Basic Definitions

1
Basic Definitions

• Academic Year (AY)
• Have some ambiguity when defining AY
• The July 2001 Boulder Campus Policy on
  Additional Pay to Regular Research Faculty says
  AYAugust to May (i.e., Aug 15-May 15) called
  UCB 2001 Policy
• UCBs FTE Policy (Feb 2004) defines AY as
  Mid-August through Mid-May
• However,
• The Graduate Student Appointment Manual says
  AYSept 1 May 31
• PBS (Payroll) says AY appointments are generally
  made on a contract basis for Sept through May and
  the appointments are paid from Sept through May

2
Basic Definitions (contd)

• Definition of AY generally based on PBS and
  payroll schedule
• PBS states AY appointments will receive no pay
  during June, July August
• ePER system driven by monthly payroll, not term
  dates
• ePER system divides year into 3 semesters based
  on full months
• Fall (Sept-Dec)
• Spring (Jan-May)
• Summer (June-Aug)
• Summer salary allocated to May (50 of monthly)
  will report as Spring wages on ePER

3
Compensation

• AY Salary Base Salary
• Base salary determines what amounts can be earned
  during summer what can be charged to sponsored
  projects
• OMB Circular A-21 Charges for work performed
  during the AY will be based onregular
  compensation for the continuous period
  whichconstitutes the basis of his salary.
  Charges for work performedduring all or any
  portion of such period are allowable at the base
  salary rate.
• UCB 2001 Policy AY salary is the sum paid in
  consideration of normal services rendered during
  AY, described as 9/9th of an AY faculty members
  salary
• AY base salaries may be supplemented by variety
  of stipends adjustments but that doesnt
  increase base amount (need permission of Dean)

4
Compensation Limits

• During AY
• UCB 2001 Policy
• Prohibits AY faculty from supplementing their
  9/9ths salary with grant funds or other
  university research salary during AY
• May substitute some base salary with grant
  dollars if workload is adjusted
• Needs permission of Dean
• course buyout reduces university-paid salary
• monthly base salary remains unchanged

5
Compensation Limits

• During AY
• OMB Circular A-21
• In no event will charges to sponsored
  agreementsexceed the proportionate share of the
  base salary for that period.
• Intra university consulting is.a university
  obligation requiring no additional compensation
  to base salary
• However, in unusual cases where consultation is
  across departmental lines or involves a separate
  or remote operation, the work performed by the
  consultant is in addition to his regular
  departmental load, any.extra compensation above
  base salary is allowable provided.specifically
  provided for in the agreement or approved in
  writing by sponsoring agency.

6
Compensation Limits (contd)

• Summer Salary Limitations
• UCB 2001 Policy
• Allows a maximum of additional 3/9ths to be
  earned in salary for activities conducted in
  summer months, not to exceed 1/9th per month
• Exceptions to maximum require prior approval of
  Deans office and Office of Faculty Affairs
• 3/9ths for summer salary includes
• Any salary paid from sponsored projects
• Summer teaching for either summer school or
  continuing ed
• Maymester is summer teaching, not AY overload
• Administrative stipends (i.e., Dept Chairs and
  Faculty Directors)
• This additional 3/9ths is calculated from the
  base salary, not on total compensation

7
Compensation Limits (contd)

• Summer Salary Limitations
• OMB Circular A-21
• Charges for work performed by faculty members on
  sponsored projects during the summer will be at
  the monthly rate of the base salary for AY,
  generally 1/9th
• Doesnt govern summer teaching or consulting
• Teaching during summer or other periods not
  included in base salary will be based on
  university policy governing such compensation
• Non-institutional activities must follow the
  institution-wide policies practices governing
  the permissible extent of such professional
  services

8
Allowable Additional Compensation

• Not included in base salary
• UCB 2001 Policy
• Overload teaching during AY those activities in
  excess of teaching activities expected as part of
  the defined workload formula
• Service that includes responsibility when it is
  not a regular and ongoing component of normal
  workload
• Monetary awards for exceptional service,
  teaching, research, or other contributions
• Compensation for consulting activities with
  entities not associated with the university
• Dollar amount not restricted
• Amount of time faculty can devote to consulting
  during AY is restricted to 1/6 of total time and
  effort

9
Additional Compensation (contd)

• External Salary Caps
• Federal
• Some federal agencies require salary cap for
  employees working on projects they fund
• Current NIH cap (through 12/31/07) is 186,600
• NSF will pay only 2 months summer effort
• Private Agencies
• Some private agencies also set salary limits,
  such as American Cancer Society
• To know if there are limits, look at the
  Additional Terms and Conditions Attachment of the
  Notice of Grant Award

10
Effects of Policy

• ePER (effort report) reflects 100 of semester
  salary earned
• Total salary always represents 100 (not 100
  plus overload )
• Total can be distributed among various position
  numbers (AY pay effort, summer pay effort,
  chair, etc)
• Spring ePER can also include ½ month summer
  salary and effort in total semester pay
• NOTE 2001 UCB Policy on Additional Pay to
  Regular and Research Faculty
• Directed to faculty on 100 AY or FY appointments
• Faculty on less than 100 may take on additional
  duties and compensation equivalent to 100 FTE,
  as defined in their letter of appointment or
  reappointment

11
Basic Definitions

• Academic Year (AY)
• Have some ambiguity when defining AY
• The July 2001 Boulder Campus Policy on
  Additional Pay to Regular Research Faculty says
  AYAugust to May (i.e., Aug 15-May 15) called
  UCB 2001 Policy
• UCBs FTE Policy (Feb 2004) defines AY as
  Mid-August through Mid-May
• However,
• The Graduate Student Appointment Manual says
  AYSept 1 May 31
• PBS (Payroll) says AY appointments are generally
  made on a contract basis for Sept through May and
  the appointments are paid from Sept through May

12
Basic Definitions (contd)

• Definition of AY generally based on PBS and
  payroll schedule
• PBS states AY appointments will receive no pay
  during June, July August
• ePER system driven by monthly payroll, not term
  dates
• ePER system divides year into 3 semesters based
  on full months
• Fall (Sept-Dec)
• Spring (Jan-May)
• Summer (June-Aug)
• Summer salary allocated to May (50 of monthly)
  will report as Spring wages on ePER

13
Compensation

• AY Salary Base Salary
• Base salary determines what amounts can be earned
  during summer what can be charged to sponsored
  projects
• OMB Circular A-21 Charges for work performed
  during the AY will be based onregular
  compensation for the continuous period
  whichconstitutes the basis of his salary.
  Charges for work performedduring all or any
  portion of such period are allowable at the base
  salary rate.
• UCB 2001 Policy AY salary is the sum paid in
  consideration of normal services rendered during
  AY, described as 9/9th of an AY faculty members
  salary
• AY base salaries may be supplemented by variety
  of stipends adjustments but that doesnt
  increase base amount (need permission of Dean)

14
Compensation Limits

• During AY
• UCB 2001 Policy
• Prohibits AY faculty from supplementing their
  9/9ths salary with grant funds or other
  university research salary during AY
• May substitute some base salary with grant
  dollars if workload is adjusted
• Needs permission of Dean
• course buyout reduces university-paid salary
• monthly base salary remains unchanged

15
Compensation Limits

• During AY
• OMB Circular A-21
• In no event will charges to sponsored
  agreementsexceed the proportionate share of the
  base salary for that period.
• Intra university consulting is.a university
  obligation requiring no additional compensation
  to base salary
• However, in unusual cases where consultation is
  across departmental lines or involves a separate
  or remote operation, the work performed by the
  consultant is in addition to his regular
  departmental load, any.extra compensation above
  base salary is allowable provided.specifically
  provided for in the agreement or approved in
  writing by sponsoring agency.

16
Compensation Limits (contd)

• Summer Salary Limitations
• UCB 2001 Policy
• Allows a maximum of additional 3/9ths to be
  earned in salary for activities conducted in
  summer months, not to exceed 1/9th per month
• Exceptions to maximum require prior approval of
  Deans office and Office of Faculty Affairs
• 3/9ths for summer salary includes
• Any salary paid from sponsored projects
• Summer teaching for either summer school or
  continuing ed
• Maymester is summer teaching, not AY overload
• Administrative stipends (i.e., Dept Chairs and
  Faculty Directors)
• This additional 3/9ths is calculated from the
  base salary, not on total compensation

17
Compensation Limits (contd)

• Summer Salary Limitations
• OMB Circular A-21
• Charges for work performed by faculty members on
  sponsored projects during the summer will be at
  the monthly rate of the base salary for AY,
  generally 1/9th
• Doesnt govern summer teaching or consulting
• Teaching during summer or other periods not
  included in base salary will be based on
  university policy governing such compensation
• Non-institutional activities must follow the
  institution-wide policies practices governing
  the permissible extent of such professional
  services

18
Allowable Additional Compensation

• Not included in base salary
• UCB 2001 Policy
• Overload teaching during AY those activities in
  excess of teaching activities expected as part of
  the defined workload formula
• Service that includes responsibility when it is
  not a regular and ongoing component of normal
  workload
• Monetary awards for exceptional service,
  teaching, research, or other contributions
• Compensation for consulting activities with
  entities not associated with the university
• Dollar amount not restricted
• Amount of time faculty can devote to consulting
  during AY is restricted to 1/6 of total time and
  effort

19
Additional Compensation (contd)

• External Salary Caps
• Federal
• Some federal agencies require salary cap for
  employees working on projects they fund
• Current NIH cap (through 12/31/07) is 186,600
• NSF will pay only 2 months summer effort
• Private Agencies
• Some private agencies also set salary limits,
  such as American Cancer Society
• To know if there are limits, look at the
  Additional Terms and Conditions Attachment of the
  Notice of Grant Award

20
Effects of Policy

• ePER (effort report) reflects 100 of semester
  salary earned
• Total salary always represents 100 (not 100
  plus overload )
• Total can be distributed among various position
  numbers (AY pay effort, summer pay effort,
  chair, etc)
• Spring ePER can also include ½ month summer
  salary and effort in total semester pay
• NOTE 2001 UCB Policy on Additional Pay to
  Regular and Research Faculty
• Directed to faculty on 100 AY or FY appointments
• Faculty on less than 100 may take on additional
  duties and compensation equivalent to 100 FTE,
  as defined in their letter of appointment or
  reappointment

21
CONFLICTS OF INTEREST COMMITMENT

• Fundamentals of Compliance
• Department Administrator Training
• Office of Contracts and Grants

Jean Wylie, Compliance Director, Conflicts of
Interest/Commitment
22
Conflicts of interest

• exist when an employees financial or
  personal considerations may compromise, or have
  the appearance of compromising, an employees
  personal judgment in administration, management,
  instruction, research, and other professional and
  academic activities.
• APS on Conflicts of Interest and Commitment

23
Conflict of commitment

• refers to situations in which outside
  relationships or activities adversely affect, or
  have the appearance of adversely affecting, an
  employees commitment to his/her University
  duties.
• APS on Conflicts of Interest and Commitment

24
Perception is reality

• Conflict of interest/commitment programs deal
  with situations in which an employees judgment
  or commitment to the University could be
  compromised. It is the potential for compromise
  that is the most likely to cause harm.

25
What does a CoI/C program do?

• Identify
• Manage, reduce, eliminate
• Notify

26
Identify

• Disclosure of External Professional Activities
  (DEPA) (both CoI and CoC)
• - Annual
• - On-line (CU Connect, Academics Research tab)
• - Review by CoI/C director
• Determine no conflict or,
• Needs further review
• Disclosure to OCG and HRC (CoI)
• Application for Approval of Regular and Periodic
  Consulting Activities (CoC) (http//www.colorado.e
  du/facultyaffairs/atoz/ofaindex.html
• - Review/Approval by Chair, Dean

27
Where is the line - CoI?

• Income of gt10,000/year (self, family member)
  from a business that is related to ones
  University activities
• Equity interests gt10,000 or 5 in a business
  that is related to ones University activities
• Intellectual property rights

28
Where is the line CoC?

• Not remunerative scholarship
• 1/6th rule (generally gt 19.5 days/semester)
• Interference with paramount obligations to
  students, colleagues, and the primary missions of
  the University.

29
Manage, reduce, eliminate

• CoI/C director gathers information from discloser
• Provides analysis to unit head discloser
• Is there a conflict, and, if so, why is it a
  conflict
• Suggestions of how to manage, reduce, eliminate
• Unit head determines if conflict, and how to
  manage
• Unit head sends to dean
• Dean makes decision, notifies discloser and CoI/C

30
Notify

• NIH
• notify that conflicts have been identified before
  submission of proposal
• notify that conflicts have been managed before
  funds disbursed
• NSF
• notify of any conflicts that institution cannot
  manage
• CU
• administration gets annual report

31
Examples (generic)

• Professor Zen receives 15,000/year for
  consulting for a company that has also given a
  large gift to support his research program.
  Several students are supported by that gift.
• Is this a conflict of interest?
• - Yes it involves issues of scientific
  integrity and relationships with students.
• How would it be managed?
• 1. Disclosure to journals and in public
  presentations where results are presented
• 2. Disclosure to students and committee members
  (if applicable).
• Is this a conflict of commitment?
• - No - not as presented

32
Examples 2 (generic)

• Professor Yang receives gt10,000/year as an
  editor of a prestigious journal he spends one
  day/month on this activity.
• Is this a conflict of interest?
• No, this is remunerated scholarship. It does
  not need to be reported on the DEPA.
• Is this a conflict of commitment?
• No, not as reported.

33
Example 3 (generic)

• Professor Xavier has a contract to conduct a
  large survey of satisfaction of hearing aid users
  for a company in which she owns a substantial
  share.
• Is this a conflict of interest?
• - Yes it involves issues of scientific
  integrity, and protection of human subjects.
• How would it be managed?
• 1. Disclosure to journals and in public
  presentations
• 2. Disclosure to subjects
• 3. Possible scientific oversight of
  conduct of project.
• Is this a conflict of commitment?
• - No - not as described.

34
Example 4 (generic)

• Professor Wren is assisting a small start-up
  company for free, in an area related to his
  University work. He is spending approximately 20
  hours/week helping to get it up and going. He
  does most of the work on nights and weekends, but
  at times needs to be on site for a day or two
  every week.
• Is this a conflict of interest?
• - No.
• Is this a conflict of commitment?
• - Yes. His effort exceeds the 1/6th rule. (The
  1/6th rule applies 24/7 during the appointment
  year.)
• How would it be managed?
• 1. Leave for some period of time
• 2. Reduction of the appointment percentage.

35
Information and help

• (https//www.cusys.edu/policies/policies/A_Conflic
  t-of-Interest.html)
• http//www.colorado.edu/VCResearch/integrity/coic/
  policy.html
• http//www.colorado.edu/facultyaffairs/atoz/one-si
  xth-rule.pdf.
• Jean Wylie, Compliance Director
• Jean.Wylie_at_colorado.edu or 303.492.3024
• Russell Moore, Associate VC for Research
• Russell.Moore_at_colorado.edu or 303.492.2899

36
CONFLICTS OF INTEREST COMMITMENT

• Fundamentals of Compliance
• Department Administrator Training
• Office of Contracts and Grants

Jean Wylie, Compliance Director, Conflicts of
Interest/Commitment
37
Conflicts of interest

• exist when an employees financial or
  personal considerations may compromise, or have
  the appearance of compromising, an employees
  personal judgment in administration, management,
  instruction, research, and other professional and
  academic activities.
• APS on Conflicts of Interest and Commitment

38
Conflict of commitment

• refers to situations in which outside
  relationships or activities adversely affect, or
  have the appearance of adversely affecting, an
  employees commitment to his/her University
  duties.
• APS on Conflicts of Interest and Commitment

39
Perception is reality

• Conflict of interest/commitment programs deal
  with situations in which an employees judgment
  or commitment to the University could be
  compromised. It is the potential for compromise
  that is the most likely to cause harm.

40
What does a CoI/C program do?

• Identify
• Manage, reduce, eliminate
• Notify

41
Identify

• Disclosure of External Professional Activities
  (DEPA) (both CoI and CoC)
• - Annual
• - On-line (CU Connect, Academics Research tab)
• - Review by CoI/C director
• Determine no conflict or,
• Needs further review
• Disclosure to OCG and HRC (CoI)
• Application for Approval of Regular and Periodic
  Consulting Activities (CoC) (http//www.colorado.e
  du/facultyaffairs/atoz/ofaindex.html
• - Review/Approval by Chair, Dean

42
Where is the line - CoI?

• Income of gt10,000/year (self, family member)
  from a business that is related to ones
  University activities
• Equity interests gt10,000 or 5 in a business
  that is related to ones University activities
• Intellectual property rights

43
Where is the line CoC?

• Not remunerative scholarship
• 1/6th rule (generally gt 19.5 days/semester)
• Interference with paramount obligations to
  students, colleagues, and the primary missions of
  the University.

44
Manage, reduce, eliminate

• CoI/C director gathers information from discloser
• Provides analysis to unit head discloser
• Is there a conflict, and, if so, why is it a
  conflict
• Suggestions of how to manage, reduce, eliminate
• Unit head determines if conflict, and how to
  manage
• Unit head sends to dean
• Dean makes decision, notifies discloser and CoI/C

45
Notify

• NIH
• notify that conflicts have been identified before
  submission of proposal
• notify that conflicts have been managed before
  funds disbursed
• NSF
• notify of any conflicts that institution cannot
  manage
• CU
• administration gets annual report

46
Examples (generic)

• Professor Zen receives 15,000/year for
  consulting for a company that has also given a
  large gift to support his research program.
  Several students are supported by that gift.
• Is this a conflict of interest?
• - Yes it involves issues of scientific
  integrity and relationships with students.
• How would it be managed?
• 1. Disclosure to journals and in public
  presentations where results are presented
• 2. Disclosure to students and committee members
  (if applicable).
• Is this a conflict of commitment?
• - No - not as presented

47
Examples 2 (generic)

• Professor Yang receives gt10,000/year as an
  editor of a prestigious journal he spends one
  day/month on this activity.
• Is this a conflict of interest?
• No, this is remunerated scholarship. It does
  not need to be reported on the DEPA.
• Is this a conflict of commitment?
• No, not as reported.

48
Example 3 (generic)

• Professor Xavier has a contract to conduct a
  large survey of satisfaction of hearing aid users
  for a company in which she owns a substantial
  share.
• Is this a conflict of interest?
• - Yes it involves issues of scientific
  integrity, and protection of human subjects.
• How would it be managed?
• 1. Disclosure to journals and in public
  presentations
• 2. Disclosure to subjects
• 3. Possible scientific oversight of
  conduct of project.
• Is this a conflict of commitment?
• - No - not as described.

49
Example 4 (generic)

• Professor Wren is assisting a small start-up
  company for free, in an area related to his
  University work. He is spending approximately 20
  hours/week helping to get it up and going. He
  does most of the work on nights and weekends, but
  at times needs to be on site for a day or two
  every week.
• Is this a conflict of interest?
• - No.
• Is this a conflict of commitment?
• - Yes. His effort exceeds the 1/6th rule. (The
  1/6th rule applies 24/7 during the appointment
  year.)
• How would it be managed?
• 1. Leave for some period of time
• 2. Reduction of the appointment percentage.

50
Information and help

• (https//www.cusys.edu/policies/policies/A_Conflic
  t-of-Interest.html)
• http//www.colorado.edu/VCResearch/conflictsofinte
  rest.html
• http//www.colorado.edu/facultyaffairs/atoz/one-si
  xth-rule.pdf.
• Jean Wylie, Compliance Director
• Jean.Wylie_at_colorado.edu or 303.492.3024
• Russell Moore, Associate VC for Research
• Russell.Moore_at_colorado.edu or 303.492.2899

51
ResearchOversight

• Human Research Protection
• 920 active protocols

Biosafety Review - 68 active protocols

• Animal Resources
• 40,000 animals in 79 protocols

Export Control - 14 export licenses
Research Misconduct - 14 complaints in last 5
years
52
Human Research

• Responsible for reviewing all research involving
  human participants to protect rights and welfare
  of subjects
• Two committees, one for biomedical research, one
  for behavioral/social research
• 33 committee members
• 3 FTE HRC staff

53
The Belmont Report

• Respect for Persons
• Informed Consent
• Beneficence
• Risks are minimized and do not outweigh the
  benefits
• Justice
• Protection of vulnerable persons

54
Human Research

• What kinds of research must be reviewed by the
  Human Research Committee?
• Research involving intervention or interaction
  with humans
• Research involving data or specimens gathered
  from humans

55
Human Research

• The HRC reviews all research involving human
  participants, whether conducted by faculty, staff
  or students
• HRC approval is required for all research
  involving human participants, regardless of
  funding

56
Animal Resources

• Responsible for ensuring proper care and use of
  animals in research protocols
• Personnel
• Full-time veterinarian
• .7 FTE administrator
• 12 committee members

57
Biosafety

• Responsible for reviewing safety of research
  involving
• Recombinant DNA
• Toxins
• Bloodborne pathogens
• Personnel
• .3 FTE administrator
• Biosafety coordinator (EHS)
• 10 committee members

58
Export Controls
U.S. has various regulations dealing with exports
of technology or related information based on
concerns about

• National Security
• Defense-related technology
• Dual-Use technology
• National/Foreign Policy
• Embargoed countries
• Banned groups or individuals

59
Export Controls Restrictions
As a contractor/recipient of Federal grants,
these export restrictions also apply to CU

• Physical exports
• Deemed exports
• Transfer of knowledge to foreign nationals, even
  if the transfer occurs in U.S.
• Via documents, emails, even site visits
• Collaboration with foreign scientists or students
  is most common example

60
Export Controls Restrictions

• Commerce/travel with embargoed countries
• Balkans, Belarus, Burma, Cuba, Iran, Iraq, Ivory
  Coast, Liberia, N. Korea, Sudan, Syria, Zimbabwe
• Commerce with people/companies on various Denied
  Parties Lists

61
Export Controls Implications

• Exportsphysical or deemedmay require a
  license, depending on
• Type of technology
• What the other nation is
• Whether an exemption applies
• Fundamental research/public domain
• Education
• Bona Fide Employee
• Where you travel and who you talk with may be
  restricted
• Check with Linda Morris to determine

62
What is Research Misconduct?

• The Federal Big Three
• Fabrication
• Falsification
• Plagiarism
• Other serious deviations from accepted practices
• CU adds
• Authorship disputes

63
What Research Misconduct is NOT

• Honest error
• vs. intentional or reckless
• Honest differences of opinion or interpretation
• Anything not involved in proposing, conducting,
  or reporting research
• Violations of other policies (e.g., fiscal
  misconduct, conflict of interest)

64
Investigation of Research Misconduct

• Written complaint to Standing Committee on
  Research Misconduct
• Initial inquiry by SCRM (60 days)
• If not dismissed, more detailed investigation by
  panel of experts (120 days)
• If guilty, SCRM recommends corrective actions and
  sanctions
• Normally a very confidential process

65
Radiation Safety

• Responsible for reviewing safety of research
  involving
• Radioactive Materials (Unsealed Sealed)
• Radiation Producing Machines (X-ray)
• Lasers (Under Development)
• Personnel
• Full-time Radiation Safety Officer (RSO)
• Full-time Alternate RSO (ARSO)
• 2.5 FTE Radiation Safety Staff
• 12 Committee Members (UCB, UCD, UCCS)

66
Radiation Safety

• Physical Safety
• Protection of personnel, environment, and
  property
• License Review, Equipment, Cradle to Grave
• Administrative Safety
• Protection from Regulatory Citations
• Developing/modifying procedures as needed