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Indiana University CATS

Sponsored Research Services Office of the Vice President for Research Steven A. Martin Assistant Vice President for Research. Indiana University CATS. Effort Reporting Organizations SRS, RUGS, C&G, FMS, IRB, IACUC, IBC Human Subjects Bio-safety Animal Research Misconduct

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Indiana University CATS

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  1. Sponsored Research Services Office of the Vice President for Research Steven A. Martin Assistant Vice President for Research Indiana University CATS

  2. Effort Reporting Organizations SRS, RUGS, C&G, FMS, IRB, IACUC, IBC Human Subjects Bio-safety Animal Research Misconduct Agency Guidelines HIPAA Indirect Costs ITAR and Export Controls Confidentiality Agreements Material Transfer Agreements Sponsored ProgramsJust a few things before you get started… • OMB A-21 • OMB A-110 • OMB A-133 • U.S. Code • Code of Federal Regulations • Federal Acquisition Regulations • U.S. Patriot Act • Cost Accounting Standards • Academic Handbook • Intellectual Property Policy • Conflict of Interest Policy • IU Financial Policy • Important Notices

  3. Sponsored Programs • What are they?

  4. Glacial Lake Agassiz Project • Dr. Timothy Fisher • $230K from NSF • Reconstructing deglacial events in N.W. Saskatchewan

  5. 1908 Sinking of S.S. Pomona • Grant from State of California • Study to determine viability of underwater park for divers • Site map, diver safety, environmental impact, historic significance

  6. Benton Murals Project • Grant from NEA • Restore art work in the IU Auditorium and Woodburn • Considered among IU’s greatest treasures Commissioned for the Chicago International Exhibition of 1933, where the 26 panels were originally mounted in a continuous ribbon more than 200 feet in length

  7. In-Home & Community Services Agency • Senior Centers • Adult Day Care • Meals on Wheels • Children’s Special Health Care Services • Transportation

  8. FY 2003 - $383M in Awards

  9. 10 Reasons Why the Good go Bad Problems you can avoid

  10. 10 Reasons Why the Good go Bad • Working w/o Comprehensive Agreement “Why wait for some legalistic document that nobody understands anyway? These folks giving us the money seem nice enough and I’m sure we all agree on how this will work. Don’t look a gift horse in the mouth”

  11. 10 Reasons Why the Good go Bad • Working w/o Comprehensive Agreement “What happens if there is a dispute later on? Will they pay us and what if they don’t? Who owns ‘this’ when we are done? Confidentiality? Publication Rights? Liability? It is better to be safe than sorry.”

  12. 10 Reasons Why the Good go Bad • Completeness of the Work Statement “Oh for badness sake! The people giving you the money just want you to get busy on the work. You know what they say about idle hands. Just throw a few words down for the work statement and be done with it. Get a life!

  13. 10 Reasons Why the Good go Bad • Completeness of the Work Statement “But, what if they really have different expectations for the outcome of this project? It would be a shame to do all of that work and have everyone walk a way disappointed. I think you had better sort this out now by being explicit about the work that will be done.”

  14. 10 Reasons Why the Good go Bad • Verbal Amendments “Oh for crying out loud, there you go again, “Get it in writing”. What hogwash!” “Don’t be petty about this whole thing. So they asked for a slight deviation from the contract. What’s the big deal? Don’t be so paranoid!”

  15. 10 Reasons Why the Good go Bad • Verbal Amendments “Everyone knows that you can’t alter a written agreement unless it is in writing. What if the person who agreed to all of this isn’t around next week? Getting it in an email may not suffice either. I will pray for you to be enlightened or at least check with SRS.”

  16. 10 Reasons Why the Good go Bad • Payment Terms “It’s a big company you are working with here. So what if they don’t pay you 90% of the $ until the end. I’m sure the university will cover it until then. Its not like this company is a Mom and Pop outfit. With a name like Enron, you know they will be around for a while.”

  17. 10 Reasons Why the Good go Bad • Payment Terms “Oh dear me, you really need to think this one through. If they don’t pay, your department might get stuck for it. SRS says that they prefer 20% or less withheld until the end of the project”

  18. 10 Reasons Why the Good go Bad • Fiscal Management of Fixed Price Awards “Here is our chance to make some money!!! No more “but its not in the budget” from those C&G yo-yo’s. Buddy, we can charge anything we want to this account, whether it relates or not. Yippee!”

  19. 10 Reasons Why the Good go Bad • Fiscal Management of Fixed Price Awards “What if you need to know how much this project cost you at some point? I also remember something about a “TIDBIT” or “UBIT”. Well, whatever it was, it wasn’t good. You might also raise questions about the validity of charges to your other projects.”

  20. 10 Reasons Why the Good go Bad • Failure to Route the Proposal “You cannot be slowed down by routing this project. I am sure it can all be fixed after the fact. Anyway, that is only a recommendation to those who have time.”

  21. 10 Reasons Why the Good go Bad • Failure to Route the Proposal “It is the policy of the university. The purpose of routing the project is to ensure that the department, school, and university support the project and to review for any potential problems upfront. You don’t want to make promises we can’t keep. We will all look bad then.”

  22. 10 Reasons Why the Good go Bad • Failure to Route the Proposal • Types of issues reviewed • Reps and Certs • Budget • Human Subjects, Animal Research, Bio-hazards approvals • Space Requirements • Cost Share • Subcontractor letters of support • Limited Competitions

  23. 10 Reasons Why the Good go Bad • Authority to Enter into Agreements “Hey, if they didn’t want you signing agreements, they would not supply you with ink pens. The meek may inherit the Earth but they won’t get an agreement executed and get funded.”

  24. 10 Reasons Why the Good go Bad • Authority to Enter into Agreements “Agreements are between the other party and the Trustees of Indiana University. Only certain individuals may sign agreements on behalf of the Trustees. That includes all grant agreements, contracts, material transfer agreements, and confidentiality agreements.”

  25. 10 Reasons Why the Good go Bad • Supplemental Pay Restrictions “Go ahead and just put it in the budget under “Consultant Pay” and they will never catch it. Besides, you have spoken to the sponsor and they don’t mind.”

  26. 10 Reasons Why the Good go Bad • Supplemental Pay Restrictions “The Academic Handbook states that sponsored program activity should be conducted through release time for faculty. Check with SRS before you put it in the budget.”

  27. 10 Reasons Why the Good go Bad • Give the research office sufficient time to negotiate what might be deal breakers “24 hours should be plenty of time to negotiate any agreement. Besides, you don’t plan to publish anything from this research anyway.”

  28. 10 Reasons Why the Good go Bad • Give the research office sufficient time to negotiate what might be deal breakers “Those folks in SRS are able to successfully work it out if you just give them sufficient time to work through the rough spots. I am sure you know that there are some areas where it cannot just accept anything.”

  29. 10 Reasons Why the Good go Bad • Give the research office sufficient time to negotiate what might be deal breakers • Classified Projects • Publication Approval • IP Ownership (No work for hire projects) • Indemnification of other entities

  30. 10 Reasons Why the Good go Bad • Include Indirect Costs “Look, we all know that “indirect costs” is just another word for profit for administrative fat cats. Besides, what benefit is it to you or your research.”

  31. 10 Reasons Why the Good go Bad • Include Indirect Costs “Those indirect costs go to help support your research by paying for all those things you take for granted like the building, lights, the library, etc. In fact, the folks at SRS say that even at full indirect costs, we still subsidize most projects.”

  32. Current Rates –Important Notice 02-5 http://www.fms.indiana.edu/cg/imp_notice/02-5.asp Waiver Policy Important Notice 89-18 http://www.fms.indiana.edu/cg/imp_notice/89-18.asp Financial Policy III-1 http://www.indiana.edu/~vpcfo/policies/contract/iii-01.html Policy Summary Full IDC should be included on all proposals All exceptions must be approved by Dept School Research Office / AVP Typical Exceptions State – non Fed Agency stated policy to all responding to an RFP Indirect Costs and IU Policy

  33. IU Rate by Components

  34. $51.4M $40.0M $35.4M $16.0M

  35. Words of Wisdom • Not to harp on this but…be an Angel and work with SRS. It can be a heavenly experience • The Devil really is in the details • The road to Hell is paved with good intentions.

  36. Questions?

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