FRA Program 2020

National Council of University Research Administrators

Perseverance Determination

through

21st Financial Research Administration Conference March 2 & 3, 2020 FRA and PRA Workshop Day March 4, 2020

San Juan, Puerto Rico FINAL PROGRAM AS OF FEBRUARY 24, 2020

WELCOME! 2

Greetings Colleagues, It is our great pleasure to extend to all a warm welcome to the beautiful city of San Juan, Puerto Rico, the host city for the 21st Annual Financial Research Administration (FRA) Conference. The conference will be held at the Puerto Rico Convention Center in San Juan on March 2nd and 3rd with a combined workshop day on March 4th in partnership with the Pre-Award Research Administration (PRA) Conference. As Co-Chairs of FRA 2020, we would like to give a huge round of applause to the Program Committee for their extraordinary efforts in bringing you a strong educational program that will provide something for everyone in attendance. Educational tracks will include: Departmental, Federal, Global, Predominantly Undergraduate Institutions, Human Capital, Financial Compliance, Accounting & Finance, and Clinical/Medical.

As most of you know, FRA 2018 was originally scheduled to be held in Puerto Rico, however, due to Hurricane Maria the decision was made to relocate to an alternate venue. The resiliency of Puerto Rico in recovering from this devastating event over the past two and a half years has been nothing short of remarkable. Our theme for FRA 2020, “Perseverance through Determination” reflects this resiliency.

We are delighted to offer, as our keynote address, a panel of distinguished speakers from various universities in Puerto Rico and the U.S. Virgin Islands, who will share their stories of how their universities handled the crisis, the lessons they learned, their success stories and plans for the future. The title of their talk will be “Preparing for Disaster: Lessons Learned from Hurricanes Irma and Maria.” This will be a fantastic opportunity to see how prepared your institution is if disaster strikes.

We hope to see you all in beautiful San Juan, Puerto Rico for the 2020 Financial Research Administration (FRA) Conference.

We are confident you will enjoy outstanding educational offerings, as well as a rewarding networking experience.

Sincerely, Co-Chairs of FRA 2020

Ben Prince

Shannon Sutton

University of Massachusetts Medical School

Western Illinois University

www.ncura.edu ➟ 21st Annual Financial Research Administration Conference

PROGRAM COMMITTEE 3 ACCOUNTING & FINANCE

GLOBAL (U.S. AND NON-U.S.)

Nick Freyaldenhoven Rice University

Martin Kirk King’s College London

Pamela Ray Florida State University

Mark C. Davis Attain

Kathleen Furr American University of Sharjah

HUMAN CAPITAL

Tolise Dailey Johns Hopkins University

CLINICAL/MEDICAL

Scott Davis University of Oklahoma Health Sciences Center

DEPARTMENTAL

Derick Jones Lundquist Institute for Biomedical Innovation at Harbor - UCLA Medical Center Rady Rogers Harvard University

Kristen Vandergriff Massey University of Tennessee

NEW PRESENTER LIAISON Diane Hillebrand University of North Dakota

Donna Kiley Florida International University

FEDERAL

PREDOMINANTLY UNDERGRADUATE INSTITUTIONS

Robert Andresen University of Wisconsin-Madison NCURA Distinguished Educator Cynthia Hope Georgia Tech NCURA Distinguished Educator Susan Sorensen Kuali

Trisha Southergill Montana Technological University

Pamela Whitlock University of North Carolina at Wilmington (Emeritus)

WORKSHOPS

Jeffrey Ritchie Hamilton College

FINANCIAL COMPLIANCE Rashonda Harris Emory University

David Schultz Rensselaer Polytechnic Institute Brynn Tomlinson Baker Tilly

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THANK YOU 4

to the following sponsors for your generous support

NCURA GOLD PLUS Member Sponsors

®

NCURA GOLD Member Sponsor

NCURA SILVER PLUS Contributing Sponsor

NCURA SILVER Contributing Sponsor

www.ncura.edu ➟ 21st Annual Financial Research Administration Conference

OVERVIEW 5

PROGRAM INFORMATION

EDUCATION SESSIONS

6 GENERAL 7 NCURA FRA CERTIFICATE PROGRAM 8 FITNESS

MONDAY, MARCH 2 | 10:15 – 11:30 A ­ M 1:00 – 2:15 PM­ 2:45 – 3:45 PM 4:00 – 5:00 PM­

WELCOME SUNDAY, MARCH 1 | 4:00 – 6:00 PM MONDAY, MARCH 2 | 7:15 AM – 5:00 PM

TUESDAY, MARCH 3 |

FRA CONCIERGE PARTICIPANT MATERIALS PICK-UP

11, 17, 24, 31, 40, 47, 55, 61 CONCURRENT SESSIONS

TUESDAY, MARCH 3 | 7:15 AM – 3:45 PM

15, 22, 29, 37, 45, 53, 59, 67

FRA CONCIERGE

DISCUSSION GROUPS

NETWORKING AND EVENTS SUNDAY, MARCH 1 | MONDAY, MARCH 2 |

8:15 – 9:45 AM­ 10:15 – 11:30 AM­ 1:00 – 2:15 PM­ 2:45 – 3:45 PM­

4:00 – 6:00 PM 7:15 – 8:00 AM 9:45 – 10:15 AM 2:15 – 2:45 PM 3:45 – 4:00 PM

NCURA’S COMMITMENT TO DIVERSITY AND INCLUSION MONDAY, MARCH 2 | 7:15 AM – 5:00 PM TUESDAY, MARCH 3 | 7:15 AM – 3:45 PM

EXHIBITS OPEN NCURA CONNECT MONDAY, MARCH 2 | 7:15 – 8:00 AM TUESDAY, MARCH 3 | 7:15 AM – 8:00 AM

CONTINENTAL BREAKFAST MONDAY, MARCH 2 | 8:15 – 9:45 AM

10 KEYNOTE ADDRESS

MONDAY, MARCH 2 | 9:45 – 10:15 AM 2:15 – 2:45 PM 3:45 – 4:00 PM TUESDAY, MARCH 3 | 9:45 – 10:15 AM 2:15 – 2:45 PM

NETWORKING AND REFRESHMENT BREAKS THE IMPACT OF NCURA MEMBERSHIP MONDAY, MARCH 2 | 11:30 AM – 1:00 PM TUESDAY, MARCH 3 | 11:30 AM – 1:00 PM

36 OPEN FORUM

WORKSHOPS AND SENIOR LEVEL FORUMS 70 OVERVIEW WEDNESDAY, MARCH 4 | 7:30 AM – 5:00 PM

WORKSHOP CONCIERGE WEDNESDAY, MARCH 4 | 9:00 AM – 12:00 PM

NCURA EDUCATION SCHOLARSHIP FUND HOW TO APPLY WEDNESDAY, MARCH 4 | 8:30 AM – 5:00 PM

72 FULL DAY WORKSHOPS

(ADDITIONAL FEE REQUIRED TO ATTEND)

WEDNESDAY, MARCH 4 | 8:30 AM – NOON

75 HALF DAY MORNING WORKSHOPS AND SENIOR LEVEL FORUM (ADDITIONAL FEE REQUIRED TO ATTEND)

WEDNESDAY, MARCH 4 | 1:30 – 5:00 PM

85 HALF DAY AFTERNOON WORKSHOPS AND SENIOR LEVEL FORUM (ADDITIONAL FEE REQUIRED TO ATTEND)

NETWORKING LUNCHEON MONDAY, MARCH 2 | 11:30 AM – 1:00 PM

NCURA EDUCATION SCHOLARSHIP FUND – HOW TO APPLY MONDAY, MARCH 2 | 5:00 – 5:45 PM

NETWORKING RECEPTION

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GENERAL 6 CPE INFORMATION FOR CERTIFIED PUBLIC ACCOUNTANTS NCURA is accredited by the National Registry of CPE Sponsors.

This program is administered by the National Association of State Boards of Accountancy (NASBA) to sponsor and award Continuing Professional Education Credits (CPEs) to accounting professionals. Certified Public Accountants will need to complete a CPE credit form in order to receive CPE credits. CPE forms are available at the NCURA FRA Concierge Desk. Forms must be deposited in the CPE boxes located at the NCURA FRA Concierge desk at the end of the conference. In accordance with the standards of the National Registry of CPE Sponsors, 50 minutes equals 1 CPE. Depending on the sessions and workshops you choose to attend a maximum of 19.2 CPE credits can be issued for NCURA’s FRA Conference. Fields of study available are Specialized Knowledge – Technical (S), and Personal Development – Non-technical (PD).

CPE Credits will be available for concurrent sessions, workshops and senior level forums. Discussion groups and the keynote address are not eligible for CPE credits.

Maximum Credits Available: 11.4 CPEs: Conference Only 15.2 CPEs: Conference + Half Day Conference Workshop 19.2 CPEs: Conference + Full Day Conference Workshop

Please Note: All Continuing Professional Education Credits (CPEs) will be issued by April 15, 2020.

REGISTRATION Registration is available at www.ncura.edu and is open to any individual engaged in the administration of sponsored programs in a college, university, or teaching hospital. Please Note: Learning objectives for each session will be noted in the conference program. Please consult the session descriptions for program level details. The only prerequisite for meeting attendance is current involvement in university sponsored research programs. There is no advanced preparation required to attend sessions. This conference is a “group-live” offering.

For information regarding administrative policies, such as complaint resolution and refund, please contact our office at +1 202-466-3894.

OTHER INFORMATION NCURA is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit.

Complaints regarding registered sponsors may be submitted to the National Registry of CPE Sponsors through its website: www.nasbaregistry.org.

CEU INFORMATION FOR ALL PARTICIPANTS NCURA will be offering CEUs for the FRA Conference and Conference Workshops. The Continuing Education Unit (CEU) is a nationally recognized unit designed to provide a record of an individual’s continuing education accomplishments. Please note, CEUs are calculated based on the standard formula of 1 CEU = 10 contact hours.

Maximum Credits Available: 11.75 Hours of Education: 1.2 CEUs: Conference Only 15 Hours of Education: 1.5 CEUs: Conference + Half Day

Conference Workshop 18.25 Hours of Education: 1.8 CEUs: Conference + Full Day

Conference Workshop Please Note: All Continuing Education Units (CEUs) will automatically be sent to all registrants of the conference by mid-April, 2020.

SESSION DEFINITIONS WORKSHOPS are deep-dive presentations, traditionally supported with PowerPoint and handouts. They are taught by topic experts in a classroom style setting. These sessions have anywhere from 20 – 70 attendees who are encouraged to ask questions. *Additional fee* SENIOR LEVEL FORUMS are intended for participants in senior management positions. Topical basics are presumed known.

Discussion will dictate the length and depth of each topic.

Attendance is limited to 25 people to encourage discussion and active participation. *Additional fee* CONCURRENT SESSIONS are presentations that have question and answer time built in. These sessions will have anywhere from 30 – 150 attendees.

DISCUSSION GROUPS are small group, facilitated conversations.

Instead of formal presentations, the specific topics are discussed, and information is shared by the group’s attendees.

BREAKFAST CONNECT TABLES are discussions on established subjects during breakfast.

www.ncura.edu ➟ 21st Annual Financial Research Administration Conference

CERTIFICATE PROGRAM 7

NCURA is offering a certificate program during the NCURA Financial Research Administration Conference, March 2–3, 2020.

Registrants of the conference can pick one certificate to earn. You cannot earn multiple certificates during one conference and you must attend the conference in its entirety. There are 8 time slots during the conference. Registrants must participate in five sessions listed on the worksheet. The remaining three sessions are considered electives and can be from the certificate you are pursuing or from any track. Breakfast Connect discussions do not apply. Workshop participation is not required.

There is no additional fee to participate in the NCURA Certificate Program and pre-registration is not necessary.

Final worksheets, including the link to submit your sessions, will be posted on February 24, 2020.

Please print out your certificate worksheet to help you plan and track your sessions onsite.

Use the URL on the worksheet to complete your certificate request electronically by March 31, 2020.

The URL will open after the close of the meeting.

Certificates will be issued by April 17, 2020.

After February 24, 2020, you can review which sessions will be eligible for each certificate by clicking on each name below to see that certificate’s session list:

Accounting & Finance Clinical /Medical Departmental Federal Financial Compliance Global Human Capital PUI

Note: Incomplete requests will not be eligible for certificates.

Questions? Please contact Tracey King, Meetings Manager king@ncura.edu | (202) 466-3894

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STAY FIT! 8

Changing time zones, networking, educational sessions, dining out... let’s face it—travel to the FRA Conference could leave you with little opportunity for fitness. And while you may be tempted to “forget” your gym clothes altogether, consider this: staying active can give you the energy and stamina you need to help you through those full days in Puerto Rico!

In fact, recent studies suggest that business travelers who exercise while they travel can improve reaction and alertness by up to 61%. Moreover, exercise boosts immunity defenses, triggers the release of brain endorphins, and even helps you sleep better. Check out our fitness options for you!

FITNESS OPPORTUNITIES CARIBE HILTON FITNESS CENTER Open daily from 6:00 am-10:00 pm Tennis court rentals daily from 7:00 am-10:00 pm Private or group tennis lessons (30 minutes or 60 minutes) from 7:00 am-8:00 pm Activity calendar offering yoga classes, dance lessons, Pilates, Zumba, volleyball, and other fitness opportunities

CONDADO PLAZA HILTON FITNESS CENTER Open 24 hours a day Paddle boarding, kayaking, pedal boating, and snorkeling in the Condado Lagoon Running and walking trails on the map

HYATT HOUSE FITNESS CENTER Open 24 hours a day

HYATT PLACE FITNESS CENTER Open daily 24 hours

SHERATON PUERTO RICO FITNESS CENTER Open 24 hours a day

FITNESS STUDIOS IN SAN JUAN Zen Fitness – 259 Calle Recinto Sur Suite 2-B San Juan, Puerto Rico 00901 V de Pilates – Av. Luis Muñoz Rivera 25 San Juan, Puerto Rico 00907 Body Temple – Ashford Ave 1407 San Juan, Puerto Rico 00907 Aggressive CrossFit – 1857 Ponce de Leon San Juan, Puerto Rico 00909

www.ncura.edu ➟ 21st Annual Financial Research Administration Conference

Agenda

Sunday March 1, 2020 Monday March 2, 2020

Agenda

Sunday March 1, 2020

10 4:00 – 6:00 PM

FRA Concierge Participant Materials Pick-up NCURA’s Commitment to Diversity and Inclusion NCURA supports and promotes diversity, equity and inclusion of all members. The organization has adopted a commitment to diversity and inclusion, developed a volunteer matrix to promote opportunities for inclusion throughout the organization, and integrated diversity and inclusion themes into various professional development opportunities.

NCURA is dedicated to continuing this great work while providing an environment of equity and inclusion for all members regionally, nationally and globally. To learn more, visit us on the Third Floor, Ballroom Foyer.

Agenda

Monday March 2, 2020

7:15 AM – 5:00 PM

7:15 – 8:00 AM

FRA Concierge Participant Materials Pick-up Exhibits Open

Continental Breakfast NCURA’s Commitment to Diversity and Inclusion

8:15 – 9:45 AM ~ KEYNOTE ADDRESS PREPARING FOR DISASTER: LESSONS LEARNED FROM HURRICANES IRMA AND MARIA Disasters come in many forms. Does your institution have a plan? How will your sponsored programs office function if you lose power and all communication for days, weeks, or longer? What will you do if you cannot access, or no longer have an office? What is your plan to recover lost information; rebuild labs and other infrastructure; replace lost staff and repair lost morale? Are you prepared for a catastrophic event?

On September 6, 2017, Hurricane Irma, a powerful category 5 storm, tore its way across the U.S. Virgin Islands, leaving wide-spread destruction. Thirteen days later, Hurricane Maria arrived to deliver a second devastating punch before moving to Puerto Rico, where it caused catastrophic destruction and took thousands of lives. Included in the pathway of destruction were universities with damages in the millions of dollars.

As recovery continues two and a half years later, our keynote speakers from four different universities will tell the story of how their university handled the crisis, the lessons they learned, their success stories and plans for future.

Dr. David Hall, President, University of the Virgin Islands

Dr. Ubaldo M. Córdova-Figueroa, Executive Vice Presidente, Academic Affairs and Research, University of Puerto Rico

Dr. Kanira Thompson, Vice President of Research and President of Ponce Research Institute, Ponce Health Sciences University

Jacqueline A. Mullen, Vice Chancellor Sponsored Research and Programs (Gurabo), Universidad Ana G. Méndez

www.ncura.edu ➟ 21st Annual Financial Research Administration Conference

* Lead Presenter

Agenda

Monday March 2, 2020 11

9:45 – 10:15 AM ~ NETWORKING AND REFRESHMENT BREAK THE IMPACT OF NCURA MEMBERSHIP NCURA’S COMMITMENT TO DIVERSITY AND INCLUSION Support Your Faculty, Build Your Community, Advance Your Career. Not an NCURA member yet? Don’t let your journey with NCURA end in Puerto Rico! Join us! Visit the Impact of NCURA Membership table on the Third Floor, Ballroom Foyer for more information on the benefits of becoming an NCURA member.

10:15 – 11:30 am | Education Sessions CONCURRENT SESSIONS ACCOUNTING/FINANCE

Advanced

SHORT FORM TO LONG FORM F&A PROPOSAL What are the differences between preparing a Short Form and Long Form F&A Proposal? Are we eligible to submit a long form? This session will identify the differences between preparing a short form and long form F&A rate proposal.

LEARNING OBJECTIVES Participants will learn the differences in the calculation, proposal preparation, documentation, and negotiation of between the two methods.

PREREQUISITES Participants will want to have a basic familiarity with F&A rate usage.

Mark C. Davis*, Vice President & Partner, Higher Education, Attain Maria Joanta, Director of Finance and Administration, Columbia University in the City of New York ACCOUNTING/FINANCE

Intermediate

SUBS: BUILDING AN OUTGOING SUBAWARD USER BUSINESS SYSTEM In 2012 Washington University went live with an outgoing subaward processing system, known as the SUBSystem.

In 2020, we are implementing a NEW outgoing subaward processing system due to a platform change.

LEARNING OBJECTIVES Participants will learn how outgoing subaward processing and UG data element collection can be streamlined for all users.

PREREQUISITES Participants should be familiar with their institutional outgoing subaward process.

Connie L. Motoki*, Grants Manager, Office of Sponsored Research Services (OSRS), Washington University in St. Louis Joseph M. Gindhart, Associate Vice Chancellor for Finance & Sponsored Projects, Office of Sponsored Research Services (OSRS), Washington University in St. Louis CLINICAL/MEDICAL

Overview

DOs AND DON’Ts IN BILLING FOR RESEARCH DRUGS AND DEVICES This session will describe the basics of billing for investigational drugs and devices. The requirements for billing, the types of drugs and devices that are billable, and workflows for billing compliance will be shared.

LEARNING OBJECTIVES Participants will learn the basics of research drug and device billing.

Participants will be able to identify the difficulty of billing these research services and improvement opportunities.

Participants will use case studies to illustrate billing complexity with examples from the field.

PREREQUISITES None

Candice Vance*, Director, Clinical Research Revenue Cycle, MedStar Health Research Institute Elizabeth Rodriguez, Associate Director, Research Billing Compliance, Johns Hopkins University

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* Lead Presenter

Agenda

Monday March 2, 2020

12

10:15 – 11:30 am | Education Sessions CONCURRENT SESSIONS continued DEPARTMENTAL

Basic

BEST PRACTICES FOR ONBOARDING A NEW PORTFOLIO MANAGER PROPOSAL: AN OVERVIEW Participants will discuss best practices for on-boarding new grant managers. Creating an effective training plan that will give the new grant manager a good foundation of department as well as the institution. Provide an overview of what information will be covered in the first month of training.

LEARNING OBJECTIVES Participants will learn how to create an on-boarding plan.

Participants will learn what topics should be included in the plan.

PREREQUISITES None

Darlene C. Jones*, Senior Associate Director, Finance & Administration, Yale University Helen K. Powell, Manager of Radiology Grants Administration, Radiology, School of Medicine, University of Washington DEPARTMENTAL

Intermediate

AVOIDING POST-AWARD CONTRACT RELATED PITFALLS: WHAT DEPARTMENTS NEED TO KNOW ABOUT SPONSORED CONTRACT NEGOTIATION Come and join in on the discussion to gain an overall understanding of the negotiation of complex contracts for sponsored projects with a focus on what to watch out for at the department level. Presenters from department, school and university levels will share potential pitfall areas like cost share and special reporting requirements as well as how to spot potential risk areas in the language around IP, publication requirements, data ownership, property requirements and more. Attendees will be encouraged to discuss processes at their home institutions and share tips and tricks for a successful negotiation.

LEARNING OBJECTIVES Participants will learn key contracting terms, explore new ways to partner with central offices and learn best practices.

PREREQUISITES Participants will want 1-2 two years department administration, and basic knowledge of sponsored research contracts.

Veronique Corrdin*, Assistant Director of Research Administration and Finance, Harvard University Charlotte Gallant, Director of Cost Analysis and Compliance, FAS Research Administration Services, Harvard University

www.ncura.edu ➟ 21st Annual Financial Research Administration Conference

* Lead Presenter

Agenda

Monday March 2, 2020 13

10:15 – 11:30 am | Education Sessions CONCURRENT SESSIONS continued DEPARTMENTAL

Intermediate

COMING OR GOING? HOW TO PREPARE FOR FACULTY TRANSFERS Faculty come and go at universities usually taking their funded research projects with them. There is not a magic wand waved so that transfers happen as soon as the faculty member relocates. There is a process that takes time and patience. With a detailed plan in place, this process can go smoothly for all stakeholders. This session is geared towards the role of departmental administrator.

LEARNING OBJECTIVES Participants will focus on communicating with all stakeholders (central officer, Deans, other universities, etc.).

Participants will learn tools and tips used for smooth transitions.

Participants will discuss various transactions recommended for efficient transitions.

PREREQUISITES Participants will benefit if they work in a department.

Robyn B. Remotigue*, Director, Office of Research Services, School of Public Health, University of North Texas Health Science Center at Fort Worth Kay C. Gilstrap, Assistant Director, Business Operations, Center for Molecular & Translational Medicine, Georgia State University FEDERAL

Overview

NSF CASH MANAGEMENT This session will provide an overview of NSF’s Grant Award and Cash Payment processes and procedures. It will also review awardees’ responsibilities, common reasons for delays, and detailed information on cash management and baseline monitoring activities.

LEARNING OBJECTIVES Participants will review the grant management process.

Participants will understand NSF Grant Award and Cash Payment process.

Participants will learn about awardee responsibilities and common reasons for delays.

Participants will be able to identify baseline monitoring activities.

Participants will understand program income and reporting process.

PREREQUISITES None

Christopher Berner*, Section Head, Grants Cash Management Section, Division of Financial Management, National Science Foundation Justin W. Poll, Senior Accountant, Grants Cash Management Section, Division of Financial Management, National Science Foundation Jamie H. French, Division Director, Grants & Agreements, Office of Budget, Finance & Award Management, National Science Foundation FEDERAL

Update

DOD UPDATE Virtual Session: Presenters will be joining us remotely from Washington, DC Barbara Orlando*, Grants Manager, Department of Defense Jennifer Cramer, Chief, Grants Execution Oversight, United States Army Medical Research Acquisition Activity (USAMRAA)

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* Lead Presenter

Agenda

Monday March 2, 2020

14

10:15 – 11:30 am | Education Sessions CONCURRENT SESSIONS continued FINANCIAL COMPLIANCE

Intermediate

IMPLEMENTING INTERNAL CONTROLS: WHERE DO I START? Strong internal controls are the foundation of a good compliance program. This session will provide participants with a framework to implement an internal controls program.

LEARNING OBJECTIVES Participants will gain a greater understanding of internal controls.

PREREQUISITES Participants will benefit from being familiar with the Uniform Guidance.

Tracey Westervelt*, Director, Research Finance, Harvard University Allison Philabaum Shah, Associate Vice President for Research Administration, Office of Research, Temple University GLOBAL FOR U.S. AND NON-U.S. PARTICIPANTS

Intermediate

CLOSING OUT INTERNATIONAL COLLABORATIONS In this session we will discuss how to strategically plan for and manage the close out of an international collaboration.

Often, the partners in these collaborations not only speak different languages in terms of communication, but also operationally. The differences on every level require us to plan from the inception of the partnership for the close out. We will navigate the unique aspects of funds flow/ accounting structures, institutional policies, monitoring methodology, donation of equipment and other items, HR disengagement, reporting and records management.

We will share a project management tool to navigate this complex process.

LEARNING OBJECTIVES Participants will learn how to strategically plan for close out of an international collaboration.

PREREQUISITES Participants will want to be at an intermediate level in terms of background.

Randi E. Wasik*, Director, Program in Molecular Medicine, Floyd College of Medicine, University of Massachusetts Medical School Annette Bohigian, Academic Administrator, Program in Molecular Medicine, University of Massachusetts Medical School HUMAN CAPITAL

Overview

MANAGING YOUR OFFICE BY ASSESSING AND ACCOMMODATING EMPLOYEE NEEDS These days, work-life balance can seem like an impossible feat. Technology makes workers accessible 24/7. Fears of job loss spur longer hours. In fact, 94% of working professionals reported working more than 50 hours per week and nearly half said they worked more than 65 hours per week. This increasing stress from the never-ending workday is life effecting. It can hurt relationships, health and overall happiness. Work-life balance means something different to every individual, but this session will provide you information from two universities that may help you find the balance that’s right for you and your office.

LEARNING OBJECTIVES Participants will understand flextime and how to set it up and be effective for their office.

Participants will learn how to communicate with their entire office when some are working part time, flex time and in an alternative work schedule.

Participants will learn what technologies need to be in place for their employees.

PREREQUISITES None

Danielle T. Brown*, Director, Sponsored Programs Administration, University of Maryland, Baltimore Amanda C. Snyder, Associate Director, Office of Sponsored Programs, University of Washington

www.ncura.edu ➟ 21st Annual Financial Research Administration Conference

* Lead Presenter

Agenda

Monday March 2, 2020 15

10:15 – 11:30 am | Education Sessions CONCURRENT SESSIONS continued PREDOMINANTLY UNDERGRADUATE INSTITUTIONS Overview

LEARNING OBJECTIVES Participants will learn the basics related to developing fringe benefit rates, fringe benefit proposal development and audit/negotiation for primarily undergraduate institutions.

Topics covered will include bases, pools, allowability of costs, allocation methodologies and operation of the fringe benefit pools and sub-pools.

FRINGE BENEFIT RATES AT A PUI – OPTIONS This session will examine the different options afforded to PUIs for Fringe Benefit Rates. Will review specific identification and pooled rate methodologies and which would be right for your institution. Experience of others will be used to foster the discussion.

PREREQUISITES None

James S. Childers*, Consultant, MAXIMUS Higher Education, Inc. Skye Greer, Business Manager, University of Alaska Fairbanks

DISCUSSION GROUPS ACCOUNTING/FINANCE

COST TRANSFERS: 3 ABCs TO CONSIDER: ACCOUNTABILITY, BUDGETING AND COMPLIANCE Cost transfers are typically a red flag to our sponsors and auditors. Audits have been completed questioning the allowability of these types of entries. This discussion group will focus on the accountability, budgeting and compliance aspects of cost transfers as well as ways to avoid the need to complete these transactions.

Participants will gain a better understanding of federal regulations governing cost transfers. In addition, participants will obtain insight on best practices to ensure allowability and provide guidance to avoid the need to complete cost transfers.

Come prepared to discuss the why’s and how’s in this discussion.

Diane Domanovics*, Assistant Vice President for Sponsored Projects, Office of Research Administration, Case Western Reserve University Glenda A. Bullock*, Director of Research and Business Administration, Department of Medicine, Washington University in St. Louis FEDERAL

MANAGING FEDERAL AWARDS FOR THE NEW AND NOT-SO-NEW RESEARCH ADMINISTRATOR This is one of the most challenging periods for managing federal awards. With the planned changes to the Uniform Guidance, foreign influence requirements, and a myriad of other Post-Award management changes, research administrators have to be resourceful and nimble. Please join us for a lively discussion on best practices for dealing with these challenges. We will discuss tips and techniques for managing the Post-Award aspects of federal awards in the current, rapidly changing environment.

Nancy R. Lewis*, Executive Director, Sponsored Projects, University of California-Irvine Karina Ramirez, Contract and Grant Officer, University of California, Irvine

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* Lead Presenter

Agenda

Monday March 2, 2020

16

10:15 – 11:30 am | Education Sessions DISCUSSION GROUPS continued FINANCIAL COMPLIANCE

BASICS OF F&A: A UNIVERSITY PERSPECTIVE Colleges and universities receiving direct federal awards are typically required to have a federally negotiated facilities and administrative (“F&A”) cost rate in order to receive reimbursement for indirect costs. For most people, however, the process of preparing, submitting, and negotiating the F&A rate proposal under the Uniform Guidance can appear overly technical and painfully detailed. This session is intended for anyone who is new to the F&A process or would simply like to better understand the basic requirements, inputs and objectives that make up this calculation. Discussion session will include a high-level perspective regarding how the regulations, financial and other data inputs, and submission and negotiation processes work together and will provide practical insight into the application of the F&A rate to the organization’s awards. Participants are encouraged to share their role in as well as their experience with the indirect rate process at their institution.

Alex P. Weekes*, Principal, ML Weekes & Company, PC Erin Kinne, Contract and Grant Officer, Office of Sponsored Research Pre-Award, Stanford University GLOBAL FOR U.S. AND NON-U.S. PARTICIPANTS

WHEN PRE- AND POST-LEVEL UP Often in institutions of higher education the Post-Award activities are conducted in the accounting area. Typically disparities between the Pre-Award and PostAward offices must be overcome when the two offices are merged under one umbrella. Issues arising include and are not limited to: pay disparities, experience and knowledge, career growth and advancement, and operating philosophies. The question of whether to combine services has long been debated. This discussion group will explore disparities and what are the advantages, disadvantages and challenges to overcome. Participants will gain insight into the challenges of combining a Pre- and Post-Award team.

Karen D. Mitchell*, Assistant Vice President, Office of Research, Temple University Germaine A. Calicat, Grants and Contract Specialist, Office of Research, Temple University HUMAN CAPITAL

MINDFULNESS AND MEDITATION APPLICATIONS IN RESEARCH ADMINISTRATION As research administrators, we are often working towards tight deadlines and juggle many tasks within our offices. Stress is a word that has almost become synonymous with research administration, so how do we manage that stress in a healthy way? This discussion group with review the differences between the practice of mindfulness and mediation and offer insight to how both can be used to mitigate the stressful work environment we all face.

Kristen Massey*, Research Coordinator, Office of Research & Engagement, University of Tennessee Beth Dubyak, President, Vincent Payment Solutions

11:30 AM – 1:00 PM ~ NETWORKING LUNCHEON www.ncura.edu ➟ 21st Annual Financial Research Administration Conference

* Lead Presenter

Agenda

Monday March 2, 2020 17

1:00 PM – 3:45 PM ~ NCURA EDUCATION SCHOLARSHIP FUND - HOW TO APPLY The NCURA Education Scholarship Fund (ESF) is an expression of NCURA’s commitment to the development of research administrators. The ESF is awarding $2500 scholarship(s) to members who seek graduate education in research administration.

To learn more about the FUND come visit with us on the Third Floor, Ballroom Foyer.

1:00 – 2:15 pm | Education Sessions CONCURRENT SESSIONS ACCOUNTING/FINANCE

Basic

ELECTRONIC BILLING AND INVENTORY SYSTEM This session is to show systems that makes life easier for managing service recharge centers. I manage 29 service recharge centers and all HR and Financial transactions flow through the University of Utah HSC Cores Research Admin Office.

LEARNING OBJECTIVES Participants will discuss billing for services on a monthly basis.

Participants will learn about collections, financial reporting, equipment inventory and being compliant.

PREREQUISITES None

Brenda J. Smith*, Director of Finance, Accounting and Finance, University of Utah Lovetta M. Montgomery, Director, Grants Accounting, Children’s National Medical Center ACCOUNTING/FINANCE

Advanced

ACCOUNTING FOR SERVICE CENTERS During this advanced level session we will delve into some of the accounting concepts and practices surrounding service/recharge centers. Presenters will share their experience on service center accounting topics. Topics will include the following: How to use different expense codes in operating your service centers. Why would I set up more than one cost center (aka fund, activity or project) for each service/recharge center? Considerations when including depreciation in my service center rates? How should I account for subsidies so that they can be identified and treated properly in my F&A rate proposal?

LEARNING OBJECTIVES Participants will learn how to use a separate cost center for billings to external users.

Participants will learn to identify subsidies for service centers.

Participants will learn how to build a reserve for equipment replacement.

PREREQUISITES Participants will want an understanding of service center compliance concepts. A basic knowledge of the accounting practices and systems at the participant’s own institution would be helpful.

Caroline M. Beeman*, Director, MAXIMUS Higher Education, Inc. Lionel Vera, Manager, Cost Analysis, University of Miami CLINICAL/MEDICAL

Overview

FEDERAL VS. COMMERCIAL CLINICAL TRIAL BUDGETS Ever wonder what the difference is between a federal and commercial clinical trial budget? Well, wonder no more!

This session offers a side-by-side comparison and budget breakdown to show you how a federal budget translates into a commercial clinical trial budget. We’ll review each budget category, a sample budget, discuss multi-site budgets, and we’ll share some funny stories along the way.

LEARNING OBJECTIVES Participants will learn the different lingo and calculations for commercial clinical trials compared to federal clinical trials.

Participants will learn how each budget is calculated and what types of costs should be included.

PREREQUISITES None

Christina Stanger*, Assistant Vice President, Research Administration, MedStar Health Research Institute Ron Migues, Executive Director, Medstar Medical and Surgical Research Network, MedStar Health Research Institute

PERSEVERANCE THROUGH DETERMINATION

San Juan, Puerto Rico

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* Lead Presenter

Agenda

Monday March 2, 2020

18

1:00 – 2:15 pm | Education Sessions CONCURRENT SESSIONS continued DEPARTMENTAL

Intermediate

THE CHALLENGES OF MOVING FROM PROPOSAL TO PRODUCTION AND SUCCESSFUL COMPLETION OF A RESEARCH PROJECT This concurrent session will aid the DRA in moving a grant from proposal to production. This session will give intense training focused on the production (lifecycle) aspect of research. We will cover the role of a DRA, sponsored vs non-sponsored support for researchers, compliance Issues, working with auxiliary services, on-boarding, and more.

We will explain how to review research portfolios in terms of sustainability, recognizing financial cliffs, planning for expansion of labs along with staffing and training concerns. We will also identify some challenge areas for successful grant closure and offer solutions common hurdles experienced in the Life Cycle of a grant.

LEARNING OBJECTIVES Participants will learn the importance of working with the Investigator to integrate science with administrative and financial manage.

Participants will explore unforeseen challenges like recruitment issues, deficits and change in scope that effect the overall project.

Participants will be provided with tips and tools to successfully triage project challenges.

PREREQUISITES Participants will want prior knowledge of research administration.

Kartik Yadav*, Research Director, Sue & Bill Gross School of Nursing, University of California-Irvine Cristi Williams, Program Coordinator, Lundquist Institute for Biomedical Innovation at Harbor-UCLA Medical Center FEDERAL

Overview

NSF AUDIT RESOLUTION AND OTHER POST-AWARD ACTIVITIES (This session will be repeated on Tuesday, March 3 at 8:15 am) We will be reviewing foundational information and current challenges/concerns related to audit resolution and PostAward oversight at the National Science Foundation.

LEARNING OBJECTIVES Participants will be up to date on current challenges and concerns regarding NSF audit resolution.

PREREQUISITES None

Rochelle Ray*, Branch Chief, National Science Foundation Tamara Bowman, Lead Analyst, Resolution and Advanced Monitoring Branch, National Science Foundation FINANCIAL COMPLIANCE

Basic

RESEARCH FINANCIAL COMPLIANCE RISKS This session will provide the risks with clinical trial billing compliance, grants management and financial reimbursement. Revenue integrity will be reviewed through a research periscope. How does a research administrator understand research compliance risks overall when the program is de-centralized? The speaker will help you understand the compliance issues that can arise before they know it.

LEARNING OBJECTIVES Participants will learn to analyze research compliance infrastructure.

Participants will understand all financial risks.

Participants will compare ways to manage risks.

PREREQUISITES None

Kelly Willenberg*, Manager, Kelly Willenberg & Associates Elena Bachorik, Post-Award Associate, Office of Sponsored Programs, Virginia Tech Tana Smith, Manager, Budgets and Contracts, Vanderbilt Ingram Cancer Center

www.ncura.edu âž&#x; 21st Annual Financial Research Administration Conference

* Lead Presenter

Agenda

Monday March 2, 2020 19

1:00 – 2:15 pm | Education Sessions FINANCIAL COMPLIANCE

CONCURRENT CONCURRENT SESSIONS SESSIONS continued continued

Advanced

A NATIONAL STANDARD FOR UG COMPENSATION COMPLIANCE Most university auditors are familiar with effort reporting systems that account for time charged on federal grants.

However, the Uniform Guidance (2 CFR, 200) focuses on the system of internal controls to support compensation (allocation of salary) which allows grantees to streamline compensation compliance controls that may reduce administrative burden placed on faculty and institutions receiving federal funds. Accounting for salaries and fringe benefits continues to be a major area of concern for the research enterprise at the federal and university level. A national Cohort of Institutions created a control framework for compensation compliance that allows for alternatives to traditional effort reporting. This panel session will focus on the activities of a national Cohort of Institutions, including the creation of the internal control framework that efficiently meets the requirements of Uniform Guidance 200.430 Compensation Personal Services. The session will include an overview of the framework, examples of institutional implementations, feedback from the audit community, current environment of institutions that have transitioned as well as the benefits of having a national standard. The panel will also address the audit and compliance perspectives for the internal control framework. This presentation will provide attendees with the needed information about alternative methods of compensation compliance that are growing within the university community.

LEARNING OBJECTIVES Participants will gain a better understanding of the requirements stated in UG 200.430 and the flexibilities afforded to institutions of higher education.

Participants will gain a better understanding of the standards for documenting personnel expenditures.

Participants will understand the differences between commitment of time and allocation of salary.

Participants will review the juxtaposition of faculty and administration perspectives of ‘tracking’ and reporting.

Participants will hear examples of internal controls, how they are integrated into a framework and their association to COSO and the green book.

Participants will hear examples of institutional reports that demonstrate alternatives to effort reporting methodologies for the after-the-fact review requirements of payroll charges.

PREREQUISITES Participants will want a basic understanding of UG 200.430.

David Ngo*, Associate Provost, Provost’s Office, New School Zachary Belton, Senior Director, Huron Paul Coleman, Grant Fraud Expert, PaulJColeman.com Barbara Garii, Research Services Coordinator, Provost’s Office, New School GLOBAL FOR U.S. AND NON-U.S. PARTICIPANTS

Overview

NEW INITIATIVES: PRINCIPAL INVESTIGATOR SUPPORT UNIT A description of a new initiative that was launched to support the award management infrastructure.

LEARNING OBJECTIVES Participants will learn how to streamline award management.

PREREQUISITES None

Dina A. Adly*, Assistant Provost, Sponsored Programs Office of Sponsored Programs, American University in Cairo Elizabeth H. Adams, Director, Office of Research & Project Administration, Princeton University

PERSEVERANCE THROUGH DETERMINATION

San Juan, Puerto Rico

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* Lead Presenter

Agenda

Monday March 2, 2020

20

1:00 – 2:15 pm | Education Sessions CONCURRENT SESSIONS continued GLOBAL FOR NON-U.S. PARTICIPANTS

Overview

F&A RATES 101 FOR NON-U.S. UNIVERSITIES How Facilities and Administrative (F&A/indirect cost) Rates are developed in the United States can be challenging to understand even for those in work in U.S. Universities.

Working in another country with other systems only adds to the complexity of understanding how it all works. This session will provide a high level and simplified overview of how facilities and administrative rates work in the United States.

LEARNING OBJECTIVES Participants will understand the high level process for the establishment of F&A rates in the U.S. Participants will understand what is included in F&A rates in the U.S. Participants will understand some of the challenges related to U.S. F&A rates.

PREREQUISITES None

Kerry Peluso*, Assistant Vice President for Research Administration & Finance, Office of Research, Florida State University, NCURA Distinguished Educator Bill Lambert, Associate Vice President, Research Grants & Contracts, Rollins School of Public Health, Emory University HUMAN CAPITAL

Overview

12 RULES TO BE A SUCCESSFUL RESEARCH ADMINISTRATOR Research Administration is a newly recognized and emerging profession, and while there is an advanced degree available to bolster the credibility of the field, there are no performance standards that mark an individual as a successful research administrator. What are the traits and skills needed to be successful in this profession? Similar to Jordan Peterson’s book, 12 Rules for Life: An Antidote to Chaos, this session will summarize through anecdotal stories and some research data the 12 Rules to be a successful research administrator.

LEARNING OBJECTIVES Participants will gain a better understanding that success can sometimes be subjective.

Participants will gain a better understanding between technical skill and emotional intelligence and mental agility.

Participants will gain insight into recognizing their own strengths and the importance of matching them to the job.

PREREQUISITES None

Lisa E. Mosley*, Executive Director, Office of Sponsored Projects, Yale University Eric T. Smith, Director, Clinical Research Services Office, Oregon Health and Science University

www.ncura.edu ➟ 21st Annual Financial Research Administration Conference

* Lead Presenter

Agenda

Monday March 2, 2020 21

1:00 – 2:15 pm | Education Sessions CONCURRENT SESSIONS continued HUMAN CAPITAL

Overview

PRESENTER’S GUIDE ON HOW TO ENGAGE YOUR AUDIENCE “Designing a presentation without an audience in mind is like writing a love letter and addressing it ì to whom it may concern” said Ken Haemer.

The key to engaging an audience is understanding that they have all the power to make or break a training session. When the first participant steps into the room that is when the engagement process begins, getting to know your audience.

LEARNING OBJECTIVES Participants will be given strategies on how to maximize their strengths and identify areas for improvement.

Participants will be given tools to help them engage with their audience.

PREREQUISITES None

When we take the time to get to know our audience, they become comfortable with us, we are now relatable to them, and they are ready to listen to our message.

This session will identify best practices for engaging an audience throughout the entire learning process.

Tolise C. Dailey*, Training Manager, Research Development Team, Johns Hopkins University PREDOMINANTLY UNDERGRADUATE INSTITUTIONS Overview

SAME SAME BUT DIFFERENT: THE ART OF RESEARCH ADMINISTRATION IN THE PUI All research administrators work within the same regulations. The research administrator at the PUI might be seen as having a completely different job than the research administrator at the research-intensive institution. The difference is not primarily in volume but in institutional culture and goals. The PUI research administrator may be seen primarily as a faculty advocate, and secondarily as protecting the institution’s interests. Join us for a discussion of the broad roles of the PUI research administrator, the grace required in walking the line between service and compliance, and the ways in which research administrators with differing roles can learn from each other.

LEARNING OBJECTIVES Participants in this session will be able to describe ways in which research administrators at PUIs can adopt some aspects and processes of larger institutions to make their jobs easier, within their institutions’ cultures.

Participants in this session will be able to list three organizational models in PUIs that allow research administrators to offer their faculty a high level of service while ensuring adherence to policies, regulations, and other requirements.

Participants in this session will be able to describe two strategies for finding the balance between service and compliance at a PUI. PREREQUISITES None

Mary Louise Healy*, Assistant Dean, Research Administration, Kreiger School of Arts and Sciences, Johns Hopkins University Nancy Y. Dufau, Assistant Vice President, Office of Sponsored Programs and Research, Towson University

PERSEVERANCE THROUGH DETERMINATION

San Juan, Puerto Rico

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* Lead Presenter

Agenda

Monday March 2, 2020

22

1:00 – 2:15 pm | Education Sessions DISCUSSION GROUPS CLINICAL/MEDICAL

NEGOTIATING THE CHALLENGING TASK OF CLINICAL TRIAL BUDGET PREPARATION This discussion will share ideas on how to build a clinical trial budget, pointing out common pitfalls and oversights during the process. It will touch on the types of budgets, importance of including all ancillary services, importance of good communication with investigators/coordinators, and negotiation strategies. Come listen, learn, ask questions, and share your own best practices.

Sarah Haley*, Senior Grant Analyst, Denver Health and Hospital Authority Ecy M. Bullock, Director, Budget and Contract, KU Medical Center Research Institute DEPARTMENTAL

YOUR BUDGET ISN’T WHAT IT SHOULD BE: TALES FROM AWARDS WITH BAD BUDGETS PIs often think that because a proposal is awarded, everything on their budget was approved as well. That, however, is not always the case. It may be easier to not put a cost in the proposal to start with rather than bargain after the award, have the expense put on the grant then have to have it removed later, or tell your PI that it shouldn’t have been put on there and they need to not spend on that expense.

This discussion group will talk about strategies when your awarded budget comes through with possibly unallowable expense, and the cost principles behind them.

Anne Albinak*, Director of Research Administration Operations, Whiting School of Engineering, Johns Hopkins University Keith Sims, Senior Research Associate, Office of Research Services, School of Public Health, University of North Texas Health Science Center at Fort Worth FEDERAL

STRATEGIES FOR COLLABORATING WITH FEDERAL AGENCIES Virtual Session Federal agencies partner with colleges and universities to implement programs and conduct research aimed at benefiting the public. Join us to learn strategies for building stronger relationships and improving communication between federal sponsors and academic institutions in the area of sponsored programs.

Dorothy J. Johnson*, Managing Officer, Research and Sponsored Programs, University of Wisconsin-Madison Aleisha Langhorne, Public Health Analyst, Health Careers Pipeline Branch, Health Resources & Services Administration (HRSA) will be joining us remotely from Washington, DC

www.ncura.edu ➟ 21st Annual Financial Research Administration Conference

* Lead Presenter

Agenda

Monday March 2, 2020 23

1:00 – 2:15 pm | Education Sessions DISCUSSION GROUPS continued GLOBAL FOR U.S. AND NON-U.S. PARTICIPANTS

OVERCOMING CHALLENGES OF CROSSING AREAS WITHIN RESEARCH ADMINISTRATION This discussion group is created to share experiences, problems, and resolutions when experienced research administrators find themselves as the newbie within another area of research administration. If you find yourself in any of the below situations, please come share you story & your thoughts with us as this transition can be just as challenging as being brand new to our field!

You were an experienced Pre-Award Research Administrator who has transitioned to a position within the area of Post-Award, or you had years of Post-Award under your belt & now primarily working in Pre-Award.

You primarily worked as a department administrator and have since joined our central office or you’ve moved from central administration to department administration.

You are now overseeing a specific areas of compliance such as effort reporting or conflict of interest after working several years of department administration or Pre- & Post-Award grant management.

Michele Cordero*, Senior Administrator, Center for Translational Medicine, Temple University Karen D. Mitchell, Assistant Vice President, Office of Research, Temple University HUMAN CAPITAL

EMOTIONAL INTELLIGENCE AND MINDFULNESS FOR THE RESEARCH FINANCE PROFESSIONAL Mindfulness is about being in the moment, paying attention to your thoughts and actions and their impact on others. Mindfulness and emotional intelligence (EI), increases productivity, enhances leadership effectiveness and supports health and happiness. Mindfulness and EI help individuals adapt more easily to change. This discussion will teach research finance professionals how to employ mindfulness and EI to their day-to-day work, how to connect mindfulness and EI and tips on reducing stress while improving performance.

Theresa R. Caban*, Manager, Clinical Trials and Industry Contracts, Lundquist Institute for Biomedical Innovation at Harbor-UCLA Medical Center Aneesa Buageila, Research Process Coordinator, Survey Research Center, University of Michigan - Institute for Social Research

2:15 – 2:45 PM ~ NETWORKING AND REFRESHMENT BREAK THE IMPACT OF NCURA MEMBERSHIP NCURA’S COMMITMENT TO DIVERSITY AND INCLUSION

PERSEVERANCE THROUGH DETERMINATION

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* Lead Presenter

Agenda

Monday March 2, 2020

24

2:45 – 3:45 pm | Education Sessions CONCURRENT SESSIONS ACCOUNTING/FINANCE

Intermediate

STRATEGIES FOR THE DEVELOPMENT OF O&M COST POOL This session will focus on the largest and most important cost pool of the F&A rate. The O&M pool is the one cost pool organizations should spend a great deal of time evaluating and looking to develop separate sub-pools where appropriate. This session discusses best practices and explores options in the development of the pool. It will also discuss issues raised by CAS during their review and negotiation in regards to the O&M pool.

LEARNING OBJECTIVES Participants will get an in depth look at the largest and most important uncapped cost pool - O&M. PREREQUISITES Participants will benefit from a working knowledge of the long form rate development process and the development of the O&M cost pool.

Wallace Davis*, Partner, Higher Education and Nonprofits, Attain Deston Halverson, Senior Director Operational Strategy and Special Initiatives, Controller’s Office, University of CaliforniaSan Diego ACCOUNTING/FINANCE

Advanced

INTERNAL CONTROLS FOR SPONSORED PROGRAMS This session will cover an overview of internal controls and how the UG references it repeatedly throughout all areas. It will also cover the internal control areas in SPA and how New York University has undergone efforts to review internal controls to assess that they are functioning effectively and mitigating any risk from a financial and compliance perspective. Best practice recommendations will be provided as well as tools and techniques for strengthening controls.

LEARNING OBJECTIVES Participants will review the COSO Internal Controls Framework.

PREREQUISITES Participants will want to be familiar with COSO Internal Controls Framework.

Lisa A. Franciosa*, Managing Principal, Franciosa & Associates LLC Meidy Candia-Leyva, Assistant Controller, Sponsored Programs Administration, New York University José M. Roman, Vice President for Research Administration, Rutgers, The State University of New Jersey

www.ncura.edu ➟ 21st Annual Financial Research Administration Conference

* Lead Presenter

Agenda

Monday March 2, 2020 25

2:45 – 3:45 pm | Education Sessions CONCURRENT SESSIONS continued CLINICAL/MEDICAL

Overview

THE CONTINUING MAGIC AND MYSTERY OF INDUSTRY-FUNDED CLINICAL TRIALS As Industry-Funded Clinical Trials proliferate, they remain a mystery to many. This session will briefly introduce the audience to the world of industry sponsored clinical trials. We discuss how being thoroughly up front when budgeting and negotiating with industry pays off by making it easier to manage accounts receivable later, the importance of billing compliance, payment terms, and tracking receivables. We also discuss how managing clinical trial finances is different than managing grant finances, including reporting key metrics to Principal Investigators.

LEARNING OBJECTIVES Participants will learn the key differences between the ‘grant world’ and industry funded clinical trials (eg why contracts are not worth what they say they are when examining visits, payments and milestone grids).

Participants will be able to determine what can be billed to insurance (“standard of care” or “routine costs”) and what cannot.

Participants will learn to negotiate start up fees, budgets and payment terms with industry.

Participants will learn about tracking accounts receivable including models from other industries.

Participants will learn how to ensure a successful timely and thorough final closeout audit process.

PREREQUISITES None

Ian Stevenson*, Senior Financial Analyst, Clinical Trials Office, Beth Israel Deaconess Medical Center Robert Stemple, Administrative Director ACTG, Division of Infectious Diseases, Brigham & Women’s Hospital DEPARTMENTAL

Intermediate

MANAGING SPONSORED AWARDS FROM A DEPARTMENTAL PERSPECTIVE This session will discuss the basics of Post-Award financial monitoring and the expectation for it to be performed on a regular basis. Best practices in the following areas will be of focus: account reconciliation, developing projections, comparing budget to actuals, and award close-out. The unique field of Post-Award requires strong accounting skills, ease with Excel, cost principle analytics, and forecasting. It also demands soft skills necessary for communicating with PIs and sponsors, as well as relevant intra-institutional offices. Finally, a good Post-Award manager would proactively inform Pre-Award activities, thus truly participating in the life cycle of sponsored research.

LEARNING OBJECTIVES Participants will learn best practices in Post-Award financial monitoring.

Participants will discuss account reconciliation.

Participants will learn about developing projections.

Participants will know how to compare budget to actuals.

Participants will review award close-out.

PREREQUISITES Participants will want general knowledge of Uniform Guidance and of cost principles.

Rady Rogers*, Assistant Director for Research Administration and Finance, John A. Paulson School of Engineering and Applied Sciences, Harvard University Katie Droney, Research Finance and Compliance Specialist, Research Administration Services, Harvard University Lenko Tankov, Research Administrator, Department of Anesthesiology, Critical Care and Pain Medicine, Boston Children’s Hospital

PERSEVERANCE THROUGH DETERMINATION

San Juan, Puerto Rico

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* Lead Presenter

Agenda

Monday March 2, 2020

26

2:45 – 3:45 pm | Education Sessions CONCURRENT SESSIONS continued FEDERAL

Update

CALCULATING NIFA IDC RATE Learn how other institutions are managing the IDC cap imposed by the 2018 Farm Bill on USDA NIFA awards, challenges they face, and things to consider as you implement the Farm Bill IDC cap.

LEARNING OBJECTIVES Participants will gather options to manage the Farm Bill IDC cap on USDA NIFA awards.

PREREQUISITES Participants will want a basic understanding of what an F&A rate and how it applies to sponsored programs.

Nicole Pilman*, Director, Sponsored Financial Reporting, Controller’s Office, University of Minnesota-Twin Cities Evonne Pedawi, Director, Contract and Grant Administration, Michigan State University FINANCIAL COMPLIANCE

Advanced

SERVICE CENTER: SPECIAL TOPICS During this session we will examine and discuss the following topics as they pertain to service center operations: 1) How to avoid unallowable costs in service center accounts/balance calculations, 2) How to treat service centers that may fall under Patient Care Costs/ Facility definition, and 3) How to handle service centers not submitting rates prior to deadlines. As time permits, we will take questions from the audience and provide perspectives from the university/consultant panel.

LEARNING OBJECTIVES Participants will learn processes to prevent improper treatment of unallowable costs.

Participants will learn how to avoid double-counting patient care, rent and other facilities costs when billed from service centers.

Participants will learn ways to handle delinquent service center rate submissions.

PREREQUISITES Participants will want a basic knowledge of service center compliance principles – break even, surplus/deficits, depreciation, F&A, fee in excess of cost,unfair competition, and principles of rate setting.

Lionel Vera*, Manager, Cost Analysis, University of Miami Caroline M. Beeman*, Director, MAXIMUS Higher Education, Inc. A. Chea Smith*, Director, Cost Analysis and Reporting, Rutgers, The State University of New Jersey Gloria Cruz-Maldonado, Sponsored Projects Manager, Compliance & Education, Post-Award Compliance & Education, George Washington University FINANCIAL COMPLIANCE

Intermediate

WHEN ONE DOOR CLOSES, ANOTHER DOOR OPENS: CHALLENGES IN PERFORMING FINANCIAL CLOSEOUTS OF SPONSORED PROJECTS The project scope has been completed, the expenses have been incurred, the invoices have gone out, the researchers have moved on to another project. Why is timely financial closeout as important as financial management throughout the project? This session will provide an overview of closeout requirements and recommend optimal timelines and practices for closeout. We will discuss current trends and several case studies to demonstrate challenges and viable methods to achieve timely closeouts.

LEARNING OBJECTIVES Participants will learn the big picture of why timely financial closeout are important from both sponsor and home institution’s perspectives.

Participants will discuss roles and responsibilities for financial closeout.

Participants will gain insight into best-practice timelines and steps for successful closeouts.

PREREQUISITES Participants will want experience with financial award closeouts.

Sonya Stern*, Director, Sponsored Project Administration, University of Vermont Jill M. Mortali, Director, The Office of Sponsored Projects, Dartmouth College Linda Serrantonio, Team Lead, Research Finance & Reporting, University of Vermont

www.ncura.edu ➟ 21st Annual Financial Research Administration Conference

* Lead Presenter

Agenda

Monday March 2, 2020 27

2:45 – 3:45 pm | Education Sessions CONCURRENT SESSIONS continued GLOBAL FOR NON-U.S. PARTICIPANTS

Overview

eRA SELECTION AND MANAGEMENT: THEY WERE ALL BUILT FOR U.S. FED STANDARDS!?

Given the increasing volume and complexity of research grants, the required reporting needs, and the perpetual need for data driven decisions – the need for an Electronic Research Administration (ERA) system is becoming unavoidable! Over the years there have been many examples of in-house raised solutions which have found their way to the main-stream non-profit market. While U.S. Federal regulation and university grant management has lead the way on many fronts, global expansion is a market that ERA producers can no longer ignore. This session looks as the history, productivity, and capacity of ERAs and how they are effecting and adapting to the global market.

LEARNING OBJECTIVES Participants will understand the history, productivity and capacity of ERAs and how they are effecting and adapting to the global market.

PREREQUISITES None

Kathleen Furr*, Director of Research Administration & Services, American University of Sharjah Stefanie Friesen, Senior Solutions Consultant, Cayuse GLOBAL FOR U.S. AND NON-U.S. PARTICIPANTS

Overview

MARIE SKŁODOWSKA-CURIE FELLOWSHIPS WITHIN HORIZON 2020 AND THE RESPECTIVE TERMINOLOGY “You cannot hope to build a better world without improving the individuals” (Marie Sklodowska-Curie) The Marie Curie Individual Fellowships are global mobility grants within Horizon 2020 – the European Union (EU) framework program for research and innovation. When dealing with them, non-European Research Administrators and institutions may face some differences to US grants.

After a brief overview to the Horizon 2020 program, we will explain how Marie Curie fellowships work and give an introduction to the terminology used in EU projects in comparison to that used in US institutions. Participants in this session will learn how to handle a Marie Curie fellowship as a host institution over the entire duration of this grant.

LEARNING OBJECTIVES Non-EU institutions will learn about possibilities to participate in EU-funding schemes.

Participants will learn about Marie Curie Individual Fellowships, schemes specifically aimed at early stage researchers.

Participants will delve into the differences in US vs. EU terminology.

PREREQUISITES Participants will benefit from having a basic overview of Horizon 2020.

Ingo Hebach*, Research Manager, Office of Research Management, University of Zurich Sia Gosheva-Oney, Research and Project Manager, Office of Research Management, University of Zurich

PERSEVERANCE THROUGH DETERMINATION

San Juan, Puerto Rico

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* Lead Presenter

Agenda

Monday March 2, 2020

28

2:45 – 3:45 pm | Education Sessions CONCURRENT SESSIONS continued HUMAN CAPITAL

Overview

MAKING THE MOVE FROM MANAGING TO LEADING Many tend to use the words “Manager“ and “Leader“ interchangeably; however, there is a distinct difference.

Traditionally Managers tend to have more of a transactional focus, where Leaders are more transformative. Are you curious about where you fit in the spectrum? Do you aspire to transition from Manager to Leader? This session will distinguish the differences between managing and leading.

Guidance will be provided regarding the key steps required to evolve and maintain the role of an effective leader.

LEARNING OBJECTIVES Participants will be able to distinguish difference between managing and leading.

Participants will be able to identify steps to aid in transitioning to a leader.

Participants will discuss keys to being a successful leader.

PREREQUISITES Participants will benefit from having five years management experience.

Tamara V. Hill*, Associate Vice President, Shared Services, Morehouse School of Medicine Jennifer J. Crockett, Assistant Vice Provost, Research Accounting & Financial Compliance, University of Massachusetts Boston HUMAN CAPITAL

Overview

CHAIR YOGA FOR ALL Join NCURA’s Tara Bishop, Chopra Certified Yoga and Meditation Teacher, to experience the benefits of yoga, meditation and breathing while you come back to your natural state of balance. Namaste.

LEARNING OBJECTIVES Participants will experience the union of body, mind and spirit through chair yoga, meditation and breathing.

PREREQUISITES None

Tara E. Bishop*, Deputy Chief Executive, National Council of University Research Administrators PREDOMINANTLY UNDERGRADUATE INSTITUTIONS Overview

WORKING IN HARMONY: COORDINATION BETWEEN PRE- AND POST-AWARD ACTIVITIES

LEARNING OBJECTIVES Participants will learn strategies in helping Pre- and PostAward offices working together.

PREREQUISITES None

This interactive session will explore how Pre- and Post-Award administrators at Primarily Undergraduate Institutions can work together at both the proposal development and award stages to help make submission, re-submission, and award processing and management as seamless as possible. We will discuss challenges and opportunities in working in both centralized offices of sponsored programs as well as independent offices. We will also share experiences of sponsored programs offices and the finance office working together on both Pre- and Post-Award matters.

Roger Wareham*, Director, Grants and Research, University of Wisconsin-Green Bay Kristin-Ann G. Beck, Assistant Director - Grant Development/Training Coordinator, Grants and Contracting Office, Northern Michigan University

www.ncura.edu ➟ 21st Annual Financial Research Administration Conference

* Lead Presenter

Agenda

Monday March 2, 2020 29

2:45 – 3:45 pm | Education Sessions DISCUSSION GROUPS ACCOUNTING/FINANCE

ASSET MANAGEMENT: CURRENT TRENDS & BEST PRACTICES This discussion will include how universities are complying with existing asset management regulations and new requirements, including GASB 87 and 89.

Topics will include how to optimize the accuracy of asset records for institutional stakeholders and the implementation of Financial ERP Systems. Moderators will help the audience ponder decisions related to inventory best practices within federal and state requirements, verifications, disposals, technology solutions including RFID tracking, institutional challenges, F&A rate optimization, and audit risk associated with F&A and Financial Reporting. The open format of the session will encourage discussion and peer input on processes and policy.

Mariana Traetta*, Director, HCA Asset Management Denise Dellinger, Accountant, Principal, Financial Management - Administration, University of Arizona CLINICAL/MEDICAL

BOOK GROUP DISCUSSION: EXAMINING TUSKEGEE Read the book: Examining Tuskegee, The Infamous Syphilis Study and its Legacy, and come prepared to discuss the lessons that we, as Research Administrators, can learn from this event.

In this nearly 600-page volume, editor Susan M. Reverby provides a range of primary and secondary documents to explain the varying views on this famous study. Beginning with a sampling of the letters exchanged between the public health doctors, it provides insight into the thinking that made the study possible.

Various reconsiderations of the study by key actors, views that range from apologias to conspiracies, provide a sense of how the study continued to be remembered.

Poems, a play, considerations by public health officials, historians, and bioethicists, and documents from the federal apology round out the collection. It concludes with articles that focus on the study’s legacy and how it used in political discourse.

Nicole Nichols*, Research Administrator, Washington University in St. Louis Kiara Calbart, Research Financial Analyst, Anne Arundel Medical Center DEPARTMENTAL

COST SHARE: ARE YOU ABLE TO SLEEP AT NIGHT? Come and discuss cost share from mandatory to voluntary. We will talk about how cost share is handled, the requirements of providing cost share especially when it is not required and then consider some options that you can provide to your faculty.

We are getting our zzzzzzz’s at night and want you to also. Discuss how cost share is handled at various institutions. Review consequences of voluntary cost share.

Consider options for talking the faculty off the promise cliff.

Diane L. Hillebrand*, Grants Manager, School of Medicine & Health Sciences, University of North Dakota Stacie Grange, Research Support Administrator, College of Veterinary Medicine & Biomedical Sciences, Texas A&M University

PERSEVERANCE THROUGH DETERMINATION

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Agenda

Monday March 2, 2020

30

2:45 – 3:45 pm | Education Sessions DISCUSSION GROUPS continued FINANCIAL COMPLIANCE

BEST PRACTICES IN DEVELOPING MONITORING TOOLS This discussion group will provide a forum for research administrators to share successes, best practices, and challenges in the development and implementation of data-driven monitoring tools. Specific points of discussion may include: Gaining institutional buy-in for a continuous monitoring program.

Successful roles and responsibilities for central and departmental administrators in monitoring.

Key fiscal monitoring metrics to best address risks in areas including overall financial position (e.g., burn rate analysis), salary allocation (e.g., faculty funded greater than 90% on extramural projects), non-salary charges (e.g., expenditures incurred within 30 days of award end date), and subrecipient monitoring.

Kairi D. Williams*, Associate Vice Provost, Operations & Compliance, Office of Research, Drexel University Alma Starks, Assistant Director, Post-Award Management, George Washington University GLOBAL FOR NON-U.S. PARTICIPANTS

F&A RATES 101 FOR NON-U.S. UNIVERSITIES (FOLLOW-UP TO CONCURRENT SESSION HELD MONDAY AT 1:00 PM) In follow up to the earlier concurrent session on the same subject, we will discuss some of the challenges related to understanding and working with U.S. facilities and administration (F&A) rates when you are located outside of the United States.

Kerry Peluso*, Assistant Vice President for Research Administration & Finance, Office of Research, Florida State University, NCURA Distinguished Educator Bill Lambert, Associate Vice President, Research Grants & Contracts, Rollins School of Public Health, Emory University HUMAN CAPITAL

12 RULES TO BE A SUCCESSFUL RESEARCH ADMINISTRATOR (FOLLOW-UP TO CONCURRENT SESSION HELD MONDAY AT 1:00 PM) As a follow-up to the current session at 1:00 pm, we will further discuss the traits and skills needed to be successful in the Research Administration profession. Similar to Jordan Peterson’s book, 12 Rules for Life: An Antidote to Chaos, this discussion will summarize through anecdotal stories and some research data the 12 Rules to be a successful research administrator.

Lisa E. Mosley*, Executive Director, Office of Sponsored Projects, Yale University Eric T. Smith, Director, Clinical Research Services Office, Oregon Health and Science University

3:45 – 4:00 PM ~ NETWORKING AND REFRESHMENT BREAK THE IMPACT OF NCURA MEMBERSHIP NCURA’S COMMITMENT TO DIVERSITY AND INCLUSION

www.ncura.edu ➟ 21st Annual Financial Research Administration Conference

* Lead Presenter

Agenda

Monday March 2, 2020 31

4:00 – 5:00 pm | Education Sessions CONCURRENT SESSIONS ACCOUNTING/FINANCE

Intermediate

LONG FORM F&A RATE PROPOSAL PROCESS AT UNIVERSITIES This session provides an overview of the Long Form Facilities & Administrative (F&A) rate calculation and rate negotiating process. Sections to be presented include the history of Federal cost reimbursement; the present environment faced by universities; a review of terminology from the OMB Uniform Guidance (with a focus on those associated with higher education and non-profits); an overview of the long-form process from submission to cognizant agency to eventual rate agreement; the structure and components of an F&A rate proposal; and the negotiating process including a typical Federal on-site review. Detailed and interactive examples will be provided focusing on maximizing an institution’s F&A rate. This will include a discussion on the methodology, process, and benefits of performing a defendable space functional usage study, building componentization study, equipment inventory study, and library study. The session is geared to administrators who may see “F&A” and “F&A Rates” quite often in their day-to-day job duties but are interested in learning what it is, how it’s calculated/negotiated with the Federal government, and what the impact is on their institution. We will highlight things that academic department administrators can do to directly help the institution’s calculation of its F&A rate and be prepared for the review their institution’s cognizant federal agency is likely to perform.

LEARNING OBJECTIVES Participants will be able to describe to their peers and researchers how an F&A rate is calculated, a typical negotiation timeline, and its financial impact of the institution.

PREREQUISITES Participants will want to have a basic familiarity with F&A rate usage.

David Moore*, Manager, Attain Broughan Fanning, Senior Consultant, Attain Suzanne Locke, Director, Research Finance, Albert Einstein College of Medicine CLINICAL/MEDICAL

Overview

QUESTIONED VS. SUSTAINED: A REVIEW OF THE AUDIT RESOLUTION PROCESS Have you ever wondered what happens after an external audit firm issues its final report? This session will provide a basic overview of the typical funder audit/compliance review resolution process and will provide participants with an insight into why funders may decide to allow costs questioned by the auditors.

LEARNING OBJECTIVES Participants will learn about the audit resolution process, including why the questioned costs identified in an audit report may not be what your institution is required to pay back.

PREREQUISITES Participants would benefit from a basic understanding of university policies and the Uniform Guidance.

Megan Mesko*, Manager, Cotton & Company LLP James Ringo, Director, Contracts and Grants Accounting, University of California, Davis Erin Mooney, Manager, Cotton & Company LLP

PERSEVERANCE THROUGH DETERMINATION

San Juan, Puerto Rico

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Agenda

Monday March 2, 2020

32

4:00 – 5:00 pm | Education Sessions CONCURRENT SESSIONS continued CLINICAL/MEDICAL

Intermediate

YOUR TEAM AND THE SPONSOR: COLLABORATING TO PROVIDE OUTSTANDING FINANCIAL ADMINISTRATION FOR RESEARCH This session provides an overview of the role of scientific teams, research administration teams, and sponsoring agency teams to understand how each team works individually and collectively to ensure outstanding research administration.

This session provides tips and guidance for effective communication and collaboration across these teams.

LEARNING OBJECTIVES Participants will gain a better understanding of how scientific and research administrative teams function in a grantee organization.

Participants will gain a better understanding of how grantawarding sponsors function and make decisions.

Participants will gain a better understanding of how to effectively communicate and meet the administrative needs of the award as required by the sponsor.

PREREQUISITES Participants would benefit from a basic understanding of research compliance and administration.

Angela D. Thomas*, Assistant Vice President, Healthcare Delivery Research, MedStar Health Research Institute Dolores Doherty, Deputy Grants Management Officer, National Institute of Diabetes and Digestive and Kidney Diseases, National Institutes of Health DEPARTMENTAL

Intermediate

ALIGNING MISSION WITH SUPPORT: HOW RESEARCH INSTITUTIONS ARE TRANSFORMING THE RESEARCH DELIVERY MODEL Research is a top priority for numerous higher education institutions seeking national recognition. An undeniable differentiator, it is often placed at the forefront of strategic plans at institutions of all types and sizes. But to achieve this goal, leaders must first understand how to align their administrative infrastructure and consider alternative service delivery models that can optimize their research administration support. Baylor University is one of the many institutions to have recently embarked on an effort of this scale, under an initiative known as University Research Administrators.

This session takes a deep dive into Baylor’s business case for research faculty support, including the process used to assess the current state and design the organization’s “blueprint” for transformational change, and discusses several key design characteristics to consider, including change management considerations, while addressing common challenges and barriers to customer service excellence.

LEARNING OBJECTIVES Participants will gain a better understanding of the multiple drivers leading research institutions to consider new and alternative models for local research administration support.

Participants will be able to recognize how to strategically address variations and gaps in local research administration support.

Participants will be able to identify the optimal alignments of resources and responsibilities between academic/research units and central administrative units.

Participants will have the skills to define a research administration “service catalog” and utilize it to drive organizational change.

PREREQUISITES Participants will want to be aware of the external and internal pressures that may impact their organization’s ability to deliver efficient and compliant research administration support.

Participants will benefit from a general understanding of common unit and central administrative (Pre- and PostAward) organizational models, as well as the breakdown of roles and responsibilities between these entities.

Kevin Cook*, Higher Ed Consulting Director, Huron Delilah Flores-Rivera, Assistant Vice Provost for Research, University Research Administrators, Baylor University Lianne Seyferth, Higher Ed Consulting Associate, Huron

www.ncura.edu ➟ 21st Annual Financial Research Administration Conference

* Lead Presenter

Agenda

Monday March 2, 2020 33

4:00 – 5:00 pm | Education Sessions CONCURRENT SESSIONS continued DEPARTMENTAL

Advanced

PRE- AND POST-AWARD ADMINISTRATOR INTERACTIONS: WORKING TOWARD A COMMON GOAL Whether you oversee the grant process from beginning to end, or work with a counterpart or team, join us as we discuss best practices and the need to develop strong departmental and campus-wide relationships. We will discuss topics ranging from managing workplace conflict to best practices for Pre- and Post-Award administrator interactions, including tools and resources to make your job easier! As an expansion of previous presentations and discussions on Pre- and Post-Award Administrator Best Practices, this presentation will focus on the communication between departments and the entirety of the award process – from start to finish – and how to mitigate issues along the way. Led by both Pre- and Post-Award administrators, see examples of reporting and communication strategies within the grant process.

This presentation is beneficial to both Pre-Award Research Administrators and Financial Research Administrators.

LEARNING OBJECTIVES Participants will leave with an understanding of the relationship between Pre- and Post- grant award administrators.

Participants will experience an interactive overview of the award process within a mid-size university department/ college.

Participants will be introduced to various tools, including: a departmental funding calendar, examples of interdepartmental award progress communications, PostAward PI meeting templates, and total departmental award tracking.

PREREQUISITES Participants will want a general understanding of Pre- and Post-Award basics.

Nathan S. Holtsclaw*, Business Officer, College of Health & Human Services, University of North Carolina at Wilmington Reatha K. Linley-Fielder, Business Manager I, Department of Chemistry, Mississippi State University Kristen Massey, Research Coordinator, Office of Research & Engagement, University of Tennessee FEDERAL

Overview

THE FALSE CLAIMS ACT: PROTECTING YOUR INSTITUTION IN THE POST-AWARD SPACE The False Claims Act is powerful statute frequently used against universities and research institutions in response to allegations of fraud and misuse of federal funds. This session will provide an overview of statute, how it operates, and common pitfalls in the Post-Award space that may lead to liability under the statute.

LEARNING OBJECTIVES Participants will gain a basic understanding of the False Claims Act, its reach, recent trends, and different mechanisms by which universities and research institutions may be liable under the statute.

PREREQUISITES None

Marta Thompson*, Senior Associate, Hogan Lovells Robert C. Andresen, Director of Research Financial Services, Research and Sponsored Programs, University of WisconsinMadison, NCURA Distinguished Educator Katherine Morga, Senior Associate, Hogan Lovells

PERSEVERANCE THROUGH DETERMINATION

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* Lead Presenter

Agenda

Monday March 2, 2020

34

4:00 – 5:00 pm | Education Sessions CONCURRENT SESSIONS continued FINANCIAL COMPLIANCE

Intermediate

HOW TO AUDIT PROOF YOUR DEPARTMENT To start, we will introduce some recent audits, understand the trend, and then discuss audits of a university department’s sponsored funding. We will review the audit life cycle, the role of the department administrator, and common audit findings. We will focus on ways to prepare long before the audit happens so that your department will be set up for a successful audit.

LEARNING OBJECTIVES Participants will understand the key audit issues in award management, including documentation, cost allowability and allocation, internal controls, and roles and responsibilities, from a department administrator’s perspective.

PREREQUISITES Participants will want a basic understanding of cost principles.

Jennifer Y. Mitchell*, Associate Executive Director for Research Financial Operations, Office of Financial Operations, Northwestern University Deborah Cundiff, Business Administrator, Department of Biomedical Engineering, Northwestern University Hillary K. Sparks, Business Administrator, Department of Mechanical Engineering, Northwestern University GLOBAL FOR U.S. AND NON-U.S. PARTICIPANTS

Overview

POST-AWARD CHALLENGES IN STRATEGIC INTERNATIONAL PROJECTS As international collaboration continues to increase as a valuable characteristic in research funding, the challenges of working across international borders can be difficult.

Particularly when it comes to money! This session will provide specific examples of international challenges in Post-Award management – including money transfer, export control, and financial reporting, etc. Real worldsolutions to some of these problems articulated in detail.

This session is designed for both seasoned international collaborators and for those new to the research game – particularly focusing on those international regions new to the U.S. norms in research administration.

LEARNING OBJECTIVES Participants will learn about international challenges in Post-Award management including money transfer, export control and financial reporting.

PREREQUISITES None

Ingrid M. Liekens*, Senior Specialist, Research Grant, Zayed University Kathleen Furr, Director of Research Administration & Services, American University of Sharjah Kay C. Gilstrap, Assistant Director, Business Operations, Center for Molecular & Translational Medicine, Georgia State University Rebecca Hunsaker, Director of Research Administration, College of Behavioral & Social Sciences, University of Maryland, College Park

www.ncura.edu ➟ 21st Annual Financial Research Administration Conference

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Agenda

Monday March 2, 2020 35

4:00 – 5:00 pm | Education Sessions CONCURRENT SESSIONS continued GLOBAL FOR U.S. AND NON-U.S. PARTICIPANTS

Overview

DIVERSITY IN SCIENCE AND RESEARCH ADMINISTRATION: WHY IT IS ESSENTIAL FOR GLOBAL SUCCESS Collaboration has been a recurring theme in science in recent years. The word “diversity” is shorthand for a vast effort to remake society to include everyone – not just those in privileged positions. People from all over the world and from all sorts of different cultures and backgrounds are a part of the research community. The diversity of the scientific and research community helps facilitate specialization and provides different points of view that invigorate problem solving and balance biases. This session will discuss the need for more diversity and inclusion in research and how the changing demographics of our research demands a diversified community of researchers and administrators who are prepared for the cultural, generational and gender shifts to keep pace with scientific and technology advancements in a smaller world.

LEARNING OBJECTIVES Participants will discuss how diversity facilitates specialization.

Participants will discuss how diversity invigorates problem solving.

Participants will discuss how diversity balances biases.

PREREQUISITES Participants will benefit from knowledge of research administration.

Derick F. Jones*, Program Manager, Translational Genomics and Population Sciences, Lundquist Institute for Biomedical Innovation at Harbor-UCLA Medical Center Rashonda Harris*, Director, Post-Award Operations, Office of Finance Grants & Contracts, Emory University HUMAN CAPITAL

Overview

PROFESSIONAL MASTERY: UNDERSTANDING HOW TO ACHIEVE IT Professional mastery is a lifelong journey and it involves multiple steps to achieve. Early in our career we learned, as research administrators, the importance of being effective and working efficiently in our roles. However, to achieve professional mastery, we must also be willing to learn how to become highly efficient in the services we provide.

Through knowledge, training, and shared experiences we can all work towards achieving professional mastery.

LEARNING OBJECTIVES Participants will leave with an understanding of professional mastery.

Participants will understanding how to become highly efficient.

Participants will be able to identify ways to achieve professional mastery.

PREREQUISITES None

Shameka Fahie*, Financial Administrator III, School of Civil and Environmental Engineering, Georgia Institute of Technology Theresa R. Caban, Manager, Clinical Trials and Industry Contracts, Lundquist Institute for Biomedical Innovation at Harbor-UCLA Medical Center

PERSEVERANCE THROUGH DETERMINATION

San Juan, Puerto Rico

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Agenda

Monday March 2, 2020

36

4:00 – 5:00 pm | Education Sessions CONCURRENT SESSIONS continued HUMAN CAPITAL

Overview

WINGMAN TO FRONT MAN - HOW TO EMBRACE THE LIMELIGHT AND EMERGE AS A LEADER Being a leader requires becoming comfortable in the limelight. How to toot your own horn without being boisterous. By becoming comfortable with self promotion and celebrating your accomplishments, you are nurturing confidence in your own abilities that is realized by team members.

LEARNING OBJECTIVES Participants will learn how to own accomplishments.

Participants will learn how to track their personal metrics.

Participants will learn to accept and celebrate their accomplishments Participants will discuss techniques on self-promotion.

Participants will learn how to chart their leadership course and finding the place you can contribute and be happy.

Participants will have a better understanding of how to accept not always having the answer.

PREREQUISITES None

Anita Mills*, Sales Enablement Consultant, Cayuse Doris A. Andújar-Pérez, Assistant Director, Office of Research Development, Executive Program Manager, RCMI Program, Ponce Health Sciences University

OPEN FORUM FEDERAL Overview

OPEN FORUM: NSF GRANT AWARD AND ADMINISTRATION Q&A WITH NSF STAFF An open forum for participants to ask questions and discuss issues with a broad array of National Science Foundation agency representatives. This open forum allows both for engaging face-to-face dialogue between research institutions and NSF.

LEARNING OBJECTIVES Participants will learn the latest updates and clarifications on pressing issues from agency representatives.

PREREQUISITES None

Please feel free to forward any general (non-grant specific) questions you may have for the Q&A panel in advance of the session to Justin Poll, NSF (via email jpoll@nsf.gov).

Justin W. Poll*, Senior Accountant, National Science Foundation (NSF)/Grantee Cash Management Section (GCMS), National Science Foundation Christopher Berner, Section Head, Grants Cash Management Section, Division of Financial Management, National Science Foundation Tamara Bowman, Lead Analyst, Advanced Monitoring Program, Office of Budget, Finance, and Award Management National Science Foundation Jean I. Feldman, Head, Policy Office, Division of Institution and Award Support, Office of Budget, Finance & Award Management, National Science Foundation Rochelle Ray, Branch Chief, National Science Foundation

www.ncura.edu ➟ 21st Annual Financial Research Administration Conference

* Lead Presenter

Agenda

Monday March 2, 2020 37

4:00 – 5:00 pm | Education Sessions DISCUSSION GROUPS ACCOUNTING/FINANCE

AVOIDING BUDGET DEFICITS AND BEST PRACTICES Join our discussion on how we project out expenses to avoid going into deficit on the grants we manage. We will share our best practices for fund monitoring and avoidance of budget deficits. Please bring an example of challenges you have faced and strategies to overcome those budgetary challenges.

Dimitrios V. Pashos*, Administrator for Research, Department of Psychiatry, Brigham & Women’s Hospital Jaclyn Chai, Administrative Director, Division of Women’s Health, Brigham & Women’s Hospital DEPARTMENTAL

THE CHALLENGES OF MOVING FROM PROPOSAL TO PRODUCTION AND SUCCESSFUL COMPLETION OF A RESEARCH PROJECT (FOLLOW-UP TO CONCURRENT SESSION HELD MONDAY AT 1:00 PM) This discussion group will be a continuation of the concurrent session. The aim of the discussion group is to identify challenges and solutions to overcome the hurdles associated with moving a grant into production through closeout. This session will be interactive and participants are encouraged to come with solutions and ideas on how to handle challenge areas.

Kartik Yadav*, Research Director, Post-Award Operations, University of California-Irvine Cristi Williams, Program Coordinator, Lundquist Institute for Biomedical Innovation at Harbor-UCLA Medical Center FINANCIAL COMPLIANCE

GETTING TO YES, WHILE MAINTAINING COMPLIANCE In today’s world of research administration, no matter where you sit, you have likely been tasked how can we get to YES with a sponsored related task. While we work to make our researchers happy, identifying the path to YES can be a tricky problem to solve. This discussion group will highlight options of getting to YES while remaining compliant. We will share with you valuable alternatives to leveraging SOPs, sponsored guidelines and institutional polices and business practices.

Participants will gain insight on how to simply the process of doing getting to YES while remaining compliance with your financial system and creating transparency in your processes to realize efficiencies.

Xiaowen Ma*, Financial Manager, Emory University Anne Albinak, Director of Research Administration Operations, Whiting School of Engineering, Johns Hopkins University

PERSEVERANCE THROUGH DETERMINATION

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Agenda

Monday March 2, 2020

38

4:00 – 5:00 pm | Education Sessions DISCUSSION GROUPS continued HUMAN CAPITAL

MAKING THE MOVE FROM MANAGING TO LEADING

(FOLLOW-UP TO CONCURRENT SESSION HELD MONDAY AT 2:45 PM) As a follow-up to the concurrent session at 2:45 pm, we will further discuss the differences between managing and leading. Guidance will be provided regarding the key steps required to evolve and maintain the role of an effective leader.

Tamara V. Hill*, Associate Vice President, Shared Services, Morehouse School of Medicine Jennifer J. Crockett, Assistant Vice Provost, Research Accounting & Financial Compliance, University of Massachusetts Boston PREDOMINANTLY UNDERGRADUATE INSTITUTIONS

WORKING IN HARMONY: COORDINATION BETWEEN PRE- AND POST-AWARD ACTIVITIES (FOLLOW-UP TO

CONCURRENT SESSION HELD MONDAY AT 2:45 PM) As a follow-up to the concurrent session at 2:45 pm, we will further explore how Pre- and Post-Award administrators at Primarily Undergraduate Institutions can work together at both the proposal development and award stages to help make submission, re-submission, and award processing and management as seamless as possible. We will discuss challenges and opportunities in working in both centralized offices of sponsored programs as well as independent offices. We will also share experiences of sponsored programs offices and the finance office working together on both Pre- and Post-Award matters.

Roger Wareham*, Director, Grants and Research, University of Wisconsin-Green Bay Kristin-Ann G. Beck, Assistant Director - Grant Development/Training Coordinator, Grants and Contracts Office, Northern Michigan University

5:00 – 5:45 PM ~ NETWORKING RECEPTION THE IMPACT OF NCURA MEMBERSHIP Support Your Faculty, Build Your Community, Advance Your Career. Not an NCURA member yet? Don’t let your journey with NCURA end in Puerto Rico! Join us! NCURA Officers and Standing Committee Members will be here to share their experience of being an NCURA member, how it has helped them help their faculty and institution, build a strong and diverse peer community and advance their career. We look forward to connecting with you!

www.ncura.edu ➟ 21st Annual Financial Research Administration Conference

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Agenda

Tuesday March 3, 2020

Agenda

Tuesday March 3, 2020

40

7:15 – 8:00 AM

7:15 AM – 3:45 PM

Continental Breakfast

FRA Concierge Participant Materials Pick-up FRA/PRA Workshop Registration Exhibits Open

8:15 – 9:45 am | Education Sessions CONCURRENT SESSIONS ACCOUNTING/FINANCE

Intermediate

UNDERSTANDING THE COMPLIANCE SUPPLEMENT AND PREPARING FOR YOUR AUDIT Providing a strong foundation for administrators in both Central and Departmental roles is critical to establishing a compliant environment. This session is meant to provide an overview with real world scenarios of Part 3 (Compliance Requirements) of the Compliance Supplement. (Accounting Focus).

LEARNING OBJECTIVES Participants will be able to clearly identify the audited elements from each section.

Participants will be given guidance on both the audit objectives and the suggested audit procedures.

PREREQUISITES Participants will benefit from having some familiarity with the audit process.

Shannon Gary*, Interim Director, Sponsored Programs Administration and Compliance (SPFAC), University of Louisiana at Lafayette David M. Schultz, Assistant Vice President, Research Administration and Finance, Rensselaer Polytechnic Institute ACCOUNTING/FINANCE

Advanced

ACCOUNTING FOR GIFTS AND GRANTS Grants are differentiated from gifts because of what they support and by the conditions placed on the funds. This session will include a deep dive into the accounting for gifts and grants for higher education institutions. Included are discussions of the commonly used indicators used to distinguish a gift from a grant as well as discussions regarding the importance of proper classification for financial reporting and Uniform Guidance purposes.

LEARNING OBJECTIVES Participants will have the ability to discern between the different types of financial assistance.

PREREQUISITES Participants will want a basic knowledge of financial assistance awards.

Nick Freyaldenhoven*, Assistant Controller, Research & Cost Accounting, Rice University

www.ncura.edu ➟ 21st Annual Financial Research Administration Conference

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Agenda

Tuesday March 3, 2020 41

8:15 – 9:45 am | Education Sessions CONCURRENT SESSIONS continued CLINICAL/MEDICAL

Overview

AN INTRODUCTION INTO THE PATIENTCENTERED OUTCOMES RESEARCH INSTITUTE’S FINANCIAL COMPLIANCE PROGRAM FOR AWARDEES: PROGRAM BACKGROUND, COMPLIANCE REVIEW FOCUS AREAS, AND COMMON FINANCIAL COMPLIANCE PITFALLS In 2017, the Patient-Centered Outcomes Research Institute (PCORI) partnered with the public accounting firm of Cotton & Company to develop a financial compliance program. This program tests whether recipients of PCORI funds are complying with the financial award terms and conditions. During this session, we’ll cover they types of PCORI financial compliance reviews, what to expect during a review, the most common compliance issues, and strategies to ensure financial compliance.

LEARNING OBJECTIVES Participants will understand types of PCORI financial compliance reviews.

Participants will learn about the most common financial compliance issues.

Participants will learn strategies to ensure compliance with PCORI’s financial terms and conditions.

PREREQUISITES None

James A. Hulbert*, Associate Director, Financial Compliance, Patient-Centered Outcomes Research Institute (PCORI) Megan Mesko, Manager, Cotton & Company LLP Brian Soule, Financial Compliance Manager, Patient-Centered Outcomes Research Institute (PCORI) DEPARTMENTAL

Intermediate

POST-AWARD IS A PARTNERSHIP Post-Award has a pivotal role in the lifecycle of an award.

It requires a partnership between Central and Departments in order to successfully closeout an award. From cradle to grave, it all needs an interwoven fabric of collaboration to make Post-Award work.

LEARNING OBJECTIVES Participants will understand that Post-Award is a collaborative process across functional departments.

Participants will learn the importance of defining role and responsibilities.

Participants will learn the complexities of Post-Award and how partnering with others can demystify the challenges Participants will be provided with examples of when partnership worked.

Participants will provided with examples of challenges when partnering opportunities were missed.

PREREQUISITES Participants will want a basic understanding of the life cycle of a grant.

Jaquion L. Gholston*, Associate Director of Sponsored Accounting, Office of Sponsored Accounting & Cost Analysis, Stevens Institute of Technology Lannda Oden, Business Manager II, AYS - Georgia Health Policy Center, Georgia State University

PERSEVERANCE THROUGH DETERMINATION

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Agenda

Tuesday March 3, 2020

42

8:15 – 9:45 am | Education Sessions CONCURRENT SESSIONS continued FEDERAL

Overview

NSF AUDIT RESOLUTION AND OTHER POST-AWARD ACTIVITIES (This session is a repeat of the session held Monday, March 2 at 1:00 pm) We will be reviewing foundational information and current challenges/concerns related to audit resolution and PostAward oversight at the National Science Foundation.

LEARNING OBJECTIVES Participants will be up to date on current challenges and concerns regarding NSF audit resolution.

PREREQUISITES None

Rochelle Ray*, Branch Chief, National Science Foundation Tamara Bowman, Lead Analyst, Resolution and Advanced Monitoring Branch, National Science Foundation FEDERAL

Update

OMB UPDATE ON THE PRESIDENT’S MANAGEMENT AGENDA FOR GRANTS AND THE PROPOSED REVISIONS FOR THE UNIFORM GUIDANCE (2 CFR)

LEARNING OBJECTIVES Participants will understand OMB grant-related initiatives to improve the recipient experience.

PREREQUISITES Participants will want to be familiar with 2 CFR 200.

The Federal Government awards over $700 billion in federal grants each year to support a wide range of activities to colleges, universities, State and local governments, Indian tribal governments and nonprofit organizations.

Research represents a large part of Federal funded activities.

The Results-Oriented Accountability for Grants Cross Agency Priority Goal (Grants CAP Goal) of the President’s Management Agenda (PMA) recognizes that current grants management processes are overly burdensome and take away from the missions that recipients work to deliver. The Grants CAP Goal seeks to remedy this through strategies such as standardizing grants management business processes and data, identifying opportunities to build shared information technology solutions, and supporting achievement of program goals and objectives. This session will provide information on the Grants CAP Goal and other OMB grant-related initiatives to improve the recipient experience. One of these initiatives is the 2019 update to the Uniform Guidance for Grants – 2 CFR 200. The session will also provide an update on the PMA activities and anticipated updates to the Uniform Guidance.

Gilbert Tran*, Senior Policy Analyst, Office of Management and Budget

www.ncura.edu ➟ 21st Annual Financial Research Administration Conference

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Agenda

Tuesday March 3, 2020 43

8:15 – 9:45 am | Education Sessions CONCURRENT SESSIONS continued FINANCIAL COMPLIANCE

Intermediate

INTEGRATING ENTERPRISE APPLICATIONS TO SUPPORT CLINICAL RESEARCH OPERATIONS Numerous healthcare institutions have implemented or are working to implement an electronic health record (EHR).

One of the common pitfalls of this process is that the focus of the planning stage is most often placed solely on clinical operations while the research component remains an afterthought, resulting in downstream challenges, such as inefficient and ineffective processes for managing research billing compliance. This session explores the research functionalities of leading EHRs and discusses how their integration with a Clinical Trial Management System (CTMS) can further support research operations. Attendees will hear firsthand from the leadership at the University of Michigan, where they recently implemented Epic and OnCore to support clinical research operations, about the challenges of such a transition and the considerations for implementing, optimizing and integrating technology solutions to support clinical research operations.

LEARNING OBJECTIVES Participants will gain a better understanding of the challenges and opportunities pertaining to the use of technology systems to support clinical research operations.

Participants will learn the key research considerations to incorporate in their EHR planning and implementation strategies.

Participants will be able to identify opportunities to integrate the EHR with a CTMS to create additional efficiencies in their clinical research operations.

PREREQUISITES Participants will want a basic understanding of clinical research operations and billing compliance fundamentals.

Dan Lodes*, Senior Director, Huron Cyndi Bower, Director, Operations – Clinical Trials Support Office, University of Michigan Medical School Mindy Muenich, Director, Huron FINANCIAL COMPLIANCE

Advanced

STRATEGIC ASSESSMENT AND RESPONSE TO AUDIT RESULTS: A CASE STUDY The National Science Foundation Office of Inspector General (NSF-OIG) routinely conducts performance audits of incurred costs to determine if those claimed against NSF awards comply with award terms and conditions and federal financial assistance requirements. At higher education institutions, the responsibility of ensuring compliance with this particular audit is frequently delegated to staff, who often have limited experience or capacity to effectively manage the process. This can result in findings and questioned costs that create significant administrative and financial challenges.

LEARNING OBJECTIVES Participants will gain a better understanding of the newly revised data analytics audit approach of the NSF and how third-party audit firms conduct their audits.

Participants will learn best practices and strategies for organizing, prioritizing, and strengthening their audit responses to achieve impactful results.

Participants will acquire insights on how to best address auditors’ frequently asked questions.

PREREQUISITES Participants will want a basic understanding of Post-Award financial management and benefit from having familiarity with the audit process.

Through an in-depth presentation of a case study, this session takes a closer look into the newly revised NSFOIG audit process and highlights how an organized and strategic approach can help institutions enhance their results and improve compliance.

Carl Reason*, Consultant, Huron Debra Y. Murray, Assistant Director, Compliance, University of Maryland, College Park

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Agenda

Tuesday March 3, 2020

44

8:15 – 9:45 am | Education Sessions CONCURRENT SESSIONS continued FINANCIAL COMPLIANCE

Overview

WHAT RESEARCH ADMINISTRATORS OUGHT TO KNOW ABOUT THE SINGLE AUDIT! The single audit is a requirement of the Uniform Guidance for institutions that expend more than $750,000 in a year.

The single audit examines internal controls and requires that specific audit areas are tested based on audit from the institution’s most recent fiscal year. This session will address what to expect during a single audit and how to best prepare.

LEARNING OBJECTIVES Participants will gain an understanding of what the single audit is.

Participants will learn strategies manage the single audit across the institution to maximize efficiency and value.

Participants will acquire the knowledge review and interpret single audit reports.

PREREQUISITES None

Roseann L. Luongo*, Manager, Huron Jeremy A. Forsberg, Assistant Vice President of Research, Office of Research, The University of Texas at Arlington GLOBAL

Overview

BEYOND BIBLIOMETRICS Bibliometrics, or research impact, is the quantitative method of citation and content analysis for scholarly journals, books and researchers. During our session today we will take a look at a more nuanced approach to measuring impact that gets to the direct measure of impact and “sees” research in the Arts and Humanities as well as the STEM area where bibliometrics, or research impact is currently measured.

LEARNING OBJECTIVES Participants will know the evolution of the University.

Participants will understand the research impact beyond quantitative analysis.

PREREQUISITES None

We will look at the evolution of the University through the ages, the changing role of the University, the evolution and diversity of the research provider, the transformation of metrics needed to describe University/research outcomes and impact and how we are using a more nuanced approach to measure impact.

Martin Kirk*, Operations Director, Research & Innovation, King’s College London HUMAN CAPITAL

Overview

STARTING STRONG: HOW TO ONBOARD YOUR STAFF FOR SUCCESSION AND RETENTION Onboarding is the process of welcoming and integrating new staff into your department/office and their new role.

The culture of your department/office plays an important role in keeping your new staff satisfied and engaged.

Onboarding staff requires more than just training on tasks, it is a multimodal approach. This session will cover tips and strategies for ensuring new staff are set up for success and to increase retention.

LEARNING OBJECTIVES Participants will learn about the role leaders play with onboarding.

Participants will learn the techniques and strategies of onboarding.

Participants will discuss ways to set up for success and retention.

PREREQUISITES This session is intended for individuals who are responsible for onboarding staff.

Rosemary E. Madnick*, Executive Director, Office of Grants and Contracts, University of Alaska Fairbanks Stephanie Bair, Business Manager, Sheikh Zayad Institute for Pediatric Surgical Innovation, Business Office Children’s National Medical Center Nancy R. Lewis, Executive Director, Sponsored Projects, University of California-Irvine

www.ncura.edu ➟ 21st Annual Financial Research Administration Conference

* Lead Presenter

Agenda

Tuesday March 3, 2020 45

8:15 – 9:45 am | Education Sessions CONCURRENT SESSIONS continued PREDOMINANTLY UNDERGRADUATE INSTITUTIONS Overview

AUDITS: THE RESEARCH ADMINISTRATORS SURVIVAL GUIDE There are few things that give research administrators more headaches than hearing your department or institution is being audited. Knowing that auditors, both internal and external, will be scrutinizing purchasing transactions, internal invoicing and payroll documents processed by you and your staff can be a little nerve wracking even though you and your staff do everything you can to maintain accurate records and documentation. Despite your best efforts, you never know exactly how interactions with the auditors will transpire. This session will help with understanding why tying expenses to the budget, justification and scope will be instrumental during audits.

LEARNING OBJECTIVES Participants will learn how the development of good habits will help you prepare for an audit, especially when it comes to those questionable expenses that have been charged to sponsored awards.

Participants will learn tips for determining allowability of costs on sponsored awards.

Participants will understand how to classify expenses.

PREREQUISITES Participants will want a basic understanding of Post-Award sponsored research administration.

Glenda A. Bullock*, Director of Research and Business Administration, Department of Medicine, Washington University in St. Louis Chrissa Papaioannou, Assistant Director, Office of Research and Sponsored Programs, Rutgers The State University of New Jersey New Brunswick Campus

DISCUSSION GROUPS ACCOUNTING/FINANCE

RESEARCH ADMINISTRATION CHALLENGES IN WORKING WITH A VA MEDICAL CENTER Higher Educational Institutions working with the VA may face various challenges in managing research. Being sensitive to the different hierarchy and requirements required by both the VA and your institution may help in understanding how to make working together run more smoothly. From contracting, University-VA joint appointments, money flows between the two and timing all play key roles.

R. Erin Fogarty*, Director, Office of Grants and Contracts, School of Medicine, Case Western Reserve University Venita Lowe, Department Administrator, Research Department, Case Western Reserve University

PERSEVERANCE THROUGH DETERMINATION

San Juan, Puerto Rico

#ncurafra

* Lead Presenter

Agenda

Tuesday March 3, 2020

46

8:15 – 9:45 am | Education Sessions DISCUSSION GROUPS continued DEPARTMENTAL

TIPS FOR STAFF DEVELOPMENT WHEN BUDGET IS AN ISSUE Success cannot be built on weakness so we must focus on our strengths. How do we enhance productivity as well as performance of those whom we manage and with whom we collaborate in the proposal development process when budget is an issue? The key to accomplishing successful Research Administration outcomes for both faculty, departmental and central administration is having the ability to think outside of the traditional boxes to bring training opportunities to your campus and immediate sphere of influence. Mangers have to be creative with their approach in order to make sure they, as well as their staffs, stay current with industry changes with limited resources. This session will discuss ways to come up with creative ideas to bring development to your organizations at minimal cost.

Derick F. Jones*, Program Manager, Translational Genomics and Population Sciences, Lundquist Institute for Biomedical Innovation at Harbor-UCLA Medical Center Charnel M. Bohn, Assistant Director, Business Analysis and Quality Assurance, Rutgers, The State University of New Jersey FINANCIAL COMPLIANCE

THE ROADMAP TO A SUCCESSFUL CAMPUS COMMUNITY IN FINANCIAL AND RESEARCH COMPLIANCE: EFFECTIVE STRATEGIES TO PREPARE YOUR UNIVERSITY WITH BEST PRACTICES Many institutions face challenges with the oversight process, stewardship, and management of research compliances. The impact of a sponsored researcher administrator’s role is essential in financial and research compliance and assuring federal regulations requirements.

Lourdes L. Bastas*, Associate Director, Post-Award, University of North Georgia Yolanda R. Carr, Director, Grants and Contracts, University of North Georgia Sommer Green, Director of Research Compliance, Office of Research and Engagement, University of North Georgia Gloria Beeco, Grants Accountant, Office of Research and Engagement, University of North Georgia GLOBAL FOR U.S. AND NON-U.S. PARTICIPANTS

EFFECTIVE COMMUNICATION STRATEGIES WHEN COLLABORATING WITH GLOBAL PARTNERS As research collaboration continues to expand globally, many of us will be communicating with people in different parts of the world. Language barriers, customs and even time zones can make effective communication difficult. We will share tips to keep in mind when partaking in cross-cultural communication and we will invite you to share your experience to help ensure that everything goes as smoothly as possible.

Kim Moreland*, Associate Vice Chancellor for Research Administration, University of Wisconsin-Madison, NCURA Distinguished Educator Eva Björndal, Head of Post-Award, King’s College of London

www.ncura.edu ➟ 21st Annual Financial Research Administration Conference

* Lead Presenter

Agenda

Tuesday March 3, 2020 47

8:15 – 9:45 am | Education Sessions DISCUSSION GROUPS continued HUMAN CAPITAL

ENGAGING AND EMPOWERING YOUR STAFF TO RECOMMEND AND IMPLEMENT PROCESS IMPROVEMENTS Utilizing the expertise, talents, skills, and abilities of your staff to implement process improvements in the workplace: A manager’s perspective.

Tonya Knutson*, Senior Finance Manager, Sponsored Financial Reporting, University of Minnesota-Twin Cities Marjorie Nebo, Senior Finance Manager, Sponsored Financial Reporting, University of Minnesota-Twin Cities HUMAN CAPITAL

IMPROVING YOUR INSTITUTION’S OPERATIONS: NCURA PEER PROGRAMS CAN ASSIST YOU Come listen, learn, and engage in discussion with NCURA Peer Reviewers about what NCURA Peer programs can offer your institution. A completely confidential peer review is conducted by a team of nationally recognized research administrators who thoroughly review the sponsored programs area. Peer reviews are conducted using standards that represent the core and vital functions of sponsored programs-regardless of size of institution. At the completion of the evaluation, the institution received a detailed report that provides valuable feedback on program strengths and areas for improvement. The feedback assists research administration in providing quality services, minimize risk, and promote a positive culture for Research Administration.

Kris A. Monahan*, Director, Sponsored Projects and Research Compliance, Providence College Mary Louise Healy, Assistant Dean, Research Administration, Kreiger School of Arts and Sciences, Johns Hopkins University

9:45 – 10:15 AM ~ NETWORKING AND REFRESHMENT BREAK THE IMPACT OF NCURA MEMBERSHIP

10:15 – 11:30 am | Education Sessions CONCURRENT SESSIONS ACCOUNTING/FINANCE

Intermediate

PLANNING FOR YOUR NEXT F&A BASE YEAR An upcoming base year can incite anxiety for what the process may entail. No need to worry! Planning ahead can help ease your way through the process. We will discuss how and when to start the ball rolling – coming up with a schedule, a communication plan, preparation activities, and getting your resources together. We will also examine who needs to be involved, and what data needs extra care.

LEARNING OBJECTIVES Participants will be able to establish a project plan, roles and responsibilities.

PREREQUISITES Participants will want basic knowledge of the F&A process.

Anne Feuerborn*, Director, MAXIMUS Higher Education, Inc. Kathleen S. Rugg, Manager, Grants & Contracts Accounting, Brigham Young University

PERSEVERANCE THROUGH DETERMINATION

San Juan, Puerto Rico

#ncurafra

* Lead Presenter

Agenda

Tuesday March 3, 2020

48

10:15 – 11:30 am | Education Sessions CONCURRENT SESSIONS continued CLINICAL/MEDICAL

Overview

CLINICAL TRIALS VS. FEDERALLY FUNDED GRANTS There are many nuances of industry sponsored clinical trials when compared to federally funded grants. The co-presenters in this session will discuss the basics of how these two types of grants are handled administratively from “cradle to grave”. They will also discuss some of the variations between different types of clinical trials.

LEARNING OBJECTIVES Participants will learn the important things to know when your PI is starting an industry sponsored project.

Participants will learn the basics of clinicaltrials.gov website.

Participants will learn the different types of funding mechanisms and how they affect your project.

PREREQUISITES None

Jeanne B. McCabe*, Senior Research Administrator, Department of Biostatistics and Medical Informatics, University of Wisconsin-Madison Keisha Sanders, Grant Accountant II, Baylor College of Medicine Renee Zook, Research Administrator, School of Medicine and Public Health, University of Wisconsin-Madison DEPARTMENTAL

Intermediate

THE IMPORTANCE OF COSTING CORRECTLY: GL CODES MATTER For budgeting and accounting purposes, it’s crucial not only to document your business expenses but to classify them properly. Department Research Administrators and Business Managers are tasked with the responsibility of directly applying charges to grant accounts. The distinction between “direct” and “indirect” costs may appear intuitive and self-explanatory. In addition, cost principles of allowability, allocability, reasonableness, & consistency should conform to sponsor, university, and ultimately Federal Uniform Guidance guidelines. All of these factors contribute to accurate and consistent reporting of sponsored expenditures for sponsors & financial statements, as well as for compliance during internal, external, & single audits. This interactive presentation will provide an overview of the importance of ensuring costs charged to sponsored awards are properly coded in the financial system. We will discuss scenarios providing the “why” of the importance. We will also discuss scenarios of improper costing and the downstream effects it may cause. We encourage attendees to bring real examples and/or questions from their respective institutions for discussion as well.

LEARNING OBJECTIVES Participants will be able to define differences between direct and indirect costs.

Participants will gain understanding of the cost principles of allowability, allocability, reasonableness and consistency.

Participants will discuss accurate coding charges to sponsored awards and the effects on compliance, reporting and audit.

PREREQUISITES Participants will want a basic understanding of sponsored award accounting.

A. Chea Smith*, Director, Cost Analysis and Reporting, Rutgers, The State University of New Jersey Natasha M. Fung, Research Grant Specialist II, Cedars-Sinai Medical Center Lamar K. Oglesby, Director, Grant & Contract Accounting, Rutgers, The State University of New Jersey

www.ncura.edu ➟ 21st Annual Financial Research Administration Conference

* Lead Presenter

Agenda

Tuesday March 3, 2020 49

10:15 – 11:30 am | Education Sessions CONCURRENT SESSIONS continued DEPARTMENTAL

Advanced

DEALING WITH BURNOUT AT THE DEPARTMENT LEVEL As we move from proposal to production, we have to be mindful that resources to perform the needed task may be scarce and limited. As leaders of our organization, we are constantly asked to do more with less and obtain the same results. This concurrent session will identify challenge areas with staff who can become burnt out in this environment.

We will offer some common sense solutions for remotivating, rejuvenating and reinvigorating staff in order to have positive outcomes on production and sustainability of the workforce. Finding a work life balance with the grant production cycle is imperative to maintain your portfolios and the health and wellbeing of your staff. These tips and tools will aid the DRA in maintaining a successful grant operation.

LEARNING OBJECTIVES Participants will be able to identify problem areas that impede the move from proposal to production of a grant.

Participants will be offered common solutions to deal with uncommon hurdles with the production cycle of a grant.

Participants will be offered tips for managers and DRAs to be alert and in tuned with the needs of your employees that could potentially hinder your granting operation.

PREREQUISITES Participants will want knowledge of Research Administration and Departmental Research Administration.

Cristi Williams*, Program Coordinator, Lundquist Institute for Biomedical Innovation at Harbor-UCLA Medical Center Helen “HP” Powell, Manager, Radiology Grants Administration, University of Washington FEDERAL

Update

ASK NIH Michelle Bulls will be answering questions submitted before the conference and questions on site from the community.

Don’t miss this opportunity to hear about what is new and being developed within the National Institute of Health’s (NIH) programs, policies, and budgets. In this comprehensive review participants will learn about the newest policy updates and how their respective institutions may be impacted. Upon completion of the presentation, participants will have the opportunity to ask questions about new and existing policies. Topics include recent and upcoming changes to NIH policy, compliance requirements, and so much more!

LEARNING OBJECTIVES Participants will be able to demonstrate an understanding of the NIH grants policy requirements.

Participants will be able to identify the source of policy requirements.

Participants will be provided with examples of current issues at NIH. PREREQUISITES Participants will want to be involved with NIH programs, policies or budgets at their institution.

Michelle Bulls*, Director, Office of Policy for Extramural Research Administration, National Institutes of Health Kristin Ta, Senior Advisor, Office of Policy for Extramural Research Administration, National Institutes of Health

PERSEVERANCE THROUGH DETERMINATION

San Juan, Puerto Rico

#ncurafra

* Lead Presenter

Agenda

Tuesday March 3, 2020

50

10:15 – 11:30 am | Education Sessions CONCURRENT SESSIONS continued FINANCIAL COMPLIANCE

Basic

RESEARCH ADMINISTRATION: EVERYTHING YOU NEED TO KNOW This presentation is designed for a new project administrator or for those not so new who are seeking advice on how to better do their work. It provides information on what to do when you receive a new grant award, what you should look for in a proposal, grant award document and budget.

It describes the importance of knowing the regulations that apply, the importance of a good “checkbook” to efficiently manage the awarded funds, and how to prepare for audits and close-outs. It will provide examples of the different documents involved to help them identify the important parts. We will talk about subawards and the importance of the monitoring process. The topics discussed will be approved proposal, grant award and budget, applicable regulations, subawards, financial management, cost sharing, T&E Reporting, preparing for close-outs, audits and reporting.

LEARNING OBJECTIVES Participants will learn what to do once they receive a new grant award, how to better manage the awarded funds and be in compliance.

Participants will know how to prepare for audits and closeout process.

PREREQUISITES None

Ana M. Feliciano*, Post-Award Coordinator , University of Puerto Rico-Rio Piedras Campus GLOBAL FOR U.S. AND NON-U.S. PARTICIPANTS

Overview

BREAKING THE SILOS BETWEEN PRE- AND POST-AWARD Research administration is all about efficiency and productivity. The less friction we put in the way of researchers whilst maintaining compliance, the more productive they can be. Even within research administration, there can be silos and interfaces that are not as cooperative or permeable as they should be. One of the most important interfaces is the Pre- to Post-Award interface. This hand-off happens after a successful grant submission and after a positive funder adjudication, when an award letter arrives at the institution requiring a research account has to be activated. At some institutions this activity can take months. Meanwhile, the researcher is anxious to begin the new project and the pre-tenure clock can be ticking. This session looks closely on the role professional development plays to make the interface between Pre- and Post-Award more efficient and productive. It also looks at the importance performance metrics around assuring an optimal membrane.

LEARNING OBJECTIVES Participants will look closely on the role professional development plays to make the interface between Pre- and Post-Award more efficient and productive.

Participants will discuss the importance performance metrics around assuring an optimal membrane.

PREREQUISITES None

Daniela Amadio*, Head of Research Grants (Pre-Award), King’s College London Robert C. Andresen, Director of Research Financial Services, Research and Sponsored Programs, University of WisconsinMadison, NCURA Distinguished Educator Eva Björndal, Head of Post-Award, King’s College of London

www.ncura.edu ➟ 21st Annual Financial Research Administration Conference

* Lead Presenter

Agenda

Tuesday March 3, 2020 51

10:15 – 11:30 am | Education Sessions CONCURRENT SESSIONS continued GLOBAL FOR U.S. PARTICIPANTS

Overview

INTERNATIONAL SUB-AWARD COMPLIANCE ISSUES Interested in contributing to the discussion around 3Cs: Compliance (non-financial), Compliance (financial) & Communication every Research Administrator needs to keep in mind for successful international collaborations?

This session will focus on issues associated with managing international sub-awards and establishing and implementing practices at the departmental & central office levels to streamline the processes and mitigate potential risks. The panel will discuss policies, procedures and share best practices which successfully work in effectively managing international sub-awards across the world.

LEARNING OBJECTIVES Participants will develop and share the skills in establishing and exploring international collaborations at the department and central office levels.

Participants will be able to identify a top 10 list of what not to do for collaborative international projects.

Participants will learn how the panel has addressed these issues.

Participants will discuss how your departments and central offices are managing these issues.

Participants will become more knowledgeable about a variety of approaches to deal with international sub-awards.

PREREQUISITES Participants will want some familiarity working with foreign entities and experience in managing sub-awards.

Elena Glatman*, Director of Sponsored Research, Office of Sponsored Programs, Simmons University Nancy Daneau, Assistant Vice Provost for Research, New York University HUMAN CAPITAL

Overview

CHANGING THE FACE OF LEADERSHIP: CAREER ADVANCEMENT IN RESEARCH ADMINISTRATION FOR MEMBERS OF UNDERREPRESENTED GROUPS Research Administration offers a wonderful career path and provides many opportunities for members of underrepresented groups, such as people of color. Yet, workplace bias and other systemic barriers to advancement still exist. Although women and people of color often are well represented in Research Administration offices in general, senior executive positions are particularly elusive. And those members of unrepresented groups who do advance to the highest levels of leadership often find that, “the farther up the ladder you go, the fewer people like you there are”. This session will examine the causes of social inequality in higher education leadership and explore strategies for members of minority groups to achieve their professional goals in the field of Research Administration. Two seasoned Research Administration executives from underrepresented groups will share some of the challenges they have faced and overcome, and also offer suggestions on how we can effectively change the face of senior leadership in our field.

LEARNING OBJECTIVES Participants will review workplace barriers, including unconscious bias, stereotyping, and “microaggressions”.

Participants will explore strategies for overcoming challenges to career advancement.

Participants will understand the importance and benefits of promoting workplace equality, not merely advancing one’s own career goals but fostering an environment that is conducive to professional growth for all.

PREREQUISITES Participants will want a strong understanding and appreciation for diversity, inclusion, equity and justice.

Suzanne M. Rivera*, Vice President for Research and Technology Management, Office of Research Administration, Case Western Reserve University Tolise C. Dailey, Training Manager, Research Development Team, Johns Hopkins University Maria A. Reyes, Executive Administrator, University of Chicago

PERSEVERANCE THROUGH DETERMINATION

San Juan, Puerto Rico

#ncurafra

* Lead Presenter

Agenda

Tuesday March 3, 2020

52

10:15 – 11:30 am | Education Sessions CONCURRENT SESSIONS continued HUMAN CAPITAL

Overview

TALENT RETENTION STRATEGIES: A CAPSTONE APPROACH TO ENCOURAGING EMPLOYEE ENGAGEMENT Capstone projects in academic program are often used to address complex problems with an ultimate goal of a scholarly product(s) through presentations or publications.

Two seasoned research administration scholars are proposing utilization of principles for capstone projects as a means of solving multiple challenges in research administration: process improvement, engagement and development of talented staff members who need to feel valued and recognized for contributing to improved procedures, systems and morale; and providing opportunities for emerging leaders in our profession to development presentations and scholarly works. The added benefit is that engaging talented professionals on this level can help with retention and combating the constant brain drain when those people move on to new challenges. Come be inspired to inspire others.

LEARNING OBJECTIVES Participants will understand the guiding tenets of capstone projects.

Participants will be able to assist staff to develop and execute project plans toward mastering new leadership skills.

PREREQUISITES Participants will want supervisory experience or a desire to advance in research administration

Marianne R. Woods*, Program Director, Master of Science in Research Administration, Krieger School of Arts and Sciences Advanced Academic Programs, Johns Hopkins University, NCURA Distinguished Educator Susan Wyatt Sedwick, Senior Consulting Specialist, Attain HUMAN CAPITAL

Overview

DEFINING THE PULSE OF RESEARCH ADMINISTRATION IN YOUR UNIT To combine or not to combine Pre- and Post-Award research administration in the unit is a hot topic. This session will focus on how to undertake a program evaluation utilizing a logic model to assess which Research Administration structure would best fit the needs of your unit – Cradle to Grave model vs Separate Pre- and PostAward services. The session will include evaluating metrics such as faculty research activities, Research Administrator to faculty ratio, sponsor compliance requirements, and assessing workflow within the unit.

LEARNING OBJECTIVES Participants will gain an in-depth understanding of each model: i) Cradle to Grave ii) Pre- and Post-Award service.

Participants will learn how to use data/metrics to determine workload/portfolio distribution.

Participants will know how to review the lifecycle of an award, the proposal development, closeout and everything in between.

Participants will learn about critical conversations in the life of a research administrator.

PREREQUISITES None

Abby Guillory*, Assistant Director for Education and Training, Research Administration, North Carolina State University David M. Schultz, Assistant Vice President, Research Administration and Finance, Rensselaer Polytechnic Institute

www.ncura.edu ➟ 21st Annual Financial Research Administration Conference

* Lead Presenter

Agenda

Tuesday March 3, 2020 53

10:15 – 11:30 am | Education Sessions CONCURRENT SESSIONS continued PREDOMINANTLY UNDERGRADUATE INSTITUTIONS Overview

POLICIES AND PROCEDURES - DO THEY FIT YOUR ORGANIZATION AND CULTURE? Believe you can and you’re halfway there.

Theodore Roosevelt Have you been tasked with creating or revising your policies and procedures? Feeling overwhelmed about where to start, how to identify what needs updating, or even how to start from scratch?

Come join us as we provide strategies and techniques to help you create, build and update strong policies and procedures!

LEARNING OBJECTIVES Participants will better understand what should be incorporated as policy and what belongs in your procedures.

Participants will learn tips on how to obtain support from colleagues as well as generate buy-in from those able to implement them.

Participants will be able to establish achievable strategies to create new policies and procedures or revise those already in place.

PREREQUISITES Participants will want to have an understanding of the award lifecycle, comprehension of applicable federal regulations and a desire to learn more about policies and procedures as well as how to create or apply them.

Clarification of what actually is a policy and what should be included in your procedures.

Identify others on your team who can assist in the process and from whom you’ll need buy-in to get them implemented.

Prioritize what areas are critical to address and determine which ones to focus on first.

Deanna B. Hendrickson*, Research Education & Outreach Manager, Office of Sponsored Programs, Georgia Institute of Technology Kristy Smith, Assistant Director, Contract and Grant Administration, Michigan State University

DISCUSSION GROUPS ACCOUNTING/FINANCE

KEY COMPONENTS OF A SERVICE CENTER ADMINISTRATION PROGRAM This service center session will cover an example of a structured service center administrative and compliance program. The session will begin with the importance of creating such a program and associated compliance related issues. The key components of a program will then be identified. General discussions will be based upon the topics of service center policies and procedures. Roles and responsibilities will be covered for all related parties. Finally, the discussion will end with the ownership of the program and decision making authority.

Robert J. Cohen*, Manager, Attain Karen Renaud, Director-Research Finance, Boston Children’s Hospital

PERSEVERANCE THROUGH DETERMINATION

San Juan, Puerto Rico

#ncurafra

* Lead Presenter

Agenda

Tuesday March 3, 2020

54

10:15 – 11:30 am | Education Sessions DISCUSSION CONCURRENT GROUPS SESSIONS continued CLINICAL/MEDICAL

THE INSIDE TRACK ON RED FLAGS FUNDER’S NOTICE This discussion group will explore common financial “red flags” that occur during award management. By incorporating the perspectives of Post-Award administrators, an auditor, and federal and nonfederal funder representatives, we’ll discuss how certain costs are viewed during and audit and learn from others on how to mitigate potential audit findings.

James A. Hulbert*, Associate Director, Financial Compliance, Patient-Centered Outcomes Research Institute (PCORI) Rochelle Ray*, Branch Chief, National Science Foundation FEDERAL

SUPPORTING THE NSF GRADUATE RESEARCH FELLOWSHIP PROGRAM AT YOUR INSTITUTION The NSF Graduate Research Fellowship Program (GRFP) recognizes and supports outstanding graduate students in NSF-supported science, technology, engineering, and mathematics disciplines who are pursuing research-based Master’s and doctoral degrees. If you are responsible for the GRFP at your institution (in any manner) or are just interested in learning more about the program, please join us for an interactive session that will include an overview of the program as well as a discussion on best practices for managing and/or overseeing the program. Please be sure to bring questions as well as any processes that have worked well for your institution.

Anthony F. Ventimiglia*, Acting Executive Director of Research Administration Services, Vice President for Research Office, Auburn University Carrie Blount, Assistant Director, Federal Awards, University of Illinois FINANCIAL COMPLIANCE

COLLABORATE TO COMPLIANCE, THE TEAM EFFORT Learn strategies for building a culture of collaboration; key factors that contribute to successful collaboration; identify allies within your institution and build teams; build on the strengths of team members to mitigate risk of non-compliance.

Charnel M. Bohn*, Assistant Director, Business Analysis and Quality Assurance, Rutgers, The State University of New Jersey Stephanie Knight, Accounting Manager II, Grant and Contract Accounting, Rutgers, The State University of New Jersey GLOBAL FOR U.S. AND NON-U.S. PARTICIPANTS BEYOND BIBLIOMETRICS (FOLLOW-UP TO CONCURRENT SESSION HELD TUESDAY AT 8:15 AM) Join us as we continue the conversation from our 8:15 am session on understanding research impact beyond quantitative analysis.

Martin Kirk*, Operations Director, Research & Innovation, King’s College London

11:30 AM – 1:00 PM ~ NETWORKING LUNCHEON

www.ncura.edu ➟ 21st Annual Financial Research Administration Conference

* Lead Presenter

Agenda

Tuesday March 3, 2020 55

1:00 – 2:15 pm | Education Sessions CONCURRENT SESSIONS ACCOUNTING/FINANCE

Basic

NAVIGATING ORGANIZATIONAL SHAKEUPS/RESTRUCTURING: IDENTIFYING INEFFICIENCIES, RISKS AND OPPORTUNITIES Navigating organizational shakeups and restructuring are important moments all parties involved. In an era of rapid change, conditions and circumstances sometimes necessitate restructuring and shaking up the old organizational culture.

This session will focus on the following:

LEARNING OBJECTIVES Participants will learn some implications of organizational change as well as strategies for a successful transition.

PREREQUISITES None

Strategies for navigating shake-ups and/or restructuring.

Implications/benefits of shake-ups and/or restructuring.

Critical anchors for surviving change.

Bridget C. Montour*, Revenue Manager, Office of Research & Sponsored Programs, University of Wisconsin-Madison Rosemary E. Madnick, Executive Director, Office of Grants and Contracts, University of Alaska Fairbanks ACCOUNTING/FINANCE

Intermediate

POST-AWARD ISSUES THAT NEED OUR ATTENTION This session will explore ten problem areas in Post-Award and share lessons learned through audits, unreimbursed costs, discussions with contracting officers and career-life experiences.

LEARNING OBJECTIVES Participants will recognize potential pit-falls in Post-Award and how to avoid them in the future.

PREREQUISITES Participants will want experience with Post-Award activities.

Pamela R. Ray*, Senior Director, Sponsored Research Administration, Florida State University Donna R. Kiley, Director Post-Award, Office of Research and Economic Development, Florida International University ACCOUNTING/FINANCE

Advanced

DATA MANAGEMENT TOOLS FOR RESEARCH ADMINISTRATORS This session will cover the basics of data management using tools within MS Excel, without having to do custom programming or needing an advanced degree in computer science. The session is especially geared towards a user with basic Excel knowledge and intended to teach participants some tools to enable them to build dynamic reports for both internal and external customers.

Participants are highly encouraged to bring a laptop with Excel to this session to reap all intended benefits and to participate in the full interactive experience.

LEARNING OBJECTIVES Participants will understand basic elements of data tables/ databases; learn to build lookup tables and use formulas to categorize and summarize data; build and modify Pivot Tables to make data work for you; walk away with handy Excel tips and tricks.

PREREQUISITES Participants will want to have basic Excel knowledge (ie, sorting/filtering data, using ranges and absolute cell references).

Gaye Bugenhagen*, Director of Administrative Services, Department of Sociology, University of Maryland, College Park Rebecca Hunsaker, Director of Research Administration, College of Behavioral & Social Sciences, University of Maryland, College Park

PERSEVERANCE THROUGH DETERMINATION

San Juan, Puerto Rico

#ncurafra

* Lead Presenter

Agenda

Tuesday March 3, 2020

56

1:00 – 2:15 pm | Education Sessions CONCURRENT SESSIONS continued CLINICAL/MEDICAL

Overview

INDUSTRY PROPOSALS AND BUDGETS This session will focus on the unique challenges and opportunities of proposals and budgets for Industry funded research through the university’s eyes and industry’s eyes.

In addition, the presenters will provide a point/counterpoint discussion on fixed price versus cost reimbursable budget.

Other issues of interest: 1. What indirect cost rate is applicable? 2. What Industry does and does not like about indirect costs. 3. Why is it important for your investigator to provide a specific statement of work? 4. Why are milestone/deliverable requirements necessary etc.? Come prepared to join in this discussion as we share the secrets of success with industry proposals and budgets.

LEARNING OBJECTIVES Participants will leave with a fundamental understanding of the challenges of industry proposals and budgets.

Participants will discuss the benefits or shortfalls of fixed price vs. cost reimbursable, depending on the project.

Participants will share tips and practices to increase their efficiencies.

PREREQUISITES Participants will want familiarity and basic understanding of industry proposals and budgets.

Scott B. Davis*, Associate Director, Research Administration Office, University of Oklahoma Health Sciences Center Cynthia Casaceli, Director, Clinical Trials Coordination Center, University of Rochester DEPARTMENTAL

Intermediate

PIECE BY PIECE: AN IN-DEPTH LOOK AT ENGAGEMENT AND IT’S IMPACT TO THE STRENGTH OF YOUR DEPARTMENT Do you like puzzles? This highly interactive, puzzlethemed presentation focuses on staff engagement and the importance of filling-in-the-blanks and connecting-the-dots while building a strong and resilient team. Join the fun and learn about real-life examples and best practices with proven engagement results.

LEARNING OBJECTIVES Participants will explore important factors to consider when examining team engagement.

Participants will take-away real-life, practical examples of team activities which have immediate impact on team engagement.

Participants will discuss habits and group norms that promote team engagement.

PREREQUISITES Participants should be a manager or a manager-in-training.

Cynthia Sanchez*, Associate Director, Geballe Laboratory for Advanced Materials (GLAM), Stanford University Diane L. Hillebrand, Grants Manager, School of Medicine & Health Sciences, University of North Dakota FEDERAL

Overview

NSF PROPOSAL PREP FOR THE FINANCIAL RESEARCH ADMINISTRATOR Designed specifically for research administrators, this session will cover the policies and procedures in the PreAward phase that impact work on the Post-Award end.

LEARNING OBJECTIVES Participants will understand the differences between the various types of NSF funding opportunities and proposal types.

Participants will understand how Pre-Award policies and procedures such as budget formulation impact Post-Award requirements.

Participants will know how the award terms and conditions affect Post-Award requirements.

PREREQUISITES None

Jean I. Feldman*, Head, Policy Office, Division of Institution and Award Support, Office of Budget, Finance & Award Management, National Science Foundation Jamie H. French, Division Director, Grants & Agreements, Office of Budget, Finance & Award Management, National Science Foundation

www.ncura.edu ➟ 21st Annual Financial Research Administration Conference

* Lead Presenter

Agenda

Tuesday March 3, 2020 57

1:00 – 2:15 pm | Education Sessions CONCURRENT SESSIONS continued FINANCIAL COMPLIANCE

Intermediate

SPONSORED RESEARCH AUDITS: UNDERSTANDING WHAT IS AT STAKE Audits are a form of validation for management and external stakeholders that the institution is in compliance with federal regulations. As research administrators, it is not only important to read, review and stay up to date with federal regulations, but to also have an understanding of what is at stake for an institution when they are quoted as non-compliant with the regulations. This session will elaborate on what compliance with federal regulations means and how compliance can be achieved, while relying on recent audits and/or investigation results.

LEARNING OBJECTIVES Participants will understand federal regulations, sponsored awards terms and conditions.

Participants will understand how sponsor research audit can affect your institution.

Participants will be able to identify ways to manage an award with compliance and audit in mind.

PREREQUISITES Participants will want to be familiar with Sponsored Research Audits.

Shameka Fahie*, Financial Administrator III, School of Civil & Environmental Engineering, Georgia Institute of Technology Amanda Snyder, Associate Director, Office of Sponsored Programs, University of Washington

FINANCIAL COMPLIANCE

Intermediate

GOING BEYOND THE BASE YEAR: HOW TO OPTIMIZE YOUR RATE CALCULATION For numerous higher education institutions, the Facilities and Administrative (F&A) rate proposal poses several challenges, most of which are directly linked to the time constraint from preparation to delivery. While the process of compiling the proposal can, indeed, be lengthy and complex, with the right tools, most universities can reduce their preparation period and instead focus on optimizing their rate calculation.

This session goes beyond the usual “checklist” of tasks that institutions should complete prior to the close of the base year and takes a deep dive into specific subtasks and approaches that will facilitate the process and improve results, such as updating your physical space inventory, cleaning up equipment location information, and identifying available data to maximize the operations and maintenance components. In addition to a review of indirect costs, the session offers strategies to review your direct cost base reviews and a how-to guide to preparing your research departments for the oft-dreaded “space survey.”

LEARNING OBJECTIVES Participants will learn best practices to enhance their F&A rate proposal process and achieve greater results.

Participants will acquire the tools necessary to prioritize and complete all proposal-related tasks in advance of their next base year to maximize the impact of their institution’s F&A rate proposal.

PREREQUISITES Participants will want a high-level knowledge of indirect cost rate proposals and their components. Experience putting together a proposal is a plus, but definitely not a requirement.

Kari Kelly*, Director, Huron Andres A. Chan, Director, Office of Financial Analysis, University of Southern California

PERSEVERANCE THROUGH DETERMINATION

San Juan, Puerto Rico

#ncurafra

* Lead Presenter

Agenda

Tuesday March 3, 2020

58

1:00 – 2:15 pm | Education Sessions CONCURRENT SESSIONS continued GLOBAL FOR U.S. AND NON-U.S. PARTICIPANTS

Overview

U.S. INSTITUTIONS WORKING WITH INTERNATIONAL SUBRECIPIENTS Expectations for oversight of subrecipients have increased under the Uniform Guidance, and institutions continue to develop and refine their processes. However, many institutions still struggle with appropriate evaluation and management of high risk subrecipients, with international collaborations. This session will focus on discussing challenges faced in working with subrecipients and best practices learned from these experiences.

LEARNING OBJECTIVES Participants will gain insight on the requirements for risk assessment and monitoring of subrecipient under 2 CFR 200.

Participants will understand the documentation obligations for monitoring.

Participants will explore ways to minimize the burden of the requirements.

PREREQUISITES None

Rashonda Harris*, Director, Post-Award Operations, Office of Finance Grants & Contracts, Emory University Jill M. Mortali, Director, The Office of Sponsored Projects, Dartmouth College Susan W. Sedwick, Senior Consulting Specialist, Attain GLOBAL FOR NON-U.S. PARTICIPANTS

Overview

VISITORS ON CAMPUS: COMPLIANCE BEST PRACTICES Hosting foreign visitors enhances an institution’s global engagement by adding a diversity of perspectives to institutional programming and research. This overview session will discuss the benefits of well-planned visits, strategies for preparing for the visits, and compliance considerations to be aware of to ensure the visit is successful for the visitor and for the institution. The session will focus particularly on the research administrator’s role and contribution to the process. The presenters will provide departmental and small institution perspectives.

LEARNING OBJECTIVES Participants will be able to identify best practices in hosting foreign visitors.

Participants will be able to identify compliance considerations in hosting foreign visitors.

Participants will be able to identify practical tips and questions research administrators should raise when preparing to host foreign visitors.

Participants will share strategies and processes for encouraging communication across institutional units related to the visit.

PREREQUISITES None

Kris A. Monahan*, Director, Sponsored Projects and Research Compliance, Providence College Robyn B. Remotigue, Director, Office of Research Services, School of Public Health, University of North Texas Health Science Center at Fort Worth

www.ncura.edu ➟ 21st Annual Financial Research Administration Conference

* Lead Presenter

Agenda

Tuesday March 3, 2020 59

1:00 – 2:15 pm | Education Sessions CONCURRENT SESSIONS continued HUMAN CAPITAL

Overview

LEARNING OBJECTIVES Participants will learn basic Lean terminologies and principles that can be used when crafting process improvements in a research administration setting.

Participants will observe lessons learned from the Indiana University Department of Medicine’s efforts in using Lean for process improvement, allowing them to incorporate these in their own process improvement activities.

LEAN ON ME: USING LEAN STRATEGIES TO IDENTIFY, DESIGN, AND IMPLEMENT PROCESS IMPROVEMENTS IN A RESEARCH ADMINISTRATION SETTING Research administration is a constantly changing enterprise – and, as with all facets of higher education, research administrators are often asked to do more with less resources. In response to these challenges, beginning in 2017, the Indiana University Department of Medicine undertook a process improvement initiative, using Lean principles, aiming to increase federal funding and staff satisfaction, while decreasing administrative burden.

This session will discuss these efforts, along with lessons learned, to provide a potential framework research administrator managers can use when working towards process improvement.

PREREQUISITES None

Laura Bergdoll*, Associate Director - Financial Management, Department of Medicine, Indiana University School of Medicine Rebecca R. Reynolds, Director, Medicine Research, Indiana University-Purdue University Indianapolis

DISCUSSION GROUPS DEPARTMENTAL

PROPOSAL SUBMISSIONS: ARE YOU THERE YET? Are your PIs chronically late with submitting their proposals? How do you deal with it? This discussion group is geared at uncovering solutions to late proposal submissions, particularly at a departmental level. In addition, we will share and discuss different institutional policies. We will also focus on solutions that can be brought about by departmental and central offices in collaboration, such as procedural adjustments and improved planning and communication. Finally, we will brainstorm coping mechanisms that all of us can use to alleviate the stress of a deadline-driven Pre-Award job.

Nadija Mujagic*, Associate Director, Pre-Award Services, Boston University Rady Rogers, Assistant Director for Research Administration and Finance, John A. Paulson School of Engineering and Applied Sciences, Harvard University

PERSEVERANCE THROUGH DETERMINATION

San Juan, Puerto Rico

#ncurafra

* Lead Presenter

Agenda

Tuesday March 3, 2020

60

1:00 – 2:15 pm | Education Sessions DISCUSSION GROUPS continued FEDERAL

NSF MAJOR FACILITIES This session will provide an overview of challenges and opportunities associated with management of the IceCube Neutrino Observatory project including NSF budgeting, reporting requirements, subcontracting, and business system reviews (BSR). IceCube, the worldís largest neutrino detector located at the South Pole, is a Major Research Equipment and Facilities Construction (MREFC) project. The collaboration that operates the IceCube Observatory is composed of over 300 researchers from 52 institutions in 12 countries. NSF recognized IceCube for project management best practices.

Catherine Vakhnina*, Program Manager, Wisconsin IceCube Particle Astrophysics Center (WIPAC), University of Wisconsin-Madison Kristina Chorlton, Center Administrator, Wisconsin IceCube Particle Astrophysics Center, University of Wisconsin-Madison FINANCIAL COMPLIANCE

COMPENSATION/EFFORT REPORTING INTERNAL CONTROLS THROUGHOUT THE LIFECYCLE OF A SPONSORED PROJECT The Uniform Guidance emphasizes the importance of strong internal controls, especially in the documentation of personnel costs. Research Administrators interface with personnel costs throughout the lifecycle of a sponsored project, so considerations for internal control development should focus on more than just the after-the-fact reporting process. This session will explore compensation/effort reporting internal controls with a focus on all aspects spanning from the initial development of a proposal through closeout of a sponsored award. The Uniform Guidance requirements for the documentation of personnel costs will be briefly covered as a background, so that a deeper focus can be examined on key areas that deserve attention when developing and testing internal controls, applicable to both traditional effort reporting and alternative methodologies. In addition to discussing the findings of the NCURA Collaborate Compensation/Effort Reporting Community survey results on this topic, participants are asked to please bring their experiences and questions to share.

Ashley E. Whitaker*, Associate Director, Office of Sponsored Programs, Nova Southeastern University Elena M. Cruse, Research Business Partner, Children’s Mercy Hospital HUMAN CAPITAL

AUTHENTIC LEADERSHIP: CHALLENGES AND SOLUTIONS Session participants will engage in a candid discussion about the challenges and solutions of achieving authentic leadership in a research administration environment. Presenters will open the session by offering a working definition of the concept of authentic leadership, and follow with real-world (anonymized) examples of instances of authentic leadership failure and attainment. Discussion will draw on the experiences of participants, and explore best practices for authentic leadership and overcoming challenges.

Danielle Felix*, Assistant Director of Renewable And Sustainable Energy Institute (RASEI), University of Colorado Boulder Carlyla Dawson, HR Manager, Renewable and Sustainable Energy Institute, University of Colorado Boulder

www.ncura.edu ➟ 21st Annual Financial Research Administration Conference

* Lead Presenter

Agenda

Tuesday March 3, 2020 61

1:00 – 2:15 pm | Education Sessions DISCUSSION GROUPS continued HUMAN CAPITAL

ONBOARDING (FOLLOW-UP TO CONCURRENT SESSION HELD TUESDAY AT 8:15 AM) As a follow-up to the concurrent session at 8:15 am, we will further discuss how the culture of your department/office plays an important role in keeping your new staff satisfied and engaged. Onboarding staff requires more than just training on tasks, it is a multimodal approach. This discussion will cover tips and strategies for ensuring new staff are set up for success and to increase retention.

Stephanie Bair, Business Manager, Sheikh Zayad Institute for Pediatric Surgical Innovation, Business Office Children’s National Medical Center PREDOMINANTLY UNDERGRADUATE INSTITUTIONS

POLICIES AND PROCEDURES: DO THEY FIT YOUR ORGANIZATION AND CULTURE? (FOLLOW-UP TO CONCURRENT SESSION HELD TUESDAY AT 10:15 AM) Deanna B. Hendrickson*, Research Education & Outreach Manager, Office of Sponsored Programs, Georgia Institute of Technology Kristine Smith, Assistant Director, Contract and Grant Administration, Michigan State University

2:15 – 2:45 PM ~ NETWORKING AND REFRESHMENT BREAK THE IMPACT OF NCURA MEMBERSHIP

2:45 – 3:45 pm | Education Sessions CONCURRENT SESSIONS CLINICAL/MEDICAL

Overview

FINANCIAL MANAGEMENT OF NIH-SUPPORTED CLINICAL TRIALS You have entered the world of NIH multi-center clinical trials and are wondering how best to facilitate its financial management without compromising productivity and scientific integrity and ensuring all sites are paid on time. Do you hear terms like “capitation”, “fixed-price”, “costreimbursable”, “and hybrid model” and wonder which one you should use? This session will provide an overview of the different financial setups for NIH-supported multi-center clinical trials and provide participants with pros and cons of each and for which studies they are best suited. Participants will also receive practical tools and best practices to facilitate their financial management.

LEARNING OBJECTIVES Participants will understand the different financial setups for NIH supported multi-center clinical trials.

PREREQUISITES None

Adriel Villegas-Estrada*, Assistant Director, Research Administration, Weill Cornell Medicine Amy Loverde, Administrator, Clinical, University of Maryland, Baltimore

PERSEVERANCE THROUGH DETERMINATION

San Juan, Puerto Rico

#ncurafra

* Lead Presenter

Agenda

Tuesday March 3, 2020

62

2:45 – 3:45 pm | Education Sessions CONCURRENT SESSIONS DEPARTMENTAL

Advanced

ADMINISTRATION: WHAT IT MEANS TO BE A STRATEGIC PARTNER Numbers and systems are friends, not foes. How do you best create the tools using financials and systems to support and enhance your role as the administrator for a department? We have a diverse portfolio of tools and partnering resources at our finger tips, but the trick is understanding how best to use the tools, build the network and understand the person/people - the psychology - so that you are the leader people trust and turn to vs. run away from.

LEARNING OBJECTIVES Participants will learn about systems, forecasting, project management - how they can be used - pointers at a higher level.

Participants will understand how to build networks - peer to peer, to higher up, through professional networks, etc. why is it important to build the bridges and then maintain them. These can also be your partners for the difficult conversations.

Participants will understand the person/people you are working with. The trick in any conversation/negotiation is to have full awareness and watch the conversation in all its forms - verbal and non-verbal – to understand the person and pull out the strengths.

PREREQUISITES Participants will want a basic understanding of systems and financial reporting.

Randi E. Wasik*, Director, Program in Molecular Medicine, Floyd College of Medicine, University of Massachusetts Medical School Charmaine Wilson, Director, Research Services/Interim Director, CNR Biosciences Laboratory, The University of Texas Health Science Center at Houston FEDERAL

Update

SAM.GOV TRANSITION TO UNIQUE ENTITY IDENTIFIER - UEI

By December 2020, all entities doing business with the federal government will be transitioned to a new Unique Entity Identifier or UEI. This session will provide a Federal Demonstration Partnership (FDP) update on SAM.gov’s plans to move away from DUNS numbers, how the UEI will be determined and used, and the next steps for federal agencies. This session will focus on how FDP is working with SAM.gov on the change to UEI.

LEARNING OBJECTIVES Participants will learn what the Unique Entity Identifier is.

Participants will learn how SAM.gov plans to transition to UEI. Participants will learn about the FDP’s interactions with GSA and SAM.gov.

PREREQUISITES Participants will want familiarity with SAM.gov registration and DUNS numbers.

Mark A. Sweet*, Director of Grant and Contract Services, University of Wisconsin-Madison

www.ncura.edu ➟ 21st Annual Financial Research Administration Conference

* Lead Presenter

Agenda

Tuesday March 3, 2020 63

2:45 – 3:45 pm | Education Sessions CONCURRENT SESSIONS continued FEDERAL

Update

COGR AND FDP WASHINGTON UPDATE This session will cover the latest happenings in Washington, DC that impact research institutions, including the current activities of the Council on Governmental Relations and the Federal Demonstration Partnership. Topics will include legislation, budgets, regulations, reviews, policies, guidance and other activities of interest to the research administration community.

LEARNING OBJECTIVES Participants will be familiar with the status of current or pending legislation, regulations, policies and other federal activities of direct concern to Research Administrators.

Participants will be able to identify authoritative sources of information on current happenings in Washington, DC that impact research administrators.

PREREQUISITES Participants who work with Federal Agencies and are impacted by pending Federal Regulations will want to attend. A general understanding of these regulations is helpful.

David R. Kennedy*, Director, Costing Policy, Council on Governmental Relations (COGR) Kim Moreland*, Associate Vice Chancellor for Research Administration, University of Wisconsin – Madison, NCURA Distinguished Educator FINANCIAL COMPLIANCE

Basic

COLLABORATIVE COMPLIANCE: HOW TO MAINTAIN A HEALTHY RESEARCH ADMINISTRATION COMPLIANCE CULTURE This session will enable research administrators to identify and describe the key stakeholders and the various components needed throughout the research administration life cycle. We will discuss how when these elements are properly aligned they create an impactful, collaborative culture that supports and may even embrace a compliance mindset throughout an institutions ecosystem.

LEARNING OBJECTIVES Participants will be able to identify and describe stakeholders, roles and accountability.

Participants will be able to assess where key controls reside throughout the life cycle that support overall compliance.

Participants will know how to measure and demonstrate impact as you embark upon changing or improving institutional compliance culture.

PREREQUISITES None

This session will address, from a life cycle perspective: Training & Education Research Administration Structures Communication Strategy Roles & Responsibilities Managing Site Visits Marchon Jackson*, Director of Finance and Administration, Sponsored Program Accounting & Compliance (SPAC), University of Maryland, College Park Andrea Zakrzewski, Associate Director for Grants Management, Office for Sponsored Research, Northwestern University

PERSEVERANCE THROUGH DETERMINATION

San Juan, Puerto Rico

#ncurafra

* Lead Presenter

Agenda

Tuesday March 3, 2020

64

2:45 – 3:45 pm | Education Sessions CONCURRENT SESSIONS continued FINANCIAL COMPLIANCE

Advanced

MANAGING FOR FOREIGN INFLUENCE ACROSS THE INSTITUTION There are increasing concerns over the potential influence of foreign states on U.S. academia, particularly as it pertains to international collaborations in research. As the landscape continues to evolve, higher education institutions will be increasingly pressured to provide full disclosure of foreign involvement at all levels of the organization, ensuring flawless coordination of personnel, students, grants and data across many offices and roles.

LEARNING OBJECTIVES Participants will gain a greater understanding of the impact and risks that foreign influence presents to an institution.

Participants will learn strategies to identify, mitigate and manage the risks related to foreign influence.

Participants will acquire the knowledge necessary to help them improve their vetting and reporting process.

PREREQUISITES Participants should have basic understanding of sponsored research administration.

Roseann L. Luongo*, Manager, Huron Jeremy A. Forsberg, Assistant Vice President of Research, Office of Research, The University of Texas at Arlington Jeffrey A. Silber, Senior Director, Sponsored Financial Services, Cornell University GLOBAL FOR U.S. AND NON-U.S. PARTICIPANTS

Overview

RUNNING RESEARCH OPERATIONS WHEN YOU ARE SPONSOR AND RECIPIENT: CHALLENGES AND OPPORTUNITIES In those countries with newly developing research agendas, waiting to see fully organized federal research funding agencies, the University becomes the relevant funding body for competitive research grants. Running a single research office wherein the staff are there to both facilitate traditional Pre- and Post-Award functions – while simultaneously acting as a sponsor – has challenges and benefits! This session will expand on not only those challenges in developing and managing a funding program from both sides, but articulate on some of the benefits of enjoying the streamlining of that process. The American University of Sharjah is a case-study example reflecting many institutions across many Asian countries and the MENA region.

LEARNING OBJECTIVES Participants will be able to more clearly define research office roles and responsibilities.

Participants will be able to identify when and how to act as research office v. sponsor.

Participants will be able to develop a new appreciation for the workload of the sponsor.

Participants will learn to articulate needs as a research office to a sponsor.

PREREQUISITES None

Kathleen Furr*, Director of Research Administration & Services, American University of Sharjah Ingrid M. Liekens, Senior Specialist, Research Grant, Zayed University

www.ncura.edu ➟ 21st Annual Financial Research Administration Conference

* Lead Presenter

Agenda

Tuesday March 3, 2020 65

2:45 – 3:45 pm | Education Sessions CONCURRENT SESSIONS continued GLOBAL FOR U.S. AND NON-U.S. PARTICIPANTS

Overview

NCURA GLOBAL FELLOWSHIP PROGRAMS The NCURA Global Fellowship program, with host institutions in 37 countries is now in its eleventh year.

Originating as a collaborative program between NCURA and the European Association of Research Managers and Administrators (EARMA), the program is now connected to several additional research administration associations, as well as a stand-alone program for NCURA. Since its inception, the NCURA Global Fellowship Program has had two underlying objectives: (i) the training of research administrators, and (ii) enhancing global research collaboration. These programs are intended to reduce barriers to global research administration and create an administrative framework conducive to global research collaboration. There is an ever increasing amount of global research collaboration, and these Fellowships aim to create a pool of individuals who are able to interpret a multitude of various sponsor requirements and assist their institution with administrative compliance on a global scale – from application submission through financial reporting and closeout. Find out more about these opportunities for research administrators to travel to another country’s research organization and to immerse themselves in a program of mutual learning and knowledge exchange.

LEARNING OBJECTIVES Participants will understand the details of the NCURA Global Fellowship Opportunities including how to apply and/or get involved as a host institution.

PREREQUISITES None

Kathleen Larmett*, Executive Director, National Council of University Research Administrators HUMAN CAPITAL

Overview

UNDERSTANDING UNIVERSITY CORE FACILITIES This session will provide attendees with an understanding of university core facilities, their potential impact on funding, and an overview of operational considerations.

LEARNING OBJECTIVES Participants will have a functional understanding of core facilities.

Participants will have an understanding of the impact of cores on the research enterprise.

Participants will have an overview of topics to consider for the effective management and oversight of cores.

PREREQUISITES None

Jonathan Phipps*, Director, Core Facilities, Office of Research & Engagement, University of Tennessee Cynthia Kane, Assistant Vice President, Office of Research and Sponsored Programs, Lehigh University

PERSEVERANCE THROUGH DETERMINATION

San Juan, Puerto Rico

#ncurafra

* Lead Presenter

Agenda

Tuesday March 3, 2020

66

2:45 – 3:45 pm | Education Sessions CONCURRENT SESSIONS continued HUMAN CAPITAL

Overview

PUBLIC SPEAKING: HOW I OVERCAME MY FEAR AND FOUND MY VOICE Fear of public speaking is a common form of anxiety. It can range from being too nervous to speak up in a staff meeting to paralyzing panic at the thought of a speech or presentation. Therefore many people avoid public speaking situations altogether. But you do not have to be completely fearless to be a good public speaker. You just have to learn how to manage your fear. This session will explore the reasons behind the anxiety and provide some tips on how to overcome it.

LEARNING OBJECTIVES Participants will be able to differentiate between the 4 types of public speaking.

Participants will be able to determine what feeds your fear.

Participants will learn how to dial down your fears and manage anxiety.

Participants will gain tips and tricks to build your self confidence.

PREREQUISITES None

Robin Leibert*, Business Manager, Research Administration and Engagement, University of West Florida Tapiana Wray, Pre-Award Grant & Contract Manager, Office of Grants & Contracts Administration, University of Alaska Fairbanks PREDOMINANTLY UNDERGRADUATE INSTITUTIONS Overview

HOW TO EFFECTIVELY HELP-NOT-HINDER FACULTY IN TEACHING-CENTRIC PUIs, AS DESCRIBED THROUGH THE LENS OF THE FACULTY PERSPECTIVE Institutional classification and type affect faculty life. The culture and expectations of institutions of every type and size offer pros and cons, from resource availability to clarity of expectations to spoken and unspoken pressures.

Small PUIs focused on teaching, often referred to as “comprehensives,” are the least studied institutional environment. Using in-depth qualitative data focused on faculty life in these environments can offer leadership and OSP staff insight into what has helped-and what has hindered- the journey to tenure. Data promises to identify the resources, programs, etc., faculty perceived to have helped and hindered their overall professional experience.

LEARNING OBJECTIVES Participants will have an enhanced understanding of the lived experience of faculty seeking tenure in teaching-centric PUIs. Participants will have increased knowledge of what has helped – and why – from the faculty perspective.

Participants will have a better awareness of the impact of post-baccalaureate socialization and early career socialization on faculty perspective.

Participants will have enhanced comprehension of why “that ideal institution does not exist” in the eyes of many faculty, regardless of their passion – or disdain – for current circumstances.

Participants will have an advanced ability to access and understand data that can guide OSP and (potentially leadership) toward informed decisions that benefit faculty and the institutions and students they serve.

PREREQUISITES Participants will want some familiarity with the PUI environment.

Erica L. Goff*, Director of Grants and Contracts, Grants and Research, Northern Michigan University Shannon Sutton, Director, Sponsored Projects, Western Illinois University

www.ncura.edu ➟ 21st Annual Financial Research Administration Conference

* Lead Presenter

Agenda

Tuesday March 3, 2020 67

2:45 – 3:45 pm | Education Sessions DISCUSSION GROUPS ACCOUNTING/FINANCE

POST-AWARD ISSUES THAT NEED OUR ATTENTION (FOLLOW-UP TO CONCURRENT SESSION HELD TUESDAY AT 1:00 PM) This discussion will further explore ten problem areas in Post-Award and share lessons learned through audits, unreimbursed costs, discussions with contracting officers and career-life experiences.

Pamela R. Ray*, Senior Director, Sponsored Research Administration, Florida State University Donna R. Kiley, Director Post-Award, Office of Research and Economic Development, Florida International University CLINICAL/MEDICAL

INDUSTRY PROPOSALS AND BUDGETS (FOLLOW-UP TO CONCURRENT SESSION HELD TUESDAY AT 1:00 PM) As a follow-up to the concurrent session at 1:00 pm, this discussion will focus on the unique challenges and opportunities of proposals and budgets for Industry funded research through the university’s eyes and industry’s eyes. In addition, the presenters will provide a point/counterpoint discussion on fixed price versus cost reimbursable budget.

Scott B. Davis*, Associate Director, Research Administration Office, University of Oklahoma Health Sciences Center Cynthia Casaceli, Director, Clinical Trials Coordination Center, University of Rochester DEPARTMENTAL

STRENGTH IN NUMBERS: FOSTERING COLLABORATIONS ACROSS THE INSTITUTION AT THE DEPARTMENTAL LEVEL One of the most commonly used phrases in departmental research administration is, why reinvent the wheel? In this discussion we will discuss the benefits of interdepartmental collaboration with respect to establishing and encouraging best practices.

Caitlin M. McCarty*, Research Finance Manager, Department of Neurology Research, Brigham & Women’s Hospital Nicole Nichols, Research Administrator, Washington University in St. Louis FINANCIAL COMPLIANCE

NOT RISKY BUSINESS: MINIMIZING THE RISKS INVOLVED WITH COST TRANSFERS ON SPONSORED PROJECTS Cost transfers are always on the list of items that auditors and sponsors look at very closely. While prevention is key, it’s just not always possible. In this session, we’ll explore the basics of cost transfers and ways to mitigate the inherent risks in the process. We’ll look at all aspects from prevention to monitoring, and most importantly, documentation.

Diana Weber*, Assistant Director, Post-Award, University of Kansas Medical Center Patrice Cavlovich, Grant and Research Accountant II, Children’s Mercy Hospital

PERSEVERANCE THROUGH DETERMINATION

San Juan, Puerto Rico

#ncurafra

* Lead Presenter

Agenda

Tuesday March 3, 2020

68

2:45 – 3:45 pm | Education Sessions DISCUSSION GROUPS continued GLOBAL FOR U.S. AND NON-U.S. PARTICIPANTS

BREAKING THE SILOS BETWEEN PRE- AND POST-AWARD (FOLLOW-UP TO CONCURRENT SESSION HELD TUESDAY AT 10:15 AM) Research administration is all about efficiency and productivity. The less friction we put in the way of researchers whilst maintaining compliance, the more productive they can be. Even within research administration, there can be silos and interfaces that are not as cooperative or permeable as they should be. One of the most important interfaces is the Pre- to Post-Award interface. This hand-off happens after a successful grant submission and after a positive funder adjudication, when an award letter arrives at the institution requiring a research account has to be activated.

At some institutions this activity can take months. Meanwhile, the researcher is anxious to begin the new project and the pre-tenure clock can be ticking. This discussion looks closely on the role professional development plays to make the interface between Pre- and Post-Award more efficient and productive. It also looks at the importance performance metrics around assuring an optimal membrane.

Daniela Amadio*, Head of Research Grants (Pre-Award), King’s College London Robert C. Andresen, Director of Research Financial Services, Research and Sponsored Programs, University of Wisconsin-Madison, NCURA Distinguished Educator HUMAN CAPITAL

PROJECT MANAGEMENT: LEADING A TEAM Have you ever been challenged to lead a large, time consuming project and didn’t know where to begin? Leading a project or a team can be a difficult task especially with people that are not your direct reports. Other challenges may arise if you are asked to take charge of a project that is already underway. How do you maximize everyone’s performance while keeping your team engaged and on top of their “day to day” responsibilities? Join our discussion to learn best practices, skills and strategies to keep the project moving forward.

Danielle Brown*, Director, Sponsored Programs Administration, University of Maryland, Baltimore Fannie R. Walton, Senior Administrative Director, Georgetown Howard University Center for Clinical and Translational Science, Georgetown University Medical Center

3:45 PM ~ CONFERENCE ADJOURNS

www.ncura.edu ➟ 21st Annual Financial Research Administration Conference

* Lead Presenter

Workshops and Senior Level Forums

Wednesday March 4, 2020

WORKSHOPS and SENIOR LEVEL FORUMS

70

Wednesday March 4, 2020

at-a-glance 7:30 am – 5:00 pm

WORKSHOP CONCIERGE

8:30 am – 5:00 pm

FULL DAY WORKSHOPS 72

WORKSHOP 1 MANAGING SPONSORED AWARDS FROM A DEPARTMENTAL PERSPECTIVE PROGRAM LEVEL: Intermediate

73

WORKSHOP 2 EXCEL TIPS FOR PRE- AND POST-AWARD ADMINISTRATORS PROGRAM LEVEL: Intermediate

74

WORKSHOP 3 CERTIFIED FINANCIAL RESEARCH ADMINISTRATOR BODY OF KNOWLEDGE REVIEW SESSION PROGRAM LEVEL: Intermediate

8:30 am – 12:00 pm

MORNING HALF DAY WORKSHOPS 75

76

77

WORKSHOP 4 TIME MANAGEMENT: GOING FROM FRAZZLED TO FOCUSED PROGRAM LEVEL: Basic

78

WORKSHOP 5 RESEARCH ADMINISTRATION CAREER PLANNING: TAKING A PERSONAL INVENTORY PROGRAM LEVEL: Basic

79

WORKSHOP 6 LIFE-CYCLE OF T32 AWARDS: NUTS AND BOLTS OF DEVELOPMENT TO CLOSEOUT PROGRAM LEVEL: Intermediate

80 81

WORKSHOP 7 THE YEAR IN AUDITS: WHAT’S NEW, WHAT’S HOT PROGRAM LEVEL: Intermediate

82

WORKSHOP 8 FOSTERING A COMPLIANCE MINDSET – BUILDING INTERNAL CONTROLS PROGRAM LEVEL: Overview

83

WORKSHOP 9 INTRODUCTION TO POST-AWARD PROGRAM LEVEL: Basic

WORKSHOP 10 RESEARCH DEVELOPMENT STRATEGIES FOR BUILDING INDIVIDUAL AND INSTITUTIONAL CAPACITY PROGRAM LEVEL: Intermediate

www.ncura.edu ➟ FRA/PRA Workshop Day ➟ #ncurafra #ncurapra

84

WORKSHOP 11 SERVICE CENTERS: THE NOT SO SIMPLE BASICS PROGRAM LEVEL: Overview WORKSHOP 12 COMPLIANCE WITH NIH GRANTS – HOW TO MITIGATE THE RISKS WHEN BEING A FOREIGN RECIPIENT OF U.S. FUNDING PROGRAM LEVEL: Basic SENIOR LEVEL FORUM 13 EMPOWERING AND LEADING OUR HUMAN CAPITAL THROUGH ORGANIZATIONAL TRANSITIONS AND CHANGE MANAGEMENT PROGRAM LEVEL: Advanced

* Lead Presenter

WORKSHOPS and SENIOR LEVEL FORUMS

Wednesday March 4, 2020 71

at-a-glance 9:00 am – 12:00 pm

NCURA EDUCATION SCHOLARSHIP FUND - HOW TO APPLY

1:30 – 5:00 pm

AFTERNOON HALF DAY WORKSHOPS 85

WORKSHOP 14 FINANCIAL POST-AWARD ESSENTIALS PROGRAM LEVEL: Overview

86

WORKSHOP 15 BUSINESS COMMUNICATION: BEYOND THE EXCHANGE OF WORDS PROGRAM LEVEL: Overview

87

88

WORKSHOP 16 MIND THE GAP: WOMEN IN LEADERSHIP PROGRAM LEVEL: Basic WORKSHOP 17 FOUNDATIONS OF PARTNERING WITH FEDERAL SPONSORS: AN OVERVIEW OF WORKING WITH OUR FEDERAL SPONSORS PROGRAM LEVEL: Overview

89

90

91

WORKSHOP 18 THE NEW ERA OF EFFORT REPORTING: IT’S ALL ABOUT INTERNAL CONTROLS PROGRAM LEVEL: Intermediate

92

WORKSHOP 19 THE BRIDGE OVER TROUBLED PROPOSALS, HOW TO MAKE IT WORK PROGRAM LEVEL: Intermediate

93

WORKSHOP 20 USING THE FEDERAL AUDIT CLEARINGHOUSE (FAC) DATA TO IMPROVE EFFICIENCY IN SUBRECIPIENT MONITORING PROGRAM LEVEL: Intermediate

94

WORKSHOP 23 EFFECTIVE MANAGEMENT PRACTICES PROGRAM LEVEL: Intermediate

95

SENIOR LEVEL FORUM 24 FROM MILD TO MADDENING: COMMON ISSUES FOR SENIOR RESEARCH ADMINISTRATORS PROGRAM LEVEL: Advanced

PERSEVERANCE THROUGH DETERMINATION

San Juan, Puerto Rico

WORKSHOP 21 POST-AWARD AWARENESS FOR THE PRE-AWARD ADMINISTRATOR PROGRAM LEVEL: Basic WORKSHOP 22 THE DIFFERENT CHARACTERISTICS OF CONTRACTS AND THE ART OF NEGOTIATION PROGRAM LEVEL: Intermediate

WORKSHOPS

Wednesday March 4, 2020

72

8:30 am – 5:00 pm FULL DAY WORKSHOP 1 MANAGING SPONSORED AWARDS FROM A DEPARTMENTAL PERSPECTIVE PROGRAM LEVEL: Intermediate Research administration responsibilities can be overwhelming. The process of putting a proposal together, managing a grant once funded and properly closing it out at the end are the day-to-day activities that department administrators struggle with. This workshop will focus on topics that influence the daily operations of managing sponsored awards from a Post-Award perspective. It is designed for departmental research administrators and will provide them with an overview of the significant principles and issues surrounding proposals, grants and contracts. Topics will include budget development, identifying key personnel, sub-recipient vs. vendor and cost sharing. This workshop will also focus on preparing financial status reports, account reconciliation, closeout of awards, cost transfers, allowable and allocable costs and much more.

LEARNING OBJECTIVES Participants will understand how Pre-Award activities impact Post-Award management.

Participants will understand the different facets of Post-Award management.

Participants will leave with tips and tools to assist in managing awards.

Tamara V. Hill* Associate Vice President, Shared Services, Morehouse School of Medicine

Jennifer J. Crockett Assistant Vice Provost, Research Accounting & Financial Compliance, University of Massachusetts Boston

Tonya Foster Interim Director, Emory University

PREREQUISITES Participants will want a basic understanding of Uniform Guidance, and 1 or more years Research Administration experience.

www.ncura.edu ➟ FRA/PRA Workshop Day ➟ #ncurafra #ncurapra

* Lead Presenter

WORKSHOPS

Wednesday March 4, 2020 73

8:30 am – 5:00 pm FULL DAY WORKSHOP 2 EXCEL TIPS FOR PRE- AND POST-AWARD ADMINISTRATORS PROGRAM LEVEL: Intermediate Do you use Excel to analyze and report data? If so, you’ve probably asked yourself, “Why does this take so long? Is there a better way?” If you use Excel for budget development, you have probably asked yourself, “How can I develop a budget more quickly/accurately?” In this intermediatelevel session, you will learn how to use tables, formulas, pivot tables, and conditional formatting that will help you navigate your path to success.

This is an all-day interactive session and participants should bring their own laptop to the workshop. Excel templates will be provided via a cloud drive on the day of the workshop for participants to use as they followalong. Adequate time will be provided for participants to personalize the templates for use back home.

LEARNING OBJECTIVES Participants will be able to examine formatting conventions that effectively communicate key information and/or highlight variances in reports.

Participants will learn to use/practice select Excel functions, formulas, and tools for reporting.

Participants will learn to use/practice select Excel functions, formulas, and tools for budgeting.

Participants will examine formatting conventions that effectively communicate key information and/or highlight variances in budgets.

Diane M. Meyer* Project Management Specialist, Office of Sponsored Programs, Iowa State University

Gaye Bugenhagen Director of Administrative Services, Department of Sociology, University of Maryland, College Park

Rebecca Hunsaker Director of Research Administration, College of Behavioral & Social Sciences, University of Maryland, College Park

PREREQUISITES Participants should have a basic knowledge of Excel formulas and functions. Participants should bring their own laptop to the workshop.

PERSEVERANCE THROUGH DETERMINATION

San Juan, Puerto Rico

* Lead Presenter

WORKSHOPS

Wednesday March 4, 2020

74

8:30 am – 5:00 pm FULL DAY WORKSHOP 3 CERTIFIED FINANCIAL RESEARCH ADMINISTRATOR BODY OF KNOWLEDGE REVIEW SESSION PROGRAM LEVEL: Intermediate This workshop will provide participants with a review of the CFRA Body of Knowledge, intended primarily for persons who plan to take the CFRA Exam and wish to have a better understanding of the exam in order to study effectively. This workshop is being offered by the Research Administrator’s Certification Council (RACC) in collaboration with NCURA, and is endorsed by RACC. LEARNING OBJECTIVES Participants will understand the major sections of the CFRA Exam.

Participants will be able to diagnose content areas of personal strength and weakness.

Participants will develop a personal study plan.

Robin Lewis* Director, Office of Grants & Sponsored Programs, Georgia College & State University

Georgetta M. Dennis Accountant III, Samuel Ginn College of Engineering, Department of Chemical Engineering, Auburn University

PREREQUISITES Participants will need at least two years of experience.

Taking the exam requires a B.A./B.S. degree and three years of experience in Research Administration.

www.ncura.edu ➟ FRA/PRA Workshop Day ➟ #ncurafra #ncurapra

* Lead Presenter

WORKSHOPS

Wednesday March 4, 2020 75

8:30 am – Noon MORNING HALF DAY WORKSHOP 4 TIME MANAGEMENT: GOING FROM FRAZZLED TO FOCUSED PROGRAM LEVEL: Basic “Time isn’t the main thing. It’s the only thing.” – Miles Davis No matter who you are, you only have 24 hours in a day! Have you ever looked at someone and wondered how they can get so much accomplished in a single day? Are you often challenged or overwhelmed by your work-load and struggle to find a work/life balance? Come join us as we walk through the following topics and provide assessment tools, hands-on activities as well as tips on how to go from frazzled to focused!

Time management self-assessment Understanding what you do – your position, tasks and expectations Goal setting and prioritization – where are you going and what needs to be done to get there Managing interruptions and procrastination – determining priority of tasks and preparing for the unexpected Scheduling and self-care – be realistic, set limits and find balance

Deanna B. Hendrickson* Research Education & Outreach Manager, Office of Sponsored Programs, Georgia Institute of Technology

Calleen Roper Assistant Director, Research Accounting, Florida State University

LEARNING OBJECTIVES Participants will understand how well they manage their time and discover methods to clarify their role and expectations of tasks.

Participants will be able to identify professional and personal goals as well as how to properly prioritize and achieve them.

Participants will be able to recognize why they procrastinate and how to avoid it.

Participants will learn habits to tackle large projects and manage interruptions.

Participants will learn to establish achievable boundaries that can provide an impact on their work/life balance.

PREREQUISITES None

PERSEVERANCE THROUGH DETERMINATION

San Juan, Puerto Rico

* Lead Presenter

WORKSHOPS

Wednesday March 4, 2020

76

8:30 am – Noon MORNING HALF DAY WORKSHOP 5 RESEARCH ADMINISTRATION CAREER PLANNING: TAKING A PERSONAL INVENTORY PROGRAM LEVEL: Basic When clarifying career goals, it is important to start with a personal inventory, however, many are unsure how to even begin. This halfday workshop will lead participants through the process of a personal inventory and will provide tangible take-aways to help define and achieve their career goals.

LEARNING OBJECTIVES Participants will learn the importance of taking a personal inventory to determine their true career goals and will learn the difference between a dream and a goal.

Participants will perform a personal inventory using such tools as a personal SWOT analysis and a personal mission statement and will learn how to analyze their results.

Sikirat A. Tijani* Associate Director, Grants and Contracts, Ann & Robert H. Lurie Children’s Hospital of Chicago

Anita Mills Sales Enablement Consultant, Cayuse

PREREQUISITES None

www.ncura.edu ➟ FRA/PRA Workshop Day ➟ #ncurafra #ncurapra

* Lead Presenter

WORKSHOPS

Wednesday March 4, 2020 77

8:30 am – Noon MORNING HALF DAY WORKSHOP 6 LIFE-CYCLE OF T32 AWARDS: NUTS AND BOLTS OF DEVELOPMENT TO CLOSEOUT PROGRAM LEVEL: Intermediate During this workshop we will discuss multiple Training Grant Mechanisms.

We will share our process that has been developed and tested over the last five years, best practices and lessons learned. We will walk through our proposal development process and Post-Award management through closeout.

LEARNING OBJECTIVES Participants will have a better understanding of training grants that involve xTract, xTrain and the new guidelines that have been issued.

Also, participants will see how the model can be used for multiple sponsors.

PREREQUISITES Participants will want to have a basic understanding of the differences between research grants and training awards.

Previous experience with working with training awards is helpful but not required.

PERSEVERANCE THROUGH DETERMINATION

Mandi M. Blochberger* Assistant Director, Research Administration Services, Emory University

Glenda A. Bullock Director of Research and Business Administration, Department of Medicine, Washington University in St. Louis

Nancy Jenkins Senior Director, DOM-RAS, Emory University School of Medicine

San Juan, Puerto Rico

* Lead Presenter

WORKSHOPS

Wednesday March 4, 2020

78

8:30 am – Noon MORNING HALF DAY WORKSHOP 7 THE YEAR IN AUDITS: WHAT’S NEW, WHAT’S HOT PROGRAM LEVEL: Intermediate This workshop will provide a recap of the NSF, NIH and other OIG Audit work plans and recent audit results and settlements.

LEARNING OBJECTIVES Participants will gain an understanding of the basis of the year in audit findings, provided in the context of audit themes and preventative measures, through interactive discussion and the use of source materials.

PREREQUISITES Participants will want experience in one or more phase of the sponsored project life cycle and basic knowledge of federal grant requirements.

www.ncura.edu ➟ FRA/PRA Workshop Day ➟ #ncurafra #ncurapra

Jeffrey A. Silber* Senior Director, Sponsored Financial Services, Cornell University

Roseann L. Luongo Manager, Huron

* Lead Presenter

WORKSHOPS

Wednesday March 4, 2020 79

8:30 am – Noon MORNING HALF DAY WORKSHOP 8 FOSTERING A COMPLIANCE MINDSET – BUILDING INTERNAL CONTROLS PROGRAM LEVEL: Overview Over the past few years, compliance has risen to a significant level of importance in the research community. Increased regulations, competition and the day-to-day demands of managing various strings attached to sponsored agreements often leave Research Administrators with minimal time to develop and maintain adequate compliant programs within their offices. Furthermore, OMB 2 CFR 200 (Uniform Guidance) requires that recipients of federal funds provide a reasonable assurance that internal controls exist in several areas related to managing federal awards. This half-day workshop will assist Administrators with developing or enhancing an existing compliance program throughout the award life cycle. Participants will understand the key elements needed to foster a compliance mindset, examine the guiding regulations, explore strategies to developing compliant offices, discuss ways to overcome the challenges and explore examples of adequate compliance programs. Participants will also be introduced to the concept of internal controls, as defined by the Committee of Sponsoring Organization (COSO) by the Treadway Commission and the Greenbook issued by the Comptroller of the United States.

Marchon Jackson* Director of Finance and Administration, Sponsored Program Accounting & Compliance (SPAC), University of Maryland, College Park

Debra Y. Murray Assistant Director, Compliance, University of Maryland, College Park

Andrea Zakrzewski Associate Director for Grants Management, Office for Sponsored Research, Northwestern University

LEARNING OBJECTIVES Participants will understand characteristics and strategies of developing an adequate compliance program throughout the award life-cycle.

Participants will learn methods to avoid unintended audit exposure while trying to achieve compliance.

Participants will understand the consequences of non-compliance.

Participants will learn how to navigate through the guiding regulations associated with compliance.

Participants will walk away with best practices for developing and maintaining a compliance mindset.

PREREQUISITES None

PERSEVERANCE THROUGH DETERMINATION

San Juan, Puerto Rico

* Lead Presenter

WORKSHOPS

Wednesday March 4, 2020

80

8:30 am – Noon MORNING HALF DAY WORKSHOP 9 INTRODUCTION TO POST-AWARD PROGRAM LEVEL: Basic Research Administration is a complex world of acronyms, regulations, policies and guidelines. It can be overwhelming at times for even seasoned professionals, much less someone entering the field. This workshop will focus on the various aspects of Uniform Guidance under Post-Award Requirements (Subpart D), Cost Principles (Subpart E) and Audit Requirements (Subpart F). The information provided will serve as a foundation for research administration from the perspective of the Post-Award phase of the award life cycle.

LEARNING OBJECTIVES Participants will gain insight into the life cycle of an award with a focus on the various aspects of research administration from the Post-Award perspective.

Participants will be able to understand roles and responsibilities, cost principles and the role of internal controls within Post-Award management.

Participants will be provided a set of basic tools and forms intended to assist with award management.

David M. Schultz* Assistant Vice President, Research Administration and Finance, Rensselaer Polytechnic Institute

Anne Albinak Director of Research Administration Operations, Whiting School of Engineering, Johns Hopkins University

PREREQUISITES None

www.ncura.edu ➟ FRA/PRA Workshop Day ➟ #ncurafra #ncurapra

* Lead Presenter

WORKSHOPS

Wednesday March 4, 2020 81

8:30 am – Noon MORNING HALF DAY WORKSHOP 10 RESEARCH DEVELOPMENT STRATEGIES FOR BUILDING INDIVIDUAL AND INSTITUTIONAL CAPACITY PROGRAM LEVEL: Intermediate Beyond developing budgets, filling out sponsor forms, and submitting proposals, research administrators at PUIs and research developers R1s support faculty by identifying and disseminating funding opportunities, offering strategic advice to make applications more competitive, promoting intramural and extramural collaborations, facilitating sponsor interactions and site visits, hosting grant writing workshops and advising senior leadership on issues related to research. In this workshop, the presenter will share research development strategies, ranging from big-picture infrastructure considerations to small-picture details, that are effective for stimulating the research enterprise. You will gain insights on key elements in the areas of strategic research advancement, communication of research, enhancement of collaboration, and proposal support functions that can help build faculty capacity and enrich the institutional environment for extramurally funded innovative research, scholarship, and creative activity.

Jeremy Miner* Director of Grants and Contracts, Office of Research and Sponsored Programs, University of Wisconsin-Eau Claire

Katherine Durben Executive Director, Office of Research and Sponsored Programs, Marquette University

LEARNING OBJECTIVES Participants will learn specific writing strategies to share with faculty for increasing the persuasiveness of grant proposals.

Participants will understand four different types of collaborations and essential characteristics of grant leaders that contribute to success.

Participants will be able to identify institutional incentives, programs, and activities that can enhance faculty research development.

PREREQUISITES Participants will need at least 3 years’ experience with proposal writing or have responsibility for faculty research development.

PERSEVERANCE THROUGH DETERMINATION

San Juan, Puerto Rico

* Lead Presenter

WORKSHOPS

Wednesday March 4, 2020

82

8:30 am – Noon MORNING HALF DAY WORKSHOP 11 SERVICE CENTERS: THE NOT SO SIMPLE BASICS PROGRAM LEVEL: Overview This workshop will provide a detailed overview of establishing, operating and oversight of service centers. Topics to be discussed will include definitions, federal regulations, creating budgets, setting billing rates, treatment & issues relating to subsidies, specialized service centers, compliance and common issues in operating service centers. This workshop will include presentation, discussion and mini case studies/exercises.

Sarah T. Axelrod* Assistant Vice President, Office for Sponsored Programs, Harvard University

Zachary Belton Senior Director, Huron

LEARNING OBJECTIVES Participants will be provided with general information on the definitions of service centers, recharge centers, specialized service facilities and core facilities.

Participants will discuss steps for establishing and operating a service center.

Participants will have a detailed understanding of the complexities of setting the rates, establishing and applying subsidies and of the various compliance issues associated with operating a service center.

Participants will be provided with an opportunity to discuss institutional policies and procedures and school specific questions regarding service centers.

PREREQUISITES Participants will want an understanding of basic cost principles established by the Uniform Guidance for allowability, allocability, reasonableness and consistency of costs.

Participants will benefit from a high level understanding of distinctions between direct and indirect costs.

Participants will want prior exposure to service centers in an institutional environment.

www.ncura.edu ➟ FRA/PRA Workshop Day ➟ #ncurafra #ncurapra

* Lead Presenter

WORKSHOPS

Wednesday March 4, 2020 83

8:30 am – Noon MORNING HALF DAY WORKSHOP 12 COMPLIANCE WITH NIH GRANTS – HOW TO MITIGATE THE RISKS WHEN BEING A FOREIGN RECIPIENT OF U.S. FUNDING PROGRAM LEVEL: Basic As a recipient of NIH awards, you must comply with the policies that affect your grant, many of which are based on U.S. law. It is therefore crucial to understand the NIH and the US Federal Government policies and to know what is expected in terms of compliance. At this workshop we will identify some of the main compliance areas and how to mitigate the risks around them.

LEARNING OBJECTIVES Participants will have a general understanding of the main compliance requirements when receiving NIH/US Federal Awards.

Participants will understand the possible effects of non-compliance and the risks of bringing a US funded project onboard.

Participants will have learned strategies how to mitigate compliance issues.

Eva Björndal* Head of Post-Award, Research Management & Innovation, King’s College London

Daniela Amadio Head of Research Grants (Pre-Award), King’s College London

PREREQUISITES None

PERSEVERANCE THROUGH DETERMINATION

San Juan, Puerto Rico

* Lead Presenter

SENIOR LEVEL FORUM

84

Wednesday March 4, 2020

8:30 am – Noon MORNING HALF DAY SENIOR LEVEL FORUM 13 EMPOWERING AND LEADING OUR HUMAN CAPITAL THROUGH ORGANIZATIONAL TRANSITIONS AND CHANGE MANAGEMENT PROGRAM LEVEL: Advanced Change is never easy. Ready or not, we all go through numerous transitions in our lives – changing jobs, career, going back to school or something personal. Navigating the gray area of transition can be stressful, difficult and demanding. This session will focus on things a research administrator can do to keep centered and grounded while moving forward. The transition should be a structured approach for ensuring that changes are thoroughly and smoothly implemented and the lasting benefits of change are realized. In addition, it will focus on the wider impacts of transition and change management and how research administrators can establish the framework for managing change systematically.

Rosemary E. Madnick* Executive Director, Office of Grants and Contracts, Office of Grants and Contracts Administration, University of Alaska Fairbanks

Robyn B. Remotigue Director, Office of Research Services, School of Public Health, University of North Texas Health Science Center at Fort Worth

LEARNING OBJECTIVES Participants will discuss the purpose of transitioning and change management.

Participants will learn problem solving strategies.

Participants will discuss work life integration.

PREREQUISITES Management experience required.

www.ncura.edu ➟ FRA/PRA Workshop Day ➟ #ncurafra #ncurapra

* Lead Presenter

WORKSHOPS

Wednesday March 4, 2020 85

1:30 – 5:00 pm AFTERNOON HALF DAY WORKSHOP 14 FINANCIAL POST-AWARD ESSENTIALS PROGRAM LEVEL: Overview The Financial Post-Award Overview workshop will cover various areas of research financial management including internal controls, financial business processes, facilities and administration costs, audit and compliance supplement requirements. This workshop will provide basic level information of financial Post-Award research administration through a combination of lecture, case studies and discussion of shared experiences and best practices.

LEARNING OBJECTIVES Participants will be able to articulate cost accounting principles.

Participants will understand the importance of internal controls.

Participants will appreciate the purpose of F&A and the importance of proper expense coding.

Participants will understand effort certification and different compensation compliance models.

Participants will understand the importance and take-away key components of Federal Audits.

Participants will learn to recognize key compliance requirements.

PREREQUISITES None

PERSEVERANCE THROUGH DETERMINATION

San Juan, Puerto Rico

A. Chea Smith* Director, Cost Analysis and Reporting, Rutgers, The State University of New Jersey

Lamar K. Oglesby Director, Grant & Contract Accounting, Rutgers, The State University of New Jersey

Jaquion L. Gholston Associate Director of Sponsored Accounting, Office of Sponsored Accounting & Cost Analysis, Stevens Institute of Technology

* Lead Presenter

WORKSHOPS

Wednesday March 4, 2020

86

1:30 – 5:00 pm AFTERNOON HALF DAY WORKSHOP 15 BUSINESS COMMUNICATION: BEYOND THE EXCHANGE OF WORDS PROGRAM LEVEL: Overview Communication in any business must be effective in order to thrive.

Business communication is the sharing of information with colleagues, interacting with peers, meeting clients, and working with others inside and outside of an organization. Effective business communication is the mutual understanding of the message that is being received; verbal, nonverbal or written.

This workshop will help research administrators discover how to go beyond the exchange of words to communicate the message that was meant to be relayed.

Tolise C. Dailey* Training Manager, Research Development Team, Johns Hopkins University

Susan W. Sedwick Senior Consulting Specialist, Attain

LEARNING OBJECTIVES Participants will receive strategies and tools for all types of business communications.

Participants will be able to engage in communication inquiry.

Participants will be able to interpret and evaluate correspondence.

Participants will be able to create messages for their audience.

Participants will learn to facilitate communication scenarios.

PREREQUISITES None

www.ncura.edu ➟ FRA/PRA Workshop Day ➟ #ncurafra #ncurapra

* Lead Presenter

WORKSHOPS

Wednesday March 4, 2020 87

1:30 – 5:00 pm AFTERNOON HALF DAY WORKSHOP 16 MIND THE GAP: WOMEN IN LEADERSHIP PROGRAM LEVEL: Basic According to a recent survey (Shambrook et al, 2015) women account for 85% of the research administration workforce. Unknown is what percentage hold, or aspire to hold, leadership positions within this field.

Regardless of where you are in your current leadership journey, just starting out or well on your way, this workshop will offer practical advice to help women achieve their leadership goals.

“Mind the Gap: Women in Leadership” is a dialog on the gender gap that exists globally in many leadership positions. During our time together we will explore obstacles that may hold us back from reaching our leadership potential, potential sources of tapped and untapped strengths, and resources for mapping leadership goals. Participants will develop individualized action plans and identify actionable steps employers can take to close the gender leadership gap.

While focused on women in leadership, we welcome and encourage all to join us, as the principles to be presented are universal to setting leadership goals. Additionally, male and female leaders can gain insight into real issues that women face on their leadership journeys, thereby becoming more effective leaders to all.

Tricia L. Callahan* Senior Research Education and Information Officer, Office of Sponsored Programs, Colorado State University

Martin Kirk Operations Director, Research & Innovation, King’s College London

Denise A. Wallen Research Officer & Research Assistant Professor, University of New Mexico

LEARNING OBJECTIVES Participants will be able to define the Gender Leadership Gap – what it is and contributing factors.

Participants will be able to name the obstacles that hold them back from reaching their leadership potential and identify the strengths they bring to the table.

Participants will be able to locate resources to assist them on their leadership journey.

Participants will create a personalized leadership plan using tools provided during the workshop.

Participants will identify actionable steps employers can take to close the gender leadership gap.

PREREQUISITES None

PERSEVERANCE THROUGH DETERMINATION

San Juan, Puerto Rico

* Lead Presenter

WORKSHOPS

Wednesday March 4, 2020

88

1:30 – 5:00 pm AFTERNOON HALF DAY WORKSHOP 17 FOUNDATIONS OF PARTNERING WITH FEDERAL SPONSORS: AN OVERVIEW OF WORKING WITH OUR FEDERAL SPONSORS

Amanda Snyder* Associate Director, Office of Sponsored Programs, University of Washington

PROGRAM LEVEL: Overview The size of the government is overwhelming, even when you only focus on the sponsored projects-related areas. Having a better understanding of our federal partners can go a long way in navigating laws, regulations, and the agencies themselves.

Federal agencies provide the lion’s share of sponsored project funding for most of our institutions. Federal laws and regulations drive our internal policies and system structures. This basic workshop covers foundational federal government topics and operations related to sponsored projects as well as specific information about federal agencies, their staff, and existing resources.

Roger Wareham Director, Office of Grants and Research, University of Wisconsin-Green Bay

Participants will leave with a better understanding of how our federal sponsors are structured, who the major players within the agencies are, what impacts their work and what they can do to partner with federal sponsors.

Join these instructors as they provide their insights from experience both working within federal offices and with federal agencies.

LEARNING OBJECTIVES Participants will have a basic understanding of hierarchy of federal regulations.

Participants will have a basic understanding of grants vs. contracts.

Participants will have a basic understanding of federal electronic systems, spanning the sponsored project lifecycle from proposal through closeout.

Participants will have a basic understanding of federal agency staff who interact with universities.

Participants will have a basic understanding of agency structure, culture, and mission and their relationship to requirements and communications.

Participants will have a basic understanding of external factors that impact federal agencies.

Participants will have a basic understanding of resources for keeping on top of the ever changing federal landscape.

PREREQUISITES None

www.ncura.edu ➟ FRA/PRA Workshop Day ➟ #ncurafra #ncurapra

* Lead Presenter

WORKSHOPS

Wednesday March 4, 2020 89

1:30 – 5:00 pm AFTERNOON HALF DAY WORKSHOP 18 THE NEW ERA OF EFFORT REPORTING: IT’S ALL ABOUT INTERNAL CONTROLS

Ashley E. Whitaker* Associate Director, Office of Sponsored Programs, Nova Southeastern University

PROGRAM LEVEL: Intermediate Whether an institution charges and documents personnel costs using a traditional effort reporting methodology, or uses an alternative approach, this requirement has not gone away. Though conceptually simple, people with experience know there are a number of factors that can quickly reduce this administrative exercise to a bureaucratic nightmare. While the Uniform Guidance leaves each Institution with flexibility to devise a compliant “system” that works for them, there is a strong emphasis on internal controls. This workshop will explore where university research administrators interface with personnel costs over the lifecycle of a sponsored award, specifically focusing on key areas that deserve attention when developing and testing internal controls. Components for good management of the requirements for charging and documenting personnel costs will be covered. Workshop participants should plan to engage in a conversation with the faculty, and bring questions and their experiences.

LEARNING OBJECTIVES Participants will gain an understanding of the principal requirements for charging and documenting personnel costs.

Participants will gain knowledge of internal controls in this area throughout the lifecycle of a sponsored award.

Participants will gain awareness of key issues that need attention in university practices in this area.

Kristi L. Bazata Director, Research Policy & Indirect Cost, Columbia University in the City of New York

Elena M. Cruse Research Business Partner, Children’s Mercy Hospital

PREREQUISITES Participants will need a basic understanding of the principles surrounding the documentation of personnel costs in order to attend this workshop.

PERSEVERANCE THROUGH DETERMINATION

San Juan, Puerto Rico

* Lead Presenter

WORKSHOPS

Wednesday March 4, 2020

90

1:30 – 5:00 pm AFTERNOON HALF DAY WORKSHOP 19 THE BRIDGE OVER TROUBLED PROPOSALS, HOW TO MAKE IT WORK PROGRAM LEVEL: Intermediate This workshop will provide an overview of the subject matter which research administrators need to know in order to effectively manage research. In the cradle to grave concept of research, it takes an experienced administrator to move a grant from proposal to production to closeout. This workshop will give intense training focused on the production (lifecycle) aspect of research. We will cover the role of a Pre-Award, Departmental Administrator and the Post-Award contribution to the lifespan of a grant. We will delve into sponsored vs non-sponsored support for researchers, compliance issues, space and facilities, on-boarding and more. We will explain how to review research portfolios in terms of sustainability, recognizing financial cliffs, planning for expansion of infrastructure, and how to supplement traditional methods of financial support. We will also discuss the fundamentals of working with faculty: helping them develop proposal plans, familiarizing them with the local and global research environments, helping them navigate the multitude of compliance regulations associated with research and how to plan for the long-term sustainability of a research program.

We will also have a scenario-based discussion for application of common themes for the DRA in the production phase in order to properly bury a grant in closeout. This workshop is applicable for active DRA’s and central individuals who want a better understanding of what happens to the grant between proposal and closeout.

Derick F. Jones* Program Manager, Translational Genomics and Population Sciences, Lundquist Institute for Biomedical Innovation at Harbor-UCLA Medical Center Rashonda Harris Director, Post-Award Operations, Office of Finance Grants & Contracts, Emory University

LEARNING OBJECTIVES Participants will receive intensive training on grant production and project management.

Participants will receive training on the complexities of managing a research enterprise.

Participants will gain a greater understanding that a DRA’s role is pivotal to the success of research.

PREREQUISITES Participants will want basic familiarity with the role of the DRA.

www.ncura.edu ➟ FRA/PRA Workshop Day ➟ #ncurafra #ncurapra

* Lead Presenter

WORKSHOPS

Wednesday March 4, 2020 91

1:30 – 5:00 pm AFTERNOON HALF DAY WORKSHOP 20 USING THE FEDERAL AUDIT CLEARINGHOUSE (FAC) DATA TO IMPROVE EFFICIENCY IN SUBRECIPIENT MONITORING

Webb Brightwell* Senior Director of Pre-Award Services, Faculty of Arts & Sciences Research Administration Services, Harvard University

PROGRAM LEVEL: Intermediate This half-day workshop will provide a hands-on, practical review of two mandatory aspects of subrecipient monitoring under the Uniform Guidance: (I) determining whether your subrecipients have audit findings and (II) conducting organizational risk assessments. The workshop will open with an introduction of the relevant Uniform Guidance requirements.

In Part I, participants will learn how to navigate the Federal Audit Clearinghouse (FAC) website and how publically available data can be used to quickly and efficiently identify which of their subrecipients have findings. They will learn how to create an Excel database of subrecipients and easily pull data from the FAC, reducing administrative burden and improving the accuracy of results. In the last section of this Part, participants will learn how to use data collection forms in the FAC to identify which of those organizational assessments warrant further inquiry and develop required management plans. In Part II, the co-presenters will use case studies to show how their two unique institutions – a) a de-centralized private university and b) a highly centralized non-profit hospital research institute – approach organizational risk assessments. Participants will be encouraged to ask questions and engage in open dialog.

LEARNING OBJECTIVES Participants will learn how to use Excel databases and formulas to distill FAC data and identify which of an institution’s subrecipients have findings (e.g., material weaknesses, significant deficiencies, questioned costs, etc.).

Participants will learn how to interpret data collection forms on the FAC to determine whether findings are related to a subaward issued by your institution.

Participants will discover how your institution’s infrastructure, history, and sponsored research portfolio can affect how you perform an organizational risk assessment.

Participants will bring back practical resources and methods for conducting subrecipient risk assessments which will save time and reduce administrative burden.

Jackie Lucas Director, Office Sponsored Research, Beckman Research Institute of the City of Hope

Megan Reed Grants and Contracts/ Subawards Administrator, Beckman Research Institute of the City of Hope

Tracey Westervelt Director, Research Finance, Harvard University

PREREQUISITES Participants will want some familiarity with the Uniform Guidance (particularly, requirements for subrecipient monitoring), and experience creating spreadsheets and working with formulas in Excel. Previous experience with the FAC is not required.

PERSEVERANCE THROUGH DETERMINATION

San Juan, Puerto Rico

* Lead Presenter

WORKSHOPS

Wednesday March 4, 2020

92

1:30 – 5:00 pm AFTERNOON HALF DAY WORKSHOP 21 POST-AWARD AWARENESS FOR THE PRE-AWARD ADMINISTRATOR

Jennifer Lech* Director of Pre-Award Services, Harvard University

PROGRAM LEVEL: Basic This workshop is designed for Research Administrators interested in thinking ahead to the award stage of a project when searching for funding opportunities, preparing proposal components, or reviewing proposals in a department, school/college, or central office role.

Participants in this workshop will have the opportunity to engage in meaningful discussion of Pre-Award activities with a focus on topics that typically arise during the life cycle of a sponsored project, spanning from award set-up and implementation through closeout and audit.

We will discuss strategies for proactively identifying potential areas of concern when reading through funding solicitations and best practices for mitigating those concerns when putting together proposals. PostAward topics discussed during the workshop may include cost sharing, effort commitments, employee vs. consultant classifications, subaward vs. vendor determinations, IRB and IACUC approvals, reporting requirements, export controls, and management of awards with a foreign component.

LEARNING OBJECTIVES Participants will learn keywords and phrases to watch out for when reviewing funding solicitations.

Participants will learn to recognize budget areas that may need special attention during the life of an award.

Participants will learn techniques for preparing strong and effective budget justifications that will help minimize uncertainty for their future selves or other colleagues who may be responsible for the Post-Award management of a project.

Christian Pfeiffer Flores Assistant Director for Grants & Awards, The University of Texas at Austin

Charlotte Gallant Director of Cost Analysis and Compliance, FAS Research Administration Services, Harvard University

PREREQUISITES None

www.ncura.edu ➟ FRA/PRA Workshop Day ➟ #ncurafra #ncurapra

* Lead Presenter

WORKSHOPS

Wednesday March 4, 2020 93

1:30 – 5:00 pm AFTERNOON HALF DAY WORKSHOP 22 THE DIFFERENT CHARACTERISTICS OF CONTRACTS AND THE ART OF NEGOTIATION PROGRAM LEVEL: Intermediate There are many types of contracts and not all are the same. More importantly, not all contracts are negotiated the same. For example, even though FDP (Federal Demonstration Partnership) created several templates to reduce the need to negotiate, often times organizations prefer to negotiate in accordance with their own institutional guidelines.

Other examples include Clinical Trials/Industry Sponsored Agreements, Data Use Agreements and Sponsored Research Agreements.

LEARNING OBJECTIVES Participants will explore the different types of contracting, different office models which vary by organization and how to successfully negotiate on behalf of your organization with win-win results.

PREREQUISITES Participants should have a moderate to advanced understanding, regarding the difference aspects of contract negotiation.

PERSEVERANCE THROUGH DETERMINATION

San Juan, Puerto Rico

Jamie Caldwell* Associate Vice Chancellor for Research Administration, The University of Kansas Medical Center

Nancy R. Lewis Executive Director, Sponsored Projects, University of California-Irvine

Jennifer Liasson Senior Contracting Officer, Office of Sponsored Projects, Office of the Vice President for Research, Office of Sponsored Projects, The George Washington University

* Lead Presenter

WORKSHOPS

Wednesday March 4, 2020

94

1:30 – 5:00 pm AFTERNOON HALF DAY WORKSHOP 23 EFFECTIVE MANAGEMENT PRACTICES PROGRAM LEVEL: Intermediate Almost anyone can be a manager, but how can you use and develop your skills to be most effective? This workshop will focus on some fundamental management strategies, such as: Knowing your own strengths Hiring the right people Performance management Managing resources within the constraints of your environment Maintain positive employee engagement LEARNING OBJECTIVES Participants will be able to engage in several different management scenarios to better understand there isn’t just one ‘right’ answer to effectively managing a team.

Participants will gain a foundational understanding how to use their strengths to be effective.

Participants will be able to develop strategies to hire the right people.

Participants will have a better understanding of the importance of addressing both positive and negative performance issues.

Participants will be able to develop strategies to keep staff engaged.

Lisa E. Mosley* Executive Director, Office of Sponsored Projects, Yale University

Sarah Panepinto Director of Grants & Contracts Services, University of Texas at Arlington

PREREQUISITES This workshop is geared toward participants who are relatively new (0-5 years) to managing a team. Participants will want to have responsibility (directly or indirectly) for supervision of staff.

www.ncura.edu ➟ FRA/PRA Workshop Day ➟ #ncurafra #ncurapra

* Lead Presenter

SENIOR LEVEL FORUM

Wednesday March 4, 2020 95

1:30 – 5:00 pm AFTERNOON HALF DAY SENIOR LEVEL FORUM 24 FROM MILD TO MADDENING: COMMON ISSUES FOR SENIOR RESEARCH ADMINISTRATORS PROGRAM LEVEL: Advanced Senior research administrators continually confront changing regulations, new policy interpretations, and the need to issue guidance on every hot topic on the research horizon. We also have to address staff needs, management challenges, subtly directing our bosses, succession planning, and how to make time for the farmer’s market on Saturdays. Really, how can we get it all done!

This panel will discuss a number of current issues in research administration. Topics might include close encounters with OIG, reporting foreign engagements, changes in Other Support, and timely progress reports. We can also look at how to organize and deploy resources for problem solving, how to understand active listening, and how to help the boss.

Kim Moreland* Associate Vice Chancellor for Research Administration, University of Wisconsin – Madison, NCURA Distinguished Educator

Shannon Lysen Director, Office of Sponsored Research, Fred Hutchinson Cancer Research Center

The panelists will select a few topics, but we will also ask you for topics that are on your mind. We will all bring ideas, experiences, frustrations and inspirations that make our jobs more effective and satisfying. No question is too silly to ask, and no problem is too maddening to attack.

This forum allows you to share a workspace with peers. Come join us!

LEARNING OBJECTIVES Participants will understand how to deal with current issues in research administration.

Participants will share experiences and observe responses by other research institutions.

Participants will develop a greater understanding of how to lead an office of research administration.

PREREQUISITES Participants will want a broad understanding of key issues in management and in regulations that underlie sponsored research.

PERSEVERANCE THROUGH DETERMINATION

San Juan, Puerto Rico

* Lead Presenter