NAVREF Workshop for

New NPC Executive Directors and Senior Staff

 

Thank you for attending NAVREF's Workshop for New Executive Directors and Senior Staff. 

 

We hope that you found the information presented useful in the day-to-day management and operations of your NPC.  As you get more familiar with your roles and responsibilities, we hope that information provided during the workshop and on this website will assist you in navigating the complex environment in which the NPCs must operate.

 

If at any time, you have any questions, please do not hesitate to contact the NAVREF Office at 301-656-5005 or one of the speakers.

  • Eileen Lennon, Ph.D., Executive Director, Seattle Institute for Biomedical and Clinical Research, eileen@sibcr.org

  • Kerstin Lynam, Chief Executive Officer, Veterans Medical Research Foundation of San Diego, klynam@vmrf.org

  • Angela K. Murakami, Program Director, amurakami@navref.org

  • Nancy Watterson-Diorio, Chief Executive Officer, Boston VA Research Institute, nwd@bvari.org

  • Barbara F. West, Executive Director, bwest@navref.org

    •  

  • NPC Websites

Thursday, May 20

  

Topic and PDF of PowerPoint Presentations

     Handouts and Helpful Links

A.  Introductions and Welcome

 

 

 

     

B.  The Value NPCs Bring to VA Research and Program Objectives

 

 

 

     

C.  NPC Authorizing Statute 

     – 38 USC §§ 7361-7366

 

   - Former NPC authorizing statute redlined to reflect the changes made by S. 1963

   - Summary of major changes and the section of the new statute in which each

     appears

   - http://www.navref.org/library/NPC_Statute_Revisions.htm

 

 

 

D.  Handbook 1200.17 - Current and New

 

   - Current Handbook

        - http://www.navref.org/about/handbook_120017-121701.htm

 

 

 

E.  Governance

  • Organizing Documents

  • Board of Directors

  • Board Meetings and Minutes

  • Mission

  • Policies

  • Required Policies

  • Conflicts of Interests

  • Executive Director compensation and review

 

- Articles of Incorporation

     - SIBCR Articles or Incorporation

     - http://www.navref.org/bestpractices/gov_govdoc_articles.htm

- Bylaws

     - SIBCR Bylaws

     - http://www.navref.org/bestpractices/gov_govdoc_bylaws.htm

- IRS Determination Letter

     - SIBCR IRS Determination Letter - OriginaI

     - SIBCR IRS Determination Letter - 2005

     - BVARI Change in determination letter

- Board Meetings and Minutes

     - SIBCR Sample Board Meeting Agenda

     - http://www.navref.org/bestpractices/gov_bod_meetings_agenda.htm

     - http://www.navref.org/bestpractices/gov_bod_meetings_minutes.htm

     - http://navref.org/development/2010_WNewNPCEDs/HO/L - Gangl Board of

       Directors Minutes (2).ppt

     - http://navref.org/development/2010_WNewNPCEDs/HO/L - Gangl Minutes

       presentation - final.doc

- Mission Statement

     - http://www.navref.org/bestpractices/gov_govdoc_mission.htm

- Policies

     - Required Corporate Governance Policies and Disclosures from Clark Nuber

     - http://www.navref.org/bestpractices/word/main_hr_employment_handbooksample.doc

- Executive Director Compensation

     - http://www.navref.org/bestpractices/hr_phiringterm_hiring_contract.htm

- Other Helpful Links
     - http://www.navref.org/bestpractices/Governance.htm

 

 

 

 

F. Reporting -- Required and Best Practices

  • VA

  • Annual Report to VA

  • Annual CRADA Report

  • Annual RDIS Report

  • Financial Reports - Internal

  • Quarterly Financial Reports to the Board

  • Dashboard Reporting to the Board

  • Audit

  • Hiring an Audit Firm

  • GAAS, GAGAS, A-133 Audit

  • IRS Form 990

  • Other

  • DOL 5500 – Retirement Plan

  • State Reporting

    • Charitable Solicitation Registration

    • Business License (State and City)

    • Personal Property

  • Payroll

 

 

 

 

- CRADA Report

     - Sample Annual VAMC CRADA Report

- CRADA Registry

     - http://www.research.va.gov/programs/tech_transfer/crada/registry.cfm

- Financial Reports

     - Sample Financial Statements and Board Reports (from 09 AC Rob Fleming

       presentation)

     - Sample Statement of Cash Flows and Footnotes

     - BVARI Annual List of Meetings and Reporting Requirements

     - VMRF_Financial_Summary_Reports-PDF

- Dashboard Reporting

     - VMRF-Funding_Source_Report-Excel

     - VMRF-Funding_Source_Report-PDF

     - VMRF_Submission_Pipeline-Excel

     - VMRF-Submission_Pipline-PDF

- Audit

     - http://navref.org/bestpractices/gov_bod_committees_audit.htm

- OMB Website:

     - http://www.whitehouse.gov/omb/rewrite/circulars/a133/a133.html

- IRS Form 990

     - IRS Form 990 with highlights

     - NAVREF memo on Board review of IRS Form 990

     - http://www.navref.org/newsletter/2010/update_05-06-

       2010.htm

- Charitable Solicitation

     - http://www.multistatefiling.org/

 

 

 

G.  Risk Management

  • Federal Tort Claims Act (FTCA) Protections

  • Malpractice Insurance

  • Recommended Commercial Insurance Coverage

  • Ensuring Coverage NPC activities and programs

  • Contract Language

  • NAVREF Insurance Program

 

 

 

 

- Federal Tort Claims Act (FTCA)

     - FTCA - Short Summary

- NAVREF Insurance Program

     - http://www.navref.org/about/navref_insurance.htm

H.  Revenue:  Grants, Contracts, Agreements and Fundraising

  • Smart Ways to Grow your Nonprofit

  • Administrative Overhead vs. Indirect Cost Rate

  • Research vs. Education Revenue

  • Grants vs. Contracts

  • Types of Non-Federal Agreements

    • Clinical Trials (CRADAs)

    • Grants

    • Foundation Grants

    • Education Grants

    • Document Retention Issues

  • CRADAs

    • Key Elements

    • Masters and Models

    • CTAA

  •  Non-VA Federal Awards

    • NIH, DoD, CDC, NASA, Agriculture, HHS Education, etc.

    • Non-VA Institutional Approvals

    • Other VA Approvals Used by NPCs

    • Effort Allocation

  • Subcontract and Sub-award Flow-down

  • Project Budgets and Management

  • Monthly Project Reports to Investigators

  • Fundraising

 

 

 

 

- Grants and Contracts Guidance:

     - http://www.navref.org/library/Grants_Contracts_Guidance.htm

     - http://www.navref.org/library/Grants_Contracts_Attachment1.htm

- Education Grant

     - SIBCR_Template Education Request Letter

- CRADAs: 

     - http://www.research.va.gov/programs/tech_transfer/crada/default.cfm

- Project Budget

     - SIBCR Sample Clinical Trial Budget

     - Sample CRADA Budget

     - SIBCR Sample Grant Budget

     - Monthly Progect Reports

     - SIBCR Sample PI Report for Clinical Trial

     - SIBCR Sample PI Report for Grant

     - BVARI Fed Award-Burn Rate

- Fundraising

     - http://navref.org/Annual_Conferences/2009_Chicago/F-a-ObanaDowis-Fundraising-FINAL.ppt

     - http://navref.org/Annual_Conferences/2009_Chicago/F-b-Dowis-Fundraising_for_What_and_Why-FINAL.pdf

     - http://navref.org/Annual_Conferences/2009_Chicago/F-c-Dowis-Fundraising_Setting_the_Stage.pdf

 

 

 

Helpful Resources: 

- NIH Welcome Wagon:

     - http://grants.nih.gov/grants/funding/welcomewagon.htm

- Management Concepts:

     - http://www.managementconcepts.com/

 

I.  Expenditures, Accounting and Finance

  • General

    • Accounting System

    • Internal Controls

    • Financial Policies and SOPs

    • Fiscal Year

  • Expenditures

  • Purchases and Disbursement

    • Special Supplies

    • Equipment

  • NPC Specific Issues

    • Travel

      • IRS Accountable Plan for Reimbursements

      • Policies Applicable to VA Employees

    • Subscriptions

    • Business Meetings

    • Transfer of Funds

    • Residual Funds Policy

  • Inventory
- Internal Controls

     - http://www.navref.org/bestpractices/pdf/NPC_Governance_Training_Manual.pdf

- Policies and Procedures

     - http://navref.org/development/2010_WNewNPCEDs/HO/M2 - PROCEDURES Handout - Final.doc

     - http://navref.org/development/2010_WNewNPCEDs/HO/N2-Lennon-COSO-COMPLETE-FINAL.pdf

     - http://navref.org/development/2010_WNewNPCEDs/HO/O2-Page-Writing-Effective-PP-COMPLETE-FINAL.pdf

     - http://navref.org/development/2010_WNewNPCEDs/HO/P2-Add-Handouts-PP-COMPLETE-FINAL.pdf

- Purchase and Disbursements

     - SIBCR Purchase Order

     - SICBR Check Request

     - SIBCR Travel Reimbursement

     - SIBCR Signature Authority

- Education Expenses:

     - http://www.navref.org/development/Conference_Calls/IRS_Education/default.htm

- Travel

     - http://www.navref.org/library/Travel_Policy.htm

     - http://www.navref.org/library/fund_automatic_travel_reimbursement.htm

     - http://www.bvari.org/FAM/Travel%20Document%

       20Library/Forms/AllItems.aspx

       - BVARI Missing Receipt Affidavit

- Subscriptions and Dues

     - http://www.navref.org/library/Subscriptions_and_Dues.htm

- Business Meeting

     - http://www.navref.org/library/Business_Meetings3.htm

- Transfer of Funds and Residual Funds Policy

     - http://www.navref.org/library/Transfer_Policy.htm

     - BVARI Project Amendment

     - BVARI Transfer of Ongoing Project Request

 

 

 

 

J.  VA Oversight

  • NPOB, ORD/NPPO, 10N, VHA CFO; VISN

  • NPC Annual Report to VA and VA Report to Congress

 

 

 

 

- Hard copy handout provided to participants

Friday, May 21

  

K.  Human Resource Issues

  • NPCs are Private Sector Employers 

  • Independent Contractor vs. Employee

  • Employee Policies

  • Employee Handbook

  • Employee Salary Structure and Benefits

  • Supervisor Training (i.e., VA PIs)

 

 

 

 

- NAVREF Human Resources - Best Practices

     - http://www.navref.org/bestpractices/hr.htm

L.  VA Overview

  • Organization (VHA, BVA and Cemeteries)

  • Roles of VISNs, OGC/RC, ORD, TTP and OIG

  • VA Training Requirements

  • VERA Allocation

 

 

 

- WOC Required Training

     - http://www.navref.org/bestpractices/hr_compliance_bwoc_nonva_docs_training.htm

- VERA

     - VERA FY09 Research Support Backup Data and Allocations

M.  Facility Research Service and Committees

  • Staffing (ACOS/R&D, AO R&D) 

  • Other Important VA Personnel

  • R&D Committee and Subcommittees (IRB, Bio-Safety, Space, etc.)

  • Project Coordination

 

 

 

 

- VAMC Facility

     - Facility Organizational Chart

 - Research and Development (R&D) Committee

     - VHA Handbook 1200.01

N.  Equipment and Computers in VA

  • Computers

  • Personnel and Computers

  • VA IT Data Security

  • Problem Encounters

  • NAVREF memo

  • Best Practices

  • Third Party Vendors

  • Ownership, Inventory and Accountability (NPC and VA

 

 

 

 

- NAVREF Memo regarding security requirements for NPC owned laptops

     - http://www.navref.org/library/pdf/NPC_Owned_Laptops-Security_Requirements.pdf

O.  VA-Related Human Resource Issues

  • VA Without Compensation (WOC) Appointments

    • Joint VA/NPC Employees and Issues

    • Intergovernmental Personnel Act (IPA) Assignments

  • MOUs between VA/NPC/University

  • Fee -for-Service

  • Honoraria

 

 

 

 

- VA Without Compensation (WOC)Appointments

     - http://www.navref.org/bestpractices/hr_compliance_bwoc.htm

- Joint VA/NPC Employees

     - http://www.navref.org/bestpractices/hr_compliance_joint.htm

- Intergovernmental Personnel Act (IPA

     - http://www.navref.org/library/IPA_main_page.htm

- Honoraria

     - http://www.navref.org/library/Honorarium_decision_tree.htm

P.  Other VA issues

  • MOUs vs. Sharing Agreements

  • Reimbursing the Medical Center for Clinical Services

  • VA/NPC/University Administration of Studies

  • Dedicated Research Time for PIs

  • Acronyms

 

- Memorandum of Understanding (MOU)

     - VA Memo allowing MOU as mechanism to reimburse VA

     - SIBCR-MOU_VA_Employee

     - SIBCR/VA MOU-NPC Reimbursing VA for VA Employee Time and Benefits

     - SIBCR/VA MOU-NPC Reimbursing VA

- Reimbursing VA:

     - http://www.navref.org/development/Annual_Conf_2006/M-

       Reimbursing_VA_Handouts.pdf

- VA/NPC University Administration of Studies

     - SIBCR-R&D_Committee_Minutes

     - SIBCR-Protected_time

- Acronyms

     - ../../library/word/Acronyms.doc

 

 

 

 

Q.  Questions; Open Discussion; Closing; Evaluation

  • Self Assessment Tool

  • Best Practices Consultation

  • Other Valuable Resources

 

- NAVREF NPC Self Assessment Tool: 

     - http://www.navref.org/bestpractices/word/Self_Assessment-Master_Updated_03-1-10.doc

- Best Practices Consultation:

     - http://www.navref.org/about/navref_consultations.htm

 
 

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last updated: 01/04/10

 

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