Business Managers Meeting

September 13, 2005

Agenda• FY 2005 Preliminary Numbers for ORSP

• NIH and Grants.gov phase in project

• New ORSP and OCLTT website homepages

• New Budget templates and Fringe Benefit Rates

• Upcoming training events

• Export Controls

Preliminary FY’05 Awards by Funding Source % +/- % +/-Federal 2001 2004 2005 05 to 04 05 to 01National Institutes of Health $42.1 $69.9 $71.8 2.7% 70.3%National Science Foundation $34.9 $50.0 $45.8 (8.2%) 31.3%U.S. Department of Transportation $4.9 $0.5 $11.0 2,070.9% 123.2%U.S. Department of Defense $7.6 $11.0 $8.1 (26.1%) 6.8%Department of Commerce $3.6 $3.8 $7.8 107.9% 114.4%U.S. Department of Agriculture $6.5 $6.1 $6.1 0.1% (6.2%)U.S. Department Of Energy $6.6 $5.0 $4.5 (10.6%) (32.3%)U.S. Department of Education $6.4 $3.3 $4.0 24.0% (37.2%)U.S. Environmental Protection Agency $0.7 $1.2 $2.2 90.4% 239.3%National Aeronautics and Space $3.6 $3.1 $2.2 (29.1%) (38.0%)U.S. Department of Labor $1.8 $0.2 $0.3 46.8% (83.1%)Other Federal $4.2 $5.9 $7.3 24.7% 72.9%Federal Total: $123.1 $159.9 $171.3 7.1% 39.1%

Foundations and OtherAssociations and Foundations $27.8 $28.3 $44.5 57.1% 59.9%Institutions of Higher Education $16.4 $15.1 $14.8 (2.3%) (9.8%)Other States and Local Government $0.1 $0.5 $0.6 30.8% 747.2%Other Foundations and Other $0.0 $0.0 $0.0 (11.3%) 0.0%Foundations and Other Total: $44.3 $43.9 $59.9 36.4% 35.4%

State of New JerseyDepartment of Human Services $4.6 $6.8 $6.5 (4.1%) 40.1%Department of Environmental Protection $2.5 $3.0 $5.5 80.8% 119.0%Department of Health and Senior Services $4.2 $4.9 $2.9 (40.0%) (31.2%)Department of Transportation $5.2 $4.6 $2.9 (38.6%) (45.4%)Department of Labor $0.7 $1.2 $2.1 71.3% 213.1%Department of Community Affairs $2.5 $2.2 $2.1 (5.7%) (17.0%)Department of Law and Public Safety $1.4 $1.6 $2.0 31.1% 49.0%Department of the Treasury $1.2 $1.2 $1.4 15.9% 14.2%Commission on Higher Education $5.7 $1.8 $1.1 (37.3%) (80.2%)Department of State $0.8 $0.7 $1.0 46.2% 31.7%Commission on Science and Technology $2.6 $1.4 $0.6 (56.0%) (76.4%)Other State of New Jersey $6.3 $9.6 $15.9 65.4% 153.8%State of New Jersey Total: $37.7 $39.0 $44.0 12.9% 16.9%

CorporationsCorporate Contracts $14.0 $12.2 $16.9 38.3% 20.5%Corporate Grants-in-Aid $3.3 $2.1 $3.4 63.3% 3.1%Corporations Total: $17.3 $14.3 $20.3 41.9% 17.2%Grand Total: $222.4 $257.1 $295.5 14.9% 32.9%

Research Grants and ContractsFY 1996 to Preliminary 2005

Initial plans/milestones for submission dates and mechanisms are as follows:

• December 1, 2005 —Small Business Innovative Research (SBIR) and Small Business Technology Transfer Programs (STTR) (R41, R42, R43, R44)

• December 15, 2005 —Support for Conferences & Scientific

Meetings (R13 & U13)

• January 25, 2006 —Academic Research Enhancement Awards (AREA) (R15)

• June 1, 2006 —Small Grant Programs (R03) & Exploratory/Development Research Grant Awards (R21)

• October 1, 2006 —Research Project Grant Program (R01)

Website Redesign Goals• No new items of substance/text were added to the

new design as of this time• ORSP will review each segment of the website

during the coming year to update information and link to DGCA and other units as appropriate

• Designed the site to be intuitive and user friendly and to follow and trace from development of an idea through the process

• Stronger search by using Google to find pages within ORSP and Rutgers as well

New Budget Templates

• Budget Templates have been Updated

• Changes in Fringe Benefit rates

• Out year “ estimated increases “ were revised

• Begin using immediately

ORSP Workshops Fall 2005• New Faculty/Staff Orientation: Research Administration

This orientation is for new faculty and staff in the area of research administration at Rutgers University. Participating departments include the Office of Research & Sponsored Programs, Division of Grant & Contract Accounting, and Office of Corporate Liaison & Technology Transfer.  Each office will give a broad overview of their services and responsibilities.  The main focus will be on pre-award administration including proposal and award processing, procedures for using animals and human subjects in research, and tools to help find research funding.

DATE:      Weds, Oct 12, 2005TIME:       9:00-11:00 amPLACE:   Center Hall, Busch Campus Center

• Grant Processing and Budgeting Basics: A Multi-Dimensional Approach All faculty and staff involved with budget and grant preparation are encouraged to attend. The workshop is designed for new faculty and staff or those who would like a refresher on the grant submission process, including the use of the Rutgers Budget Template.

          DATE:      Fri, Oct 28, 2005          TIME:        9:00-12:00 noon          PLACE:    Center Hall, Busch Campus Center

To register or further information please visit the ORSP website at http://orsp.rutgers.edu/workshop.asp

What are Export Controls?

U.S. laws that regulate the distribution to foreign nationals, foreign countries, or foreign nationals on U.S. soil of strategically important products, services and information for reasons of foreign policy and national security.

US Export Controls and Responsible Agencies

• State Department: military technologies – International Traffic in Arms Regulations (ITAR)

• Commerce Department: “Dual Use” technologies (primarily civil use) – Export Administration Regulations (EAR)

• Treasury Department, Office of Foreign Assets Control (OFAC): upholds embargoes, boycotts, and trade sanctions

Export Control Regulations Apply To:

• the transfer of specified items or information to people or entities outside of the U.S.

• the disclosure of certain information to certain foreign nationals within the U.S. (“deemed export”)

• the training or offering of services involving controlled equipment or info to foreign nationals

• transactions with, or providing services to, certain foreign countries or individuals on embargo lists

Dissemination of Information

• Laws prohibit disclosure of controlled technical information without a license from Commerce or State by any method to a foreign national in the U.S. or abroad

• Methods of disclosure include:– Fax/Telephone/Email/Face-to-face discussions– Computer data disclosure– Training Sessions– Tours involving visual inspections

Exemptions to EAR/ITAR

Fundamental Research Exclusion – Research done in institution of higher learning– Research carried out openly and without

restrictions (i.e. dissemination of results)

Education Exclusion-- information shared as part of a course

-- does not apply to federally-classified information

Public Domain Exclusion--publicly available information exempted

Fundamental Research Exclusion

The FRE is destroyed if University accepts contract clauses that:-- forbid participation of foreign nationals-- give the sponsor a right to approve publication resulting from the research-- restricts participation in research and/or

access to/disclosure of research results

NOTE: “Side Deals” between PI and Sponsor can destroy the FRE

University Strategy

Protect the Fundamental Research Exclusion by eliminating contractual clauses that destroy our ability to claim the exclusion

Employment Exclusion

Under ITAR, NO license is required to share covered technical data with a foreign national who:

-- is not a national of certain countries-- is a full-time bona fide RU employee-- has a permanent address in the U.S. while employed

-- is advised in writing not to share covered technical data with any foreign nationals

Are Other Foreigners Exempt?

Under EAR, the following foreigners are not affected:

1) Naturalized citizens2) Green card holders3) People with Political Asylum

Services to Foreign Nationals

• EAR/ITAR prohibit assisting & training foreign nationals anywhere in the design, development, use, testing, etc of controlled equipment without a license from Commerce or State

• OFAC prohibits the provision of services to countries subject to boycott, US Sanction, etc, without a license (i.e. marketing/business services, developing new information or materials)

Shipping Equipment Out of U.S.

• Need a license to ship equipment controlled by ITAR to any foreign country

• May need a license to ship equipment under the EAR depending on type of equipment and its destination

• A license may be required to ship software out of the U.S.

• Obtaining a license can take months!

Excluding Embargoed Countries, faculty who wish to take their laptops out of the country to use in a university project that qualifies as fundamental research may be able to do so under the license exemption for temporary export if the laptop qualifies as “tools of trade” and is under control of the faculty member at all times (15 CFR Part 740.9)

Laptop Exception

Proposal Stage Red Flag Items

Does the project involve:

-shipping equipment to a foreign country?

-collaborating with foreign colleagues?

-training foreign nationals on equipment?

-working with a country subject to boycott?

Is the RFP marked “Export Controlled”?Is the sponsor demanding pre-approval rights

over publications or the participation of foreign national students?

What to do?• Contact ORSP immediately, or if ORSP sees

troublesome clauses you may be contacted • Understand this may slow the process down, as

these are complex regulations from the federal government

• ORSP will be asking the following: - Is access to the project or its results controlled or restricted?

- Are items/materials used in the project on the controlled lists?

- Is work being done in a foreign country? - Are foreign nationals working on the project?

- Will the results of the project be published?

Remember….

KEEP IT EXEMPT!

-- NO restricted publication clauses

-- NO side deals

CONTACT ORSP AS SOON AS AN EQUIPMENT ISSUE OR OTHER EXPORT CONTROL ISSUE ARISES!

Links to Government Materials Export Administration

Regulations (EAR)• US Department of Commerce

Export Policies –www.bxa.doc.gov/policiesandregulations/index.htm

• EAR Database- www.access.gpo.gov/bis/ear/ear_data.html

• Commerce Control List Index (Alphabetical)-  www.access.gpo.gov/gis/ear/pdf/indexccl.pdf

International Traffic in Arms Regulations (ITAR)

• Defense Trade Control (Reference Library)- www.pmdtc.org/reference.htm

• United States Munitions List (USML) Categories- www.pmdtc.org/usml.htm

Office of Foreign Assets Control (OFAC)

• Sanctions Program and Country Summaries-www.treas.gov/offices/enforcement/ofac/sanctions.index.html

• Specifically Designated Nationals (SDN) List- www.treas.gov/offices/enforcement/ofac/sdn/

Regulatory Offices• US Department of Commerce-

Bureau of Industry and Security  www.bis.doc.gov

• US Department of State- Directorate of Defense Controls www.pmdtc.org

• US Department of The Treasury- Office of Foreign Assets Control   www.treas.gov/offices/eotffc/ofac