JANUARY 11, 2011

SESSION 2 OF AAPLS – TUFTS RESEARCH POLICIES

APPLICANTS & ADMINISTRATORS PREAWARD LUNCHEON SERIES

Grant Submission at Tufts: Offices and Administrative

Policies

Goals of this Session

To provide a brief overview of the research policies at Tufts

http://researchadmin.tufts.edu/?pid=64&c=17

Research Policies

Intellectual PropertyPatents and CopyrightsTufts Name Use

Role and Eligibility of PIsResponsible Conduct of Research

(RCR) TrainingExport ControlsConflict of InterestCost Sharing

Intellectual Property

Tufts Office for Technology Licensing and Industry Collaboration is responsible for the policy – http://techtransfer.tufts.edu/?pid=13

Distribution of Net Royalty Income: With respect to intellectual property owned by the University, Net Royalty Income shall be distributed (usually annually) as follows:

40% Creator(s) (personal) 20% Creator's Department or equivalent unit (for support

of research and other creative activity) 20% Creator's School (Dean's fund for support of research

and other creative activity) 20% University (President/Provost/Vice Provost's funds for

discretionary support of research and other creative activity)

IP

The University will assert ownership rights to patentable intellectual property developed under any of the following circumstances: Development was funded by an externally sponsored research

program or by any agreement which allocates rights to the University.

Development required use of University resources (e.g. facilities, equipment, funding) or more than minimal use of University personnel. (The University has rights to patentable material derived from research carried out with any use of Tufts' resources. However, patentable material developed independently by the creator outside of normal duties associated with the creator's position and with no use of University resources is vested with the creator and/or with the organization whose resources were used, such as a hospital.)

The creator was assigned, directed, or specifically funded by the University to develop the material.

Material was developed by administrators or staff in the course of employment duties and constitutes work for hire under US law.

IP

The University will assert ownership rights to copyrightable intellectual property developed under any of the following circumstances: Development was funded as part of an externally sponsored

research program under an agreement which allocates rights to the University.

A faculty member was assigned, directed, or specifically funded by the University to develop the material, or the University has negotiated an understanding or formal contract with the creator.

Material was developed by administrators or other non-faculty employees in the course of employment duties and constitutes work for hire under US law.

The material was developed with extraordinary or substantially more use of University resources than would normally be provided for the creator's employment duties. This might occur as disproportionate use of staff time, networks, equipment, or direct funding.

Use of Tufts Name, Mark or Insignia

The Tufts University name, seal, and logo may not be used: in conjunction with any private or commercial

enterprise. in tandem with the advertisement of any product. by any individual or group promoting itself. Any questions regarding the use of the University

name, seal, or logo should be referred to the Office of the University Counsel. http://legal.tufts.edu/?pid=12

Role and Eligibility of PIs

Eligibility to serve as a PI is a privilege limited to those with appropriate qualifications and appointment at the University.

It is Tufts University policy that only those holding appropriate appointments as on-going, full-time employees serve as PIs since there must be direct accountability to the University, in addition to the external sponsor and any governmental regulators.

http://viceprovost.tufts.edu/?pid=9

Roles and Eligibility of PIs

Individual full-time University employees with the following appointment titles are eligible to serve as a PI: Professor, Research Professor, or Clinical Professor Associate Professor, Research Associate Professor, or

Clinical Associate Professor Assistant Professor, Research Assistant Professor, or

Clinical Assistant Professor Senior Scientist, Scientist I, II, or III (HNRC only) Librarian, Associate Librarian, or Assistant Librarian

Individuals appointed with titles such as Research Associate, Postdoctoral Fellow or Graduate student are not eligible to serve as a PI unless the sponsor award is specifically directed at such individuals (such as a fellowship application) and appropriate faculty supervision is assured, by a member of the Tufts Faculty who is eligible to serve as a PI.

Roles and Eligibility of PIs

For the purpose of clarity, the following categories describe groups of individuals most likely to seek exceptional approval:

1. Individual full-time University employees appointed as an Instructor or Lecturer.

2. Individual University employees appointed as professional staff to direct research projects in specialized fields that fall outside the typical academic departmental structure, such as those employed in a Center or Institute (e.g. Feinstein International Center, Global Development and Environment Institute, etc.).

3. Individual University employees with administrative position titles on occasion may serve as a PI, limited to projects related to an individual’s official duties and which enhance the mission of the University (e.g. a Student Aid Grant administrated by a senior staff member, a Public Safety Grant administered by the Director of Public and Environmental Safety, or a Massachusetts Campus Compact Grant administered by a Program Director). Exceptional approvals for administrators as PIs will be made by the Vice Provost as appropriate.

4. Individuals appointed as Professor of the Practice, and those with modifiers of Emeritus, Adjunct or Visiting.

Roles and Eligibility of PIs

• To serve as a PI, but only on an exceptional basis, Approval may be granted by:o Paul Murphy, Director, Office of Research Administrationo Zoya Hamilton, Sr. Associate Director, Boston oro Christine Woodroffe, Sr. Associate Director, Medford

• Approval may be granted upon the written recommendation of the appropriate Academic Departmental Chair and with the signed concurrence from the appropriate Dean. The recommendation is to be in the form of a letter of justification addressed to the Vice Provost. If approval is granted, a funding proposal may be submitted.

Responsible Conduct of Research (RCR) Training

NSF and NIH, require certain members of the research team to receive training in the Responsible Conduct of Research.

NIH requirements are more complicated and require a plan in the proposal, and updates in progress reports. http://viceprovost.tufts.edu/?pid=32

NSF requires the institutional official to assure training is available. http://viceprovost.tufts.edu/?pid=33&c=53

Responsible Conduct of Research (RCR) NIH

NIH requires that all trainees, fellows, participants, and scholars receiving support through any NIH training, career development award (individual or institutional), research education grant, and dissertation research grant must receive instruction in responsible conduct of research.

See Notice - NOT-OD-10-019. http://grants.nih.gov/grants/guide/notice-files/NOT-OD-10-019.html Applies to the following series, D, F, K, R25, R36, and Ts. Format requires face to face courses along with online courses. Course must be at least 8 hours with a semester long series being best. Institutional applications (both new and renewals) must include a plan

for instruction in RCR and describe changes in formal instruction over the past project period and plans for the future that address any weaknesses in the current instruction in responsible conduct of research.

A proposal will be considered incomplete and returned to the PI if it lacks a RCR plan of instruction.

Responsible Conduct of Research (RCR) OVP

The requirements for many NIH research participants are met through participation in RCR courses offered by individual Tufts graduate programs, provided that the course covers all of the topics required by the funding agency.

For individuals who are required to receive this training and are not eligible to participate in a program in their department or program, the Office of the Vice Provost offers the following resources:

Online Training – Collaborative Institutional Training Initiative (CITI) This online training program meets the NSF requirements but does not meet the NIH requirement. Instructions can be found at http://viceprovost.tufts.edu/?pid=31

Course – includes on-line training combined with group discussion.Meets the requirements of both NSF and NIH for RCR training. Normally offered once per year on the Boston Campus and, depending on demand, once per year on the Medford/Somerville Campus

Export Controls

There are a number of United States export laws that directly affect University research, specifically they include: The Export Administration Regulations (EAR)

controlled by the Department of Commerce, The International Traffic in Arms Regulations

(ITAR) managed by the State Department The sanction regulations governing the transfer of

assets governed by the U.S. Department of Treasury through its Office of Foreign Assets Control (OFAC).

Export Controls

Exclusions - A license is not required to A license is not required to disseminate information if one of the three disseminate information if one of the three exclusions applies:exclusions applies:

• Fundamental Research (ITAR, EAR)Fundamental Research (ITAR, EAR)• Employment (ITAR only)Employment (ITAR only)• Education (ITAR, EAR)Education (ITAR, EAR)

Export Controls

“Fundamental ResearchFundamental Research is basic and applied is basic and applied research in science and engineering where research in science and engineering where the the resulting information is ordinarily published and resulting information is ordinarily published and shared broadly within the scientific communityshared broadly within the scientific community..” ” (EAR Part 734.8) This is distinguished from (EAR Part 734.8) This is distinguished from proprietary research and from industrial proprietary research and from industrial development, design, production, and product development, design, production, and product utilization, the results of which ordinarily are utilization, the results of which ordinarily are restricted for proprietary or national security restricted for proprietary or national security reasons.”reasons.”

The Fundamental Research Exclusion The Fundamental Research Exclusion applies only applies only to the dissemination of research data and to the dissemination of research data and informationinformation, , not to the transmission of material not to the transmission of material goodsgoods..

Export Controls

The Fundamental Research Exclusion is destroyed if:

The university accepts any contract clause that:The university accepts any contract clause that:

• forbids the participation of foreign personsforbids the participation of foreign persons• gives the sponsor a right to approve publications gives the sponsor a right to approve publications

resulting from the research; orresulting from the research; or• restricts participation in research and/or access to restricts participation in research and/or access to

and disclosure of research results.and disclosure of research results.• ““side deals” between a PI and Sponsor destroy the side deals” between a PI and Sponsor destroy the

fundamental research exclusion and may also violate fundamental research exclusion and may also violate university policies.university policies.

Export Controls

Employment Exclusion: No license is required to share information subject to No license is required to share information subject to

export control laws with a foreign person who:export control laws with a foreign person who: is a full-time, bona-fide employee of the university;is a full-time, bona-fide employee of the university; is not a national of certain countries of concern;is not a national of certain countries of concern; has a permanent address in the U.S. while employed has a permanent address in the U.S. while employed

at the University; andat the University; and has been informed in writing not to transfer the has been informed in writing not to transfer the

information to other foreign nationals.information to other foreign nationals.

NOTE: This exclusion does not apply to students, NOTE: This exclusion does not apply to students, graduate or undergraduate.graduate or undergraduate.

Export Controls

Education Exclusion: No license is required to transfer information to No license is required to transfer information to

students, including students who are foreign students, including students who are foreign nationals, concerning general scientific, nationals, concerning general scientific, mathematical or engineering principles commonly mathematical or engineering principles commonly taught in universities.taught in universities.

Foreign students using controlled equipment to Foreign students using controlled equipment to conduct research should be registered for a conduct research should be registered for a research credit class.research credit class.

Export Controls

For more information on Export Controls, visit:

http://researchadmin.tufts.edu/?pid=45http://researchadmin.tufts.edu/?pid=45

Conflict of Interest in Research

Policy located at http://viceprovost.tufts.edu/?pid=3 Financial Interest Disclosure Forms (FIDF) are submitted

with every proposal.

If nothing to disclose, only PI and investigators needs to sign

An “Investigator” is defined as the Principal Investigator and any other person who is responsible for the design, conduct, or reporting of research funded by the NIH, NSF, or other external funding agency, or proposed for such funding, including subgrantees, contractors, or collaborators. The definition of Investigator’s financial interests includes the interests of the Investigator’s spouse and dependent children.

If a disclosure is made, Chair needs to sign and determine if a conflict exists.

Conflict of Interest in Research

Disclosures are given to the Chair, Committee on the Conflict of Interest in Research (CCIR) to determine whether the conflict should be reduced, managed or eliminated.

Threshold – if disclosure amount is $10k or under per year, or ownership is less than 5%, then no further actions required.

If over, the Chair CCIR, Department Chair and PI develop a management plan.

Plan is sent to Dean to determine if it is feasible or the conflict needs to be eliminated.

If approved, the plan is sent to the CCIR for final institutional Approval.

Plans are reviewed annually.

Cost Sharing

Cost sharing is the portion of the total project costs of a sponsored agreement that is contributed by the university and /or other non‐federal sources but not reimbursed by the sponsor.

If a commitment of university resources is made in a proposal text/project description or budget justification, it is considered a cost share. Cost share commitments, even if they are not included in the project budget or the Tufts Proposal Summary Form, will be administered in accordance with this policy.

Cost Sharing - Types

Cost sharing, match and in‐kind contributions are terms that refer to project costs that are supported by funding sources other than the primary sponsor.

  Mandatory Cost Sharing is required by the sponsor as a condition of obtaining an

agreement.  Voluntary Committed Cost Sharing is not required by the sponsor but is

committed by the University in the proposal.

Voluntary cost sharing is strongly discouraged because of the following:

1) Unless required as showing institutional commitment, federal Agencies have documented that voluntary cost sharing will not enhance nor promote the grant application (see NSF 11-1 PAPPG 01/2011, where voluntary cost sharing is no longer allowed.)

2) Voluntary cost share increases the workload of the departments and the University resources because tracking the cost share requires setting up additional accounts.

3) The manner in which voluntary cost share is treated adversely affects the University’s indirect cost rate.

Cost Sharing

Voluntary Uncommitted Cost Sharing is not proposed or budgeted for in a sponsored agreement. It generally occurs when faculty members or senior researchers donate additional time above that proposed to the sponsor or agreed to as part of the award. Voluntary uncommitted cost sharing does not need to be tracked for cost accounting purposes or reported to the sponsor.

Match is defined as funding that is pledged to match a portion of the primary sponsor’s funding and may be in the form of cash or a third party in‐kind contribution.

  In‐kind contribution refers to non‐cash contributions generally provided by a third

party or the university that are not recorded in the University’s accounting system but can be assessed a cash value. Schools and Departments are responsible for tracking in‐kind contributions.

Identifying and providing resources for cost sharing of direct costs is the responsibility of the Principal Investigator.

These direct costs for cost sharing cannot be funded from any federal source unless explicitly identified by statute.  

Cost Sharing

If a non‐federal grant is used for cost sharing the grant must not have any terms and conditions which would prohibit those funds from being used as cost sharing 

More cost sharing drives the indirect cost rate down, which is not in the University’s best interest.

The University discourages voluntary committed cost sharing, except in cases where this cost sharing promotes a major University objective and is approved by the pertinent Department Chair and Dean.

Cost sharing is covered under the Compliance umbrella by Federal agencies  Cost sharing must meet federal OMB standards and sponsors’ policies, program

guidelines, and terms of award  Mandatory cost sharing requirements need to be passed down to subcontractors  Sponsors may reduce funding if proportionate share of committed cost sharing is

not met

Cost Sharing

  Changes in cost sharing budget may require sponsor prior

approval (need to check sponsor’s policies or program guidelines)

  changes between approved budget categories/line items change in proportion of sponsor funds versus cost share

  Commitment in proposal (even if just in narrative) is

commitment by institution and required to meet the cost sharing commitment (even if initially, cost sharing was not mandatory and institution volunteered the cost sharing)

  Avoid cost items/amounts that cannot be easily

documented/identified (i.e., supplies, telephone costs, small % effort, etc.)

Cost Sharing

Allowable Cost Sharing Expenditures  Direct Costs Faculty and Staff Effort Equipment Graduate Student Tuition  Other Direct Costs Other allowable direct costs such as minor equipment that is not capitalized (i.e.

purchase price less than $5,000) and supplies  Expenses that May Not Be Proposed for Cost Sharing or Matching on Federal

Projects as determined by federal sponsors and OMB Circulars.  

Administrative Salaries, office supplies and other administrative costs except under exceptional circumstances

Unallowable costs as defined in OMB Circular A‐21 Salary dollars above a legislative or regulatory salary cap University facilities including laboratory space Indirect Costs (Facilities and Administrative Costs) unless allowed by the agency. 

Cost Sharing – NIH Salary Cap

NIH Salary Cap as Institutional Cost Sharing Salary in excess of the NIH salary cap is cost sharing.

For example: The current (1/1/2010 – 12/31/2010) annual salary cap is $199,700 or $16,642 per

month. 12 Month Appointment - A PI, on a 12 month appointment has an annual salary of

$210,000 or $17,500 per month. If the PI’s effort is for 1 month the cost share is $858 (17,500 – 16,642).

9 Month Appointment – The PIs 9 month salary is $190,000 or $21,111 per month. If the PI charges for 1 month then the cost share is $4,469 (21,111 – 16,642)

Please note, associated fringe benefit costs on salary over the cap also constitutes cost sharing.

For NIH policy and examples on how NIH calculates the salary cap, see the link below.

http://grants.nih.gov/grants/guide/notice-files/NOT-OD-10-041.html

Cost Sharing - Tracking

It is the PI / department's responsibility to track the expenses made to complete a cost share agreement. The only exception is when the University agrees to a reduced F&A rate and the unrecovered F&A fulfills the cost sharing requirement

Sponsored Programs Accounting will need to know how much cost share has been accomplished in order to report back to the government. Based on the specific reporting requirements this information may be needed quarterly, semi-annually, annually or once for a final report.

Indentify the Dept ID that will be used to cover the cost share expenses. It is recommended that PI's or department representative review cost sharing arrangements with their SPA Accountant to avoid confusion when it comes time to complete financial reports.

Plan ahead to know how the cost share will be fulfilled and to ensure the terms of the agreement will be met by the end of the grant.

  An item that is reported as part of one grant's cost share award or agreement

may not be reported as part of another cost share agreement.

Discussion