Welcome to…RAIN

Welcome to…RAIN(the meeting formerly known as SPIN)

Presented by: the folks in RDA, with today’s emcee, Melanie Hawkins

Date: November 17, 2011

Agenda

• Intros

• Updates & timely information from the units:

Melanie Hawkins

RGC CTO USR RATE Research HR ORIO

Export Controls RFDS

Office of the VPR

SPA

TTBD

CRBO

• Q & A

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• RGC– Research Grants and Contracts

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RGC: OHSU Research Grants & Contracts

NIH Update

• Publication of the Revised NIH Grants Policy Statement (Rev. 10/1/2011): Policy Changes, Clarifications and Document Enhancements

(NOT-OD-12-003) http://grants.nih.gov/grants/guide/notice-files/NOT-OD-12-003.html National Institutes of Health

Deborah Golden-Eppelein

4RAIN: 11.17.2011


NIH Update (continued)

• While this revision does not introduce any new material for the first time, it incorporates new and modified requirements, clarifies certain policies, and implements changes in statutes, regulations, and policies that have been implemented through appropriate legal and/or policy processes since the previous version of the GPS dated 10/1/2010.

• Available in HTML and PDF formats: (http://grants.nih.gov/grants/policy/nihgps_2011/index.htm). The link to the 10/1/10 NIHGPS and all previous versions will remain the same.


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NIH Update (continued)

• A document is available that summarizes the significant changes that are implemented with the October 1, 2011 NIHGPS

• http://grants.nih.gov/grants/policy/nihgps_2011/Significant_Changes_NIHGPS_2011.doc

(MS Word - 75 KB)


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Staff Update

We are pleased to have Richard Austin joined the RGC team as Administrative Assistant!

Kellie Guentert

7RAIN: 11.17.2011


PPQ Revised

• to add Bio-library and Advanced Imaging Research Center (AIRC) to the University Shared Resources

Kellie Guentert

8RAIN: 11.17.2011


Upcoming Holiday Schedule

• Friday, 11/25, RGC is closed and no institutional signatures will be available.

• Friday, 12/23 and Tuesday, 12/27, no institutional signatures will be available. RGC will have a skeleton crew of staff working with limited service on those dates.

Kellie Guentert

9RAIN: 11.17.2011

• CTO

– Clinical Trials Office• Investigator Support & Integration Services (ISIS)

10RAIN: 11.17.2011

ISIS: OCTRI Investigator Support & Integration Services

OHSU Auditor Epic Access Procedure• Current

http://ozone.ohsu.edu/healthsystem/HIS/medrectrx/Epic_Access_for_External_Auditors092909clean.pdf

• Changes coming:– Requests for ID go to Cathy Schroth

– Training no longer required• New link:

http://ozone.ohsu.edu/healthsystem/HIS/medrectrx/Epic_Access_for_External_Auditors092909clean.pdf

– No test

Darlene Kitterman

11RAIN: 11.17.2011


OHSU Auditor Epic Access Procedure (cont’d)– Epic access location

• Epic access from OHSU guest wireless has been disabled

• HIM has moved downtown (no reservable workstations on campus)

• Log into OHSU workstation or Hawkeye wireless laptop with HIM Audit password

Darlene Kitterman

12RAIN: 11.17.2011


OHSU Auditor Epic Access Procedure (cont’d)

• Probable Future– Training will be required– Access will be available from OHSU guest

wireless– Access will be through OHSU Connect and

limited to study subjects requested by monitor

– Procedure will be updated when details are determined

Darlene Kitterman

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• USR

– University Shared Resources

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USR: University Shared Resources

Andrew Chitty

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Andrew Chitty

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USR Cores


Andrew Chitty

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Suggestions, Feedback, Complaints?

We’d like to hear from you.

Andy ChittyProgram Manager, USR Baird Hall, [email protected]://www.ohsu.edu/xd/research/cores-and-shared-resources.cfm

• RATE

– Research Administration Training & Education

18RAIN: 09.15.2011

Open Enrollment!

Clinical Trials Award Administration: Pre & Post-AwardJanuary 5, 2012 – Marquam Hill

RDA 101: Introduction to Research AdministrationFebruary 2, 2012 – Bancroft Building, South Waterfront

Registration & Details on the RATE webpage:http://www.ohsu.edu/xd/research/administration/rate_courses.cfm

RATE: Research Administration Training & EducationDana Director

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• Research HR– Research Human Resources

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Research HR Human ResourcesJennifer Crosby

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Volunteer Services Update• No NEW Volunteer Registration Packets accepted in

December• Any new packets turned in Dec. 1-30 will be processed

in January 2012• All packets received by Nov. 30 will be processed in the

order received• All re-activating volunteers will still be processed in

December

Please plan ahead!


22RAIN: 11.17.2011

New Position Approval Request (PAR)• Institution-wide form; no more UPARs or Ros• Electronic process, including approvals; no more paper

or hand written signatures• Programs for electronic process: MS Word & Outlook

• Compatible for PC/MAC users

• Fewer access barriers across all missions

• Pilot Group (representatives from all missions) will start using new PAR Monday, Nov. 21

• Institution-wide launch expected around the New Year• Stay tuned to Managers Forum (blog) for updates


23RAIN: 11.17.2011

Susan Christy, PhD VisitDr. Susan Christy will be visiting on December 15 and 16 to both the

West and Marquam Hill campuses. She will be giving a one hour address (repeat performance) from 12-1pm both days in the OHSU auditorium, in addition to several other workshops and talks. Here are the details:

• Please join Dr. Susan Christy as she discusses how strong, productive staff-faculty relationships create the best in education, research and organizational effectiveness. Working with faculty members takes understanding, special approaches and creativity. It helps to understand the structure and culture of academic institutions, faculty work-styles and priorities, and how to get things done on campus.


24RAIN: 11.17.2011

Susan Christy, PhD Visit (Continued)This interactive talk will offer many practical, positive strategies and tips

for working with faculty in our complex academic medical center and university environment.

• About the speaker and author: Susan Christy, PhD, CMC, President of Christy Consulting, Inc. and author of “Working Effectively with Faculty” appreciates the complexity of college and university administration and management. Susan has consulted with over 20,000 university and college administrators, managers, staff and faculty in over 100 departments in many academic institutions over the last 18 years. Her background as an experienced College and University Consultant, a tenured Psychology Professor, Trustee of The California Institute of Integral Studies, graduate student, business owner, training company VP and TV talk-show host lend depth, flexibility and creativity to her work.

• ORIO– OHSU Research Integrity Office

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ORIO: OHSU Research Integrity Office

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IRB Analyst Brown Bag SessionDecember 5th from noon to 1:00pmUHS 8B60

Knight Cancer Institute and IRB Updates for Cancer-Related Studies Joint presentation by Sarah Ward, Denise Mathes, and Susan Aust of the Knight Cancer Institute and Andrea Johnson of the IRB. Discussion will include the following:

•New IND/IDE management services for investigator initiated clinical trials•Updates to Knight CRRC review process •Updates to IRB review process for investigator initiated clinical trials•Updates to Knight DSMP•Your Questions

Ames Eliot

• Export Controls– Office of the Provost

27RAIN: 11.17.2011

Export Controls: OHSU Office of Export Controls

Case Study in How Things Go Wrong

University of Tennessee Case of Dr. Roth

Mark Peters

28RAIN: 11.17.2011


Private Sector Partner

Mark Peters

29RAIN: 11.17.2011

• Atmospheric Glow Technologies, Inc. (AGT)

• founded by Univ. of Tennessee (UT) alumni

• Had won U.S. Air Force Small Business Innovative Research (SIBR) contracts

• Established to commercialize plasma technologies


UT Principal Investigator

Mark Peters

30RAIN: 11.17.2011

• Physics professor at the University of Tennessee (UT)

• Scholar, leading researcher in plasma physics with many publications

• Held several U.S. patents based on plasma research

• Had been involved in academic exchanges with foreign scholars and others, including those in China


SBIR Project

Mark Peters

31RAIN: 11.17.2011

Late 2003: U.S. Air Force releases solicitations for SBIR topics, including topic entitled “Plasma Aerodynamics for Munitions Control”

Late 2003: AGT meets with Dr. Roth regarding possible collaboration on plasma actuator research

May 2004: AGT President Signs Phase I Contract

Contract is for “applied” research Stated application is for small munitions system

Contract itself contains express export control restrictions


What was the SBIR Project?

Mark Peters

32RAIN: 11.17.2011

• U.S. Air Force theory: plasma applied to an airfoil will also affect movement of air over that airfoil and thus aircraft motion– In theory, plasma could be manipulated by actuators to control small

aircraft or even munitions traveling at subsonic speeds.

– However, application of theory technically complex and existing plasma actuators were insufficient to control small munitions

• AGT won SBIR aware to develop this technology for Air Force, utilizing its unique patents, personnel and materials

• AGT’s proposals, reports in Phase I and II contracts confirm technology development was unique to Air Force weapons requirements under those contracts


International Team Issues

Mark Peters

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May -October 2004: Dr. Roth and AGT develop plan to include a Chinese national Ph.D. graduate research assistant (GRA) in forthcoming Phase II contract.

October 2004: Dr. Roth and AGT negotiated by phone and email to use both a Chinese national GRA and a U.S. national GRA

Labor was to be divided to keep Chinese national GRA from seeing or using AGT’s export controlled technical data

January 2005: Phase II Tentative Award Letter

January 2005: AGT President signs a new DD-2345 with clear clause:

January 2005: AGT also submits “Contractor Data Sheet” indicating that all personnel proposed to work on contract will be U.S. citizens

May 2005: Dr. Roth assigns both Chinese national GRA and U.S. national GRA to work on Phase II contract


UT Export Control and Travel

Mark Peters

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March 2006: Dr. Roth invited to lecture in China that May at expense of Fudan University

May 2006: AGT e-mailed Dr. Roth about AGT issues:– AGT’s actuator design considered “company trade secret.”– About replacing the Chinese national GRA after his graduation, “For obvious security

reasons, your Iranian student is not going to be acceptable.”

May 2006: Dr. Roth met with UT Export Control Coordinator to add Iranian national GRA to Phase II contract, replacing Chinese national GRA, and request UT seek ITAR export license. UT learned from Dr. Roth that UT Chinese national GRA had worked on project since May 2005 without export license.

UT immediately advised Dr. Roth that Air Force-sponsored research was export controlled.

UT urged Dr. Roth not to further expose foreign nationals toAir Force research and not to take any of research data on his planned trip to China


Trouble Coming Home…

Mark Peters

35RAIN: 11.17.2011

Government inspection of laptop at time of search, seizure at Detroit Airport showed it contained export controlled technical data from AGT research program.

Government computer forensics indicate laptop was connected to Fudan University network in May 2006.

E-mails also indicated a Fudan University computer technician examined the laptop when Dr. Roth had technical problems during his China trip.

Government case suggested reasonable inference that non-U.S. persons had direct access to AGT’s export controlled technical data on laptop because Dr. Roth took it to China on his trip.


Indictments and Convictions

Mark Peters

36RAIN: 11.17.2011

April 2008: AGT’s lead physicist pleads guilty to 1-count criminal information charging Arms Export Control Act (AECA) violation

May 2008: AGT and Dr. Roth indicted by Grand Jury in E.D. Tenn.• 1 count of conspiracy• 16 counts of AECA violations• 1 count of wire fraud [against UT]

August 2008: AGT itself enters into plea agreement and pleads guilty to 10 counts of AECA violations

August-September 2008: 7-day jury trial of Dr. Roth alone as remaining defendant

• Convicted on all 17 counts of indictment against himJuly 2009: Dr. Roth sentenced to 48 months in prison, finedJanuary 2011: 6th Circuit Court of Appeals affirmed convictionOctober 2011: U.S. Supreme Court denied petition for further appeal

Export Controls: OHSU Office of Export ControlsMark Peters

37RAIN: 11.17.2011

• Questions?

Mark Peters

Export Compliance Officer

www.ohsu.edu/export

[email protected]

(503) 494-0137 Office

(503) 403-9266 Cell

• RFDS– Research Funding and Development Services

38RAIN: 11.17.2011

Staff changes:

Katie Wilkes, new RFDS Program Manager

She is your point of contact for:– Research News– Research Websites– Limited Submissions– Funding Opportunities initial inquiries

RFDS: Research Funding and Development Services

Rachel Dresbeck

39RAIN: 11.17.2011

New Postdoc website:

http://www.ohsu.edu/xd/research/postdocs-students/postdoctoral-fellows-guide/index.cfm


Rachel Dresbeck

40RAIN: 11.17.2011

For your radar: Research Week

2012First week of May, 2012


Rachel Dresbeck

41RAIN: 11.17.2011

Wrap Up

Q & A

Reminder: We take a break in December!

Next Meeting:

January 19, 2011 9:30 AMSend agenda item requests to: [email protected]

Or use the feedback form at:

http://www.ohsu.edu/xd/research/administration/rain.cfm

Everyone

42RAIN: 11.17.2011

Documents

Welcome to…RAIN