Office of Research and Economic Development Research Administration Meeting April 12 th 2017

1. Office of Research and Economic DevelopmentResearch Administration Meeting April 12th 2017

2. Office of Research and Economic Development Research Administration Meeting AGENDA • Welcome and Introductions • Pre-Award • Post Award • Research Integrity

3. Project Organizational Chart Office of Research and Economic Development Vice President’s Office Update Welcoming Remarks • Introduction of Office of Research and Economic Development Team • Introduction of New Attendees • Future Research Administrators Meeting for 2017 • October 10th 2017 10:00 am – 12:00 pm in the MARC Pavilion • Slides will be posted on the Office of Research and Economic Development website after meeting

4. Project Organizational Chart Office of Research and Economic Development Pre Award Update NIH Salary Cap • At this time NIH has not received a FY 2017 appropriation, and is operating under a Continuing Resolution "the Further Continuing and Security Assistance Appropriations Act, 2017" (Public Law 114-254) that applies the terms and conditions of the Consolidated Appropriations Act, 2016. • The Consolidated Appropriations Act, 2016, restricts the amount of direct salary to Executive Level II of the Federal Executive pay scale. The Executive Level II salary was previously set at $185,100, and increased to $187,000 effective January 8, 2017. • The NIH 12 month appointment salary cap for applications submitted will be $187,000. The NIH salary cap for nine month appointments will be prorated to $139,713.

5. Project Organizational Chart Office of Research and Economic Development Pre Award Update Fringe Benefit Rates • The University has revised the fringe benefit rates for the 2017-2018 fiscal year, therefore the fringe benefit rates used at proposal stage have been revised as follows: • The internal budget sheet used at proposal stage has been revised to reflect these changes in the fringe benefit rates.

6. Project Organizational Chart Office of Research and Economic Development Pre Award Update Internal Budget Sheet • Account Code P77210 changed from Professional Fees/Consultants to Consultants. Professional Fees remains as P77200. • Participant Support Costs Tab • Participant Support Costs excluded from Indirect Cost Base as per new F&A Agreement

7. Project Organizational Chart Office of Research and Economic Development Pre Award Update National Science Foundation The NSF (PAPPG) (NSF 17-1) requires PIs, co-PIs, and other senior project personnel identified on NSF proposals to individually upload Collaborators and Other Affiliations information as a Single Copy Document (see PAPPG Chapter II.C.1.e). • Effective April 24, 2017, NSF will require the submission of a spreadsheet template to identify collaborators and other affiliations. Please note that the spreadsheet template: • Has been developed to be fillable. However, the content and format requirements must not be altered by submitters. • Must be saved in .xlsx or .xls formats and directly uploaded into FastLane as a Collaborators and Other Affiliations Single Copy Document. • Will be converted by FastLane from an .xlsx or .xls file to a PDF file. • Uploading a Collaborators and Other Affiliations Single Copy Document in any other format may delay the timely processing and review of your proposal. The template and associated instructions may also be accessed directly at: https://www.nsf.gov/bfa/dias/policy/coa.jsp

8. Project Organizational Chart Office of Research and Economic Development Pre Award Update Sub-Awards • The “Statement of Work” is a document that lists and describes all essential and technical requirements for the effort to be performed, including standards to determine whether the requirements have been met. A strong statement of work include but are not limited to the following: • Objective or purpose • Period of performance • A general description of the actions to be performed by the sub-awardee and the expected results • Clear and quantifiable deliverables: • This should provide both technical and performance specifications and due dates. • Performance, quality and timeliness requirements. This includes required or acceptable levels of performance on each specific task measured in terms of accuracy, response time, and speed. • Workload requirements. A description of levels or size of contractual effort. • Personnel requirements. Minimum qualifications or skill levels expected in the contractor’s staffing. • Reporting requirements. Describe any reports to be submitted by the contractor to show progress. • The above Statement of Work requirements should be followed when FIU is a Sub-Award on a proposal submission and when FIU is Sub-Awarding out. • Request Form • The Sub-Award/Amendment Request form has been updated and can be found on our website http://research.fiu.edu/forms

9. Project Organizational Chart Office of Research and Economic Development Pre Award Update Sub-Awards Continued • All Sub-Awardees are required to have the following in order for a Subaward to be issued: • Valid DUNS number • Valid SAM registration • Most recent A-133 or Financial Statements • Most recent F&A rate agreement • IRB/IACUC/IBC/IRE approvals • If a Sub-Awardee requires NSF prior approval then they must also have a valid FastLane registration • Request Form • The Sub-Award/Amendment Request form has been updated and can be found on our website http://research.fiu.edu/forms

10. Project Organizational Chart Office of Research and Economic Development Pre Award Update Consulting Agreements • Consulting Agreement Request Form • The Sub-Award/Amendment Request form has been updated and can be found on our website http://research.fiu.edu/forms/ • Statement of Work • The “Statement of Work” is a document that lists and describes all essential and technical requirements for the effort to be performed, including standards to determine whether the requirements have been met. A strong statement of work include but are not limited to the following: • Objective or purpose • Period of performance • A general description of the actions to be performed by the sub-awardee and the expected results • Clear and quantifiable deliverables: • This should provide both technical and performance specifications and due dates. • Performance, quality and timeliness requirements. This includes required or acceptable levels of performance on each specific task measured in terms of accuracy, response time, and speed. • Workload requirements. A description of levels or size of contractual effort. • Personnel requirements. Minimum qualifications or skill levels expected in the contractor’s staffing. • Reporting requirements. Describe any reports to be submitted by the contractor to show progress.

11. Project Organizational Chart Office of Research and Economic Development Pre Award Update Consulting Agreements Continued • Foreign Consultants • If FIU’s Sponsor requires prior approval, we first must obtain their approval before moving forward. • Tax Compliance • All foreign consultants must be approved by Tax Compliance before agreement is sent out for review and signature. • Tax Compliance will review the contract, specifically the Statement of Work which must include where the work will take place and how the FIU PI will be receiving the deliverables • Former FIU Employees • If consultant will be contracted within the same tax year that they were employed by FIU, then we must obtain prior approval from Tax Compliance. • Work to be performed under the Consulting Agreement must be distinctly different form the work performed under their previous employment with FIU

12. Project Organizational Chart Office of Research and Economic Development Pre Award Update E-Verify • State of Florida contracts, namely Florid Department of Transportation, contain the E-Verify clause • PI Responsibilities • Must attend E-Verify call with HR, Post-Award, and Pre-Award once • Must sign E-Verify Roles and Responsibilities form for all awards the include the E-Verify Clause • Reminder • New Hires The employer must initiate an E-Verify query no longer than the end of three business days after the new hire’s actual start date, and after the I-9 form has been completed by both the employee and employer. • Existing Employees The employer must initiate E-Verification for each current employee assigned to a federal contract within 90 days after the contract is awarded or within 30 days after an employee is assigned to work on the contract, whichever is later. The existing employee must complete a new I-9 form and provide supporting documentation to the FIU Division of Human Resources (DHR).

13. Project Organizational Chart Office of Research and Economic Development Post Award Update FY 2016-17 Year End Processing Deadline • Payroll Transfers • Last day for Payroll Transfers (PR) subject to ORED approval to be posted prior to the end of the fiscal year will be June 2, 2017 • This deadline is particularly important for those PR transfers from E&G activity IDs and transfers affecting projects ending in June 2017.

14. Project Organizational Chart Office of Research and Economic Development Post Award Update FY 2016-17 Year End Processing Deadline (continued) • eProcurement • Requisition page shutdown period is from June 10, 2017 to July 2, 2017 • Requests for purchases on project IDs will be approved if sent to Kelly Loll, Director of Procurement via email. The email must be sent by the requester’s approver and contain the pertinent information found in a requisition and as noted below:

15. Project Organizational Chart Office of Research and Economic Development Post Award Update Participant Payment Process • Due to a Cash Audit conducted by the Controller’s Office, the participant payment process is being reviewed to strengthen cash controls. • Forms are being reviewed & consolidated to eliminate confusion. (It is recommended to use the Controller’s website to obtain the latest version of the forms.) • All custodians will be notified of the new process once the review is completed. • Controller’s would like to remind everyone of the following: • The deadline to replenish for fiscal year-end is June 9, 2017 • There is a requirement to complete a yearly acknowledgement form for each participant payment fund • Level II background check is required when adding or transferring fund to a new custodian

16. Project Organizational Chart Office of Research and Economic Development Post Award Update Participant Payment Process (continued) • In order to streamline the process, you can email the following forms to your Post Award Manager • Advance for Research Subject Payments (establish a new fund) • Participant Payment Cash Fund Expenditure Log (Replenishment Form) • Participant Payment Fund Replenishment / Closure Form

17. Project Organizational Chart Office of Research and Economic Development Post Award Update Sub-recipient Process • The Office of Research & Economic Development (ORED) would like to remind PIs and Administrators of the following: • PI’s should always sign off on the invoice certifying they approve the performance of the work and that the expenses presented are reasonable for the work performed • The invoice should reflect the method of payment stated in the agreement (i.e. Cost Reimbursable vs. fixed price/deliverable based). • Invoices should be paid within 30 days of receipt. • PI’s should request and maintain copies of all programmatic reports for the retention period of the award.

18. Project Organizational Chart Office of Research and Economic Development Post Award Update Initial Meeting with PI and Administrators • Post Award will be inviting new PIs, as well as those PIs with large complex grants and their administrators to meet with their respective Post Award Manager. • This will help PI’s get acquainted with their Post Award manager, allowing them to ask questions on their particular award and be more proactive in hiring, setting up sub-recipient agreements or initiating large purchases. • The Post Award manager will go through the specific requirements of the award, and the basic PantherSoft reports.

19. Project Organizational Chart Office of Research and Economic Development Post Award Update Various Items: • Travel Authorizations (TA) • Benefit required in the TA should reflect the benefit to the project and not to FIU • No Cost Extensions (NCE) • PI’s should spend expeditiously and not rely on a NCE • NCE are being closely reviewed by the sponsor and are not guaranteed for either of the amount or period of time requested

20. Project Organizational Chart Office of Research and Economic Development Research Integrity Update • Institutional Review Board (IRB) Updates • IRB Approval Form Application Updated • Good Clinical Training (GCP) for NIH Clinical Trials • Access to Student Education Records (FERPA) • Institutional Animal Care and Use (IACUC) Updates • FIU received full AAALAC re-accreditation for 2017-2020 • COI Monitoring Plan Updates • Website redesigned to be more user friendly • Improved guidance on implementing a monitoring plan • Monitoring Plan Form requirements at time of submission: • Copy of Outside Activities & Financial Interest Reports • Exhibit A. Notice and Agreement by Company • Exhibit B. Employee Disclosure Statement • Exhibit C. Ownership Interest in the Company

21. Project Organizational Chart Office of Research and Economic Development Research Integrity Update • CITI Program Training Updates • CITI Program website has been redesigned • New modules added to CITI Export Controls Training (Distance Education and Technology in Research) • New module added to CITI GCP Training (Clinical Trial Agreements) • New modules for CITI IRB Training (Informed Consent Issues: Incidental Findings, Biobanks, Cultural Competence, Recruitment, Tools, Languages, etc.) • New CITI FERPA Training Course added • Upcoming ORI Training Workshops • 05/16/17 – Preparing for Semi-Annual IACUC Site Visit • 06/08/17 – IRB Ethics • 06/12/17 – IRB Part 1 (Getting Approval) • See http://research.fiu.edu/events for more details

22. Project Organizational Chart Office of Research and Economic Development Closing Remarks / Adjournment • Closing Remarks • Questions • Adjournment