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Faculty Compliance Training 2008-2009

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Title: Faculty Compliance Training 2008-2009


1
Faculty Compliance Training2008-2009
2
Overview
  • Effort Reporting
  • Faculty/AAUP Consulting and Conflicts of Interest
    in Research Updates
  • Code of Conduct and Code of Ethics -
    Updates

3
Basics
  • Handouts
  • Distractions
  • Cell Phones/Blackberries
  • Laptops
  • Questions
  • Late Entry/Early Exit

4
Compliance Training Effort Reporting and
Certification
  • Office for Sponsored Programs
  • Spring 2009

Office for Sponsored Programs
5
What is Effort Reporting?
  • Effort reporting is the mechanism used to confirm
    that salaries charged to each sponsored project
    are reasonable in relation to the work actually
    performed.
  • Cost sharing commitments are also confirmed
    through the use of effort reports.
  • OMB Circular A-21 requires that the University
    document the distribution of activity to each
    individual sponsored project.

5
Office for Sponsored Programs
6
Effort Reporting Encompasses More Than Just
Certifying Effort
Post-Award
Pre-Award
Appointing Faculty Staff
Preparing the Proposal Budget Committing Effort
Award Management/ Charging Salary
Certifying Effort
Employment Terms are Established including
months, full-time, salary base
Effort is Certified after activity has occurred
Salary is Charged or Cost Shared
contemporaneously with effort
Effort is Proposed a commitment is made to the
sponsor
6
Office for Sponsored Programs
7
Why?
  • Effort Certification is a Federal Requirement
  • Universities must comply with OMB Circular A-21
  • (Cost Principles for Educational Institutions)
  • Labor expenses typically represent the
    majority of direct costs on sponsored
    projects
  • Effort certification is the only means of
    verifying that the salaries charged to grant
    and contract accounts were appropriate

7
Office for Sponsored Programs
8
Who?
  • Effort Certification is a Federal Requirement
  • Effort reports are required for all individuals
    who work on sponsored projects.
  • Principal Investigators are responsible for
    ensuring that all charges (including salary)
    to an award are appropriate.
  • Commitments must be met, regardless of
    whether the sponsor provided salary support.

8
Office for Sponsored Programs
9
When?
  • For Faculty/Professional Staff
  • Fall Semester
  • Spring Semester
  • Summer Semester
  • Summer Effort Does Not Overlap with
    the Spring and Fall Semesters
  • Classified Staff Certify Effort Quarterly

9
Office for Sponsored Programs
10
How is Effort Measured?
As a percentage of total time dedicated to
University activities for a given period. Since
percentage is the basis for measurement, total
effort for any given period must equal
100. This is not equivalent to a 35, 40 or even
a 60 hour work week, or any fixed
number of hours.
10
Office for Sponsored Programs
11
Summer Salary
  • It is not possible to work extra during the
    academic year, then take a summer salary without
    actually working during the summer.
  • Protecting your budget by delaying taking
    summer salary can be problematic.

11
Office for Sponsored Programs
12
What are University Activities?
  • Research
  • Departmental and University Research
  • Instruction
  • University Supported Academic Effort
  • Administration
  • Service on Institutional Committees
  • Preparing Proposals
  • Pursuing Intellectual Property
  • Public Service
  • Outreach
  • Paid Absences

12
Office for Sponsored Programs
13
Sponsored Research Activities
  • A sponsored project can only be charged for
    activities that directly relate to the project.
  • This may include
  • Directing or Participating in the Research
  • Writing a Progress Report
  • Holding a Meeting with Lab Staff
  • Consulting with Colleagues
  • Delivering Special Lectures
  • Mentoring Graduate Students

13
Office for Sponsored Programs
14
Activities Not Applicable to Sponsored Research
  • Activities that cannot be allocated to sponsored
    projects include
  • Writing, Editing and Submitting Proposals
  • Administration
  • Instruction, Office Hours, Counseling for
    Students
  • Mentoring Graduate Students
  • (on something other than a specific
    research project)
  • Service on an IRB, IACUC, Selection
    Committee
  • Service as the Primary Editor of a Journal
  • Advisory Activities for Sponsors

14
Office for Sponsored Programs
15
Cost Sharing
  • Cost shared effort reflects work on a sponsored
    project that is not paid by the sponsor
  • Mandatory cost sharing is required by the sponsor
    and must be shown on the effort form.
  • Voluntary Committed cost sharing is promised by
    the university in the proposal, is required by
    the award and must be shown on the effort
    form.
  • Voluntary Uncommitted cost sharing is work
    performed after the award is received that
    was not included as part of the proposal or
    required by the terms and conditions of an
    award.

15
Office for Sponsored Programs
16
Documentation Requirements
  • Documentation Must
  • Reasonably reflect the activity for which an
    individual is paid by the University (or has
    committed effort).
  • Reflect all of the activities performed by the
    individual.

16
Office for Sponsored Programs
17
Documenting Effort
How can someone prove his/her effort for a
period of time? Maintain documentation that
supports the research contribution, both research
content and time/percentage of effort. Use a
calendar, correspondence, work products,
etc
17
Office for Sponsored Programs
18
Documentation Requirements
  • Documentation Must
  • Include after-the-fact confirmation to ensure
    that initial salary charges reasonably
    approximate actual effort.
  • Be performed by the individual or a responsible
    individual who has a suitable means of
    verification that the work was performed.

18
Office for Sponsored Programs
19
Who Can Sign?
  • Reports must be signed by the
  • Principal Investigator, employee or
  • a responsible person using suitable
  • means of verification.

19
Office for Sponsored Programs
20
Differences?
  • Generally speaking
  • If actual effort on a grant lt salary charged to
    the grant, a cost transfer should be requested.
  • If actual effort gt salary charged, it becomes
    cost share if effort is committed in proposal.

20
Office for Sponsored Programs
21
Changes to Signed Effort Reports
  • Should not be made unless an unusual or
    extraordinary situation exists.
  • Changes to previously certified effort reports
    are a red flag for auditors.
  • Requests for changes are usually tied to
    attempts to use up remaining grant
    funds.

21
Office for Sponsored Programs
22
Example 1
  • In addition to her teaching and other University
    responsibilities, Dr. Smith is the PI for three
    research projects. She has voluntary cost shared
    effort of 10 for Project A, and no committed
    effort for Projects B and C.
  • How should Dr. Smiths salary and effort be
    recorded on her effort report?

23
10 Cost Shared Effort
24
Example 2
  • This scenario is the same as Example 1, except
    in this case, Dr. Smith is being paid 10 of her
    salary from Project A. She has no committed
    effort for the other two projects.
  • How should Dr. Smiths salary and effort be
    recorded in this situation?

25
10 Paid Effort
26
Example 3
  • In this example, Dr. Smith has 10 paid effort on
    Project A, and 5 cost shared effort on Project
    B.
  • How should Dr. Smiths salary and effort be
    recorded on her effort report in this situation?

27
10 Paid and 5 Cost Shared Effort
28
Example 4
Common Mistakes
29
Example 5
  • This example is designed to illustrate what
    happens when a PI delays taking a summer salary
    in order toprotect his/her budget.
  • Currently, we do not have a method to isolate and
    exclude such a payment from the fall/spring
    effort reports.

30
Summer Pay During Academic Year

67
41,540
33
20,460
62,000
6,000 was summer salary from 525XXX
31
  • Auditors Look for
  • Patterns suggesting actual effort was less than
    the level certified.
  • Patterns of retroactive adjustments that appear
    to be for the purpose of using of unspent grant
    funds.

31
Office for Sponsored Programs
32
Audit / Compliance Headlines
Institution Headline
Multiple Institutions Researchers Criticized for Poor Time-keeping
University of Pennsylvania NSF Audit of Penn Finds Systemic Weaknesses in Effort Reporting
Johns Hopkins University Faculty time and effort devoted to NIH grants was overstated
Florida International University Florida International U. Agrees to 11.5-Million Settlement with Government Over Grants Accounting
Harvard University Harvard Agrees to Pay 2.4-Million More to Settle Allegations of Overcharging the NIH
Mayo Clinic Research effort associate with other sponsored projects was charged to NIH grants.
Northwestern University Northwestern University ok's Settlement in Federal Grant Case
32
Office for Sponsored Programs
33
Effort CertificationKey Points
  • Effort should reasonably reflect activity.
  • Effort certified must represent 100 of
    University effort.
  • Effort is not based on a 40-hour work week.
  • Faculty should certify their own individual
    effort report form.
  • Effort reports for other employees must be
    completed and signed either by the employee, the
    principal investigator, or a responsible official.

33
Office for Sponsored Programs
34
Contacts
  • Antje Harnisch 486-3994
  • antje.harnisch_at_uconn.edu
  • Neal Breen 486-3798
  • neal.breen_at_uconn.edu

34
Office for Sponsored Programs
35
Office of Research Compliance (ORC)
Annual Compliance Training2008-2009
Office of Research Compliance
36
Training Why?
  • It is required
  • Opportunity for review
  • Experience identifies new issues
  • Amendments to policy and procedure
  • Related topics

Office of Research Compliance
37
Training Worth It?
  • Opportunity for dialogue
  • Allays confusion and rumor
  • Ensures smooth operation of program
  • Protects program

Office of Research Compliance
38
REVIEW
Office of Research Compliance
39
Consulting .
  • is defined as providing services, advice and
    similar activities for compensation, based on
    faculty members professional expertise or
    prominence in his or her field, while not acting
    as a State employee.
  • http//consulting.uconn.edu/

Office of Research Compliance
40
Activities that are NOT consulting.
  • There is no compensation, other than necessary
    expenses
  • The compensation is paid through the State
  • The work is done with another State agency
  • The work does not enhance professional development

Office of Research Compliance
41
Time due the University...
  • is defined as anytime necessary for successfully
    carrying out the duties assigned to and for which
    a faculty member was hired. This includes both
    sufficient time to perform assigned duties as
    well as sufficient opportunity to meet with other
    faculty, staff and students.

http//consulting.uconn.edu/
Office of Research Compliance
42
Approval to Consult given only if faculty
member.
  • is currently fully performing his/her state
    duties
  • is not exceeding an average of one day per week

Office of Research Compliance
43
Learn From Experience
Office of Research Compliance
44
Prior Approval.
  • Not on the day of activity
  • Before start of activity
  • Late submissions to any of the required
    signatories cannot be approved and triggers
    sanctions

Office of Research Compliance
45
How do I count the days?
  • Any time away from time due the University
  • Must include travel time
  • Time not due the University -counts as 0 (zero)
    days

Office of Research Compliance
46
Amendments And Changes
Office of Research Compliance
47
As of January 1, 2009, the Faculty Consulting
Office (FCO) will.
  • Process only those forms that are submitted at
    least one day prior to the start of the activity
  • Impose sanctions for requests submitted late - on
    or after the start date of the activity.

Office of Research Compliance
48
Departments and Schools will be reminded to.
  • Monitor the total number of consulting days
    requested (39 during the academic year
    September through May)
  • Consider whether proposed consulting activity
    could be done by the University

Office of Research Compliance
49
The Request to Consult Form is modified to
require.
  • The total estimated time committed for the
    consulting activity to include associated travel
    time, broken out by days expected to be at work
    AND days not expected to be at work

Office of Research Compliance
50
Form updates
  • The number of already approved requests for the
    current academic year
  • The project titles of requestors current
    University grants/contracts from the contracting
    entity
  • The name of the end-client if the contracting
    entity is owned by the requestor.

Office of Research Compliance
51
Related Topics
Office of Research Compliance
52
Teaching Courses at other Institutions
  • Under the purview of the Provosts office

Office of Research Compliance
53
Fast Trackhttp//consulting.uconn.edu/policies.cf
m
  • Traditional academic activities
  • Remuneration for each activity does not exceed
    500
  • Department Heads signature only
  • Copy to FCO

Office of Research Compliance
54
Pre-Approved Activities http//consulting.uconn.ed
u/policies.cfm
  • For summer months only, if the faculty member has
    no University responsibilities/receives no summer
    salary
  • For academic activities only
  • Limit per activity 1,000
  • Limit over summer (for pre-approved) 10,000

Office of Research Compliance
55
Promotional Presentations Banned (i.e. marketing)
  • Promotional activities that do not provide a fair
    and balanced review of treatments/products are
    not allowed.

Office of Research Compliance
56
Sanctions
Office of Research Compliance
57
Sanctions.
  • are required by PA 07-166 and BOT approved
    University policy
  • will be imposed for late submission and other
    material non-compliance
  • will be issued by the Provost and Executive
    President for Academic Affairs

Office of Research Compliance
58
Late submission only
Office of Research Compliance
59
Occurrences of late submission will be.
  • cumulative starting January 1, 2009
  • reset on July 1, 2010

Office of Research Compliance
60
Exceptions Process.
  • if requestor provides documentation of last
    minute nature of request
  • if chief academic officer provides documentation
    that late submission was an administrative glitch
  • pertains to academic activities only

Office of Research Compliance
61
Sanctions for consulting without seeking approval
and other material non-compliance will be
determined by the following factors
  • whether or not the University would have approved
    the activity if request had been made
  • the level of compensation for the activity
  • time expended from time due the University
  • existence and nature of previous non-compliance

Office of Research Compliance
62
General Update
Office of Research Compliance
63
  • Experienced first audit
  • External Oversight Committee is being convened
  • Annual Report will go to the BOT and two
    Legislative Committees impact unknown
  • Established Faculty Consulting Office
  • Live and on-line training sessions offered
  • Consulting Management Committee (CMC) provides
    input

General Update
Office of Research Compliance
64
When in Doubt
Office of Research Compliance
65
If you have questions..
  • http//consulting.uconn.edu/

Faculty Consulting Office Whetten Graduate
Center,U-1006
  • Ilze Krisst, Ph.D.Assistant Vice Provost for
    Research andDirector, Office of Research
    Compliance
  • ilze.krisst_at_uconn.eduPhone 486-0987
  • Cindy HallCompliance Coordinatorcindy.hall_at_ucon
    n.eduPhone 486-5813

66
CONFLICT OF INTEREST (COI)
  • The COI policy applies to the University because
    it accepts federal funds and is based on the
    regulations promulgated by
  • DHHS
  • PHS
  • NIH
  • NSF
  • FDA

Office of Research Compliance
66
2/24/09
67
WHAT IS A COI?
  • A situation in which a Significant Financial
    Interest may compromise or have the appearance of
    compromising the Investigators professional
    judgment in conducting or reporting research

Office of Research Compliance
67
2/24/09
68
WHAT IS A SIGNIFICANT FINANCIAL INTEREST?
  • Anything of monetary value, but not limited to

1. An equity interest that when aggregated for
the investigator and the investigator's spouse
and dependent children exceeded 10,000 over the
last 12 months, and/or is expected to
exceed 10,000 in value over the next 12
months as determined through reference to public
prices or other reasonable
measures of fair market
value or
Office of Research Compliance
68
2/24/09
69
WHAT IS A SIGNIFICANT FINANCIAL INTEREST?
Anything of monetary value, but not limited to
2. An equity interest that represents equal to or
more than 5 ownership interest in any single
entity or
Office of Research Compliance
69
2/24/09
70
WHAT IS A SIGNIFICANT FINANCIAL INTEREST?
Anything of monetary value, but not limited to
3. Salary, royalties or other payments NOT from
the University for services (e.g., consulting
fees or honoraria) that when aggregated for the
investigator and the investigator's spouse and
dependent children over the last 12
months exceeded 10,000 or are
expected to exceed 10,000 over the next
12 months.
Office of Research Compliance
70
2/24/09
71
What is a Significant Financial Interest?
  • The term does not include
  • Salary, royalties, or other remuneration from the
    University
  • Income from seminars, lectures, or teaching
    engagements sponsored by governmental
    agencies.
  • For greater detail, please refer to website
  • http//compliance.uconn.edu/conflict.cfm

Office of Research Compliance
71
2/24/09
72
WHO NEEDS TO DISCLOSE?
  • Every individual responsible for the design,
    conduct or reporting of any research at the
    University is required to disclose a Significant
    Financial Interest.

Office of Research Compliance
72
2/24/09
73
Office of Audit Compliance EthicsFaculty
Compliance Training2008-2009
74
  • Code of Conduct

75
Code of Conduct Reminder
  • Core Values Knowledge, Honesty, Integrity,
    Respect Professionalism.
  • Standards Education Research Patient Care
    Campus-Wide Business, Fiscal and Legal
    External Relations and University
    Advancement.
  • University policy based on these
    standards.

76
  • State Code of Ethics

77
State Code of Ethics for Public Officials
  • Intended to prevent individuals from using state
    position for personal financial benefit.
  • Office of State Ethics full investigative and
    enforcement powers.
  • Violations may lead to fines and possible
    criminal charges.

78
State Code of Ethics - Recent Fines
  • Retired State Trooper -   Fined 6,000. 
  • Submitted false time cards claiming overtime.
  • Had already reimbursed the state 7,968.13
  • Judicial Branch Employee Fined 500.
  • Used state computer equipment, and access to
    state computer databases, to engage in employment
    on behalf of an outside employer.
  • Searched criminal records (public) on personal
    time.
  • Maximum penalty at the time was 2,000

79
Conflict of Interest Gifts
  • Anything of value that is directly and personally
    received, unless consideration of equal or
    greater value.
  • Generally may not accept gifts from
    prohibited donors.
  • Includes family.
  • Remember there are exceptions.

80
Gift Exceptions - New
  • Major life events - 1,000 limit from registered
    lobbyist or non-prohibited donor (except for
    family members).
  • Birth of adoption of a child
  • Wedding or civil union
  • Funeral
  • Induction into religious adulthood
  • Retirement is STILL not included

81
Outside Employment New
  • Recent Advisory Opinion regarding the use of
    supervisors/subordinates in outside employment.
  • Impermissible for a supervisor or subordinate to
    employ a supervisor or subordinate in
    their outside business. 
  • EXCEPTION AAUP as long as disclosed on an
    approved consulting form.

82

Conflict of Interest Disclosure - New
  • When a potential conflict of interest exists,
    Code of Ethics requires employees to prepare a
    written statement describing the matter and
    nature of the conflict. This documents how the
    conflict was managed.
  • to be given to supervisor.
  • Supervisor assigns matter to another
    employee.
  • Original sent to HR copies kept by
    supervisor and employee.

83
Textbooks
  • Discussed during last years training.
  • Concern brought to Executive Compliance
    Committee.
  • Senate Executive Committee is currently reviewing
    ideas for selling and/or donating the
    books to charity.

84
Reporting Compliance Concerns
85
Reporting Compliance Concerns
  • Chain of Command
  • OACE
  • REPORTLINE
  • Phone 1-888-685-2637
  • Web Access
  • https//www.compliance-helpline.com/uconncares.jsp
  • State Auditors of Public Accounts

86
Reporting Compliance Concerns
  • University policy prohibits retaliation against
    anyone reporting in good faith a compliance
    concern to
  • Supervisor
  • Faculty
  • Administrator
  • Compliance Office
  • REPORTLINE

87
Office of Audit, Compliance Ethics Compliance
Staff
  • Rachel Rubin, Director of Compliance
  • Kimberly Fearney
  • Rachel Krinsky Rudnick
  • Liz Vitullo
  • Phone (860) 486-4526
  • Email ethics_at_uconn.edu
  • Web www.audit.uconn.edu
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