NCURA RADG. Best Practices in Research Administration TED MYATT, SD DIRECTOR OF RESEARCH INTEGRITY UNIVERSITY OF RHODE ISLAND

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1 NCURA RADG Best Practices in Research Administration TED MYATT, SD DIRECTOR OF RESEARCH INTEGRITY UNIVERSITY OF RHODE ISLAND 1

2 University of Rhode Island Kingston, RI ~$85 million in awards/annually HHS, NSF and USDA largest funders Office of Research Integrity Mission: To ensure research conducted at URI is safe, ethical, and compliant; to facilitate the conduct of research; to comply with applicable regulations, laws, and institutional polices; and thereby, promote a culture of integrity in research. Areas: Institutional Review Board Institutional Animal Care and Use Committee Institutional Biosafety Committee Financial Conflict of Interest in Research Research Misconduct Export Controls Scientific Dive Safety Responsible Conduct of Research Animal Care Program 2

3 Relationship between Compliance and Research Administration Compliance and Ethics Find Funding Prepare Proposal Submission of Proposal Award Acceptance Award Setup Manage Project Close Out o Compliance staff rely on sponsored projects staff to identify, collect, verify, and in some cases interpret compliance information o Compliance staff serves as a resource for administrators and faculty throughout the life cycle of the project 3

4 Collect Useful Information MOST INSTITUTIONS HAVE SOME FORM OF PROPOSAL ROUTING FORM COMPLIANCE QUESTIONS. o Does project involve Human Subjects at URI or sub award institutions (e.g., focus groups, participant observation or questionnaires by subject participants, human volunteers as participants, collection or use human tissue or fluids, work with human stem cells, or collection of identifiable private data)? If applicable, give IRB #: o Does the project involve infectious agents/human blood or cell lines/rdna? If applicable, give IBC # BE SPECIFIC, GIVE EXAMPLES o For ALL NSF and USDA proposals and NIH training grants: if funded, Responsible Conduct of Research Training will be required for all students and post-doc researchers. Please check YES if this is a NSF or USDA proposal or NIH Training Grant o Does the solicitation, RFP, RFQ, RFA, contract and/or discussions with the sponsor indicate potential use/involvement of publication restrictions? 4

5 Develop Effective and Easy Tools/Processes to Use Example: Financial Conflict of Interest o Understand the requirement/regulation and the whole process or bring together a team that does o How are disclosures collected and when? o Who verifies disclosures have been submitted? o Does your institution have an electronic system? o Who verifies training has been completed? o 5

6 Internal Targeted Training for Research Administration Offer regular training specifically for research administration staff 1. Tailor to needs of target audience 2. Be concise and topical audience may not need to become a compliance expert 3. Repeat regularly as staff turns over, as new information is available, as a refresher 6

7 Targeted, Situational Training Example: Export Control Compliance o Training offered specifically to Research Administrators o Invite others: o Key faculty and department chairs key stakeholders o Staff that play a part in export control compliance (International Travel, Purchasing, Office of International Students and Scholars, Shipping, HR) gave them a sense of why we were asking them to assist in compliance efforts o Cover the basics, but get to common situations, contract language, and red flags quickly 7

8 Export Control Situations 1. You are shipping scientific equipment internationally to colleagues or bringing scientific equipment abroad to conduct a project 2. You are participating in a research project that involves travel to a sanctioned country (e.g., Cuba, Central African Republic). 3. Your laboratory has purchased a piece of equipment that you have been told is export controlled 4. A visiting foreign scientist is coming to your lab. You understand that an export control review is conducted. What does that mean? 5. Colleagues in China have asked that you formalize an agreement to engage in activities at their institution. 6. You review a contract for a research project funded by the Defense Department. The contract states that no foreign nationals can work on the project and that the publication of the data/results will be restricted.

9 Export Control Red Flags Restrictive terms in agreements o Who can participate in the work o What you can publish o When you can publish o How you can share, distribute, or use results Work done abroad Sending abroad information, material or equipment Electronic sharing of software or other technology including o Not publicly available o Encryption software o Defense article or service Ultimate destination or use unknown (you send it overseas and the recipient sends it to someone else) Sending, transmitting or disclosing to a sanctioned country or a person or organization on the restricted party lists

10 Communication oproactive: Communicate regularly to targeted groups orespond to questions. Ensure everyone knows where to go with questions Team Approach - Facilitates compliance and efficiency in administering sponsored projects 10

11 Compliance Resources Time is short. Ways to keep up with the ever changing compliance requirement Report on Research Compliance - NCURA Magazine e-xtra Council on Governmental Relations (COGR) IRB Forum List-Serv To subscribe: IACUC List-Serv To subscribe: IACUC-ADMIN-subscribe-request@LIST.MSU.EDU 11

12 Questions or Comments? Ted Myatt, Sc.D