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Draft OSU-Center for Health Sciences Guidance Document on Scholarship and Research by Faculty and Students (September 28, 2018)
Aim: This document will serve as a policy and procedures guidance document for Oklahoma State University-Center for Health Sciences College of Osteopathic Medicine (OSU-CHS-COM) Students, Residents, Post-Doctoral Trainees, Post Graduates (including graduate certificates, MS/MA, and PhD students), Clinical and Biomedical Sciences Faculty, Undergraduates, and High School Students Research Definitions, Funding, Mentoring, Engagement, and Dissemination of Scholarship in all publishable formats.
Purpose: Consistent with the tenets of osteopathic medicine, the mission of research at OSU-COM is to advance whole person healthcare and wellness, including all aspects of biomedical science, through development and support of premier clinical and translational research. (paraphrased from A. T. Still Research Institute).
Pillars of Research: The goal of research at OSU-COM is to explore and advance the scientific evidence base of osteopathic medicine and associated health professions. Research activities and endeavors at OSU-COM will uphold and promote the values, philosophy, and practice of osteopathic medicine through the following four (4) goals or “Pillars of Research” (paraphrased and referenced from “Shaping the Future of Health and Health Care in Oklahoma through Excellence in Biomedical and Clinical Research”, Oklahoma State University College of Osteopathic Medicine Research Strategic Plan, 2016-2026, Page 4, November 2016, pp12):
1. Foster a vibrant, innovative RESEARCH CULTURE that unlocks scholarship potential, promotes innovation, encourages collaboration, and rewards excellence in research.
2. INVEST IN PEOPLE by retaining research-prolific faculty, recruiting new faculty in emerging areas of research, growing post-doctoral programs, establishing physician-scientist recruitment programs, and promoting diversity and inclusion.
3. OSU-COM will unify existing and future Centers of Excellence under the umbrella of the INNOVATION HEALTH INSTITUTE (iHealth Institute). The mandate of the iHealth Institute is to promote and drive multidisciplinary research and innovation within OSU-COM and across the OSU System.
4. STRENGTHEN THE SUPPORT SYSTEMS needed to enable the OSU-COM research community (clinical and biomedical faculty, post-doctoral researchers, residents, and medical students) to obtain the resources and training needed to develop research concepts, to seek internal and external funding, to execute research plans, to track outcomes, to manage grants, and to attain regional and national recognition.
Objectives:1. Establish a supportive infrastructure and culture that promotes inter-professional
research relevant to whole person healthcare.2. Support clinicians, scientists, and students in conducting clinically-relevant research.
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3. Provide a service-focused research infrastructure that promotes support for the entire research grant life-cycle.
4. Facilitate the dissemination and translation of research outcomes via publications, teaching and learning, and conferences.
5. Collaborate with strategic external research centers/entities, both nationally and internationally.
6. Provide research training and mentoring to develop preeminent clinician researchers and scientists.
7. Develop ideas and prioritize research within the affiliated healthcare community promoting synergy within the changing environment.
8. Focus translational research and become preeminent in selected research areas.
Definitions:
1. OSU-COM: Oklahoma State University College of Osteopathic Medicine2. OSU-CHS: Oklahoma State University Center for Health Sciences3. Research: careful or diligent search; studious inquiry or examination;
especially investigation or experimentation aimed at the discovery and interpretation of facts, revision of accepted theories or laws in the light of new facts, or practical application of such new or revised theories or laws; the collecting of information about a particular subject.
4. Translational Research: applies findings from basic science to enhance human health and well-being. In a medical research context, it aims to "translate" findings in fundamental research into medical practice and meaningful health outcomes.
5. Research misconduct: is defined as fabrication, falsification, or plagiarism in proposing, performing, or reviewing research, or in reporting research results.
6. Scholarly misconduct: is the violation of the standard codes of scholarly conduct and ethical behavior in the publication and execution of professional scientific research.
7. Responsible Conduct of Research (RCR): is defined as the practice of scientific investigation with integrity. It involves the awareness and application of established professional norms and ethical principles in the performance of all activities related to scientific research.
8. HIPAA: Health Insurance Portability and Accountability Act of 1996 is the US legislation that provides data privacy and security provisions for safeguarding medical information. A breach of protected health information (PHI) is defined as the acquisition, access, use, or disclosure of unsecured PHI, in a manner not permitted by HIPAA, which poses a significant risk of financial, reputational, or other harm to the affected individual.
9. IACUC: Institutional Animal Care and Use Committee; reviews detailed research protocols that involve vertebrate animals.
10. IRB: Institutional Review Board; reviews human subjects research protocols11. IBC: Institutional Biosafety Committee; reviews protocols involving recombinant
DNA and other listed biologicals.12. Fabrication of data: is making up data or results and recording or reporting them.
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13. Falsification of data: is manipulating research materials, equipment, or processes, or changing or omitting data or results such that the research is not accurately represented in the research record.
14. Plagiarism: the practice of taking someone else's work or ideas and passing them off as one's own.
15. Self-plagiarism: The reuse of significant, identical, or nearly identical portions of one's own work without acknowledging that one is doing so or citing the original work.
16. Principal Investigator (PI): A principal investigator is the primary individual responsible for the preparation, conduct, and administration of a research grant, cooperative agreement, training or public service project, contract, or other sponsored project in compliance with applicable laws and regulations and institutional policy governing the conduct of sponsored research.
17. Co-Principal Investigator (Co-PI/Co-I): Co-principal investigators or co-investigators are key personnel who have responsibilities similar to that of a PI on research projects. While the PI is ultimately responsible for the conduct of a research project, the Co-PI/Co-I is also obligated to ensure the project is conducted in compliance with applicable laws and regulations and institutional policy governing the conduct of the sponsored research.
18. Mentor: a person who advises or trains someone, usually a less experienced colleague.
19. Mentee: a person who is advised, trained, or counseled by a more experienced colleague.
20. Standard Operating Procedures (SOP’s): a set of step-by-step instructions used to perform complex routine tasks. SOPs improve efficiency and reduce the risk of failing to comply with federal and state regulations.
21. CITI (Collaborative Institutional Training Initiative) is the home website where numerous interactive training modules provide high quality, peer reviewed, courses in research, ethics, regulatory oversight, responsible conduct of research, research administration, etc.
22. Office of Research (OR): CHS office where all research grant and contract submission, management, and compliance is located.
23. Office of the Vice President for Research (OVPR): CHS office where the Vice President of Research leads the Office of Research staff
24. Conflict of Interest (COI): a situation in which a person is in a position to derive personal benefit from actions or decisions made in their official capacity.
25. Conflict of Commitment (COC): are generally situations in which a researcher is dedicating time to personal activities, such as consulting, in excess of the time permitted by institutional policy, or to other activities that may detract from his or her primary responsibility to the institution.
26. Financial Conflict of Interest (FCOI): in research is present when significant financial interests directly affect, or could appear to affect, the professional judgment of a researcher when designing, conducting, or reporting research.
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Research Operations at OSU-CHS-COM: (paraphrased from “Towards Excellence”, Strategic Plan 2016-2026, Oklahoma State University Center for Health Sciences, May 2016, pp72).
1. All OSU-CHS-COM research, creative, and scholarly activity is coordinated through the Office of Research (see Office of Research organizational chart in Appendix 1). The Office of Research houses a complete complement of staff, professionally trained in grant management (Pre and Post-Award operations), research compliance (IRB, IACUC, IBC, Laboratory Safety, etc.), clinical trials operations, and research services (editorial services, grant writing, center operations, institutional research, special programs, grants and contracts policy and procedures, etc.). The Office of Research is led by the Vice President for Research, a position recently filled by Dr. Charles Amlaner, D.Phil. (Oxf) (see Appendix 2 for explanation of VPR position description and job responsibilities).
2. The Oklahoma State University Center for Health Sciences (OSU-CHS) Office of Research provides practical support and guidance to researchers and administrators on grant and contract funded research development, project administration and compliance. Research Operations are guided on a day-to-day basis by the Director of Research Operations (see Appendix 3 for explanation of the Director of Research Operations position description and job responsibilities). Within the Office of Research, sponsored projects administration is guided by national and state standards, through approved OSU-CHS-COM policies, procedures, and standard operating procedures (SOP’s) that are approved through administrative review, then approved for use by shared governance processes (see Office of Research website https://health.okstate.edu/research/index.html for all approved research related policies, procedures, and SOP’s).
3. The Director of Regulatory Compliance and Research Facilities (see Appendix 4) is responsible for implementing all research compliance policy and procedure throughout OSU-CHS-COM. Research compliance covers human subjects research oversight by the Institutional Review Board, animal research oversight by the Institutional Animal Care and Use Committee, biological safety oversight by the Institutional Biosafety Committee, radioisotope use by the Radiation Safety Committee and Radiation Safety Officer, and other compliance matters related to proper research activity.
4. The Director of Research Services (see Appendix 5) is responsible for directing all program grant writing and editorial services, and oversees a group of 10 institutional grant writers (4 full-time, 6 part-time). The Director of research services also manages the Clinical Trials research program, along with support from a primary manager and four (4) clinical trials coordinators who manage day-to-day clinical trial operations.
5. The Office of Research assists and promotes the Center for Health Sciences Publications Editor (see Appendix 6 for explanation of Health Sciences Publications Editor position description and job responsibilities) of all research related publications at OSU-CHS-COM, including the new online Medical Journal, Office of Research Newsletter, Office of Research Annual Report, and Research Day’s
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Abstracts Booklet, among other publications related to research and scholarly activity of clinical and biomedical sciences faculty, students, and staff.
6. The Office of Research vigorously promotes, reviews, awards, and manages all intramural funding activities at OSU-CHS-COM, including sponsoring faculty initiated pilot research studies leading to new grant applications, arranging page charge payments for new publications in peer reviewed journals, proceedings, and book chapters, OSU-CHS-COM medical student summer stipends for research, graduate student summer stipends for research, OK-Stars and Native OK-Stars support, new PI travel to professional laboratories, new PI travel to meet federal sponsors and program directors, and new PI startup negotiations and package development, among other sponsored projects activities.
What is OSU-CHS-COM Clinical and Biomedical Faculty Research? Research expectations of clinical and biomedical faculty are guided by institutionally approved promotion and tenure (P&T) guidelines (Appendix 7), annual review guidelines, and departmental workload assignments provided through chairpersons and deans. Each clinical and biomedical faculty member is expected to engage in professional teaching, research, and service. The requirements of each activity are outlined at the beginning of a faculty member’s career, usually at initial appointment to the Assistant Professor level. Annual evaluations emphasize areas of strengths and weaknesses leading to decisions about promotions to higher levels of clinical and professorial competency. Research quality and quantity are routinely evaluated by chairs and deans through professional peer reviewed publications, federal and state grant submissions and awards, professional research seminars and conference talks, along with guiding clinical, laboratory or field based research projects of students, post docs, and staff. OSU-CHS-COM departments (clinical and biomedical) have standard promotion and tenure guidelines published on their respective websites.
What is OSU-CHS-COM Medical Student Research? The research expectation of medical students is guided by national accreditation standards that emphasize the importance of developing critical thinking and problem solving skills while conducting original research guided by clinical and biomedical faculty. Our medical students are encouraged to engage in a research experience between year 1 and 2 (summer) or during years 3 and 4 rotations (research rotation spanning 1 or 2 months). Most student engaged research is begun through self-selection to do research, then by professional exposure to faculty (clinical and biomedical sciences) through scheduled courses, visiting laboratories, listening to seminars, personal self-interest, undergraduate or high school experiences (as in OK Stars), recommendations from mentors and colleague students, etc. We at OSU-CHS-COM provide broad exposure to researchers throughout the campus, first by encouraging visitation with the faculty in active research labs or field sites. Beyond the initial exposure is the opportunity for students to attend seminars and research demonstrations conducted by clinical and biomedical researchers, where they are exposed to the methodologies of biomedical sciences. The mentor faculty member may apply to the OVPR for funding to support the mentee medical student’s research experience in their lab or field site (See Appendix 8 for Mentor-Mentee program guidelines and
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funding opportunity).
Disciplinary examples open to medical student research are as follows:
Anatomy Behavior Behavioral Sciences Biology Biochemistry Biomedical Engineering Biomedical Sciences Biometrics and Data Analytics Chemistry Data Analytics & Meta Analysis Forensic Sciences Sports Medicine Physiology Psychology Psychiatry Rural Health
What is OSU-CHS-COM undergraduate research? According to the Council on Undergraduate Research (CUR), it is: “An inquiry or investigation conducted by an undergraduate student that makes an original intellectual or creative contribution to the discipline.” http://www.cur.org/about.html. Research laboratories at OSU-CHS-COM offer select “real-world” research opportunities to Oklahoma State University undergraduates each summer, and occasionally throughout the academic year. Undergraduate research can take many forms at OSU-CHS-COM depending on the discipline. Disciplinary examples open to undergraduate research are as follows:
Anatomy Animal Behavior Behavioral Sciences Biology Biochemistry Biomedical Engineering Biomedical Sciences Biometrics and Data Analytics Chemistry Ecology Evolution Forensic Sciences Sports Medicine Paleontology
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Physiology Psychology Psychiatry Rural Health
Why should I get involved in undergraduate research at OSU-CHS-COM? Undergraduate research is one of the ten “high-impact educational practices” that promote deep learning and engage students (Kuh, 2008). There are numerous benefits associated with undergraduate research – for example, increased student retention, progression and graduation rates, increased rates of attending graduate school, better success once in graduate school, improvements in critical thinking, improvements in writing and public speaking, etc. (Bauer & Bennett, 2003; Hathaway et al., 2002; Nagda et al., 1998; Nnadozie et al., 2001). In general, while you are working in and among professionally trained clinicians and biomedical scientists, you’ll become professionally socialized through your undergraduate research experiences; you’ll learn professional conduct and begin to acquire the skills and attitudes associated with your discipline (Hunter et al., 2006; Lopatto, 2007; Seymour et al., 2004). Undergraduate students frequently publish their research with the mentoring scientist. We encourage undergraduate students to consider engaging in research at OSU’s Center for Health Sciences College of Osteopathic Medicine as a pathway to a career in medicine.
The Office of Research at OSU-CHS and the Research Grant Life Cycle: The Office of Research houses a comprehensive array of responsibilities and functional duties, including all aspects pertaining to the Principal Investigators, Center for Health Sciences Colleges and Schools, Office of Research Pre-award Services, Grant Managers in the Colleges, Schools, Departments, Office of Compliance, Intellectual Property and Technology Transfer, General Counsel, OSU Office of Research at Stillwater, and Office of Research Post-award Services are listed in Appendix 9.
The Research Grant Life Cycle (RGLC) represents a convenient model of all OSU-CHS-COM Office of Research operations. Below we briefly describe the various life cycle steps.
1. Refining the research idea, training in research expectations and finding research and grant opportunities:
a. Training Workshops to include, compliance (IRB and IACUC primarily), converting ideas into finding the right source of grant funding, best writing practices for R01-NIH and NSF type research grants as well as collaborative grants with multiple Co-I’s, grant life-cycle to include pre-award, post-award, and ongoing applications.
b. Director of Institutional Research (job description in Appendix 10). Maintains accurate information on OSU-CHS-COM activities, student performance, and demographics of student and faculty populations, alumni accomplishments, and history. Will also do the NSF annual reporting on research space and graduate student enrollment, as well as a number of other tasks associated with institutional data needs. Annual reporting tasks will also include the creation of a “OSU-CHS-COM Fact Book, creation and management of an extensive database of all student, faculty, and staff data including all routine milestone and benchmark information needed to recruit new students into the OSU-COM. The position will be initially
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incubated in the Office of Research until it can stand alone as a 2 to 3-person office reporting to the President of CHS.
2. Proposal development, approval, and submitting grants and contracts (Pre-Award management: in this step, our pre-award staff help the PI to formulate a complete proposal ready for submission to a federal or state funding agency. We help the PI to complete all requirements of the funding agency, and we help ensure that all questions are answered in the proposal, including key items in the budget.
3. Compliance within research operations at OSU-CHS-COM (Compliance management) usually aligns with the pre-award step, in that as the proposal is formed, decisions will be made to include animals, humans or other organisms that require protocol development for separate review by an institutional compliance committee. Our compliance staff will assist the PI with the development of a sound protocol outlining all steps within the research plan, and will help move the protocol through each review step. The outcome will be an approved set of steps to conduct the research project within all levels of compliance at state and federal levels.
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4. Grant and Contract Research management (Post Award management): Once an award is made to OSU-CHS-COM, the PI will begin hiring staff, students, post docs, etc. Our OR staff will assist in ensuring that hiring is complete as quickly and accurately as possible within OSU HR standards. “Burn rates” of funds will be monitored to ensure that the PI spends the sponsored funds appropriately, again according to federal and state financial standards. Monthly financial reports will be provided to the PI. Advice will be provided on all aspects of post award activity.
5. CHS Policy on Responsible Conduct of Research (RCR) Training for Students Paid with NSF Funds: OSU-CHS students (undergraduate visitors, COM medical students, and Graduate students) must complete the CITI online Responsible Conduct of Research (RCR) training for their respective discipline. The PI needs to attach the curriculum completion report to the hiring paperwork and submit the package to the Office of Research at CHS. The Office of Research will approve and forward the paperwork to HR. No student will be approved for hire without verification of this training. In addition to this online training, students will complete a face-to-face training segment with the faculty member under whose direction they are conducting research. Office of Research staff will work with the faculty member on this segment. Possibilities include having students read On Being a Scientist or The Immortal Life of Henrietta Lacks and then discuss the reading with their faculty member. Office of Research staff will follow-up with the faculty member on this face-to-face training.
6. Management of Research Integrity: The Vice President for Research is the designated Research Integrity Officer (RIO) on matters related to scholarly and research misconduct, guided by clear policy and procedure (based upon standards taken from the Office of Research Integrity used by federal funding agencies in matters of research misconduct and during investigation of research misconduct). This position is an adjunct responsibility to the VPR’s duties, the Research Committee, and the Office of Research.
7. Export Control standards will be monitored for any research projects that require international activity. We will use OSU-Stillwater resources to ensure that the PI stays in compliance with federal export controls standards of ITAR and EAR policy.
8. Dissemination of research results: The Office of Research and the OVPR will assist students and faculty in reviewing and editing professional papers, and will also assist departments, schools, and colleges with publication charges (e.g. page charges, color plates, etc.) for professional publications and travel to professional meetings in the delivery of a paper.
9. Archiving research data at OSU-CHS-COM: this step is aided by the OSU-CHS Information Technology unit which provides long-term storage of digital research data, grants and contracts records, and other professional research documents.
10. Closeout of extramurally funded research and/or no cost extensions beyond the grant period will each be closely aided by PI conversation with the OR post-award staff in consultation with the pre-award staff. Many federal agencies have given OSU-CHS-COM permission to issue no cost extensions up to one year where there are good reasons to have an extension. Otherwise, the OR will consult with the
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program officers of the relevant federal agency to determine best ways forward for processing and approving no cost extensions and grant closeout processes.
OSU-CHS-COM Internal Research Funding Resources (see below Recommended Funding Level; Policy & Procedure Document Outlining Funding Process, Target Audience, and Goals):
1. OVPR Research Incentive 1-3 year Grants ($150k; See Appendix 11)2. OVPR Equipment 1 year Grants ($50k; See Appendix 11)3. OVPR Research Travel 1 year Grants ($25k; See Appendix 11)4. OVPR Summer Student Research Grants ($40k; See Appendix 11)5. CHS Research Startup 1-3 years Grants ($100 to $300k spread over 3 years, for each
new faculty hire; policy and procedure in development)6. Mentor-Mentee 1 year Grants ($50k; See Appendix 8)7. OVPR Support for OKStars and Native OKStars ($5k; Appendix 12)8. OVPR Support for outward focusing workshops, conferences, and symposia ($25k;
proposals are reviewed on a case by case basis in the OVPR)9. OVPR distribution of recovered F&A funds to PI’s, Departments, Deans, President,
and Office of Research (see Appendix 13 for F&A Distribution Policy)10. OVPR time and effort personnel allocation and accounting of faculty research
workload (routine allocation of 40% teaching, 40% research, 20% professional service, with the Office of Research monitoring research percentages as a portion of annual salary; see Appendix 14 for Time and Effort Reporting Policy)
11. OVPR Editorial Services and Page Charge Payments ($25k; proposals are reviewed on a case by case basis in the OVPR)
12. OSU-CHS-COM Salary Incentive ($ Variable; The OR evaluates extramural salary funding provided through grants and contracts, and OSU-CHS incentivizes the PI’s salary by 50% of the evaluated salary savings. See Appendix 15)
The Research Committee within Shared Governance of the Faculty Senate: The Research Committee shall promote faculty and student research. The committee serves as an advisor to the Vice President for Research and Faculty Senate in matters concerning research. The specific duties of the committee shall include the following: develop and evaluate long-range research plans and programs of the college; recommend policies and guidelines concerning the administration of research grants and contracts; recommend policies and guidelines concerning intramural research grants and the use of college research space, equipment, and personnel; review and make recommendations concerning the functions of the Office of Research; obtain faculty input concerning all areas of research and represent the research needs of the faculty to the Vice President for Research and Faculty Senate; recommend for membership and be advised of the actions of the Institutional Animal Care and Use, Institutional Review Board, Institutional Biosafety, and Chemical Hygiene and Radioisotope Use regulatory committees; recommend policies and procedures concerning fraud and misconduct in research.
The Research Committee shall operationalize its mission by regularly meeting no less than quarterly with special meetings allowed under authority of the Oklahoma Open Meeting Act,
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Title 25, Oklahoma Statutes 301-314. The Committee shall receive, review, and make comments and recommendations on regulatory committee reports and other business brought to the Research Committee in open meetings. Minutes of the Research Committee meetings, once approved will then be forwarded to the Offices/Representatives of the Vice President for Research and Faculty Senate with copies to the Department Heads of the Center for Health Sciences.
Membership shall consist of two (2) members from the clinical sciences faculty and two (2) members from the biomedical sciences faculty, the chairs of the four (4) regulatory research committees (Institutional Animal Care and Use, institutional Review Board, Institutional Biosafety, and Clinical Hygiene and Radioisotope Use) or their designees, recognizing that one (1) person may chair more than one (1) committee, the Laboratory Safety Coordinator, and the Vice President for Research (Ex-Officio). The committee defines a quorum as a simple majority of the membership, which includes the presence of at least one (1) member from the biomedical sciences and one (1) member from the clinical sciences or their designee. The Head of the Medical Library has been invited to advise the committee as ex-officio, non-voting member.
OSU-CHS-COM Infrastructure of Research:1. Library resources:
The Medical Library provides biomedical information and services to support education, research, patient care, and community outreach. The collection consists of more than 10,600 electronic journals, 4,600 electronic books, 4,000 print books, and a growing collection of rare books and manuscripts. Additional resources can be purchased on demand or borrowed from other libraries via the Medical Library’s interlibrary loan service. The Library also provides access to research databases and research support tools, including Embase, EndNote, Google Scholar, PubsHub, PubMed, Science Direct, SciVal, Scopus, among many others. See the Medical Library website for a complete list of resources and services: health.okstate.edu/library/
Implemented in the fall of 2018, PURE provides a research data management platform for documenting OSU-CHS-COM faculty and student research activity. Tracked activities include published scientific articles, books, book chapters, laboratory equipment, research projects, courses taught, and other research activities, down to the department and faculty member level. Pure provides robust administrative reporting tools and an electronic curriculum vitae management system. Reports can be generated to identify areas of excellence and growth. PURE’s public facing faculty profiles showcase faculty research activity and expertise. Public profiles give potential external research collaborators and graduate students insight into faculty interests. Full implementation and rollout of PURE is scheduled for early January 2019.
2. Laboratory resources (see Appendix 16 for floor plans and assigned space)3. Shared Use Equipment Centers (see Appendix 16 for floor plans and assigned space)
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4. Animal Facilities, Care, and Use (see Appendix 16 for floor plans and assigned space)
The OSU-CHS-COM Oklahoma State Medical Proceedings Journal:
The Oklahoma State Medical Proceedings is a newly developed medical journal with editorial office located at OSU-CHS. It is an open access, peer reviewed journal with an emphasis on publications from those individuals who are in training within the broad areas of medical sciences and medical science education. It utilizes Open Journal Systems as the publishing platform and the Journal Editors are in the process of obtaining PubMed indexing.
Centers of Research Excellence at OSU-CHS (see page 7 of OSU-COM Strategic Research Plan, 2016-2026 for descriptions of the centers):
1. Center for Wellness and Recovery (CWR)2. Center for Project ECHO3. Center for Integrative Research on Childhood Adversity (CIRCA)4. OMM5. Rural Health6. Data Analytics and Predictive Medicine7. Sports Medicine8. Neuroscience9. Cardiovascular10. Infectious Diseases11. Precision Medicine
OSU-CHS-COM Clinical Trials Research Management and Operations:
Clinical Trials are conducted between OSU-CHS-COM, the Office of Research where clinical trials are managed, and the OSU Medical Center and Clinics where patients who are enrolled in various clinical trials are observed by trained medical personnel. Clinical trials are managed by the Clinical Research Manager (Appendix 17) who is charged with oversight of the clinical trial agreements and financial matters relating to the clinical trial research. Several Research Coordinators are charged with the day-to-day operations of coordinating visitation schedules of patients with medical personnel at the local OSU Medical Center, or one of the 23 Clinics operated by the Center for Health Sciences throughout Oklahoma. Presently, we are conducting 12 clinical trials involving several clinical departments within the OSU-CHS-COM.
Clinical and Biomedical Sciences Faculty Research Productivity Monitoring:
1. Faculty submissions and awards of grants, contracts, and services (records of grant and contract activity are monitored in the Office of Research).
2. Faculty publications, summarized annually, using a new electronic CV solution by Elsevier, PURE. Provost monitors peer reviewed journal articles, book chapters,
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presentations at conferences, symposia, workshops, meeting abstracts, posters, patents, CME lectures, Grand Rounds lectures, faculty development, etc.
3. Student publications, summarized annually, using direct polling to students. Office of Research monitors abstract and paper publications, talks on science and medicine, poster paper presentations, and professional development activity, etc.
4. Student support opportunities are monitored in the Office of Research for graduate research stipends, funded internships, and fellowships.
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Appendix 1: Office of Research Organizational Chart (September 2018)
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Appendix 2: Job Description of the Vice President for Research and Responsibilities
Position SummaryThe Vice President for Research at the Oklahoma State University Center for Health Sciences (OSU-CHS) is responsible for planning, coordinating, and promoting programs of excellence in research, which will assist CHS in carrying out its mission and goals. The Vice President provides campus-wide leadership and coordination for planning, policies, procedures, programming, and public and private financial support for research programs. The Vice President reports directly to the Senior Vice President of the Center for Health Sciences. This position also works closely with OSU-CHS leadership, Oklahoma State University Vice President for Research, school heads, academic deans and associate deans for research throughout the Oklahoma State University system to enhance and facilitate collaborative research and scholarship
Preferred QualificationsTen (10) years of research and/or sponsored program administrative management with a record of success in public and private fundraising. Familiarity with basic science and clinical research funding opportunities as well as grant programs in support of health professions education.
Primary Leadership Duties and Responsibilities Provides leadership for planning and development of research and other grant-sponsored
projects that are consistent with the goals of CHS and the needs of Oklahoma residents. Coordinates and manages those who direct organized research (both basic science and clinical)
and training grant activities as well as resources related to those efforts. Promotes cooperative research and sponsored programs between CHS and other OSU faculty
and staff as well as collaborative activities with other colleges, universities, and agencies. Oversees all CHS committees and advisory boards/committees associated with research and
sponsored programs. Identifies and facilitates grant and contract applications and other initiatives that support CHS
research and training programs. Participates in fundraising strategies that advance the interests of CHS, including those that
involve governmental and private foundation relations. Authorizes requests for personnel, services, materials, space, and equipment required to carry
out research and sponsored programs. Prepares and oversees annual budget for the Office of Research and its various subparts;
provides overall management for the budgets of all research and sponsored programs. Works with the Office of Research Compliance on the Stillwater campus and the CHS
Compliance Office to ensure that all governmental and funder’s requirements are met relative to research and sponsored programs, including those pertaining to EAR/ITAR regulations, use of animals in research, human research, and laboratory safety.
Cooperates with academic Deans and school heads in the supervision of faculty engaged in research and sponsored programs.
Perform other related duties incidental to the work described herein as may be assigned or delegated.
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Appendix 3: Job Description of the Director of Research Operations and Responsibilities
The Director of Research Operations reports directly to the Vice President for Research and Chief Research Officer, and is primarily responsible for the management of the day to day work flow and operations of the Office of Research. Specifically, the Director of Operations is responsible for: Ensuring a culture of service, support, and excellence to move forward OSU-CHS’s mission. Serves as liaison among principal investigators (PI’s), university administrative units, sponsors, and
department chairs and deans. Assuring that the infrastructure and processes in the Office of Research support innovation and
responsible conduct of research while reducing administrative burdens. Using data-driven metrics, evaluating existing policies and procedures for efficacy, efficiency, and
economy. Providing leadership and expertise on grant and contract development and acquisition. Providing guidance and leadership regarding operational directions for OSU-CHS and research
directions to align with current funding opportunities. Coordinating projects with inter-disciplinary and diverse team members from academia, private
industry, public entities, and key community organizations. Interprets both federal agency and university requirements and policies/practices for departments
and provides support to obtain newly available information on funding volume, timing of reports, fiscal issues, and compliance with regulatory requirements.
Managing and supporting pre-award aspects of grants and contracts, from concept development to proposal submission through the finalization of all awarded documentation.
Working closely with post-award compliance and accounting staff to provide seamless support to researchers and administrators throughout project implementation.
Auditing proposals and grants teams for grant and contract-related compliance for all solicitations pursued in support of research activities.
Bringing instances of non-compliance to the attention of the Vice President for Research. Developing and maintaining a short- and long-term grants forecast calendar to ensure the necessary
time and resources are allocated to the development of highly competitive projects and proposals. Generating operational and statistical reports for management and regulatory agencies to evaluate
research grant and contract activity and available funding. Serving as liaison with a variety of agencies, foundations and professional groups to remain current
on new pertinent developments in funding sources, compliance, laws, and regulations. Hiring, professional training, and supervising OSU-CHS Office of Research staff. Contributing to a strong sense of team and fellowship within the Office of Research to support the
needs of all personnel at OSU-CHS. Performing other duties as assigned by the OSU-CHS Vice President for Research.
Essential Qualifications Graduation from an appropriately accredited four-year college or university in a related field and
three years of experience in the management of administrative activities of a business or governmental program; or an equivalent combination of education and experience.
A leader with a demonstrated track record of success in supporting researchers in higher education with an understanding of the research process.
Strong management and leadership skills and the ability to work collaboratively and independently. Superior organizational skills and the ability to manage multiple projects with competing priorities
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and deadlines. An individual with a solution-oriented approach to problem-solving. The ability to build and motivate interdisciplinary teams of researchers and staff. Superb written and verbal communication skills, including public speaking skills. Extensive understanding of federal and state rules, regulations, policies, and procedures as well as
the ability to interpret those of other sponsoring agencies Experience in public and private grants and contract development and acquisition. Ability to develop, plan, and implement short- and long-term goals. Strong strategic planning skills and the ability to effectively allocate limited resources to appropriate
priorities.
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Appendix 4: Job Description of the Director of Regulatory Compliance and Research Facilities
The Director of Regulatory Compliance and Research Facilities reports to the Vice President for Research, and works in close coordination with the regulatory compliance committees and departments across the University in the support of the mission of ethical and responsible research.
The Director oversees the research compliance team; develops and implements balanced policies and procedures in support of the regulatory committees; develops clear and effective communications to the faculty, administration, and all individuals involved in the conduct, management, or reporting of research, in understanding all aspects of research compliance, policies, concepts, and related procedures; recommends and leads the implementation of updates in accordance with regulatory changes and University community best practices; identifies areas of opportunity to improve efficiency and effectiveness of internal processes; recommends and implements these in the context of regulatory changes and University community best practices; and initiates and responds to high level communications with federal regulatory agencies on behalf of the University.
The Director supervises the staff within the Animal Care Facility.
The Director also serves as a content expert on several regulatory and compliance committees within OSU-CHS administrative operations.
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Appendix 5: Job Description of the Director of Research Services
Responsibilities: Directs and oversees all aspects of Clinical Research Department and grant writing activity. Finds funding opportunities for faculty members/faculty teams, as well as potential community collaborations. Provides technical assistance, guidance, and interpretation of funding solicitations. Develops, edits, and writes grant proposals. Provides direction and leadership for growth of Clinical Research. Directs and oversees all aspects of Clinical Research Department. Provides oversight and direction for day-to-day activities, and provides leadership for growth of department. Works with biomedical and clinical faculty to find and/or develop appropriate clinical trials, as well as funding mechanisms. Oversees grant writing activity. Researches and identifies potential grant sources and distributes relevant funding local, state and federal opportunities. Provides technical assistance, guidance, and interpretation of funding solicitations. Coordinates and facilitates teams of faculty and/or community members for joint funding opportunities. Coordinates and/or conducts workshops, seminars, and training related to research and proposal development. Develops, edits, and writes grant proposals and accompanying required documents. Serves as Office of Research liaison to community groups for collaborative grant ventures for biomedical, clinical, and programmatic opportunities.
Experience: Requires five years professional writing experience with three years of experience in developing successful nationally competitive grant proposals for external, entities. Two years of experience with university Research and Clinical Research Administration. Five years’ experience with supervision. Successfully funded grant writing experience with federal agencies such as NIH, NSF, DOD and HRSA.
Skills and Proficiencies: Must work independently while also being an effective team member. Must have creative strategy and project management skills. Possess the ability to take initiative and prioritize projects in order to meet office and prioritize projects in order to meet office and proposal deadlines. Have outstanding oral, written and interpersonal communication skills, with the ability to speak those within the university and externally in government and academia. Must have the ability to work collaboratively across disciplines. Ability to apply basic federal and state regulations and OSU policy and procedures, in regards to proposal submissions and clinical research.
Degree: PhD/EdD
Field of Study: Related field. Experience in university and clinical research administration.
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Appendix 6: Job Description of the Health Sciences Publications Editor and Responsibilities
Experience and Education Qualifications:The Health Sciences Publications Editor is a newly created position at Oklahoma State University Center for Health Sciences that is being developed to provide leadership direction for growth of the college’s research and scholarship dissemination programs in the health science fields. The position will report to the Vice President of Research at OSU Center for Health Sciences and Journal Management responsibilities will also coordinate with the Journal Editorial Board. Oklahoma State Medical Proceedings is a newly developed medical journal. It is an open access, peer reviewed journal with an emphasis on publications from those in training. It utilizes Open Journal Systems as the publishing platform and is in the process of obtaining PubMed indexing. To successfully perform this job, the individual must have experience in creating and disseminating research quality publications. Previous editorial experience is preferred. The qualified candidate will show evidence, through work experience or equivalent training, of an ability to perform each essential duty satisfactorily. A Master level education is required but a Doctoral level of education is strongly preferred. The candidate must have the ability to mentor early career faculty in all aspects of routine dissemination of research.
The selected candidate will have: Excellent written and verbal communication skills Ability and experience to read, analyze, and interpret common scientific and technical journals,
financial reports and legal documents Ability to respond to common inquiries or concerns from participants, regulatory agencies,
faculty, staff, students, and members of the health professions and other business entities Excellent interpersonal and organizational skills to effectively provide leadership to multiple
health sciences programs
Essential Duties and Responsibilities: Mentor faculty, fellows, residents, graduate students, and medical students in strategies for
improving the scholarly dissemination of their research. Serve as the Journal Manager. This individual takes on the primary responsibility for the journal
website, configuring the system options, routing articles and managing user accounts. The Journal Manager works closely with the Journal Editors, Section Editors, Copy and Layout Editors, Proofreaders, Authors, and Reviewers. These activities will entail daily involvement to ensure all components of the Journal are working together, i.e., timely tracking of submissions to ensure that they are moving through the process of publication.
Assist in development and maintenance of the Office of Research Website, Newsletter, and Annual Research Report, in an active, externally funded research division
Regularly assess and promote the scholarly productivity of faculty, fellows, residents and students.
Enhance and promote research policies and guidelines relevant to dissemination of research results within basic and applied health sciences.
Work with the Vice President for Research in support of the health science program’s role in the execution of the Center for Health Sciences Strategic Plan for Research.
Serve as a knowledge liaison on CHS research and planning initiatives campus-wide. Perform other duties as assigned by the Vice President for Research.
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Appendix 7: OSU-CHS-COM Promotion and Tenure Guidelines for Faculty
Reappointment, Promotion and Tenure Process for Ranked Faculty (Derived fromOSU Policy and Procedures Letter No. 2-0902)
PURPOSEThe purpose of this policy and procedures letter is to provide guidelines for the evaluation of faculty through annual evaluation, reappointment, promotion and tenure.The ability of a university to function, progress and develop excellence depends both on the individualperformance of each faculty member and on the collective performance of the faculty as a whole. Thesuccess and reputation of a university are highly dependent upon the talents that exist among its facultyand how effectively those talents are focused to accomplish the institution's mission. Accomplishing OSU'sland-grant mission requires a creative, collective intermingling of individual faculty talents. Consequently,each faculty member will likely have a unique role in the institution, college and unit, and a specialassignment in terms of the focus and distribution of effort among instruction, research/creative work,outreach/extension and service responsibilities.
As a land-grant university, Oklahoma State University places primary emphasis on the discovery,integration, application, dissemination, transfer and use of knowledge. Scholarly investigation is the heart ofthe professorate and it undergirds the mission of the land-grant system. Faculty are expected to participatecontinually in a broad range of scholarly activities which contribute to current knowledge in their field ofexpertise and which support the mission and goals of their unit, college, and university. The appraisal anddevelopment process, as well as the reappointment, promotion and tenure (RPT) process, are the meansused to encourage and evaluate the professional growth of individual faculty members. The goal is toattract, retain and reward those faculty who demonstrate excellence.
Faculty Evaluation. The evaluation process at the Oklahoma State University Center for Health Sciences(“OSU-CHS”) is designed to assist the institution in attracting promising faculty members, to help themreach their potential, to retain only the outstanding faculty and to reward their proficiency. Evaluation of theperformance of faculty members is also conducted for the purpose of compensation review and at theappropriate times for the purpose of reappointment and/or for the awarding of tenure and promotion.Promotion in Academic Rank. Initial academic rank is based on evidence that the faculty member has metthe qualifications for the rank to which he/she is being appointed. Faculty members are hired to accomplishobjectives of specific academic units and are to be judged accordingly. Consequently, the evaluation offaculty is to be carried out in the context of the faculty member's particular role in the institution with a clearunderstanding of what is expected of the individual. Accomplishments of the faculty member are judgedagainst these expectations. Promotion in rank recognizes exemplary performance of a faculty member. Theevaluation process provides an assessment of a faculty member's growth and performance since initialappointment or since the last promotion.
The evaluation process must be based on a comprehensive assessment of the candidate’s record ofscholarly research/creative work, teaching, outreach/extension and service. This assessment should takeinto account the quality of outcomes as well as their quantity; it should also acknowledge the creativity offaculty work and the impact of the faculty member’s work on students, on the field(s) in which the facultymember works, and on others the university serves. Interdisciplinary work, public scholarship andengagement, international accomplishments and initiatives, technology transfer initiatives, and other specialkinds of professional activity by the candidate should be considered when appropriate.
The relative importance of these criteria may vary in different academic units, and particular facultymembers within units may vary in the extent to which their responsibilities emphasize one or more parts of
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the OCU-CHS mission. Criteria against which individual faculty members are judged must reflect thesevarying assignments and must align with the work assignment specified in annual appraisal documents.Academic Unit Standards. The primary responsibility for establishing the criteria for promotion and tenurerests with the academic unit. Each department or equivalent academic unit must have a document thatclearly specifies (1) the indices and standards that will be used to determine whether candidates meet therequirements for tenure and promotion to Associate Professor, (2) the indices and standards that will beused to determine whether candidates meet requirements for promotion to Professor, and (3) the goals andexpectations to be used in evaluating faculty performance in annual appraisal and developments. The unitstandards must delineate the tangible evidence that the faculty member must provide to document, notsimply the attainment of minimal accomplishments, but an appropriate record of sustained excellence.The academic unit standards will define the criteria of teaching, research/creative work, outreach/extensionand service in ways that reflect the discipline and its mission. The unit’s refined criteria shall be applied toall faculty members in ways which equitably reflect a particular faculty member’s responsibilities andassignments. How the unit’s standards apply to a specific faculty member's duties should be made clear atthe time of appointment and reviewed in the annual appraisal and development process. Adjustments in theworkload expectations for faculty members may occur over time in keeping with changing institutional andpersonal priorities, but these must be discussed and documented in the annual Appraisal and Developmentreviews which are signed by the faculty member and administrative head.
The unit standards serve as the basis for the evaluation of the faculty member’s dossier at all levels ofreview. The unit standards must be consistent with university and college policies but may exceed them.Each academic unit document must be approved by a vote of all tenured and tenure-track faculty within theunit, by the SADAA, and the President of OSU-CHS.
a. Instructor. The rank of instructor is appropriate only in disciplines where a master's degree is acommonly accepted professional degree, but is not the highest academic degree. An instructorshould have earned the highest academic degree in his or her field and should have professionalskills and expertise needed in the discipline. Such expertise should be certified by the discipline'sprofessional organization, as appropriate. An instructor demonstrates excellent performance inteaching and other assigned duties. The record of an instructor should include maintenance ofprofessional expertise and participation in professional organizations.
b. Assistant Professor. The assistant professor rank is recognition that the faculty member hasexhibited the potential to grow in an academic career in accordance with the institution's missionand the academic unit's objectives. An assistant professor should have earned the acceptedhighest degree in his or her field or, in exceptional cases, should have demonstrated potential viaprofessional experience judged by the unit as beneficial and desirable for the particularappointment. In the period between appointment as an assistant professor and promotion toassociate professor, terms expressed in the academic unit, college, and university standards, theletter of offer, the position description, and the annual evaluations provide guidance regardingprofessional development of the faculty member to peers and administrators charged with judgingprogress toward promotion.
c. Associate Professor. To attain the rank of associate professor, the candidate must establish thathe/she is an accomplished teacher, where teaching is an assigned responsibility, and that he/shehas a significant record of scholarly research, artistic and/or creative work, teaching,outreach/extension and service in keeping with the academic unit, college, and universitystandards and his or her job responsibilities. Clear evidence should be presented that the individualhas established a solid academic reputation and shows promise of further development andproductivity in his or her academic field.
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Promotion to Associate Professor with tenure requires tangible evidence of sustained excellence inaccomplishments as measured by an appropriate assessment of his or her work, as defined in theacademic unit standards. The dossier must provide tangible evidence that the faculty membershows clear promise of becoming a leading scholar, teacher, creative artist, and/or provider ofoutreach/extension, according to the primary assigned responsibilities. A recommendation fortenure should be based upon an assessment that the candidate has made contributions of anappropriate magnitude and quality in research/creative work, teaching, outreach/extension andservice, and has demonstrated a high likelihood of sustaining contributions to the field and to theacademic unit, so that granting tenure is in the long-term best interests of the academic unit andthe university.
d. Professor. The rank of professor, the highest rank in the university, designates that the facultymember's academic achievement merits recognition as a distinguished authority in his/her field.Professional colleagues, both within the university and nationally, recognize the professor for his orher contributions to the discipline. A professor is an outstanding member of the academiccommunity and sustains excellent performance in teaching, where teaching is an assignedresponsibility, research/creative work, outreach/extension and service in keeping with the unitcriteria and his or her job responsibilities. The record of a successful candidate for professor mustshow evidence of sustained excellence over an extended period of time.
Promotion from Associate Professor to Professor requires tangible evidence that the facultymember has attained a national or international reputation in a field and that he or she is a leadingscholar, teacher, creative artist, and/or provider of outreach/extension, according to the primaryassigned responsibilities and the criteria established in the academic unit, college, and universitystandards. A recommendation for promotion to Professor should be based upon an assessmentthat, since the last promotion, the candidate has made sustained contributions of appropriatemagnitude, independence and quality in research/creative work, teaching, outreach/extension andservice, and has demonstrated the ability to continue to sustain contributions to the field and to theacademic unit, so that granting the promotion is in the best interest of the academic unit and theuniversity.
Tenure. The awarding of tenure (continuous appointment) is the most significant decision made relative toan institution's future and, therefore, is the highest honor bestowed on a faculty member. The PolicyStatement to Govern Appointments, Tenure, Promotions, and Related Matters of the Faculty at theOklahoma State University Center for Health Sciences (hereafter referred to as the Policy Statement)states that tenure, a means to assure academic freedom, is indispensable to the success of the Universityin fulfilling its obligations to students, to the state of Oklahoma and to society in general.Intellectual curiosity is an essential requirement for effective instruction, as well as for continuing scholarlypursuits. When tenure is conferred, it is the University's expectation that the faculty member will (1)consistently contribute to the instructional, research/creative work and/or outreach/extension mission of theUniversity; (2) remain current and intellectually curious; and (3) continue to be a wise investment for theUniversity. The decision is a judgment made with appropriate faculty counsel. The granting of tenure is amajor decision for the institution and shall not be granted unless the faculty member has demonstrated byconsistent performance that OSU-CHS and the OSU-CHS RPT Committee the University will benefit frommaking a career-long commitment to the faculty member.
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Appendix 8: Mentor-Mentee funding program at OSU-CHS-COM
Mentor Mentee Research Program
Call for Proposals
On behalf of the the Center for Health Sciences College of Osteopathic Medicine (CHS-COM), the Office of Research is pleased to announce the 2018 Mentor Mentee Research Program. With the view that “the best learning comes from doing”, the Mentor Mentee program is designed to stimulate and foster medical student research projects in collaboration with faculty mentors. Through collaborative research, medical students will improve their analytical thinking and problem solving skills while gaining experience with the writing, presentation, and interpersonal skills essential for success in their intended professional career.
*** Interested Students: Contact clinical and biomedical sciences faculty doing research in your area of interest to discuss possible collaborations! ***
Nature of the Mentor Mentee Program for Medical Students
The Mentor Mentee Research Program is designed to serve a two-fold purpose: First, it provides medical students the opportunity to further their research interests and skills. In many cases medical students also have the opportunity to participate in scholarly activity through the generation of results (e.g. conference presentations or poster; authorship on a peer-reviewed research paper; generation of preliminary data for a grant proposal, etc.). Funded Mentor Mentee proposals will have clearly outlined plans for engaging the identified medical students in applied or basic research and for disseminating results of that research regionally or more broadly. Mentor Mentee Awardees are expected to participate, at a minimum, in the Oklahoma State University Center for Health Sciences Research Days Symposium.
The Mentor Mentee Research Program strongly encourages submissions of proposals that develop a research community model, involving multiple (2 or more) medical students working collaboratively on aspects of a central project. Collaborations that
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involve more than one faculty member, and collaborations across departments within the College of Osteopathic Medicine and the Schools are also welcome.
Anticipated outcomes include: 1) developed collaborations with medical students that led to continuation projects over subsequent semesters; 2) generation of products (grant proposals, peer-reviewed publications, conference presentations) with student involvement.
Eligibility
All tenured or tenure-track clinical and biomedical sciences faculty in the Center for Health Sciences are eligible to apply.
Medical students must be enrolled in the College of Osteopathic Medicine. Medical students should complete their first year before engaging the Mentor-
Mentee program for the summer, or be in their third or fourth year rotations and have at least one or two months available for research rotations.
Awardees from previous Mentor Mentee Research Program projects that have not submitted project summary reports will not be considered for funding.
Proposal Description
Permitted expenses are summer stipends up to $1200 per month, project-related supplies and materials, travel expenses in support of the proposed research activities, and medical student travel to present project-related findings at conferences. Awards of up to $4000 may be requested. Other expenses may apply — if you have questions about the permissibility of an expense, please contact the Office of Research for more information.
Proposal Format
The proposal must be written in 12-point font, 1.5 line-spacing, 1 inch margins, and include the following:
Cover Page (1-page maximum)o Proposal Titleo PI(s) name and departmental affiliationo Student name(s), CHS-OSU ID#(s)o A brief Project Summary not to exceed 400 words
Project Description (3-page maximum)o Frame the question(s) that the project will attempt to address;o Provide sufficient background context for the proposed activities;o Outline the objectives of the proposed activities;o Detail the methods that will be used;o Outline the role of each medical student in the project, their anticipated
number of hours in the lab per week, and classification (2nd year, 3rd year intern, 4th year intern);
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o Discuss expected medical student training and research outcomes, and significance of these to: 1) the medical students; 2) science and society;
Supporting Literature (No page limit, but may not include footnoted comments that would extend or elaborate on the points made in the Project Description).
Results from Previous Mentor Mentee Support (1-page maximum – If Applicable). If the applicant PI(s) has/have been previously awarded Mentor Mentee support within in the past 3 years, briefly describe successes, outcomes, and products from prior support.
Anticipated Outcomes (1-page maximum). Discuss plans for dissemination of project outcomes (i.e. presentations at meetings or conferences; publications in peer-reviewed journals; generation of online content, etc.). Discuss what role the students will play in generation and dissemination of these products. Specifically list any external grants or contracts to be sought related to this research proposal for continuing or expanding upon project outcomes, including the timeline for submission.
Budget and budget justification (1-page maximum). Provide a budget request with short narrative for related costs. Explain the spending timeline of requested funds.
PI(s) bio-sketch in NSF or NIH format (Current federal page limits apply).
Proposal Submission and Deadline
Proposal submissions will be accepted from September 15 to November 15 of each academic year. Please submit a single electronic file (PDF) that contains the above elements to [email protected] with a subject line of Mentor Mentee Proposal. Late proposals cannot be considered.
Proposal Review and Awarding
Projects will be reviewed and recommended for funding by the Research Committee with anticipated funding notification by January 7th of each academic year. This early notification will allow summer research mentees the time to plan for the anticipated summer, 15 May start date. Other reviewers outside of CHS may be consulted on an ad hoc basis where their expertise might be helpful in proposal evaluation. Project funding is dependent on availability of funds, and awards may be less than the amount requested. Awarded projects will have access to allocated funds throughout the upcoming calendar year. Funds cannot be carried over from one calendar year to the next. All funded projects are required to submit a summary report by December 30 th.
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Appendix 9: Roles and Responsibilities for OSU-CHS Research Administration
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Appendix 10: Director of Institutional Research Job Description and Responsibilities
Oklahoma State University Center for Health Sciences (OSU-CHS) is searching for a founding Director of Institutional Research. The Director of Institutional Research supports the mission and vision of Oklahoma State University Center for Health Science and is responsible for providing leadership, technical expertise, and support in developing and maintaining a comprehensive institutional research program aimed to enhance institutional planning, assessment, and effectiveness. The Director of Institutional Research will report directly to the Vice President for Research and Chief Research Officer.
Oklahoma State University Center for Health Sciences Background:
OSU-CHS is a vibrant and growing university campus located in Tulsa, OK. It is affiliated with multiple rural educational sites throughout northeastern Oklahoma. OSU-CHS also supports a public outpatient clinic system providing primary care to patients, and is the home to a fully accredited osteopathic medical school as well as being the sponsoring institution for multiple residencies, forensic science, health care administration, public health, biomedical sciences, and athletic training graduate degree programs. The mission of OSU-CHS begins with a commitment to educate and train osteopathic physicians, research scientists, and other health care professionals with an emphasis on serving rural and underserved Oklahoma.
Position Goals and Responsibilities:
• Responsible for identifying, gathering, analyzing, and organizing institutional data to support University requirements for strategic planning, institutional assessment and effectiveness, institutional research, policy analysis, reporting, and accreditation;
• Translates data into usable information for University constituents is critical to the position;
• Establishes and executes an annual institutional research plan in consultation with the Senior Vice President for Operations, the Provost, and the Vice President for Research to provide accurate and relevant information for effective decision making and to ensure that the available research resources are appropriately prioritized;
• Designs, conducts, and interprets research studies to facilitate decision making related to the evaluation and assessment of current programs and services and the development of new programs and services; and collects, compiles, and coordinates the collection of appropriate and accurate institutional data to fulfill reporting requirements and to respond to requests from other agencies or organizations;
• Provides assistance to faculty and staff in identifying appropriate data collection for academic unit reviews and to ensure reliable, appropriate, and timely use of institutional information;
• Coordinates or conducts other institutional research as necessary, including qualitative and quantitative studies and policy analysis using surveys, statistical methods, and focus groups to enhance the planning and decision making processes of the University and
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develops and maintains University information on the OSU-CHS Information Research website;
• Provides technical and statistical support for campus wide institutional research, accreditation, assessment, and other OSU-CHS initiatives;
• Serves on appropriate University committees as requested; provides excellent customer service, responds to a variety of institutional data requests from other internal and external sources, and assists University personnel in design, execution, interpretation and reporting of findings of institutional research studies;
• Collaborates with University staff from other data-generating units on campus relative to data collection, analysis, and reporting; and represents the University at appropriate state and regional meetings of collegiate institutional research professionals;
• Serves as a steward of data and information. This functional area highlights the director of institutional research role in ensuring an institution-wide data strategy and archive. Compliance issues such as privacy, security, and ethical issues of data and information use, and whether interpretations are correct and appropriately used, are also critical to this position.
• Carries out supervisory responsibilities in accordance with the University's policies and applicable laws. Responsibilities include interviewing, hiring, and training employees; planning, assigning, and directing work; appraising performance; rewarding and disciplining employees; addressing complaints and resolving problems.
• Conducts other institutional research projects as assigned by the Vice President for Research.
Experience and Education:
• Minimum of 5 years of experience in higher education planning, assessment, and/or institutional effectiveness;
• Minimum master's degree, but doctoral level degree is preferred in a research-related or quantitatively related field to, planning, institutional assessment, and/or institutional effectiveness;
Knowledge, Skills and/or Abilities:
Excellent skills in written and oral communication involving the presentation of both quantitative and qualitative material and analyses;
Ability to work effectively and to communicate complex research designs and results with a wide range of professionals including senior level administrators, trustees, professional staff including information technology staff, and faculty is essential;
Excellent organizational skills with ability to monitor project timelines, advance projects to completion, and work collaboratively on multiple and varied projects concurrently, often with tight deadlines, while also being meticulous;
Strong skills in statistical and financial modeling and trend analysis; Experience with higher education electronic record management systems; Proficiency in statistical analysis and use of statistical software;
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Excellent skills in computer systems and data management; and experience with programming languages and data security and archival processes;
Ability to perform duties independently with limited supervision; Proficiency with of a variety of software packages including Microsoft Office Suite
(Access, Excel, PowerPoint, and Word) and; Experience with the academic accreditation process and familiarity with learning
outcomes assessment.
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Appendix 11: Policy and Procedure for OVPR Research Incentive Grants
Office of the Vice President for Research (OVPR)FY2019 Pilot/Seed Grants to Attract External Funding
DEADLINE: Full proposals must be submitted no later than 5:00 p.m. on Wednesday May 16, 2018. Successful proposals will begin funding on 1 June 2018 in time for summer research at CHS.
On behalf of President Shrum, DO, it is our privilege to announce the “Fiscal Year 2019 Pilot/Seed Grants to Attract External Funding” Request for Proposals. This announcement and RFP is in direct support of goals 1, 2, and 4 of the Oklahoma State University-College of Osteopathic Medicine Research Strategic Plan, 2016-2026, November 2016 titled “Shaping the Future of Health and Health Care in Oklahoma through Excellence in Biomedical and Clinical Research”.
Goal 1: Foster a vibrant, innovative research culture that unlocks scholarship potential, promotes innovation, encourages collaboration and rewards excellence in research.
Goal 2: Invest in people by retaining research-prolific faculty, recruiting new faculty in emerging areas of research, growing post-doctoral programs, establishing physician-scientist recruitment programs and promoting diversity and inclusion.
Goal 4: Strengthen the support systems needed to enable the OSU-COM research community (faculty, post-doctoral researchers, residents, and medical students) to obtain the resources and training needed to develop research concepts, to seek internal and external funding, to execute research plans, to track outcomes, to manage grants, and to win recognition.
The OSU-CHS Office of the Vice President for Research (OVPR) invites mini-grant proposals for faculty research projects that have strong potential to attract external funding. Awards will be made to support preliminary (pilot) studies to best position graduate and clinical faculty for submission of competitive external proposals, as well as for acquisition of data for resubmissions of declined external proposals. Projects may also contribute towards (seeding) the completion and submission of a peer-reviewed publication/manuscript or two, should that activity also enhance the Principal Investigator’s (PI – faculty project director) potential and plans to attract external funding. The critical goal and primary criteria of these pilot/seed grants is to increase the potential to attract external funding. PIs must demonstrate a clear and logical plan linking the proposed OVPR pilot/seed grant to external funding opportunities and the commitment to pursue those opportunities. PIs who are early career and/or are preparing revised external submissions are particularly encouraged to apply. PIs who
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have already submitted a proposal and have received positive feedback from the granting agency to resubmit are also highly encouraged to apply. OSU-CHS OVPR pilot/seed grants are contingent upon availability of state funds. In this initial pilot/seed program, we anticipate awarding twenty (20) grants between $2,000 to $10,000. Departmental/ College matching funding is allowed and encouraged.
DEADLINES
Full proposals must be submitted to [email protected] no later than 5:00 p.m. on Wednesday May 16, 2018.
Successful proposals will begin funding on 1 June 2018 in time for summer research at CHS.
HOW TO SUBMIT A PROPOSAL: Combine the proposal components, including the budget, into a single PDF. E-mail the PDF as an attachment to [email protected] . The subject line of the email should be: FY19 OSU-CHS-OVPR Pilot Seed Grants. Name your file using the following format: Last Name_First Initial_FY19OVPR_Abbreviated Project Name. For example: Amlaner_C_FY19OVPR_Sleep Diagnostics. See the Proposal Components section below for instructions on how to prepare a pilot/seed proposal.
ELIGIBILITY: Applicant PIs must be OSU-CHS graduate or clinical faculty, and be current with OVPR reporting requirements from prior awards. CO-PI’s may be other tenured, tenure-track faculty collaborators or clinical faculty collaborators, non-tenured, non-tenure-track faculty collaborators, post docs, residents, terminally degreed technicians, and terminally degreed staff. FUNDING AVAILABILITY: The OVPR anticipates ~$100,000 to fund these projects. PIs may request between $2,000 up to $10,000 from us, but there is no limit to matching funding provided by the hosting department and/or college.MATCHING FUNDS: Should the PI include matching funds in the grant proposal, arrangements for departmental and/or college matching is the sole responsibility of the PI, and evidence of matching should be provided in the form of a signed, supporting letter by the departmental chairperson and/or relevant college dean listing the amount and cost-center number for the matching fund. There is no specified amount of matching funds required in this RFP. Matching funds can come in the form of student stipends, tuition payments, laboratory and field supplies purchases, equipment repairs, equipment purchases, professional travel, or any other form of funding that supports the goal of this RFP. If the Office of Research (OR) already provided funds for any of the above listed items, these OR sourced funds may not be used for the match.
BUDGET: All budgeted amounts should be in whole dollars. Eligible costs include: Technician and/or Post Doc Salary: We understand that almost everyone at
OSU-CHS is receiving a 12-month salary. However, in the event there are technicians and/or post docs who are on a nine (9) or ten (10)-month salary basis, one month of summer salary plus fringe may be requested. It is the PI’s
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responsibility to secure permission from their chair/dean for any formal release to do summer research. Summer salary can only be paid in June and/or July if the individual is not already being paid by OSU-CHS through the summer. If your proposed summer salary is approved for funding, you will need to make timely arrangements for summer payroll through your department/college.
Graduate student support for research in the laboratory or field (not including tuition remission). If proposal is approved for funding, the OVPR will apply for tuition waivers from OSU-CHS to meet enrollment requirements by the OSU Graduate School. Graduate students will be expected to produce a poster paper and/or a spoken paper at the OSU-CHS Research Days Annual Conference relating to their summer research effort. Graduate students may also become co-authors of peer reviewed publications with the PI and CoPI(s) if their research contribution is included in the manuscript.
COM students between First and Second years of medical training may receive a research stipend of $1000 per month, up to a maximum of 2 months in the summer for supporting research by the PI. COM students will be expected to produce a poster paper and/or a spoken paper at the OSU-CHS Research Days Annual Conference relating to their summer research effort. COM students may also become co-authors of peer reviewed publications with the PI and CoPI(s) if their research contribution is included in the manuscript.
Laboratory and/or field supplies, software, and research related materials. Laboratory and field equipment that is under $5,000 is considered to be within the supplies category for the purposes of this RFP.
Publication costs (for peer reviewed, indexed, legitimate journals). Equipment (useful life of more than one year and cost of $5,000 or more). If the
equipment item is more than $5,000 the department/college must have matching funding to complete the entire purchase of equipment including shipping and setup charges.
Travel necessary to produce a competitive proposal– you must document how the travel directly benefits the OVPR proposal – in general, conference travel will not be allowed unless the direct benefit to the proposal is sufficiently explained. Travel to a colleague’s research laboratory to learn a new technique, leading to a new or resubmitted proposal, is allowed. A graduate student, post doc, or technician may also be sent to learn a new technique that would allow the PI to gain a new skill, and thus an advantage in developing a new or revised grant proposal for submission. All OSU standard travel costs are allowable in this RFP.
Professional Consultants, including provision of applicable vendor services from Centers and Institutes.
Incentives for human subjects; costs for animal purchase and/or care.
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Other direct costs normally associated with sponsored projects. Departmental/College matching fund commitment to this proposal. Indirect costs are not allowed in this internal grant program.
Please note: All expenses must post to OSU’s financial system by June 30, 2019; therefore, all project expenses other than summer salary must be in OSU’s system by April 15, 2019. Any expenses that do not follow these guidelines will be charged to the PI’s department/college.PROPOSAL COMPONENTS: All documents should be Arial 11-point font, with one-inch margins, single line spacing, with no bullets or numbering.
1. Current or prior internal support – one page maximum.a. Results of Prior OVPR Support (if applicable) Provide the following information for
any prior OVPR Pilot Grant support:
The title of the project; A summary of the results of the completed work, including accomplishments; Publications or other products (data, samples, software, etc.) resulting from the
grant; Proposals for external funding submitted as a result of the grant; proposals from
former or current recipients of OVPRs who have not submitted external proposals are unlikely to be funded.
b. Other internal and external support (last 3 years). List any other internal and external support you have had as an investigator (not necessarily on the proposed project). This could include departmental or college support, matching support from any source, start-up funding by the CHS, department, and/or college, GRAs, tuition waivers, extramural research support from state, federal, and foundation sources. List any extramural research proposals currently under consideration as ‘pending’ support.
2. Assurances of Compliance – one-page maximum – This page should list all relevant compliance approvals or pending applications for approvals in the following areas:
a. Human Subjects Research (IRB protocol approval #, date or submission date)b. Animal Subjects Research (IACUC protocol approval #, date or submission date)c. Biological Safety (IBC protocol approval #, date or submission date)d. Other relevant compliance protocol approval #’s, dates or submission dates
3. Project Narrative – five-pages maximum – The project narrative should provide a clear statement of the work to be undertaken and should include sufficient background for a knowledgeable general audience to understand the importance of the work. Figures, legends and tables are counted in the 5-page limit. URLs that provide information related to the proposal may be included but will only be read at the discretion of the reviewers.
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A. PROJECT DESCRIPTION : This section should include i) sufficient background for a knowledgeable general audience to understand the importance of the work, and ii) a narrative of the plan including descriptions of specific aims/objectives, approaches (methods/procedures), and explanations of the significance of the work and broader impacts.
B. RELATION TO OTHER WORK : Describe i) how the project relates to the PI’s long-term research goals, and ii) the relation to other work in progress by the PI under other support (overlap);
C. TIMETABLE: a schedule for research activities, expected results, anticipated publication(s), and anticipated external submission(s).
4. Targeted External Funding Opportunities – one-page maximum – Include the following information for all targeted proposals:
Potential – how will results in the proposed research work position you to compete for external funding? Indicate here if you meet the targeted agencies’ criteria for early career or new investigator (or equivalent).
Funding agencies, programs or solicitations and a brief explanation why you are targeting those opportunities. If you have already contacted program officers and/or submitted proposals and received feedback, include this information. Contacting POs for preliminary feedback on appropriateness of the proposal for the funding mechanism, etc. is highly encouraged.
List any external research proposals already submitted on the project. Include reviews as an addendum if resubmission is being prepared (this addendum does not count against page limit). A statement of how the reviewers’ critiques will be addressed will strengthen your proposal and is appropriate here. If no proposals have been submitted on this project, please list the last two external proposals (if any) you have submitted with outcomes or describe briefly why this project will be a first submission.
5. References Cited – no page limit - Full and complete reference information should be cited in a format appropriate to the field.
6. Budget – one-page maximum - Please use the provided budget template spreadsheet and transfer the finished table (saving as a pdf works) into the final document.
7. Budget Justification – one-page maximum. Briefly summarize the budget and justify all expenses.
8. Biosketch(es) - One biosketch per PI/co-PI with two-pages maximum. Please use a biosketch format appropriate to the agency or organization to which external proposals will be submitted. Please only list the research and publications that are relevant to the proposed research project.
ACKNOWLEDGEMENTS AND CERTIFICATIONS
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By submitting a proposal, each PI/co-PI certifies that: (1) the information submitted within the application is true, complete, and accurate to the best of her/his knowledge; (2) any false, fictitious, or fraudulent statements or claims may subject her/him to criminal, civil, or administrative penalties; (3) she/he agrees to accept responsibility for the scientific conduct of the project and to provide the required progress report if a grant is awarded as a result of the application; (4) she/he agrees to accept the obligation to comply with award terms and conditions and University's policies and procedures if an award is made as a result of this application; (5) she/he acknowledges the obligation to assign inventions and patents to OSU that are conceived or developed in connection with the use of OVPR Pilot/Seed grants; and (6) she/he acknowledges the obligation to promptly report and fully disclose the conception and/or reduction to practice of potentially patentable inventions to the OVPR. Such inventions shall be examined by the OVPR to determine rights and equities therein in accordance with the OSU Invention Policy.
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OVPR Grants to Attract External FundingFrequently Asked Questions
Q: Is this opportunity for basic research projects only?A: No. The RFP refers to “projects that have potential to attract external funding.” Projects from all applied and professional disciplines are welcome. However, it is expected that all projects should have a research or scholarly component.Q: What are the criteria for selection?A: The primary purpose of these grants is to provide pilot or seed funding for OSU-CHS and OSU-COM faculty projects that can attract external funding (grants, contracts). PIs must demonstrate that they have external funding objectives and present a clear and logical plan linking the proposed OVPR grant to one or more external funding opportunities. Multidisciplinary, translational and transformative aspects are often characteristics for which funding agencies are looking. Appropriateness of the budget is also a factor, including not only reasonableness given the scope of work proposed but also relative to the external funding targeted (e.g. a $5,000 request to pursue a $5,000 grant would be a negative factor in review).Q: The RFP says to specify which sponsors or programs I intend to target. How do I know which sponsors or programs would be interested in my project? Can I have staff members in the Office of Research conduct funding searches for me?A: Assisting faculty in finding funding opportunities is a normal function of the Office of Research (OR) and graduate and clinical faculty are encouraged to contact Cindie Lamon ([email protected] ) for assistance well ahead of deadlines. We strongly recommend using the funding opportunities available through Grants.gov. The Grants.gov website provides opportunities for you to sign up for daily email announcements on new funding released by the federal government for all federal agencies. PI’s can choose which particular funding agencies they prefer to receive announcements from on the website.Q: Can you give me more specific guidance on the budget? Can Office of Research staff prepare my budget for me?A: OR staff cannot prepare your budget for you for this funding opportunity but they are able to provide limited guidance on items like appropriate levels of fringe benefits for technicians, post docs, graduate and clinical students, etc.
Please note the following: Any combination of allowable budget line items is fine. Each project is different.
Ask for what you need and justify it. Requests for summer salary must be based on a percentage of time applied to the
normal rate of pay for technicians and post docs. One month of time for nine-month employees (the maximum that can be requested) = 1/9 = 11.11% of the normal salary.
You should use the OVPR budget template included at the end of the RFP as your guide in creating the budget page.
For post doc, and technical staff time and effort replacement costs, please check with Academic Affairs or your chair or dean for the appropriate amount.
Estimate any travel based on OSU’s normal travel rules. Estimate supplies and materials if actual costs are not available. Consultant costs includes project advisors paid according to a daily rate, as well
as vendors providing services such as payments for testing of samples. OVPR reserves the right to adjust or eliminate any proposed budget item costs
based upon proposal review recommendations and/or budgetary appropriateness to the RFP.
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Focus your attention on the Project Narrative, Research Aims, and anticipated outcomes. If your proposal is selected for funding we will work with you to assure compliance and appropriateness of the budget before initiation of the project.Q: Can an application have more than one PI or Co-PI?A: Yes. Q: Can I submit more than one proposal?A: Yes. However, proposals must not be focused on the same research question(s).Q: Is this opportunity geared toward moving existing projects along or supporting completely new projects?A: The RFP does not express a preference for new or existing projects. The focus is potential to attract external funding. Early career investigators and resubmissions are criteria only insofar as they affect potential for funding.Q: Can we submit a proposal that was previously submitted to OVPR or another internal or external funding opportunity?A: Yes, though you should consider carefully revising if you plan to submit a proposal that was previously declined. Also, you should remember that the focus of this opportunity is your project’s potential to attract external funding. If potential for external funding was not the focus of the opportunity to which you applied previously, then an identical resubmission will not be very competitive. As with all grants, you should tailor your proposal to the funding opportunity. If the other submission was funded, it must be acknowledged in the proposal.Q: Can someone in the Office of Research review my proposal and give me feedback?A: We will try to provide feedback in future RFP’s but not this first round because we are all very concerned about meeting the early start deadline of 1 June 2018. The plan for the future, if you would like, is that a brief concept paper or proposal draft would be sent to a knowledgeable person in the OVPR, who, time allowing, would give preliminary feedback. When this service is available, if you wish to take advantage of this, please plan to work well ahead of the deadline.Q: Can some of the funds be used to pay a full time staff member (non-faculty) to do some of the work?A: These internal grants are being made with repurposed state funds from a portion of the OVPR facilities and administration funds (aka, grant overhead, cost recovery, or grant indirect). Please check with HR for OSU’s policy on paying staff members. Q: Can you pay a Center or Institute to do some work for you?A: Yes, you can pay an existing Center/Institute at OSU and CHS to do some work. Funds will be transferred to the applicable Center/Institute. However, because these are state funds, they must be spent by June 30, 2019.Q: Are letters of support needed? May I include a letter of support if I want to?A: Letters of support are only needed if there are matching funds included in the budget to help cover grant related expenses in any budget category. The letter of support from the relevant chairperson, dean, or principal investigator of an already existing grant/contract, should be attached to the proposal. The letter should be signed and should include the relevant cost center number from which the matching support will be deducted.Q: The purchase of equipment is permitted in the budget for this OVPR grant. Does that include a laptop computer?A: The term “equipment” refers to an item costing $5,000 or more and having a useful life of more than one year. Most laptops would therefore be considered supplies, not equipment. Both supplies and equipment are allowable expenses. In either case, you should explain in the budget justification why you need them to accomplish the proposed work. Generally speaking, we do not want to fund laptops or other items that are not truly necessary to the
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project and/or should be provided by your department or college. Any computers (desktop or laptop) must be used directly for the proposed research project, such as data input support and analysis.Q: If I received an FY 18 OVPR grant and have not yet submitted the required final report, am I still eligible to apply for an OVPR grant this year?A: Yes, if you submit a brief progress report prior to submitting an FY 19 proposal. Please keep in mind that performance on prior OVPR support will weigh heavily in our decision process, i.e. if you proposed to submit external proposals and have not, that is a lack of performance that will be a serious negative factor in evaluating your proposal and will likely result in a recommendation not to fund.
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FY2019 OVPR PILOT/SEED GRANT BUDGET WORKSHEET EXAMPLE1. Summer Salary: Enter the name of the faculty member, staff technician, post doc, graduate
student or clinical student, and/or temporary employee in column A. Check with Human Resources, Chairperson, or Dean to determine the amount of salary allowed per month and enter into column B for each employee name requested, enter the number of months of salary requested (only 1 or 2 is allowed in this RFP) and enter each into column C. Multiply column B X C and enter total requested amount in column D for each person. Provide details in the budget justification narrative.
2. Fringe: The amount will be calculated for all eligible salary lines, and entered into column D. FY219 RATES: 23.24% Faculty; 26.93% Post Doc; 37.88% Staff, 7.96% Temporary; 9.37% Graduate or Clinical Student.
3. Supplies & Materials: Enter the requested amount in column D and provide details in the budget justification narrative.
4. Equipment: Enter the requested amount in column D and provide details in the budget justification narrative.
5. Travel: Enter the requested amount in column D and provide details in the budget justification narrative.
6. Consultants: Enter the requested amount in column D and provide details in the budget justification narrative.
7. Other Direct Costs: Enter the requested amount in column D and provide details in the budget justification narrative.
8. Total Budget: Add all items (1-7) in column D.
9. Matching Funds (OPTIONAL): Enter the name of the Department/College source of matching in column B, cost-center number where the funds exist in column C, and matching fund amount in column D.
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Appendix 12: CHS-OK-Stars and Native CHS-OK-Stars:
https://health.okstate.edu/com/high-school/index.html; https://health.okstate.edu/com/high-school/native-ok-stars-summer-research.html
The CHS Oklahoma Science Training and Research Students (OK-Stars) 6-week Summer Research Program provides high school juniors and seniors with at least 3.5 cumulative GPA’s in a rigorous high school curriculum, the opportunity to participate in cutting-edge research. The program includes in-depth work with a research team, access to modern scientific laboratory and field instrumentation and potential opportunities to participate in collaborative publications and presentations.
The CHS Native Oklahoma Science Training and Research Students (Native OKStars) 6-week Summer Research Program is designed to encourage American Indian students, in their junior or senior year, to pursue a career in any medical field and contains a cultural component from the Office for American Indians in Medicine and Science.
Program benefits include: Participate in a research atmosphere that is usually reserved for graduate students Work with a faculty mentor and their research team in field or laboratory research Access a range of modern equipment and facilities Participate in Research Day’s at OSU Center for Health Sciences as well as the City of
Tulsa Research Day Participate between 20-25 hours per week (Monday through Friday) throughout the
program duration.
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Appendix 13: Facilities and Administration (Indirect) Recovery and Distribution Policy:
PURPOSE:Facilities and administrative (F&A) costs represent a major budget expense for Oklahoma State University. Reimbursement of these expenses sustains the University’s mission by providing for campus infrastructure and administrative support systems. Thus F&A costs must be charged as appropriate and collected on sponsored projects.
POLICY:1.01 It is the policy of Oklahoma State University Center for Health Sciences to seek, as appropriate, the recovery of F&A expenses associated with sponsored agreements. It is also the policy of the University to consider recovered F&A as under the purview of the general University. Recovered F&A will be administratively allocated to uses and units in the best interests of the University.
1.02 A percentage of facilities and administrative costs recovered from sponsored programs will be allocated, as generated, on a monthly or quarterly basis, to the agency or college performing the work for the sponsored program. The percentage of this allocation may be adjusted from time to time. These adjustments in allocation percentage may be made for specific budget agencies or for all budget agencies that use the General University’s negotiated F&A rate.
1.03 If a change in the facilities and administrative allocation percentage is planned, the Vice President of Research will notify the colleges and/or agencies affected.
PROCEDURE:
2.01 General University as well as college/divisional funds are established to receive any recovered F&A costs. College/division funds receiving the allocation are under the purview of the appropriate dean or director.
2.02 Even though some sponsors may disallow payment for F&A costs, or will pay only a reduced rate, the amount not allowed as reimbursement must be disclosed in the proposal budget so that the University (and usually also the sponsor) will be aware of and can account for the University's financial contribution to the sponsored project. Reduction or waivers of F&A cost reimbursements, whether full or in-part, and even if required by a sponsoring agency, must conform to the limitations contained in Cost Sharing in Sponsored Research and Service Projects, Policy and Procedures Letter 1-70113.
2.03 Overruns or disallowed F&A costs on sponsored agreements resulting from allowable direct cost expenditures shall be included in the total project costs. In order to recognize these costs as a University contribution to the project, the costs shall be moved from the project fund to the appropriate fund as directed by the appropriate
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administrative head.
2.04 Price Agreements
The University may enter into fixed price agreements with sponsoring agencies. These agreements should include all direct costs and allowances for facilities and administrative costs at the University's appropriate negotiated F&A rate. When the project is completed and all costs have been fully paid, there may be residual dollars in the project fund. In that event, the project fund should first be charged for any unreimbursed F&A costs. If the final residual is deemed excessive according to the OSU Guidelines for Management of Excessive Residuals on Fixed Price Contracts (maintained by University Research Services and Grants and Contracts Financial Administration), then the residual will be managed in accordance with those guidelines. All other residual funds remaining after the project is closed out will be moved into the working fund designated by the responsible administrator (See Appendix I).
2.05 Additional Administrative Fees Agreement
A sponsor, for any specific purpose, may formally agree to an additional administrative fee or allowance (in addition to the estimated cost of performance). Funds received through the recovery of the additional fee will be treated as recovered facilities and administrative costs and transferred into the designated working funds under the control of the appropriate administrator(s).
2.06 Voluntary Waiver of Facilities and Administrative Cost Reimbursements
Voluntary Waiver of Facilities and Administrative Cost Reimbursements most often occurs when the department, college, or University decides to reduce costs charged to a sponsoring agency or organization.
The dean, director, or designee may choose, for any reason, to voluntarily waive a portion of the facilities and administrative costs charged to a sponsored project. However, the waiver of any portion of the facilities and administrative cost reimbursement will be charged to the working fund of the appropriate college or agency unless specified in section 2.07 of this policy or as directed by the Vice President for Research or designee.
2.07 Mandatory Waiver of Facilities and Administrative Cost Reimbursements
Mandatory Waiver of Facilities and Administrative Cost Reimbursements occurs primarily when a sponsoring agency or organization disclaims or limits the payment of facilities and administrative costs.
Extenuating circumstances may warrant the University agreeing to waive F&A cost reimbursements. Such waivers must be approved by the Vice President for Research after
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consultation with the relevant dean(s) and/or vice president(s).
2.08 Consortium, Center, and Reciprocal Agreements
F&A cost reimbursements may be waived within partner agreements at the discretion of the Vice President for Research; such waivers will be considered as mandatory waivers under Section 2.07.
DOCUMENT HISTORY:Revised: November 1977, July 1982, July 2004, February 2011 Grants and Contracts Financial Administration, November 2017 Associate Deans for Research, December 2017Faculty Council Chair, January 2018 Council of Deans, February 2018 Legal Counsel, April 2018OSU E-Team, May 2018Revised by OSU CHS: June 2018
Appendix I
OSU CHS Guidelines for Management of Excessive Residuals on Fixed Price Contracts
In accordance with Uniform Guidance 2 CFR 200.403., .404, and .405, project costs charged to grants and contracts should be “allowable, reasonable, and allocable.” Uniform Guidance also requires the consistent treatment of costs regardless of the funding source.
For Fixed Price proposals and awards, Oklahoma State University Center for Health Sciences expects for budgets to be adequate and appropriate for the expected scope of work requested by the sponsor. The principal investigator should prepare a budget to cover the total cost of the work, including the full recovery of the Facilities and Administrative (F&A) costs. If the scope of the project changes in advance of completing the work, such that there is the foreseeable potential for over-expenditures or excessive residuals, the budget should be revised accordingly in consultation with the sponsor.
Given that projects should be proposed in an effort to break even based on a given scope of work, an excessive residual at the completion of a project (in the absence of a change in scope, as described above) is a cause for concern. An excessive residual could indicate a) problems with the University’s process for estimating costs for a project at the time of the proposal, b) that the full scope of the project was not executed (i.e., incomplete work), c) project costs were charged to incorrect accounts, or d) other extenuating or unusual circumstances arose.
Because it is difficult to propose a project that will be completed precisely on budget, small residuals are common and can be managed according to prevailing policies and practices. But
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for projects ending with residuals at or above 25% of the total budget, a systematic analysis of the budget and charges to the project account must be conducted under the oversight of GCFA prior to closing the project. The principal investigator will certify all expenses associated with the project have been appropriately recorded and provide justification for variances between budget and actual expenses. Such an analysis will attempt to determine if any costs associated with the project were inadvertently charged to some other account, and ensure that such charges are transferred to the project account. If, after all the charges associated with the project have been appropriately recorded, the residual remains at or above 25% of the total budget, the principal investigator, in consultation with the Associate Dean for Research of the respective college, must either:
a) Contact the sponsor and offer to refund the residual funds to the sponsor. If sponsor declines, obtain consent to allow the residual funds to remain at the University to fund research unrelated to the original project – fully disclosing the amount of the residual
b) Contact the sponsor and arrange to apply the residual funds to a newly-contracted project
c) Obtain permission from the Vice President for Research to pursue a different course of action based on extenuating circumstances.
In addition to ensuring that the specific project is closed out in a responsible manner, the analysis will also attempt to identify any potential administrative or systemic problems that might be causing difficulties properly estimating project costs. If any potential problems are identified, GCFA, the Research Office, and the relevant college personnel will explore ways to mitigate them in future proposals.
Guidelines jointly adopted by Office of the Vice President for Research and Grants and Contracts Financial Accounting
The VP’s for Research at OSU-CHS and OSU-Stillwater agree that Clinical Trials will be exempt from this addendum.
Last revised: February 2018
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Appendix 14: Policy on Time and Effort Reporting on Research Activity
POLICY:1.01 The University utilizes two payroll systems in order to pay employees. The biweekly
payroll pays employees on the basis of time reports submitted after the work period has ended. Time reports list each element of cost distribution and must be signed by the department head or an authorized representative. Confirmation requirements are met before costs are charged to respective functions and funds and no further steps are required to substantiate biweekly payroll costs.
2.02 The monthly payroll system utilizes budgeted cost distributions based on planned work assignments to distribute costs to functions and funds. Although budgeted cost distributions are updated by an on-line labor distribution segment of Banner HRS IMS-HRS when significant changes occur in planned work activities, actual cost distributions must be substantiated by means of confirmation on an after-the-fact basis. This is accomplished by completing the Time and Effort Confirmation which is explained in Section 3.04-3.07 of this document.
2.03 In order for the system to work properly, it is important that all employees understand the system and the related requirements as they pertain to the human resource system and the accounting system. The following documentation is used to outline specific procedures, define terms, and provide technical explanations of the 2 CFR 200 requirements for documenting and substantiating payroll costs.
DEFINITIONS:3.01 In order to calculate applicable indirect cost rates, direct costs must be accumulated by
major functions of the institution and indirect costs must be identifiable to each of the major functions. The University's accounting system establishes an individual fund number in which costs are accumulated for each activity in which there is a need to report costs for management purposes. The labor distribution and cost accumulation system used by the University is much more precise than called for under 2 CFR 200. However, the funds are categorized within the accounting system so that major functional costs are easily identified and summarized.
3.02 Independent Internal Evaluations - 2 CFR 200 Uniform Guidance requires internal evaluations to ensure the system's effectiveness and compliance with their requirements. The Department of Internal Audits will periodically and randomly test the system, including an examination of departmental records in order to verify adherence to University policy and compliance with Federal regulations. While compliance with the Policy and Procedures Letter is important for confirmation of time & effort and documentation of leave for all employees paid monthly, it is particularly required for the following effort areas:
A. Sponsored Research - Represents all research and development activities that are sponsored by federal and non-federal agencies and organizations and are
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separately budgeted and accounted for. This category also represents the training of individuals in research techniques (commonly called research training) where such activities utilize the same facilities as other research and development activities and where such activities are not included in the instruction function.
B. Sponsored Training - Represents specific instructional or training activity established by grant, contract or cooperative agreement.
C. Other Sponsored Programs - Represents programs and projects financed by federal and non-federal agencies and organizations which involve the performance of work other than Instruction or Sponsored Programs.
D. Cost Sharing - Represents any additional effort, approved and budgeted for by the Vice President for Administration and Finance, expended on Sponsored Research, Sponsored Training or Other Sponsored Projects over that which has been funded by and charged directly to the Sponsored project.
PROCEDURE:Monthly Budget and Payroll 4.01 Preparation of the detailed salary budget is normally the first step in the operating
budget process for the coming fiscal year. Based on employee evaluations, available funds, etc., the rate of pay is established for each regular employee. Next, work load assignments are established and salary costs are coded for appropriate cost distribution according to the time intervals to be worked and the percentage of effort budgeted under the planned work load assignments. The coded cost distribution records are established on Budget Development System and used to print the operating budget documents. The budget, after approval of the OSU Regents and State Regents for Higher Education, is loaded to the Human Resource System to create the payroll files for the fiscal year beginning July 1.
4.02 Cost sharing is the financial support contributed by universities to sponsored projects. Cost sharing and matching represent that portion of the project or program costs not borne by the sponsoring agency. Department Heads are expected to recognize the portion of each faculty’s or employee's time devoted to cost sharing when the cost sharing effort is: (a) required as a condition of the agreement, or (b) 10% or more of the faculty member's or employee’s effort. For more information on cost sharing, refer to OSU CHS Policy and Procedures Letters 1-70113, Cost Sharing in Sponsored Research and Service Projects.
4.03 Salary costs are posted in the accounting system according to the percentage cost distributions recorded in the Human Resource System. Since work assignments are subject to change, department heads are expected to constantly monitor the budgeted work assignments and update these predetermined cost distributions by use of the on-line labor distribution segment when significant changes occur. Changes should be submitted during the month in which they occur so that the after-the-fact confirmation will be correct and will normally not need adjusting.
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Monthly Time & Effort Confirmation4.04 The Monthly Time & Effort Confirmation is produced monthly and includes the paid
cost distributions for each employee paid on the monthly payroll. The purpose of the report is to provide assurance that the salary costs, as charged, are representative of the actual time and effort expended by employees during the month. If actual time and effort differs significantly from the paid distribution (5 percent or more of total effort), a Redistribution form is processed to correct any differences. Temporary changes, however, may be ignored if they result in less than a 5 percent change in total effort measured over the entire fiscal year or grant year.
4.05 The Monthly Time & Effort Confirmation contains the following information: A. Home Department (number and department name) B. Month for which time and effort is being confirmed C. Employee's Identification NumberD. Employee's name E. Cost Distribution
1. Employee's monthly or biweekly rate of pay 2. Fund number(s) employee’s pay was charged to3. Percentage of time and effort and amount charged to each fund
4.06 Retroactive salary and benefits cost transfers are made only from Redistribution Change forms. After confirmations have been completed, requests to change cost distributions on a retroactive basis must be accompanied by an explanation on the redistribution form and signed by the PI. Retroactive salary and benefits cost transfers that impact grant or contract funds should be routed through Grants and Contracts.
4.07 In addition to the monthly T&E Certifications, if an employee’s time is charged 100% to a Ledger 5 fund, a certification is processed on a semi-annual bases for the employee to certify that 100% of their effort was spent on the grant/contract fund. This certification is also signed by the PI or designated person having first-hand knowledge of the employee's work efforts.
Leave Time Reporting 4.07 Sick Leave - Under current University policy, all regular employees employed .50 FTE
or greater earn sick leave. Subsequently, any sick leave taken is absorbed by the cost center(s) paying the salary of that employee at the time of the leave.
4.08 Annual Leave - Faculty and staff personnel earn annual leave in the amounts of 14 to 22 days a year according to length of service and position. Annual leave taken is recorded in Banner HRS.
4.09 Compensatory Leave - is for unpaid overtime for non-exempt staff. Since overtime pay for non-exempt personnel generally accrues at the rate of 1 ½ times the straight time
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rate, compensatory time is computed on the same basis. Faculty and other professional staff do not earn overtime pay and are not eligible for compensatory leave of this type.
4.10 Funeral Leave - This is an earned benefit for all employees and should not be recorded on the time and effort confirmation.
4.11 Overtime and Overload Pay -This type of compensation is paid by an on-line Banner HRS Special Pay segment requiring specific documentation and costing information and is always paid on an after-the-fact basis. It is considered incidental pay and is not subject to the confirmation requirements of 2 CFR 200.
DOCUMENT HISTORY:
Approved: July 1984
Revised: May 1998
Revised by OSU CHS: February 2018
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Appendix 15: Distribution of Salary Savings and/or Indirect Cost Recovery Funds from Extramural Biomedical and Clinical Research Grants and Clinical Drug and Device Trials
(Clinical Trials)
PURPOSE:
The purpose of this policy is to establish incentives for faculty to engage in program and research grant development and contracted professional activity within the mission of CHS.
POLICY:
Salary Savings and Original Research Incentive
Incentive for Extramural Research Grants and Contracts with Salary Savings and Indirect Cost Recovery
Investigators will receive 50% of their base salary savings per annum (not including fringe benefits) of grant(s) support as a bonus to be distributed at the end of the grant fiscal year. This includes both eligible Principal Investigators and Co-investigators. Grants must have a salary savings of at least $4,000 a year threshold to qualify. Salaries may be enhanced by multiple bonuses from salary savings from multiple grants. Eligibility for the bonus will consist of 1) Identification on grant or contract with salary savings; 2) minimum of $4,000 in salary savings.
Salary savings greater than the amount allocated for bonuses will be distributed:10% to the Office of the Provost and Dean 40% to the Department of origin50% to the Office of Basic Sciences or Clinical Sciences, as appropriate
Individual departments will have written procedures for the distribution of salary savings monies, giving care not to commit funds to recurring costs. Written procedures shall be submitted to the respective divisional dean for approval by the Dean.
Recovered Indirect Cost Funds from Extramural Grants and Contracts will be distributed:10% to the Office of the Provost and Dean40% to the Department (16% to Department & 24% to PI)50% to the Office of Research
Individual departments will have written procedures for the distribution of indirect cost monies, giving care not to commit funds to recurring costs. Written procedures shall be submitted to the respective divisional dean for approval by the Dean.
Residual Earnings from Clinical Drug and Device Trial Contracts will be distributed:10% to the Office of the Provost and Dean25% to the Department as Revenue to the Clinical Enterprise
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15% to a Fund Controlled by the Investigator50% to the Office of Research
Individual departments will have written procedures for the distribution of clinical trial residuals, giving care not to commit funds to recurring costs. Written procedures shall be submitted to the respective divisional dean for approval by the Dean.
DOCUMENT HISTORY:Approved July 1, 1990Revised February 1, 1995Revised August 29, 1995Revised February 13, 1997Revised May 19, 2011Revised February 2018Revised October 2018
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Appendix 16: Floor Plans and Space Allocation for Research Facilities, Animal Facilities, and Shared Use Equipment Spaces
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Appendix 17: The Clinical Trials Organization within the Office of Research at OSU-CHS-COM:
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