Quality Research
Administration Meeting
August 2011
Agenda
Nancy Lewis
Darlene Sullivan and Nancy Lewis
Karen Allen
Alison Yeung and Jeff Warner
 Sponsored Projects Administration Updates
 Subaward Process Updates and Subrecipient
Commitment Form Implementation
 Proposed Changes to the Common Rule
 Federal Budget Crisis and its Effect on Federal
Awards
Greg Ruth
Nancy Lewis
 Tuition and Fee Remission Update
Nancy Lewis
 NSF Responsible Conduct of Research Update
Nancy Lewis
 ARRA Reporting Process Update
Sheila Hedayati, Rebecca Lally, and
Scott Jackson
August 2011 QRAM
 Into. to the Office of Research News Website
 Research Safety
Sponsored Projects
Administration Update
Nancy Lewis
Director, Sponsored Projects
Administration
nancy.lewis@research.uci.edu
949.824.2897
August 2011 QRAM
 Sponsored Projects
Administration Update
and Reminders
SPA Update
• FY 2011 Extramural Awards
– $331,484,650 represents a 2% decrease in funding from FY
2010. Percentage decrease is consistent with Universities
nationwide.
• Staffing Update
– Darlene Sullivan, Principal Subawards Officer, leaves SPA
September 1st. We are currently recruiting for her position.
– Jonathan Lew and Leighsa Washington (Contract and Grant
Officers for federal awards) have switched teams. Jonathan
joined Allison Ramos’ team and Leighsa Washington joined
Soheil Jadali’s team.
– SPA workload review is underway. May result in additional
departmental assignment shifts. Departments will be
informed well in advance of any changes.
August 2011 QRAM
SPA Reminders
• Proposal File Transfer System
– Please choose the appropriate SPA team when submitting files to
SPA via this system. The system defaults to the team listed first.
Recently, we received files via that system that were sent to the
wrong team which resulted in delays in receipt and review of
those proposals.
• Submission of Requests for Vital Interest Indirect
Cost Waivers
– Vital Interest waivers should be submitted to the appropriate
Sponsored Projects Officer for review and processing.
– Waiver requests submitted to the Vice Chancellor’s office will be
delayed because they have to be redirected to the appropriate
Sponsored Projects Officer.
– Submission instructions for Vital Interest Waivers will added to
the Sponsored Projects website within the next few days.
August 2011 QRAM
Sponsored Projects
Subaward Update
Nancy Lewis
Director, Sponsored Projects
Administration
nancy.lewis@research.uci.edu
949.824.2897
Darlene Sullivan
Principal Subcontract Officer
Subawards@research.uci.edu
August 2011 QRAM
 Subaward Process
Update
Subaward Mailbox
 Subawards@research.uci.edu
 Monitored by the Subaward Team
 What’s the mailbox used for?
 Completed Subaward Verification Forms
 Agreements and other communications with
Subrecipients
Streamlining the Subaward Process
 Effective immediately, subawards may be issued
for more than 1 year at a time depending upon
the terms of the prime award
 Sponsored Projects has revised its procedure to
issue subawards based upon the period of
performance and funding allocated to the
subrecipient in the prime award unless otherwise
instructed by the Principal Investigator via the
Subaward Verification Form.
 RESULT: Less paperwork, fewer subaward transactions
which will result in faster turnaround times for
placement of subawards.
Sponsored Projects
Subaward Update
Nancy Lewis
Director, Sponsored Projects
Administration
nancy.lewis@research.uci.edu
949.824.2897
Darlene Sullivan
Principal Subcontract Officer
Subawards@research.uci.edu
August 2011 QRAM
 Subrecipient
Commitment Form
Implementation
Purpose
 Expedite the process of setting up subawards.
 Designed to help subrecipients understand, at the
proposal stage, what will be required of them by UCI
should an award be made.
 Includes compliance with federal regulations such as
those governing research with human or animal subjects,
conflict of interest, and OMB Circular A-133.
Subrecipient Commitment Form
Implementation
 Effective October 1, 2011, required for all proposals that
include subawards and after-the-fact subawards
proposal submissions.
 Must be submitted at the proposal stage as part of the
proposal package submitted to the Sponsored Projects
Officers for review.
 A subaward will not be issued without a signed (by an
Authorized Official of the subrecipient) Subrecipient
Commitment Form and subaward proposal.
Subaward Proposal Packet




Subrecipient Commitment Form
Scope of Work
Budget & Budget Justification
Other items that are required by the
Sponsor
Human Research
Protections Update
Karen Allen
Director, Human Research
Protections
kallen@uci.edu
949.824.1558
August 2011 QRAM
 Proposed Changes to the
Common Rule
Sponsored Projects
Administration Update
Alison Yeung,
Contract and Grant Officer
Alison.Yeung@research.uci.edu
(949) 824-2644
Jeff Warner,
Contract and Grant Officer
warnerj@uci.edu
(949) 824-4781
August 2011 QRAM
 Federal Budget Crisis
and its Effect on Federal
Awards
Observations from the
Federal Desk
•OMB budget guidance for FY 2013
•NASA
•NSF
•NIH
OMB Budget Guidance for FY 2013
• Office of Management and Budget directs
agencies to submit an FY 2013 budget
request that reduces discretionary
spending by five percent from its FY 2011
level.
• http://www.whitehouse.gov/sites/default/f
iles/omb/memoranda/2011/m11-30.pdf
NASA
Timely spending, No-cost
extensions
• NASA is scrutinizing NCTE requests and
justifications due to slow spending
• NCTE requests must have scientific
justification
• NASA program budgets are being cut
because of unspent funds on awards.
Please note: NASA NCTEs processed through
NASA Shared Services Center (NSSC) must
come through SPA
NASA
FY’11 allocations decreased
• NASA sustained a budget decrease as part of an
effort to reduce the amount of funds “uncosted”
in this fiscal year
• Projects with slow spending rates underwent
agency mandated shift in funds
• Result: for one PI - Year 2 funds reduced by 50%
• Spending rates are under scrutiny: Advise PI’s to
expend funds in parallel with technical progress
NSF appropriations cancelled
• UCI recently received notice of
cancellation of FY 2005 appropriations
that affect four awards to UCI
• Awards were in the 2nd no cost
extension period
• Additional no cost extensions not
possible
NIH Graduate Student
Compensation
• Since 2001, compensation for graduate
students supported on NIH awards should
not exceed an amount equal the current
NRSA Postdoctoral Training Grant zero
stipend level.
• Due to the current state of the federal budget,
this policy is under new scrutiny at NIH.
• NRSA Budgetary Policy Fiscal Year 2011
Policy: NOT-OD-11-067
Amount proposed (actual
grad student costs –
tuition, fees, salary):
NIH FY 2011 zerolevel postdoc level:
NIH FY 2012 zerolevel postdoc level:
NIH FY 2013 zerolevel postdoc level:
NIH FY 2014 zerolevel postdoc level:
$39,000
$39,500
$42,000
$42,000
Year 1 (2011): $38,000
Year 2 (2012): $40,000
Year 3 (2013): $41,000
Year 4 (2014): $42,300
If the award is funded in 2011, these
are the amounts you will receive for
grad student compensation:
Year 1: $38,000
Year 2: $38,000
Year 3: $38,000
Year 4: $38,000
Amount you’re allowed to charge
to the NIH grant:
Year 1: $38,000
Year 2: $39,500
Year 3: $42,000
Year 4: $42,000
This chart is for training purposes only. These are not
correct values.
Please see Graduate Student Fees and Tuition remission
policy here:
http://research.uci.edu/ora/sp/studenttuition.htm
For Year 2, the actual cost of grad student compensation is
$40,000. You can rebudget project funds to pay grad
student up to NIH FY2012 level, which is $39,500, but
the dept will need to pay for the remaining amount of
$500) since NIH will only fund at the zero-postdoc level at
the time of the award. No adjustments will be made to
noncompeting total cost award levels or future year
commitments.
For Year 3, the actual cost is $41,000; you only received $38,000.
You can rebudget the difference of $3000 in project costs to the
grad student compensation, since $42,000 is the FY13 NIH
zerolevel postdoc cap.
If FY14 NIH zerolevel postdoc cap remains $42,000, and the
actual cost increases to $42,300: the dept will need to cover the
$300 difference.
NIH Reminders
• Due to the budget crisis, there is new scrutiny at
NIH on late progress reports. Delays in
submission of progress reports may jeopardize
funding.
• Please remind all PI’s to spend their NIH funds
in accordance with the time frame set out in the
approved budget to avoid cuts in future years
funding.
• Please remember to send the required FFD to
Sponsored Projects to prevent delays in funding.
Office of Research
Update
Greg Ruth
Communications Manager
Office of Research
Greg.Ruth@uci.edu
949.824.0372
August 2011 QRAM
 Intro. to the Office of
Research News Website
http:news.research.uci.edu
Sponsored Projects
Administration Update
Nancy Lewis
Director, Sponsored Projects
Administration
nancy.lewis@research.uci.edu
949.824.2897
August 2011 QRAM
 Tuition and Fee
Remission Update
Tuition and Fee Remission Update
• Graduate Student Tuition and Fee Remission
guidance on the SPA website has been updated to
reflect the following:
– Effective July 1st, in accordance with the amendment to the
Regent’s Policies on Student Fees and Fees for Selected
Professional Students, “Educational Fee” has been
changed to “Tuition” and “Nonresident Tuition” has been
changed to “Nonresident Supplemental Tuition.
– Escalation factors for nonresident supplemental tuition
have been reviewed in accordance with the Regent’s recent
decision to increase tuition by $1,068. The increase did not
result in a change to the current escalation factors.
August 2011 QRAM
Sponsored Projects
Administration Update
Nancy Lewis
Director, Sponsored Projects
Administration
nancy.lewis@research.uci.edu
949.824.2897
August 2011 QRAM
 NSF Responsible
Conduct of Research
Update
NSF Certification Requirement for
RCR Training
• Online form to facilitate NSF’s required
certification of RCR training will be available in
September
– PI’s of NSF awards active as of July 31st will receive
an e-mail asking them to certify training for personnel
supported (i.e. paid) on the NSF award during the
previous year.
– Certification required annually thereafter.
– Certification e-mail will be sent to the PI only. SPA
will send an e-mail to Departmental Administrators
via the SPA list serve advising that the certification
forms were sent to NSF funded PI’s.
August 2011 QRAM
Sponsored Projects
Administration Update
Nancy Lewis
Director, Sponsored Projects
Administration
nancy.lewis@research.uci.edu
949.824.2897
August 2011 QRAM
 ARRA Reporting Process
Update
UCI’s ARRA REPORTING
Process Update
Overview
• This UC System’s FY 2010 A-133 audit
included a finding that the “The Best
Available Data” model for ARRA
Reporting, was no longer compliant with
federal regulations.
• UCI, UCR and UC Santa Cruz were
required to update their reporting models
to be compliant with federal regulations
for ARRA reporting.
New for October 1, 2011
ARRA Reporting
• All data elements reported must reflect current
expenditures through the end of the reporting quarter.
• Reporting window will be shortened as a result.
Reporting cut off dates have been adjusted in order to
meet our reporting timeline, please refer to our updated
FAQ’s at http://www.research.uci.edu/ora/sp/arra.htm
• Three day corrections window (11th -13th of the reporting
month) will be utilized for submission of current data.
• New tools have been or will be developed in the web
reporting tool to assist with reporting of actual data.
New for October 1, 2011
ARRA Reporting
• The Vendor sections in the Web Reporting Tool have been automated
for your convenience and to ensure reporting accuracy. You may still
continue to enter the vendor information manually if you choose.
• Web Reporting Tool includes new options for Vendor Payment
Calculations when you are editing your ARRA report.
A tab has been added in the Web Reporting Tool (WRT) next to the
Number of Payments to Vendors line which will take the user to a
new screen to view the Data Warehouse download information, the
correct payments should be selected and then the tool will proceed
to enter the correct calculations into the ARRA report.
Vendor entries for sub-recipients (vendor payments over $25,000) has also
been added to the Web Reporting Tool.
NEW Option for Vendor Payment Calculation
(for payments under 25K)
A Calculate Vendor Payments tab has been added in the Web
Reporting Tool (WRT) next to the Number of Payments to
Vendors line which will take the user to a new screen to view the
Data Warehouse download information, the correct payments
should be selected. The tool will then proceed to another screen
(Edit Report/Vendor Payment Calculation) displaying the Vendor
Calculations Summary. If the total calculations are correct, enter
Save Report and the totals will be entered in the WRT for the
current ARRA report.
Once you click on the Calculate Vendor Payments Tab you will see
When you enter Save Report you will proceed to the screen below
When you enter Calculate Vendor Payments on the
previous screen, you will be taken to the Edit
Report/Vendor Payment Calculations screen below
Once you enter Save Report, your calculations will be entered into your report
Sub-Recipient Vendors over 25K
• Vendor entries for sub-recipients (vendor
payments over $25,000) has also been added to
the Web Reporting Tool. This option has a drop
down menu for selecting sub-recipient IF
applicable. For awards w/o sub-recipients, the
option will not be there.
Additional Resources coming soon
to the SPA Website:
http://www.research.uci.edu/ora/sp/arra.htm
• Updated ARRA FAQ’s that include the new
reporting methodology
• ARRA Reporting Schedule
• ARRA Reporting Guidance (a quick reference
guide to submitting an ARRA Report)
• ARRA Reporting Process Overview / Update
for October 1, 2011- Presentation on UCI
Replay
• In Person ARRA Reporting Process Overview
planned for mid September.
Questions?
Evelyn McNally,
ARRA Reporting Administrator
Sponsored Projects Administration (SPA)
evelyn.mcnally@uci.edu or x4214
.
EH&S Update
Rebecca Lally
Chemical Hygiene Officer,
Environmental Health and Safely
rlally@uci.edu
949.824.5730
Sheila Hedayati
Biosafety Officer,
Environmental Health and Safely
shedayat@uci.edu
949.824.9888
Scott Jackson
Fire Marshall,
Environmental Health and Safely
jacksons@uci.edu
949.824.9665
August 2011 QRAM
 Research Safety
QUESTIONS ??
August 2011 QRAM