Sponsored Program Services POST AWARD Christy Haddock Director, Post Award Sponsored Program Services October 18, 2016 SPONSORED PROGRAM SERVICES POST AWARD Sponsor Specific Areas NSF/DHHS Other Federal Non-Federal Ag Field Office 1
Proposal is Submitted - What Now? Agency sends Notice of Award Directly to SPS Directly to Faculty Notice to Proceed (NTP) will allow you to start research before award is received. NTP is a line of credit established to allow a project to begin prior to receipt of a fully executed award Business Office will work with SPS to get you an account number IMPORTANT: Regulatory approvals and Conflict of Interest (COI) disclosures must typically be in order prior to start of research. Types of Awards Spectrum of Sponsor Influence No consideration Gifts MOU/MOA Grant Contract Membership Agreements Teaming Agreements Cooperative Agreement 2
SPS Contracting Role of Contract Analyst Contract Analyst ensures: The University can and should meet the obligations as written within agreement. The award truly reflects the University s understanding of the activity Any contract/agreement entered into by the University is compliant with State and Federal law, and with University policy Award Arrives What information is included? Start/End Dates Award Amount Approved Budget Agency Contacts Payment Terms Notation of Special Restrictions/Conditions Cost Sharing Limitations on Spending, Prior Approvals Required Reports (Technical, Fiscal) Intellectual Property Rights & Requirements (Industrial) Licensing Royalty Rights (Industrial) Publication Rights (Industrial) 3
Award Establishment Communication is Key Sponsor SPS Contracting Business Office Principal Investigator Pre Award Research Professional Staff SPS Post Award Award Establishment Awarded budget may be divided internally into multiple sponsored program accounts: Multiple Investigators Unique categories (tasks, projects, sub-projects) & reporting requirements Incremental funding Specific budgetary restrictions Cost share 4
Cost Allocation Time to start spending! First Point of Contact: Departmental Business Office Human Resources Purchasing Account Numbers (Startup/Discretionary funds) Travel Account Management Cost Allocation Roles of the Principal Investigator As PI, what is my role in allocating costs? Must assure charge is: Reasonable and necessary Incurred within the project period Allowable in accordance with sponsor guidelines Allocated on the basis of benefit to the project 5
Managing the Award Roles of the Principal Investigator Direct the work Within project period Within budget authorized by sponsor Determine Staffing Project should be staffed according to budget unless something has changed Communicate with Business Office Work closely with business office if changes to budget categories are needed; sponsor prior approval may be required Managing the Award Prior Approval Items that may require prior approval: Change in Scope Changes in Key Personnel New/Additional Subcontracts Foreign Travel Capital Equipment PI absence exceeding 3 months PI reduction of effort exceeding 25% Extension of time 6
Managing the Award Technical Reports Principal Investigators are responsible for the timely submission of all technical reports Due dates are in award document Information available in Grants Management (GM) Account Information Management System (AIMS) Contact SPS Research Administration Specialist with questions Why be timely? Proper stewardship Requirement (as part of terms & conditions) Incremental or future funding may depend upon receipt of the report Managing the Award Financial Reports GM AIMS provides: Real-time tracking of grant budgets and expenditures Expenditure details such as PO numbers, vendors and item descriptions Information on technical reports When due Where & how to send Balance trends charts Projection tool to estimate future balances 7
Managing the Award Accessing GM AIMS GM AIMS is accessible via the OnePurdue Portal Log in using CAREER Account ID and Password https://erp-portal-prd.itap.purdue.edu/irj/portal Training assistance available within your business office and via SPS Post Award After Close-Out of Award Record Retention Terms and Conditions of Award allow auditors the right of access to all University records associated with a project PI Responsibilities: Scientific records and data Regulatory material (if applicable) Maintain for THREE years after completion/submission of final report May be contacted by auditors regarding certification of effort and other items 8
Sponsored Program Services Helpful Resources Sponsored Program Services: http://www.purdue.edu/business/sps/ OnePurdue Portal: https://erp-portal-prd.itap.purdue.edu/irj/portal GM AIMS Training Resources: http://www.purdue.edu/business/bsr/reporting/gmaims.html Sponsored Program Services Contact Information Ken Sandel Senior Director, Sponsored Program Services 49-41063 sandel@purdue.edu Christy Haddock Director, Post Award 49-41052 cjhaddock@purdue.edu Beth Siple Assistant Director, Ag Sponsored Programs 49-48464 sipleb@purdue.edu 9
Research Information Assurance and Export Control Regulations MARY DUARTE MILLSAPS RESEARCH INFORMATION ASSURANCE OFFICER Purpose of Research The creation, dissemination, preservation and application of knowledge for the betterment of our global society pulled from the mission statement of UCLA 2 1
What happens when there are limits on dissemination? Examples: Inputs received from third parties industry (through a Non Disclosure Agreement or project agreement) Controlled information from the federal government Project Agreements with dissemination limitation and publication restrictions Results of industry research with unique Intellectual Property ownership or publication approval terms 3 Information Assurance Considerations Safeguarding access and use of such information Good rule of thumb: Need to Know Consider digital controls Impact of Export Control Regulations 4 2
Confidential Information Starts with a Contractual Obligation An Institutional Obligation Purdue is the legal party Nondisclosure Agreement (Confidentiality Agreement) Industrial Contract Responsibility of compliance is delegated to the responsible person (most cases a principal investigator) 5 Confidential Information Who What Why How Key Points Determination of who will have access Limit to those who truly have a need to know Keep track Make sure all with access understand the requirements Identification of what is confidential BE CLEAR! (e.g. technical specifications, business plans) Identification of the purpose or reason it is being shared Limit use to the purpose, and nothing else Proper Handling and Safeguarding of Confidential Information EVPRP website 6 3
Nexus of Confidential Information and Export Control Regulations Confidential Information and Research results subject to Dissemination Controls Technical Information Technical Data 7 Export Control Regulations U.S. laws that regulate the export of strategically important products, software, services, and technical data to foreign persons and foreign countries for reasons of foreign policy and national security. Affects physical export and sharing of information (technical data or technical information about controlled technology) 8 4
Export Control Compliance Legal/Regulatory Basis for Controls Legal Basis Regulations Cognizant Agency Identification of controls Arms Export Control Act (AECA) 1976 International Traffic in Arms Regulations (ITAR) 22 C.F.R. Parts 120 130 Department of State Directorate of Defense Trade Controls (DDTC) U.S. Munitions List Export Administration Act 1979 Trading with the Enemy Act and various other acts Export Administration Regulations (EAR) 15 C.F.R. Parts 700 799 Various sanction programs 31 C.F.R. Parts 500 599 ( OFAC sanctions ) Department of Commerce Bureau of Industry Security (BIS) Department of Treasury Office of Foreign Assets Controls (OFAC) Commerce Control List (ECCN numbers) Specially Designated Nationals list (SDN) Various country specific lists Note: there are additional federal acts that some times impact Purdue activity (like the Atomic Energy Act of 1954) that may also need to be considered. Export Control Compliance Legal/Regulatory Basis for Controls part 2 Jurisdiction What s Controlled Federal approval requirements ITAR 22 C.F.R. Parts 120 130 EAR 15 C.F.R. Parts 700 799 OFAC 31 C.F.R. Parts 500 599 Defense articles (and technical data) or Defense services USML 19 Categories ranging from Explosives and propellants to Toxicological Agents Specially Designed for Dual Use commodities and related technology typically for commercial use CCL 9 Categories ranging from nuclear to telecommunications (Organized by ECCN) (All technology not controlled by another Jurisdiction) Support for and business with the subjects of the various sanctions Non US Persons Defense services for foreign sponsors Depends on the commodity and reason for control. (CCL ECCN) Note: EAR99 Catch all Specially Designated Nationals list (SDN) Cuba, Iran, North Korea, Sudan and Syria 5
Export Control Compliance Key Definitions Term Definition U.S. Person Any US Citizen, or lawful permanent resident (green card holder); Any corporation, society or other entity incorporated or organized to do business in the U.S. Any federal, state, or local government entity in the U.S. Foreign Person Everyone else, including foreign students here are student visas (J and F) and foreign employees on non immigrant visas types (e.g. H1B or O). Foreign corporations, societies or entities. Export is defined very broadly to include an oral or written disclosure of information about, visual inspection of, or actual shipment outside the U.S. of controlled technology or technical data, software/code or equipment to a foreign person. Deemed Export Any disclosure of information or release of controlled technologies to a foreign person in the U.S. is deemed to be an export of that information or technology. NOTE: Any method of disclosure may apply: email, telephone, websites, face to face discussions, training sessions, tours that involve visual inspections Fundamental Research Exclusion (FRE) Fundamental Research definition covers most university research Fundamental Research is basic and applied research the results of which are normally published freely in the scientific and engineering literature; must be non proprietary in nature Publication delay for sponsor review is allowable FRE Does not apply to controlled inputs (like external confidential information) Research that is subject to publication approval or dissemination controls Informal arrangements to hold information in confidence August 21, 2012 RESEARCH INTEGRITY AND REGULATORY REQUIREMENTS 12 6
Nexus of Confidential Information and Export Control Regulations Confidential Information and Research subject to Dissemination Controls Technical Information EAR Technology Or Software related to Dual use items on the Commerce Control List (CCL) Country limitation depends on commodity and reason for control (e.g. NS National Security, MT Missile Technology etc.) (U.S. Dept of Commerce) OFAC For Technology not specifically identified on the CCL, (EAR 99) restricted from the comprehensively sanctioned countries (Cuba, Iran ) ITAR Technical Data related Defense Articles or Services On the USML (U.S. Dept of State) 13 Compliance Process PI input is required SPS SPS Publication approval Restrictions on participants Dissemination limits Export Control review Jurisdiction review (EAR v. ITAR) Lab review Includes both physical and digital controls Contract Execution Account establishment Contract received/reviewed for triggers Technology Control Plan (if necessary) EVPRP Export Controls Team 14 7
New Faculty Considerations How likely is technology in my field to be controlled by these regulations? The Export Control Office can help you with this How likely am I to seek funding from sponsors who will assert dissemination/participation controls? Department of Defense Nuclear Regulatory Commission Industry Do I want to accept controls? Stay within the fundamental research exclusion (FRE) Avoid publication approval requirements Be clear with new funding sources If I plan on including foreign students in my lab and I will do controlled research how will I keep the effort segregated? August 21, 2012 RESEARCH INTEGRITY AND REGULATORY REQUIREMENTS 15 Other Activities affected by Export Control regulations International Travel Travel Matrix Consider what you are taking with you Shipping material or equipment Use University Shipping (MMDC) Clearly document what you are shipping Identify the ultimate recipient Hosting International Visitors Consult your department ISS liaison before extending an official invitation (long or short term visits) 16 8
Contacts Export Control Office (within the EVPRP) exportcontrols@purdue.edu; 494 9806 Steve Riedel Ken Suter Jama Johnson Mary Millsaps Export Control Officer & Research Information Assurance Officer millsaps@purdue.edu 494 0702 Website: http://www.purdue.edu/exportcontrols 9
Howie Zelaznik, Professor of Health and Kinesiology, and Associate Vice President for Research Compliance Stewardship of Research Activities We are responsible for maintaining the integrity and safety of our research activities Animals Humans Biological Agents Radiation Lasers Our graduate and undergraduate students as well as other research personnel must adhere to the highest levels of research and safety compliance. This leads to better research and keeps our institution in good stead with federal, state and local authorities. Fall 2015 Research Compliance 1
This can be complicated, especially the first time through the system We are here to help!! Ask me. Ask YOUR DEPARTMENT HEAD! ASK AN EXPERIENCED COLLEAGUE! Fall 2015 Research Compliance You also are responsible for Knowing and understanding the institutional and governmental policies and regulations applicable to your research. Ensuring the integrity of your group s research. Training, establish expectations for, and monitor the behavior of your staff and students; model the behavior you expect. If your research requires regulatory approvals; establishing a system to ensure the approvals are always current; insist that your staff and students know what has been approved. Fall 2015 Research Compliance 2
We are responsible for Ensuring that you have the proper regulatory approvals prior to any grant being released for funding Grant to protocol review Called a congruency match Does the work described in the grant match the work described in the regulatory approval documents? Ensuring whether significant financial outside interests require oversight to ensure research objectivity. Fall 2015 Research Compliance Research Requiring Prior Regulatory Approval Regardless of the source of project funds, [or non-sponsored research] if your project involves. Human research participants Vertebrate animals Biohazards or rdna Radioactive materials Lasers (class 3b or 4) you will need approval from one or more Purdue regulatory oversight committees Fall 2015 Research Compliance 3
Regulatory Oversight Committees Protection of Human Research Subjects Human subjects Human Research Protection Program // Institutional Review Board (IRB) Animal use in Teaching and/or Research Vertebrate Animal Subjects Purdue Animal Care and Use Committee (PACUC) Biosafety rdna and Potentially Biohazardous Materials Institutional Biosafety Committee (IBC) Radioactivity and Radiation Producing Devices Radioactive Materials - Radiation Safety Committee Class 3B or 4 Lasers Laser Safety Committee Fall 2015 Research Compliance Centralized Animal Care Purdue Centralized Animal Care Program provides daily animal care and husbandry for most research animals: Programs (depts, grants, etc) are charged a per diem per animal/day. The program provides for maintenance and upkeep of animal-care facility(ies) and maintains accreditation with AAALAC. Contact: Dr. William (Bill) Ferner: ferner@purdue.edu Fall 2015 Research Compliance 4
Disclosure of Financial Interests Reportable Outside Activity, Vice President for Ethics and Compliance (VPEC) Purdue s Policy on Individual Financial Conflicts of Interest http://www.purdue.edu/policies/ethics/iiib2.html Must be disclosed at the time of proposal submission We determine whether the conflict must be managed. Ensure the objectivity of the research. Fall 2015 Research Compliance Resources Websites Research Compliance http://www.purdue.edu/research/research-compliance Radiological and Environmental Management (REM) Researcher s Guide https://www.purdue.edu/ehps/rem/ Fall 2015 Research Compliance 5
If you need assistance Human Subjects: HRPP office: 494-5942, IRB_questions@purdue.edu Nancy Hathaway, JD IRB Administrator Vertebrate Animals: Lisa Snider (PACUC Admin) 494-7206, ldsnider@purdue.edu Sponsored Program Regulatory Review: Ianthe Cookie Bryant-Gawthrop, 494-7458, ibg@purdue.edu Conflict of Interest: Voichita Dadarlat, 496-1763, voichi@purdue.edu Laser Safety: Jim Schweitzer, 494-2350 jfschweitzer@purdue.edu Biosafety: Robert Golden, 49-41496 rwgolden@purdue.edu Fall 2015 Research Compliance Contact me hnzelaz@purdue.edu 49-63824 Fall 2015 Research Compliance 6