NCURA Region VI & VII

NCURA Region VI & VII
Spring Meeting
April 17 - 20, 2005
San Marcos Resort and Conference Center
One San Marcos Place, Chandler, AZ 85225
PROGRAM
Sunday, April 17
8:30-11:30 : Herbert Hoover / (W) Compliance Approach to Creating Integrity in the Research Environment
Track: Compliance/Legal
Description:
The Office of Inspector General at the National Science Foundation is responsible for investigating allegations of wrongdoing and conducting audits associated with the NSF program, operations and entities receiving NSF funds. This workshop provides practical tips for administrators, researchers and students to ensure the integrity of the financial, administrative and research management of federally funded research. Participants will review methods for effective oversight of research efforts, mentoring, and handling allegations of wrongdoing (including fraud and research misconduct,) in addition to discussing elements of an effective compliance program and how to develop one. Case studies will be used to highlight the discussion. Learning Outcome: This session will give participants a greater understanding of effective compliance programs with ethical and practical considerations in ensuring integrity in research management. Intended Audience: All levels
Presenter : Peggy Fischer, Associate Inspector General - Investigations, Office of the Inspector General, National Science Foundation
8:30-11:30 : Joan Crawford / (W) NSF FastLane Updates and Integration with Grants.gov
Track: ERA
Description:
In November 2003, the Office of Management and Budget (OMB) mandated that all Federal grant-making agencies post competitive grant opportunities on Grants.gov. Grants.gov provides a centralized electronic distribution and collection point for grant application packages for each Federal grant-making agency. It also provides the ability to search for Federal government-wide opportunities as well as apply for a grant.
This workshop will be a guided overview demonstrating the process of applying for grants using Grants.gov. A broad overview of the application process will be discussed, the registration procedures, the FIND and APPLY features and a demonstration of how to fill out the electronic forms using the Grants.gov application.
Presenter : Evelyn F. Baisey-Thomas, Computer Specialist, National Science Foundation
8:30-11:30 : Clark Gable / (W) Navigating the (Shark-Infested) Waters of Subawards
Track: Pre/Post Award
Description:
This workshop will review the federal regulations governing subawards under grants and contracts, and will discuss the key elements that need to be covered in subaward agreements — including some typical provisions included in subawards to foreign and for-profit subrecipients. Special attention will be paid to subrecipient monitoring requirements, including audit oversight and corrective action plans, successful review of invoices (and what to do when they can`t be approved!), and managing subaward closeout.
This workshop assumes a basic familiarity with A-21 and A-133, but no detailed knowledge of the FAR or ability to recite federal circulars from memory is required. It will be of greatest value to sponsored projects administrators who are currently, (or are interested in becoming,) responsible for the preparation and/or oversight of subawards.
Learning Outcome: Attendees will have a better understanding of the basic requirements underlying the area of preparation and oversight of subawards.
Intended Audience: Beginner and Intermediate Level
Prerequisites: None
Presenter : Anita "Nitzi" Gildea-Phillips, Associate Director, Office of Sponsored Research, Stanford University
Presenter : Pamela A. Webb, Sr. Director, Office of Sponsored Research, Stanford University
1:30-4:30 : Herbert Hoover / (W) Negotiating Federal Awards
Track: Pre/Post Award
Description:
This workshop will apply equally to administrators from state and private universities, colleges, medical centers, and other non-profit institutions.
Topics include development of reasonable negotiating positions from the applicable Federal Circulars and Policies (e.g. A-110, A-21, A-133, NSDD 189), and some useful negotiating tips and strategies for dealing with our Federal counterparts from award receipt through closing actions.
This workshop focuses on the pre-award negotiation process but post-award administrators will appreciate the insights. At the conclusion, administrators will better understand the complexities and challenges associated with negotiating Federal grants and contracts.
Learning Outcome: The attendees will become familiar with a broad range of topics related to the task of negotiating Federal awards.
Intended Audience: Beginners and Intermediate Level Administrators with less than five years experience negotiating Federal grants and contracts.
Prerequisites: None
Presenter : Vincent A. Bogdanski, Assistant Director, Office of Sponsored Projects, University of Utah
1:30-4:30 : Clark Gable / (W) Compliance in the Post Award World
Track: Compliance/Legal
Description:
This workshop will explore the current compliance environment, OMB Circular A-21, Federal Sentencing Guidelines and the proposed NIH Compliance Program Guidelines. We will discuss recent OIG audits and audit plans for 2005. Finally, we will set up a post award compliance program that you can use.
Presenter : Jerry Fife, Assistant Vice Chancellor for Research Finance, Vanderbilt University
Presenter : Ted Mordhorst, Assistant Director for Compliance, University of Washington
1:30-4:30 : Joan Crawford / (W) Export Controls 101
Track: Compliance/Legal
Description:
This workshop includes an introduction to the requirements of the export regulations: presentation of the essential elements of a campus compliance program, focusing on shipment of commodities into or out of the U.S., steps to assure that technical data qualifies as fundamental research, software, research in embargoed countries, and faculty and staff training. Also covers case study discussion of sample clauses and negotiation strategies for both research and confidentiality/proprietary data agreements. Participants are encouraged to bring sample clauses or problem situations to the workshop for discussion. Learning Outcome: Participants will gain a broad overview of the Export Control Regulations, understand the elements of a compliance plan, be able to assess the impact of various clauses contained in research and confidentiality/non-disclosure agreements, and learn how to modify problem clauses and negotiation strategies. Intended Audience: All Levels Prerequisites: None
Presenter : Barbara Yoder, , University of California
6:00 - 8:00 P.M. / RECEPTION
Monday, April 18
9:00 AM - 10:15 AM : Ball Room / PLENARY SESSION
Dr. Paul Johnson, will provide introductary remarks. Dr. James Collins, Professor of Biology School of Life Sciences will discuss Integrated Research Challenges in Environmental Biology - an International Collaborative Research Project.
Presenter : James Collins, Ph.D, Professor of Biology, School of Life Sciences, Arizona State University
: Paul Johnson, Ph.D, Associate Vice President for Research, Arizona State University
10:45 AM - 12:00 PM : Gloria Swanson / (S) Financial Reporting Roundtable
Moderator : Paul Sandoval, Sponsored Projects Administrator, University of Arizona
10:45AM - 12:00pm : Erroll Flynn / (S) Departmental Administrators Roundtable
Moderator : Scott Gudger, Departmental Administrator, Oregon Health Sciences University
10:45 AM - 12:00 PM : Clark Gable / (S) Preaward/Postaward Roundtable
Moderator : Georgette Sakamoto, Administrative Officer, Office of Research Services, University of Hawaii
10:45 AM - 12:00 PM : Joan Crawford / (S) Compliance Roundtable
Moderator : Lynette M. Schenkel, Director, Office for Responsible Conduct of Research, University of Oregon
10:45 AM - 12:00 PM : Herbert Hoover / (S) Information Technology Roundtable
Moderator : Steve Shapiro, Technical Group Manager, Office of Research Services and Administration, University of Oregon
12:15 PM - 1:30 PM : Ball Room / LUNCH WITH SPEAKER: DR. CAROL JOHNSTON, PROFESSOR OF NUTRITION AT ASU EAST CAMPUS
Diet tricks: resist the genetic tendency towards obesity
Presenter : Dr. Carol Johnston, Ph.D, Professor of Nutrition, Arizona State University, East Campus
1:30 PM - 2:45 PM : Herbert Hoover / (S) National Science Foundation Update
Track: Government
Description:
New developments at NSF - programs, people, budgets, and policies. This session will be a comprehensive review of what is new and exciting at the National Science Foundation. Attendees will leave the session with the latest on: the NSF budget: new program initiatives: new and upcoming policy and procedural changes: recent and upcoming changes to the NSF FastLane system: and, NSF implementation of Grants.gov.
Presenter : Jean Feldman, Head, Policy Office, Division of Grants Agreements, National Science Foundation
Presenter : Tom Cooley, Chief Financial Officer and Director, Office of Budget, Finance and Award Management, National Science Foundation
1:30 PM - 2:45 PM : Joan Crawford / (S) The FA Humpty Dumpty - Putting the Pieces Together for Departmental Administrators
Track: Departmental
Description:
This session will provide a general overview for non-accountants of the preparation process and components of a facilities and administrative cost rate. The discussion will include why most department and central administration personnel should be generally familiar with what an FA rate is, and how, perhaps without knowing it, they help or hinder the preparation of the rate proposal for their institution.
Presenter : Gary Chaffins, Director, Office of Research Services and Administration, University of Oregon
Presenter : Stuart Laing, Manager, Cost Analysis, Office of Research and Sponsored Projects Administration, Arizona State University
1:30 PM - 2:45 PM : Gloria Swanson / (S) The Research University`s Dilemma of Running the Risk of Export Control Non-Compliance
Track: Compliance/Legal
Description:
The terrorist attacks of September 11, 2001, and the mailing of life-threatening infectious agents shortly thereafter, left U.S. government officials with a sense of urgency concerning their duty to address potential terrorist issues, including issues arising from the “openness” of academic research. Both the scientific community and the federal government are becoming increasingly aware of the risks involved with publishing information in research journals or otherwise disclosing information that could end up in the hands of individuals who would use that information for terrorist activities. Federal agencies responsible for export control have developed expansive, yet informal, interpretations of the export prohibitions, many of which are not obvious from the regulatory language.
Thus, research universities are left to sort through a multitude of complex regulatory requirements in order to develop export control and biosafety policies and procedures to ensure institutional compliance. This session will provide an overview and discussion of relevant information.
Presenter : Diane Samuel, Contract Administrator II, Office of Grants Contracts, New Mexico State University
Presenter : Michael Ferguson, Contract Administrator, Office of Grants and Contracts, New Mexico State University
1:30 PM - 2:45 PM : Clark Gable / (S) Best Practices in Electronic Research Administration (ERA)
Track: ERA
Description:
Electronic application systems at grantmaking agencies are rapidly coming online. Grants.gov is rapidly gaining momentum as the central application site for federal grants ($350 billion annually). Electronic grantmaking systems are exploding among non-profit foundations and public charities (over $12 billion annually). What do these changes mean for your own grant management system? What are recognized ERA leaders like MIT and Penn State doing to make their ERA implementations successful and to adapt to the changes at Grants.Gov and other grantmakers? Funded by an NIH SBIR grant, Research and Management Systems has interviewed the leaders in ERA systems to find out. Discuss the results with other participants and share your ideas on how to improve the success of ERA implementations.
Presenter : James McKee, Vice President, e-Commerce, Research and Management Systems
1:30 PM - 2:45 PM : Erroll Flynn / (S) Discussion: How to Manage Change – an IT Perspective
Track: IT
Description:
With Electronic Proposal Processing at different stages of development, the IT professional is under constant change that affects their ability to properly support the Research Administrative office. What can the IT professional do to prepare for the eventual impact of operational, regulatory, policy and technological changes that affect the way the Research Administrative office and the campus are supported? This will be an informal discussion and brainstorming session.
Moderator : Steve Shapiro, , University of Oregon
3:15 PM - 4:30 PM : Herbert Hoover / (S) Grants.gov Status and the Applicant System-to-System interface
Track: Pre/Post Award
Description:
Grants.gov Status and the Applicant System-to-System interface. John joined the Grants.gov PMO in October 2004 and manages the Grants.gov system operations and agency ramp-up.
Presenter : John Etcheverry, Deputy Program Manager, Grants.gov
3:15 PM - 4:30 PM : Joan Crawford / (S) Conflict of Interest/Conflict of Commitment
Track: Pre/Post Award
Description:
This panel should provide an interesting contrast in perspectives as representatives of several major Universities use some of the vignettes taken from the Council on Governmental Relations (COGR) brochure on "Recognizing and Managing Personal Financial Conflicts of Interests" and other case studies as a point of departure to discuss issues related to conflict of interest and conflict of commitment.
Moderator : Ann Pollack, Assistant Vice Chancellor - Research, University of California, Los Angeles
Panelist : Anne Hannigan, Associate Vice President, Office of Research Administration, Stanford University
Panelist : Christina K. Hansen, Assistant Vice Chancellor for Research, University of California, Irvine
3:15 PM - 4:30 PM : Clark Gable / (S) Who’s on First? The Roles, Responsibilities and Reviews involved in Responsible Conduct of Research
Track: Compliance
Description:
Do you sometimes feel like Atlas, with the weight of your Institution’s entire compliance program groaning on your shoulders? Do compliance issues always seem to come to roost on your doorstep? Just who does have what responsibility in threading your Institution’s path through the entangled labyrinth of rules and regulations pouring out of the NIH, the NSF, OHRP, OSHA, etc?
Join us for an overview of how several different programs distribute responsibility for compliance. We’ll also take a look at some of the guidelines being communicated by various sponsors. Do you have suggestions from your own Institution’s experience? Come prepared to share them. Materials will include hotlinks to helpful websites.
Presenter : Lynette M. Schenkel, Director, Office for Responsible Conduct of Research, University of Oregon
3:15 PM - 4:30 PM : Gloria Swanson / (S) Financial Reporting the Central Office Perspective
Track: Financial
Description:
The role of Central Administration on financial status reporting. How to prepare financial status reports (sf 269) and common questions/mistakes on financial status reporting.
Presenter : Lori Schultz, Sponsored Projects Administrator, Principle, University of Arizona
Presenter : Paul Sandoval, Sponsored Projects Administrator, Principle, University of Arizona
3:15 PM - 4:30 PM : Erroll Flynn / (S) Activity Reporting - Why and How We Do It
Track: Pre/Post Award
Description:
Activity reporting continues to be a hot spot. Salaries and wages tend to be the largest component of sponsored projects and a favorite area for auditors. Join us in a discussion of activity reporting. We will provide an overview of the requirements. Review universities with recent findings and what these findings entail. And conclude with a discussion of systems Arizona State University, University of Washington and session attendee institutions use to avoid similar findings.