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  • A Primer on Export Controls

    This publication provides a thorough introduction to the complex topic of export control laws and regulations. NOTE: To purchase this downloadable publication click the "Register” button

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    This publication provides a thorough introduction to the complex topic of export control laws and regulations. It's written in a straightforward manner. Topics include key definitions and concepts, which federal agencies oversee regulations, violations and penalties, fundamental research, licensing (and exceptions), international travel, and additional resources.

    (30 pages, PDF)

    Exclusively available online. Purchase and download the PDF. Once purchased the PDF will be available for download for 30 days. To purchase click the “Register” button.


    Table of Contents

    Introduction

    Key Definitions and Concepts

    Who Oversees Export Control Laws?

    Department of State Regulations (ITAR)

    Regulatory Authority and Scope

    The USML Categories

    Exporting under the ITAR

    Department of Defense (DoD) Funding and Developmental Items

    Department of Commerce Regulations (EAR)

    Regulatory Authority and Scope

    The Commerce Control List

    Exporting Under the EAR

    The 500 and 600 Series

    License Exceptions

    Anti-Boycott Restrictions

    Department of Treasury Regulations (OFAC)

    Regulatory Authority and Scope

    OFAC Licensing for Country-based Programs

    How Do I Determine What My Item Is?

    Commodity Jurisdiction

    Commodity Classification

    Violations and Penalties

    Fundamental Research

    ECLs and Universities

    How Do I Know if Export Controls Might Apply?

    Type of Work Involved

    Clauses that Can Nullify FRE

    Equipment Involved

    Parties Involved (Restricted Party Screening)

    International Travel

    Summary

    Export Control Resources

    30 pages, PDF

    Jessica B. Buchanan, Ph.D., is the Associate Director of Export Compliance at The University of Pennsylvania (Penn). In this role, she has overall responsibility for Penn's export compliance program. Jessica has presented on export controls and sanctions at NCURA conferences and is an active member of the Association of University Export Controls Officers (AUECO).







    Elizabeth D. Peloso, M.S.E., M.B.A., is the Associate Vice Provost and Associate Vice President for Research Services at the University of Pennsylvania. Her office is responsible for pre- and post- award administration of federal and non-profit sponsored research activities and associated agreements, as well as management of Penn's export compliance program. Elizabeth has been an active member of NCURA at the national level, participating as a panelist for NCURA TV, the NCURA webinar series, and as a presenter at national meetings. Missy is an active member of the Association of University Export Controls Officers (AUECO).

  • Conflicting Guidance and Competing Priorities: Achieving Sponsored Research Compliance in a World of Limited Resources

    Have limited resources at your institution?Join us for this real-life dive into achieving compliance as experienced by Montclair State University!

    NCURA, in Cooperation with our Silver Year Long Contributing Partner Baker Tilly, brings you this must see educational program on Research Compliance.

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    Baker Tilly Logo.png


    A CASE STUDY APPROACH

    90 Minutes: Have limited resources at your institution? Join us for this real-life dive into achieving compliance as experienced by Montclair State University!

    We as research administrators exist in a world of competing guidance and resources. Federal regulations, confusing in their own right, mandate one set of rules, while supporting organizations' interpretations of those rules may differ. Sponsor policy statements provide guidelines for their awardees, yet their FAQs to those guidelines may provide contradicting information. And while regulations seem endless, our resources to interpret and implement them are not. So what do you do? How do you make sense of it all while providing customer service to the research community and monitoring for compliance when you (maybe alone) may be left to make the decisions and/or interpretations?This webinar will highlight some of the trending issues that pose common compliance challenges for institutions, offer solutions, share stories, and provide critical success factors for achieving compliance by effectively using existing resources, while continuing to provide good customer service.

    Closed Captioning is now available at no additional fee. Sign in and click on the "Closed Captioning" link in the handouts tab or in the links box in the meeting room to access this feature.

    Webinar Member Price: $85.00

    Webinar Non-Member Price: $105.00

    Participants will be able to:

    • Identify areas that commonly cause compliance issues
    • Understand solutions for common compliance issues that will be illustrated with real life examples
    • Understand critical success factors for achieving compliance while maintaining good customer service across the research enterprise

    Adrienne Larmett

    Manager, Higher Education and Research Institutions Practice

    Baker Tilly

    Frederic “Ted” Russo

    Director, Office of Research and Sponsored Programs

    Montclair State University

    Catherine Bruno

    Post Award Officer, Office of Research and Sponsored Programs

    Montclair State University

    Hila Berger

    Research Compliance Officer

    Montclair State University

    Participants receive 1.5 hours of continuing education credits = .2 CEU's for each webinar.

    You can access your certificate from the box on the right side of the screen, after filling out the webinar evaluation.

    Watching in a group? Everyone watching the presentation can request a CEU certificate by writing down the verification code at the end of the webinar. Please make a note of the verification code as it will not be available after the webinar.

    The main registrant can access instructions on the Group CEU tab for group participants to receive CEU certificates.

    "General, good, basic information for those in the early years of research administration."

    "My favorite parts were the examples discussed, and the further resources identified."

  • A Primer on Subawards Under Federal Assistance Awards

    Explore an overview of the complex process of Subawards under Federal Assistance. Become familiar with important concepts in drafting and negotiation through subaward review and potential pitfalls. As a primer, it is intended for those new to the topic, or those who have had limited exposure.

    Updated for the Uniform Guidance.

    NCURA is proud to re-introduce our online tutorial on Subawards under Federal Assistance Awards. Learn at your own pace!

    We have developed an overview of this complex process. As a primer it is intended for those new to subawards, or who have had very limited exposure. This online tutorial is focused on subcontracting programmatic effort under federal grants and other financial assistance awards. Upon successful completion of the course, students will:

    • Understand a subaward within the context of the larger area of research administration
    • Be familiar with important concepts and terms associated with subawards
    • Understand the principles of reviewing a subaward for programmatic effort under a federal grant or other federal assistance award and identify potential problems and areas in need of change in order to make the award more acceptable
    • Understand the principles of drafting a subaward for programmatic effort under a specific federal grant or other federal assistance award
    • Be able to negotiate the terms and conditions of such a subaward so that the resulting subaward contains terms and conditions that are mutually acceptable to the parties

    The tutorial will offer interactive learning activities as well as knowledge reviews for each lesson. The course will end with a multiple-choice final exam, and offers a downloadable certificate of completion for those who successfully pass the final exam (80% or higher). If you do not successfully pass the final you have the option to retake the exam during your 10 week enrollment period. Start your tutorial at any time!  You will have 10 weeks from the first date that you access the tutorial to complete the course.

    Students should expect to spend approximately 1-2 hours per lesson on the course material.

    All lessons will be accessible throughout the course. If you would like to print off the lesson text as a PDF please visit the Resources section within each lesson. Please note: This course does not have an audio component.

    We recommend using Chrome, Firefox or Edge web browsers to view the tutorial.

    Introduction 

    Lesson 1: Key Terminology 

    Lesson 2: Context

    Lesson 3: Flow

    Lesson 4: Initial Determinations

    Lesson 5: Parts of a Subaward

    Lesson 6: Principles of Subaward Negotiation

    Lesson 7: Flowdowns

    Lesson 8: Administration of Subawards

    Lesson 9: Staying Current

    Lesson 10: Summary

    A Primer on Subawards Under Federal Assistance Awards is worth 15 clock hours and 1.5 CEU's. You will be able to print your certificate from this page after passing the final exam with a score of 80% or higher.

    Includes one CEU certificate per registration. Group CEU requests are not available.

  • Internal Controls for Research Administrators: What does the Uniform Guidance’s 100-Plus-Times Reference to “Internal Controls” Mean for Your Institution?

    There is a vastly increased emphasis on internal controls in the Uniform Guidance, which has led research institutions to reassess their approach for documenting and assessing their sponsored research internal controls.

    NCURA, in Cooperation with our Silver Year Long Contributing Partner Baker Tilly, brings you this must see educational program on Internal Controls.

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    90 Minutes: What are internal controls and what do they mean to research institutions? There is a vastly increased emphasis on internal controls in the Uniform Guidance, which has led research institutions to reassess their approach for documenting and assessing their sponsored research internal controls.

    This webinar will discuss how the Uniform Guidance defines “internal controls," describe the application of the COSO framework as a standard for internal controls, and provide an example of how a research institution is taking a proactive approach in documenting and evaluating its internal controls over sponsored research within the COSO framework.

    Closed Captioning now available at no additional fee. Sign in and click on "Closed Captioning" link in the handouts tab or in the links box in the meeting room to access this feature.

    Webinar Member Price: $85.00

    Webinar Non-Member Price: $105.00

    Participants will be able to:

    • Define “internal controls" and understand how internal controls relate to the Uniform Guidance.
    • Understand how to apply the COSO framework to sponsored research.
    • Reference best practices for research institutions in documenting and evaluating internal controls over sponsored research.

    Ashley Deihr (Moderator)

    Senior Manager, Baker Tilly

    Ashley Deihr, CPA, CIA, CFE, Senior Manager at Baker Tilly, is a member of the firm's Higher Education and Research Institutions Practice specializing in assisting institutions with organizing for compliance, managing sponsored research risks and processes, and achieving strategic objectives.

    Rocco Cappalla

    Project Director, Controller’s Office

    Stanford University

    Nguyet Sin

    Associate Director Post-Award

    Stanford University

    Participants receive 1.5 hours of continuing education credits = .2 CEU's for each webinar.

    You can access your certificate from the box on the right side of the screen, after filling out the webinar evaluation.

    Watching in a group? Everyone watching the presentation can request a CEU certificate by writing down the verification code at the end of the webinar. Please make a note of the verification code as it will not be available after the webinar.

    The main registrant can access instructions on the Group CEU tab for group participants to receive CEU certificates.

    "The speakers were well-informed and the content of the presentation helped to inform my decision as to how to go about further enhancing our internal controls (which, prior to the presentation, I thought were sufficient)."

    "Interesting and informative!  Good examples."


  • Staff Development, Performance Management and Succession Planning

    Providing a supportive environment for staff professional development is crucial to reach your staff members’ potential, accomplish institutional goals, and stay at the forefront of your field. How can you excel in developing your staff and putting them in position to succeed?

    90 Minutes: Providing a supportive environment for staff professional development is crucial to reach your staff members' potential, accomplish institutional goals, and stay at the forefront of your field. How can you excel in developing your staff and putting them in position to succeed?

    This webinar will provide insights on how to approach mentoring and succession planning, as well as potential challenges and how to overcome them.

    Webinar Member Price: $85.00

    Webinar Non-Member Price: $105.00

    Participants will gain knowledge and guidance around tools, approaches, and potential barriers for:

    • Creating a career track within a unit or within an institution;
    • Managing performance;
    • Evaluating performance;
    • Mentoring and succession planning; and
    • Building a supportive team environment through staff appreciation and recognition

    Judy L. Fredenberg (Moderator)

    Director, Research and Sponsored Programs

    University of Montana

    Patrick W. Fitzgerald

    Associate Dean for Research Administration

    Harvard University

    NCURA Distinguished Educator

    Rosie E. Madnick

    Executive Director, Office of Grants and Contracts Administration

    University of Alaska, Fairbanks

    Dan Nordquist

    Associate Vice President for Research Operations and Support

    Washington State University

    Participants receive 1.5 hours of continuing education credits = .2 CEU's for each webinar.

    You can access your certificate from the box on the right side of the screen, after filling out the webinar evaluation.

    Watching in a group? Everyone watching the presentation can request a CEU certificate by writing down the verification code at the end of the webinar. Please make a note of the verification code as it will not be available after the webinar.

    The main registrant can access instructions on the Group CEU tab for group participants to receive CEU certificates.

    "This webinar was awesome!  I am so fortunate that this seminar was presented at the time that I am to start supervising eight people.  I appreciate all of knowledge and advice."

    " I would attend all over again!" 

    "Great topic, very suitable to the reality of sponsored research administration."

  • Compliance

    The final offering of the Life Cycle of the Award Series features discussion of a variety of compliance topics essential to the knowledge of every research administrator.

    The final offering of the Life Cycle of the Award Series is in two parts on May 10th and May 16th from 2:00 - 4:00pm Eastern Time each day. The webinars feature discussion of a variety of compliance topics essential to the knowledge of every research administrator. This three-hour workshop will cover the basics of institutional committee review for biosafety, human research participants, and animal research, as well as export compliance, conflict of interest, and research misconduct. True-life examples will highlight the importance of knowing where to find expertise and resources at your institution and beyond, creating a “compliance network".

    Member Price: $295.00
    Non-Member Price: $354.00

    Interested in purchasing the complete Life Cycle Series? Click here and add all 5 webinars to your cart to automatically receive a 10% discount on your order!

    Participants will have an understanding of basic issues and red flags for key areas of research compliance. Participants will be introduced to the concept of building a culture of compliance and balancing regulation with facilitation.

    Janet Simons

    Director, Research Policy

    University of Maryland, Baltimore

    Joseph M Smith

    Institutional Review Board Manager and Conflict of Interest Administrator, Division of Research

    University of Maryland, College Park

    Debra Murphy

    Director, Knowledge Enterprise Development

    Arizona State University

    Carpantato Myles

    Director

    Research Compliance, University of Alabama

    Kirstin Morningstar

    Director

    Regulatory Services, The University of Texas at Arlington

    Participants receive 1.5 hours of continuing education credits = .2 CEU Credits for each webinar.

    Watching in a group? Everyone watching the presentation can request a CEU certificate by writing down the verification code at the end of the webinar. Please make a note of the verification code as it will not be available after the webinar.

    Please check with the main registrant who can access instructions for receiving your CEU certificate from this page.

    "Cost-effective” way to supplement on-boarding program and continuing education training.

    The series "Covered the major components of the research project life cycle" 

    "Life saver!"

    Users said that the amount of material “felt right” and that each subject received “enough time”.

  • Award Monitoring / Award Management

    The fifth offering in the Life Cycle of the Award Series focuses on award management strategies and techniques for both the central and departmental research administrator tasked with financial oversight of sponsored awards.

    The fifth offering in the Life Cycle of the Award Series is two, two hour long parts. The webinars focus on award management strategies and techniques for both the central and departmental research administrator tasked with financial oversight of sponsored awards. This workshop will focus on what to look for during award initiation and award close out, as well as discuss strategies for how the research administrator can best support the PI during the period of performance to maximize award spending, while effectively managing risk. Furthermore, this online workshop will review some perennial hot topics such as cost transfers, subaward monitoring, cost sharing and effective and efficient award close outs.

    Member Price: $295.00
    Non-Member Price: $354.00

    Interested in purchasing the complete Life Cycle Series? Click here and add all 5 webinars to your cart to automatically receive a 10% discount on your order!

    • Participants will learn techniques for identifying higher risk awards and transactions and what documentation to put in place to support these costs (or when to transfer them off the award) as well as an awareness of when to ask more questions.
    • Participants will also be introduced to proactive award management strategies that, if applied during the life of the award, will support an efficient and timely close out.

    Patricia Hawk

    Assistant Vice President, Office for Sponsored Research and Award Administration

    Oregon State University

    Tracey Fraser

    Director, Office of Sponsored Projects

    Smithsonian Institution

    Glenda Bullock

    Director of Research and Business Administration, Divisions of Hematology, Rheumatology, Allergy & Immunology

    Washington University in St. Louis

    This basic to intermediate workshop is targeted at both central and departmental research administrators (with 1-5 years of experience) tasked with post award financial oversight of federal and non-federal sponsored awards.

    Participants receive 1.5 hours of continuing education credits = .2 CEU Credits.

    Watching in a group? Everyone watching the presentation can request a CEU certificate by writing down the verification code at the end of the webinar. Please make a note of the verification code as it will not be available after the webinar.

    Please check with the main registrant who can access instructions from this page for receiving your group CEU certificate.

    "Gratifying to learn that many of our policies and procedures are in line with those presented."

    "Informative and enjoyable!"

    Cost-effective” way to supplement on-boarding program and continuing education training.

    The series "Covered the major components of the research project life cycle" 

    "Life saver!"

    Users said that the amount of material “felt right” and that each subject received “enough time”.

  • A Primer on Federal Contracting

    Federal contracts are very different from federal grants. This tutorial focuses on contracting with the federal government through understanding the contracting process, regulations and negotiation and risks. As a primer, it is intended for those new to the topic, or those who have had limited exposure.

    Updated for the Uniform Guidance.

    NCURA is pleased to offer an online tutorial focused on contracting with the Federal government. Since federal contracts are very different from federal grants, we have developed a thorough overview of this complex process. As a primer, it is intended for those new to the federal contracting arena, or who have had very limited exposure. The course was designed around the following learning outcomes:

    • To understand the unique characteristics of federal contracts, their key elements, and how they differ from grants and cooperative agreements;
    • To understand the federal contracting process, including the roles and responsibilities of the principal players;
    • To identify the pertinent regulations guiding the federal contracting process, from application through closeout;
    • To introduce the fundamentals of federal contract negotiation;
    • To provide strategies for implementing and managing federal contracts, Pre-Award through Post-Award; and
    • To learn to recognize, assess, and manage the risks associated with federal contracts.

    The tutorial will offer interactive learning activities as well as knowledge reviews for each lesson. The course will end with a multiple-choice final exam, and offers a downloadable certificate of completion for those who successfully pass the final exam (80% or higher). If you do not successfully pass the final, you have the option to retake the exam during your 10 week enrollment period.  

    Start your tutorial at any time!  You will have 10 weeks from the first date that you access the tutorial to complete the course.

    Students should expect to spend approximately 1-2 hours per lesson on the course material.

    All lessons will be accessible online throughout the course. If you would like to print off the lesson text as a PDF please visit the Resources section within each lesson. Please note: This course does not have an audio component.

    We recommend using Chrome, Firefox or Edge web browsers to view the tutorial.

    Lesson 1: An Introduction to Federal Contracting

    Lesson 2: The Contracting Process

    Lesson 3: Types of Contracts

    Lesson 4: Introduction to FAR

    Lesson 5: The Contract Solicitation

    Lesson 6: The Cost Proposal

    Lesson 7: Contract Issues

    Lesson 8: Advanced Contract Issues

    Lesson 9: Contract Negotiation

    Lesson 10: Contract Administration

    Lesson 11: Third Party Agreements

    Lesson 12: Contract Closeout

    Lesson 13: Audits

    Lesson 14: Summary/Review

    A Primer on Federal Contracting is worth 21 clock hours and 2.1 CEU's. You will be able to print your certificate from this page after passing the final exam with a score of 80% or higher.

    Includes one CEU certificate per registration. Group CEU requests are not available.

  • A Primer on Intellectual Property in Research Agreements

    This course is designed for university personnel working in contracts and grants, sponsored research and technology transfer offices. It provides a broad introduction to the basics of intellectual property.

    Updated for the Uniform Guidance.

    This Intellectual Property tutorial is designed for university personnel working in contracts and grants, sponsored research and technology transfer offices. It provides a broad introduction to the basics of intellectual property. It includes practical exercises using Intellectual Property clauses from actual research and licensing agreements and also offers suggestions for dealing with commonly encountered issues of negotiating agreements with federal, state, non-profit and clinical trial sponsors.

    The tutorial will offer interactive learning activities as well as knowledge reviews for each lesson. The course will end with a multiple-choice final exam, and offers a downloadable certificate of completion for those who successfully pass the final exam (80% or higher). If you do not successfully pass the final, you have the option to retake the exam during your 10 week enrollment period. 

    Start your tutorial at any time!  You will have 10 weeks from the first date that you access the tutorial to complete the course.

    Students should expect to spend approximately 1-2 hours per lesson on the course material.  There are 15 lessons in this tutorial. 

    All lessons will be accessible throughout the course. If you would like to print off the lesson text as a PDF please visit the Resources section within each lesson. Please note: This course does not have an audio component. The tutorial is based on a training course originally developed by the University of California.

    We recommend using Chrome, Firefox or Edge web browsers to view the tutorial.  

    Lesson 1: Introduction and Course Objectives

    Lesson 2: Introduction to Intellectual Property in Research Agreements

    Lesson 3: University Technology Transfer

    Lesson 4: Negotiating Research Agreements

    Lesson 5: Invention Clauses

    Lesson 6: Copyright Clauses

    Lesson 7: Data Right Clauses

    Lesson 8: Partners, Providers and Sponsors

    Lesson 9: Course Review Exercises/Additional Resources

    Intellectual Property is worth 13.5 clock hours and 1.35 CEU's. You will be able to print your certificate from this page after passing the final exam with a score of 80% or higher.

    Includes one CEU certificate per registration. Group CEU requests are not available.

  • A Primer on Clinical Trials Management

    Focus on clinical trials management, including key administrative, financial, and regulatory issues that arise in planning, funding, conducting, and closing-out clinical trials. As a primer, it is intended for those new to the topic, or those who have had limited exposure.

    Updated for the Uniform Guidance.

    This course focuses on clinical trials management. As a primer, it is intended for those new to clinical trials, or who have had very limited exposure. The course will focus on key administrative, financial, and regulatory issues that arise in planning, funding, conducting, and closing-out clinical trials.

    The tutorial will offer interactive learning activities as well as knowledge reviews for each lesson. The course will end with a multiple-choice final exam, and offers a downloadable certificate of completion for those who successfully pass the final exam (80% or higher). If you do not successfully pass the final, you have the option to retake the exam during your 10 week enrollment period.  Start your tutorial at any time!  You will have 10 weeks from the first date that you access the tutorial to complete the course.

    Students should expect to spend approximately 1-2 hours per lesson on the course material.

    All lessons will be accessible throughout the course. If you would like to print off the lesson text as a PDF please visit the Resources section within each lesson. Please note: This course does not have an audio component.

    We recommend using Chrome, Firefox or Edge web browsers to view the tutorial.

    Lesson 1: Introduction to Human Subjects Research

    Lesson 2: Getting a Clinical Trial Started

    Lesson 3: Financial Issues

    Lesson 4: Contracts and Agreements

    Lesson 5: Operations

    Lesson 6: Close out and Audit/Review

    The Primer on Clinical Trials is worth 9 clock hours and .09 CEU's. You will be able to print your certificate from this page after passing the final exam with a score of 80% or higher.

    Includes one CEU certificate per registration. Group CEU requests are not available.