Research Administration Forum

1. Research Administration Forum October 8, 2013

2. Agenda Government Shutdown Rates for Fiscal Year 2014 Postdoc Benefits Caltech Projection Tool New Cargo Shipment Requirements & Penalties On-line Faculty Export Awareness Training NIH Sub-Accounting Draw Process Update on Cost Transfer and PDC Systems Expenditure Types Principal Investigators on Leave Administrative Costs on Sponsored Awards NSF & Voluntary Cost Sharing Graduate and Undergraduate Students on the NIH Commons Foreign Travel on JPL IAs Indirect Costs on Facilities Use/Technical Services Conflict of Interest Reviews for NIH/NSF Awards Office of Technology Transfer and Corporate Partnerships

3. Government Shutdown Most government research administration and program offices are closed. Work on existing grants and contracts should continue, unless notified otherwise. NSF FastLane and Research.gov systems are down. No proposals. No reports. The NIH Commons is down. No proposals. No reports. Although the Grants.gov system may be up and running, NIH and NSF advise that proposals should not be submitted until after the shutdown.

4. Rates for Fiscal Year 2014

5. Rates for Fiscal Year 2014 (cont.) • Implementation of New Rates • For Proposals • For Ongoing Awards in Effect prior to October 1, 2013 • New and Renewal Awards

6. Postdoc Benefits New Policy Postdoctoral Scholars paid by stipend cannot have their health and other benefits charged to a Federal research grant. Postdoctoral Scholars paid a salary from a Federal research grant automatically have their benefits charged to that grant.

7. Caltech Projection Tool Designed by Erin Lindsay and IMSS Staff For Grant Managers and other research administrators Rolled out to the campus in early July 2013 List of bugs to be worked out Erin is here

8. QUESTIONS?

9. US Customs “Importer Security Filing” Requirement for Ocean Cargo • As of July 9, 2013, U.S. Customs and Border Protection will begin full enforcement of the Importer Security Filing (ISF) known as 10+2: • 2 from the carrier prior to loading • stow vessel info and container status • 10 data elements required from importer:

10. What information will you need to provide? • In addition to what we (the importer) normally provide (our address, EIN, HTS and Country of Origin), we will also need to provide the following for int’l ocean freight shipments: • Manufacturer (Supplier) Name and Address • Seller Name & Address • Consolidator Name and Address – Party who stuffed the container • Container Stuffing Location – Name and Address of where container was stuffed.

11. 10+2 Program: Failure to Comply • Shipment will not be loaded until importer provides required information. • If information is not provided to Customs on time, Caltech may be subject to penalties & fines, cargo inspections and other violations. • $5,000.00 for late filing of ISF • $5,000.00 per shipment for inaccurate ISF • Info: http://www.cbp.gov/xp/cgov/trade/cargo_security/carriers/security_filing/

12. NewLocation for the on-line Export Awareness Program! • The Faculty Awareness Program has moved from the “Articulate” on-line platform to the Oracle Learning Management on-line site • How do you log-in? • “access.caltech.edu” • What happens if I have a technical problem or cannot log-in? • Contact Caltech Export or Christine Ryan at IMSS

13. QUESTIONS?

14. NIH Sub-Accounting Draw Process • Pooled (old) draw process • invoices for all NIH grants generated weekly • single (pooled) amount entered in the payment system • cash applied to open NIH invoices • New (sub-accounting) draw process • invoices for all NIH grants generated weekly • cash request entered on an award by award basis • cash applied to open invoices • Implementation at Caltech will require changes in OGM • New Awards need to be set up for grants transitioning to the new payment method

15. Impact of Implementation of New NIH Draw Process • Competing renewals • No impact; new Awards are generally set up for competing renewals • Award number will start with NIHP.XXXXX • Non-competing renewals • New Awards (NIH and salary cap) will need to be set up for FY2015 funding; • Award number will start with NIHP.XXXXX • will be linked to the existing Project • is subjected to same carry forward authorization as the original grant • Final Federal Financial Reports will be submitted for the “old” Award

16. Updates on Cost Transfer and PDC Systems • Cost Transfer Application • No. of cost transfers submitted on-line (count as of 10/4/13) • Non-labor (since May 20, 2012): 1170 • Labor adjustments requiring justification (since Aug 1, 2013): 50 • Refresher’s training in early November • Payroll Distribution Confirmation System • Reports for FY13-B period are expected to be available for on-line certification in February 2014

17. Expenditure Types • Travel e-type (new) “Travel- Non US Carrier” to be used for airfare on non-US carriers on non-federal sponsored awards when: • the sponsor does not have any restrictions on using foreign air carrier • Travel e-type “Travel-Foreign Allocable” to be used for airfare on non-US carriers on federal sponsored awards when: • open skies agreement between US and the country exists • foreign airline is code sharing with an US carrier • Fly America Act exception exists (pre-travel exception form approval required) • Travel e-type “Foreign travel-Unallocable” cannot be charged to sponsored research awards Caltech Travel Policy: Use of Foreign-Flag Air Carriers on Travel http://procurement.caltech.edu/documents/121-travelpolicy.pdf

18. Food charges during meetings OMB A.21 Section J32. Meetings and Conferences. • Costs of meetings and conferences, the primary purpose of which is the dissemination of technical information, are allowable. This includes costs of meals, transportation, rental of facilities, speakers' fees, and other items incidental to such meetings or conferences. Institute’s policies on “meal” expenses: • Meals need to be qualified as a “business expense” per Caltech policies to be charged to any Institutional account • On sponsored research awards unless such expenses are specifically authorized in the contract or grant, or by agency policy, and only to the extend and for the purpose (s) so authorized. In the event of a conflict between agency policy and Institute guidelines, the more restrictive of the two shall apply. • When two or more employees go to lunch to continue their business as an incidental part of the meal or when the meeting could have been scheduled during regular working hours. California Institute of Technology, Business Expense Guidelines http://finance.caltech.edu/documents/25-cit_entertainment_guideline.pdf

19. QUESTIONS?

20. Principal Investigators on Leave • Federal requirement(A-110, Section 25(c)(3)): • Prior approval from sponsor required for any PI/co-PI who will be absent from the project for more than 3 months; • currently, “absent” is interpreted by auditors to mean “on leave and physically off-site” • Request must describe situation, length of absence and PI’s management plan (e.g., name substitute PI, oversee projects remotely, etc.)

21. PIs on Leave (cont.) • Federal requirement (cont): • Even if PI plans to oversee project during absence, that plan must be approved by sponsor. • Many non-federal sponsors impose similar requirements. • FAQ on OSR website: http://researchadministration.caltech.edu/documents/571-principal_investigators_on_leave_faqs_final.pdf

22. Administrative Costs on Sponsored Awards • Federal requirement (A-21, Section F.6.b(2)): • Direct charging of admin/clerical staff salaries, and office supplies, postage, local telephone, etc., can only occur if: • Project requires “significantly greater” admin support than is routine for the Division (e.g., Major Project); • Proposal includes costs and brief explanation of how project’s needs are significantly greater than “routine”; • Sponsor approves those costs. • Cannot exceed amount approved in budget

23. Admin. Costs on Sponsored Awards (cont) Caltech’s F&A agreement includes all of the admin costs we may charge, unless Major Project criteria are met. No recharging of Division-based administrative resources unless recharge rate has been approved by Cost Studies

24. NSF and Voluntary Cost Sharing • NSF Requirement: • No voluntary cost sharing is permitted; inclusion will disqualify proposal. • Waiving of F&A is considered voluntary cost sharing by NSF and is unallowable. http://www.nsf.gov/pubs/policydocs/csfaqs_jan13.pdf

25. NIH – Commons IDs for Graduate and Undergraduate Roles • NIH Requirement • Beginning 10/18/2013 those with graduate and undergraduate roles in proposals and RPPRs must have an NIH Commons ID. • The Commons will generate warnings initially, but will permit submission; beginning October 2014 proposals and RPPR will error-out and will not be accepted • OSR can authorize NIH Commons Account Administrator role for specific individuals

26. Foreign Travel on JPL IAs • JPL requirement: • All foreign travel under JPL IAs requires JPL prior approval. • If sufficient travel information was included in proposal, then issuance of IA will approve travel • Otherwise, JPL travel form must be submitted to Pat Spray • Revised form now required and available on OSR website.

27. F&A on Facilities Use and Technical Service Agreements • The on-campus F&A rate applies to new FUAs and TSAs initiated January 2013 or later. • A tiered F&A implementation will apply to agreements for continuing users/customers initiated: • 1/1/13 to 9/30/13 = 20% • 10/1/13 to 9/30/14 = 40% • 10/1/14 to 9/30/15 = 60%, or full rate, if lower • 10/1/15 and thereafter = full F&A rate

28. F&A on FUAs and TSAs (cont.) The F&A rate in effect at the beginning of an agreement will carry through until renewal of the agreement. If the tiered option applies, then multi-year agreements will need to incorporate multiple tiers http://finance.caltech.edu/documents/167-fusets_practice_jan13update.pdf

29. Final Conflict Of Interest Review for NSF/NIH • NSF/NIH requirement: • Funds may not be expended for new/renewal awards until COI requirements have been met (this includes at-risk setups). • COI review is performed by Office of Research Compliance (ORC) and Division Chair. • Review may determine need for management plan, which requires input of PI. • OSR will work with ORC to perform “just-in -time” reviews in order to help mitigate delays.

30. QUESTIONS?

31. Research Administration October 7, 2013 Office of Technology Transfer & Corporate Partnerships Fred Farina Chief Innovation Officer Dr. Karina Edmonds Executive Director for Corporate Partnerships

32. Provost’s Office

33. University-Industry Interactions OTT Biz Dev Univ. Relations Corp. Rel. Contracts OSR Legal Corporation University

34. One-Stop-Shop for Industry Biz Dev OTT & Corporate Partnerships Univ. Relations Other Caltech Offices Contracts Legal Caltech Corporation

35. Essential Internal Partners • Faculty • DIR • OSR (Office of Sponsored Research) • OGC (Office of the General Counsel) • CDC (Career Development Center)

36. Office of Corporate PartnershipsDr. Karina Edmonds, Executive Director • Caltech Alumna (PhD’98, Aero), BS Mechanical Eng. (URI) • Serves on the Caltech Alumni Board • Registered US Patent Agent (patent holder herself!) Experience Highlights: 1997-2001: Northrop Grumman (TRW) 2001-2010: Caltech/JPL, Director of JPL Tech Transfer 2010-2013: DOE, Tech Transfer Coordinator (direct report to Energy Secretary Chu)

38. Top Level Goals • Amplify interactions with industry to enhance mission of Institute • Increase research funding for faculty • Facilitate commercialization of research

39. Initial Strategy • Fully engage faculty while respecting their time • Focus on high quality partnerships (vs. quantity) • Identify top 20 companies Caltech should be working with base on research synergies • Leverage Trustee and alumni networks • Closely collaborate and coordinate with DIR (e.g., Samsung)

40. Industry Support @Caltech

41. Current Corporate Partners

42. Thank you for attending! Slides from today’s presentation will be posted on our website: http://researchadministration.caltech.edu