OSP Quarterly Brown Bag March 27, 2019

1. OSP Quarterly Brown Bag March 27, 2019 Enter Date Here

2. OSP – Pre Award Update Katie Fleck, Associate Director, OSP

3. OSP - Pre Award Update • Sponsor System Submission (S3) Pilot • Pilot departments will submit proposals using sponsor systems, not S2S • Proposals will utilize ASSIST, FastLane, WorkSpace • COEUS record and detailed budget will still be required • Updates to follow

4. NIH Update • NIH Training Grant Updates • NIH recommends that XTRACT be used for Training Tables, may soon be a requirement • Information regarding an institutional commitment to prevent harassment and other discriminatory practices is to be included in the same letter as the information about the applicant institutional commitment. No separate letter is required (NOT-OD-19-056)

5. NIH Update • NIH Early Stage Investigators • Note that an individual’s ESI period can be extended for any of the reasons listed below: • medical concerns • disability • family care responsibilities • extended periods of clinical training • natural disasters • active duty military service • Form to request extension can be found here

6. NIH Update • Changed/Corrected Proposals • Changed/Corrected submissions for proposals that do not contain Errors or Warnings are not always advised • Revised proposals will override original submission, can increase risk of proposal issues • Going forward, OSP will send out emails reminding departments and PI’s of this risk

7. NIH Update • Foreign Influence Inquiries • Many Federal Agencies are concerned about taxpayer-funded research being exploited overseas • NIH has sent letters to dozens of universities requesting information about undisclosed Foreign Activities or Collaborations • Foreign Talent Programs are one of the main focuses of inquiry

8. NIH Update • Foreign Influence • NIH requires that “foreign components” are approved by the sponsor. Such activities can include: • Extensive foreign travel for data collection • Collaborations with investigators at foreign sites that may result in coauthorship • Receipt of financial support or resources from a foreign entity • Please contact OSP/BMRA if you or your PI have any questions or issues you’d like to discuss

9. NIH Update • Other Support • Other Support submitted as part of JIT should include all financial resources, whether Federal, non-Federal, commercial or institutional, available in direct support of an individual's research endeavors, including but not limited to research grants, cooperative agreements, contracts, and/or institutional awards. Training awards, prizes, or gifts do not need to be included • For additional information on these requirements for NIH and other sponsors, please see this website

10. NIH Update • COEUS Notes • “PostDoc Senior” should not be selected as a budget role in any S2S proposal, as it does not translate correctly into grants.gov • For Changed/Corrected submissions, ensure that Grants.gov Tracking ID is 13 digits long, with no spaces

11. NSF Update • NSF will be increasing their usage of Dear Colleague Letters as funding opportunities • Reminder that PAPPG requires that biosketches contain only 5 distinct examples in the Synergistic Activities section

12. NSF Update • Resubmission guidance for Directorates that do not have deadlines will be published to discourage immediate resubmissions

13. NSF Update • NSF International Activities • Cover sheet: For each proposal that describes an international activity, proposers should list the primary countries involved by name and check the box • Proposals involving foreign involvement must include a justification for the foreign collaboration in the Project Description. Reviewers and Program Officers are being instructed to scrutinize these justifications.

14. NSF Update • NSF Current and Pending Support • “All current project support from whatever source (e.g., Federal, State, local, foreign, public or private foundations, industrial or other commercial organizations, or internal funds allocated toward specific projects)” Details here. • The proposed project and all other projects or activities requiring a portion of time of the PI and any other senior personnel must be included, even if they receive no salary support from the project(s).

15. DoD Update • Army Research Office (ARO) Funding Increments • ARO recently changed its funding model and will be basing funding increment amounts on expenditure estimates determined by ARO • If an increment will not cover expenses during increment period, notify OSP so that we can contact ARO to request additional funds

16. OSP Spring Training Schedule All classes are held at 12pm in the South Street Landing building. Sign up through Workday Learning.

17. OSP Update Thomas W. Dillon Assistant Director, OSP

18. OSP Update • OSP Training and Outreach Questionnaire Report Data from Fall 2018 Questionnaire to Department Administrators

19. OSP Update Preferred Type of Communication Style

20. OSP Update Type of Media Preferred for OSP to Provide its Training

21. OSP Update Changes to be implemented as a result of the Questionnaire • Brown Bags will be scheduled in either the morning or afternoon • The length of the Brown Bags will be shortened • If additional information needs to be disseminated a topic specific forum will be created • Brown Bags and Trainings will be available using Zoom and recorded • Training Zoom videos will be uploaded to Workday • Some trainings may be available at multiple times during the semester • Training courses are in development for the experienced Administrators • Brown Bag locations will rotate between the Main Campus and SSL

22. OSP Update • Subaward Invoicing Monitoring Best Practices • https://www.brown.edu/research/conducting-research-brown/preparing-and-submitting-proposal/proposal-review-submission-osp/subawards-lifecycle/subaward-invoicing-monitoring-best-practices

23. OSP Update Award Stage Office of Sponsored Projects (OSP) • Pre-Award Administrator along with the Post -Award Accountant will contact the department to discuss reporting requirements and expectations for awards that do not have automatic carryforward Principal Investigator (PI) and Department (including Centers and Institutes) • Take note and highlight the carryforward requirements when they receive award setup notification email from their Post-Award Accountant

24. OSP Update Managing Stage Principal Investigator (PI) and Department (including Centers and Institutes) • Review the invoice to ensure the information needed to properly process payment is included • If there are any exceptions such as unallowable costs or costs outside the performance period, the invoice should be returned unpaid to the subrecipient with a brief note explaining what information requires correction • Retain this documentation • Department is responsible for retaining a copy of each approved invoice • Best Practice:PI signs the invoice or indicates by email that the invoice may be paid • Note: Invoice information should not be highlighted

25. OSP Update Managing Stage (cont.) Principal Investigator (PI) and Department (including Centers and Institutes) • PI is asked to confirm that progress is being made according to the scope of work and communication plan including receipt of progress reports and deliverables • Postpone approval of the invoice and notify OSP Pre- Award Administrator if the progress is in any way incomplete or unsatisfactory

26. OSP Update Managing Stage (cont.) Principal Investigator (PI) and Department (including Centers and Institutes) • Department is responsible for setting up a mechanism to monitor subaward activities and invoice payments • Recommendation: spreadsheet including useful information for tracking subaward invoices • Department will ensure that approved subaward invoices are paid within 30 calendar days of receipt

27. OSP Update Managing Stage (cont.) Principal Investigator (PI) and Department (including Centers and Institutes) • Department will reach out to subawardee within 10 business days following the end of a quarter if no invoice has been received from subawardee • Department will contact Pre-Award Administrator within 30 days following a quarter end if subawardee has still not submitted an invoice and no justifiable reason is provided by subawardee Office of Sponsored Projects (OSP) • Reach out to the subawardee regarding their non-compliance to the invoicing terms in the agreement

28. OSP Update Reporting and Close-out Stage Principal Investigator (PI) and Department (including Centers and Institutes) • PI’s approval of a final invoice is a critical step in the proper close-out of an award • Do Not Approve final invoice if Subawardee has unsatisfactory performance or if there are outstanding deliverables or reports Office of Sponsored Projects (OSP) • Post-Award will review subaward award commitment amount at the end of a reporting period

29. OSP – Post Award Update Heather Dominey Assistant Director, OSP

30. OSP Post Award Update Financial Reporting and Closeout Policy 600.0 This policy ensures compliance with Office of Management and Budget Uniform Guidance (2 C.F.R., Part 200) and promotes adherence to federal, state, and other sponsor requirements related to timely reporting of sponsored projects financial expenditures as recorded in the award documentation.

31. OSP Post Award Update • Financial Reporting and Closeout Policy 600.0 • IMPORTANT NOTE: • The department must return the completed signed financial rough draft report to OSP- POST AWARD within the set internal deadline. • In cases where financial rough draft reports are not returned within the specified period, the financial report will be signed by OSP-POST AWARD and submitted to the sponsor based on the University’s financial records and without PI and/or departmental approval.

32. OSP Post Award • Costing Allocation BP Changes- Effective March 11th • Changes • OSP Grant/Contract Account approval required only for costings with attachment- that is: • Costing allocations for faculty over the NIH salary cap and • Costings for faculty summer salary • Costings without attachment do not require OSP accountant approval and will not route to accountant

33. OSP Post Award UpdateEffort Reporting Robin Eubank Grants & Contract Accountant & Effort Reporting Administrator

34. Multi-PI / Multi-ECP Effort Reports

35. PAA Sub-Process

36. PAA Sub-Process

37. Faculty Spread Reminder

38. Terminated Employees

39. Delinquent Effort Reports Please be sure to utilize the “Effort Certification Extension Request Form” when extenuating circumstances apply DEADLINE EXTENDED Follow the link below to access the form: https://www.brown.edu/research/conducting-research-brown/managing-award/award-management/effort-reporting-policy

40. Upcoming Effort Reporting Dates

41. Effort Reporting Questions Please send effort related questions and feedback to effort-reporting@brown.edu

42. Office of Research Integrity Keri Godin Director, ORI

43. Human Subjects Research Recruitment • *NEW* Recruitment Tool: Today@Brown • Eligibility: • Faculty PIs only • Must have sponsored funding • Full Board & Expedited studies (to start) • How to begin: • Amend an approved protocol • Reference this recruitment strategy in new IRB Applications Click here for more details!

44. InfoEd IACUC Webinar Series • March 21: Introducing ARPP and RAIS: Guiding IACUC review process and vet pre-review; navigating eForms (1:00 p.m.)  • April 25: Submitting new protocols and 3-year renewals; copying protocols; navigating task assignment windows (3:00 p.m.)  • May 22: Submitting amendments, admin changes and continuations; responding to review comments (11:00 p.m.) • June 17: Navigating comments panel; best practices, tips and tricks (10:00 am) • RSVP:Each webinar will be only 15 minutes! RSVP toIACUC@brown.edu. 

45. Office of Research Integrity Rebecca Haworth Research Integrity Manager, ORI

46. Conflict of Interest • Annual COI Disclosure Cycle (CY2018) • Feb 7, 2019 – March 11, 2019 • Total Annual COI Population: 1370 • Non-Completed (as of 3/25/19): 72 (5.3%) • Individual follow up with non-completers (seeking help from department managers)

47. Responsible Conduct of Research • BEARCORE Update • Course capacity: 40 people • Over 100 people tried to sign up (60+ did not get into the course) • Likely to be offered again in the fall • NIH • Refresher requirement: 8 hours of in-person training • Policy is unchanged but interpretation is different • NSF • Expects in-person training

48. Export Controls • Visiting Students/Scholars • From Embargoed Countries • Must contact ORI • Deemed Export Certification for Visiting Scholar(s) from Comprehensively Embargoed/Sanctioned Countries • From Restricted Entities • Please contact ORI • Some Foreign Universitiesare Restricted Entities • Examples: Sichuan University, Ben Gurion University, Northwestern Polytechnical University, Beihang University

49. Export Controls • Department of Energy • “[G]oing forward, DOE federal and contractor personnel, including laboratory employees, will be subject to limitations, including prohibitions on their ability to participate in talent recruitment programs sponsored by countries determined sensitive by DOE while maintaining employment within the DOE system.” • China • Russia • Iran • North Korea

50. RAIS Updates Andrea Mucci Sr. Research Services Business Analyst Research Administration Information Systems (RAIS)