#4 – List/description of key metrics currently tracked, with example reports provided Departmental (Appendix A): RSP creates an annual workplan and routinely monitors progress toward completing the workplan’s goals. PreAward (Appendix B):

- PreAward submission metrics: PreAward staff members’ proposal activities are tracked on a monthly and annual basis by proposal activity types. This data captures the number and type of proposals worked on by month and differs from the submission totals derived from the RSP grants database in that preliminary proposals, letters of intent, individual proposals, proposals submitted through the UNI Foundation and revisions and rebudgets captured, whereas the grants database only documents the submission of full proposals.

- Strategic funding opportunities: key opportunities identified in the annual planning process at the start of the fiscal year are monitored and reported on the number of planned, submitted, and funded proposals. Updated monthly.

PostAward (Appendix C):

- Account setup: RSP’s postaward team tracks the number of days it takes to set up an account in the university’s financial accounting system counting from the day the agreement is executed (partially or fully, depending on sponsor requirements) to the day the account is setup. On the attached example you will see that some accounts are set up in “negative time”, which only indicates that the account was set up based on a provisional account status prior to agreement execution. Our goal is to have a 5 day turnaround time.

- Agreement turnaround time: RSP’s postaward team tracks the time it takes to have a partially and then fully executed agreement from the date RSP receives the agreement to the date of partial/full execution. Our goal is 30 day turnaround, but the turnaround is highly dependent on the sponsor’s ability to make quick turnaround on requested agreement changes.

- RSP, via FARS, tracks the total amount of F&A recovered. - RSP also tracks total award amounts received, their sources, and the awards and

amount submitted for, accepted, and declined. Research Services (Appendix D):

- Internal grant competition metrics: Of the internal grant competitions administered by RSP, one grant program (Project Grants) requires awardees to submit a proposal for external funding within a given time period (18-24 months) following the award. RSP monitors the progress of awardees through regular reporting. Subsequent grant submissions are also monitored. Reports include the numbers of external submissions, the dollars requested, funded/not funded proposals and characterics of the awardees such as faculty status.

- Campus Connexus is one example of evaluation we conduct for each event and training we facilitate: Campus Connexus is an annual research networking event

hosted by RSP. It is one of our key tools in building cross-disciplinary collaborations and supporting the campus culture of research, scholarship and creative activity. Campus Connexus participants complete an evaluation of the event, which is used to evaluate the events effectiveness and impact and for future event planning.

- Compliance with federal and university requirements for research ethics training (e.g., tracking attendees at research ethics workshops, tracking completion of CITI tutorials in human subjects, animal subjects, export controls, Responsible Conduct of Research (RCR), and conflicts of interest). We do not actually produce reports in this area; we simply monitor the data.

- Processing metrics for the Institutional Review Board, to ensure timeliness of reviews and for planning/reviewing internal policies and procedures to make the review process most appropriate and effective for various constituent groups. A sample annual report is attached. Monthly reports are also produced for the IRB committee to review.

Intellectual Property (See Appendix E): - Intellectual Property disclosures, patents, copyrights and trademarks Intellectual

property is co-managed with Business and Community Services. An annual report is provided to the Board of Regents regarding our technology transfer activity, referenced above, in addition to our economic development activity.

Appendix A

RSP Goal: Advance Research, Scholarship and Creative Activity at UNI

Objective I. Administer sponsored funding effectively and efficiently in compliance with sponsor, state, and university policies

Objective II. Enhance external grant-seeking and receipt.

Objective III. Promote quality and integrity in scholarship (includes ethical climate, research policies, regulatory compliance, and professional development)

Objective IV. Promote and support scholarship of all kinds (includes funding, intellectual property, interdisciplinary, SoTL, Engaged Scholarship, and other emerging forms of scholarship)

Obj Task Objective (long-term) Activities (short-term) RSP area Lead Comments

3,4 New Faculty Outreach

1) RSP participation in New Faculty Resource Fair (Aug. 20); 2) Offer one-on-one meetings for interested new faculty; 3) Promotion of RSP services and resources; 4) Promotion of opportunities for early career faculty

RSP-wide Oberle

Enhance Iowa's Innovation Capacity

Provide UNI leadership and oversight for NSF and NASA EPSCoR RSP-wide Hunt

Provide Statewide EPSCoR leadership RSP-wide Twait

Develop and Co-Chair the State Science and Technology Committee and begin State S&T Plan development RSP-wide Twait

3,4 Broaden and Highlight Faculty/Student Collaboration Conduct a baseline survey of faculty/student collaboration RSP-wide Twait

Develop and offer workshop on college and departmental models RSP-wide Twait

Offer workshop on other institutional models with consultation from the Council on Undergraduate Research RSP-wide Twait

Work with colleges and enrollment management to promote faculty/student collaboration as a recruitment tool RSP-wide Twait

2,4 Celebrate External Funding Efforts

Develop strategy and implement efforts for more, and continuous, recognition of grant seekers, award recipients, and project outcomes

RSP-wide Twait

Individual emails are sent by me to congratulate awardees, copying the Provost, Dean and Dept. Head so that they can individually recognize as well if they choose.

RSP-wide Twait

Pres. Ruud recognizes (with letter, lunch etc.) awards of certain size and larger ($500K+?) or significance (NSF award?)

RSP-wide Twait

Faculty and Staff Grants Recognition Reception RSP-wide Miller

Post monthly report of grant awards to RSP website; include link in UNI-Online RSP-wide Oberle

4 Promote UNI Research, Scholarship and Creative Activity

1) Meet bi-monthly w/UMPR to develop releases, stories and faculty profiles RSP-wide Miller/Twait

Plan other recognition of scholarship Research Services

Gordon/ Research Fellow

1 Continue electronic filing and access system for RSP

Continue to serve on the Electronic Imaging Executive Council with plans to use RSP as one of the campus pilots for imaging

RSP-wide Twait

Continue digitally saving priority grant & contract documents (final proposals and PRAF's, prime award contract, NSPA, and routine correspondence).

RSP-wide Hunt

Move one post-award file set to 100% digital format RSP-wide Hunt

1 F&A policies review and education efforts

Review current F&A policies and procedures; Publish set rates for corporate R&D agreements, state agency awards etc.; Communicate to Pis and campus

RSP-wide Twait

Develop and implement F&A education "tour" around new federal F&A rate and agreement and policies: a) summary information and data on UNI F&A; b) website/handout resources; c) information sessions with all levels of administrators as well as Pis

RSP-wide Twait/Hunt

1 Develop MyRSP: online grant management, workflow and reporting system for campus

Develop criteria for MyRSP internal workflow and award tracking system RSP-wide Mullings-Shand/Chien

Develop criteria and design for MyRSP faculty & staff user "dashboard" (data access, queries, progress checks, etc.) RSP-wide Mullings-Shand/Chien

1 Address High Risk Areas in Award Management

Implement action items resulting from the FY13 Effort Reporting Audit Postaward Hunt

2,4

Continue to Lean Grant/Contract administration Review Cost Transfer Lean progress and adjust Postaward Hunt

1,4 Cross train backstop post-award staff for post-award workflow stage assignments. Postaward Hunt

1,4

Align post-award staff asignments to match customer (UNI faculty, UNI staff, and Sponsors) needs & mapping event outcomes.

Postaward Hunt

2,4

Refine post-award performance metrics, campus and external reporting formulas, and annual progress reporting template

Postaward Hunt

1 High risk/Complex Post-award Project Management

Refine the "Special Projects Liasion" system to be proactive, responsive, and more temporary in its staff assignment terms

Postaward Hunt

1,2 Continue to assist with NABL transition Postaward Hunt

1 Update/Create Policies and Procedures

Fixed price performance based contract residual funds policy Postaward Hunt

1,2,4 Policy and guidelines for direct charging of administrative costs to sponsored programs. Postaward Hunt

1,2,3,4 Continue to develop post-award standard procedures manual Postaward Hunt

1 Further develop and standardize cost-share tracking & monitoring system

Expand current system to include pre-award tracking and integrate with current grants database. Postaward Hunt

1 Expand UNI's cost-share information and education efforts Postaward Hunt

1,2,3 Enhance and provide prevention-based post-award grant administration education

Update website by populating with internal and external links to topic-based education sites, videos, and handouts (eg. FAQ's)

Postaward Hunt

1,2,3

Create a grant management "portfolio": grants administration calendar, milestones dates, example forms, quick reference terms, hints for what RSP looks for during approval.

Postaward Hunt

1,2,3 Conduct new project orientation, targeting new PI's and departmental support staff. Postaward Hunt

1,2,3 Dept. Secretary and PI roundtables for grant management, monthly reconciliation, grant closeout Postaward Hunt

2,4 Increase submissions to strategic funding opportunities

Develop set of strategic opportunities in consultation with Deans, Dept. Heads, Center Directors Preaward Oberle Opportunities identified; promotion and

monitoring is on-going

Promote opportunities to faculty/staff through communications and promotions Preaward Oberle On-going through listserv, individual

emails, one-on-one contacts

NIH submissions: Increase quality of upcoming submissions: Use NIH ad hoc review group. Submit to AREA

Preaward Oberle

Increase education-related funding by 3% Hire education-specific Grant Specialist Preaward Oberle

2

Meet with Dean of College of Education monthly in coordination with UNI Foundation. Work with other education-related researchers on campus

Preaward Oberle

Mtg Nov. 19 (Meetings not as frequent); Commitment to IES Researcher-Practioner Capacity Bldg Opps (Sept. 2014)

Support for new Center for Educational Transformation

Develop list of targeted funding opportunities for center; Design plan for capacity building and increasing grant activity (overlap with COE)

Preaward Oberle

Meet with/ talk with education program officers; seek collaborations with LEA's, SEA, other institutions. Preaward Oberle

Develop/monitor CET work plan implementation until new Director is hired; develop external and internal fellow programs

Preaward and Research Services

Gordon

Increase UNI's foundation submissions by 10%

Continued coordinated activities with UNIF Director of Corporate and Foundation Relations including: a) regular meetings to identify potential UNI projects and potential foundation opportunities; b) joint communications and announcement of opportunities; c) collaboration on preparation of foundation proposals; d) when appropriate joint educational/informational activities

Preaward Oberle

On-going; continued regular bi-monthly meetings; coordination on submissions; project concept form developed and in use

2

Identify strategic foundation opportunities for UNI in coordination with Director of Corporate and Foundation Relations

Preaward Oberle

Education-related opportunities identified, working with COE Dean; Also opportunities for CSBS; To do: opportunities for other colleges, Library

Improve Preaward communication of funding opportunities and resources to grant seeking faculty and staff

Continue monthly distribution to new funding opportunities listserv; 2) Promote and increase users by 50% from current 100+ (6/2/13)

Preaward Oberle As of 10/23/13: 241 subscribers to PreAward listserv = exceeded goal

Utilize new Preaward listserv to further communicate funding opportunities and information Preaward Oberle On-going

Review key Preaward website elements: 1) Budgeting pages; 2) Submission instructions and guidelines; 3) other as determined

Preaward Oberle

10/23/13 - Updates to internal grant opportunities pages; beginning work on Funding Opportunities pages; next = submission information

2

Enhance grant seeking and grant writing skills and knowledge among faculty/staff to encourage grant activity and to improve quality of UNI proposals

Provide internal, RSP-led training opportunities: workshops, webinars, on-line resources Preaward Oberle

Grant Writing Workshop scheduled for March 7, 2014; other training opporunties being planned

Intensive Grant Writing Experience - Summer 2014 - use application process Preaward Oberle

Under development in conjunction with Grant Writing Workshop; for March-May 2014

Offer a Grant Writing Workshop by an External Consultant as the kickoff to our Intensive Grant Writing Experience, but for all interested, including other institutions, not just the successful applicants for the Intensive Grant Writing Experience

Preaward Oberle Day-long grant writing workshop scheduled for Friday, March 7; set up underway

2,4

Promote opportunities to serve as grant reviewers, both for UNI and for external sponsors, in particular for junior faculty and those seeking to build grant skills; Continue building RSP reviewer database through web form and periodic calls for reviewer information

Preaward Oberle

Facilitate proposal development and grant/contract submission process

Revise and/or develop key Pre-Award tools: a) budget templates; b) budgeting guides; c) proposal preparation checklists (NSF, NIH); d) submission process and timeline

Preaward Oberle As of 10/30/13 - all revisions of all tools listed (budget, checklists, submission) are underway

Revise and implement new PRAF Preaward Oberle As of 10/30/13 - waiting file set up of PRAF as PDF for release

Create, enhance and promote incentives for faculty and staff to seek sponsored funding and succeed in scholarship

If possible, coordinate internal grant opportunities, assist with management, encourage early deadlines/start dates; add to RSP website; Develop and implement 2013-14 ESPCoR Seed funding; seek support from Provost/Pres. for regular annual seed funding competition.

Preaward and Research Services

Oberle/Research Fellow Underway

Facilitate successful submissions for seed grant awardees

1) Continued monitoring of seed grantees submission activities; 2) Provide support as needed in identifying appropriate opportunities, proposal preparation, submission and resubmission; 3) Facilitate other training or resources if needed

Preaward Oberle

4 Metrics for scholarship activities Develop metrics for capacity building grants to report on scholarship outcomes and measure impact

Preaward and Research Services

Oberle/Research Fellow Underway

2 Enhance interdisciplinary research collaborations 2013 Campus Connexus

Preaward and Research Services

Bridges Connexus event and all follow up activities completed.

4 Enhance/plan/provide research integrity education

Research Integrity training for students, w/faculty involvement

Research Services Gordon Sept. 25, Oct. 7, Oct. 24, and REU in

summer

Assist in Ethics in Organizations symposium Research Services Gordon Oct. 18

3 Enhance the capacity of our Centers on campus

Center Development and Enhancement (CET info above in Preaward)

Research Services Twait

Current Focus: CTLM, Creative Life Research Center, Ethics, CET, CSBR, CSUE

4 Enhance research integrity policy and processes Work w/Senate to review/update/create misconduct policies Research

Services Gordon

4 Maintain research compliance Successfully administer IRB Research Services Gordon

3 Research Misconduct facilitation Gordon

Review/enhance IACUC system Research Services Gordon

Enhance Research Capacity Facilitate a Provost's Research Capacity Building luncheon discussion with faculty respondents from last year's survey

Research Services

Gordon/Twait/Research Fellow

3,4 Develop and pilot Faculty Research Fellowship(s) Research Services Gordon

Export Controls Transition Export Controls to new counsel upon hire Research Services Gordon Pending new search

4 Increase IP-related knowledge on campus

Revise and seek Faculty Senate approval for Copyright Policy…then offer a Copyright Brown Bag IP Twait

Stimulate IP development Offer Late Stage seed funding competition with Regents Innovation Fund support IP Twait

Kavita to help, and we will integrate w/other seed programs

Appendix B

Jul Aug Sep Oct Nov Dec Jan Feb March Apr May Jun TOTALFull 13 5 8 7 19 6 15 12 9 10 20 11 135 135 Full submissionsPreliminary 1 1 2 1 1 1 7 5 Submissions ending with Preliminary ProposalsLOI 1 2 4 1 8 140 Subtotal - Full and Preliminary Proposals (Counted once)Revision 1 1 1 3UNIF Submission 1 1 1Internal 6 6 DOES NOT include Seed Grants or MRIIndividual 2 2TOTAL 14 6 17 10 21 6 17 12 13 11 22 13 162 141 All PreAward proposal activities

Jul Aug Sep Oct Nov Dec Jan Feb March Apr May Jun TOTALFull 10 8 7 10 19 7 17 6 7 4 10 15 120 120 Full submissionsPreliminary 1 1 2 3 2 6 15 14 Submissions ending with Preliminary ProposalsLOI 3 2 1 9 1 2 1 1 20 134 Subtotal - Full and Preliminary Proposals (Counted once)Revision 1 1 2UNIF Submission 1 2 3 3Internal 3 3 6Individual 2 2TOTAL 13 11 14 11 28 11 20 10 9 6 17 18 168 137 All PreAward proposal activities

Jul Aug Sep Oct Nov Dec Jan Feb March Apr May Jun TOTALFull 4 8 5 5 10 6 12 13 10 5 6 19 103 103 Full submissionsPreliminary 1 2 0 5 3 3 1 3 18 15 Submissions ending with Preliminary ProposalsLOI 2 2 1 3 1 1 1 11 118 Subtotal - Full and Preliminary Proposals (Counted once)Revision 1 1 2 4UNIF Submission 2 1 3 3Internal 0Individual 2 2TOTAL 6 12 7 14 14 6 18 14 12 10 7 21 141 121 All PreAward proposal activities

Jul Aug Sep Oct Nov Dec Jan Feb March Apr May Jun TOTALFull 4 8 7 13 10 10 15 14 81 81 Full submissionsPreliminary 1 1 5 7 6 Submissions ending with Preliminary ProposalsLOI 1 2 1 5 9 87 Subtotal - Full and Preliminary Proposals (Counted once)Revision 1 1 1 2 2 7 UNIF Submission 1 1 1Internal 1 1 Individual 0 TOTAL 7 10 10 15 12 16 20 16 0 0 0 0 106 175 All PreAward proposal activities

2013-2014

PreAward Submission Activities by Proposal Type

PreAward Submission Activities by Proposal Type

PreAward Submission Activities by Proposal Type

PreAward Submission Activities by Proposal Type

2010-2011

2011-2012

2012-2013

SPONSOR FUNDING OPPORTUNITIES DEADLINE(S) STATUS STEM (For NSF- Includes Social, Behavorial and Economic Sciences) National Science

Foundation (NSF) Research as Undergraduate Institutions (RUI) - Applied to most NSF program areas

NA - Deadlines are by program areas

6 submitted (2 full, 4 preliminary); Pending

National Science Foundation (NSF)

Major Research Instrumentation (MRI) (2 acquistion requests/institution)

Internal Competition Deadline: Nov. 4, 2013; Full Application Deadline: Jan. 23, 2014

1 Funded from FY12-13; Eligible to submit 1 MRI proposal; 0 submitted

National Science Foundation (NSF)

Science, Technology, Engineering, and Mathematics Talent Expansion Program (STEP)

Dec. 3, 2013 - PROGRAM CANCELED

1 planned resubmission; may submit to another NSF program

National Science Foundation (NSF)

Scholarships in Science, Technology, Engineering, and Mathematics (S-STEM)

Aug. 12, 2014 UNI current award will expired in 2013; Renewal planned

Iowa Energy Center (IEC) (Iowa State)

Opportunity Grant Program No deadlines

U.S. Department of Agriculture

Solid Waste Management Jan. 30, 2014 1 submitted; Pending

Iowa Space Grant Consortium NASA EPSCoR opportunities

Various Deadlines vary 1 submitted to Curric Dev; funded

STEM EDUCATION National Science

Foundation (NSF) Discovery Research K-12 (DRK-12) Dec. 6, 2013 1 resubmission submitted;

Pending National Science

Foundation (NSF) Innovative Technology Experiences for Students and Teachers (ITEST)

Feb. 11, 2014; Nov. 6, 2014 No submissions for Feb.; 1 planned for Nov deadline

National Science Foundation (NSF)

Catalyzing Advances in Undergraduate Science Education (CAUSE) - Replaces Transforming Undergraduate Education in STEM (TUES) program

Pending Announcements from NSP - Replaced by IUSE - see below

--

National Science Foundation (NSF)

NEW OPPORTUNITY: Improving Undergraduate Education in STEM (IUSE)

Feb. 4, 2014 No submissions

Institute of Education Sciences (IES)

Education Research Programs - Math and Science Education See IES deadlines below

IA Board of Regents Title II Part B - Mathematics and Science Partnerships No 2014 competition --

IA Dept of Ed Title II Part B - Mathematics and Science Partnerships Feb. 18, 2014 3 proposals submitted; Pending EDUCATION

Iowa Dept. of Education

Year Long Student Teacher Pilot - State Contract Dec. 1, 2013 Submitted; Awarded

Institute of Education Sciences (IES)

Researcher-Pracitioner Partnerships in Education Research Anticipated Sept. 2014 1 proposal planned

Institute of Education Sciences (IES)

Education Research Programs - Various Sept. 4, 2013; Anticipated June OR Sept 2014

1 proposal submitted (Sept 2013); 1 proposal planned

Institute of Education Sciences (IES)

Special Education Research Programs - Various Anticipated June 2014 OR Sept. 2014

1 proposal planned

U.S. Dept. of ED Investing in Innovation (i3) - Development, Validation or Scale-Up

Anticipated April-May 2014

2013: 2 Pre-proposals submitted; 1 Full Proposal Submitted; Not funded - Planning resubmission in 2014

U.S. Dept. of ED Preparation of Special Education, Early Intervention and Related Services Leadership Personnel

Feb. 24, 2014 1 proposal planned

SOCIAL, BEHAVIORAL & HEALTH SCIENCES National Institutes of

Health (NIH) Academic Research Enhancement Award (AREA) (R15) Anticipated Feb. 2014,

June 2014 2 proposals planned

National Science Foundation (NSF)

Research at Ungraduate Institutions (RUI) - Applied to most NSF program areas

NA - Deadlines are by program areas

See above

HUMANTITIES & FINE ARTS

Institute of Museum and Library Sciences (IMLS)

Museums for America Dec. 2, 2013 Submitted; Pending

National Endowment for the Humanities (NEH)

Summer Stipend (2 nominations/institution) Internal competition Due: Sept. 9; NEH Due: Sept. 26, 2013

No UNI submissions in 2013

National Endowment for the Arts (NEA)

ArtsWorks (1 + proposal/institution) March 2014 1 2012 proposal submitted; Funded

Iowa Arts Council (IAC) Organization - Major Grants Aug. 1, 2013; April 1, 2014 1 proposal submitted; Funded; 1

propsal planned for 2014

Appendix C Agreement Tracking Log:

PI(s) Project Title Sponsor Actions to be TakenDate Award

Received Date

Signed Days until execution

Fully executed

Date of Acct Setup

*Days Needed to Setup Acct Notes

Yates mini grant farm focus ISU 1/15/ rec'd NCE 1/15/2014 1/16/2014 1 x NA #VALUE!Balong IA Core Research Proj IA DE 1/14 to PI for approval w/PRAF 1/14/2014 1/16/2014 2 x 1/17/2014 1Higby Space Grant class NASA 1/6/2014internal grant; forwarded to MMS 1/6/2014 1/13/2014 7 x 1/13/2014 0

Iqbal INRC ISU Purchase order and Agreement and exhbits to MMS/PI 11/25/2013 1/27/2014 62 11/25/2013 -62

Waiting to hear from ISU Purchasing the agreement they sent is not appropriate for this grant12/19/13 received e-mail about them drawing up a new agreement. 1/13/14 received e-mail from Al Brooks he is still working on the contract.New contract received 1/23

Tamplin Turtle Habitat DNRto PI to approve; 12/19 PI working on changes; 12/20 printed emails and gv chnges to MMS 12/4/2013 1/28/2014 54 x 2/5/2014 7 Waiting for revised contract 1/6/14

Nickey Compressed air IEDA12/24/2013; cannot find file, contract printed in LM office; 1/6/2014 to MMS; 1/7 rec'd provisional to MMS 12/24/2013 1/28/2014 34 x 1/16/2014 -12

Kauten Transportation MS4 IA DOT1/7/2014 emailed PI; contract is OK and PRAF is on its way 1/2/2014 1/29/2014 27 1/30/2014 1

1-29-14: Tolif received phone call from DOT, they need partially executed contract today if Rebecca is going to get paid for a meeting today. Tolif reviewed, signed & transmitted

Lutz BRFSS 2014 IDPH 1/15 to PI for approval 1/14/2014 1/31/2014 17 x 12/16/2013 -44

Salterberg Protect and live DNR 1/24/2014 to MMS; PI has approved 1/24/2014 2/7/2014 13 x 2/21/2014 14must be fully executed prior to account set up; Susan emailed fully executed, afternoon of 02/20/14

Salterberg Reclaim Your Holidays DNR 1/31 MMS received from Susan 1/31/2014 2/7/2014 7 x 2/21/2014 14must be fully executed prior to account set up; Susan emailed fully executed, afternoon of 02/20/14

Losch Teen Driving Eval IDOT 2/5 Need info from PI, not pending yet 2/5/2014 2/12/2014 7 x 2/18/2014 6 must be fully executed prior to account set up

Cryer EXCEL year long pilot IA DE1/30 to PI for approval; emailed, gv file and provisional to MMS; 1/31 PI approved 1/29/2014 2/12/2014 13 x 2/13/2014 1

2/10 Jeff berger sent e-mail to Sara Gillen at DE to revise contract to show pre-payment

Petrov ICASS NSF 2/7/2014 to PI and to MMS 2/7/2014 2/7/2014 0 x 2/10/2014 3 2/10/14 to Nancy for accountWobeter local food ISU 2/5 to PI for approval 2/5/2014 2/14/2014 9 1/2/2014 -42

Beenken SBDC SBA Funding ISU Review and sign. Sent to MMS 2/12/14 2/12/2014 2/20/2014 8 9/24/2014 214

Note FFATA report needs to accompany award doc. Digital file saved in Working File. Fund # 6011. Email with completion and transmission instructions forwarded to MMS.

Lutz Gambling IDPH Amendment - to PI for approval 2/25/2014 2/25/2014 0 xNA-

Amendment #VALUE!

Klein Star4D leidos to MMS for review per TH 11/15/2013 2/25/2014 100 x 11/26/2013 -89

Sent new subawards admin at Leidos short list of requested revisions on 12-20-13. Leidos replied with approval on proposed changes stated they would make updates and send to UNI. Contract rec'd back 2-25-14.

Olsen NPPS Online Navy to MMS for review 11/18/2013 2/26/2014 98 x 12/13/2013 -73

Hesselink Translation

University of Waterloo PI OK'd 3/7/2014 3/17/2014 10 x

NA Amendment #VALUE!

Yates, Carole Rural Energy Education

Center for Rural Affairs

Sent to Lori for transmittal, UNI drafted the subaward on sponsor's behalf 3/20/2014 3/20/2014 0 x 3/21/2014 1

Indirect Cost Recovery Monitoring:

MONTHLY INCREMENTAL RECEIPTSMONTH FY 2014 FY 2013 FY 2012 FY 2011 FY 2014 FY 2013 FY 2012 FY 2011

July $109,993 $108,215 $131,602 $153,858 8.4% 7.1% 6.1% 6.8%August 145,019 173,208 198,256 154,770 19.4% 18.4% 15.2% 13.7%September 105,483 107,442 142,608 213,486 27.4% 25.4% 21.7% 23.1%October 81,624 126,753 301,870 176,076 33.6% 33.6% 35.6% 30.9%November 89,732 138,526 135,391 136,042 40.4% 42.7% 41.9% 37.0%December 89,770 96,369 116,800 150,641 47.2% 48.9% 47.2% 43.7%January 130,889 159,088 140,803 191,228 57.2% 59.3% 53.7% 52.1%February 87,933 65,517 131,911 112,931 63.8% 63.6% 59.8% 57.1%March 81,305 201,233 201,098 68.9% 69.0% 66.0%April 70,072 183,413 175,087 73.5% 77.5% 73.8%May 166,793 202,320 272,378 84.4% 86.8% 85.9%June 239,950 286,878 318,617 100.0% 100.0% 100.0%Total $840,442 $1,533,239 $2,173,084 $2,256,214

Projected Receipts (by Extrapolation)--Range-----> 1,321,478$ 1,405,708$ 1,471,039$

CUMULATIVE COLLECTIONS BY MONTH

MONTH FY 2014 FY 2013 FY 2012 FY 2011

July $109,993 $108,215 $131,602 $153,858August 255,012 281,423 329,857 308,628September 360,495 388,866 472,465 522,115October 442,119 515,619 774,336 698,190November 531,851 654,145 909,727 834,232December 621,620 750,515 1,026,527 984,873January 752,509 909,603 1,167,330 1,176,102February 840,442 975,120 1,299,240 1,289,033March 1,056,425 1,500,473 1,490,132April 1,126,496 1,683,886 1,665,218May 1,293,289 1,886,206 1,937,597June 1,533,239 2,173,084 2,256,214

Note: Additional revenue needed to meet Budget of $1,316,649 --> $476,207

TABLE ATOTAL FACILITIES & ADMINISTRATIVE COST RECOVERY RECEIPTS

UNIVERSITY OF NORTHERN IOWA MONTHLY REPORT - AS OF February 28, 2014

Board of Regents Reporting for Awards:

UNIVERSITY OF NORTHERN IOWA

Summary of Gifts, Grants, and ContractsAwarded During the Month Ending

SOURCE

Current Total FiscalMonth Year to Date

FederalDept. of Agriculture 0 0Dept. of Commerce 0 0Dept. of Defense 842,721 4,822,316Dept. of Education 13,312,478 16,194,190Dept. of Energy 0 360,632Dept. of Health & Human Services 0 0Dept. of Interior 0 5,174Dept. of Justice 0 0Dept. of Transportation 0 0Environmental Protection Agency 0 0NASA 0 1,450,000Natl. Science Foundation 1,199,624 1,771,366Other 0 7,500

Total Federal 15,354,823 24,611,178

Non-FederalBusiness and Corporations (1,386,550) 1,153,490Foundations and Associations (2,717,385) 1,655,543Individuals (2,011,319) 447,861State & Local Government/Universities 3,725,131 12,322,677Other 991,201 991,201

Total Non-Federal (1,398,922) 16,570,772

Grand Total 13,955,901 41,181,950

PURPOSE

Current Month Total FiscalFederal Non-Fed. Total Year to Date

Academic Support/Misc. 0 (4,617,865) (4,617,865) 6,352,089Equipment 0 0 0 0Fellowships & Scholarships 0 15,734 15,734 15,734Plant Operation & Maintenance 0 8,625 8,625 223,625Public Service 842,721 3,041,466 3,884,187 16,572,118Research 1,199,624 64,056 1,263,680 3,718,329Student Services 0 0 0 0Student Financial Aid 13,312,478 89,062 13,401,540 14,300,055

Grand Total 15,354,823 (1,398,922) 13,955,901 41,181,950

June 30, 2013

Appendix D

SUMMARY STATS - 2010 Seed Grants Total Awarded in Seed Funding: $151,020 Seed Grant Awardees by employment type: Senior faculty 8 Junior faculty 6 Staff 2 Resulting Proposal Submission and Awards Total Number of Proposals Submitted: 29 Total Number of Proposals Funded: 4 Pending Proposals: 1 Funding Success Rate: 14% Total Grant Funding Requested: $7,918,612 Total Amount of Grant Funding Awarded: $823,425 Increase on Seed Funding Investment: $672,405 Number of Proposals by Sponor Type: Federal 13 State/Local Govt 6 Private 9 Percent of Seed Grant Awardees Submitting External Grant Proposals:

88%

Average Number of Proposals/awardee (14)*: 2.00 * 2 awardees (Eden & Pease) removed from total

Campus Connexus 2013 Evaluations 1. How long have you been employed at UNI? Response

Percent Response

Count

Less than one year 24% 12 Between one and three years 8% 4 Between three and five years 6% 3 Between five and ten years 10% 5 More than ten years 52% 26 answered question 50 skipped question 0 2. Which of the following best describes your current position at UNI? Response

Percent Response

Count

Tenured faculty 47.9% 23 Tenure track faculty 25% 12 Other faculty 6.3% 3 Professional and Scientific staff 20.8% 10 Other (please specify) 2 answered question 48 skipped question 2 Show Responses: Academic administrator, Tenured Faculty and Academic Administrator 3. Please rate the following aspects of the Connexus event: Poor

Below Average

Average Good Excellent Average Count

Time of year for event 2.0% (1)

0.0% (0)

2.0% (1)

52.0% (26)

44.0% (22)

4.36 50

Day of the week for the event 2.0% (1)

0.0% (0)

6.0% (3)

58.0% (29)

34.0% (17)

4.22 50

Time of day for the event 2.0% (1)

0.0% (0)

2.0% (1)

44.0% (22)

52.0% (26)

4.44 50

Location and room layout 0.0% (0)

2.0% (1)

4.0% (2)

38.0% (19)

56.0% (28)

4.48 50

Food and beverages 0.0% (0)

0.0% (0)

0.0% (0)

28.0% (14)

72.0% (36)

4.72 50

Number of conversations 0.0%

(0) 0.0% (0)

10.2% (5)

38.8% (19)

51.0% (25)

4.41 49

Length of conversations 2.0% (1)

4.1% (2)

10.2% (5)

38.8% (19)

44.9% (22)

4.20 49

Length of breaks 4.2% (2)

6.3% (3)

16.7% (8)

43.8% (21)

29.2% (14)

3.88 48

answered question 5 skipped question 0 Do you have any suggestions? Responses 23 I think it would be nice, and perhaps less work for you, to let people pick their connections. I'd prefer longer conversations and less break time. I didn't participate in the scheduled conversations so I'm not sure my feedback is useful. I had many informal conversations that were very productive. Love connexus! I'd like to meet new folks. I knew everyone I met with so it didn't really help me connect with new ideas. Maybe this is just a statement that the program is better for those who are not as connected? I like there are breaks (so stay on schedule), but could probably be reduced to 5 minute breaks. Event was well thought out and executed It is very hard to hear people in the Commons Ballroom. I don't know if there's a better location, but my throat was sore after talking with people in that room! This was truly excellent. The breaks seemed a bit long The breaks could be shorter. It may be valuable to be have a preview of your meetings. I was paired with someone whom I was already working. (Perhaps you could just ask for that information as part of the registration). smaller breaks, keep up the energy, perhaps 2 visits back to back and then a little more break and then 2 more

Length of conversations is too short and lensth of breaks could be shorter. Acoustics were poor, you need a quieter area. Also, less break time, more conversations, please. wednesdays are often department or committee meetings. I would attend this type of event on a Friday. I would suggest sending the bios out sooner and allowing people to put preferences of who they might be interested in speaking to. I suggest an extended time of conversation because I had an excellent conversation that was genuinely disrupted by the time frame. None at this time. The only problem with the location of the reception portion of the event was that the room is not very good acoustically... so it was sometimes hard to hear when announcements were made. Otherwise, great event! The question is the pace; it always feels a bit frenzied. I understand the intent of meeting more people, but it's hurried. Too many breaks I thought it was great1 I would keep the breaks the same length. 4. Please respond to the following statements: Strongly

Disagree Disagree Agree Strongly

Agree Average Count

I was able to meet a variety of UNI faculty and staff who have interests similar to mine.

2.0% (1)

8.2% (4)

69.4% (34)

20.4% (10)

3.08 49

I was able to meet UNI faculty and staff I would not have an opportunity to meet otherwise.

0.0% (0)

8.0% (4)

46.0% (23)

46.0% (23)

3.38 50

I was able to meet UNI faculty and staff with skills, expertise and resources that are helpful to me.

2.0% (1)

8.2% (4)

67.3% (33)

22.4% (11)

3.10 49

I was able to make connections to expand my professional network at the University.

0.0% (0)

6.1% (3)

63.3% (31)

30.6% (15)

3.24 49

answered question 50 skipped question 0 5. How likely are you to follow up with any of the contacts made at the Connexus event? Response Percent Response

Count

Not at all likely 6.0% 3 Somewhat likely 22.0% 11 Likely 44.0% 22 Highly likely 28.0% 14 answered question 50 skipped question 0 6. Do you have suggestions for how RSP can facilitate post-Connexus follow-up? Responses 11 I think that if people want to follow up, they'll probably do it on their own. You could ask people to tell you when they do, if you want to keep track of it. the current incentive sounds like a great one! I can't think of anything more effective than letting faculty arrange their own research relationship casually No, I already followed up with the people I met. If we could get the matched person's bio ahead (one day?) of the session will have more time to think about the meeting. Then, the 'blind-speed meeting" will become "speed meeting." 1-2 hour retreat with someone you met at the connexus or who participated would work for me. I am not sure whether the formal follow-up is necessary, as a genuinely strong connection will necessitate follow up. I have already followed up on the strong connections. Waiting for a formal event would be tremendously counter productive. I appreciated most the considerable thought that was put into the matching. If the matches are strong, then follow up will take care of itself Just provide the lunch and allow us to make the connections by our networking skills. I've already followed up with a couple of the people I met, by sending an email about a discussion we were having. Fewer breaks for talk time The current arrangement is working fine. I like the idea of lunch!

7. Please indicate your level of agreement with the following statements: Strongly

Disagree Disagree Agree Strongly

Agree Average Count

I would attend another Connexus event.

0.0% (0)

4.0% (2)

54.0% (27)

42.0% (21)

3.38 50

I would recommend Connexus to my colleagues.

0.0% (0)

4.0% (2)

46.0% (23)

50.0% (25)

3.46 50

I would recommend Connexus to new employees at the University.

0.0% (0)

2.0% (1)

26.0% (13)

76.0% (36)

3.74 50

I would encourage the Offices of The Executive Vice President & Provost and Research and Sponsored Programs to continue to hold this event.

0.0% (0)

2.0% (1)

22.0% (11)

76.0% (38)

3.74 50

Connexus encouraged the building of interdisciplinary relationships.

0.0% (0)

4.0% (2)

42.0% (21)

54.0% (27)

3.50 50

Connexus contributed to a campus environment of scholarly exchange.

0.0% (0)

2.0% (1)

40.0% (20)

58.0% (29)

3.56 50

answered question 50 skipped question 0 8. Please provide any additional comments or suggestions: Responses 14 This is an event that positively promotes scholarship on campus. We need more faculty involved--I think that should be your top priority. Two of my four meetings were no shows, maybe there is a way to follow up day of to make sure people schedule will actually attend. At comprehensive universities like UNI, it's easy for faculty to become so engrossed in teaching and service activities that scholarship falls by the wayside. I think Connexus is enormously important to help foster a community of scholarship. I wonder whether there are opportunities for smaller follow-up events to encourage people to continue to develop cross-university collaborative working relationships. Consider adding "does not apply" or "no opinion" to response options. I was not able to answer some questions so left them blank which might lead you to wrong conclusions. This is an awesome event that I look forward to each year. Thank you Thank you THANK YOU for continuing to support it. This round of Connexus was not as effective in terms of making a connection with faculty across disciplines than my first one was...but was a little better than last year's event. Please keep this event alive! Well done!

An idea for future connexus- how about the office distribute the participant list with bios before the event and have "us" select our dates in order of preference. Then OSP assign our dates based on the wishlists we have submitted. As a first year faculty member, I found the Connexus useful for me in the sense that I got to meet people and get into a more academia-based mindset. I enjoyed it and will definitely plan to attend again! None Add some details to the instruction for sign up that an email will follow once registration is complete. If an email is not received, please contact us..... Great work. A very helpful and delightful event. One suggestion. You asked on the application who we would like to meet at the Connexus, but many of us did not know who was attending. Is there a way to ask that question later after obtaining a list of individuals that are hoping to attend the event. Also is there a way to get the lists of sharing and seeking for the individuals we did not get a chance to meet? I would be interested to see if any of their seeking sparks something I might be able to help with. Thanks. Thank you!

Appendix E

Technology Transfer Report:

University of Northern Iowa Project List of all FY 2013 Revenue Sources

5906

Revenue Dollars for

FY 2012-2013

Amount Expended as of 12/31/2012

List of all FY 2013 Revenue Sources

5906

Revenue Dollars

For

FY 2013

Amount of FY 2013 Regents

Appropriations Expended as of

6/30/2013

2 Technology Transfer and Business Incubation

FY 2013 Regents Appropriations (RIF)

$300,000 $59,758 FY 2013 Regents Appropriations (RIF)

$300,000 $230,520

FY 2013 Federal Support FY 2013 Federal Support

FY 2013 Other $132,288 FY 2013 Other $302,902

Description of Project

UNI continues to advance intellectual property disclosures, protection and commercialization across campus. Strategies for commercialization include licensing, strategic partnerships and new business development. The Innovation Incubator has created a hub facility, coalescing the existing strength of Intellectual Property disclosures and University research with quality business services to support business incubation and growth. The incubator and support facilities offer a physical link between the Iowa business community, campus innovators and faculty researchers to enhance technology transfer. UNI will be forging a formal agreement with the ISU Research Foundation to assist and guide commercialization activities and starting discussions with the University of Iowa Research Foundation.

Anticipated End Results UNI expects ten disclosures, two patent applications and two license agreements. UNI's incubator will remain full and graduate 4-5 businesses into the regional economy and launch 15 student businesses in the JPEC student Business Incubator. Five late stage faculty research projects will also be assisted. Formal agreements with ISURF and UIRF will be completed.

Results Achieved to Date

During FY 2013, 10 disclosures were received with three moving toward commercialization. Six faculty research grants were awarded for early-stage research with commercial potential. UNI has begun active collaboration with the ISU Research Foundation, receiving due diligence technical assistance on five technologies. The Innovation Incubator is full and five companies have recently graduated into the regional economy with one of the companies a former tenant in the Student Business Incubator. The Innovation Incubator conducted a regional BarCamp event, which attracted more than 100 participants to the incubator and led a joint Cedar Valley/UNI Innovation Day with the announcement of the Dream Big Grow Here winner. Another faculty spin-off was started in the past 6 months and a license agreement has been signed with an Iowa company.

Plans UNI will continue to focus on commercialization initiatives, including license negotiations and business startups. At least ten intellectual property disclosures will be received with two licensing agreements executed under patent or trade-secret provisions and UNI will conduct a faculty research grant competition. In addition, the Student Business Incubator and Innovation Incubator will remain full, generating spin-off companies for the Iowa economy. UNI will also expand its corporate research and development program to assist existing businesses in Iowa.