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Creating Successful  Research Projects:  Navigating the Process ---New Faculty Orientation--- December 16, 2010 Walker Ames Room Kane Hall
WELCOME ,[object Object],[object Object]
NEW UW FACULTY ,[object Object],[object Object],[object Object],[object Object],[object Object]
WORLD LEADERS IN RESEARCH ,[object Object],[object Object],[object Object]
WE ARE: ,[object Object],[object Object],[object Object],[object Object]
IMPACT ,[object Object],[object Object]
WE ARE HERE TO HELP ,[object Object],[object Object]
TODAY’S WORKSHOP ,[object Object],[object Object],[object Object],[object Object]
Successful acquisition & management of grants requires many partners ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object]
OR - MAJOR ADMINISTRATIVE UNITS ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object]
TODAY’S SPEAKERS ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object]
RESOURCES AVAILABLE ,[object Object],[object Object],[object Object]
OFFICE OF SPONSORED PROGRAMS  (OSP) ,[object Object]
OSP MISSION ,[object Object],[object Object]
OSP RESPONSIBILITIES ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object]
OSP STRUCTURE ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object]
Business Sections ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],Scope of Work ,[object Object],[object Object],Final Version by Day – 7   Draft Version by Day – 7  Final Version by Day - 3
PROPOSAL  BUSINESS PROCESS  ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object]
AWARD  BUSINESS PROCESS ,[object Object],[object Object],[object Object],[object Object]
[object Object],[object Object],[object Object],[object Object],ADMINISTRATIVE  BUSINESS PROCESS
SPONSORED PROGRAM POLICY ,[object Object],[object Object],[object Object],[object Object]
[object Object],[object Object],[object Object],[object Object],[object Object],OSP HINTS
New Facilities and Administrative (F&A) Rates Location Negotiated Rates  (FY 2010-2014) On-campus 54%  -- FY 2010-2012 54.5%  -- FY 2013-2014 Off-campus  26% South Lake Union 66%  -- FY 2010;  68%  FY 2011; 72%  -- FY 2012;  73%  -- FY 2013; 74%  -- FY 2014 Regional Primate Center 42%  (A)/ 78%  (A+B)/ 83%  (A+B+C) Applied Physics Lab 17% Other Sponsored Activity 33.8%  (on-campus) 26%  (off-campus) Vessel 25%  (S&W) Instruction 53.0%  (on-campus) 26%  (off-campus)
[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],OSP RESOURCES
CLINICAL RESEARCH ,[object Object],[object Object],[object Object],[object Object],[object Object]
 
OFFICE OF RESEARCH INFORMATION SERVICES  (ORIS) ,[object Object],[object Object]
OFFICE OF RESEARCH INFORMATION SERVICES (ORIS) Research Road Map Hosted Services Web Services  Data Reporting Serving UW's research community through IT solutions SAGE System to Administer Grants Electronically
SAGE (System to Administer Grants Electronically) ,[object Object],[object Object],[object Object]
WHEN TO USE SAGE? Activity in SAGE
SAGE BUDGET ,[object Object],[object Object],[object Object],[object Object],[object Object]
eGC1 APPROVALS ,[object Object],[object Object]
GET STARTED WITH SAGE ,[object Object],[object Object],[object Object],www.sage.washington.edu
CONTACTS & QUESTIONS ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object]
GRANT AND CONTRACT ACCOUNTING/EQUIPMENT INVENTORY OFFICE  Division of Research Accounting & Analysis within Finance & Facilities ,[object Object]
Finance & Facilities RESEARCH ACCOUNTING  & ANALYSIS (RAA) RAA Mission:  We help people who change the world
GCA RESPONSIBILITIES ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object]
EIO RESPONSIBILITIES ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object]
GCA/EIO Structure ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object]
POST AWARD PROCESS Academic Dept/Office of Sponsored Programs Proposal & Award Process Assignment of Budget Numbers Receipt and processing of eFA (Electronic Funding Action) Active Grant Period Expenditure Allowability Payment requests to sponsors Closing Fiscal Reporting Audits External to Grant and Contract Accounting
AWARD LIFECYCLE ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object]
THE BUDGET ,[object Object],[object Object],[object Object],[object Object],[object Object]
DIRECT COSTS ,[object Object],[object Object],[object Object],[object Object]
INDIRECT COSTS ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object]
POLICIES  Federal, State, University & Sponsor Award  Terms Departmental Policies University  Policies &   Procedures Sponsor   Policies Federal Policies and Governmental Law Accounting & Financial  Policies NIH - GPS A-21, A-110, FARs Learn How to  Apply the Policies
PI/DEPARTMENT RESPONSIBILITIES ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object]
HINTS ,[object Object],[object Object],[object Object],[object Object],[object Object]
GCA RESOURCES ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object]
MANAGEMENT ACCOUNTING  & ANALYSIS (MAA)  Division of Research Accounting & Analysis within Finance & Facilities ,[object Object]
Finance & Facilities RESEARCH ACCOUNTING  & ANALYSIS (RAA) RAA Mission:  We help people who change the world
MAA – OFFICE RESPONSIBILITIES ,[object Object],[object Object],[object Object],[object Object],[object Object]
MAA - STRUCTURE ,[object Object],[object Object],[object Object],[object Object],[object Object]
F&A RATE CALCULATION  & NEGOTIATION ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object]
CURRENT F&A RATES  (effective 7/1/09) ,[object Object],[object Object],[object Object],[object Object],[object Object]
RECHARGE /COST CENTERS ,[object Object],[object Object],[object Object]
PROGRAM INCOME ,[object Object],[object Object],[object Object],[object Object]
PROGRAM INCOME RATES ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object]
EFFORT REPORTING ,[object Object],[object Object],[object Object],[object Object],[object Object]
EFFORT REPORTING ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object]
MAA - RESOURCES ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object]
 
CENTER FOR COMMERCIALIZATION (C4C) ,[object Object]
ENVIRONMENTAL  & OCCUPATIONAL HEALTH & SAFETY (EH&S) ,[object Object]
EH&S - MISSION ,[object Object],[object Object],[object Object]
EH&S Functional Org Chart How we are organized to support you
Conducting UW research has many parallels to running a successful business ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object]
L ocal, State and Federal laws that address your research: EH&S has responsibilities and authority provided in UW Admin. Policy Statements (APS) to meet those regulations State and Federal Worker Health & Safety Laws UW APS &  Your  Research State and Local Public Health /Fire Safety Laws Fed. laws: Select Agent, Agriculture, Animals Hospital Operational/ Facility Laws State and Federal Environmental Pollution Laws Hazardous materials laws Federal sponsor requirements
5 questions on SAGE that will engage  EH&S involvement in your research ,[object Object],[object Object],[object Object],[object Object],[object Object]
MUST HAVES –  for working with biological material and/or recombinant DNA ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object]
MUST HAVES –  for working with animals and/or hazardous materials ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object]
MUST HAVE –  engineering controls when working with chemicals ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object]
MUST HAVE administrative controls for chemical use ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object]
If you are working with radiological materials you MUST have: ,[object Object],[object Object],[object Object],[object Object]
[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],As a business person you   have employees that you must protect, mentor and govern
[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],As a business person you   have employees that you must protect ,  mentor and govern
[object Object],[object Object],[object Object],[object Object],Operating a Research Lab is like running a business –  What are the risks?
Examples of costs of not following procedures/protocols/regulations ,[object Object],[object Object],[object Object],Costs for “dumpster diving” = $800 Cost of fine > $10,000 to Metro
[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],What YOU can do to ensure accidents, injuries, citations, fines and loss of research doesn’t occur
OFFICE OF ANIMAL WELFARE (OAW) ,[object Object]
Office of Animal (OAW) - Mission ,[object Object],[object Object]
OAW - RESPONSIBILITIES ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object]
OAW - STRUCTURE ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object]
IACUC Protocol Business Process ,[object Object],[object Object],[object Object],[object Object],[object Object]
[object Object],[object Object],[object Object],[object Object],IACUC Protocol Business Process
Grants & Contracts ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object]
Grant/Contract Review Business Process ,[object Object],[object Object],[object Object]
TRAINING OPPORTUNITIES ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object]
POST APPROVAL MONITORING ,[object Object],[object Object],[object Object]
IACUC SITE VISIT –  BUSINESS PROCESS ,[object Object],[object Object],[object Object],[object Object]
IACUC POLICIES ,[object Object],[object Object],[object Object]
HINTS FOR SUCCESS ,[object Object],[object Object]
Consult with OAW when… ,[object Object],[object Object],[object Object]
OAW RESOURCES ,[object Object],[object Object],[object Object],[object Object]
 
HUMAN SUBJECTS DIVISION (HSD) ,[object Object]
HSD - MISSION The Human Subjects Division (HSD) is a unit within the Office of Research (OR). HSD staff support and facilitate the review of human subjects research by the Institutional Review Board (IRB). HSD staff and IRB members partner with researchers to safeguard the rights and welfare of human subjects in UW research.
HSD - RESPONSIBILITIES ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object]
HSD - STRUCTURE ,[object Object],[object Object],[object Object],[object Object],[object Object]
REVIEW BY NON-UW IRBs ,[object Object],[object Object],[object Object]
IRB BUSINESS PROCESS
IRB APPROVAL CRITERIA ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object]
IRB APPROVAL CRITERIA ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object]
IRB APPROVAL CRITERIA ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object]
HINTS FOR SUCCESS ,[object Object],[object Object],[object Object],[object Object]
HSD RESOURCES ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object]
 
INTERNAL AUDIT DEPARTMENT ,[object Object]
[object Object],[object Object],[object Object],[object Object],[object Object],WHO AUDITS YOU?
[object Object],[object Object],[object Object],WHEN AN AUDITOR CALLS
[object Object],[object Object],[object Object],WHEN THE AUDITOR ARRIVES
[object Object],[object Object],[object Object],WHEN THE AUDITOR ARRIVES
[object Object],[object Object],[object Object],[object Object],WHEN THE AUDITOR ARRIVES
[object Object],[object Object],[object Object],[object Object],[object Object],SUGGESTIONS FOR PIs
[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],INTERNAL AUDIT CONTACTS
Conflict of Interest (COI) ,[object Object]
FEDERAL RESEARCH STANDARD Conflicts of financial interest occur “whenever financial considerations may have the potential to compromise or have the appearance of compromising an investigator’s professional judgment and independence in the design, conduct, or publication of research.” - Public Health Service   Potential conflicts of interest occur in all human processes and are not inherently “bad” if they are appropriately managed.
COMMON FINANCIAL INTERESTS ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object]
UW SIGNIFICANT FINANCIAL INTEREST DISCLOSURE POLICY ( GIM 10 ) ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object]
GIM   10   ,[object Object],[object Object],[object Object]
GIM 10   ,[object Object],[object Object],[object Object]
TYPICAL SIGNIFICANT FINANCIAL INTERESTS (SFI) ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object],[object Object]
UW DEFINITION OF  “Significant Financial Interest” ,[object Object],[object Object],[object Object],[object Object],[object Object]
UNIVERSITY OUTSIDE PROFESSIONAL WORK POLICY ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object]
OUTSIDE WORK SUMMARY ,[object Object],[object Object],[object Object],[object Object],[object Object],[object Object]
[object Object],[object Object],[object Object],[object Object],[object Object],2005 STATE ETHICS ACT CHANGES -  Effect -
LIMITATIONS TO KEEP IN MIND ,[object Object],[object Object],[object Object],[object Object],[object Object]
Wrap-Up ,[object Object]
UNIVERSITY OF WASHINGTON ,[object Object],[object Object],[object Object],[object Object]
TODAY’S WORKSHOP ,[object Object],[object Object],[object Object],[object Object]
WE ARE HERE TO HELP ,[object Object],[object Object],[object Object]
RESOURCES AVAILABLE ,[object Object],[object Object],[object Object]
[object Object]

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Creating Successful Research Projects: Navigating the Process (New Faculty Orientation 12/16/10)

  • 1. Creating Successful Research Projects: Navigating the Process ---New Faculty Orientation--- December 16, 2010 Walker Ames Room Kane Hall
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  • 23. New Facilities and Administrative (F&A) Rates Location Negotiated Rates (FY 2010-2014) On-campus 54% -- FY 2010-2012 54.5% -- FY 2013-2014 Off-campus 26% South Lake Union 66% -- FY 2010; 68% FY 2011; 72% -- FY 2012; 73% -- FY 2013; 74% -- FY 2014 Regional Primate Center 42% (A)/ 78% (A+B)/ 83% (A+B+C) Applied Physics Lab 17% Other Sponsored Activity 33.8% (on-campus) 26% (off-campus) Vessel 25% (S&W) Instruction 53.0% (on-campus) 26% (off-campus)
  • 24.
  • 25.
  • 26.  
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  • 28. OFFICE OF RESEARCH INFORMATION SERVICES (ORIS) Research Road Map Hosted Services Web Services Data Reporting Serving UW's research community through IT solutions SAGE System to Administer Grants Electronically
  • 29.
  • 30. WHEN TO USE SAGE? Activity in SAGE
  • 31.
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  • 36. Finance & Facilities RESEARCH ACCOUNTING & ANALYSIS (RAA) RAA Mission: We help people who change the world
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  • 40. POST AWARD PROCESS Academic Dept/Office of Sponsored Programs Proposal & Award Process Assignment of Budget Numbers Receipt and processing of eFA (Electronic Funding Action) Active Grant Period Expenditure Allowability Payment requests to sponsors Closing Fiscal Reporting Audits External to Grant and Contract Accounting
  • 41.
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  • 45. POLICIES Federal, State, University & Sponsor Award Terms Departmental Policies University Policies & Procedures Sponsor Policies Federal Policies and Governmental Law Accounting & Financial Policies NIH - GPS A-21, A-110, FARs Learn How to Apply the Policies
  • 46.
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  • 50. Finance & Facilities RESEARCH ACCOUNTING & ANALYSIS (RAA) RAA Mission: We help people who change the world
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  • 65. EH&S Functional Org Chart How we are organized to support you
  • 66.
  • 67. L ocal, State and Federal laws that address your research: EH&S has responsibilities and authority provided in UW Admin. Policy Statements (APS) to meet those regulations State and Federal Worker Health & Safety Laws UW APS & Your Research State and Local Public Health /Fire Safety Laws Fed. laws: Select Agent, Agriculture, Animals Hospital Operational/ Facility Laws State and Federal Environmental Pollution Laws Hazardous materials laws Federal sponsor requirements
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  • 96. HSD - MISSION The Human Subjects Division (HSD) is a unit within the Office of Research (OR). HSD staff support and facilitate the review of human subjects research by the Institutional Review Board (IRB). HSD staff and IRB members partner with researchers to safeguard the rights and welfare of human subjects in UW research.
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  • 116. FEDERAL RESEARCH STANDARD Conflicts of financial interest occur “whenever financial considerations may have the potential to compromise or have the appearance of compromising an investigator’s professional judgment and independence in the design, conduct, or publication of research.” - Public Health Service Potential conflicts of interest occur in all human processes and are not inherently “bad” if they are appropriately managed.
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Editor's Notes

  1. Serving UW's research community through IT solutions.  Part of our mission is to support OR units, but we're really here to support the greater mission of the university.  Broad mission, most relevant is SAGE.
  2. Making it easier for researchers to submit, approve, and manage grant applications.  create and manage grant budgets- electronic routing form (eGC1) required for all UW grants and contracts/research applications
  3. Approve applications - include status checking - status at sponsor with Grants.gov submitted apps, even more with Grant Runner (Need info on this point) Hit on Advances again, referencing the tab
  4. (Make sure you have been set up with the appropriate ASTRA role for each department of which you are a member). Many admin do this as part of on-boarding.  How do I make sure I have appropriate access? (UWNETID > ROLES ATTACHED > SAGE PI ROLE required ASTRA ( A ccess to S ystems, T ools, R esources and A pplications) is an integrated authorization system that stores information about who can use a wide variety of administrative applications and tools across the UW campus. Your Role is given by your local ASTRA Administrator and is based upon what access is needed.
  5. All units participate in customer service to faculty and staff