Research Administration Forum January 2020appropriate credit” ... •Counsel –Let your subordinates and others know how to behave. •Think –Stop for a moment and think •Study

Research AdministrationForum

January 2020

© UAB. All Rights Reserved.

• Keynote Address– “Operationalizing Excellence”

• Matt Ronning, AVP for Responsible Research Practices

• “A Deep Dive into the IRB Pool”

• Adam McClintock, Director, Office of the IRB

• “The KUTe way to Engage with HIIE”

• Karthik Gopalakrishnan, PhD – Director of Technology Transfer, HIIE

• Research Development - Chelsea Crawford, PhD

• Procurement Updates - Ron Collins

• Panel Discussion: Where Should I Submit my Agreement - OSP vs. University Contracts?

• Melinda Cotten, Ron Collins, and Renee Clements

Agenda

Office of Sponsored Programs

Operationalizing Excellence

Matt RonningAssistant Vice President, Responsible Research Practices

CONTEXT

RI >

• Who am I

• Responsible research practices

• Research misconduct

• Responsible research administration

• Operationalizing organizational excellence

Representational, VectorStock Image

RESEARCH INTEGRITY

A successful researcher must possess

some basic core values:

• Honesty – conveying information

truthfully and honoring commitments

• Accuracy – reporting findings precisely

and taking care to avoid errors

• Efficiency – using resources wisely and

avoiding waste

• Objectivity – letting the facts speak for

themselves and avoiding improper bias

FFP >

WHEN THINGS GO WRONG

F Falsification

“..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”

F Fabrication“..making up data or results and recording or

reporting them “

P Plagiarism“..appropriation of another person’s ideas,

processes, results, or words without giving

appropriate credit”

“Research misconduct means fabrication,

falsification, or plagiarism in proposing, performing,

or reviewing research, or in reporting research

results.”

Causes >

CAUSES

• Poor documentation

• Lack of communication

• Pressures to finish

• Missing leadership

• Frustration

• Forgetfulness

• Incompetence

Stressful

Paying attention >

PAYING ATTENTION TO YOU

• Record – Keep it clean and be religious about it

• Review – Remind yourself what you did the last few days.

• Instruct – Document instructions given and received. Share.

• Counsel – Let your subordinates and others know how to behave.

• Think – Stop for a moment and think

• Study – Lit search is not a one-stop shopping spree

• Heal – Shore up adversarial relationships

Slow down

OP EX >

OPERATIONALIZING EXCELLENCE

• Responsible Research Administration

• Improving policies and processes

• Standardization, readability,

simplification

• Deploying smarter e-tools

• eRA, eLN, PM

• Empowering and institutionalizing a matrix

of support

• Professional development, commitment

RCM >

Learn and Share

Questions?

A Deep Dive into the IRB Pool

Adam McClintockDirector, Office of the IRB

The Institutional Review Board Dive Pool

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WHAT’S HAPPENING IN THE IRB DIVE POOL?

Optimize use of electronic resources for more efficient and effective

processes and to improve timeliness of reviews

Develop resources to facilitate a more transparent and seamless review

process for cooperative research projects

Restructure OIRB teams to align with current distribution of the UAB

research portfolio and balance workloads

Engage in cross training to accommodate restructured teams and

facilitate ongoing staff development

Design and implement a multi-modal communication strategy to provide

regular updates from the OIRB


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USE OF ELECTRONIC RESOURCES FOR EFFICIENCY

Optimize use of electronic resources for more efficient and effective

processes and to improve timeliness of reviews

USE OF ELECTRONIC RESOURCES FOR EFFICIENCY

• July 2019

• Personnel eForm implemented

• March 2020

• Implement administrative tools to streamline

processing times after IRB meetings

• OIRB-CIRB process coordination

• June 2020

• IRB application eForm (to replace HSP)

• Continuing review eForm (to replace IPR)

• Amendment eForm (to replace PRAF)


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PROCEDURAL EVOLUTIONS IN THE SINGLE IRB ERA

Develop resources to facilitate a more transparent and seamless review

process for cooperative research projects

PROCEDURAL EVOLUTIONS IN THE SINGLE IRB ERA

• January 2020

• Updated UAB single IRB online resources:

https://go.uab.edu/sirb

• Common Rule single IRB mandate

• Pre-IRB submission consultations

• June 2020

• Develop researcher toolkit for cooperative

projects when UAB is acting as relying site

• Develop a researcher toolkit for cooperative

projects when UAB is the reviewing IRB

https://go.uab.edu/sirb


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CUSTOMER SERVICE STANDARDS POST-COMMON RULE

Restructure OIRB teams to align with current distribution of the UAB

research portfolio and balance workloads

CUSTOMER SERVICE STANDARDS POST COMMON RULE

• March 2020

• Strategically reorganize OIRB teams

• Create teams with diversity of experience

• September 2020

• Redistribute submissions to better match OIRB

personnel resources to actual workload

• Communicate changes to research community


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IRB STAFF TRAINING NEEDS POST COMMON RULE

Engage in cross training to accommodate restructured teams and

facilitate ongoing staff development

IRB STAFF TRAINING NEEDS POST COMMON RULE

• August 2019

• Comprehensive training and development pilot

program implemented with mid-level OIRB staff

• February 2020

• Adjust based on results and expand pilot

• Target training to facilitate staff reorganization

• March 2020

• Begin ongoing training and development

• Regular assessment points with supervisor


Design and implement a multi-modal communication strategy to provide

regular updates from the OIRB


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• November 2019

• Onboarded Education & Outreach Specialist

• Began identifying avenues for communication

• January 2020

• Began cataloguing stakeholder outreach needs

• Regular IRB Updates via Research Matters

• March 2020

• Develop comprehensive communication plan

• Implement redesigned IRB website with a

focus on providing regular updates

Questions?

The KUTe way to Engage with HIIE

Karthik Gopalakrishnan, Ph.D.

Director of Licensing & New VenturesThe Bill L. Harbert Institute for Innovation and Entrepreneurship (HIIE)/IIE/UABRF


WIIFM

25

The Bill L. Harbert Institute for Innovation and Entrepreneurship


Who We Are; What We Do – Big Picture

26The Bill L. Harbert Institute for Innovation and Entrepreneurship

$6.43M

REVENUE

$700,000

SBIR/ STTR

275 Inventors

Engaged

37 Licenses

Executed

900 Jobs created/

maintained

$1.5B raised

by startups

130+ partners

from community

So….WIIFM?


Your Inventions:• Drive licenses, found startups,

create jobs

• Engage the community; helps forge partnerships

• Improve patient care with new devices and drugs

• Educate students and the world at large


Education

Research, Innovation & Economic Development

Community Engagement

Patient Care

SUPPORT THE MISSION PILLARS OF UAB

Relevance of those numbers


If that’s not WIIFM enough!


Gross Revenue Income 100%

UABRF 15% plus 100% Legal Expenses

Net Revenue Distribution

Cumulative

Revenue

Income

InventorsAffiliated

Departments

Affiliated

SchoolsUABRF

Up to $20,000 75% 6.25% 3.125% 15.625%

>$20,000

<$100,00050% 12.50% 6.25% 31.25%

>$100,000

<$2mil30% 17.50% 8.75% 43.75%

>2 mil 30% 24.50% 12.25% 33.25%

Cycle of innovation

Research

Invention Disclosure

Assessment

Licensing

Commerciali-zation

Royalties


Educated guesses at Predicting the Future

What we DO with Your Inventions


How we educate ourselves

• Conferences

• Newsletters

• Market Trend Analysis

• Peer Networking

Constantly re-evaluating patent decisions (the “bets” we placed)

Engaging with HIIE; Knowledge

30

Pre-InventionDisclosing the

InventionOur Assessment

Patenting

Decision

MarketingNewco/ License

OUR PROCESS


Seeding Inventions with Understanding 3

1


Understand the commercial potential of your

Invention

Understand the Market Trends related to

your Invention

Initiate the Engagement process with us

Understanding


InventionDoes my research have commercial potential? HIIE helps you:

Intellectual Property Disclosure (IPD)

Please speak with us about a potential invention

before you publish/ present it to the world.


Building Trust with Transparency3

2


SWOT analysis

Commercialization potential of research/ IPD

Metrics/ Timelines

Faculty, our partner in Go/ No-Go decisions

OBJECTIVE: We may disagree, but, we still want your next IPD!

Our AssessmentPatenting

Decision

Transparency

Soon after we get your IPD, HIIE performs:


Forging a Partnership


Help us Help MarketingNewco/ License

Partnership

We need your connections:

• Presentations

• Seminars

• Publications

• Conferences Our Commercialization Efforts:

• Social Media

• Web Presence

• Conferences

• Flintbox

• Industry

• VC world

• “C” suite experienced entrepreneurs


WEWE YOU

US

“OUR” Process



InventionOur Assessment

Patenting

Decision

MarketingNewco/ License


Who we are; What we do

Scott Swindle, PhD

Licensing Associate

[email protected](205) 996-7578

35

Sat Balachander, PhD

Licensing Associate


Amanda Dove

Patent Manager



THE LICENSING TEAM

Karthik Gopalakrishnan, PhD

Director, Licensing and New Ventures


mailto:[email protected]




Questions?

Research Development at UAB

Chelsea Crawford, PhDDirector, Research Development

WHAT IS RESEARCH DEVELOPMENT (RD)?

• A set of proactive, catalytic, and capacity-building tools designed to

support the efforts of individual faculty members, teams of

researchers, and central research administration offices in attracting

extramural research funding.

• We strive to create productive relationships and to develop and

implement strategies that increase faculty success.

• We try to reduce the number of times UAB investigators encounter

the terms: “NOT DISCUSSED” or “UNSCORED”

WHO ARE WE?

Kent T. Keyser, PhD

Associate Vice President, Research

Development and Internal Programs

• Former Graduate Program director and

UWIRC director

• Experience writing R01s, P30s, T32s,

T35s, U01s, NSF applications, and

writing and applying for internal pilot

grants

• Extensive experience with both

successful and unsuccessful

submissions

Chelsea Crawford, PhD

Director of Research Development

• Former UWIRC administrator and

grants manager

• Experience writing and coordinating

teams for small- and large-scale NIH,

DoD, NSF, VA, and foundation grant

applications

• Lover of writing, details, and rules

UAB RESEARCH DEVELOPMENT RESOURCES

No, we can’t write grants for you, but we do provide:

• Weekly or biweekly distribution of new funding opportunities:

go.uab.edu/research-funding

• Team building and support for large-scale proposals

• Referral to internal and external RD resources:

Schools | Centers


• iThenticate—a way to screen the written products of your lab for plagiarism


• LabArchives—an electronic lab notebook

URL:

mynotebook.labarchives.com/

sitesignup?stay=here


1

In cases where the sponsor limits the number of submissions, we pull together ad hoc advisory groups to choose who can submit.

This facilitates transparency and fairness.

Limited Submissions

1

Our office supports the University-Wide Interdisciplinary Research Centers.

The UWIRCs sponsor programs and events (retreats, workshops) that facilitate collaboration, and provide financial support for core facilities.

UWIRCs

1

In collaboration with the SOM and Centers, our office supports core facilities through the Institutional Research Core Program.

If UAB doesn’t have resources that faculty need for research, we try to find those resources at a neighboring institution and arrange for UAB faculty to have access.

IRCP

Questions?

Procurement

Ron CollinsExecutive Director, Procurement

AGENDA

• Purchasing vs Procurement

• FY19 By The Numbers

• P-Cards & BuyUAB

• Airline Requisitions & RezDesk

• Multi-Function Printers

PURCHASING VS PROCUREMENT

• Purchasing – focuses on how products and services are

acquired and ordered, including processing purchase orders

and arranging payment

PURCHASING VS PROCUREMENT

• Purchasing – focuses on how products and services are

acquired and ordered, including processing purchase orders

and arranging payment

• Procurement – concentrates on the strategic process of

product or service sourcing, including for example researching,

negotiation and planning

FY19 - BY THE NUMBERS

Accounts Payable

• Invoices – 165,323

• Lines – 663,001

• Dollars – $227,668,850

• Checks Issued – 154,367


Accounts Payable


• Lines – 663,001

• Dollars – $ 227,668,850


University Purchasing

• Requisition Lines – 189,379

• Purchase Orders – 71,193

• Vendors Created – 31,699

• Contracts Administered – 5,000+


Accounts Payable


• Lines – 663,001

• Dollars – $227,668,850


University Purchasing

• Requisition Lines – 189,379

• Purchase Orders – 71,193

• Vendors Created – 31,699

• Contracts Administered – 5,000+

Total Expenditures - $2,733,074,756

P-CARDS

1. P-Card Program – designed to be a flexible form of payment that

permits UAB employees to place orders for allowable purchases.

2. Policies and Procedures – policies and procedures govern the UAB P-

Card program. They are designed to protect both the P-Card user as well

as UAB. Participation in the program is considered a privilege.

3. Capital Purchases – are not permitted

4. Compliance

• State of Alabama Bid Law

• UAB Expenditure Guidelines

• UAB vendor agreements

https://www.uab.edu/policies/content/Pages/UAB-UC-POL-0000792.aspx

https://www.uab.edu/financialaffairs/policies/p-card-procedures

P-CARDS – WHO’S USING THEM? (DEC SNAPSHOT)

ORGANIZATION TOTAL ORGANIZATION TOTAL ORGANIZATION TOTAL

FACILITES 455,372$ SENIOR VICE PROVOST 31,175$ GRADUATE SCHOOL 11,767$

INSTITUTIONAL 388,285$ RESEARCH 25,780$ UNIV RELATIONS 9,931$

SVPFAA 281,290$ HEALTH PROFESSIONS 25,631$ CHRO 8,187$

MEDICINE 249,377$ PROVOST 24,829$ HONORS COLLEGE 8,005$

UAB ATHLETICS 152,324$ INFO TECHNOLOGY 21,349$ UAB ARTS 6,579$

FIN AFFAIRS 106,621$ NURSING 21,088$ OEDI 5,979$

CAS 102,431$ UAB LIBRARIES 20,905$ DENTISTRY 5,843$

ENGINEERING 62,954$ EDUCATION 17,497$ UNIV COMPLIANCE 3,980$

STUDENT AFFAIRS 48,127$ PUBLIC HEALTH 16,880$ PRESIDENTS OFFICE 3,244$

DEVELOPMENT & ALUMNI 33,909$ OPTOMETRY 15,232$ BUSINESS 2,380$

HOSPITAL 31,235$ HLTH SYSTEM 12,861$

Dec 2019 Total Spend - $2,211,049

P-CARDS - WHERE ARE THEY BEING USED?

Miscellaneous Stores

25%

Business Services

17%

Transportation17%

Wholesale Distributors and Manufacturers

11%

Professional Services

8%

Airlines7%

Miscellaneous Stores

Business Services

Transportation

Wholesale Distributors and Manufacturers

Professional Services and Membership

Organizations

Airlines

P-CARDS – TYPES AND WHO CAN GET ONE?

• Organization – cards are issued in the organization’s name and a

responsible cardholder assigned. Eligible employment categories include:

01 Full Time Regular

12 Three Twelve Hour Shif Employees

• Individual – cards are issued in the employee’s name and may only be

used by the employee. Personal credit history is not affected nor used to

determine eligibility. Additional eligible employment categories include:

• 03 Part Time Regular

• 07 Interns and/or Residents

• 20 Postdoctoral Scholar Trainee

• 21 Postdoctoral Scholar Employee

• 01 Full Time Regular

• 12 Three Twelve Hour Shift

• 59 Affiliated Employees

www.uab.edu/pcard

http://www.uab.edu/pcard

BUYUAB MARKETPLACE

• Transforms the way goods and services are purchased at UAB

• Provides an electronic procurement system that is easy to navigate and

intuitive to use, utilizing a UAB P-Card for payment

• Delivers cost savings and a faster procurement process

• Access granted by Organization’s Fiscal/Business Officer

• (vs Employment Category)

• Contracted Vendors offering punchout catalogs

• 18 Active Vendors

• 2 Pilot Vendors (Airgas & Connection (IT))

www.uab.edu/buyuab

https://www.uab.edu/financialaffairs/buying/p-card

http://www.uab.edu/buyuab

BUYUAB MARKETPLACE - 18 VENDORS

AIRLINE REQUISITIONS

• Purchase requisitions disabled December 1st, 2019

• UAB travelers / travel arrangers encouraged to use RezDesk

• To use RezDesk

• Select on the Admin Systems Page

• Select UAB Travel button

under Resources to

access RezDesk

• Upon initial login, UAB travelers and travel arrangers must update their

profile before using the portal to arrange travel

• RezDesk Training How-To videos are posted under Resources

AIRLINE REQUISITIONS

• Purchase requisitions disabled December 1st, 2019

• UAB travelers / travel arrangers encouraged to use RezDesk

• To use RezDesk

• Select on the Admin Systems Page

• Select UAB Travel button

under Resources to

access RezDesk

• Upon initial login, UAB travelers and travel arrangers must update their

profile before using the portal to arrange travel

• RezDesk Training How-To videos are posted under Resources

REZDESK BENEFITS

• Duty of Care Compliance – provides tools to locate UAB travelers at any given time

• Policy Management and Compliance – ensures that every trip complies with UAB Travel guidelines and procedures

• 24/7/365 Support – UAB travelers have access to dedicated team of agents

• Reporting and Single Source of Management Information – having all travel in one managed program allows UAB to develop reports that are relevant and meaningful in terms of both headline and granular detail

• Preferred Rates & Fees – gives travelers access to preferred rates and ticket terms & conditions not always available to general public

• Booking Fees• Online Booking - $7.75/transaction – Air & Rail (Dom & Intl) – Car/Hotel Included

• Agent Assisted - $25.00/transaction – Domestic – Car/Hotel Included

• Agent Assisted - $35.00/transaction – International (plus Car & Hotel)

• Agent Assisted - $10.00/transaction – International Car/Hotel

MULTI-FUNCTION PRINTERS / MFPs (i.e., COPIERS)

• Cost-Per-Click (CPC) Program

• Cost is all-inclusive of equipment, maintenance, toner

• February 2020 deployment

• Standardized equipment – Canon Solutions America

• Consolidated billing – no more invoices for leases or maintenance

• Fleet Management – eliminates manual monthly print count reporting

• Sustainability & Security win – job only prints upon OneCard scan

• Eliminates double printed / misplaced print jobs

• Eliminates unattended sensitive print jobs laying on the copier waiting to be retrieved

• Follow-me printing - permits the user to print to the generic printer address

(Uniflow) and retrieve the print job from any CPC machine – even in another

building

STANDARDIZED SELECTION – 5 BLACK & WHITE / 3 COLOR

Black & White Color

Questions?

Where Should I Submit my Agreement OSP vs. University Contracts?

Melinda Cotten, Ron Collins & Renee Clements

Decision Tree for

Contract Submissions

Final Questions?

Networking Time

Documents

Research Administration Forum January 2020appropriate credit” ... •Counsel –Let your subordinates and others know how to behave. •Think –Stop for a moment and think •Study