Research Administration Forum February 3, 2009. What is new in Research Administration? Dick Seligman new Research Administration Website Yale University.

Research Administration ForumFebruary 3, 2009

What is new in Research Administration?

Dick Seligman

new Research Administration Website Yale University Settlement Audit update new Export Compliance policy Restricted Party Screening Agency updates Future Training Sessions Answering questions

http://researchadministration.caltech.edu

Yale University$7.6 Million Settlement

Multi-year investigation by Federal agencies

DHHS OIG NSF OIG DOE OIG DOD DCAA NASA OIG FBI

Yale University$7.6 Million Settlement

Period covered:January 2000 – December 2006

$3 Billion in Federal grants

Basis of the settlement: $3.8 Million “actual damages” $3.8 Million “penalties”

Yale University$7.6 Million Settlement

Issues Improper Cost Transfers Salary charges to grants must reflect

actual time and effort spent So what?

Wake-up call for the rest of us Heightened scrutiny

Project Accounting Audit Update

Estella Venegas

Audit Update FY2008 A-133 Audit conducted by

PricewaterhouseCoopers (PwC) Cost sharing Financial reporting Payroll distribution confirmation reports

DCAA FY2007 Incurred Cost Proposal (ICP) Audit Financial reports submitted by Project Accounting Award summaries and sponsor invoicing

DCAA FY2008 Interdivisional Cost Transfer Audit Caltech expenditures and invoicing of JPL awards

Audit Update

DCAA FY2008 MAAR 5 (Mandatory Annual Audit Requirement) Refunds and credits due to JPL/NASA

Lawrence Livermore National Laboratories (LLNL) Agency Award Audit Caltech expenditures and invoicing of LLNL

contract

Other Audit Requests

Reference: http://www.whitehouse.gov/omb/circulars/a133/a133.html

What is new in Export Compliance?

Adilia Koch

Institute Policy AnnouncementTo: The Caltech Community

From: Jean-Lou Chameau

Subject: Compliance with Export Laws and Regulations

Federal laws and regulations concerning export, import and financial transactions involving sanctioned or embargoed countries have existed for many years. The events of September 11, 2001, and subsequent events around the world have pushed national security concerns to the forefront. The government has responded by tightening the export control regulations that govern the transfer of strategic technology for national security and foreign policy reasons.

Export control laws are intended to control the transfer of sensitive information or goods to individuals, entities, or countries of concern and, under certain conditions, to foreign persons. The regulations contain a fundamental research exclusion and specific university exemptions that allow most of the research activities being performed at Caltech and at other U.S. universities to be carried out without the need for government licenses or other restrictions. There are certain activities and information that are not covered by the fundamental research exclusion, however, and remain subject to the export control laws and regulations.

It is essential for all members of the Caltech Community to be aware of them. Toward that end, we have adopted a new policy, "Compliance with Export Laws and Regulations." While the policy applies to all members of the Caltech community, there are many who will not be directly affected by the requirements of this policy.

The Caltech Export Compliance Office will continue to offer export compliance awareness classes for faculty and staff on these requirements. The schedule of training programs for 2009 will be announced in January. However, if you need immediate assistance or have any questions regarding this policy, please contact Caltech's Director of Export Compliance, Adilia F. Koch, at extension 4469 or email: [email protected].

The policy can be accessed at: http://cit.hr.caltech.edu/policies/Policies/CITPolicy_ExportLaw.pdf

http://cit.hr.caltech.edu/policies/Policies/CITPolicy_ExportLaw.pdf

What is this new Institute Policy?

A clear statement of commitment by Caltech’s senior officers

Communicated to the Caltech community

To comply with US export laws and regulations

Why do we need this policy?

Recommended Best Practices

It will mitigate risk should something go wrong

It serves as the foundation of the larger Export Compliance Management Program

What are the effects of this policy?

Export Compliance Education Program for campus Faculty & Researchers Administrative Staff

International Shipments reviewed to ensure: Compliance with export/import regulations and to determine whether an export license is required.

Creation of new processes and procedures for some organizations

What else is new?

MK Denial Restricted Party Screening Tool A campus wide web-based tool vs. limited # Will ensure we are not involved with unauthorized

entities or individuals

Current Users: OSR Mail Services Shipping & Receiving Procurement Export Compliance, Other

Tool is very simple to use

MK Denial RPS Search

MK Denial RPS Search Results

When should we perform RPS?

When engaging in a financial or export transaction involving unknown individuals or entities

When a transaction raises a “red flag”

MK Denial Acquire a user name and password from

the Export Compliance Office if you have a concern about a transaction.

Contact Us

Export Compliance Office(626) 395-2641 (626) 395-3144 (fax)

Web: http://researchadministration.caltech.edu/ec

Email: [email protected]

Sponsored Research Agency Updates

David Mayo

Agency UpdatesNSF

Postdoc Mentoring Activities description: Required:

As a separate section In any proposal that includes funding for

postdocs Within 15 page limit of Project Description

Proposals will be returned by NSF if there is no section addressing this topic

(Grant Proposal Guide Chapter II, Section C.2d(i))

Agency Updates

NIH

2009 NIH Salary Cap $196,700 (up from $191,300 for 2008) Effective January 1, 2009

http://grants.nih.gov/grants/guide/notice-files/NOT-OD-09-037.html

Career Development (K) applications Electronic submission goes electronic on

February 12 (e.g., via Grants.gov) Reference letters will be submitted directly to

NIH Commons after submission of proposal

Agency Updates

DoD

Cap on F&A has been carried into 2009 Limits F&A recovery to 35% of TC Applies to:

New/Renewal awards issued in FY2008 & FY2009

Year 2 funding of awards issued in FY2008 Standard burden schedule will apply Will not impact direct costs available to PI

Agency Updates

F&A in Proposals

Caltech F&A Rate Agreement Negotiated with the federal government Used on all federal and non-federal proposals On-campus rate (60.5%) applies by default Off-campus rate (26.0%) - proposal must

clearly demonstrate that the off-campus rate is applicable

Use of on- and off-campus rates in the same proposal requires prior discussion with OSR

Agency Updates

F&A in Proposals (cont.)

Exceptions to Caltech’s F&A Rate Agreement: Reduced or zero F&A based on sponsor policy does

not require special approval, however… Must be a federal or non-profit sponsor Must be a published policy Must be a requirement for submission Sponsor’s reduced F&A must be assessed on

all budget categories, unless a category is specifically exempted by the sponsor’s policy

All other exceptions require prior approval of the Vice Provost for Research; Research Administration does not have the authority to approve waivers

Agency Updates

F&A in Proposals (cont.)

Remember, F&A recovery lower than Caltech’s negotiated on- or off-campus rates

will negatively impact Faculty Research Pools

requires use of the higher tuition remission rate (85%) in non-federal proposals

Future Training Sessions

Fundamentals of Research AdministrationFebruary 27, 2009

9:00-11:30am202 Guggenheim

Annual Export Compliance UpdateMarch 24, 200910:00-11:30am

151 Sloan

please RSVP to [email protected]

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