Research Policy and Assurance Updates July 2010

1. Research Policy and Assurance Updates July 2010 Debra Murphy, Director ORIA Candyce Lindsay, Sr. Research Policy Officer Beth Israel, Associate Vice President OKED

2. ORIA Updates and Reminders American Indians Collaborations: • When research involves participation or collaboration with American Indians or Tribes, the specifics must be described fully in the proposal, with a list of the tribe(s) included on the Proposal and Routing Form. • A cultural review must be documented. The University requires consultation with, and authorization from, the President’s Advisor for American Indian Affairs. This review is coordinated through ORIA; approval will be provided once it has been secured. • The RA/PI needs to forward a copy of the proposal (including documentation of tribal approval). In the absence of the complete proposal, send the abstract, budget and routing form to ORIA for processing. Note: because of the participatory nature of working with Native American populations it is expected that the Special Review Approval will be obtained prior to proposal submission. • Proposal submission to the sponsor is permitted in advance of the cultural review provided the special review is initiated with ORIA and is in place before award acceptance.

3. Export Controls • Govern the shipment, transmission or transfer of information or software to foreign persons in the US or abroad or foreign countries may require an export license. There are three principal sets of regulations. • Department of Commerce - Export Administration Regulations (EAR) dual use civilian items and technology • State Department - International Traffic in Arms Regulations (ITAR) – military applications, defense goods and services (whether used for the military or not). • Department of the Treasury - Office of Foreign Assets Control (OFAC) – sanctioned countries regulations

4. Export Controls • If the sponsor terms include foreign national restrictions; publication restrictions including sponsor preapproval; shipment of items to a foreign country; transmission of controlled technical data to a foreign national; or foreign travel apply to this research, the investigator should contact ORIA at 727-0870 in advance of the award for guidance. • If foreign shipments or foreign travel is anticipated please list the countries in the comments section of the Proposal Routing Form. If the research meets the definition provided on the routing form for Fundamental Research and has no publication or foreign national restrictions then mark the proposal routing form to document the situation appropriately.

5. Conflict of Interest – Objectivity in Research Annual submission of the COI questionnaire is required by all researchers. A new form will be released soon that will combine the OKED-ORIA and the OGC reporting requirements. ~Stay tuned for updates and new form release~

6. Conflict of Interest – Arizona State Law Arizona State Law at  A.R.S. § 38-503 (http://www.azleg.state.az.us/ars/38/00503.htm) prohibits contracting with an employee or a company owned by the employee (including spouses because we are a community property state) unless there is a competitive solicitation. What this means is that bid waivers and sole source justifications are not permitted and that the relationship must also be disclosed to the ASU Office of General Counsel. 

7. Responsible Conduct in Research • ASU is committed to the highest quality education for all students and scholars, and instruction in the Responsible Conduct of Research (RCR) is essential to producing the best scientists and researchers for the future. To demonstrate and further this commitment, ASU has implemented an institutional plan for RCR training so that all ASU students and postdoctoral researchers supported by sponsored projects can benefit from RCR training. This requirement applies to all fields of research, not exclusively the physical and natural sciences and engineering. • ASU will meet the requirements for RCR training by requiring that all students and postdoctoral researchers supported by sponsored projects, regardless of sponsor, receive and participate in RCR training opportunities. • ASU’s RCR plans are available at http://researchintegrity.asu.edu/rcr

8. Postdoctoral Mentoring Plans You asked, we delivered: • Background –Effective January 1, 2009, NSF requires that all proposals that include a postdoctoral researcher on the budget include a description of mentoring activities that are planned for that postdoctoral researcher.  This mentoring plan must be included in the "Supplementary Documents" section and will not be counted against the page limit for the Project Description (this is a change that became effective in April 2009.  See ORIA website for mentoring plan resources (http://researchintegrity.asu.edu/rcr/postdoctoral).

9. Policy Updates RSP Manual Revision Project • Goals • Increase accuracy of the policies • Remove redundancy • Coordinate with work instruction activities

10. Policy Updates Cont’d • Parallel Processes Occurring • Comprehensive review of each policy for the above resulted in identifying 98% of policies needing change or revisions • Simultaneously, we have revised some policies to meet the immediate needs of our customers and the evolving university

11. Policy Updates • Certification of Effort RSP 502-03 Changes to this policy have affected the corresponding work instruction WI-EP-80 • Cost Transfer RSP 506-02 Changes to this policy have affected the corresponding work instruction WI-EP 60 & WI-EP-70

12. Policy Updates • Definitions RSP 004 see additions and clarification related to cost share and other items • Ownership of Data and Materials RSP 606

13. Policy Updates • Financial Conflict of Interest changes under discussion and pending are: • Dollar threshold likely to decrease to $5,000 • Training to be required at least every 2 years • COI now likely to include individual’s “institutional responsibilities”, not necessarily just a funded project • Conflicts to be posted on publically accessible web-site • Update annually for 5 years from date of posting • New conflicts to be disclosed within 30 days of acquisition • Non-publicly held companies to be included at zero threshold NONE OF THESE CHANGES ARE FINALIZED!

14. Policy Updates • Tuition Remission Questions • Tuition task force has submitted its recommendations • ASU Administration is studying this and the numbers • Please continue to use the posted tuition remission information on the proposal budget information page on the ORSPA website under the heading ‘Tuition and Fees’.

15. NIH Outreach at ASU • After lots of strategic thinking and networking, ASU has been chosen to be the Ambassador for their spring regional meeting in 2011 • Dates: March 23 – 25, 2011; Registration: Fall 2010 • Potentially combining with Annual NIH Small Business Conference • 3 Session Tracks: Administrator, Investigator, SBIR/STTR, All Interests • Total attendees anticipated: between 700-850 • Approximately 40-50 NIH & HHS Faculty on hand (maybe more)

16. NIH @ ASU, Concluded • ASU Opportunity • Approximately 50-60 local volunteers needed (maybe more) • Pre-seminar orientation on Tuesday, March 22 at hotel • Register on-line for ½ day or full day block of time • Volunteer room set aside for food and breaks • Responsibilities: • Session Rooms: Timer or Greeter (logistics control) • Registration: Assist with badges/bags • Floaters: Available wherever needed • Volunteer for ½ day, get remainder of day at no charge • Volunteer for 1 full day, get 2nd day at no charge • Invitation to Thursday evening Reception with attendees & faculty (no charge)