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  • CUI, FISMA & NIST:  Regulated Research Data

    Protecting research information and systems from unauthorized access, use, disclosure, disruption, modification, or destruction is a critical component to safeguarding research information and preventing financial loss or damage to the university’s reputation.

    90 Minutes: Protecting research information and systems from unauthorized access, use, disclosure, disruption, modification, or destruction is a critical component to safeguarding research information and preventing financial loss or damage to the university’s reputation. Protecting confidential information is not only a legal and business requirement, but is also an ethical requirement. Due to increased cybersecurity concerns throughout the world, sponsors are including more stringent requirements for working with restricted data. 

    CUI, NIST 800-171, 32 CFR 2002, FISMA, HIPAA. What do they mean? How do they impact my University’s portfolio? What should I be doing to comply? This session will describe the basis of the requirements and offer best practices and lessons learned in creating compliant institutions.

    Level: Basic

    Prerequisites: None

    • Participants will understand the basis of the requirements.
    • Participants will understand best practices in creating a compliance institution.

    Stephanie Gray (Moderator)

    Assistant Vice President

    Division of Sponsored Programs, University of Florida

    Alicia Turner

    Business Relationship Manager 2, Enterprise Systems, Information Technology

    University of Florida

    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.

    Please click here if you need assistance with your computer set up for the webinar.

  • Clear and Authentic Communication with Principal Investigators

    Participants will learn best practices for guiding PIs through common, yet complex policies and topics. Panelists will provide strategies a research administrator (RA) can use to interact and communicate with PIs, using case studies and examples.

    90 Minutes: Participants will learn best practices for guiding PIs through common, yet complex policies and topics. Panelists will provide strategies a research administrator (RA) can use to interact and communicate with PIs, using case studies and examples. Topics will include:

    • Rockstar Research Administrators – What is the importance of the RA role? How do RAs become the PI's resource? What do you do when things go wrong (proposal not submitted, student not hired, disallowed cost, etc.)? What strategies are used to communicate policies to PIs?
    • Proposal Preparation: Tips to communicate constructive critiques in proposal preparation
    • Deadlines – Communicating the submission and reporting deadlines and why they are important.
    • Time & Effort – What is it? What is allowable compensation? Communicating strategies for describing effort commitment related to project scope. Communicating effort reporting and the importance of certification.
    • F&A – What is it? Why is it important to apply direct & indirect costs consistently?
    • Cost Sharing – What is it? What are the different types? What is allowable? How do you explain when it is not allowable?
    • Compliance/Research Integrity – Communicating clearly and simply about the PI responsibilities in general compliance areas such as IRB, IACUC, COI.
    • Allocation Method – Clearly describing requirements and implications of allocating costs to appropriate projects.
    • Procurement Policies/Thresholds – How do you explain general procurement policies and steps to follow?
    • Sub-recipients– What are the differences of subrecipient V. vendor? Why is it important to identify a difference? More broadly, navigating communication challenges in collaborative research/subrecipient arrangements.
    • Communication Hands-Offs Facilitating communication transitions among/between offices. When no communication is good and when no communication is bad.

    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:

    • Participants will identify general communication strategies and be able to apply those strategies to communicating specific research administration topics.
    • Participants will identify clear and simple language to explain complex topics.
    • Participants will use reflective communication strategies and examine issues from multiple perspectives to help improve communication strategies.

    Kris A. Monahan, Ph.D.

    Director of Sponsored Research and Programs

    Providence College

    Katie Plum, M.Ed., CRA

    ​Director of Sponsored Projects

    Angelo 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.

    "A great webinar! I got a lot of ideas for areas that I can look into further, and materials and tools that I could produce."

    "Thank you for providing the Seven Cs, we will be adding this into our training."

    "The presenters were effective, knowledgeable and used great examples."

    "Planning to show this webinar to others in my office!"

  • Outside the Box of Effort Reporting - Past, Present and Future

    This webinar will discuss Effort Reporting – often viewed as the most confusing and burdensome administrative task placed on faculty. An overview of the most common after-the-fact methodologies will be reviewed, as well as the importance of building an internal control framework around compensation and strategies for implementation.

    90 Minutes: The administrative burden placed on faculty and institutions performing research continues to be a major area of concern for the research enterprise at the federal and university level.  Publications from the National Science Board (2014), National Academies of Sciences (2015), and the Federal Demonstration Partnership (Survey in 2005 and 2012) have reported or documented the extent in which the administrative burden placed on faculty can hinder the affordability and facilitation of science.  One intent of the Uniform Guidance (2 CFR 200) was to address these burdens by streamlining policy requirements and focusing on research outcomes.  Will universities adopt the changes available to them in the Uniform Guidance to help reduce research burden?  

    This webinar will discuss Effort Reporting – often viewed as the most confusing and burdensome administrative task placed on faculty.  An overview of the most common after-the-fact methodologies will be reviewed, as well as the importance of building an internal control framework around compensation and strategies for implementation.

    Level: Intermediate

    Prerequisites: Understanding of traditional effort reporting

    Participants will gain:

    • a better understanding of alternatives to effort reporting
    • an increased awareness of balancing compliance and audit risk
    • strategies for successful internal controls processes
    • insights into the institutional decision making process for alleviating faculty administrative burden


    Linda Gregory

    Interim Director, Grants & Contracts Office, Post Award Administration

    University of Illinois at Urbana-Champaign

    Lisa Mosley

    Assistant Vice President, Research Operations

    Arizona State University

    Jeremy Forsberg

    Assistant Vice President of Research

    The University of Texas at Arlington

    David Ngo

    Associate Provost

    The New School

    Jayne Goby

    Assistant Director, Grants & Contracts Post Award Administration

    University of Illinois at Urbana-Champaign

    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.

  • An Overview of the New Research Terms and Conditions

    On March 14, 2017, the National Science and Technology Council’s Research Business Models Interagency Working Group issued the new Research Terms and Conditions (RTCs), which are intended to implement the Uniform Guidance (2 CFR 200) and which are now available for use by federal agencies when issuing research awards.

    90 Minutes: On March 14, 2017, the National Science and Technology Council’s Research Business Models Interagency Working Group issued the new Research Terms and Conditions (RTCs), which are intended to implement the Uniform Guidance (2 CFR 200) and which are now available for use by federal agencies when issuing research awards.  When are the RTCs effective?  Which agencies will use them?  Which agencies have already implemented them? How do I tell if the RTCs apply to an award I have received? Do the RTCs implement any prior approvals or restrictions relative to the Uniform Guidance?  How do the RTCs apply to subawards my institution issues?  Will participating agencies issue their own implementations of the RTCs, as they did with the previous version?

    Please join us for an informative session in which we will answer these questions.

    Level: Overview

    Pre-requisites: None

    Participants will learn: 

    • When the RTCs are effective
    • Which agencies will use them
    • Which agencies have already implemented them
    • How to tell if the RTCs apply to an award the participant’s institution has received
    • Do the RTCs implement any prior approvals or restrictions relative to the Uniform Guidance
    • How the RTCs applies to subawards your institution issues
    • Will participating agencies issue their own implementations of the RTCs, as they did with the previous version?

    Cindy Hope

    Assistant Vice President for Research and Director of the Office for Sponsored Programs

    The University of Alabama

    David Mayo

    Director, Office of Sponsored Research

    NCURA Distinguished Educator

    California Institute of Technology

    Jean Feldman

    Head, Policy Office, Office of Budget, Finance & Award Management

    National Science Foundation

    Michelle Bulls

    Director, Office of Policy for Extramural Research Administration

    National Institutes of Health

    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.

    "Very good discussion!  I plan to listen to the audio again in the future."

    "Speakers are top-notch and incredibly knowledgeable!"

    "All of the speakers are great! Would listen to them over and over!"

  • How to Manage a Financially Focused University Research Audit Effectively

    This comprehensive publication covers all aspects of the audit process from the pre-award preparation, notification, roles and responsibilities, scope, entrance conference, field work, exit conference, final report, to audit resolution and follow-up. NOTE: To purchase this downloadable publication click the “Register” button

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    This comprehensive publication covers all aspects of the audit process from the pre-award preparation, notification, roles and responsibilities, scope, entrance conference, field work, exit conference, final report, to audit resolution and follow-up.
    Includes references and resources and over 30 tips from seasoned experts.

    (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: What is an Audit?

    Summary of Key Audits of the Sponsored Research Function

    Sponsor/Office of Inspector General (OIG) Audits

    Federal Single Audit (Often Called A-133 Audit)

    Internal Audits

    Subrecipient Monitoring Audit Activities

    Audit Process/Lifecycle Overview

    Pre-Notification Preparation

    Policy for Audit Response and Management

    Awareness of Audit Environment and Federal Agendas

    Incorporate Audit Readiness into Training

    Audit Roles and Responsibilities

    Auditors

    Institutional Resources

    Notification

    Recognize that an Audit has been Initiated or Requested

    Identify the Agency or Other Auditor Involved

    Identify Areas of the Institution Affected

    Appoint a Designated Audit Liaison

    Brief Leadership and Others

    Develop a Plan

    Definition of Scope

    Determine Scope and Extent of the Audit

    Obtain Data from IT Systems

    Review Planned Submissions

    Prepare

    Assess Risk

    Entrance Conference

    Fieldwork

    Interviews and Walk-throughs

    Document Requests

    Institutional Communications

    Common Audit Findings

    Exit Conference

    Preliminary Report

    Final Report and Audit Response

    Audit Resolution and Follow-up

    Conclusion

    Appendix: References and Resources


    30 pages, PDF

    Ashley Deihr
    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.


    Kimberly Ginn
    Partner, Baker Tilly

    Kimberly Ginn, CIA, Partner at Baker Tilly, is a leader in the firm's Higher Education and Research Institutions Practice with over sixteen years of experience advising on research risks and controls, compliance infrastructures and programs, governance structures, and complex audit matters.


    Jeffrey Silber
    Senior Director, Sponsored Financial Services, Cornell University

    Jeffrey Silber, Senior Director of Sponsored Finance at Cornell University, is responsible for post-award finance, cost accounting and capital assets. He has over three decades in research administration, is active with NCURA and serves on the Costing Committee of the Council on Governmental Relations (COGR).

  • 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."