance
• Support Staff
SUMMARY OF FUNDING
SUMMARY OF FUNDING
Breakdown of Total Funding 7/08 - 6/09
SUMMARY OF FUNDING
Breakdown of Federal Funding 7/08 - 6/09
SUMMARY OF FUNDING
Breakdown of NYS Funding 7/08 - 6/09
DOR RESPONSIBILITIES
& SERVICES
• Proposal
Submission
• Award
Administration
• Confidentiality
Agreement
• Contract Negotiation
• Intellectual Property
Management
• Tech Transfer Licensing
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Provisional Patents
Conflict of Interest
Compliance
Education and
Training
• Undergraduate
Research
• Research
Appointments
PRE-AWARD SERVICES
Todd Travis
Award Administrator
ttravis@clarkson.edu
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Full Proposal Preparation Services
Proposal Writing & Preparation Workshops
Budget Preparation
Maintain Funding Resources
Research Personnel Services
POST-AWARD SERVICES
Constance M. Ferguson
Contract & Grant Administrator
cferguson@clarkson.edu
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Administer External Research Funds
Negotiate/Receive Awards
Monitor Account Activity
Accounting Compliance Matters
Monitor Award Terms and Conditions
Interpret Sponsor Guidelines
Administer Reporting Activity
AWARD ADMINISTRATION
Dr. Gregory C. Slack
Director of Research &
Technology Transfer
gslack@clarkson.edu
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Negotiate Awards
Confidentiality Agreements
Intellectual Property
Conflict of Interest
Institutional Review Board(s) – IACUC & IRB
Compliance
COMPLIANCE GUIDANCE
Kimberly Klatt
Research Compliance Officer
kklatt@clarkson.edu
• Provide oversight in compliance with regulations and
certifications applicable to sponsored programs.
• Initial/Continual Training & Education
• Negotiate Compliance Obligations and Commitments
• Monitor & Audit Compliance Activities
• Conflict of Interest
• Institutional Review Board(s) – IACUC & IRB
DoR SUPPORT STAFF
Adele Pugliese
Sr. Dept. Secretary
(MAE, ECE, PPAS, IACUC)
Apugliese@clarkson.edu
Billi Jo Goodfellow
Sr. Dept. Secretary
(CBE, BIO, PSY, C&M, CUSB, HSS, PHY MCS)
bgoodfellow@clarkson.edu
Norma Woods
Sr. Dept. Secretary
(CAMP, CBS, PT, CEE)
nwoods@clarkson.edu
Rebecca Thatcher
Sr. Dept. Secretary
(Provisional Patents, NDAs, MOUs, IRB)
rthatche@clarkson.edu
DOING RESEARCH AT
CLARKSON…
•Funding
•Proposal Submission
•Grant Management
PROPOSAL
PREPARATION & SUBMISSION
• Find a funding source
• Submit a Proposal Submission Form to Todd Travis,
Award Administrator
• Submitting the Proposal Submission Form will
generate a Research Office # (RO#) and an assigned
support staff member to aid you in the process
• The DoR will help as much as necessary to prepare
your proposal
• All proposals must be reviewed and submitted
through the DoR
http://www.clarkson.edu/dor/proposal_prep/index.html
PROPOSAL TOOLKIT
http://www.clarkson.edu/dor/proposal_prep/index.html
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Current Rate(s) Information
DOR Forms For Proposal Processing
Proposal Budget Preparation Guidance
NSF FastLane Proposal Submission
Instructions
• Agency Forms
BUDGET PREPARATION
• Faculty salary – Generally, summer
salary is requested with proposal
budgets.
• Graduate students – Generally, 10
credit hours of tuition is requested
annually for each fully funded student
supported by the grant.
BUDGET PREPARATION
• Faculty can receive up to 3 months of
additional compensation from all sources
during the summer (Sponsored research,
teaching summer classes, etc.)
• As a general rule, in budget preparation we
request either academic salary to match the
summer salary requested or the tuition for the
graduate students being funded.
PROPOSAL SUBMISSION FORM
http://www.clarkson.edu/dor/proposal_prep/index.html
PROPOSAL SUBMISSION FORM
http://www.clarkson.edu/dor/proposal_prep/index.html
GRANT MANAGEMENT –
AWARD EXECUTION
Upon full execution of the award the DoR will:
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Prepare a Notice of Award that includes, but not limited to:
– Funding agency
– Budget period
– Report requirements
– Technical contact
– Awarded amount
– Special Terms & Conditions/Compliance Obligations
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Prepare a budget according to the approved budget
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Establish an account number for the award
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Send the Principal Investigator a copy of the Notice of Award, approved budget,
congratulations letter, and a copy of the award agreement.
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Send the Comptroller’s Office a copy of the Notice of Award, approved budget, and a
copy of the award agreement.
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Send your Dean, Department Chair, and the Provost a copy of the Notice of Award.
GRANT MANAGEMENT –
PI RESPONSIBILITIES
The responsibilities or obligations that PI(s) agree to when accepting a grant
or contract include the following:
 Commitment: Review all documentation including referenced materials
within the award documents and comply with the terms and conditions.
 Communication: Review the roles and responsibilities of all parties
involved in the project and assure that they are aware of their obligations.
 Technical Management: Manage the technical aspects of the program and
comply with the deadlines and reporting requirements in award documents
or the statement of work.
 Supervision: Staff the project and supervise project personnel
 Financial: Charge to the research account only those expenditures directly
related to the technical completion of the project.
 Accuracy: Review the monthly accounting statements to verify that all
charges to that account are appropriate.
GRANT MANAGEMENT –
FINANCIAL
• As a recipient of federal funds Clarkson University is
required to maintain a list of allowable and
unallowable charges.
– “How to Distinguish Between Direct and Indirect Charges” is
our current guideline
– It can be found on the DoR website @
http://www.clarkson.edu/dor/grant_mgmt
• Only allowable costs can be charged to a sponsored
project.
• Allowable charges are further classified in Clarkson
University’s guideline as indirect or direct costs.
• Costs classified as indirect cannot be charged
directly to your sponsored project.
GRANT MANAGEMENT –
FINANCIAL
Direct vs. Indirect
Direct Costs: Allowable costs that can be identified
specifically with a particular sponsored project(s) and
be assigned easily with a high degree of accuracy.
Indirect Cost (F&A): Allowable costs that are incurred
for
common or joint objectives and therefore cannot be
identified readily and specifically with one or more
sponsored project.
GRANT MANAGEMENT –
FINANCIAL
For a cost to be allowable as a direct charge it must be:
Allowable: Permitted as a charge per Clarkson’s guideline (alcoholic
beverages, entertainment, or gifts are never allowed).
Necessary: to accomplish the approved goals and objectives of the project.
Reasonable: The cost may be considered reasonable if the nature of the
cost, and the price paid, reflects the action that a prudent person would have
taken.
Allocable: Expenses can be allocated based on the benefit derived. This
means cost can be allocated specifically with one research project or if the
cost benefits more than one project it can be allocated based on proportional
benefit or a reasonable basis.
What I Can’t Charge Directly to
My Sponsored Award?
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Office Supplies
Administrative and Clerical Staff Salaries
Basic Line Telephone Charges
Administrative Office Equipment (i.e. copiers, office computers
and printers)
• General Use Software (Word, Excel, Access, or equivalent)
• General Use or janitorial Items (paper towels or soap)
“How to Distinguish Between Direct and Indirect Charges”
http://www.clarkson.edu/dor/grant_mgmt
What Can I Charge to Directly to
My Sponsored Award?
• Laboratory Supplies (i.e. chemicals and glassware)
• Long Distance Telephone Calls
• Laboratory Equipment (>$5000 with agency
approval)
• Equipment maintenance or repair
• Computers, Printers and Networking Supplies (for
research data collection or processing only)
• Specialized Software (Computational)
• Travel
“How to Distinguish Between Direct and Indirect Charges”
http://www.clarkson.edu/dor/grant_mgmt
P-Card Reconciliations
You must provide adequate justification to determine if the charge is
allowable:
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“Expense Descriptions” should indicate the benefit to the
project or scope of work (i.e. What is the item used for ?,
Why do need the item?).
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Provide documented evidence to auditors that costs are necessary for the
performance of the project.
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Remember to proportionally charge expenses used for more than one project or
educational activity.
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Federal auditing regulations require that “Expense Descriptions” are reviewed by
the Accounts Payable Staff.
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Proper “Expense Descriptions” will minimize the need for Accounts Payable to
request additional information (i.e. Direct Cost Justification Form)
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This methodology also applies to purchase requisitions, disbursement orders,
and travel expense accounts.
Some Expenditures Are More Scrutinized By
Auditors and May Include:
General Lab Supplies (i.e. gloves)
Computers & Printers
Networking Supplies & Software
Travel & Books
• Expense descriptions and proportional charging are often
scrutinized by auditors on these types of expenditures.
• If the cost benefits one project only, then simply indicate the
item is used for that project only.
• This additional documentation will minimize the need for
Accounts Payable to contact you. (i.e. Direct Cost
Justification Form).
Examples
Your students are working late and you want to provide them
dinner. How should you pay for it?
You want to buy a computer and a printer with your
research award. Can you? What about paper and
toner?
You’re buying general lab supplies (gloves, soap, centrifuge
Tubes). Can I charge them to my research award. If so,
How do I proportionally charge them?
RESEARCH COMPLIANCE AT
CLARKSON…
•Overview
•Conflict of Interest
•IRB/IACUC
•Scientific Misconduct
•Export Control
Clarkson University Compliance Program
• University Compliance Committee (UCC)
established in 2005.
• UCC formed to ensure compliance facing
the University.
• UCC consists of six sub-committees.
• Committee responsible for handling,
reviewing, monitoring and enforcing all
University compliance matters.
• Research compliance represents one of
the six sub-committees.
Why is Research Compliance
Important?
Non-compliance places Clarkson and the
Principal
Investigator at significant risk and can result in:
Damage to the University’s or your
reputation and integrity
Severe fines/penalties to the institution
Designation as a “high risk” institution
Suspension/debarment from receiving
federal funds (University and PI’s)
Criminal Prosecution
Regulatory Drivers
of Research Compliance
When sponsored funding is accepted by the
institution we are agreeing to comply with federal
and state regulations:
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OMB A-21 - Cost Principles
OMB A-110 - Uniform Administrative Requirements
OMB A-133 - Audits
Assurances, Certifications, & Representations
http://www.clarkson.edu/dor/compliance
REALITIES OF COMPLIANCE
• Research compliance is a collaborative
responsibility of the administration and faculty.
• We have a legal responsibility to comply with
federal and state requirements.
• We are expected to increase awareness and
knowledge of the regulations and certifications
agreed upon when sponsored funding is accepted.
Know that the DoR is here to help you!
RESEARCH COMPLIANCE
PROGRAM
Education: Making people aware of the importance of compliance guidelines
Guidelines: Providing written documentation that clearly reflects the how to be
compliant.
Training: Providing indoctrination to guidelines and continual guidance on
How to be to compliant.
Oversight: Continuous monitoring of practices such as purchasing consistent
with the guidelines of the University and sponsoring agency.
Auditing: Verification of policies and current practices.
Responsibility: Providing a clear understanding of individual responsibility .
Communication: Effectively exchanging information.
CONFLICT OF INTEREST
POLICY (COI)
http://www.clarkson.edu/dor/coiform.pdf
• All Clarkson employees are required to
complete a Conflict of Interest Disclosure
Form annually.
• PIs submitting proposals must certify that
there are no changes since the annual
disclosure.
• Changes must be updated prior to submission
of a proposal to an external agency and during
evaluation period of the award.
• You can obtain a COI from the DoR website
CONFLICT OF INTEREST
http://www.clarkson.edu/dor/coiform.pdf
SCIENTIFIC MISCONDUCT
http://www.clarkson.edu/dor/compliance/misconduct.html
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All Clarkson employees and students are expected to adhere to ethical conduct
in the exercise of their duties and studies. Should misconduct arise within the
context of scholarly activity, it will be dealt with according to the following
general principles:
 Well-founded accusations of scholarly misconduct made in good faith must be given
serious consideration;
 An accused person or persons must be assumed innocent until the weight of evidence
requires a conclusion to the contrary;
 Every effort should be made to protect the privacy and reputation of both the
complainant and the respondent, to provide for due process, and to restore the good
name of the unjustly accused individual or individuals.
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Reporting Alleged Misconduct
Institutional Animal Care and Use
Committee (IACUC)
http://www.clarkson.edu/dor/compliance
All research or teaching activities involving the use of animals,
Including field studies, whether funded externally or not, must be
initially reviewed by the IACUC.
• Applications for review and additional information are available on the
are available on the DOR website.
• Contact the IACUC Administrative Assistant, Adele Pugliese, at ext.
#6475 for further assistance.
Chair – Ken Wallace
Institutional Review Board (IRB)
http://www.clarkson.edu/dor/compliance
All research involving human subjects initially must be reviewed
and approved by the IRB.
• Approval by the IRB must be obtained prior to collecting data.
• Full IRB review may be waived but only after the IRB has approved
your application for exemption.
• Applications for review and exemption, and additional information
are available on the DOR website.
• If you need assistance, contact the IRB Administrative Assistant,
Rebecca Thatcher, in the DOR at ext. 6475 or at irb@clarkson.edu.
Chair - Leslie Russek
Export Controls
http://www.clarkson.edu/dor/export.html
What are United States export controls and why should
you be aware?
• Export Control Laws are laws which prohibit the
unlicensed “export” of certain controlled technologies to
foreign persons or restricted countries for reasons of
national security and trade protection.
• Any method of disclosure may apply: email, telephone,
websites, tours, training sessions, shipping outside the
U.S.
How do Export Controls Laws
Impact Research at Clarkson?
If Clarkson research involves controlled technologies,
government approval (a license) and a Technology
Control Plan (TCP) may be required before allowing:
• Foreign researchers and students inside and
outside the U.S. to participate in research.
• Sharing research results with foreign persons.
• Providing training and other services to foreign
persons.
• Sending equipment or software outside the U.S.
EXPORT CONTROLS: When
Should I be most concerned?
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Foreign Travel
Foreign Collaboration
Research may have a military application.
Research involves technology that is export
controlled.
• Export Controls was brought up in conversation with the
sponsor.
• Export Controls language is present in the proposed
contract or award terms .
Notify Greg Slack or Kim Klatt in the DOR when you
have concerns pertaining to export controls.
Technology Transfer
•Moving Discoveries to the Marketplace
•Intellectual Property
•Small Business Ventures
TECHNOLOGY TRANSFER
http://www.clarkson.edu/dor/tech_transfers.html
Mission: To move discoveries from the university to the market place in
order to promote economic development and create additional research
opportunities.
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Intellectual property (IP) policy
NDAs
Market research prior to patenting
Licensing
Contact Greg Slack, Director of Research and
Technology Transfer as early as possible.
DOR WEBSITE
http://www.clarkson.edu/dor
Funding Resources
Proposal Preparation
Grant Management
Compliance
Training
Export Controls
Technology Transfer
THANK YOU
FOR
COMING!
QUESTIONS?