WORKSHOP 5 - Surviving Audits

REGISTRATION CLOSED
Morning Workshop 8:30 a.m. - Noon

Program Level: Intermediate

The A-133 audit has replaced some of the individual agency audits. Offices of Inspectors General are still responsible for insuring compliance with award terms and conditions. Over the last 10 years an increasing number of audits are being performed by CPA firms, not specific agency OIG staff. We will discuss the audit process and the difference between audits, reviews, inspections and investigations. The workshop will provide strategies for managing the audit, from setting the scope before it starts and limiting the scope creep once it has started along with the various institutional roles needed to effectively and efficiently respond to audit requests.

Learning Objectives:

• Participants will learn the differences between the various types of audit, review and inspection;
• Participants will learn strategies to effectively manage the audit and keep it within scope;
• Participants will gain an understanding of how to keep an institution's own policies and procedures and processes from being an audit risk.

Prerequisites:

Understanding of sponsored award audits and A-133 audit process.

Workshop Faculty:

Tim Reuter*, Director, Post Award, Office of Sponsored Research, Stanford University;
Denise Clark, Associate Vice President for Administration, University of Maryland, College Park

WORKSHOP 6 - Financial Conflicts of Interest: New HHS Regulations, New Institutional Policy

REGISTRATION CLOSED
Morning Workshop 8:30 a.m. - Noon

Program Level: Advanced

Research institutions have policies and procedures for identifying and managing their investigators' financial conflicts of interests. Since 1995, the principal Federal regulatory framework used for those institutional policies has been the common approach implemented in the regulations and policies of the National Institutes of Health (NIH) and the National Science Foundation (NSF), respectively. With the recent change in the Department of Health and Human Services (HHS) regulation - Responsibility of Applicants for Promoting Objectivity in Research for which PHS Funding is Sought - institutions must determine how to proceed to make changes in their policies and/or procedures for identifying and managing conflicts. Will institutions design different policies for different funding sources? How do institutions define "institutional responsibilities," etc.? This workshop focuses on how institutions design and implement changes to their policies and procedures. It is not a primer on financial conflicts of interest nor is it a discussion of the merits of the new HHS regulations.

This workshop is intended for an advanced audience that currently works at the policy and/or operational level with financial conflicts of interest regulations, policies and management. We will briefly examine the changes in HHS regulations and begin a discussion of how institutions can address the new requirements. We assume familiarity with the new regulations and any Frequently Asked Questions (FAQs) posted by NIH on its website (listed below) on/before January 31, 2011. We will focus on specific topics or issues that must be addressed in institutional policies and procedures concerning PHS/NIH funded research.

This session will be entirely interactive - none of the presenters have answers to how individual institutions should design and implement changes. Participants should bring with them the institution's current policy and any proposed changes and be prepared to describe why and how the institution is considering a particular approach. The goal of the workshop is to identify problem areas and to share proposed solutions among participants.

Learning Objectives:

• Participants will gain an understanding of the new HHS financial conflict of interest regulations;
• Participants will identify key areas within the institution's policy and operations that are affected by changes in HHS regulations;
• Participants will examine solutions and strategies being considered by other institutions to develop "compliant" conflict of interest policies and procedures.
• Participants will examine solutions and strategies being considered by other institutions to develop "compliant" conflict of interest policies and procedures.
• Must have experience on a policy and/or operational level with Federal and institutional conflict of interest policies, regulations and guidance.
• Must be familiar with the new HHS regulations on Responsibility of Applicants for Promoting Objectivity in Research for which Public Health Service Funding is Sought and Responsible Prospective Contractors, also known as the NIH financial conflicts of interest (FCOI) regulations. The regulations are available on NIH's FCOI website at: http://grants.nih.gov/grants/policy/coi/
• Must be familiar with any responses to Frequently Asked Questions (FAQs) posted on/before January 31, 2011 by NIH to the website noted above concerning the FCOI regulations.

Workshop Faculty:

Michelle Christy*, Director, Office of Sponsored Programs, Massachusetts Institute of Technology

WORKSHOP 7 - Effort Reporting: Why is it So Complicated?
Morning Workshop 8:30 a.m. - Noon

Program Level: Intermediate

Effort reporting just won't go away. Though it sounds like a simple concept, people with experience know there are a number of factors that can quickly reduce this administrative exercise to a bureaucratic nightmare. And, there aren't many financial compliance issues that can draw the wrath of PIs as fast as this one. Just try explaining why a faculty member can't exclude proposal writing from their university activities when they wrote their proposals on the weekend. This workshop will focus on some key principles for good management of the requirements for effort reporting: policies and procedures, training programs, documentation and oversight. In addition, given the continuing federal audits of effort reporting, the workshop will focus on some common issues that have arisen in a number of OIG audits. Workshop participants should plan to engage in a conversation with the faculty and to bring suggestions and questions.

Learning Objectives:

Participants will gain an understanding of the principal requirements of institutional effort reporting systems, including policies and procedures; knowledge of recent effort reporting audits and findings; knowledge about key issues that need attention in university practices on effort reporting.

Prerequisites:

Participants will need a basic understanding of the principles of effort reporting.

Workshop Faculty:

Robert Andresen*, Assistant Director, Research and Sponsored Programs, University of Wisconsin-Madison;
Zachary Belton, Director, Huron Consulting Group;
Brenda Kavanaugh, Assistant Director, Office of Research and Project Administration, University of Rochester

WORKSHOP 8 - Starting a Clinical Office
Morning Workshop 8:30 a.m. - Noon

Program Level: Basic

This workshop will focus on building a clinical trials office from the ground up. We will focus on concept ideas used to develop a successful centralized Clinical Trials Office. Topics to be covered include, but not limited to: service selection; staffing; phases; budgeting; IRB; informed consent; and research compliance.

Learning Objectives: Participants will

• Gain an understanding of clinical trials as a subset of human subject research;
• Gain an overview of the operational aspects of a centralized clinical trials infrastructure;
• Understand the models to select and implement different service models and managing faculty expectations;
• Understand the models to select and implement different service models and managing faculty expectations;
• Gain an understanding of the basic elements of a clinical trial;
• Understand how a clinical trial budget is developed, managed, and how costs are managed;
• Learn key negotiation issues that often arise in a clinical trial; introduction to the roles and responsibilities played by institution and sponsor staff's in the creation and management of clinical trials; and
• Understand key compliance issues in clinical trials.

Workshop Faculty:

Jamie Caldwell*, Director, Office of Research Services for the Health Sciences, Loyola University of Chicago at the Medical Center;
Tesheia Johnson, Associate Director for Clinical Research, Yale School of Medicine, Chief Operations Officer, Yale Center for Clinical Investigation, Yale University

WORKSHOP 9 - Preparing an F&A Proposal and Negotiating an F&A Rate - An Introduction to the Process

REGISTRATION CLOSED

Morning Workshop 8:30 a.m. - Noon

Program Level: Basic

This will be an introduction to the process of establishing a new F&A rate or submitting and renegotiating an existing rate. The workshop will cover rates for colleges and universities, hospitals and not-for-profit organizations. This workshop will cover identifying a cognizant agency, when to prepare a rate proposal, what to expect after you submit the proposal and what are your rights. The session will focus on the process and will not provide in-depth knowledge of the actionable preparation of an F&A proposal.

Learning Objectives:

Participants will gain an understanding of the F&A rate process.

Workshop Faculty:

John States*, Assistant Vice President, Sponsored Programs Finance and Post-Award Administration, University of Texas Medical Branch at Galveston;
Kevin Maynor, Director, Cost Analysis and Compliance, Office of Sponsored Research, University of North Carolina at Chapel Hill;
Michael Smith, Managing Director, Huron Education

SENIOR LEVEL SEMINAR 10 - Issues in Financial Research Administration Compliance - Problems, Perception and Potential Solutions: A CASE STUDY APPROACH

REGISTRATION CLOSED
Morning Workshop 8:30 a.m. - Noon

Program Level: Advanced

This senior seminar is designed for the experienced research administrator and will offer participants an opportunity to engage with colleagues in an in-depth exploration of financial issues associated with pre and post award activities. This seminar will closely examine key case studies in financial research administration including: cost allocation principles; cost sharing; effort reporting; cost transfers; subrecipient monitoring; service centers and international collaborations. Cases will be presented to workshop attendees who will work collaboratively to assess the possible approaches to dealing with these situations. We will also highlight real-life issues using recent audit findings to illustrate the high risk compliance areas. Through these case studies, we will discuss possible solutions and strategies that institutions can adopt to minimize compliance risk. This seminar is intended to be highly interactive and we strongly encourage participants to bring real-life and hypothetical situations to enable the group to learn from one another.

Learning Objectives:

Participants will gain a better understanding of the high risk pre and post award financial issues in today's research environment. In addition, participants will be exposed to possible solutions and strategies to minimize institutional compliance risks.

Facilitator:

Jill Frazier Tincher*, Director of Research Administration and Office of Research Education & Training, University of Miami Miller School of Medicine

SENIOR LEVEL SEMINAR 11 - University F&A Proposals - Federal Review and Complex Negotiation Issues
Morning Workshop 8:30 a.m. - Noon

Program Level: Advanced

F A rate proposal reviews and rate negotiations with Federal representatives are complex processes and can be intimidating. This senior level seminar will discuss the main review areas and the issues frequently raised in the negotiation of rates, including space surveys, the organized research base and the F&A cost pools. More complex issues such as those related to rate projections will also be discussed.

Learning Objectives:

Participants will gain a more thorough understanding of the Federal F&A review process and the complex issues raised in the negotiation of F&A rates and be better prepared to manage F&A reviews and negotiations with Federal representatives.

Prerequisites:

Participants should have experience with, or at least a working knowledge of, long form university F&A rate proposals.

Facilitators:

Cynthia Hope*, Assistant Vice President, Office for Research, The University of Alabama;
Gary Talesnik, Special Consultant, Attain, LLC;
Paul Nacon, Director, Huron Education

WORKSHOP 12 - Service Centers - Developing, Managing and Monitoring Service Centers
Afternoon Workshop 1:30 - 5:00 p.m

Program Level: Intermediate

University departments use a variety of products or services to perform their activities. When these products or services are provided within the university, these units function as nonprofit businesses and are called recharge or service centers. This session is meant for those who monitor, audit, or work in a service center and those who may be contemplating establishing one. We will look at the allowable components of the budget, the government perspective on service centers, and the audit findings on service centers over the last few years. The workshop will incorporate a case study and exercises.

Learning Objectives:

• Learn the characteristics of a service center;
• Learn what to budget in the billing rate;
• Learn the different rate bases that can be used to calculate the rate;
• Learn what the audit findings on service centers have been.

Prerequisites:

Participants should a working knowledge of the cost principles and sponsored research administration or compliance experience, preferable two years.

Workshop Faculty:

Charlene Blevens*, Assistant Vice President of Research Accounting, Division of Research, Florida International University;
Patrick Fitzgerald, Associate Dean for Research Administration, Faculty of Arts and Sciences, Harvard University

WORKSHOP 13 - Implementing Federal-wide Reporting Requirements
Afternoon Workshop 1:30 - 5:00 p.m

Program Level: Intermediate

This workshop will focus on recipients' responses to various forms of current transparency reporting, and how best to prepare for future transparency reporting requirements. Presenters will provide specific information concerning the reporting mechanisms, special areas of concern, and potential audit issues associated with the American Recovery and Reinvestment Act (ARRA) and the Federal Funding Accountability and Transparency Act (FFATA). In addition, the latest information concerning the proposed Digital Accountability and Transparency Act (DATA) and the Open Government Initiative will be provided. Lessons learned from ARRA and FFATA will be applied to DATA and/or similar transparency reporting requirements. Topics will include evaluation of requirements and local systems' capabilities; making the best reporting decisions; and on-going adaptation of reporting processes and documentation.

Learning Objectives:

• Gain insight of the overarching objectives of transparency reporting from the federal and public perspectives;
• Understand specific ARRA, FFATA, and potential DATA reporting; requirements with regard to timing, content, and federal systems and resources;
• Learn how to evaluate reporting requirements and develop a response that fits within the recipient's environment;
• Determine whether significant structural changes (e.g. staffing, budget, or systems) are needed;
• Understand how and when to change the reporting mechanism.

Prerequisites:

• Basic understanding of ARRA & FFATA reporting requirements;
• Familiarity with federal reporting systems;
• Understanding of institutional reporting environment

Workshop Faculty:

Susan Ross, Post Award Director, Sponsored Projects Administration, Columbia University;
Sue Paulson, Finance Director, Sponsored Financial Reporting, University of Minnesota

WORKSHOP 14 - Beyond the Basics of Subrecipient Monitoring
Afternoon Workshop 1:30 - 5:00 p.m

Program Level: Intermediate

Subrecipient monitoring can be performed in multiple ways depending on resources, complexity of the subaward and type of subrecipient. This workshop will delve deeper into the challenges of good subrecipient monitoring. Using case studies as the basis for examination, practical tools for subrecipient monitoring will be identified and applied in this interactive workshop. Workshop participants are encouraged to bring examples of best practices from their institution's subrecipient monitoring procedures to share with each other.

Learning Objectives:

• Participants will learn what tools are used for subrecipient monitoring. They will learn how to apply these tools to several case studies

Prerequisites:

Participants should have some basic understanding of subaward administration.

Workshop Faculty:

Jeffrey Silber*, Senior Director, Sponsored Financial Services, Cornell University;
Antoinette Lawson, Associate Director, Office of Research Administration and Advancement, University of Maryland, College Park;
Aimee Howell, Manager, Office of Contract and Grant Accounting, University of Maryland Baltimore County

WORKSHOP 15 - A-21 and A-110: An Overview of Federal Circulars for the Central Administrator - REGISTRATION CLOSED
Afternoon Workshop 1:30 - 5:00 p.m

Program Level: Basic

The Office of Management and Budget (OMB) Circulars A-21 and A-110 are the foundation for the rules and regulations that govern federal awards given to educational institutions. This workshop is a primer to introduce participants to the various aspects of Circulars A-21 and A-110. This workshop will discuss the uniform administrative requirements for pre-award, financial systems requirements, financial reporting, cost sharing, property systems and project administration. It will also discuss allowable and unallowable costs and cost accounting standards. Participants are encouraged to bring their questions and issues for discussion.

Learning Objectives:

• Participants will become familiar with OMB Circular A-21, Cost Principles for Educational Institutions which govern grants, contracts and other agreements with educational institutions;
• Participants will become familiar with OMB Circular A-110, Uniform Administrative Requirements for Grants & Agreements with Institutions of Higher Education, Hospitals and Other Non-Profit Organizations.

Workshop Faculty:

Marianne Woods*, Senior Associate Vice President for Research Administration, The University of Texas at San Antonio;
Maggie Griscavage, Director, Office of Grants and Contracts Administration, University of Alaska Fairbanks;
Claudia Guzman, Grants and Contract Specialist, Office of Grants, Contracts and Industrial Agreements, The University of Texas at San Antonio

WORKSHOP 16 -Developing an Effective Education Program
Afternoon Workshop 1:30 - 5:00 p.m

Program Level: Intermediate

This workshop will walk you through the steps of designing and implementing an effective training from scratch. Topics will include adult learning techniques, identifying curriculum needs, defining learning objectives, designing program content, creating support materials, and figuring out how much participants actually learned.

Learning Objectives:

After completing this workshop, participants should be able to:

• Identify education/training goals and learning objectives;
• Determine what constitutes acceptable evidence of learning;
• Plan effective learning experiences to support educational goals, that will:
  • Allow adult learners to use new knowledge and skills right away
  • Evaluate how well the learners remember what was taught

Prerequisites:

A working knowledge and fundamental understanding of research administration is expected.

Workshop Faculty:

Sam Gannon*, Manager, Education & Training, Office of Grants & Contracts Management, Vanderbilt University Medical Center

WORKSHOP 17 - Bridging the Gap Between Central and Departmental Research Administration -

REGISTRATION CLOSED

Afternoon Workshop 1:30 - 5:00 p.m

Program Level: Basic

No one in research administration works alone. Whether a research administrator is in a central office or local (department, school, institute), it is essential that the partner offices work together to assure compliance and customer service. As our jobs expand in size and complexity, it becomes more important than ever to expand the meaning of "us." With so many competing priorities, gaining an understanding of central and local administrators' respective roles and responsibilities can go a long way toward keeping the jobs manageable and the relationships collegial.

This workshop will cover the range of our day-to-day interactions and strategies that improve these interactions as well as those that will foster and build successful long term functional teams and relationships. We'll explore our challenges and the balance necessary for a successful department and local collaboration. We'll also review the variety of different organizational structures that cover Research Administration from local to central; some successful, some still refining.

Learning Objectives:

• Participants will gain an understanding of the competing priorities faced by both central and local research administrators and be able to speak to some of the similarities and differences;
• Participants will learn strategies to facilitate communication between central and local colleagues;
• Participants will review strategic goals and concepts that both parties can work towards together in areas such as compliance management, customer service metrics and financial reporting;
• Participants will learn of the variety of different Research Administration organizational structures.

Workshop Faculty:

Michele Codd*, Associate Director, Sponsored Projects Administration, George Washington University;
Lisa Rulney, Assistant Dean, Finance & Administration, College of Engineering, University of Arizona;
Tamara Lucas, Specialist, Contracts and Grants, Departments of Pathology and Medical & Research Technology, University of Maryland School of Medicine

WORKSHOP 18 - Policy Development and Implementation
Afternoon Workshop 1:30 - 5:00 p.m

Program Level: Advanced

Institutional policy reflects the principles that underlie all sponsored program activity on our campuses. It is the framework for many everyday decisions, and it is a signal of our understanding of sponsor guidelines and regulations. Our policies, along with agency regulations, form the standards against which auditors will measure our performance. The development of institutional policies is handled in a variety of ways across the research community. This workshop will discuss the methods commonly used to create sponsored programs policies, offer some analysis of the strengths and weaknesses of each approach, and present options for formats and typical content elements. In addition, workshop participants will consider the techniques used to promulgate policy across the campus to research administrators and to faculty. There are other issues that will come into consideration in the workshop, including the process for evaluating policies against Federal standards, the application to certain classes of sponsored projects, and the approach to reviewing and refreshing established policies. The workshop will include a look at some specific policies created by universities represented in the session, including more recently developed policies on cost-sharing, effort reporting, cost transfers and others.

Learning Objectives:

• Participants will gain different perspectives about the process of creating policies for sponsored program operations;
• Participants will acquire multiple views about ways to implement policies;
• Participants will gain insights into potential strategies for policy consideration at their own institutions;

Prerequisites:

This workshop is intended for senior level departmental and central research administrators who have experience creating and applying policy.

Workshop Faculty:

Kim Moreland*, Associate Vice Chancellor for Research Administration, University of Wisconsin-Madison;
Patricia Hawk, Director, Office of Sponsored Programs, Oregon State University;
Peggy Lowry, Program Coordinator, NCURA Peer Review Program, and Director (Retired), Sponsored Programs and Research Compliance, Oregon State University;
Toni Shaklee, Assistant Vice President for Research, Oklahoma State University

SENIOR LEVEL SEMINAR 19 - Contracting Issues - REGISTRATION CLOSED
Afternoon Workshop 1:30 - 5:00 p.m

Program Level: Advanced

The Post-Award Administrator is often faced with interpreting the many legal terms and concepts which result in obstacles in managing an award. This workshop will provide a brief overview of contracting principles, as well as explain the meaning of common terms and clauses in both federal and private contracts as they effect the post award office. Emphasis will be placed on assessing the importance of particular terms for a specific contract, including determining the type of contract, interpreting the payment terms, knowing when to worry about "bad use" and unrelated business income (UBIT), and managing equipment purchases.

Learning Objectives:

• Participants will gain an understanding of common contract terms and concepts pertaining to sponsored agreements;
• Participants will better understand the importance of particular terms for specific research projects;
• Participants will understand the possible impact a contract may have on the university.

Facilitators:

Alexandra McKeown*, Associate Dean for Research Administration, Johns Hopkins Bloomberg School of Public Health
Jennifer Barron, Director, Office for Research Administration, Johns Hopkins Bloomberg School of Public Health

SENIOR LEVEL SEMINAR 20 - Clinical Research Costing for Medical Institutions/Hospitals
Afternoon Workshop 1:30 - 5:00 p.m

Program Level: Advanced

This senior seminar will focus on financial elements of clinical and translational research. We will focus on concept ideas used to develop a successful financial management strategies, such as identifying and budgeting all cost; applying management concepts (Lean Six Sigma) to reduce research costs; F&A rate models; Medicare coverage analysis; and research billing. Recognize that institutions/medical centers are organized differently; this workshop is intended to be highly interactive and collaboration.

Learning Objectives:

• Understanding financial strategies needed to successfully manage clinical trials and clinical and translational research;
• Learn how to applying management concepts such Lean and Six Sigma to reduce research costs and maximize return on infrastructure investments in the research enterprise;
• Understanding how a clinical trial budget is developed, managed, and how costs are managed;
• Learning key negotiation issues that often arise in a clinical research;
• Understanding key compliance issues in clinical trials such as Medicare coverage analysis, research billing, clinical trials.gov.

Prerequisites:

Understanding of clinical trials

Facilitators:

Tesheia Johnson*, Associate Director for Clinical Research, Yale School of Medicine, Chief Operations Officer, Yale Center for Clinical Investigation;
Jamie Caldwell, Director, Office of Research Services for the Health Sciences, Loyola University Chicago at the Medical Center;
Nick Gaich, Assistant Dean, Clinical Translational Research Operations, Stanford Center for Clinical & Translational Education & Research, Stanford University

WORKSHOP 21 - Effective Presentations - NCURA Style
Afternoon Workshop 1:30 - 5:00 p.m

This workshop is offered at NO CHARGE for Attendees - Registration is required.

Program Level: Basic

Do you ever get a crick in your neck from turning to read your slides to the audience? Do people get fidgety or even nod off when you're presenting? Are your Q&A sessions met with deadly silence? This workshop is designed to help you avoid these problems by giving you the tools you need to develop engaging, content-rich, audience-specific presentations that your thankful attendees will applaud (really!).
During the course of the year, NCURA members are called upon to be workshop faculty, moderators, panelists, trainers, and discussion leaders at regional meetings, PRA, FRA, and the national meeting. Each meeting or conference offers many opportunities for members to share their knowledge and viewpoints. Yet, the talents required to be successful research administrators often do not include adult-specific training techniques. As a result, we may need to develop our presentation and communication skills. This workshop is a "how to" designed to help participants think about effectively delivering presentations to adults.
Additionally, NCURA members often present with each other. Building a presentation with another person, or three or four people, is a craft of its own, particularly if the presenters are not from the same institution - or time zone. This workshop will guide you through the types of NCURA presentations and the varying roles and duties involved in building those presentations.

Learning Objectives:

Participants will learn presentation and training techniques tailored to adult learning and tidbits for presenting in various NCURA venues.

Workshop Faculty:

Diane Barrett*, Research Administrator, University of Wisconsin-Madison;
Judy Fredenberg, Director, Research and Sponsored Programs, University of Montana;
Ann Holmes, Assistant Dean, Finance & Administration, College of Behavioral & Social Sciences, University of Maryland, College Park