Promoting and Supporting Research Excellence

1. Promoting and Supporting Research Excellence Marti Dunne, Associate Vice Provost, Research Compliance and Administration Richard Louth, Director, Office of Sponsored Programs September 2007

2. Washington Square Sponsored Project Activity NYU is classified by the Carnegie Foundation as a doctoral/research extensive institution and is a member of the Association of American Universities. Context for this talk: In FY05, the Washington Square campus was athaae recipient of $120 M + in externally sponsored funding. As this chart shows, funding almost doubled over the past 10 years, from just over $70M in 1995. Blue = research $ - largest preponderance Hot pink = training and service � declines when federal dollars are tight, but also as awe have made the transition to a first-rate university. We expect to be somewhat negatively affected, as all other major research universities, due to the bleak federal budget picture. But we�re depending on the excellence of our faculty to be extra-competitive to offset the tight funding. NYU is classified by the Carnegie Foundation as a doctoral/research extensive institution and is a member of the Association of American Universities. Context for this talk: In FY05, the Washington Square campus was athaae recipient of $120 M + in externally sponsored funding. As this chart shows, funding almost doubled over the past 10 years, from just over $70M in 1995. Blue = research $ - largest preponderance Hot pink = training and service � declines when federal dollars are tight, but also as awe have made the transition to a first-rate university. We expect to be somewhat negatively affected, as all other major research universities, due to the bleak federal budget picture. But we�re depending on the excellence of our faculty to be extra-competitive to offset the tight funding.

3. Sources of Funding:2005-06 The large preponderance of sponsored funding comes from the Federal government (everything except the orange and turquoise pieces of the pie), with our biggest sponsors being DHHS of which NIH is a part, followed by the NSF. Funding from the public sector = 83% of our total. The red wedge is private foundations.The large preponderance of sponsored funding comes from the Federal government (everything except the orange and turquoise pieces of the pie), with our biggest sponsors being DHHS of which NIH is a part, followed by the NSF. Funding from the public sector = 83% of our total. The red wedge is private foundations.

4. National Rankings 50th in Federal Obligations for Science and Engineering R&D 36th in Federal Obligations for Fellowships, Traineeships and Training Grants NYU ranks in the top 50 of all universities in the country for federal obligations in science and 26th for our graduate students and postdocs. This is despite having no engineering school which is normally a big income producer for other institutions. These rankings include the Medical School, by the way.NYU ranks in the top 50 of all universities in the country for federal obligations in science and 26th for our graduate students and postdocs. This is despite having no engineering school which is normally a big income producer for other institutions. These rankings include the Medical School, by the way.

5. How we are organized Newly created office � 5/04 Key leader of NYU�s research efforts at WSq. Provides guidance on all research initiatives and needs. Identifies research opportunities and supports growth in NYU�s research enterprise. Enhances the environment of interdisciplinary and interschool cooperation. Advocates for research and the needs of the research enterprise.Newly created office � 5/04 Key leader of NYU�s research efforts at WSq. Provides guidance on all research initiatives and needs. Identifies research opportunities and supports growth in NYU�s research enterprise. Enhances the environment of interdisciplinary and interschool cooperation. Advocates for research and the needs of the research enterprise.

6. In coordination with Our goal is to provide one-stop shopping so that you can concentrate on your research and worry less about the NYU bureaucracy. OUD is responsible for private sector fund raising and grants getting. When research is involved, OUD�s expertise is combined with OSP�s in order to develop the strongest proposal possible. The Controller�s Division sets up any awards received and maintains the fiscal system which tracks expenditures. We are currently engaged in several projects with them to help to streamline both account set-up and account reporting. Our Office of Federal Policy is responsible for keeping us current with new government initiatives and policy issues pertaining to research funding.Our goal is to provide one-stop shopping so that you can concentrate on your research and worry less about the NYU bureaucracy. OUD is responsible for private sector fund raising and grants getting. When research is involved, OUD�s expertise is combined with OSP�s in order to develop the strongest proposal possible. The Controller�s Division sets up any awards received and maintains the fiscal system which tracks expenditures. We are currently engaged in several projects with them to help to streamline both account set-up and account reporting. Our Office of Federal Policy is responsible for keeping us current with new government initiatives and policy issues pertaining to research funding.

7. Contradictory Roles Our office is in the unique and somewhat contradictory position of being both the cheerleader for research, facilitating and encouraging submissions of proposals for funding and promoting a strong research environment, but also being responsible for making sure that NYU complies with the myriad of regulations which accompany federal and state funds. As you probably know, awards are made to the institution, not to you as the principal investigator and as such it is an institutional responsibility to see that all of the rules are followed. I am the University�s Research Compliance Officer and we have several offices here which oversee specific compliance activities (more on this in a bit).Our office is in the unique and somewhat contradictory position of being both the cheerleader for research, facilitating and encouraging submissions of proposals for funding and promoting a strong research environment, but also being responsible for making sure that NYU complies with the myriad of regulations which accompany federal and state funds. As you probably know, awards are made to the institution, not to you as the principal investigator and as such it is an institutional responsibility to see that all of the rules are followed. I am the University�s Research Compliance Officer and we have several offices here which oversee specific compliance activities (more on this in a bit).

8. Regulatory Compliance Research involving human subjects Research involving animal subjects Research impacting the environment Conflict of Interest Scientific Misconduct Fiscal Accountability Export Control Regulations That concludes the cheerleading segment of the discussion. Now we come to the Compliance piece of the operation. As I mentioned, with the receipt of government funds comes a number of rules and obligations. Violations of these rules can result in suspension of affected research activities, fines, lawsuits, and bad press. This area has proliferated so much in the last 10 years that most major research universities have now established separate offices and individuals solely to deal with compliance. In some cases, there are standing committees to help you to comply with the procedures. In others, there are policies which are detailed in the Faculty Handbook and overseen by our office. This is an ever-expanding universe, with the latest �hot topic� being export controls. OSP has a lot of information concerning export controls up on its website: nyu.edu/osp/ecThat concludes the cheerleading segment of the discussion. Now we come to the Compliance piece of the operation. As I mentioned, with the receipt of government funds comes a number of rules and obligations. Violations of these rules can result in suspension of affected research activities, fines, lawsuits, and bad press. This area has proliferated so much in the last 10 years that most major research universities have now established separate offices and individuals solely to deal with compliance. In some cases, there are standing committees to help you to comply with the procedures. In others, there are policies which are detailed in the Faculty Handbook and overseen by our office. This is an ever-expanding universe, with the latest �hot topic� being export controls. OSP has a lot of information concerning export controls up on its website: nyu.edu/osp/ec

9. Roles and Responsibilities of Central Offices Supporting Research at NYU Office of the Senior Vice Provost for Research (www.nyu.edu/provost) Office of Sponsored Programs (www.nyu.edu/osp) Pre-award and non-financial post award management of sponsored projects Sponsored Program Accounting (www.nyu.edu/cdv/site20/cservice/spa.html) Post-award financial management of sponsored projects University Development and Alumni Relations Corporate and foundation gifts, endowments, etc. Contracts Office Negotiation of agreements and issuance of subcontracts Office of Legal Counsel (www.nyu.edu/legal.counsel/) Legal advice

10. Roles and Responsibilities of Central Support Offices (cont�d)� Office of Industrial Liaison/Technology Transfer (www.nyu.edu/oil) Transfer of technology from laboratory to marketplace Patenting new technologies Obtaining industrial support for ongoing applied research Licensing NYU technologies Office of Compliance (www.nyu.edu/compliance/) Promulgation of �best practices� Protect NYU income and assets through conducting teaching and research ethically Department of Environmental Services (www.nyu.edu/environmental.services/) Technical support and training for biosafety, emergency response, environmental programs, asbestos, etc.

11. Roles and Responsibilities of Central Support Offices (cont�d)� Department of Radiation Safety (www.med.nyu.edu/radsafety/) Responsible handling of radioactive materials and machine sources of ionizing radiation University Committee on Activities Involving Human Subjects (UCAIHS) (www.nyu.edu/ucaihs) Reviews and approves research protocols for studies involving human subjects University Committee on Animal Welfare (www.nyu.edu/uawc) Reviews and approves research protocols for studies involving animal subjects

12. Office of Sponsored Programs (OSP) www.nyu.edu/osp Organization Director, Associate Director, Assistant Director Project Officers Assignments Administrative Staff Student Assistants

13. Responsibilities Identifying funding sources Interpreting sponsor guidelines and policies Developing proposals, reviewing and submitting (role as Authorized Organizational Representative-AOR) Negotiating awards Guiding investigators in funded project administration Serving as liaison to other central offices supporting the responsible conduct of research at NYU Depending on your school, you will either interact primarily with your school or departmental research administrator, or directly with OSP. You may go to OSP for all of the following services:�see slide��.. Each discipline has an OSP Projects Officer assigned to it and this person will be your primary liaison for developing your proposal for funding. Of course, they can only perform these services when they are given sufficient time in advance of the deadline. From time of submission to award takes about 9 months, so you have to plan far ahead. Feds have adopted grants.gov which is an electronic means of submitting proposals. It�s a difficult system to negotiate and to help you with it, the University has recently purchased a proposal tracking and submission system called InfoEd which will serve as a front end to make the whole process easier. It include an opportunities database and will alert you to finding opportunities, pull up guidelines for you and walk you through the submission process. We hope to have it up and running by this Spring.Depending on your school, you will either interact primarily with your school or departmental research administrator, or directly with OSP. You may go to OSP for all of the following services:�see slide��.. Each discipline has an OSP Projects Officer assigned to it and this person will be your primary liaison for developing your proposal for funding. Of course, they can only perform these services when they are given sufficient time in advance of the deadline. From time of submission to award takes about 9 months, so you have to plan far ahead. Feds have adopted grants.gov which is an electronic means of submitting proposals. It�s a difficult system to negotiate and to help you with it, the University has recently purchased a proposal tracking and submission system called InfoEd which will serve as a front end to make the whole process easier. It include an opportunities database and will alert you to finding opportunities, pull up guidelines for you and walk you through the submission process. We hope to have it up and running by this Spring.

14. Extramural Funding Search Resources NYU Deadline Calendar � updated quarterly http://www.nyu.edu/osp/funding/deadline.php Sponsored Projects Information Network �SPIN Search this comprehensive database by going to the following link on the OSP website http://www.infoed.org/new_spin/spinmain.asp GrantsNet http://sciencecareers.sciencemag.org/funding?CFID=1433982&CFTOKEN=51681118

15. Sponsored Research with NYU Funding Research Challenge Fund Emergency Research Challenge Fund Assistance with Interdisciplinary/Large-scale Proposals Our Office also has some internal funds available to full-time faculty. The RCF is an internal, peer-reviewed competition whose deadline will be 12/1 this year. The rate of success is about 60%, so it is a good place to find limited funds to get you pilot data for what then becomes a research proposal for external funding, or to provide money for smaller or less expensive projects in areas for which external funds are not likely to be available. The funding cap is $25,000 for this round, with some larger requests entertained for exceptional circumstances. The ERCF makes a limited amount of $ available for emergency research needs, while the USICF provides matching money, where required for large equipment purchases. New this year is an offer from our office for assistance with large-scale proposals; come talk to us with your ideas.Our Office also has some internal funds available to full-time faculty. The RCF is an internal, peer-reviewed competition whose deadline will be 12/1 this year. The rate of success is about 60%, so it is a good place to find limited funds to get you pilot data for what then becomes a research proposal for external funding, or to provide money for smaller or less expensive projects in areas for which external funds are not likely to be available. The funding cap is $25,000 for this round, with some larger requests entertained for exceptional circumstances. The ERCF makes a limited amount of $ available for emergency research needs, while the USICF provides matching money, where required for large equipment purchases. New this year is an offer from our office for assistance with large-scale proposals; come talk to us with your ideas.

16. Agency Updates National Science Foundation - NSF PAPPG � Proposal and Award Policies and Procedures Guide effective June 1, 2007 http://www.nsf.gov/pubs/policydocs/papp/nsf07140.pdf Combines prior NSF guidance into one document comprised of two major elements Proposal Preparation & Submission Guidelines Award & Administration Guidelines Guidance on Designated Fonts http://www.nsf.gov/bfa/dias/policy/docs/fontadvisory.pdf

17. Agency Updates NSF continued Mentoring Postdoctoral Fellows Section 7008 of America COMPETES Act � H.R. 2272 Requires all grant applications that include funding to support postdocs to include a description of the mentoring activities provided for them. Activities may include career counseling, training in preparing grant applications, guidance on ways to improve teaching skills, and training in research ethics. Mentoring of Postdocs considered part of �broader impacts� criterion for proposal review. Guidance on implementation not publicized. Mentoring of Postdocs considered part of �broader impacts� criterion for proposal review. Guidance on implementation not publicized.

18. Agency Updates National Institutes of Health Grants Page http://grants.nih.gov/grants/oer.htm Updated Grants.gov Application Guide SF424(R&R) issued September 13, 2007 http://grants.nih.gov/grants/funding/424/index.htm NIH website has a new look SF 424 was updated as of September 13. Remember to check for updates prior to submitting any proposals. See purple sections for changes. (some of the purple sections were made in April update)NIH website has a new look SF 424 was updated as of September 13. Remember to check for updates prior to submitting any proposals. See purple sections for changes. (some of the purple sections were made in April update)

19. Agency Updates Systems NSF Fastlane Fastlane is still the system used for the vast majority of NSF proposals. Grants.gov Most federal agency applications are using the Grants.gov system for submission and publication of funding opportunities Home Page: http://www.grants.gov/ Download applications from this site Always go to g.g to download application close to deadline date, since modifications are sometimes made after the announcement is published.Always go to g.g to download application close to deadline date, since modifications are sometimes made after the announcement is published.

20. Professional Development in Research Administration Quarterly Forums hosted by Sponsored Programs Agency updates Invited guests to address research administration �hot� topics Featured research projects and faculty Educational Workshops Pre-award, proposal development through submission, including electronic submission systems Post-award, financial and non-financial award management, inception through close-out Regulatory Compliance (research with humans, animals, conflict of interest, export controls, etc.) Certificate Program in Research Administration Core Courses (Basic competencies) Specialized electives (Advanced)

21. Upcoming Sessions Identifying Funding Opportunities Tuesday, October 2nd, 10 � 11 am Preventing Post Award Woes: Good Proposals and Agreements Make for Good Pre and Post-award Collaborations Thursday, October 18th, 9:30 -11 Institutional Compliance with OMB Circular A-21, Cost Principles Thursday, October 25th, 10-12

22. Contact Us Bookmark OSP�s website: www.nyu.edu/osp and check often for updates Education page coming soon Access to faculty and departmental research administrator surveys Pierre Hohenberg, Senior Vice Provost for Research pierre.hohenberg@nyu.edu Marti Dunne, Associate Vice Provost for Research Compliance and Administration marti.dunne@nyu.edu Richard Louth, Director, Office of Sponsored Programs richard.louth@nyu.edu Betty Farbman, Associate Director, Office of Sponsored Programs betty.farbman@nyu.edu Nancy Daneau, Associate Director for Research Administration Training & Institutional Liaison nancy.daneau@nyu.edu We really want to hear your complaints and suggestions.We really want to hear your complaints and suggestions.

23. Questions/Comments