Quality Research
Administration Meeting
April 2011
Agenda
Nancy Lewis
Rich Andrews
Dar Sullivan
Cassie Rauser
Tam Tran
Marie Richman
April 2011 QRAM
 Sponsored Projects Administration
 Payroll Confirmation Reporting
 Subaward Process
 NSF Data Management Plans
 NSF Policies and Procedures
 Responsible Conduct of Research
Sam Westcott
 NIH Policies and Procedures
Nancy Lewis
 Research Terms and Conditions
Sponsored Projects
Administration Update
Nancy Lewis
Director, Sponsored Projects
Administration
nancy.lewis@research.uci.edu
949.824.2897
 Staff
 Funding
 Federal Government
Shutdown
April 2011 QRAM
April 2011 QRAM
No More
PAR’s!!!
Rich Andrews
Controller
randrews@uci.edu
949.824.8987
 Federal Demonstration
Partnership
 Payroll Certifications
 HHS Approved an 18Month Demonstration
Beginning July 2001
 Other Demonstration
Sites: UCR, George
Mason, Michigan Tech
April 2011 QRAM
April 2011 QRAM
Going Forward

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Last PAR Quarter: Winter 2011
PAR Cleanup Campaign
Campus Focus Groups
Developing Web Site
Developing Training
Staffing Changes?
Government Feedback
April 2011 QRAM
Subaward Process
Dar Sullivan
Principal Subcontract Officer,
Sponsored Projects Administration
dksulliv@uci.edu
949.824.0341
April 2011 QRAM
 Subrecipient
Commitment Form
 Federal Funding
Accountability and
Transparency Act
(FFATA)
Subaward Process Changes
April 2011 QRAM
Subrecipient Commitment Form
April 2011 QRAM
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 disclosures, and OMB Circular A-133.
April 2011 QRAM
What now?
• Effective July 1, 2011, Subrecipient Commitment Form
for each subawardee should be provided to SPA at the
proposal stage as part of a complete proposal package.
• Pilot testing April & May…volunteers?
April 2011 QRAM
Federal Funding Accountability and
Transparency Act
(FFATA)
April 2011 QRAM
FFATA
 The Federal Funding Accountability and Transparency
Act (FFATA), enacted on September 26, 2006, requires
that information on federal awards be made available to
the public via www.USASpending.gov
 At this time, the impact of this data collection
requirement on the University is limited to the collection
and reporting of information about first-tier subrecipients under federal assistance awards and first-tier
sub-recipients and vendors under federal
contracts. Although the law is imprecise on the
applicability of these provisions to further tiers, the
Office of Management and Budget (OMB) may require
reporting on second-tier awards in the future.
April 2011 QRAM
First-tier Subrecipients
(see below in pink)
NIH
UCI
MIT
UCLA
Texas
A&M
April 2011 QRAM
First-tier Subrecipients
NSF
UCLA
MIT
UCI
Stanford
April 2011 QRAM
Federal Awards Subject to FFATA Requirements

Contracts:

7/8-9/30/2010: New contracts over $20
million
10/1/2010: New contracts with a prime
contract value greater than $550,000
3/1/2011: New contracts with prime
contract value of $25,000 or over

Grants:
10/1/2010: New grants $25,000 and
over
Subcontracts & vendors reporting
requirements:
 All first-tier subcontracts/vendor
agreements of $25,000 or more
 First- tier subcontracts/vendor
agreements under contracts
subject to FFATA and ARRA must
report in both FFATA and ARRA
reporting systems

Subawards reporting
requirements:
 All first-tier subawards of $25,000
or more
 Excludes vendor agreements
 Excludes ARRA grants
* Federal contracting officers have the option of amending existing contracts to include FFATA
April 2011 QRAM
Required Reporting Elements


Unique Identifier (DUNS Number) for
foreign and domestic subawardees and their
parent companies (Duns & Bradstreet)
Name of Subawardee/Vendor

Amount, date and type of the subaward

Subaward number (as assigned by the prime
awardee)


The prime award number

Federal awarding agency name and code

Federal funding agency name and code

Amount of subawardee cost-share

Names and total compensation of
subawardee’s top 5 compensated
executives (unless the conditions outlined
under # 5 below are met.)

The Total Compensation and Names of the top five
executives if:
o More than 80% of annual gross revenues from
the federal government, and those revenues
are greater than $25M annually and
o Compensation information is not already
available through reporting to the SEC
A 4000 character description of the products
or services (including construction) being
provided under the subaward, including the
overall purpose and expected outcomes

Subawardee's physical address including
street address, city, state, country, and ninedigit zip code and congressional district

Subawardee's primary performance location
including street address, city, state, country,
and nine-digit zip code and congressional
district
April 2011 QRAM
How long do I have to report?
 Prime awardees must report first-tier sub-award information by
the end of the month following the month the award or award’s
obligation was made.
 For example, if a subaward/subcontract is fully executed on
April 13, 2011, the UCI would have until May 31, 2011 to report
the subaward/subcontract.
April 2011 QRAM
What do you have to do?
VERY LITTLE!!

First-tier subawards/subcontracts
 SPA (C&G officer) will screen the Awards for FFATA requirements.
 SPA (Subaward Team) will gather data needed for reporting requirements.
 SPA (Evelyn McNally) will enter the data & submit the report in the Federal
Funding Accountability and Transparency Act Subaward Reporting System
(FSRS).

Vendor agreements: still in the works
 Department/Purchasing will need to be aware of federal contracts that are
subject to FFATA (should be noted in your e-synopsis)
 Department/Purchasing will gather data needed for reporting requirements.
 SPA (Evelyn McNally) will enter the data & submit our report in FSRS.
April 2011 QRAM
Questions?
April 2011 QRAM
NSF Data Management
Plans
Casandra Rauser
Assistant Director of Research
Development, School of Biological
Sciences
Office of Research Development –
Natural Sciences & Medicine
crauser@uci.edu
949.824.8140
April 2011 QRAM
 NSF’s Data Management
Plan
 Suggested Elements to
Cover in Data Management
Plan
 Data Management Plan
Resources
 Office of Research
Development
NSF’s Data Management Plan
(DMP)

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




New REQUIREMENT for all NSF proposals submitted after January 18, 2011
Must be provided as a “supplementary document”
2 page limit (although may utilize the 15-page Project Description for additional
DMP information, but not vice versa)
Subject to peer review and reviewed under the merit review criteria –
Intellectual Merit and Broader Impacts
DMP should describe how the proposal will conform to NSF’s policy on
dissemination and sharing of research results
If no DMP is needed, include such a statement with a clear justification
Each Directorate, Office, Division, Program, or other NSF unit may have specific
requirements for the DMP (http://www.nsf.gov/bfa/dias/policy/dmp.jsp) –
otherwise follow requirements established in the Grant Proposal Guide (Chpt
II.C.2.j)
April 2011 QRAM
Suggested Elements to Cover in DMP
Note: Individual Data Management Plans should be tailored to the specific research
activities described within each proposal
HIGHLY RECOMMENDED ELEMENTS
DESCRIPTION
Data description
A description of the information to be gathered; the nature and scale
of the data that will be generated or collected.
Formats in which the data will be generated, maintained, and made
available, including a justification for the procedural and archival
appropriateness of those formats.
A description of the metadata to be provided along with the
generated data, and a discussion of the metadata standards used.
Storage methods and backup procedures for the data, including the
physical and cyber resources and facilities that will be used for the
effective preservation and storage of the research data.
Entities or persons who will hold the intellectual property rights to
the data, and how IP will be protected if necessary. Any copyright
constraints (e.g., copyrighted data collection instruments) should be
noted.
A description of how data will be shared, including access
procedures, embargo periods, technical mechanisms for
dissemination and whether access will be open or granted only to
specific user groups. A timeframe for data sharing and publishing
should also be provided.
The procedures in place or envisioned for long-term archiving and
preservation of the data, including succession plans for the data
should the expected archiving entity go out of existence.
A discussion of how informed consent will be handled and how
privacy will be protected, including any exceptional arrangements
that might be needed to protect participant confidentiality, and other
ethical issues that may arise.
Format
Metadata
Storage and backup
Intellectual property rights
Access and sharing
Archiving and preservation
Ethics and privacy
April 2011 QRAM
* adapted from ICPSR Guidelines for Effective Data Management Plans
Suggested Elements to Cover in
DMP
(adapted from ICPSR Guidelines for Effective Data Management Plans)
OPTIONAL ELEMENTS
DESCRIPTION
Existing data
A survey of existing data relevant to the project and a discussion
of whether and how these data will be integrated.
How the data will be managed during the project, with
information about version control, naming conventions, etc.
Procedures for ensuring data quality during the project.
Data organization
Quality assurance
Security
Responsibility
Budget
Legal requirements
Audience
Selection and retention periods
A description of technical and procedural protections for
information, including confidential information, and how
permissions, restrictions, and embargoes will be enforced.
Names of the individuals responsible for data management in
the research project.
The costs of preparing data and documentation for archiving
and how these costs will be paid. Requests for funding may be
included.
A listing of all relevant federal or funder requirements for data
management and data sharing.
The potential secondary users of the data.
A description of how data will be selected for archiving, how
long the data will be held, and plans for eventual transition or
termination of the data collection in the future.
* adapted from ICPSR Guidelines for Effective Data Management Plans
April 2011 QRAM
DMP Resources

Campus Resources
– Office of Research Development – Natural Sciences and Medicine
(http://www.research.uci.edu/rdobsps/index.htm)
– UCI Libraries (http://www.lib.uci.edu/about/projects/scamp/nsf-datamanagement.html) - The UCI Libraries stand ready to assist grantees in identifying
the options for sharing research data in an institutional or discipline-specific
repository. Contact your subject librarian or the UCI Data Librarian (dtsang@uci.edu)
– UC Curation Center (UC3) for general DMP information and suggestions for
organizing, managing, sharing and preserving your data
(http://www.cdlib.org/services/uc3/datamanagement/index.html)

Other Resources (links can be found on the UCI Libraries DMP page)
–
–
–
–
–
–
Association of Research Libraries (ARL) "Unpacking the NSF Requirement
DataONE Data Management Plan Outline & Examples
MIT Libraries Guide for Data Management Planning & Publishing
Cornell University Libraries Guide to Data Management Planning
University of Minnesota Libraries Funding Agency and Data Management Guidelines
ICPSR Guidelines for Effective Data Management Plans
April 2011 QRAM
Office of Research Development
Services:

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
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


Provide coordination and support of the grant preparation and submission
process for major interdisciplinary proposals
Provide coordination and support of the grant preparation and submission
process for single PI grants for new faculty and for award agencies not typically
applied to (e.g., DOD, DOE, UC)
Sponsor content area meetings (e.g., NSF Career Award Workshop, DOD
DARPA)
Create institutional data repositories (e.g., Biosketch Repository, Shared
Facilities)
Develop boilerplate text (e.g., outreach plans, data management plans, industry
collaborations)
Interact with federal, foundation and industry funding sources
Help create graduate and undergraduate program development (e.g., Graduate
Fellowships)
Support centers (i.e., CaSTL, Stem Cell) post award
April 2011 QRAM
Questions?
Office of Research Development
Natural Sciences & Medicine
Director
Jacob Levin, Ph.D.
Assistant Vice Chancellor –
Research Development
Tel: 949-824-0126
jlevin@uci.edu
Administrative Assistant: Lucinda
Wong
Tel: 949-824-3853
lucinda.k@uci.edu
Assistant Directors
Randy Berg, MBA, Ph.D.
School of Medicine
Tel: 949-824-1709
rberg@uci.edu
Lori Greene, Ph.D.
School of Physical Sciences
Tel: 949-824-5562
legreene@uci.edu
Casandra Rauser, Ph.D.
School of Biological Sciences
Tel: 949-824-8140
crauser@uci.edu
Located on the 4th floor of Natural Sciences II
http://www.research.uci.edu/rdobsps/index.htm
NSF Update
Tam Tran
Assistant Director, Sponsored
Projects Administration
tamkt@uci.edu
949.824.7813
• Topics
• Proposal and Award Policies
and Procedures Guide:
PAPPG
• Grant Proposal Guide: GPG
• Award and Administration
Guide: AAG
• Cost Sharing Policy
April 2011 QRAM
Topics
Proposal and Award Policies and
Procedures Guide (PAPPG), effective
January 2011
Cost Sharing Policy, effective January
2011
April 2011 QRAM
Proposal & Award Policies &
Procedures Guide (PAPPG),
January 2011
 Part I is comprised of NSF’s proposal preparation and
submission guidelines -- the NSF Grant Proposal Guide
and the NSF Grants.gov Application Guide. Both the
Grant Proposal Guide (GPG) and Grants.gov Application
Guide provide guidance for the preparation and
submission of proposals to NSF, whether by the NSF
Fastlane System or Grants.gov.
 Part II is comprised of the documents used to guide,
manage, and monitor the award and administration of
grants and cooperative agreements. Referred to as the
Award and Administration Guide (AAG).
April 2011 QRAM
Review of
Significant Changes to the GPG
Chapter II.C.2.a, Cover Sheet
 Replaced the Performing/Research Organization
with Project/Performance Site Primary Location
information
 Revised for consistency with the requirements of
the Federal Funding & Accountability Act
 If the project will be performed at a location
other than the awardee, include organization
name and address
April 2011 QRAM
Review of
Significant Changes to the GPG
 Chapter II.C.2.j, Special Information and
Supplementary Documentation
 Clarification of NSF’s long standing data policy-Data Management
Plan
 Must describe plans for data management and sharing of the
products of research or state no plan is needed with justification
 Fastlane will not permit submission of a proposal that is missing
Data Management Plan
 Collaborative proposals & proposals with subawards require only
one combined plan
April 2011 QRAM
Other Changes to the GPG
 Chapter II.C.2, Sections of the Proposal
Clarify that failure to submit all required sections of the
proposal may result in the proposal being returned without review
 Chapter II.C.2.j, Special Information and
Supplementary Documentation
Mentoring plan is not required for postdoctoral researchers
who are listed as Senior Personnel on the NSF Budget.
April 2011 QRAM
Other Changes to the GPG
 Chapter II.D.4.b, Collaborative Proposals
All components of a collaborative proposal must meet
established deadline or risk being returned without review
 Chapter III.C, Proposal File Updates
Proposal File Update Module can no longer be used to submit
revised budget, use FastLane Revised Proposal Budget Module
 Chapter V, Renewal Proposals
Reminder that renewal proposals must be developed as if the
applicant is applying for the first time
April 2011 QRAM
AAG Summary of Changes
 Chapter II.B.1.a, Changes in Objectives or Scope
Approval is required for changes to the Facilities, Equipment, &
Other Resources section of the approved proposal that constitute
change in objective or scope
 Chapter II.D, Cost Sharing
Mandatory cost sharing included on Line M and accepted by NSF,
commitment of funds becomes legally binding & subject to audit
 Chapter II.D.3, Project Outcomes Report for the
General Public
Separate from the Final Project Report; Brief summary of project
posted in the Research Spending & Results section of the Research.gov
website
April 2011 QRAM
NSF Revised Cost Sharing Policy
 Significant change to the GPG, Chapter II.C.2.g(xi),
Cost Sharing
 Revised to implement the National Science Board’s
recommendations regarding cost sharing
 Voluntary committed cost sharing is prohibited (Line
M on budget not available)
 In order to assess the scope of the project, all
organizational resources (physical and personnel)
necessary for the project must be described in the
Facilities, Equipment & Other Resources section
April 2011 QRAM
NSF Revised Cost Sharing Policy
 Narrative in nature & must not include any quantifiable
financial information
 Program Officers may not impose or encourage cost
sharing unless required in the solicitation
 Risk proposal being returned without review or declined
by NSF
 FAQs Revised Cost Sharing Policy(dated1/27/11)
http://www.nsf.gov/pubs/policydocs/csfaqs_jan2711.pdf
April 2011 QRAM
NSF Revised Cost Sharing Policy
 Does not change UCI’s current practice
 Unless mandatory, continue to not include voluntary cost sharing
information on the Administrative Approval form
 University’s policy require recovery of full cost of project, discourage
voluntary cost sharing
 In general, if proposed and accepted cost sharing becomes a binding
commitment
 Administrative burden
 Failure to properly record cost sharing may result in audit
disallowances/return funds
 Reduce University's indirect cost rate during future negotiations
April 2011 QRAM
RESOURCES

National Science Foundation
www.nsf.gov/

NSF Proposal and Award Policies and Procedures Guide, January 2011
http://www.nsf.gov/publications/pub_summ.jsp?ods_key=nsf11001

FAQs Proposal Preparation and Award Administration
http://www.nsf.gov/pubs/policydocs/pappguide/faqs11_1.pdf

FAQs Revised Cost Sharing (dated 1/27/11)
http://www.nsf.gov/pubs/policydocs/csfaqs_jan2711.pdf

Contact Contract and Grant Officer, Sponsored Projects Office
http://apps.research.uci.edu/orastaff/staff.cfm?view_department=spda
April 2011 QRAM
QUESTIONS ??
April 2011 QRAM
Responsible Conduct of
Research
Marie Richman
Director, Administration and
Research Policy
richman@uci.edu
949.824.2898
• Why are we concerned?
• What is Research Ethics
or RCR?
• Shared Values in
Research Ethics
• Training in RCR at UCI
• RCR Topics
April 2011 QRAM
Why are we concerned about
Research Ethics or RCR?
 It’s everyone’s responsibility
 It’s a requirement
• National Institutes of Health (NIH)
• National Science Foundation (NSF)
April 2011 QRAM
What is Research Ethics or RCR?
 Good research
practices
 Applies to all stages
of research:
 Shared Values
• planning
 Compliance with
• conduct
regulations
• data management
• reporting
• and review
April 2011 QRAM
Shared Values in Research Ethics
HONESTY — conveying information truthfully and
honoring commitments
ACCURACY— reporting findings precisely and taking
care to avoid errors
EFFICIENCY— using resources wisely and avoiding waste
OBJECTIVITY— letting the facts speak for themselves and
avoiding improper bias
http://ori.dhhs.gov/publications/ori_intro_text.shtml
April 2011 QRAM
Training in RCR at UCI
 On-line training program
 In-person courses
 Small group discussion with case studies
 Mentoring in research environment
 Lists of resources, including interactive
learning tools, videos and case studies
http://www.research.uci.edu/ora/rcr.htm
April 2011 QRAM
RCR Topics
 Data Acquisition,
Management, Sharing
and Ownership
 Conflict of Interest and
Commitment
 Human Subjects
 Animal Welfare
April 2011 QRAM
 Research Misconduct
 Publication Practices and
Responsible Authorship
 Mentor/Trainee
Responsibilities
 Peer Review
 Collaborative Science
NIH Update
Samantha Westcott
Assistant Director, Sponsored
Projects Administration
sjwestco@uci.edu
949.824.4928
April 2011 QRAM
 Training Grants
• X-Train
• Data Tables
 Error Correction Window
Eliminated
 Adobe-B1 Forms
 Bibliography
 ARRA Supplement on
Progress Reports
 Personal Statement on
Biosketch
NIH Listservs and Feeds
 Listservs
 RSS
o Office of Laboratory Animal
Welfare (OLAW)
o eRA Commons News
o NIH Guide for Grants and
Contracts
o SBIR/STTR
o
o
o
o
Rock Talk (Blog)
NIH Extramural Nexus (News)
hESC Stem Cell Registry
NIH Guide for Grants and
Contracts
o OLAW News (Office of
Laboratory Animal Welfare)
 Twitter
o NIH Extramural Nexus (News)
o NIH Guide for Grants and
Contracts
o NIH Loan Repayment Program
 Podcast: All About Grants
http://grants.nih.gov/grants/get_connected.htm
April 2011 QRAM
Research Terms and Conditions
 On January 25, 2008, the National Science and Technology Council
(NSTC) published a Federal Register Final Notice giving federal
agencies a new standard core set of administrative terms and
conditions on research and research-related awards that are subject
to OMB Circular A-110
 The new core set of research terms and conditions is largely based
on the terms and conditions that have been used for a number of
years by the Federal Demonstration Partnership (FDP).
 Effective July 1, 2008, federal research agencies participating in the
FDP must use the core set of administrative requirements, to the
maximum practicable extent, in their research and research-related
grant awards to organizations that are subject to OMB Circular A110
Research Terms and Conditions
Research Terms and Conditions
Research Terms and Conditions Website:
http://www.nsf.gov/awards/managing/rtc.jsp
Questions?
April 2011 QRAM