Research Administration
Forum
OCTOBER 8, 2013
Agenda
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Government Shutdown
Rates for Fiscal Year 2014
Postdoc Benefits
Caltech Projection Tool
New Cargo Shipment Requirements & Penalties
On-line Faculty Export Awareness Training
NIH Sub-Accounting Draw Process
Update on Cost Transfer and PDC Systems
Expenditure Types
Principal Investigators on Leave
Administrative Costs on Sponsored Awards
NSF & Voluntary Cost Sharing
Graduate and Undergraduate Students on the NIH Commons
Foreign Travel on JPL IAs
Indirect Costs on Facilities Use/Technical Services
Conflict of Interest Reviews for NIH/NSF Awards
Office of Technology Transfer and Corporate Partnerships
Government Shutdown
 Most government research administration and program
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offices are closed.
Work on existing grants and contracts should continue,
unless notified otherwise.
NSF FastLane and Research.gov systems are down. No
proposals. No reports.
The NIH Commons is down. No proposals. No reports.
Although the Grants.gov system may be up and running,
NIH and NSF advise that proposals should not be
submitted until after the shutdown.
Rates for Fiscal Year 2014
FY 2014
FY 2013
On-campus F&A rate (provisional)
66.5%
66.5%
Off-campus F&A rate (provisional)
26.0%
26.0%
Staff benefit rate (provisional)
29.5%
28.1%
Paid leave rate
16.5%
16.0%
GRA tuition remission rate
66.0%
66.0%
66.0%-95.3%
66.0%-95.3%
Minimum overhead on endowment income
15.0%
15.0%
Minimum overhead on non-federal funds
15.0%
15.0%
(all federal funds, and funds that pay OH of 15% or higher)
GRA tuition remission rate
(all non-federal funds that pay less than 15% OH)
Rates for Fiscal Year 2014 (cont.)
 Implementation of New Rates
 For Proposals
 For Ongoing Awards in Effect prior to October 1, 2013
 New and Renewal Awards
Postdoc Benefits
New Policy
 Postdoctoral Scholars paid by stipend cannot have
their health and other benefits charged to a Federal
research grant.
 Postdoctoral Scholars paid a salary from a Federal
research grant automatically have their benefits
charged to that grant.
Caltech Projection Tool
 Designed by Erin Lindsay and IMSS Staff
 For Grant Managers and other research
administrators
 Rolled out to the campus in early July 2013
 List of bugs to be worked out
 Erin is here
QUESTIONS?
US Customs “Importer Security Filing”
Requirement for Ocean Cargo
 As of July 9, 2013, U.S. Customs and Border
Protection will begin full enforcement of the
Importer Security Filing (ISF) known as 10+2:
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2 from the carrier prior to loading
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stow vessel info and container status
10 data elements required from importer:
What information will you need to provide?
 In addition to what we (the importer) normally
provide (our address, EIN, HTS and Country of
Origin), we will also need to provide the following
for int’l ocean freight shipments:
Manufacturer (Supplier) Name and Address
 Seller Name & Address
 Consolidator Name and Address – Party who stuffed the container
 Container Stuffing Location – Name and Address of where
container was stuffed.
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10+2 Program: Failure to Comply
 Shipment will not be loaded until importer provides
required information.
 If information is not provided to Customs on time,
Caltech may be subject to penalties & fines, cargo
inspections and other violations.
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$5,000.00 for late filing of ISF
$5,000.00 per shipment for inaccurate ISF
 Info: http://www.cbp.gov/xp/cgov/trade/cargo_security/carriers/security_filing/
New Location for the on-line
Export Awareness Program!
 The Faculty Awareness Program has moved from the
“Articulate” on-line platform to the Oracle Learning
Management on-line site
 How do you log-in?
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“access.caltech.edu”
 What happens if I have a technical problem or
cannot log-in?
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Contact Caltech Export or Christine Ryan at IMSS
QUESTIONS?
NIH Sub-Accounting Draw Process
 Pooled (old) draw process
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invoices for all NIH grants generated weekly
single (pooled) amount entered in the payment system
cash applied to open NIH invoices
 New (sub-accounting) draw process
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invoices for all NIH grants generated weekly
cash request entered on an award by award basis
cash applied to open invoices
 Implementation at Caltech will require changes in OGM
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New Awards need to be set up for grants transitioning to the new
payment method
Impact of Implementation of
New NIH Draw Process
 Competing renewals
 No impact; new Awards are generally set up for competing
renewals
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Award number will start with NIHP.XXXXX
 Non-competing renewals
 New Awards (NIH and salary cap) will need to be set up for
FY2015 funding;
Award number will start with NIHP.XXXXX
 will be linked to the existing Project
 is subjected to same carry forward authorization as the original
grant
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Final Federal Financial Reports will be submitted for the “old”
Award
Updates on Cost Transfer and PDC Systems
 Cost Transfer Application
 No. of cost transfers submitted on-line (count as of 10/4/13)
Non-labor (since May 20, 2012): 1170
 Labor adjustments requiring justification (since Aug 1, 2013): 50
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Refresher’s training in early November
 Payroll Distribution Confirmation System
 Reports for FY13-B period are expected to be available for online certification in February 2014
Expenditure Types
 Travel e-type (new) “Travel- Non US Carrier” to be used for airfare
on non-US carriers on non-federal sponsored awards when:
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the sponsor does not have any restrictions on using foreign air carrier
 Travel e-type “Travel-Foreign Allocable” to be used for airfare on
non-US carriers on federal sponsored awards when:
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open skies agreement between US and the country exists
foreign airline is code sharing with an US carrier
Fly America Act exception exists (pre-travel exception form approval
required)
Travel e-type “Foreign travel-Unallocable” cannot be charged to
sponsored research awards
Caltech Travel Policy: Use of Foreign-Flag Air Carriers on Travel
http://procurement.caltech.edu/documents/121-travelpolicy.pdf
Food charges during meetings
OMB A.21 Section J32. Meetings and Conferences.
 Costs of meetings and conferences, the primary purpose of which is the
dissemination of technical information, are allowable. This includes costs
of meals, transportation, rental of facilities, speakers' fees, and other items
incidental to such meetings or conferences.
Institute’s policies on “meal” expenses:
 Meals need to be qualified as a “business expense” per Caltech policies
to be charged to any Institutional account
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On sponsored research awards unless such expenses are specifically authorized
in the contract or grant, or by agency policy, and only to the extend and for the
purpose (s) so authorized. In the event of a conflict between agency policy and
Institute guidelines, the more restrictive of the two shall apply.
When two or more employees go to lunch to continue their business as an
incidental part of the meal or when the meeting could have been scheduled
during regular working hours.
California Institute of Technology, Business Expense Guidelines
http://finance.caltech.edu/documents/25-cit_entertainment_guideline.pdf
QUESTIONS?
Principal Investigators on Leave
 Federal requirement (A-110, Section 25(c)(3)):
 Prior approval from sponsor required for any PI/co-PI who
will be absent from the project for more than 3 months;
 currently, “absent” is interpreted by auditors to mean “on leave
and physically off-site”
 Request must describe situation, length of absence and PI’s
management plan (e.g., name substitute PI, oversee projects
remotely, etc.)
PIs on Leave (cont.)
 Federal requirement (cont):
 Even if PI plans to oversee project during absence, that plan
must be approved by sponsor.
 Many non-federal sponsors impose similar
requirements.
 FAQ on OSR website:
http://researchadministration.caltech.edu/documents/57
1-principal_investigators_on_leave_faqs_final.pdf
Administrative Costs on Sponsored Awards
 Federal requirement (A-21, Section F.6.b(2)):
 Direct charging of admin/clerical staff salaries, and office
supplies, postage, local telephone, etc., can only occur if:
Project requires “significantly greater” admin support than is
routine for the Division (e.g., Major Project);
 Proposal includes costs and brief explanation of how project’s
needs are significantly greater than “routine”;
 Sponsor approves those costs.
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Cannot exceed amount approved in budget
Admin. Costs on Sponsored Awards (cont)
 Caltech’s F&A agreement includes all of the admin
costs we may charge, unless Major Project criteria
are met.
 No recharging of Division-based administrative
resources unless recharge rate has been approved by
Cost Studies
NSF and Voluntary Cost Sharing
 NSF Requirement:
 No voluntary cost sharing is permitted; inclusion will
disqualify proposal.
 Waiving of F&A is considered voluntary cost sharing by NSF
and is unallowable.
http://www.nsf.gov/pubs/policydocs/csfaqs_jan13.pdf
NIH – Commons IDs for Graduate
and Undergraduate Roles
 NIH Requirement
 Beginning 10/18/2013 those with graduate and undergraduate
roles in proposals and RPPRs must have an NIH Commons ID.
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The Commons will generate warnings initially, but will permit
submission; beginning October 2014 proposals and RPPR will
error-out and will not be accepted
OSR can authorize NIH Commons Account Administrator role
for specific individuals
Foreign Travel on JPL IAs
 JPL requirement:
 All foreign travel under JPL IAs requires JPL prior approval.
 If sufficient travel information was included in proposal, then
issuance of IA will approve travel
 Otherwise, JPL travel form must be submitted to Pat Spray
 Revised form now required and available on OSR website.
F&A on Facilities Use and
Technical Service Agreements
 The on-campus F&A rate applies to new FUAs and
TSAs initiated January 2013 or later.
 A tiered F&A implementation will apply to
agreements for continuing users/customers
initiated:
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1/1/13 to 9/30/13 = 20%
10/1/13 to 9/30/14 = 40%
10/1/14 to 9/30/15 = 60%, or full rate, if lower
10/1/15 and thereafter = full F&A rate
F&A on FUAs and TSAs (cont.)
 The F&A rate in effect at the beginning of an
agreement will carry through until renewal of the
agreement.
 If the tiered option applies, then multi-year
agreements will need to incorporate multiple tiers
http://finance.caltech.edu/documents/167fusets_practice_jan13update.pdf
Final Conflict Of Interest Review for NSF/NIH
 NSF/NIH requirement:
 Funds may not be expended for new/renewal awards until COI
requirements have been met (this includes at-risk setups).
 COI review is performed by Office of Research Compliance
(ORC) and Division Chair.
 Review may determine need for management plan, which
requires input of PI.
 OSR will work with ORC to perform “just-in
-time” reviews in order to help mitigate delays.
QUESTIONS?
Research Administration
October 7, 2013
Office of Technology Transfer
& Corporate Partnerships
Fred Farina
Chief Innovation Officer
Dr. Karina Edmonds
Executive Director for Corporate Partnerships
Provost’s Office
Office of Innovation and
Corporate Partnerships
(21 staff)
(Fred Farina)
Technology Transfer
(13 staff)
- Patent Licensing (Hannah DvorakCarbone)
- Entrepreneurship (Case Cortese)
Patent Licensing
CI2/Grubstake
New Startups
Entrepreneurship Education
Venture Funds
Industry Contracts with OSR
Corporate Partnerships
(6 staff)
(Karina Edmonds)
GovernmentUniversity-Industry
Partnerships
(1 staff)
Corporate Relations
Strategic Alliances
(Wayne Johnson)
Government Solicitations
for Industry-University
Research Partnerships
University-Industry Interactions
OTT
Biz Dev
Univ. Relations
Corp.
Rel.
Contracts
OSR
University
Legal
Corporation
One-Stop-Shop for Industry
Biz Dev
Univ. Relations
OTT &
Corporate
Partnerships
Other Caltech
Offices
Contracts
Legal
Corporation
Caltech
Essential Internal Partners
•
•
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Faculty
DIR
OSR (Office of Sponsored Research)
OGC (Office of the General Counsel)
CDC (Career Development Center)
Office of Corporate Partnerships
Dr. Karina Edmonds, Executive Director
• Caltech Alumna (PhD’98, Aero), BS Mechanical Eng. (URI)
• Serves on the Caltech Alumni Board
• Registered US Patent Agent (patent holder herself!)
Experience Highlights:
1997-2001: Northrop Grumman (TRW)
2001-2010: Caltech/JPL, Director of JPL Tech Transfer
2010-2013: DOE, Tech Transfer Coordinator (direct report to Energy
Secretary Chu)
Sponsored)R&D)as)%)of)Each)University's)Total)R&D)
Percentage)of)Industry)Sponsored)R&D)Expenditure)
by)EducaAonal)InsAtuAon,)FY)2010)
Top Level Goals
• Amplify interactions with industry to enhance
mission of Institute
• Increase research funding for faculty
• Facilitate commercialization of research
Initial Strategy
• Fully engage faculty while respecting their time
• Focus on high quality partnerships (vs. quantity)
• Identify top 20 companies Caltech should be
working with base on research synergies
• Leverage Trustee and alumni networks
• Closely collaborate and coordinate with DIR
(e.g., Samsung)
CI2/Grubstake
Gifts
Student Hires
Sponsor
ed
Events
Matching
Grants
Industry
Support
@Caltech
Postdocs
Scholarshi
p Support
Sponsored
Research
Gifts-In-Kind
Student
Challenges
Licensing
Faculty
Travel/Confere
nce Support
Material
Transfers
Current Corporate Partners
Thank you for attending!
Slides from today’s presentation
will be posted on our website:
ht t p ://res earc had mi n i s t rat ion .c alt ech.edu