FRA Program 2019

Supporting Research...together

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National Council of University Research Administrators

FINAL PROGRAM as of March 4, 2019

20th Annual F i n a n c i a l Re s e a r c h A d m i n i st r a t i o n Conference (FRA)

2019

LAS VEGAS March 11 – 12 FRA Conference

March 13

FRA/PRA Workshop Day

Come to FRA for the excellent programming.

Come to FRA to see old friends and to make new ones.

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WHAT’S TRENDING NOW?

Come to FRA and make it the best conference you’ve ever attended!

WELCOME

FRA Conference ~ March 11 – 12, 2019 PRA/FRA Workshop Day ~ March 13, 2019

It

seems, in our adrenaline packed, stress-filled lives there is always something new to learn, anticipate and plan for, including our world of Research Administration.

What’s Trending Now seems to be fully integrated into our daily lives as we are engaged by our technology and social media that there is always a new “something” that is bigger/better/smaller/ faster on the horizon. In light of the speed of current technology, upgrades and constant changes, we are pleased to bring to you a robust and cutting-edge FRA program this spring, in the vibrant city of Las Vegas.

This 20th FRA conference program promises to provide something for all of our participants, with a wide array of sessions, discussion groups and ignite topics.

We are particularly excited about being able to provide several senior level topics such as service centers, what happens when appropriations get cancelled, F&A under recovery and building relationships across campus. For the Post-Award crowd, we have some traditional topics like subrecipient monitoring, effort reporting, allocability/allowability, the compliance supplement and closeouts.

We have also been promised a post-award game called “Grantland” which seems fitting, in a fun, game-filled city like Las Vegas! Then, back by popular demand on the federal side, we are happy to be able to bring Jean Feldman and Michele Bulls for the NSF/NIH updates, procurement and a great discussion on participant support. Departmental and PUI participants will enjoy budgeting, communication tools for working with your central offices, F&A short form and mitigating risks at PUIs. And, not to leave the “data folks” out of the party, we will offer a data management session, establishing dashboards and matrix options. The FRA conference will also include both full day and half day workshops between the FRA and PRA conferences. This is a great opportunity to network and connect with your colleagues attending both conferences and provides deep dive offerings ranging from Pre-Award to Post- Award.

We will be delighted to have you join us in March to participate in our FRA extravaganza. Truly, it is no “Mirage” but an opportunity to network with fellow research administrators, meet industry icons and bring new and innovative ideas to your institution. So, plan to pack your bags and prepare to learn about what’s Trending Now! FRA Conference Co-chairs,

Leslie Schmidt Montana State University

Jeff Seo

Northeastern University

www.ncura.edu ~ 20th Annual Financial Research Administration Conference (FRA)

PROGRAM COMMITTEE

DEPARTMENTAL

Digital Science Tolise C. Dailey, Johns Hopkins University Randi E. Wasik, Washington State University FEDERAL Jean I. Feldman, National Science Foundation Patricia A. Hawk, Oregon State University, NCURA Distinguished Educator FINANCIAL COMPLIANCE

Robert C. Andresen, University of WisconsinMadison, NCURA Distinguished Educator Zachary Belton, Huron Timothy Schailey, Thomas Jefferson University GLOBAL (U.S. AND NON-U.S.) Agatha Keller, ETH Zurich, University of Zurich Jennifer A. Ponting, Harvard University HUMAN CAPITAL

Heather Dominey, Brown University Kim Moreland, University of WisconsinMadison, NCURA Distinguished Educator

CLINICAL/MEDICAL Felicia D. Beanum, Cedars-Sinai Medical Center Ian Stevenson, Beth Israel Deaconess Medical Center POST-AWARD/ACCOUNTING/FINANCE Mark C. Davis, Attain Rashonda Harris, Emory University Susan W. Zipkin, University of New Hampshire PREDOMINANTLY UNDERGRADUATE INSTITUTIONS Kris A. Monahan, Providence College Panda S. Powell, University of North Carolina at Wilmington REGULATORY COMPLIANCE

Peggy Meyer, Bad Rabbit Consulting Debra Y. Murray, University of Maryland, College Park Kerry Peluso, Florida State University WORKSHOPS

Jeffrey A. Silber, Cornell University NEW PRESENTER LIAISON

Kay Gilstrap, Georgia State University

FOLLOW US @NCURA JOIN THE CONVERSATION #NCURAFRA

LAS VEGAS

March 11 – 12 March 13 FRA Conference

FRA/PRA Workshop Day

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THANK YOU

to the following sponsors for your generous support

NCURA GOLD PLUS Member Sponsors

NCURA GOLD Member Sponsors

NCURA SILVER PLUS Contributing Sponsor

NCURA SILVER Contributing Sponsors

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www.ncura.edu ~ 20th Annual Financial Research Administration Conference (FRA)

CONFERENCE OVERVIEW PROGRAM INFORMATION

6 GENERAL 7 NCURA FRA CERTIFICATE PROGRAM

MONDAY, MARCH 11 | 9:45 – 10:15 ­A M

2:15 – 2:45 PM­

FITNESS

TUESDAY, MARCH 12 | 9:45 – 10:15 ­A M

2:15 – 2:45 PM­

MONDAY, MARCH 11 | 6:15 – 7:15 AM

NCURA EDUCATION SCHOLARSHIP FUND – HOW TO APPLY

8 OVERVIEW

8

NCURA’s COMMITMENT TO DIVERSITY AND INCLUSION

NCURA FUN RUN AND POWER WALK

TUESDAY, MARCH 12 | 6:15 – 7:00 AM

TUESDAY, MARCH 12 | 9:45 – 10:15 ­A M

2:15 – 2:45 PM­

YOGA BLISS

EDUCATION SESSIONS

WELCOME

MONDAY, MARCH 11 | 10:15 – 11:30 ­A M

1:00 – 2:15 PM­

4:00 – 5:00 PM­

SUNDAY, MARCH 10 | 4:00 – 6:00 PM MONDAY, MARCH 11 | 7:15 – 5:00 PM

FRA CONCIERGE PARTICIPANT MATERIALS PICK-UP

STARTING ON

12

TUESDAY, MARCH 12 | 7:15 – 3:45 PM

FRA CONCIERGE

NETWORKING AND EVENTS

TUESDAY, MARCH 12 | 8:15 – 9:45 AM­

10:15 – 11:30 AM­

1:00 – 2:15 PM­

2:45 – 3:45 PM­

12, 21, 32, 43, 51, 60, 68 CONCURRENT SESSIONS

MONDAY, MARCH 11 | 7:15 AM – 5:00 PM TUESDAY, MARCH 12 | 7:15 – 3:45 PM

19, 28, 39, 49, 57, 66, 75

MONDAY, MARCH 11 | 7:15 – 8:00 AM TUESDAY, MARCH 12 | 7:15 – 8:00 PM

MONDAY, MARCH 11 | 2:45 – 3:45 PM­

DISCUSSION GROUPS

EXHIBITS OPEN

CONTINENTAL BREAKFAST AND BREAKFAST ROUNDTABLES

MONDAY, MARCH 11 | 8:15 – 9:45 AM

11 KEYNOTE ADDRESS MONDAY, MARCH 11 |

30, 31 TUESDAY, MARCH 12 | 3:45 PM

FRA CONFERENCE ADJOURNS

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

WORKSHOPS AND SENIOR LEVEL FORUMS

TUESDAY, MARCH 12 | 9:45 – 10:15 AM

2:15 – 2:45 PM

79 OVERVIEW

NETWORKING AND REFRESHMENT BREAKS

MONDAY, MARCH 11 | 11:30 AM – 1:00 PM TUESDAY, MARCH 12 | 11:30 AM – 1:00 PM

NETWORKING LUNCHEON

MONDAY, MARCH 11 | 5:15 – 6:00 PM

NETWORKING RECEPTION

STARTING ON

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WEDNESDAY, MARCH 13 | 7:30 AM – 5:00 PM

WORKSHOP CONCIERGE WORKSHOP PARTICIPANT MATERIALS PICK-UP

WEDNESDAY, MARCH 13 | 8:30 AM – 5:00 PM

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MONDAY, MARCH 11 | 6:30 PM

41

FULL DAY WORKSHOP (ADDITIONAL FEE REQUIRED TO ATTEND)

DINNER GROUPS

(ADDITIONAL COST FOR DINNER)

WEDNESDAY, MARCH 13 | 8:30 AM – NOON

82 HALF DAY MORNING

THE IMPACT OF NCURA MEMBERSHIP

WORKSHOPS AND SENIOR LEVEL FORUM

MONDAY, MARCH 11 | 7:15 – 8:00 A ­M

9:45 – 10:15 A ­M

2:15 – 2:45 PM­

3:45 – 4:00 PM­

5:00 – 6:00 PM

WEDNESDAY, MARCH 13 | 1:30 – 5:00 PM

95 HALF DAY AFTERNOON

TUESDAY, MARCH 12 | 7:15 – 8:00 A ­M

9:45 – 10:15 A ­M

2:15 – 2:45 PM­

LAS VEGAS

IGNITE SESSIONS

WORKSHOPS AND SENIOR LEVEL FORUM

March 11 – 12 March 13 FRA Conference

FRA/PRA Workshop Day

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GENERAL 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 18 CPE credits can be issued for NCURA’s FRA Conference.

Fields of study available are Specialized Knowledge and Applications – Technical (S), and Personal Development – Non-technical (PD).

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

Maximum Credits Available: 10.2 CPEs: Conference Only 14 CPEs: Conference + Half Day Conference Workshop 18 CPEs: Conference + Full Day Conference Workshop

Please Note: All Continuing Professional Education Credits (CPEs) will be issued by April 15, 2019.

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.

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: 11.4 Hours of Education: 1.3 CEUs: Conference Only 14.7 Hours of Education: 1.6 CEUs: Conference + Half Day Conference Workshop 17.9 Hours of Education: 1.9 CEUs: Conference + Full Day Conference Workshop

Please Note: All Continuing Education Units (CEUs) will automatically be sent to all registrants of the conference

by April 15, 2019.

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.

IGNITE SESSIONS are 10 – 15 minute, high energy, high deliverable offerings that will get right to the “good stuff.”

These are only offered on Monday afternoon.

BREAKFAST ROUNDTABLES are facilitated discussions on

established subjects during breakfast.

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.

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www.ncura.edu ~ 20th Annual Financial Research Administration Conference (FRA)

CERTIFICATE PROGRAM NCURA is offering a certificate program during the NCURA Financial Research Administration Conference, March 11–12, 2019. Registrants of the conference can pick one certificate to earn. You cannot earn multiple certificates during one conference and must attend the conference in its entirety. There are 8 time slots during the conference; Ignite Sessions count as one timeslot. Participants 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 roundtable sessions 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.

u Final worksheets, including the link to submit your sessions, can be accessed here. u Please print out your certificate worksheet to help you plan and track your sessions onsite. u Use the URL on the worksheet to complete your certificate request electronically by March 31, 2019. u The URL will open after the close of the meeting. u Certificates will be issued by April 15, 2019.

After March 4, 2019, you can review which sessions will be eligible for each certificate by viewing the final worksheets, posted here:

u

Departmental Research Administration

u

Global Research Management

u

Regulatory Compliance

u

Financial Compliance

u

Post-Award Accounting/Finance

Note: Incomplete requests will not be eligible for certificates.

Questions? Please contact Susan McKenna, Senior Meetings Coordinator mckenna@ncura.edu | (202) 466-3894

FOLLOW US @NCURA JOIN THE CONVERSATION #NCURAFRA

LAS VEGAS

March 11 – 12 March 13 FRA Conference

FRA/PRA Workshop Day

7

STAYING FIT WHILE TRAVELING

TRENDING NOW

Changing time zones, networking, educational sessions, dinner groups…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 Las Vegas!

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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!

Monday, March 11, 2019 6:15 – 7:15 AM

FITNESS TRACK: FUN RUN AND POWER WALK

Come and enjoy a morning of fitness, fun and friendship! Meet in the main lobby at 6:15 am for this burst of fresh air.

Tuesday, March 12, 2019 6:15 – 7:00 AM

YOGA BLISS

Join NCURA’s own Tara Bishop for this restorative practice. We will bring ourselves back to our natural state of balance and tap into the bliss of body, mind and spirit. Namaste.

FITNESS CENTER

OPEN DAILY, 5:00 AM – 7:00 PM

Keep to your fitness regimen in The Mirage’s fully appointed fitness center with cardio treadmills and a variety of body toning machines and free weights.

All guests staying at the hotel enjoy complimentary access to the fitness center.

THE MIRAGE POOL

OPEN DAILY, 9:00 AM – 6:00 PM

This is one of the favorite backyards on the entire Strip, complete with waterfalls and lagoons. Open and heated all year. All guests staying at the hotel enjoy complimentary access to the pool.

www.ncura.edu ~ 20th Annual Financial Research Administration Conference (FRA)

TIPS

TIPS

PROCESS RELATIONSHIPS

RISK

AUDIT POLICY

CHALLENGES

AGREEMENTS

COLLABORATION

REGULATORY PARTNERSHIPS

DEADLINE

POST-AWARD ADMINISTRATOR

DATA

COSTS

COM

NEGOTIATION

PRE-AWARD

FINANCIAL

ALLOWABILITY NEGOTIATION

SERVICE

ADMINISTRATOR POST-AWARD FINANCIA EDUCATION COMMUNICATION

LEADERSHIP CLINICAL TRIALS BUDGET

AGREEMENT

PARTNERSHIP

ANALYTICS DATA

ADMINISTRATOR

EFFORT REPOR

BEST PRACTICES

CHALLENGES

LEADERSHIP

AUDIT

IDEAS

ANALYTIC

DEPARTMEN

TIPS

BUDGET

SUPPORT

DEVELOPMENT

COLLABORATION

PROCESS BUDGET

AUDIT

STREAMLINING GRANTS SPONSORED PROGRAMS DEPARTMENTAL COMMUNICATION IDEAS

PUI

SUCCESS DEPARTMENTAL COMPLIANCE

DIVERSITY

DATA IDEAS

TIPS

PUI

SUCCESS RESEARCH SUPP DATA

DIVERSITY DATA PARTNERSHIPS

COMMUNICATION

AUDIT PRE-AWAR

GRANTS

CAREER FEDERAL

EDUCATION

INTERNATIONAL

COLLABORATION

SERVICE

DIVERSITY

DATA

RELATIONSHIPS

DEADLINE CHALLENGES

INTERNATIONAL

TRIALS

DATA

DEADLINE

FINANCIAL

SERVICE CLINICAL

EFFORT REPORTING

METHODS

EDUCATION

COMPLIANCE

COSTS

TIPS

ADMINISTRATOR

PROCESS

RISK FEDERAL

PUI REGULATORY CAREER

M PROCE

BEST EFFORT REPORTING PRACTICES

TRENDING METHODS

RESEARCH REGULATORY DEADLINE ADMINISTR

POST-AW

NOW

POLICY

SUCCESS

PRACTICES

AGREEMENTS COLLABORATION FEDERAL

SUPPORT SPONSORED PROGRAMS

BEST PRACTICES

SUPPORT NEGOTIATION

EFFORT REPORTING

SERVICE

FINANCIAL COSTS POLICY IDEAS BUDGET SUPPORT DEVELOPMENT

COST

PROCESS CLOSEOUT

CAREER

SUCCESS

L BEST TIPS

PUI

COSTS

RESEARCH

ALLOWABILITY

POLICY

DEADLINE

PRE-AWARD

SERVICE

BUDGET

AUDIT

LEADERSHIP

AGREEMEN

POST-AWARD

SUPPORT COSTS

SPONSORED PROGRAMS

COMPLIANCE

RESEARCH

DEVELOPMENT

RISK ANALYTICS

PUI

METHODS

RELATIONSHIPS

GRANTS

INTERNATIONAL

CAREER

DIVERSITY

DEPARTMENTAL COMMUNICATION

SUCCESS DIVERSITY

AUDIT

PRE-AWARD

DEPARTMENTAL ADMINISTRATOR COMPLIANCE DATA TIPS CLINICAL LEADER TRIALS EDUCATION RELATIONSHIPS

GRANTS

PARTNERSHIPS

COSTS

DEVELOPMENT

METHODS

ESS RISK

STREAMLINING

FEDERAL

COLLABORATION

COMMUNICATION

DATA

BEST PRACTICES

RELATIONSHIPS

STREAMLINING PARTNERSHIPS

REGULATORY

AGENDA EDUCATION COMPLIANCE

CAREE RISK

LEADERSHIP

COMMUNICATIO

ADMINISTRATOR

DATA REGULAT

TIPS AGREEM

PRE-AWARD

NALYTIC REAMLINI FEDERA DATA

TIPS

PARTNERS

COMMUNICA

FINAN CLOSEOUT DEADLINE

RESEARC

FEDERAL

GRANT

CLINICA TRIALS

CHALLENGES ALLOWABILITY

PRE-AWARD IDEAS DIVERSITY EDUCAT

DEVELOPMENT

POLICY

LEADERSHIP

AGENDA |

FINANCIAL

ISSUES

STREAMLINING

TOOLS

IDEAS NEGOTIATION

Great selection of topics and presenters!

DATA

FEDERAL

POST-AWARD AGREEMENTS

POLICY

PARTNERSHIPS SERVICE BEST METHODS

PRACTICES

GRANTS

AUDIT

ERA PROCESS

DEPARTMENTAL

COMMUNICATION CLINICAL TRIALS

COMPLIANCE

INTERNATIONAL

COLLABORATION

STRATEGY

ALLOWABILITY

BUDGET EFFORT REPORTING

RELATIONSHIPS

SPONSORED PROGRAMS

4:00 – 6:00 pm

FRA Concierge Participant Materials Pick-up

AGENDA | NCURA Fun Run and Power Walk

CLOSEOUT...KEEPING THE END IN MIND

Rochelle L. Barry*, Closeout Manager, Office of Sponsored Programs, Georgia Institute of Technology

BRIDGING THE GAP AND DODGING THE AUDIT DEBRIS WHEN THE PAPER FILES CRUMBLE

Carole Donnellon*, Assistant Director, Business Affairs, University of Cincinnati John Schwartz, Director of Business Affairs, School of Criminal Justice, University of Cincinnati

COSTS

SURVIVING CHANGE MANAGEMENT

Rashonda Harris*, Associate Director, Post-Award Operations, Emory University

CLINICAL RESEARCH REPORTING: FROM PAYMENT TYPES TO TAXES

Beth Dubyak*, President, Vincent Payment Solutions

OVERCOMING HURDLES ARISING FROM CROSS-COLLABORATION WITH FACULTY AND RESEARCH ADMINISTRATION

Nicholas G. Thorpe*, Fiscal Manager, North Carolina State University

INTERNAL CONTROLS AND YOU!

Sheleza Mohamed*, Manager, University of Texas Southwestern Medical Center

MANAGING BY NUMBERS: RESEARCH PERFORMANCE METRICS

Heather Dominey*, Assistant Director, Post-Award Services, Office of Sponsored Projects, Brown University

ASK NSF

Deborah Shaver*, Director, Office of Sponsored Programs, University of Idaho

Skye Greer*, Business Manager, Institute of Arctic Biology, University of Alaska Fairbanks Albana Cejne*, Assistant Director, Sponsored Research Audit, Princeton University

Zachary Belton*, Senior Director, Huron Matt Faris, Senior Director, Huron

FINANCIAL CONSIDERATIONS WITH INTERNATIONAL ENGAGEMENT

ADMINISTRATOR

FRA Concierge Participant Materials Pick-up Exhibits Open

BEING THE BEST “YOU” IN YOUR CAREER

ANALYTIC

HUMAN CAPITAL

7:15 am – 5:00 pm

7:15 – 8:00 am ~ Continental Breakfast and

Breakfast Roundtables

DIVERSITY DEVELOPMENT

Monday, March 11, 2019

6:15 – 7:15 am

Ilene Caruso*, Senior Accountant, Division of Financial Management, National Science Foundation

SUPPORT

Sunday, March 10, 2019

TIPS FOR A SUCCESSFUL R01 SUBMISSION

SPONSORED TRAVEL FAQs

SHUTDOWN: WHY CAN’T I GET PAID?

YOU HAVE A NEW T32, NOW WHAT?

Gloria Hoch*, Grants/Budget Specialist, Department of Pathology and Immunology, Washington University School of Medicine

Alma Starks*, Assistant Director, Post-Award Manager, George Washington University

PUI

RESEARCH

INVESTIGATIONS

IRB

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www.ncura.edu ~ 20th Annual Financial Research Administration Conference (FRA) ** Lead Lead Presenter

AGENDA |

Monday, March 11, 2019

7:15 – 8:00 am ~ 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 Vegas!

Join us!

Join us in the Mirage Event Center B during our breakfast and refreshment breaks today. NCURA Officers, Program Committee Members and Standing Committee Members will be there 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!

8:15 – 9:45 am ~ Keynote Address: Filling Your Creative Reservoir BOB STROMBERG

For our keynote, Bob will draw from his years of personal experience, the latest Neuroscience and his online course “Mastering the Craft of Creativity” to share three profound, transforming disciplines that lead to creating a rich, personal reservoir of original ideas.

The presentation highlights one surprising truth: Creativity is not a gift. Creativity is a craft. It can be learned. It is not an overstatement to say…This keynote could change your life.

Bob has spoken for Fortune 500 companies like General Mills, Cargill, Sonic and American Family Insurance.

He’s received accolades from Comcast, Sony and EMI. And he’s helped countless non-profits like The American Cancer Society, The American Brain Tumor Association, Children’s Hospitals, and United Way. Recently, Bob joined forces with top Hollywood stars in the Not For Sale campaign to end human trafficking. His performance won a coveted Clio, the top award in American advertising.

9:45 – 10:15 am Networking and Refreshment Break The Impact of NCURA Membership

m

to Diversity ent an itm d n sio clu In

Our Co m

9:45 – 10:15 am ~ NCURA’s Commitment to Diversity and Inclusion

n ou al C Nation

dm inis trato rs

RESPECT. ACCESS. OPPORTUNITY.

NCURA’ s Commitment to Diversity and Inclusion Come meet with current and past members of the Task Force on Diversity and Inclusion and members of the Board of Directors to learn more about NCURA’s Commitment to Diversity and Inclusion.

cil hA of arc Uni versity Rese

LAS VEGAS

March 11 – 12 March 13 FRA Conference

FRA/PRA Workshop Day

* Lead Presenter

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LEADERSHIP FINANCIAL

ISSUES

STREAMLINING

TOOLS

IDEAS NEGOTIATION This conference is very informative and I enjoyed being able to participate.

DATA

FEDERAL

POST-AWARD AGREEMENTS

POLICY

PARTNERSHIPS SERVICE BEST METHODS

PRACTICES

GRANTS

AUDIT

ERA PROCESS

DEPARTMENTAL

COMMUNICATION CLINICAL TRIALS

COMPLIANCE

INTERNATIONAL

COLLABORATION

STRATEGY

ALLOWABILITY

BUDGET EFFORT REPORTING

RELATIONSHIPS

SPONSORED PROGRAMS

DIVERSITY

SUPPORT ANALYTIC

HUMAN CAPITAL

Monday, March 11, 2019

10:15 – 11:30 am ~ Education Sessions CONCURRENT SESSIONS CLINICAL/MEDICAL F Overview YOU HAVE DECIDED TO ENTER THE WORLD OF CLINICAL TRIALS, NOW WHAT?

You are a research administrator who is used to doing federal grants and foundation awards, but now your University wants to do clinical trials! Where do you start? From Pre- to Post- to trial management, we have you covered. The session presenters have all been in your shoes and are ready to walk you through the transition from your typical grants to clinical trial processes.

LEARNING OBJECTIVES • Participants will review the differences between basic research and clinical trial research.

• Participants will discuss the key differences between federal grants and clinical trials.

• Participants will review federal funding vs. industry funding.

• Participants will discuss budgeting.

• Participants will review enrollment getting the numbers you need and why it’s so important.

PREREQUISITES None

Robin Leibert*, Business Manager, Effort Reporting & Financial Reports, Research and Sponsored Programs, University of West Florida Kristina Robison, Director of Clinical Trials, Research and Sponsored Programs, University of West Florida Kristen Vandergriff, Research Coordinator, Graduate School of Medicine, University of Tennessee Health Science Center

DEPARTMENTAL F Advanced TIME FOR A POLICY CHECKUP: REVIEWING POLICIES UNDER THE UNIFORM GUIDANCE

Policies and their implementing procedures need to be reviewed periodically. They especially need to be reviewed when regulations change to assess efficacy, alignment with practice and regulatory requirements, and the minimum administrative burden on researchers.

The Uniform Guidance has been in effect for three years, so it is time for calibration. This session will provide insights into the policies that are mandatory for Uniform Guidance compliance. Come discuss how to balance compliance and good practices with minimal imposition of administrative burden.

LEARNING OBJECTIVES • Participants will be able to identify the policies that are required under the Uniform Guidance.

• Participants will learn to evaluate policies and procedures for efficacy, compliance, and administrative burden.

PREREQUISITES Participants should have a working knowledge of university policies.

Susan Wyatt Sedwick*, Senior Consultant, Attain

COSTS

DEVELOPMENT

AGENDA |

ADMINISTRATOR

PUI

RESEARCH

INVESTIGATIONS

IRB

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www.ncura.edu ~ 20th Annual Financial Research Administration Conference (FRA) ** Lead Lead Presenter

AGENDA |

Monday, March 11, 2019

10:15 – 11:30 am ~ Education Sessions CONCURRENT SESSIONS CONTINUED DEPARTMENTAL F Basic CRITICAL POINTS OF THE POST-AWARD PROCESS: SETTING THE STAGE TO BE A SUCCESSFUL DEPARTMENTAL RESEARCH ADMINISTRATOR

Departmental research administrators are responsible for the day-to-day oversight and management of the administrative aspects of sponsored program activities within institutional units/departments. At a minimum, the responsibilities of a departmental administrator include: assisting departmental investigators with proposal preparation, serving as a liaison between the principal investigator and the central research office, and monitoring all administrative tasks specific to a sponsored project. The incumbent is also responsible for possessing a familiarity with institutional, state, and federal regulations specific to grant/contract management.

Facilitation of the aforementioned efforts begin at the proposal stage and continue until the close out of the award. This session is focused on the key aspects of PostAward activities which are critical to ensure the success of a departmental administrator.

LEARNING OBJECTIVES • Participants will learn tips on how to communicate frequently with principal investigators to keep them apprised of the project’s financial position at regular intervals of time and assist them in the administration of awards.

• Participants will have increased knowledge of project expenditures which includes accurate and full recovery of project-specific overhead charges; on-time revenue recognition; and monitoring costs to ensure allowability, allocability, reasonableness, and consistency.

PREREQUISITES None

Timothy Schailey*, Director, Research Administration, Office of Research Administration, Thomas Jefferson University Erin E. Bailey, Chief Financial Officer, Clinical and Translational Research Institute, University at Buffalo

FEDERAL F Update NSF UPDATE

This session will cover new developments at NSF – programs, policies, people and budgets. NSF staff will provide a comprehensive review of what is new and developing at NSF.

LEARNING OBJECTIVES • Participants will learn about current and future NSF budgets, agency priorities, and involvement in electronic initiatives, including advances with proposal submission modernization and Research.gov.

• Participants will learn about the upcoming changes to NSF policies and procedures including the implementation of NSF’s new sexual harassment term and condition.

PREREQUISITES Participants will benefit from a basic understanding of Single IRB.

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

FOLLOW US @NCURA JOIN THE CONVERSATION #NCURAFRA

LAS VEGAS

March 11 – 12 March 13 FRA Conference

FRA/PRA Workshop Day

* Lead Presenter

13

LEADERSHIP

AGENDA |

FINANCIAL

ISSUES

Excellent and very useful conference!

DATA

STREAMLINING

TOOLS

IDEAS NEGOTIATION

FEDERAL

POST-AWARD AGREEMENTS

POLICY

PARTNERSHIPS SERVICE BEST METHODS

PRACTICES

GRANTS

AUDIT

ERA PROCESS

DEPARTMENTAL

COMMUNICATION CLINICAL TRIALS

INTERNATIONAL

STRATEGY

ALLOWABILITY

BUDGET

SPONSORED PROGRAMS

REPORTING

DIVERSITY

SUPPORT ANALYTIC

HUMAN CAPITAL

ADMINISTRATOR

PUI

FINANCIAL COMPLIANCE F Advanced FEAR OF COMMITMENT: TRACKING COMMITMENT AT YOUR INSTITUTION

Is including a percentage of salary really a commitment of time/effort being made at time of proposal submission? Or, are you proposing an estimate of cost to perform the project? Maybe both, or neither, depending on sponsor guidelines? Many institutions track commitments made at time of proposal and throughout the life of the award. Is this necessary and/or required? What exactly is being tracked – commitment of time, requested compensation, data for current and pending support, time reporting on a progress report or allocation of salary during the award? Or some combination of all of these? This session will focus on the different, and sometimes conflicting, guidance provided by sponsors and the associated risks of tracking and using commitments to answer very different questions.

LEARNING OBJECTIVES • Participants will review the differences between commitment of time and allocation of salary.

• Participants will discuss the juxtaposition of faculty and administration perspectives of “e-tracking” and reporting.

• Participants will have a basic understanding of the different agency perspectives.

PREREQUISITES Participants should have an intermediate level of understanding of Pre-Award and financial management requirements for federal awards.

Includes Knowledge Checks and Certificate of Completion for the Individual Learner

Register today, and start the first lesson anytime that works for your schedule. You will have TEN WEEKS, from the first time you access the first lesson to complete the course. ➤

COSTS

DEVELOPMENT

CONCURRENT SESSIONS CONTINUED

Self Paced! 10 WEEK ONLINE TUTORIALS

RELATIONSHIPS

EFFORT

10:15 – 11:30 am ~ Education Sessions

Lisa E. Mosley*, Executive Director, Office of Sponsored Projects, Yale University Jeremy A. Forsberg, Assistant Vice President of Research, Office of Research Administration, The University of Texas at Arlington Roseann L. Luongo, Associate Director, Training and Compliance, Office of Sponsored Programs, Harvard University David Ngo, Associate Provost, Sponsored Programs Administration, The New School

COMPLIANCE COLLABORATION

Monday, March 11, 2019

➤ ➤

A Primer on Subawards Under Federal Assistance Awards

An overview of the complex process from drafting and negotiating through review. (10 Chapters)

A Primer on Federal Contracting

Understand the contracting process, regulations, negotiations and risks. (14 Chapters)

A Primer on Intellectual Property Agreements

A broad introduction to the basics through actual research and licensing agreements, plus negotiation tips. (10 Chapters)

A Primer on Clinical Trials Management RESEARCH ➤ Focused on Clinical Trials Management, including key administrative, financial,

INVESTIGATIONS

IRB

14

and regulatory issues that arise in planning through close-out. (6 Chapters)

VISIT https://onlinelearning.ncura.edu to register www.ncura.edu ~ 20th Annual Financial Research Administration Conference (FRA) ** Lead Lead Presenter

AGENDA |

Monday, March 11, 2019

10:15 – 11:30 am ~ Education Sessions CONCURRENT SESSIONS CONTINUED GLOBAL for U.S. Participants F Overview NAVIGATING THE EUROPEAN PARTICIPANT PORTAL FROM GRANT SUBMISSIONS TO FINANCIAL REPORTING

Learn how to navigate the number one entry point, The Funding and Tenders Portal (formerly known as the Participant Portal), in relation to funding from the European Union. This session will start with how to get access and how to designate the right roles to the right persons in your organization. Participants will get an overview of the application process, from how to find general information and specific calls to how to proceed with submission of an application. The major part of the session will focus on the composition and submission of the Financial Statement and the CFS (Certificate of Financial Statement).

LEARNING OBJECTIVES • Participant will get a basic understanding of the Funding and Tenders Portal and how to navigate it.

• Participants will learn the EU terminology for Signing Officials, such as how to get and give access to the portal.

• Participants will learn where to find information and guidelines in relation to H2020 project.

• Participants will learn how to find a call and submit a proposal via the portal.

• Participant will learn how to submit a financial report via the Funding and Tenders Portal.

PREREQUISITES None

Anna-Karin Consoli*, EU/U.S. Grant Manager, Grants Management Office, Karolinska Institutet Anna Hansson, Administrative Officer, Central Administration, Finance Office, Karolinska Institutet

HUMAN CAPITAL F Overview CHANGE MANAGEMENT – DOING MORE WITH LESS

Your departmental budget has been cut and you’ve been tasked with reducing your staffing levels, yet the work still has to be completed. This session will focus on ways to positively adopt and respond to changes within your institution when your resources have been reduced – staffing, budget, training, etc.

LEARNING OBJECTIVES • Participants will be able to recognize their institution’s culture and structure.

• Participants will be able to identify the resources needed to complete tasks within their team and identify potential efficiencies in those processes.

PREREQUISITES None

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

HUMAN CAPITAL F Intermediate CLIMATE CHANGE: HOW CURRENT TRENDS IN HIGHER EDUCATION WILL NECESSITATE A NEW RESEARCH ADMINISTRATION BUSINESS MODEL

Universities are dealing with numerous external threats: declining enrollment, rising costs, changing public sentiment, volatile funding streams, and regulations.

These threats are creating challenges with resources, systems, and processes. This session will explore these threats, discuss their impact on Research Administration, and provide participants with short term and long term ideas to adapt to these the changes.

LEARNING OBJECTIVES • Participants will gain an awareness of the current trends in higher education and their impact on Research Administration.

• Participants will be able to decipher where their institution fits in.

• Participants will learn how to develop short term and long term strategies to succeed.

PREREQUISITES Participants will want a basic understanding of how their institution is structured, and typical Research Administration functions.

Adrienne Larmett*, Senior Manager, Baker Tilly Martin B. Smith, Director of Costing and Analysis, Office of Finance and Treasury, Princeton University

LAS VEGAS

March 11 – 12 March 13 FRA Conference

FRA/PRA Workshop Day

* Lead Presenter

15

LEADERSHIP FINANCIAL

ISSUES

STREAMLINING

TOOLS

IDEAS NEGOTIATION I was a first timer and was truly impressed with the information attained.

DATA

FEDERAL

POST-AWARD AGREEMENTS

POLICY

PARTNERSHIPS SERVICE BEST METHODS

PRACTICES

GRANTS

AUDIT

ERA PROCESS

DEPARTMENTAL

COMMUNICATION CLINICAL TRIALS

COMPLIANCE

INTERNATIONAL

COLLABORATION

STRATEGY

ALLOWABILITY

BUDGET EFFORT REPORTING

RELATIONSHIPS

SPONSORED PROGRAMS

DIVERSITY

AGENDA |

Monday, March 11, 2019

10:15 – 11:30 am ~ Education Sessions CONCURRENT SESSIONS PREDOMINANTLY UNDERGRADUATE INSTITUTIONS F Overview F&A SHORT FORM DEVELOPMENT FOR THE PUI

This session is intended for PUIs with <$15 million in funded research and /or the individual who is new to F&A. It will include discussion on F&A under 2 CFR Part 200.

There will be a brief overview of the cost principles and the F&A process.

LEARNING OBJECTIVES • Participants will review the cost principles, direct and F&A costs, the F&A rate calculation, the F&A proposal and pools/bases for Short Form F&A methodology.

PREREQUISITES None

Mira L. Levine*, Senior Manager, MAXIMUS Cheresa Y. Boston, Director, Office of Research and Sponsored Programs, University of North Florida

POST-AWARD/ACCOUNTING/ FINANCE F Intermediate NSF COOPERATIVE AGREEMENTS: POST-AWARD ADMINISTRATION

Large NSF Cooperative agreements often contain many unique terms and conditions, and special reporting and financial requirements which can be challenging to manage. In order to effectively manage these large awards many resources need to be in place to ensure successful Post-Award administration. This session will provide participants with scenarios, management tools, and best practices that have been effective in managing large, complex cooperative agreements issued

by NSF.

LEARNING OBJECTIVES • Participants will learn the differences between NSF Grants and Cooperative Agreements.

• Participants will understand terms and conditions and special requirements that can be associated with cooperative agreements.

• Participants will learn good practices, tools, and resources for managing large complex awards.

PREREQUISITES Participants will need a basic understanding of Post-Award financial management and Uniform Guidance.

Holly Pankow*, Research Administration Coordinator, Mechanical Science and Engineering, University of Illinois at Urbana-Champaign Lacey Holman, Purchasing Coordinator, Prairie Research Institute, University of Illinois at Urbana-Champaign Tamara Roosevelt, Senior Grants & Contracts Coordinator, School of Information Sciences the iSchool of Illinois, University of Illinois at Urbana-Champaign

SUPPORT ANALYTIC

HUMAN CAPITAL

COSTS

DEVELOPMENT

ADMINISTRATOR

PUI

RESEARCH

INVESTIGATIONS

FOLLOW US @NCURA JOIN THE CONVERSATION #NCURAFRA

IRB

16

www.ncura.edu ~ 20th Annual Financial Research Administration Conference (FRA) ** Lead Lead Presenter

AGENDA |

Monday, March 11, 2019

10:15 – 11:30 am ~ Education Sessions CONCURRENT SESSIONS REGULATORY COMPLIANCE F Intermediate SINGLE IRB OPTIMIZATION: STREAMLINING PROCESSES AND MANAGING COSTS

LEARNING OBJECTIVES • Participants will be able to identify and apply the latest NIH guidance and resources to facilitate ongoing implementation of the single IRB policy and to streamline processes.

• Participants will understand types of costing models that can be utilized to direct charge federal grants for single IRB review and other approaches for managing costs.

The NIH Policy on the Use of a Single Institutional Review Board for Multi-Site Research went into effect on January 25, 2018 and Single IRB will be implemented across the remaining Common Rule agencies in January 2020. This session will provide an overview of current approaches and resources for streamlining processes and managing costs.

Lisa Nichols*, Director, Research and Regulatory Reform, Council on Governmental Relations (COGR) Ann Johnson, Director, Institutional Review Board, University of Utah Martha Jones, Executive Director, Human Research Protection Office, Washington University in St. Louis Kerry Peluso, Assistant Vice President for Research Administration and Finance, Florida State University

NCURA

PEER REVIEW

BY RESEARCH ADMINISTRATORS, FOR RESEARCH ADMINISTRATORS

NCURA Peer Reviews bring expert research administrators to your institution to provide detailed, specific recommendations on how to improve operations at your institution. These research administrators bring to your institution an understanding of best practices in models of operation and environments similar to your own.

Learn More:

www.ncura.edu/InstitutionalPrograms.aspx

LAS VEGAS

March 11 – 12 March 13 FRA Conference

FRA/PRA Workshop Day

* Lead Presenter

17

LEADERSHIP FINANCIAL

ISSUES

STREAMLINING

TOOLS

IDEAS NEGOTIATION

Overall, amazing!

I would like to attend again.

DATA

FEDERAL

POST-AWARD AGREEMENTS

POLICY

PARTNERSHIPS SERVICE BEST METHODS

PRACTICES

GRANTS

AUDIT

ERA PROCESS

DEPARTMENTAL

COMMUNICATION CLINICAL TRIALS

COMPLIANCE

INTERNATIONAL

COLLABORATION

STRATEGY

ALLOWABILITY

BUDGET EFFORT REPORTING

RELATIONSHIPS

SPONSORED PROGRAMS

AGENDA |

Monday, March 11, 2019

10:15 – 11:30 am ~ Education Sessions CONCURRENT SESSIONS CONTINUED REGULATORY COMPLIANCE F Intermediate MANAGING CURRENT & PENDING FACULTY COMMITMENTS AND DISCLOSURES. HOW MUCH IS TOO MUCH?

Do you manage current and pending commitments and disclosures for faculty?

The session will be focused on: • NSF and NIH reporting requirements • Major challenges institutions encounter in meeting the reporting requirements • Addressing what can be done to ensure the accuracy of current and pending support disclosures • Applicable external & internal policies and procedures at different organizations related to current & pending commitments and disclosures to federal agencies, including all financial support and resources available in direct support of an individual’s research endeavors and effort committed to the projects • Issues associated with implementing new or revised internal procedures on current & pending support disclosures at departmental & central offices • Best practices for effectively managing current, pending & other support disclosures in a timely manner.

LEARNING OBJECTIVES • Participants will learn to clarify the reporting requirements of federal agencies for current and pending support and “other support” for ongoing projects and proposals.

• Participants will be able to identify challenges institutions face in meeting the reporting requirements.

• Participants will share, exchange & discuss best practices on how to improve the accuracy of reporting at the departmental & central office levels.

PREREQUISITES Participants will want a basic understanding of reporting.

Patrick W. Fitzgerald*, Associate Dean for Research Administration, Harvard University, NCURA Distinguished Educator Rady Rogers, Assistant Director of Research Administration and Finance, John A. Paulson School of Engineering and Applied Sciences, Harvard University

DIVERSITY

SUPPORT ANALYTIC

HUMAN CAPITAL

COSTS

DEVELOPMENT

ADMINISTRATOR

PUI

RESEARCH

INVESTIGATIONS

IRB

18

www.ncura.edu ~ 20th Annual Financial Research Administration Conference (FRA) ** Lead Lead Presenter

AGENDA |

Monday, March 11, 2019

10:15 – 11:30 am ~ Education Sessions DISCUSSION GROUPS FEDERAL FEDERAL BUDGET CONTINUING RESOLUTIONS AND THEIR IMPACT ON NEW AND CONTINUING AWARDS

Continuing resolutions on Federal budgets have become commonplace. Even if the Federal government does not shut down, continuing resolutions have restrictions. This discussion group will allow attendees to learn and share best practices for different types of awards.

Donna R. Kiley*, Director Post-Award, Office of Research and Economic Development, Florida International University Jason Cottam, Director of Budget & Post-Award Administration, Business Office, Doane University

FINANCIAL COMPLIANCE MAKING THE CASE FOR ALLOWABILITY

This discussion will share ideas on how to define allowable, allocable and reasonable costs while adhering to sponsor guidelines, federal regulations, and institutional policies. Participants should come ready to discuss their decision metrics for making the case for allowability. The facilitators and participants will highlight and discuss their own unique situations they’ve encountered in determining if costs are allowable and discuss the current audit environment and findings as they relate to Uniform Guidance Subpart E: Cost Principles.

Anne Albinak*, Director of Research Administration Operations, Whiting School of Engineering, Johns Hopkins University Acia J. Adams-Heath, Senior Staff Accountant, Sponsored Accounting, Massachusetts Institute of Technology

GLOBAL for U.S. and Non-U.S. Participants WORKING ACROSS BORDERS – CHALLENGES IN THE DAILY LIFE OF AN INTERNATIONAL GRANTS MANAGER

World class research nowadays often involves teams of researchers from various countries across the globe. Managing the administration that comes along with international projects often involves different funding sources. International funders can create significant challenge for even the most expert research managers. This discussion group will bring together participants who have been, or anticipate becoming involved in international research management. We will discuss shared experiences, best practices and benchmarking. We will look at a number of specific case studies and share experiences.

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

FOLLOW US @NCURA JOIN THE CONVERSATION #NCURAFRA

LAS VEGAS

March 11 – 12 March 13 FRA Conference

FRA/PRA Workshop Day

* Lead Presenter

19

LEADERSHIP FINANCIAL

ISSUES

STREAMLINING

TOOLS

IDEAS NEGOTIATION

I learned new information, and had fun while doing it.

DATA

FEDERAL

POST-AWARD AGREEMENTS

POLICY

PARTNERSHIPS SERVICE BEST METHODS

PRACTICES

GRANTS

AUDIT

ERA PROCESS

DEPARTMENTAL

COMMUNICATION CLINICAL TRIALS

COMPLIANCE

INTERNATIONAL

COLLABORATION

STRATEGY

ALLOWABILITY

BUDGET EFFORT REPORTING

RELATIONSHIPS

SPONSORED PROGRAMS

DIVERSITY

SUPPORT ANALYTIC

HUMAN CAPITAL

COSTS

DEVELOPMENT

ADMINISTRATOR

AGENDA |

Monday, March 11, 2019

10:15 – 11:30 am ~ Education Sessions DISCUSSION GROUPS CONTINUED HUMAN CAPITAL SWIMMING IN THE SAME STREAM: HOW TO BUILD PRE- AND POST-AWARD PARTNERSHIPS

Pre- and Post-Award offices must be able to work as a team in order to function effectively and efficiently. Throughout the sponsored project life cycle, there are numerous opportunities for these two offices to either help or hinder their counterparts in the administration of an award. This discussion group will identify common scenarios where small actions in one office can have a big impact on the other. Pre- and Post-Award staff will gain perspective into the needs of their colleagues, with the goal of learning how to build more effective partnerships across offices.

Katherine Fleck*, Associate Director, Pre-Award Services, Brown University Marc Todesco, Associate Director, Research Finance, Office for Sponsored Programs, Harvard University

PREDOMINANTLY UNDERGRADUATE INSTITUTIONS TALES FROM THE PUI PEER REVIEWERS: UNDERSTANDING BEST PRACTICES IN FINANCIAL RESEARCH ADMINISTRATION

Experienced peer reviewers who have conducted reviews at Predominantly Undergraduate Institutions (PUIs) will share the best practices in financial Research Administration seen at small PUIs. Come listen, learn, ask questions, and share your own best practices.

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

REGULATORY COMPLIANCE STRATEGIES FOR MONITORING COMPLIANCE

Compliance requires a comprehensive program that helps institutions and their employees conduct operations and activities ethically; with the highest level of integrity, while meeting legal and regulatory requirements. Most compliance risks have potential significance across multiple functions, so risk management encourages coordination and consensus building. In our discussion group, we’ll share practical strategies for overcoming compliance challenges, identify and prioritize your own research risk areas for compliance plan development, implementation and monitoring.

Kairi D. Williams*, Associate Vice Provost, Research Integrity Officer, Operations & Compliance, Office of Research, Drexel University Jason Connell, Executive Director, Compliance & Privacy, Drexel University Alma Starks, Assistant Director, Post-Award Manager, George Washington University

11:30 am – 1:00 pm ~ Networking Luncheon

PUI

RESEARCH

INVESTIGATIONS

IRB

20

www.ncura.edu ~ 20th Annual Financial Research Administration Conference (FRA) ** Lead Lead Presenter

AGENDA |

Monday, March 11, 2019

1:00 – 2:15 pm ~ Education Sessions CONCURRENT SESSIONS DEPARTMENTAL F Intermediate POST-AWARD ADMINISTRATION FOR DEPARTMENTAL ADMINISTRATORS

This session will cover all aspects of Post-Award administration starting with the beginning of the PostAward process, review of award notices and set up of the project within a departmental financial system through the end of the process, assisting the Research Finance Office with the analytics of the final financial report.

The presenters will include Post-Award Directors from both Institutes of Higher Education and Hospitals who will identify industry best practices. They will present valuable tips on how to control the grant activity and communicate essentials to both the Principal Investigator and the Central Finance Office.

LEARNING OBJECTIVES • Participants will learn the essentials of Post-Award Administration for departmental administrators.

• Participants will be able to identify the key financial aspects of the award notice.

• Participants will be able to identify steps in monitoring grant activity, important data elements to provide principal investigators and how best to communicate with the Central Post-Award Office.

• Participants will be able to set up the grant in a budget monitoring system.

Robert Cohen*, Manager, Attain Suzanne Locke, Director, Research Finance, Albert Einstein College of Medicine Karen Renaud, Manager, Research Finance, Children’s Hospital - Boston Rady Rogers, Assistant Director of Research Administration and Finance, John A. Paulson School of Engineering and Applied Sciences, Harvard University

March 25-27, 2019 Portland, OR Departmental Research Administration Level I: Fundamentals of Sponsored Project Administration

NCURA TRAVELING WORKSHOPS Education

Connection

LAS VEGAS

Collaboration

March 11 – 12 March 13 FRA Conference

FRA/PRA Workshop Day

Level II: Sponsored Project Administration Workshop

REGISTER TODAY www.ncura.edu/travelingworkshops

* Lead Presenter

21

LEADERSHIP FINANCIAL

ISSUES

STREAMLINING

TOOLS

IDEAS NEGOTIATION

I enjoyed the excitement of participation and networking!

DATA

FEDERAL

POST-AWARD AGREEMENTS

POLICY

PARTNERSHIPS SERVICE BEST METHODS

PRACTICES

GRANTS

AUDIT

ERA PROCESS

DEPARTMENTAL

COMMUNICATION CLINICAL TRIALS

COMPLIANCE

INTERNATIONAL

COLLABORATION

STRATEGY

ALLOWABILITY

BUDGET EFFORT REPORTING

RELATIONSHIPS

SPONSORED PROGRAMS

DIVERSITY

SUPPORT ANALYTIC

HUMAN CAPITAL

Monday, March 11, 2019

1:00 – 2:15 pm ~ Education Sessions CONCURRENT SESSIONS CONTINUED FEDERAL F Update NIH UPDATE

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

FINANCIAL COMPLIANCE F Basic COST TRANSFERS: MINIMIZING THE NEED, MONITORING THE PROCESS AND MANAGING THE RISK

Cost transfers have come under high scrutiny in recent audits. While the simplest suggestion is to prevent them altogether, in many cases they are unavoidable. This session will explore the federal requirements surrounding cost transfers and examine how two different institutions have implemented policies to monitor compliance and mitigate the risk associated with these types of transactions. We will discuss ways to ensure all cost transfers are appropriate, timely, and most importantly, sufficiently documented.

LEARNING OBJECTIVES • Participants will become familiar with audit compliance issues related to documentation and timing of cost transfers.

• Participants can expect to leave the session with best practices for minimizing the need for cost transfers and managing them appropriately when the transactions are necessary. These best practices will serve as a guide for participants to evaluate their own institutional policies for compliance.

PREREQUISITES None

Kristi L. Bazata*, Director, Research Policy & Indirect Cost, Columbia University in the City of New York Diana Weber, Assistant Director, Post-Award, University of Kansas Medical Center

COSTS

DEVELOPMENT

AGENDA |

ADMINISTRATOR

PUI

RESEARCH

INVESTIGATIONS

IRB

22

www.ncura.edu ~ 20th Annual Financial Research Administration Conference (FRA) ** Lead Lead Presenter

AGENDA |

Monday, March 11, 2019

1:00 – 2:15 pm ~ Education Sessions CONCURRENT SESSIONS CONTINUED FINANCIAL COMPLIANCE F Advanced FEDERAL INVESTIGATIONS/FALSE CLAIMS

As competition for federal funds becomes increasing fierce, and internal resources ever more scarce, the incentive to “cut corners” on institutional compliance programs becomes more attractive. Counterbalancing those issues, however, is that federal enforcement efforts in the research space remain robust and the relators bar continues to view universities as attractive targets for whistleblower suits in a number of different areas, including sponsored research. Join us for a session that will address emerging trends and hot topics in the area of sponsored research-focused enforcement activity.

LEARNING OBJECTIVES • Participants will gain an understanding of the “nuts & bolts” of the False Claims Act. • Participants will be provided with an overview of the some current “hot topics” in research-related enforcement, including summaries of several recent False Claims Act settlements focused on research.

• Participants will be offered some practical advice to avoid and/or mitigate enforcement activity.

• Participants will have an opportunity to discuss effective research compliance programs.

PREREQUISITES Participants will need an understanding of sponsored research-focused enforcement activities.

Michael Vernick*, Partner, Hogan Lovells Megan M. Mason, Associate, Hogan Lovells

GLOBAL for U.S. and Non-U.S. Participants F Overview SUB-AWARD MONITORING: PERSPECTIVES FROM THE VIEW OF THE SUBAWARDEE AND THE PASSTHROUGH ENTITY

Subawards under Federal Assistance Awards are one of the primary ways that institutions collaborate both domestically and globally. After award execution, the pass-through entity and the sub awardee must continue to work together through the end of the project. In this session, we will provide an overview of federal regulations governing subrecipient monitoring and discuss roles and responsibilities to assist participants in developing and/or maintaining a compliant program. We’ll also explore some good business practices for subrecipient monitoring and how best to communicate those practices with your subawardees. This session is designed to benefit individuals involved in managing U.S. Federal Awards, as either prime awardees or subawardees, and will include some discussion of complex federal grants, cooperative agreements. Come discuss the challenges of risk assessments and monitoring of foreign subawardees.

LEARNING OBJECTIVES • Participants will gain a better understanding of the responsibilities of pass-through entities in relation to their subawardees.

• Participants will also acquire strategies for addressing day-to-day monitoring issues as well as tips for assessing and monitoring foreign subawardees.

PREREQUISITES None

Tracey Westervelt*, Director, Research Finance, Harvard University Anne Pifer, Senior Director, Huron

FOLLOW US @NCURA JOIN THE CONVERSATION #NCURAFRA

LAS VEGAS

March 11 – 12 March 13 FRA Conference

FRA/PRA Workshop Day

* Lead Presenter

23

LEADERSHIP FINANCIAL

ISSUES

STREAMLINING

TOOLS

IDEAS NEGOTIATION

A great, engaging conference.

DATA

FEDERAL

POST-AWARD AGREEMENTS

POLICY

PARTNERSHIPS SERVICE BEST METHODS

PRACTICES

GRANTS

AUDIT

ERA PROCESS

DEPARTMENTAL

COMMUNICATION CLINICAL TRIALS

COMPLIANCE

INTERNATIONAL

COLLABORATION

STRATEGY

ALLOWABILITY

BUDGET EFFORT REPORTING

RELATIONSHIPS

SPONSORED PROGRAMS

DIVERSITY

SUPPORT ANALYTIC

HUMAN CAPITAL

Monday, March 11, 2019

1:00 – 2:15 pm ~ Education Sessions CONCURRENT SESSIONS CONTINUED GLOBAL for U.S. Participants F Advanced RESEARCH ABROAD: OPERATIONAL AND FINANCIAL STRATEGIES FOR SUPPORTING RESEARCH AT INTERNATIONAL SITES

Does this sound like your life as a research administrator? Your PI is heading abroad for their sponsored project – they email their colleagues, book their plane ticket, arrange to have two of their post-docs join them on the trip, grabs their laptop and they are off. Everything is taken care of, right? Oh wait – you need to hire local staff. Oh wait – you need a local bank account to get cash for small purchases.

Oh wait – you need to lease space. Oh wait – you need to know what your local tax obligations are… what?? Stop!

LEARNING OBJECTIVES • Participants will learn about operational and financial considerations at proposal and award time, and what should be worked out before the project begins.

• Participants will learn about what to do and not to do during the life of the project through case studies.

• Participants will learn about what to look for to anticipate and manage or mitigate problems.

PREREQUISITES Participants will want prior experience with sponsored research performed abroad.

Then financial reports are due, and the award was issued in the local currency.

What conversion rate should you use? For what day/period and what source? You get to the end of the award and you must have an audit performed under International Auditing Guidelines. Your U.S. auditor is unable to perform the audit requiring you to engage an auditor from that other country to perform the audit that is due in 60 days. Who pays for the audit?

While the PI just wants to do their research, there are many operational and financial considerations when it comes to carrying out research on international soil. This session will address how to best plan for research abroad and what to do during the life of the project.

Katherine Ho*, Executive Director and Deputy to the Associate Vice President, Office of Research Administration, Office of Sponsored Research, Stanford University Timothy E. Reuter, Director, Post-Award, Office of Sponsored Research, Stanford University

COSTS

DEVELOPMENT

AGENDA |

ADMINISTRATOR

PUI

RESEARCH

INVESTIGATIONS

IRB

24

www.ncura.edu ~ 20th Annual Financial Research Administration Conference (FRA) ** Lead Lead Presenter

AGENDA |

Monday, March 11, 2019

1:00 – 2:15 pm ~ Education Sessions CONCURRENT SESSIONS CONTINUED HUMAN CAPITAL F Advanced 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 want 3 years of management experience.

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

HUMAN CAPITAL F Overview HOW TO CONVEY BAD NEWS

In an environment of increasing compliance requirements and decreasing awards for research funding, the likelihood you’ll have to convey “bad news” is extremely high.

LEARNING OBJECTIVES • Participants will learn how to employ the strategies presented to deliver bad news with a minimum of pain.

PREREQUISITES None

As a component of overall leadership development, we will discuss some of the hallmarks of effective communication and emotional intelligence to provide scaffolding.

Bring examples of bad news you’ve had to convey, associated reactions and how we can apply the strategies learned to lessen the pain and stress for all parties.

Patricia McNulty*, Principal Consultant, Concurrent Research Shella Batelman, Senior Research Administrator, Beth Israel Deaconess Medical Center

FOLLOW US @NCURA JOIN THE CONVERSATION #NCURAFRA

LAS VEGAS

March 11 – 12 March 13 FRA Conference

FRA/PRA Workshop Day

* Lead Presenter

25

LEADERSHIP FINANCIAL

ISSUES

Outstanding conference!

DATA

STREAMLINING

TOOLS

IDEAS NEGOTIATION

FEDERAL

POST-AWARD AGREEMENTS

POLICY

PARTNERSHIPS SERVICE BEST METHODS

PRACTICES

GRANTS

AUDIT

ERA PROCESS

DEPARTMENTAL

COMMUNICATION CLINICAL TRIALS

COMPLIANCE

INTERNATIONAL

COLLABORATION

STRATEGY

ALLOWABILITY

BUDGET EFFORT REPORTING

RELATIONSHIPS

SPONSORED PROGRAMS

DIVERSITY

SUPPORT ANALYTIC

HUMAN CAPITAL

Monday, March 11, 2019

1:00 – 2:15 pm ~ Education Sessions CONCURRENT SESSIONS CONTINUED POST-AWARD/ACCOUNTING/FINANCE F Basic 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 a data table and database.

• Participants will learn how to build lookup tables and use formulas to better categorize and summarize your data.

• Participants will learn how to make data work for them by building and modifying Pivot Tables.

• Participants will walk away with some handy Excel tips and tricks.

PREREQUISITES None

Gaye Bugenhagen*, Director of Administrative Services, Department of Sociology, University of Maryland, College Park Rebecca Hunsaker, Director of Research Administration, College of Behavioral and Social Services, University of Maryland, College Park Diane M. Meyer, Project Management Specialist, Office of Sponsored Programs, Iowa State University

POST-AWARD/ACCOUNTING/ FINANCE F Advanced METRICS FOR POST-AWARD/ RESEARCH FINANCE

What do we really need to measure in the Post-Award world? When is it time to setup a new account? Are we compliant with invoicing requirements and closeout, etc.? This session dives into the metrics that matter in the Post-Award world. Are we getting our job done in a way that research is facilitated? Do researchers feel overly burdened? Are accounts receivable reasonable? Do Post-Award staff feel their workload is manageable?

LEARNING OBJECTIVES • Participants will be able to identify the metrics that are critical to measuring the efficacy of a Post-Award office.

• Participants will be able to formulate strategic plans that address areas of concern.

PREREQUISITES Participants will need a working knowledge of Post-Award processes.

Susan Wyatt Sedwick*, Senior Consultant, Attain Rashonda Harris, Associate Director, Post-Award Operations, Emory University

COSTS

DEVELOPMENT

AGENDA |

ADMINISTRATOR

PUI

RESEARCH

INVESTIGATIONS

IRB

26

www.ncura.edu ~ 20th Annual Financial Research Administration Conference (FRA) ** Lead Lead Presenter

AGENDA |

Monday, March 11, 2019

1:00 – 2:15 pm ~ Education Sessions CONCURRENT SESSIONS CONTINUED PREDOMINANTLY UNDERGRADUATE INSTITUTIONS F Overview IRS TAX COMPLIANCE AT A PUI: POINTS TO PONDER

This session will address the major United States Internal Revenue Service (IRS) tax compliance issues involving International visitors and students, Unrelated Business Income Taxes (UBIT) as well as Private Business Use of specific bonds used for building and renovations. Many PUIs do not have dedicated staff for these specific tax issues which could put institutions at risk of IRS tax violations. The institution could also face financial challenges should these tax issues be mishandled. This interactive session will provide ample opportunity to participate and share information.

LEARNING OBJECTIVES • Participants will learn how to determine whether you have Private Business Usage Bond and what steps to take to ensure compliance.

• Participants will be able to identify international tax issue triggers.

• Participants will learn what steps to take to ensure compliance with UBIT Unrelated Business Income Tax. • Participants will develop talking points to start tax conversations on your campus.

PREREQUISITES None

Panda S. Powell*, Director of Sponsored Programs and Research Compliance, University of North Carolina at Wilmington Carolyn Elliott-Farino, Executive Director, Office of Research, Kennesaw State University

REGULATORY COMPLIANCE F Advanced HOT TOPICS IN FINANCIAL REGULATORY COMPLIANCE

After a flurry of reports near the end of the last administration calling for reductions in administrative burden, we have heard about several federal initiatives (including the President’s Management Agenda) intended make government more efficient and effective, such as reductions in burden. But where are we now and what might we expect in the future? This session will include a short review of some of the more significant proposals to reduce financial regulatory burden, a summary of some of the actions taken by our community to capitalize on those recommendations and subsequent initiatives, and an open discussion about what we might be able to do to make the most of these potential opportunities.

LEARNING OBJECTIVES • Participants will be able to recall significant proposals to reduce financial regulatory burden.

• Participants will learn to develop a more comprehensive understanding of current initiatives that might impact this burden.

• Participants will be able to identify potential for further action by research institutions to encourage reductions in financial regulatory burden.

PREREQUISITES Participants will want familiarity with relevant components of: American Innovation and Competitiveness Act; 21st Century Cures Act; the NAS Committee on Federal Research Regulations and Reporting Requirements Report, Optimizing the Nation’s Investment in Academic Research; and the President’s Management Agenda.

Cynthia Hope*, Assistant Vice President for Research & Director of Sponsored Programs, The University of Alabama, NCURA Distinguished Educator Vivian Holmes, Assistant Dean for Research Administration, Sponsored Research, School of Public Health, Boston University

FOLLOW US @NCURA JOIN THE CONVERSATION #NCURAFRA

LAS VEGAS

March 11 – 12 March 13 FRA Conference

FRA/PRA Workshop Day

* Lead Presenter

27

LEADERSHIP FINANCIAL

ISSUES

I enjoyed the chance to interact with colleagues.

DATA

STREAMLINING

TOOLS

IDEAS NEGOTIATION

FEDERAL

POST-AWARD AGREEMENTS

POLICY

PARTNERSHIPS SERVICE BEST METHODS

PRACTICES

ERA GRANTS AUDIT

PROCESS

DEPARTMENTAL

COMMUNICATION CLINICAL TRIALS

COMPLIANCE

INTERNATIONAL

COLLABORATION

STRATEGY

ALLOWABILITY

BUDGET EFFORT REPORTING

RELATIONSHIPS

SPONSORED PROGRAMS

DIVERSITY

SUPPORT ANALYTIC

HUMAN CAPITAL

COSTS

DEVELOPMENT

ADMINISTRATOR

PUI

RESEARCH

INVESTIGATIONS

IRB

28

AGENDA |

Monday, March 11, 2019

1:00 – 2:15 pm ~ Education Sessions DISCUSSION GROUPS CLINICAL/MEDICAL BOOK DISCUSSION: THE IMMORTAL LIFE OF HENRIETTA LACKS

Have you read the award winning book by Rebecca Skloot or watched the HBO special starring Oprah Winfrey Come prepared to discuss how we, as Research Administrators, can learn from knowing this true story of clinical trial advances, participant consent and data privacy.

Nicole Nichols*, Research Administrator, Medical and Breast Oncology Sections, Department of Internal Medicine, Washington University in St. Louis Amy Caby, Grant Specialist II, Department of Neurology, Washington University in St. Louis Kiara Calbart, Research Financial Analyst, Anne Arundel Medical Center Miriam Colunga, Senior Federal Grant Accountant, Methodist Healthcare Ministries

DEPARTMENTAL TURNING A LOSS INTO A WIN: HOW TO PREPARE YOURSELF FOR THE WORST

As research administrators, we all have nightmares about certain purchases on sponsored awards. We spend nights lying awake in bed thinking about what could have been done to prevent these situations.

Come, lay on our couch- let’s talk about it. In this discussion group, we would like to share experiences and ideas to prevent and/or work through (noting that we can’t always prevent them) situations that may be considered red flags through proactive PI management.

Marissa Consalvi*, Senior Financial Reporting Specialist, Department of Animal Science, Cornell University Theresa Lagasse, Senior Financial Reporting Specialist, Department of Biological and Environmental Engineering, Cornell University Laci U. Ulrich, Grant Coordinator, Life Span Institute, University of Kansas

FEDERAL NSF GRANT AWARD AND ADMINISTRATION Q&A WITH NSF STAFF

NSF staff will be on hand to answer all of your Post-Award NSF assistance-related questions.

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

FEDERAL THE IMPACT OF THE ANTI-DEFICIENCY ACT DURING THE PARTIAL FEDERAL SHUTDOWN

Federal funds are large source of support to higher education in the U.S. The budget and appropriations process for funding federal programs can seem exceptionally complicated. For example, the Anti-deficiency Act (ADA) is legislation enacted originally in 1884 by the United States Congress to prevent the incurring of obligations or the making of expenditures in excess of amounts available in appropriations or funds. The existence of this Act led to the recent partial Federal shutdown. Wouldn’t it be nice to be able to explain some of the mystery to colleagues, friends and relatives? Join us for a discussion on how to make sense of this complex process.

Deborah Shaver*, Director, Office of Sponsored Programs, University of Idaho Wade Wargo, Director, University Business Affairs, Office of Naval Research

www.ncura.edu ~ 20th Annual Financial Research Administration Conference (FRA) ** Lead Lead Presenter

AGENDA |

Monday, March 11, 2019

1:00 – 2:15 pm ~ Education Sessions DISCUSSION GROUPS CONTINUED PREDOMINANTLY UNDERGRADUATE INSTITUTIONS

FINANCIAL RESEARCH ADMINISTRATION: ASSESSING RISKS AT PUIs

Assessing risk in financial research administration is important particularly for newer and smaller sponsored programs operations. The presenters will share experiences conducting risk assessments and provide tools and frameworks utilized to assess risk and ensure strong financial operations with limited staffing.

Kris A. Monahan*, Director, Sponsored Projects and Research Compliance, Providence College Sylvia Bradshaw, Director of Sponsored Programs, Dixie State University

REGULATORY COMPLIANCE SINGLE IRB OPTIMIZATION: STREAMLINING PROCESSES AND MANAGING COSTS (follow-up to concurrent session on Monday at 10:15 am)

The NIH Policy on the Use of a Single Institutional Review Board for Multi-Site Research went into effect on January 25, 2018 and Single IRB will be implemented across the remaining Common Rule agencies in January 2020. Join us to discuss current approaches and resources for streamlining processes and managing costs.

Lisa Nichols*, Director, Research and Regulatory Reform, Council on Governmental Relations (COGR) Ann Johnson, Director, Institutional Review Board, University of Utah Martha Jones, Executive Director, Human Research Protection Office, Washington University in St. Louis Kerry Peluso, Assistant Vice President for Research Administration and Finance, Florida State University

2:15 – 2:45 pm Networking and Refreshment Break NCURA’s Commitment to Diversity and Inclusion The Impact of NCURA Membership

FOLLOW US @NCURA JOIN THE CONVERSATION #NCURAFRA

LAS VEGAS

March 11 – 12 March 13 FRA Conference

FRA/PRA Workshop Day

* Lead Presenter

29

LEADERSHIP

AGENDA |

FINANCIAL

ISSUES

STREAMLINING

TOOLS

IDEAS NEGOTIATION

I liked the people.

I learned a lot from talking to the other attendees.

DATA

FEDERAL

POST-AWARD AGREEMENTS

POLICY

PARTNERSHIPS SERVICE BEST

GRANTS

ERA PROCESS AUDIT

2:45 – 3:45 pm ~ Education Sessions IGNITE SESSIONS CLINICAL/MEDICAL

MODERATOR: Michael B. Amey, Senior Associate Dean for Research Affairs, Johns Hopkins University School of Medicine 2:45 – 3:00 PM

Rising Health Care Costs and the Impact on Clinical Research

Theresa R. Caban*, Grant & Contract Officer II, Office of Sponsored Research Administration, Kaiser Foundation Research

METHODS

PRACTICES

DEPARTMENTAL

COMMUNICATION CLINICAL TRIALS

COMPLIANCE

INTERNATIONAL

COLLABORATION

STRATEGY

ALLOWABILITY

BUDGET EFFORT REPORTING

RELATIONSHIPS

SPONSORED PROGRAMS

DIVERSITY

SUPPORT ANALYTIC

HUMAN CAPITAL

COSTS

DEVELOPMENT

ADMINISTRATOR

PUI

RESEARCH

Monday, March 11, 2019

3:10 – 3:25 PM

Common Financial Compliance Issues on Clinical Research Studies

James A. Hulbert*, Assistant Director, Financial Compliance, PatientCentered Outcomes Research Institute (PCORI) Megan Mesko, Manager, Cotton & Company LLP

3:35 – 3:45 PM

Creating Systems in a Growing Hospital Health System

Felicia D. Beanum*, Executive Director, Sponsored Research & Funds Administration, Cedars-Sinai Medical Center

DEPARTMENTAL

MODERATOR: Glenda A. Bullock, Director of Research and Business Administration, Divisions of Hematology, Rheumatology, Allergy & Immunology, Washington University in St. Louis 2:45 – 3:00 PM

3:10 – 3:25 PM

3:35 – 3:45 PM

Nancy A. Reidelberger*, Senior Research Administrator, Division of Oncology, Washington University in St. Louis

Geraldine M. Pierre*, Senior Research Administrator, Sponsored Programs Administration, Boston VA Research Institute

Derick F. Jones*, Program Manager, Translational Genomics and Population Sciences, Los Angeles Biomedical Research Institute

Managing Multi-Project Grants

Checklist: Your Ace in The Hole

3 Tools for Successful DRA Collaborations

FEDERAL

MODERATOR: Cynthia J. Kane, Assistant Vice President, Office of Research and Sponsored Programs, Lehigh University 2:45 – 3:00 PM

3:10 – 3:25 PM

3:35 – 3:45 PM

Ilene Caruso*, Senior Accountant, Division of Financial Management, National Science Foundation

Denise M. Moody*, Senior Director of Research Compliance, Research Administration Services, Faculty of Arts, Harvard University

Chris Berner*, Head of Grantee Cash Management, Division of Financial Management, National Science Foundation

Cash Management Operational Processes and Procedures

FDP Expanded Clearinghouse Pilot

Federal Appropriations Law and No-cost Extensions

FINANCIAL COMPLIANCE

MODERATOR: Nancy L. Wilkinson, Director of Finance-Florida Agricultural Experiment Station, University of Florida 2:45 – 3:00 PM

F&A: Run the Numbers Before You Take the One-Time 4 Year Extension Kari Kelly*, Director, Huron

3:10 – 3:25 PM

3:35 – 3:45 PM

Amanda R. Watts*, Managing Fiscal Coordinator, Research Office, Oregon State University

Zachary Belton*, Senior Director, Huron

NSF Research Vessels

Animal Rate Calculation, CARS and Flying Candy – A Live Demonstration

INVESTIGATIONS

IRB

30

www.ncura.edu ~ 20th Annual Financial Research Administration Conference (FRA) ** Lead Lead Presenter

AGENDA |

Monday, March 11, 2019

2:45 – 3:45 pm ~ Education Sessions IGNITE SESSIONS CONTINUED GLOBAL for U.S. and Non-U.S. Participants

MODERATOR: Claire Y. Chen, Manager, NCURA Global, National Council of University Research Administrators 2:45 – 3:00 PM

3:10 – 3:25 PM

Amanda Humphrey*, Director of Award Administration, Research Enterprise Services, Northeastern University

Fadia Homeidan*, Director of Grants and Contracts and Technology Transfer, American University of Beirut

International Collaborations

Global Subrecipient Monitoring

3:35 – 3:45 PM

Terminology Guide: EU-U.S. – Is a Grant Really a Grant?

Tashtiana M. Price*, U.S. Grants Financial Manager, Grants Management Office, Karolinska Institutet

HUMAN CAPITAL

MODERATOR: Kathleen Larmett, Executive Director, National Council of University Research Administrators 2:45 – 3:00 PM

3:10 – 3:25 PM

3:35 – 3:45 PM

Heather Dominey*, Assistant Director, Post-Award Services, Office of Sponsored Projects, Brown University

Patrick W. Fitzgerald*, Associate Dean for Research Administration, Harvard University, NCURA Distinguished Educator

Robert C. Andresen*, Director of Research Financial Services, University of Wisconsin-Madison, NCURA Distinguished Educator

Delegate? Can’t I Just Do It Myself?

Classroom or Online Education: What’s the Difference?

Creating a Pipeline to Meet the Skills Gap

POST-AWARD/ACCOUNTING/FINANCE

MODERATOR: Cathy Snyder, Director, Vanderbilt Costing Activities, Office of Contract & Grant Accounting, Vanderbilt University 2:45 – 3:00 PM

How to Prepare for and Navigate Through Obstacles that Can Arise When it is Time for a Final Closeout

Brigidann Cooper*, Program Coordinator, Medical Genetics, Los Angeles Biomedical Research Institute

3:10 – 3:25 PM

3:35 – 3:45 PM

Brigidann Cooper*, Program Coordinator, Medical Genetics, Los Angeles Biomedical Research Institute Akilah Y. Pruitt, Senior Contract & Grant Officer, Office of Research, University of California-Irvine

Kairi D. Williams*, Associate Vice Provost, Research Integrity Officer, Operations & Compliance, Office of Research, Drexel University

Smooth Transitions, A Guide to Welcoming a Transfer PI

Tips and Tricks in Preparing for an Audit

PREDOMINANTLY UNDERGRADUATE INSTITUTIONS

MODERATOR: Carolyn Elliott-Farino, Executive Director, Office of Research, Kennesaw State University 2:45 – 3:00 PM

3:10 – 3:25 PM

Jason Cottam*, Director of Budget & Post-Award Administration, Business Office, Doane University

Jeffrey J. Ritchie*, Director of Sponsored Research, Office of Sponsored Programs, Hamilton College

Working with Internal and External Auditors at PUIs

Working with Faculty at PUIs on FRA

3:35 – 3:45 PM

Working Across Offices/ Divisions to Get to Yes at a PUI

Travis Songer*, Grants Financial Manager, Office of Corporate, Foundation and Sponsored Programs, Olin College of Engineering

REGULATORY COMPLIANCE

MODERATOR: Martin B. Smith, Director of Costing and Analysis, Princeton University 2:45 – 3:00 PM

What Post-Award Needs to Know About the IRB and IACUC

Kirstin Morningstar*, Director of Regulatory Services, Research Administration, The University of Texas at Arlington

LAS VEGAS

3:10 – 3:25 PM

3:35 – 3:45 PM

David M. Schultz*, Assistant Vice President, Research Administration and Finance, Rensselaer Polytechnic Institute

Jeff M. Seo*, Assistant Vice-Provost for Research Compliance, Office of Research, Northeastern University

The High-Level Impact of Regulatory Burden

March 11 – 12 March 13 FRA Conference

FRA/PRA Workshop Day

Research Compliance Headlines from 2018

* Lead Presenter

31

LEADERSHIP FINANCIAL

ISSUES

STREAMLINING

TOOLS

IDEAS NEGOTIATION

Great to hear how others handled different situations.

DATA

FEDERAL

POST-AWARD AGREEMENTS

POLICY

PARTNERSHIPS SERVICE BEST METHODS

PRACTICES

GRANTS

AUDIT

ERA PROCESS

DEPARTMENTAL

COMMUNICATION CLINICAL TRIALS

COMPLIANCE

INTERNATIONAL

COLLABORATION

STRATEGY

ALLOWABILITY

BUDGET EFFORT REPORTING

RELATIONSHIPS

SPONSORED PROGRAMS

DIVERSITY

SUPPORT ANALYTIC

HUMAN CAPITAL

COSTS

DEVELOPMENT

ADMINISTRATOR

PUI

RESEARCH

INVESTIGATIONS

AGENDA |

Monday, March 11, 2019

3:45 – 4:00 pm Networking and Refreshment Break The Impact of NCURA Membership

4:00 – 5:00 pm ~ Education Sessions CONCURRENT SESSIONS CLINICAL/MEDICAL F Overview SHOULD WE CREATE A SERVICE CENTER?

Many of us have heard, “… and we’ll just create a service center to …”, or “should we create a service center to …?”. While sometimes the answer is a clear YES or NO, there are many times when the answer is not so clear-cut. We will address the process and questions involved in making a recommendation of a go or no-go on establishing a service center. The session will also address establishing service centers for unique purposes including generating program income, supporting clinical research, covering costs by allowing excess capacity to be purchased by outside users, and as a mechanism to control utilization.

LEARNING OBJECTIVES • Participants will learn what to consider in deciding whether to establish a service center.

• Participants will be able to identify some of the unique circumstances/reasons for establishing a service center.

• Participants will weigh the pros and cons of setting up a service center.

PREREQUISITES None

Sarah T. Axelrod*, Assistant Vice President, Office for Sponsored Programs, Harvard University Kiara Calbart, Research Financial Analyst, Anne Arundel Medical Center Miriam Colunga, Senior Federal Grants Accountant, Methodist Healthcare Ministries

DEPARTMENTAL F Intermediate IMPLICATIONS OF NOT ABIDING BY AN AWARD BUDGET AND EFFORT REPORTING

LEARNING OBJECTIVES • Participants will learn how to effectively plan a budget.

• Participants will learn how to create a shadow budget and effort spreadsheet.

• Participants will learn how to forecast effort.

• Participants will learn how to communicate effectively with PIs, sponsor and university departments.

This is session will further highlight what pitfalls to look for and how to effectively communicate with the PI, sponsor and university departments.

PREREQUISITES Participants will benefit from a basic Post-Award experience.

This session is an overview of what to remember before, during and after the award is issued. Factors such as late starts, staff changes, f/b rates, travel adjustments and subagreements can all impact the goals and objectives.

Charlena Gatlin*, Grants & Contracts Officer III, School of Public Health, Center for Leadership in Disability, Georgia State University Yolanda T. Miller, Fiscal Grant Specialist, College of Education, Georgia State University

IRB

32

www.ncura.edu ~ 20th Annual Financial Research Administration Conference (FRA) ** Lead Lead Presenter

AGENDA |

Monday, March 11, 2019

4:00 – 5:00 pm ~ Education Sessions CONCURRENT SESSIONS CONTINUED FEDERAL F Update ONR AND DOD UPDATE

The purpose of the session is to: • Brief research grant administrators with the changes that DoD and ONR have implemented on their grant awards.

• Conduct an open dialog on proposed changes to both policies and procedures that DoD and ONR are considering.

• Discuss the needs for protection of data generated through DoD and ONR research grants.

LEARNING OBJECTIVES • Participants will hear about recent changes to DoD and ONR policies and procedures.

• Participants will better understand the need for data protection in DoD and ONR research grants.

PREREQUISITES Participants will want to be involved with or interested in federal grants.

Wade Wargo*, Director, University Business Affairs, Office of Naval Research Barbara Orlando, Grants Policy Manager, Department of Defense

FEDERAL F Update UNIFORM GUIDANCE: AN UPDATE ON MAJOR ISSUES

After the Uniform Guidance was released, organizations devoted a great deal of effort to implementation. Some topics were handled as first priority, where others have taken longer to address. Let’s take a look at some of the major policy and procedural changes resulting from the Uniform Guidance, among them subrecipient risk assessment and monitoring, F and A, and fixed amount subawards. We’ll talk about recent updates to these and other topics. We will also engage the audience in discussing different approaches, ongoing challenges, and best practices.

LEARNING OBJECTIVES • Participants will gain an understanding of recent developments related to the Uniform Guidance.

• Participants will engage in learning about different approaches to major topics within the Uniform Guidance.

PREREQUISITES Participants will want some familiarity with the Uniform Guidance.

Jennifer A. Rodis*, Policy Analyst, Office of Research and Sponsored Programs, University of Wisconsin-Madison Susan Wyatt Sedwick, Senior Consultant, Attain

FINANCIAL COMPLIANCE F Intermediate OPTIMIZING SPACE AND FIXED ASSET DEPRECIATION FOR AUDIT COMPLIANCE AND F&A RATE CALCULATIONS

Uniform Guidance provides information on the identification and segregation of costs for buildings, capital improvements and equipment. This presentation will illustrate how to properly establish consistent fixed asset accounting records and influence correct space assignment and coding exerts on the allocation of the depreciation generated. Doing so will establish a representative recovery on the “F” components of the University’s submitted indirect cost rate.

LEARNING OBJECTIVES • Participants will learn ways to optimize F&A recovery by depreciation allocation(s) while remaining somewhat conservative on component and equipment life assignments.

• Participants will have the ability to improve upon space inventory and survey processes.

• Participants will gain the tools needed to enhance two of the components of their submitted indirect cost rate where there no caps are in place.

PREREQUISITES Participants will want a basic knowledge of fixed asset cost accounting and F&A indirect cost calculations.

Gregory P. Sheahan*, President, HCA Asset Management Denise Dellinger, Accountant, Principal, Financial Management - Administration, University of Arizona A. Chea Smith, Director, Cost Analysis and Reporting, Rutgers, The State University of New Jersey Guadalupe Valencia, Executive Director, Management Accounting & Analysis, University of Washington

LAS VEGAS

March 11 – 12 March 13 FRA Conference

FRA/PRA Workshop Day

* Lead Presenter

33

LEADERSHIP FINANCIAL

ISSUES

STREAMLINING

TOOLS

IDEAS NEGOTIATION Good opportunity to learn new ways to improve working relationships.

DATA

FEDERAL

POST-AWARD AGREEMENTS

POLICY

PARTNERSHIPS SERVICE BEST METHODS

PRACTICES

GRANTS

AUDIT

ERA PROCESS

DEPARTMENTAL

COMMUNICATION CLINICAL TRIALS

COMPLIANCE

INTERNATIONAL

COLLABORATION

STRATEGY

ALLOWABILITY

BUDGET EFFORT REPORTING

RELATIONSHIPS

SPONSORED PROGRAMS

DIVERSITY

SUPPORT ANALYTIC

HUMAN CAPITAL

COSTS

DEVELOPMENT

ADMINISTRATOR

AGENDA |

Monday, March 11, 2019

4:00 – 5:00 pm ~ Education Sessions CONCURRENT SESSIONS CONTINUED GLOBAL for U.S. Participants F Overview IMPACT OF THE EUROPEAN UNION’S GENERAL DATA PROTECTION REGULATION ON RESEARCH CONDUCTED AT U.S. UNIVERSITIES

The European Union’s landmark privacy legislation, the General Data Protection Regulation (GDPR), took effect on May 25, 2018. The law has a broad extra-territorial reach, but determining its application to research conducted at, or supported by, U.S. universities can be challenging. In this session, the speakers will address several scenarios in which the GDPR affects research conducted at, or supported by, U.S. universities and offer practical tips for addressing each fact pattern as well as a general framework for analyzing the impact of the GDPR on other types of research studies. Scenarios reviewed will include the following: • Serving as a clinical trial site in a multisite trial sponsored by an EU-based pharmaceutical or medical device company.

• Performing services as a vendor for an EU-based pharmaceutical or medical device company.

• Serving as a lead site or data coordinating center for a National Institutes of Health-sponsored clinical trial with sites located in the EU. • Collaborating with academic centers in the EU on secondary research involving data sets collected in the EU. • Conducting research in the EU that is “exempt” under the U.S. Common Rule but that involves the collection of personal data.

• Engaging a vendor located in the EU to perform services for a research study enrolling participants solely in the U.S.

LEARNING OBJECTIVES • Participants will gain confidence in determining the application of GDPR on research conducted at, or supported by, U.S. universities.

• Participants will learn about how GDPR affects research conducted at, or supported by, U.S. universities.

• Participants will gain practical tips for addressing each fact pattern as well as a general framework for analyzing the impact of the GDPR on other types of research studies.

PREREQUISITES None

David J. Peloquin*, Associate, Ropes & Gray LLP Melissa Korf, Associate Director, Grants & Contracts, Office of Research Administration, Harvard Medical School, Harvard University

PUI

RESEARCH

INVESTIGATIONS

IRB

34

www.ncura.edu ~ 20th Annual Financial Research Administration Conference (FRA)

AGENDA |

Monday, March 11, 2019

4:00 – 5:00 pm ~ Education Sessions CONCURRENT SESSIONS CONTINUED GLOBAL for Non-U.S. Participants F Overview HOW TO MANAGE U.S. AWARDS OUTSIDE THE U.S.

Come learn and discuss the challenges universities located outside the U.S. face when managing federal awards in a non-federal environment. Hear important lessons learned on how to adapt a university ecosystem system to better and smoothly mange federal awards with all their specific requirements.

LEARNING OBJECTIVES • Participants will share best practices on how to build a federal culture at universities located outside the U.S. • Participants will discuss challenges faced.

• Participants will review a comparison between the two systems.

• Participants will discuss highlights of new CFR regulations pertaining to reporting.

PREREQUISITES None

Dina A. Adly*, Executive Director, Office of Sponsored Programs, American University in Cairo Meg E. Rogers, Director, Research Office, Carnegie Mellon University in Qatar

HUMAN CAPITAL F Overview GETTING CERTIFIED: HOW TO PREPARE FOR THE CRA EXAM

Thinking of taking the CRA Exam? This session provides tips and tricks to prepare for and take the exam.

LEARNING OBJECTIVES • Participants will have a better understanding of the sign-up process for the CRA Exam.

• Participants will learn best practices for taking the exam.

PREREQUISITES None

Jeffrey J. Ritchie*, Director of Sponsored Research, Office of Sponsored Programs, Hamilton College Robin S. Lewis, Director, Office of Grants and Sponsored Projects, Georgia College & State University

HUMAN CAPITAL F Overview NAVIGATING THE INTERGENERATIONAL DIVIDE IN YOUR RESEARCH ENTERPRISE

In an ever-evolving workplace, we have seen our offices become intergenerational, which has created a unique set of challenges for maximum efficiency. This session is geared toward supervisors, managers and senior leadership who seek tools to navigate the divide for optimal operations of a centralized or departmental research administration office.

LEARNING OBJECTIVES • Participants will discuss diversity and inclusion.

• Participants will review cultural considerations for intergenerational divides.

• Participants will discuss Human Resources (talent acquisition) - Finding a generational fit.

• Participants will discuss how to develop a subtle culture of generational sensitivity.

• Participants will share tools and techniques for de-escalation or mitigation of generational conflicts.

• Participants will learn how to draw from the strengths from each generational group.

PREREQUISITES None

Derick F. Jones*, Program Manager, Translational Genomics and Population Sciences, Los Angeles Biomedical Research Institute Theresa R. Caban, Grant & Contract Officer II, Office of Sponsored Research Administration, Kaiser Foundation Research Nancy R. Lewis, Executive Director, Sponsored Projects, University of California-Irvine

FOLLOW US @NCURA JOIN THE CONVERSATION #NCURAFRA

LAS VEGAS

March 11 – 12 March 13 FRA Conference

FRA/PRA Workshop Day

* Lead Presenter

35

AGENDA |

Monday, March 11, 2019

4:00 – 5:00 pm ~ Education Sessions CONCURRENT SESSIONS CONTINUED POST-AWARD/ACCOUNTING/FINANCE F Intermediate ARE YOU MISSING WHAT’S IMPORTANT? A SYSTEMATIC APPROACH TO POST-AWARD DEADLINE MANAGEMENT

Participate in an interactive discussion to overcome Post-Award financial deadline management challenges for diverse portfolios of private industry, foundations, international sponsors, and/or numerous state and federal agencies. Discover University of Illinois at Urbana-Champaign’s best practices on leveraging electronic systems and consistent processes to identify and track sponsor deadlines, such as financial reports and invoices. Consider strategies to better partner with departmental staff and PIs. This session, while geared toward central Post-Award financial administrators and managers, has relevancy for departmental financial administrators as well.

LEARNING OBJECTIVES • Participants will understand the challenges of management of numerous, varied sponsor financial deadlines within a diverse sponsored programs portfolio.

• Participants will be able to identify risks of noncompliance with key sponsor Post-Award deadlines and benefits of a systematic approach.

• Participants will consider systematic methods to track deadlines and support department administrators and PIs. • Participants will learn to employ consistent processes for efficient prioritization of Post-Award duties and management oversight.

• Participants will be able to evaluate alternative electronic methods to overcome system limitations.

• Participants will learn to apply implementation tips for both Post-Award staff and managers to ensure success.

PREREQUISITES Participants will want basic familiarity with financial deadlines.

Michelle Ward*, Senior Coordinator, Private Awards, Sponsored Programs Administration, University of Illinois at Urbana-Champaign Sue F. Horton, Director of Research Finance, Partners Healthcare

PREDOMINANTLY UNDERGRADUATE INSTITUTIONS F Overview BUDGETING AT PUIs: SCALING THE TOWER OF BABEL AND DEVELOPING THE AWARD BUDGET INTO AN EFFECTIVE PROJECT MANAGEMENT TOOL

Ever think that your proposal/award budgeting conversations with sponsors, financial offices, PIs, and departments could benefit from a sci-fi styled universal translator? Please join us for the an interactive discussion aimed at making the grant budget a clear and effective communication tool that has all of your audiences on the same page and able to use the budget effectively.

LEARNING OBJECTIVES • Participants will be provided with useful tools and strategies to help de-mystify the budgeting process, such as common elements of the proposal budget.

• Participants will learn to create crosswalks between the external budget and the internal budget.

• Participants will be able to develop the award budget into a project management tool for the PI and the department.

• Participants will discuss ways to make communications around the budgeting process clearer and less stressful.

PREREQUISITES None

Sara J. Clabby*, Director of Sponsored Programs, Division of Sponsored Project Administration, Salve Regina University Mary Ellen Fortini, Director of Sponsored Projects, Office of Sponsored Projects, Santa Clara University

FOLLOW US @NCURA JOIN THE CONVERSATION #NCURAFRA

LAS VEGAS

March 11 – 12 March 13 FRA Conference

FRA/PRA Workshop Day

* Lead Presenter

37

LEADERSHIP FINANCIAL

ISSUES

Class sizes are not too large so you can network easily.

DATA

FEDERAL

POST-AWARD AGREEMENTS

POLICY

PARTNERSHIPS SERVICE BEST METHODS

PRACTICES

GRANTS

AUDIT

ERA PROCESS

AGENDA |

STREAMLINING

TOOLS

IDEAS NEGOTIATION

DEPARTMENTAL

COMMUNICATION CLINICAL TRIALS

Monday, March 11, 2019

4:00 – 5:00 pm ~ Education Sessions CONCURRENT SESSIONS CONTINUED REGULATORY COMPLIANCE F Intermediate FDP FACULTY WORKLOAD SURVEY: RESULTS FROM THE 2018 SURVEY

Since 2007, the Federal Demonstration Partnership (FDP) has conducted three nationwide surveys of faculty members who have Federal research grants to determine how much time that they spend on administrative tasks associated their grants. The results of the 2007 and 2012 surveys showed that faculty members report spending approximately 42% of their research time performing administrative functions rather than performing research. The most recent survey was undertaken in 2018 and it is the results from that survey that will be presented at the FRA Meeting.

LEARNING OBJECTIVES • Participants will be familiar with the FDP Faculty Workload Survey of 2018.

• Participants will be aware of the major administrative tasks that occupy the research time of principal investigators on Federal grants.

PREREQUISITES Participants will want a basic familiarity with the administrative functions of research.

Richard P. Seligman*, Associate Vice President for Research Administration, California Institute of Technology, NCURA Distinguished Educator

COMPLIANCE

INTERNATIONAL

COLLABORATION

STRATEGY

ALLOWABILITY

NO U

BUDGET

PASSPORT .

S .

2020 ico to R r e u EFFORT P REPORTING

RELATIONSHIPS

SPONSORED PROGRAMS

DIVERSITY

SUPPORT ANALYTIC

HUMAN CAPITAL

D

COSTS

DEVELOPMENT

REQ U I R E

SAVE THE DATES!

ADMINISTRATOR PUI March 2 – 3 Financial Research Administration Conference (FRA)

RESEARCH

March 4 FRA/PRA Workshop Day March 5 – 6 Pre-Award Research Administration Conference (PRA)

INVESTIGATIONS

IRB

38

www.ncura.edu ~ 20th Annual Financial Research Administration Conference (FRA) ** Lead Lead Presenter

AGENDA |

Monday, March 11, 2019

4:00 – 5:00 pm ~ Education Sessions DISCUSSION GROUPS DEPARTMENTAL LET’S WORK TOGETHER! PRE- AND POST-AWARD ADMINISTRATOR INTERACTIONS

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 campuswide relationships. Every department operates differently and each individual and situation brings a unique flair to the workplace. We will discuss tried and true methods of improving professional interactions between Pre- and Post-Award administrators, PI communication techniques, best practices every new administrator should know, and job priorities and changing rolls. Led by Preand Post-Award administrators from the University of North Carolina Wilmington, this discussion is beneficial to both Pre-Award Research Administrators and Financial Research Administrators.

Nathan Holtsclaw*, Business Officer, College of Health & Human Services, University of North Carolina at Wilmington Althea T. Lewis, Pre-Award Grant Specialist, College of Health and Human Services, University of North Carolina at Wilmington

FEDERAL NSF PARTICIPANT SUPPORT

NSF policies and procedures surrounding participant support costs generate a high volume of questions from the research community. This discussion will highlight the current policy as well as the FAQs that the Policy Office receives. Bring your questions!

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

FINANCIAL COMPLIANCE GRANT-LAND: THE POST-AWARD GAME

Participants will play a game that is similar to the board game Candy Land but with a Post-Award theme. The object of the game is to reach the Closeout Castle by avoiding award management pitfalls that send them back to start or delay the progress. Game cards list real life purchasing, reporting, effort, and other Post-Award related examples - good and bad. The examples on the card are what will prompt the conversations. Participants will discuss ideas to avoid similar situations, ways to fix the issues, and share their best practice ideas. Participants will have lots of fun! One of the main goals of the discussion is to show how Post-Award management is much more than submitting invoices and making sure all funds are received. The discussion will show that many processes (proposal development, purchasing, re-budgets, effort, cost share, payroll) are very intertwined and that one action in one area does indeed affect another area.

Sandra L. Fowler*, Assistant Dean, College of Agriculture and Life Sciences (CALS), Business Services – Administration, University of Wisconsin-Madison Mary F. Bauer, Post-Award Accountant, University of Wisconsin-Madison John G. Varda, Post-Award Supervisor, University of Wisconsin-Madison

FOLLOW US @NCURA JOIN THE CONVERSATION #NCURAFRA

LAS VEGAS

March 11 – 12 March 13 FRA Conference

FRA/PRA Workshop Day

* Lead Presenter

39

LEADERSHIP

AGENDA |

FINANCIAL

ISSUES

STREAMLINING

TOOLS

IDEAS NEGOTIATION

The diversity of sessions is great.

DATA

FEDERAL

POST-AWARD AGREEMENTS

POLICY

PARTNERSHIPS SERVICE BEST METHODS

4:00 – 5:00 pm ~ Education Sessions DISCUSSION GROUPS CONTINUED POST-AWARD/ACCOUNTING/FINANCE SHOW ME THE MONEY – CASH MANAGEMENT

This interactive discussion will explore areas of cash management including billing, accounts receivable, and collecting. Participants will debate and better understand the various types of invoices. Bring your tips on managing receivables and learn new ones from your colleagues.

We will also share ideas on managing cost over-runs and collecting on overdue accounts.

Janice Oakley*, Assistant Director, Sponsored Programs Accounting, University of Maryland, College Park Angelo Chrisomalis, Director, Grants and Contracts Accounting, Rutgers, The State University of New Jersey Muriel Daley, Manager, Sponsored Programs Accounting, University of Maryland, College Park Jaquion L. Gholston, Assistant Director of Sponsored Accounting, Stevens Institute of Technology

PRACTICES

GRANTS

ERA PROCESS AUDIT

Monday, March 11, 2019

DEPARTMENTAL

COMMUNICATION CLINICAL TRIALS

COMPLIANCE

INTERNATIONAL

COLLABORATION

STRATEGY

WITH NCURA PUBLICATIONS

ALLOWABILITY

BUDGET Expand your knowledge with these easily readable, concise and SPONSORED affordable resources. ORDER YOUR COPIES TODAY! PROGRAMS • A Primer on Clinical Trials

RELATIONSHIPS

EFFORT • Compensation – Personal Services: Managing and Reporting Effort REPORTING

• Cost Sharing: An Overview DIVERSITY • Facilities and Administrative Costs

in Higher Education SUPPORT

ANALYTIC

HUMAN CAPITAL

COSTS

DEVELOPMENT

ADMINISTRATOR

• Establishing and Managing an Office of Sponsored Programs at Non-Research Intensive Colleges and Universities

• A Primer on Intellectual Property • The Role of Research Administration

Office

2 CFR

• Writing and Negotiating Subawards • OMB Uniform Guidance Desk Reference

of Man

ageme

nt and

Budget

200

Uniform and Aud Administ rati it Req uiremenve Require men ts for Federal ts, Cost Awards Principles, (Effective

12/26/14 )

~

ON IMER IALS A PR TR ICAL CLIN R THE FO ARCH R RESE RATO NIST ADMI

© National Council of University Research Administrators | Phone: 202.466.3894 | Fax: 202.223.5573 | info@ncura.edu

FOR MORE INFORMATION AND TO ORDER THESE PUBLICATIONS VISIT THE NCURA STORE: PUI https://www.ncura.edu/Publications/Store.aspx

RESEARCH

INVESTIGATIONS

IRB

40

www.ncura.edu ~ 20th Annual Financial Research Administration Conference (FRA) ** Lead Lead Presenter

AGENDA |

Monday, March 11, 2019

4:00 – 5:00 pm ~ Education Sessions DISCUSSION GROUPS CONTINUED PREDOMINANTLY UNDERGRADUATE INSTITUTIONS BUILDING COLLEGIAL AND EFFECTIVE PRE- AND POST-AWARD RELATIONSHIPS AT PUIs

This discussion group is geared for Research Administration leaders at PUIs with the responsibility of sustaining the research enterprise of their institution. We will identify key pre/post stakeholders within our institutions and discuss the importance of building collegial relationships. We will discuss eight effective strategies that can be applied to nurturing pre/post relationships: (1) Treating your colleagues with care and respect, (2) Being reliable and trustworthy, (3) Making connections and time for regular interactions with your colleagues, (4) Admitting your mistakes and refrain from blaming; learning how to attack the problem and not your colleague, (5) Being open and willing to listen, (6) Express appreciation and gratitude towards your colleagues, (7) Allowing your colleagues ideas and opinions to be heard, and (8) Not being afraid to take the lead.

Shuna H. McMichael*, Organizational Research Administrator, Office of Sponsored Research, Soka University of America Kris A. Monahan, Director, Sponsored Projects and Research Compliance, Providence College

REGULATORY COMPLIANCE STRATEGIES FOR REGULATORY TRAINING

This discussion will focus on strategies for regulatory training. Participants will have opportunities to share successful strategies they have seen and/or implemented. We will also explore how to use less successful strategies to gather lessons learned and parlay those experiences into more engaging future training. Participants will be welcome to ask questions and explore their current challenges. In addition to providing opportunities to discuss training session methods and pedagogy, we will also focus on how to draw important information out of user feedback. Participants will gain a sense of how to leverage feedback to continuously improve and tailor regulatory training at the participant’s institution.

Amanda R. Humphrey*, Director, Award Administration, Research Enterprise Services, Northeastern University Caitlin M. McCarty, Research Finance Manager, Department of Neurology Research, Brigham & Women’s Hospital

5:15 – 6:00 pm ~ Networking Reception Networking reception for all FRA Participants!

The Impact of NCURA Membership For those that are not a member yet, NCURA Officers, Program Committee Members and Standing Committee Members will be with us 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!

6:30 pm ~ Dinner Groups NCURA is committed to providing many opportunities for you to build and grow your network.

Please join your colleagues to have a relaxed evening and continue your conversations while enjoying a meal. Many restaurants are located inside the hotel or within walking distance of the hotel. With a wide variety of cuisines and price points, there’s a dining option for everyone! NCURA staff will provide sign-up sheets for each restaurant, to include the restaurant information and menu. Come see us at the NCURA Concierge Desk when you get to Las Vegas and sign up to be included on the reservation.

LAS VEGAS

March 11 – 12 March 13 FRA Conference

FRA/PRA Workshop Day

FOLLOW US @NCURA JOIN THE CONVERSATION #NCURAFRA

* Lead Presenter

41

LEADERSHIP FINANCIAL

ISSUES

I liked everything!

DATA

STREAMLINING

TOOLS

IDEAS NEGOTIATION

FEDERAL

POST-AWARD AGREEMENTS

POLICY

PARTNERSHIPS SERVICE BEST METHODS

PRACTICES

GRANTS

AUDIT

ERA PROCESS

DEPARTMENTAL

COMMUNICATION CLINICAL TRIALS

COMPLIANCE

INTERNATIONAL

COLLABORATION

STRATEGY

ALLOWABILITY

BUDGET EFFORT REPORTING

RELATIONSHIPS

SPONSORED PROGRAMS

DIVERSITY

SUPPORT ANALYTIC

HUMAN CAPITAL

COSTS

DEVELOPMENT

ADMINISTRATOR

AGENDA |

Tuesday, March 12, 2019

6:15 – 7:00 AM

Yoga Bliss

7:15 AM – 5:00 PM

1:00 – 5:00 PM

PRA/FRA Workshop Material Pick-up

FRA Concierge Exhibits Open

7:15 – 8:00 am ~ Continental Breakfast and

Breakfast Roundtables DA AT THE VA-MY LIFE AS A DEPARTMENTAL ADMINISTRATOR AT A GOVERNMENT FACILITY

Venita Lowe*, Department Administrator, Research Department, Case Western Reserve University

COST SHARE/MATCH: WHAT IT IS AND WHERE TO GET IT

Panda S. Powell*, Director of Sponsored Programs and Research Compliance, University of North Carolina at Wilmington

WRITING FOR NCURA MAGAZINE

Marc Schiffman*, Managing Editor, NCURA Magazine, National Council of University Research Administrators

DIVERSITY AND INCLUSION

Denise M. Moody*, Senior Director of Research Compliance, Research Administration Services, Faculty of Arts, Harvard University

WRITING FOR THE RESEARCH MANAGEMENT REVIEW

Marianne R. Woods*, Academic Program Director, Master of Science in Research Administration, Krieger School of Arts and Sciences, Advanced Academic Programs, Johns Hopkins University

THE SINGLE AUDIT: PREPARATION AND TIPS

Tashtiana M. Price*, U.S. Grants Financial Manager, Grants Management Office, Karolinska Institutet

CHANGE MANAGEMENT: OVERCOMING RESISTANCE

Amy L. Loverde*, Administrator, Clinical, University of Maryland, Baltimore

RESOURCES FOR GLOBAL COLLABORATION

Claire Y. Chen*, Manager, NCURA Global, National Council of University Research Administrators Elizabeth Mathis, Financial Analyst, Huntsman Cancer Institute Population Science Study Support, University of Utah

SURROUNDED BY RESTRICTIONS? FINDING A HOME FOR WAYWARD EXPENSES

Stephanie Torgeson*, Financial Compliance Specialist, Grants and Contracts Accounting, Georgia Institute of Technology

WORKING WITH FACULTY: INCREASING YOUR ODDS OF A SUCCESSFUL RELATIONSHIP

Glenda A. Bullock*, Director of Research and Business Administration, Divisions of Hematology, Rheumatology, Allergy & Immunology, Washington University in St. Louis

A COMBINED PRE-/POST-AWARD MODEL

Leslie L. Schmidt*, Assistant Vice President of Research, Office of Sponsored Programs, Office of Research and Economic Development, Montana State University

SUBRECIPIENT MONITORING

Jill Frankenfield*, Associate Director, Division of Research, Office of Research Administration, University of Maryland, College Park

F&A Q&A

Andres Chan*, Director, Office of Financial Analysis, University of Southern California

NCURA MEMBERSHIP: EXPLORING THE DECISION TO JOIN

Emily Ainsworth*, Manager, Regional and Membership Services, National Council of University Research Administrators

7:15 – 8:00 am ~ The Impact of NCURA Membership

PUI

RESEARCH

INVESTIGATIONS

IRB

42

www.ncura.edu ~ 20th Annual Financial Research Administration Conference (FRA)

* Lead Presenter

AGENDA |

Tuesday, March 12, 2019

8:15 – 9:45 am ~ Education Sessions CONCURRENT SESSIONS CLINICAL/MEDICAL F Overview FINANCIAL MANAGEMENT OF THE D2d STUDY, AN NIH SUPPORTED MULTI-CENTER TRIAL

In this session, we will outline the development and implementation of the hybrid financial management model for supporting collaborating clinical sites used during the D2d study. The unique funding model employed two reimbursement components: Core and Performance based payments. Throughout the process changes were made to the model to ensure collaborating clinical sites success. In conclusion, it is feasible to foster a hybrid financial management approach to use available public funds in a dynamic and consistent way.

This approach does not compromise the trial’s scientific integrity and ensures conservation of funds to complete recruitment and continue to follow up participants. An article on our model was recently published in Trials.

LEARNING OBJECTIVES • Participants will understand the hybrid financial management model used for the D2d study.

• Participants will learn best practices for financial management of large multi-center clinical trials.

• Participants will discuss how to encourage multidisciplinary teamwork and adjust to evolving needs throughout a multi-center clinical trial.

PREREQUISITES None

Citation: Lovegreen O, Riggs D, Staten MA, Sheehan P and Pittas AG. Financial management of large, multicenter trials in a challenging funding milieu. Trials.

2018 May 3; 19:267; PMCID: PMC5934907.

Olivia Lovegreen*, Policy & Compliance Specialist, Research Administration Department, Tufts Medical Center Danielle Riggs, Executive Director, Research Administration, Tufts Medical Center

DEPARTMENTAL F Intermediate HOW TO AUDIT PROOF YOUR DEPARTMENT

In this session, we will discuss different types of audits and the specific audits of a university department’s sponsored funding. We will review the audit life cycle, the role of the departmental 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 learn about audits and the audit life cycle.

• Participants will better understand their role in the audit process.

• Participants will identify some of the most common audit findings.

• Participants will discuss real examples of audit findings and evaluate solutions.

PREREQUISITES Participants will want a basic understanding of cost principles from 2 CFR Part 200.

Jennifer Y. Mitchell*, Associate Executive Director for Research 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

FOLLOW US @NCURA JOIN THE CONVERSATION #NCURAFRA

LAS VEGAS

March 11 – 12 March 13 FRA Conference

FRA/PRA Workshop Day

* Lead Presenter

43

LEADERSHIP FINANCIAL

ISSUES

STREAMLINING

TOOLS

IDEAS NEGOTIATION

It was good to hear perspectives from others.

DATA

FEDERAL

POST-AWARD AGREEMENTS

POLICY

PARTNERSHIPS SERVICE BEST METHODS

PRACTICES

GRANTS

AUDIT

ERA PROCESS

DEPARTMENTAL

COMMUNICATION CLINICAL TRIALS

COMPLIANCE

INTERNATIONAL

COLLABORATION

Tuesday, March 12, 2019

8:15 – 9:45 am ~ Education Sessions CONCURRENT SESSIONS CONTINUED FEDERAL F Update NSF POST-AWARD ACTIVITIES AND UPDATES

Within the Division of Institution and Award Support (DIAS), the Resolution and Advanced Monitoring (RAM) Branch is responsible for NSF Post-Award monitoring activities such as advanced monitoring site visits, audit resolution, desk reviews, etc.

To carry out these activities, RAM works collaboratively with awardees and other stakeholders on various matters related to policy, compliance, oversight and stewardship to ensure that NSF continues to excel as a federal science agency.

RAM’s mission is to provide comprehensive business assistance to meet NSF recipients’ specific needs. Participate in this session to receive updates on RAM’s Post-Award monitoring activities, including hot topics in audit resolution and advanced monitoring, and for an interactive discussion on compliance issues you may encounter on NSF awards.

STRATEGY

ALLOWABILITY

BUDGET EFFORT REPORTING

RELATIONSHIPS

SPONSORED PROGRAMS

DIVERSITY

SUPPORT ANALYTIC

HUMAN CAPITAL

COSTS

DEVELOPMENT

ADMINISTRATOR

PUI

RESEARCH

INVESTIGATIONS

IRB

44

AGENDA |

LEARNING OBJECTIVES • Participants will understand which NSF offices to turn to for post-award concerns.

• Participants will gain insight on various post-award monitoring and oversight activities at NSF. • Participants will receive updates and guidance on commonly identified noncompliances.

• Participants will learn how NSF management decisions are developed response to OIG audit reports.

• Participants will want to be familiar with federal compliance requirements and NSF guidance contained in the Proposal and Award Policies and Procedures Guide (PAPPG), and come prepared to share and seek answers to specific questions about NSF awards.

PREREQUISITES Participants will want to be familiar with federal compliance requirements and NSF guidance contained in the Proposal and Award Policies and Procedures Guide (PAPPG), and come prepared to share and seek answers to specific questions about NSF awards.

Rochelle Ray*, Branch Chief, Resolution and Advanced Monitoring Branch (RAM), Division of Institution and Award Support (DIAS), National Science Foundation

FEDERAL F Update OPEN FORUM: FEDERAL GOVERNMENT SHUTDOWNS: IMPACTS AND LESSONS LEARNED

The research community experienced the longest U.S. Federal Government partial shutdown in history—35 days. How did this partial shutdown affect the research community—both scientifically and administratively, and what did we learn to better prepare our community for any future shutdowns?

This session will bring up some topics that might not be as readily apparent impacts, e.g., NSF’s telescope arrays or NASA’s laboratories. Participants will be invited to share briefly the impacts they experienced and solutions they developed.

LEARNING OBJECTIVES • Participants will gain insights on finding agency shutdown plans and how they work.

• Participants will learn communication strategies for campus constituents.

• Participants will review managing institutional risk on Pre-Award spending on no-cost extensions.

• Participants will discuss planning for projects that do receive stop-work orders.

PREREQUISITES None

Jeffrey A. Silber*, Senior Director, Sponsored Financial Services, Cornell University Jennifer A. Rodis*, Policy Analyst, Office of Research and Sponsored Programs, University of Wisconsin-Madison Leslie L. Schmidt, Assistant Vice President of Research, Office of Sponsored Programs, Office of Research and Economic Development, Montana State University

www.ncura.edu ~ 20th Annual Financial Research Administration Conference (FRA)

* Lead Presenter

AGENDA |

Tuesday, March 12, 2019

8:15 – 9:45 am ~ Education Sessions CONCURRENT SESSIONS CONTINUED FINANCIAL COMPLIANCE F Intermediate GLOBAL RESEARCH FINANCIAL COMPLIANCE OPERATIONS

What are the legal, tax, accounting and other operational compliance requirements for performing research in a country other than the U.S.? This session will provide an outline of the issues and how to begin planning for global project support.

LEARNING OBJECTIVES Participants will learn how to assess what support will be required, what options are available to structure global project support and how to engage the university in making such management decisions.

PREREQUISITES Participants will want an interest in establishing or expanding global research programs.

Michael B. Amey*, Senior Associate Dean for Research Affairs, Johns Hopkins University School of Medicine Mark C. Davis, Vice President & Partner, Higher Education, Attain

FINANCIAL COMPLIANCE F Overview LIFE AFTER EFFORT REPORTING

The FDP Payroll Certification Pilots ended in 2013, the Uniform Guidance went into effect at the end of 2014, and the National Cohort for Alternatives to Effort Reporting was launched in 2015. Several schools have transitioned to an alternative to effort reporting in the recent past. This session will focus on their implementation, lessons learned and life after effort reporting.

LEARNING OBJECTIVES • Participants will review steps taken to evaluate and implement a compliance change.

• Participants will discuss the basics of change management.

• Participants will review best practices and lessons learned from implementing an alternative to effort reporting.

PREREQUISITES None

Lisa E. Mosley*, Executive Director, Office of Sponsored Projects, Yale University Jeremy A. Forsberg, Assistant Vice President of Research, Office of Research Administration, The University of Texas at Arlington

GLOBAL for U.S. and Non-U.S. Participants F Overview EU VS. U.S. COSTING PRACTICES

Costing practices of US and European grants vary substantially. The present session will give a basic overview of these differences using concrete examples.

Another major challenge is that the two systems use different terms for the same or very similar things. The session aims to identify and explain the major differences in the wording. On the European side, the focus will be on Horizon 2020 as the largest European funding programme. Participants will benefit from knowledge of the structure of Horizon 2020.

LEARNING OBJECTIVES • Participants will better understand the basic principles of a Horizon 2020 budget, i.e. know about reimbursement rates, cost forms (e.g. subcontracting, direct personnel costs), eligible vs. ineligible costs as well as indirect costs.

• Participants will get an insight into reporting practices over the lifetime of a grant.

PREREQUISITES None

Alexandra Zingg*, Research Manager, EU GrantsAccess, International Research Programmes, ETH Zurich / University of Zurich Robert C. Andresen, Director of Research Financial Services, University of Wisconsin-Madison, NCURA Distinguished Educator

FOLLOW US @NCURA JOIN THE CONVERSATION #NCURAFRA

LAS VEGAS

March 11 – 12 March 13 FRA Conference

FRA/PRA Workshop Day

* Lead Presenter

45

LEADERSHIP FINANCIAL

ISSUES

STREAMLINING

TOOLS

IDEAS NEGOTIATION

I was totally impressed by the conference in every aspect.

DATA

FEDERAL

POST-AWARD AGREEMENTS

POLICY

PARTNERSHIPS SERVICE BEST METHODS

PRACTICES

GRANTS

AUDIT

ERA PROCESS

DEPARTMENTAL

COMMUNICATION CLINICAL TRIALS

COMPLIANCE

INTERNATIONAL

COLLABORATION

STRATEGY

AGENDA |

Tuesday, March 12, 2019

8:15 – 9:45 am ~ Education Sessions CONCURRENT SESSIONS CONTINUED HUMAN CAPITAL F Overview ENGAGING AN AUDIENCE – LEARNING THROUGH ENGAGEMENT

Are you struggling to engage attendees in your presentations and staff learning experiences? Do you face stoic expressions and glazed eyes from your audiences? Are you completely wiped out after doing a presentation because you have been “on” the whole time? Assessment, preparation, and planning are essential if you want to design an engaging learning experience for staff.

Join us as we share techniques to turn your attendees into active participants in their own learning. In this interactive session, you will obtain tools and learn strategies to increase the effectiveness of your next presentation by incorporating your audience and making them do some of the work. We will also explore communication and self-awareness practices to use when you are in front of an audience as well as technology-based tools to enhance your presentations.

LEARNING OBJECTIVES • Participants will be able to identify some unique needs of adult learners.

• Participants will be able to apply simple techniques to engage your audience.

• Participants will be able to identify their own strengths and areas for improvement as presenters.

• Participants will be able to incorporate different technology and hands-on exercises to enhance their presentations.

PREREQUISITES None

Melanie Hebl*, Education Coordinator, Research and Sponsored Programs, University of WisconsinMadison Tolise C. Dailey, Training Manager, Research Development Team, Johns Hopkins University

ALLOWABILITY

BUDGET EFFORT REPORTING

RELATIONSHIPS

SPONSORED PROGRAMS

DIVERSITY

SUPPORT ANALYTIC

N U A

HUMAN CAPITAL

COSTS

DEVELOPMENT

ADMINISTRATOR

PUI Networking and professional development renew and reinvigorate our enthusiasm for the research administration profession.

Keep this feeling all year long!

RESEARCH

INVESTIGATIONS

IRB

Not a member yet? Join NCURA today! Visit

46

www.ncura.edu/join

www.ncura.edu ~ 20th Annual Financial Research Administration Conference (FRA)

* Lead Presenter

AGENDA |

Tuesday, March 12, 2019

8:15 – 9:45 am ~ Education Sessions CONCURRENT SESSIONS CONTINUED POST-AWARD/ACCOUNTING/FINANCE F 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. We will review each of the sections that comprise this part:

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.

• Activities Allowed or Unallowed; • Allowable Costs; • Cash Management; • Eligibility; • Equipment and Real Property; Matching/Level of Effort; • Period of Performance; • Procurement; • Program Income; • Reporting; • Subrecipient Monitoring; • Special Tests and Provisions.

Shannon Gary*, Interim Director, Administration and Finance Division, University of Louisiana at Lafayette David M. Schultz, Assistant Vice President, Research Administration and Finance, Rensselaer Polytechnic Institute

POST-AWARD/ACCOUNTING/FINANCE F Advanced RESEARCH ADMINISTRATION 2.0: MANAGING YOUR WORKLOAD IN POST-AWARD AND DEPARTMENTAL ADMINISTRATION

Now that you have several years of experience in PostAward/Departmental Research Administration, why do you sometimes still feel like you just started? We all can relate to the feeling of being overwhelmed, constantly putting out “fires” and being not quite ahead of deliverables. This session will address how to rely on our experience and our knowledge in order to institute structure in our daily tasks, and win back time for the tasks that we want to accomplish. Bring your tools and tips for managing time and workload to share.

LEARNING OBJECTIVES • Participants will break down the structure of Post-Award/Departmental activities.

• Participants will learn tools and aides to better manage time and workload.

PREREQUISITES Participants will want at least 3-5 years of experience in Research Administration, in a departmental, or central office setting.

Albana Cejne*, Assistant Director, Sponsored Research Audit, Princeton University Julie A. Luster, Manager, Controller’s Office, Princeton University

FOLLOW US @NCURA JOIN THE CONVERSATION #NCURAFRA

LAS VEGAS

March 11 – 12 March 13 FRA Conference

FRA/PRA Workshop Day

* Lead Presenter

47

LEADERSHIP FINANCIAL

ISSUES

STREAMLINING

TOOLS

IDEAS NEGOTIATION

The conference was wonderful!

Excellent!!

Amazing!!!

DATA

FEDERAL

POST-AWARD AGREEMENTS

POLICY

PARTNERSHIPS SERVICE BEST METHODS

PRACTICES

GRANTS

AUDIT

ERA PROCESS

DEPARTMENTAL

COMMUNICATION CLINICAL TRIALS

COMPLIANCE

INTERNATIONAL

COLLABORATION

STRATEGY

ALLOWABILITY

BUDGET EFFORT REPORTING

RELATIONSHIPS

SPONSORED PROGRAMS

DIVERSITY

SUPPORT ANALYTIC

HUMAN CAPITAL

COSTS

DEVELOPMENT

ADMINISTRATOR

AGENDA |

Tuesday, March 12, 2019

8:15 – 9:45 am ~ Education Sessions CONCURRENT SESSIONS CONTINUED PREDOMINANTLY UNDERGRADUATE INSTITUTIONS F Overview WHOSE JOB IS IT ANYWAY? ROLES AND PERSPECTIVES AT A PUI – SESSION PROPOSAL REVIEW

Using case studies and a healthy dose of humor, we will cover ‘real life’ scenarios of what goes down at Predominantely Undergraduate Institutions on a day-today basis. How do these small offices manage the competing demands of faculty, institutional policies and project compliance requirements? This session will address Research Administration challenges from different perspectives and provide pathways to common ground using specific strategies.

LEARNING OBJECTIVES Participants will gain insights from other perspectives to more effectively navigate Research Administration processes at a their PUI. PREREQUISITES None

Sandra I. Castaldini*, Manager, Office of Sponsored Research, Babson College Lisa A. Franciosa, Managing Principal, Franciosa & Associates LLC Patricia McNulty, Principal Consultant, Concurrent Research

REGULATORY COMPLIANCE F Intermediate REGULATORY COMPLIANCE FOR SERVICE CENTERS

Service Centers (including recharge centers, core facilities, and specialized service facilities) may engage in projects or activities that have regulatory requirements related to human subjects, vertebrate animals, hazardous materials, data security and more. However, coordination of these regulatory compliance responsibilities are rarely well defined for service center activities. This session will explore the intersections of financial research administration and regulatory compliance for service centers while providing effective strategies for managing this topic.

LEARNING OBJECTIVES • Participants will be able to identify regulatory compliance activities associated with service centers.

• Participants will be able to coordinate monitoring functions with responsible offices at your institutions.

• Participants will be able to make correct costing decisions to determine allowability of associated regulatory compliance charges.

PREREQUISITES Participants will want a general understanding of regulatory compliance topics and federal costing principles.

Martin B. Smith*, Director of Costing and Analysis, Office of Finance and Treasury, Princeton University Andres Chan, Director, Office of Financial Analysis, University of Southern California

PUI

RESEARCH

INVESTIGATIONS

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www.ncura.edu ~ 20th Annual Financial Research Administration Conference (FRA)

* Lead Presenter

AGENDA |

Tuesday, March 12, 2019

8:15 – 9:45 am ~ Education Sessions DISCUSSION GROUPS DEPARTMENTAL AVOIDING BUDGET DEFICITS

Join our discussion on how we project out expenses to avoid going into deficit on the grants we manage. Please bring an example to share on how you forecast expenses and keep funds out of deficit.

Lori A. Benjamin*, Senior Grant Administrator, Wellman Center for Photomedicine, Massachusetts General Hospital Dimitrios V. Pashos, Administrator for Research, Department of Psychiatry, Brigham & Women’s Hospital

GLOBAL for U.S. and Non-U.S. Participants SUB-AWARD MONITORING: PERSPECTIVES FROM THE VIEW OF THE SUBAWARDEE AND THE PASS-THROUGH ENTITY (follow-up to concurrent session on Monday at 1:00 pm)

Subawards under Federal Assistance Awards are one of the primary ways that institutions collaborate both domestically and globally. After award execution, the pass-through entity and the sub awardee must continue to work together through the end of the project. In this session, we will provide an overview of federal regulations governing subrecipient monitoring and discuss roles and responsibilities to assist participants in developing and/or maintaining a compliant program. We’ll also discuss how best to communicate subrecipient monitoring with your subawardees. Bring your questions on complex federal grants and cooperative agreements. Come discuss the challenges of risk assessments and monitoring of foreign subawardees.

Tracey Westervelt*, Director, Research Finance, Harvard University Anne Pifer, Senior Director, Huron

HUMAN CAPITAL STRATEGIES TO MANAGE YOUR MOST PRECIOUS RESOURCE, TIME!!

Time is ticking and every minute counts! Join us for a discussion of time management strategies to help you achieve more, stress less and make time work for you. We will examine time assessment, prioritization, goal setting and self-motivation.

Calleen Roper*, Assistant Director, Budget & Finance, Florida State University Deanna Hendrickson, Research Education & Communications Manager, Georgia Institute of Technology

POST-AWARD/ACCOUNTING/FINANCE 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 discussion group 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. We will look at key areas that deserve attention when developing and testing internal controls, applicable to both traditional effort reporting and alternative methodologies. Please bring your experiences and questions for a lively discussion!

Ashley E. Whitaker*, Associate Director, Office of Sponsored Programs, Nova Southeastern University Kristi L. Bazata, Director, Research Policy & Indirect Cost, Columbia University in the City of New York

LAS VEGAS

March 11 – 12 March 13 FRA Conference

FRA/PRA Workshop Day

FOLLOW US @NCURA JOIN THE CONVERSATION #NCURAFRA

* Lead Presenter

49

LEADERSHIP FINANCIAL

ISSUES

STREAMLINING

TOOLS

IDEAS NEGOTIATION I received exceptional support for current issues from members at other institutions.

DATA

FEDERAL

POST-AWARD AGREEMENTS

POLICY

PARTNERSHIPS SERVICE BEST METHODS

PRACTICES

GRANTS

AUDIT

ERA PROCESS

DEPARTMENTAL

COMMUNICATION CLINICAL TRIALS

COMPLIANCE

INTERNATIONAL

COLLABORATION

STRATEGY

ALLOWABILITY

BUDGET EFFORT REPORTING

RELATIONSHIPS

SPONSORED PROGRAMS

DIVERSITY

SUPPORT ANALYTIC

HUMAN CAPITAL

COSTS

DEVELOPMENT

ADMINISTRATOR

AGENDA |

Tuesday, March 12, 2019

8:15 – 9:45 am ~ Education Sessions DISCUSSION GROUPS CONTINUED PREDOMINANTLY UNDERGRADUATE INSTITUTIONS eRA SYSTEMS AT PUIs

Join in a general discussion of eRA systems at PUI’s. What works? What does not? Share your University’s experience of a recent eRA system implementation. What are some holes in your current eRA system and how are you problem solving them. Bring questions, comments and be ready to share.

Nathan Jones*, Proposal Development Associate, Sponsored Programs & Research Compliance, University of North Carolina at Wilmington Jennifer Beauseigneur, Grant and Contract Specialist, Pre-Award, Indiana University of Pennsylvania

REGULATORY COMPLIANCE CONFLICTS OF INTEREST, COMMITMENT, OR BOTH: THE EVOLUTION OF CHALLENGES

This interactive group discussion will address the main questions that departmental and central administrators face day-to-day regarding financial conflicts of interest, conflicts of commitment, and the overlapping issues with their effects on award commitments. We will discuss the challenges that have evolved since the 2012 Public Health Services regulation, including financial conflicts relating to faculty research, joint appointments, current and pending support statements, and effort commitments. Participants are encouraged to ask questions as well as share their own experiences.

Denise M. Moody*, Senior Director of Research Compliance, Research Administration Services, Faculty of Arts, Harvard University Whitney Dodds, Associate Director, Conflict of Interest Management, The Broad Institute, Broad Institute of MIT and Harvard

9:45 – 10:15 am Networking and Refreshment Break NCURA’s Commitment to Diversity and Inclusion The Impact of NCURA Membership 9:45 – 10:15 am NCURA Education Scholarship Fund – How to Apply Find out how you can apply for a scholarship to support your graduate Research Administration education.

PUI

RESEARCH

INVESTIGATIONS

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www.ncura.edu ~ 20th Annual Financial Research Administration Conference (FRA)

* Lead Presenter

AGENDA |

Tuesday, March 12, 2019

10:15 – 11:30 am ~ Education Sessions CONCURRENT SESSIONS DEPARTMENTAL F Intermediate OPERATION SHUTDOWN! HOW TO SURVIVE THE DEPARTURE OF A PI WITHOUT LOSING YOUR SANITY

This session will provide an overview of the subject matter in which Departmental Research Administrators (DRAs) need to be expert in order to effectively manage the departure of a PI, whether it be from retirement or transfer to another institution. The process can be reverse engineered to account for onboarding of new and established investigators. We will cover the role of the DRA, both as support to the PI and the liaison with central offices, facilities, HR, and all the other moving pieces required to shutdown/transfer a lab.

LEARNING OBJECTIVES • Participants will understand how to help faculty navigate the multitude of compliance and related items that need to be addressed.

PREREQUISITES Participants will need an understanding of Pre- and Post-Award concepts, and some experience in Research Administration.

Jennifer Husmo*, Research Administrator, Department of Systems Biology, University of Texas M.D. Anderson Cancer Center Tania Secrest, Executive Director, Science Operations, University of Texas M.D. Anderson Cancer Center

DEPARTMENTAL F Advanced ALLOCABILITY AMONG MULTIPLE PROJECTS: STRATEGIES AND METHODS FOR THE DEPARTMENTAL ADMINISTRATOR

Allocating costs to one sponsored project is difficult, adding costs to several projects can be overwhelming.

When this occurs, the costs should be allocated in the same proportions as it benefits each award while adhering to sponsor guidelines and institutional policies.

This session will provide methods, strategies and tools to assist departmental administrators who manage the purchases of services and goods that benefit multiple awards.

LEARNING OBJECTIVES • Participants will be able to describe the four steps that govern direct cost when allocating expenditures to sponsored projects.

• Participants will create an allocation plan for principal investigators with multiple sponsored accounts.

• Participants will be able to develop a departmental procedure for managing how costs are allocated on sponsored projects.

PREREQUISITES This session is tailored for research administrators in high research activity departments who struggle with the complexities of allocating costs appropriately while working with principal investigators that have multiple sponsored projects.

Tolise C. Dailey*, Training Manager, Research Development Team, Johns Hopkins University Anne Albinak, Director of Research Administration Operations, Whiting School of Engineering, Johns Hopkins University

FOLLOW US @NCURA JOIN THE CONVERSATION #NCURAFRA

LAS VEGAS

March 11 – 12 March 13 FRA Conference

FRA/PRA Workshop Day

* Lead Presenter

51

LEADERSHIP

AGENDA |

FINANCIAL

ISSUES

STREAMLINING

TOOLS

IDEAS NEGOTIATION

Good opportunity to share ideas and talk openly about challenges.

DATA

FEDERAL

POST-AWARD AGREEMENTS

POLICY

PARTNERSHIPS SERVICE BEST METHODS

PRACTICES

GRANTS

AUDIT

ERA PROCESS

DEPARTMENTAL

Tuesday, March 12, 2019

10:15 – 11:30 am ~ Education Sessions CONCURRENT SESSIONS CONTINUED FEDERAL F Overview NSF GRANT AWARD AND CASH MANAGEMENT PROCESSES AND PROCEDURES

This session provides an overview of NSF’s Grants Award and Cash Payment processes and procedures. It details awardees’ responsibilities. It describes common reasons for process delays. Also, it provides detailed information on baseline monitoring activities. This session is presented by the Division of Financial Management, who is responsible for NSF outreach in these subject areas, and our objective is to reach as many grantees as possible.

LEARNING OBJECTIVES Participants will gain a better understanding of the Grants Award and Cash Management processes and procedures.

PREREQUISITES None

Pam Hawkins*, Director of Operations, Division of Grants and Agreements, National Science Foundation Chris Berner, Head of Grantee Cash Management, Division of Financial Management, National Science Foundation Ilene Caruso, Senior Accountant, Division of Financial Management, National Science Foundation

COMMUNICATION CLINICAL TRIALS

COMPLIANCE

INTERNATIONAL

COLLABORATION

MOTIVATION

STRATEGY

KNOWLEDGE

ALLOWABILITY

BUDGET EFFORT

EDUCATION REPORTING

RELATIONSHIPS

ON-DEMAND SPONSORED SKILLS WORKSHOPS PROGRAMS

NSF Fundamentals Workshop SUPPORT

This workshop provides a primary basis of understanding of proposals to and awards from the National Science Foundation (NSF).

It is perfect for someone new to Research DEVELOPMENT Administration, as well as for research administrators seeking to expand their knowledge of federal funding agencies.

The curriculum provides an overview of the policies and procedures essential to preparing successful proposals to and managing grant awards from NSF. PUI

COSTS

HUMAN CAPITAL

ADMINISTRATOR

RESEARCH

INVESTIGATIONS

LEARNING PRACTICE

DIVERSITY ANALYTIC

> Half day Video Workshops > Downloadable MP4 file > Post the MP4 on your organization’s internal site for continued onboarding and training

The New Era of Effort Reporting

Financial Research Compliance

This workshop will focus on some key principles for good management of the requirements for charging and documenting personnel costs: policies and procedures; training programs; documentation; and oversight. In addition, given the continuing federal audits of this area, it will focus on some common issues that have arisen in a number of OIG audits. The workshop will examine both the traditional effort reporting methodology, and discuss the latest alternative methodologies, with an overarching focus on internal controls.

This workshop provides an in-depth look at financial compliance issues through a combination of lecture, case studies, review of federal audit reports, and a discussion of best practices. Participants will be able to apply the principles of the Uniform Guidance that govern federally sponsored agreements to work at their home institutions, including costing at the Pre-Award and Post-Award stage.

LEARN MORE onlinelearning.ncura.edu

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www.ncura.edu ~ 20th Annual Financial Research Administration Conference (FRA)

* Lead Presenter

AGENDA |

Tuesday, March 12, 2019

10:15 – 11:30 am ~ Education Sessions CONCURRENT SESSIONS CONTINUED FINANCIAL COMPLIANCE F Intermediate SERVICE CENTER COMPLIANCE

Achieving service center compliance relies on a number of steps including developing/maintaining a good policy, identifying service centers, and working with departments/centers to develop/maintain compliant rates. This session will provide tips on how to achieve and maintain service center compliance.

LEARNING OBJECTIVES • Participants will engage in a discussion on service center compliance.

• Participants will be able to list the steps to create a good institutional policy.

• Participants will understand ways to identify service centers.

• Participants will gain tips on developing and maintaining compliant service center rates.

PREREQUISITES Participants will want a basic understanding of service centers.

Jerry G. Fife*, Principal Consultant, Point Consulting Group Mary Beth Rudofski, Principal Consultant, Point Consulting Group Cathy L. Snyder, Director, Vanderbilt Costing Activities, Office of Contract & Grant Accounting, Vanderbilt University

GLOBAL for U.S. and Non-U.S. Participants F Overview MAKE YOUR OFFICE READY FOR THE MANAGEMENT OF A DIVERSIFIED INTERNATIONAL PORTFOLIO

Today, there is an immense variety of research funders ranging from private foundations, such as Gates Foundation, to public funding agencies, and industry.

The greater variety of funding programs you manage, the more complicated it gets. When you do not have a critical mass of projects or the experience in dealing with them, you risk non-compliance with the funders’ rules. Do you take this risk or not? What is your decisionmaking process? How do you train your staff, and what services do you offer for your researchers when it comes to completely new funding sources? Once you engage with new funders, you must follow their rules and should understand exactly what to do in order to be compliant.

Your decision can have far-reaching consequences, so you will want to be aware of them. You will have to train the staff working in Pre- and Post-Award to understand internal rules and regulations. Building an international network to know your peers at other institutions dealing with similar funding types is strongly recommended.

This session will consider what measures to take when becoming involved in a range of international projects such as whom to involve, ways to avoid non-compliance, and staff training. The session will be held in a panel format and will be highly interactive. The participants will be presented with questions to consider when searching for and managing a diversified international portfolio.

Different scenarios will be presented and discussed.

LEARNING OBJECTIVES • Participants will be better able to identify compliance requirements within a proposal opportunity.

• Participants will be able to determine which campus offices to engage in order to support a particular proposal submission and subsequent award management.

• Participants will be able to develop a plan for training staff to meet compliance requirements.

PREREQUISITES None

Agatha Keller*, Co-Head EU GrantsAccess, Euresearch Zurich, ETH Zurich, University of Zurich David J. Mayo, Director of Sponsored Research, California Institute of Technology, NCURA Distinguished Educator Denise M. Moody, Senior Director of Research Compliance, Research Administration Services, Faculty of Arts, Harvard University

LAS VEGAS

March 11 – 12 March 13 FRA Conference

FRA/PRA Workshop Day

* Lead Presenter

53

LEADERSHIP FINANCIAL

ISSUES

STREAMLINING

TOOLS

IDEAS NEGOTIATION

The programming was very good.

DATA

FEDERAL

POST-AWARD AGREEMENTS

POLICY

PARTNERSHIPS SERVICE BEST METHODS

PRACTICES

GRANTS

AUDIT

ERA PROCESS

DEPARTMENTAL

COMMUNICATION CLINICAL TRIALS

COMPLIANCE

INTERNATIONAL

COLLABORATION

STRATEGY

ALLOWABILITY

BUDGET EFFORT REPORTING

RELATIONSHIPS

SPONSORED PROGRAMS

DIVERSITY

SUPPORT ANALYTIC

HUMAN CAPITAL

Tuesday, March 12, 2019

10:15 – 11:30 am ~ Education Sessions CONCURRENT SESSIONS CONTINUED HUMAN CAPITAL F Advanced NEW INSTITUTION, NEW JOB: STRATEGIES FOR SUCCESS

Congratulations! You are at a new institution in an exciting new job! Now what? Every institution is different and each position has its challenges. What steps can you take to increase your chances of success? This session will introduce participants to a framework for developing strategies that will allow research administrators to approach new jobs with confidence. The first year on the job requires learning, building relationships, self-care, and action. Join us as we dive into the most important considerations for transitions to new institutions.

LEARNING OBJECTIVES • Participants will be introduced to a framework for developing strategies to successfully navigate new jobs at new institutions.

• Participants will discuss the types of information to be learned in the first months in a new position and the importance of utilizing multiple forms of communication such as observation, active listening, asking questions, and reading.

PREREQUISITES Participants will need 3 to 5 years of experience in Research Administration and be in, or interested in a leadership role.

Dorothy J. Johnson*, Post-Award Supervisor, Office of Research and Sponsored Programs, University of Wisconsin-Madison Nancy Y. Dufau, Assistant Vice President, Office of Sponsored Programs and Research, Towson University

HUMAN CAPITAL F Overview HOW TO OVERCOME YOUR FEARS AND BECOME A DYNAMIC, ENGAGING PRESENTER

Overcoming fear is a universal skill that can help individuals gain confidence.

This session will discuss techniques for recognizing and dealing with the “fear response.” Presenters will discuss how they have overcome fear and used storytelling techniques to become a dynamic and engaging presenter.

LEARNING OBJECTIVES • Participants will be able to recognize the fear response.

• Participants will gain a basic understanding of storytelling techniques.

PREREQUISITES None

Anita Mills*, Senior Solutions Consultant, Cayuse David M. Schultz, Assistant Vice President, Research Administration and Finance, Rensselaer Polytechnic Institute

COSTS

DEVELOPMENT

AGENDA |

ADMINISTRATOR

PUI

RESEARCH

INVESTIGATIONS

IRB

54

www.ncura.edu ~ 20th Annual Financial Research Administration Conference (FRA)

* Lead Presenter

AGENDA |

Tuesday, March 12, 2019

10:15 – 11:30 am ~ Education Sessions CONCURRENT SESSIONS CONTINUED POST-AWARD/ACCOUNTING/ FINANCE F Intermediate DIFFERENT INSTITUTIONS, SIMILAR STRUGGLES – I FEEL YOUR PAIN

Every research institution is unique, yet the majority struggle with the same Post-Award challenges: partnership with departments, turnover, proactive monitoring and backlog cleanup to name a few. We’ll look at two institutions in the same state, University of Texas Southwestern Medical Center and MD Anderson Cancer Center, and their parallel challenges, which many others share. We’ll talk about how each approached these same challenges, what they learned and how each has improved their Post-Award operations.

LEARNING OBJECTIVES • Participants will be able to identify opportunities to tackle problems that align with your organizations culture and fit.

• Participants will share insights on common problems that have been identified and resolved.

PREREQUISITES Participants will want basic experience with Post-Award challenges.

Sonia Singh*, Director, Huron Amanda Ferguson, Associate, Huron Carol Walters, Compliance Coordinator and Project Liaison, Grant and Institutional Audits, University of Texas Southwestern Medical Center

NCURA Publications available exclusively

ONLINE

HOW TO MANAGE A FINANCIALLY FOCUSED UNIVERSITY RESEARCH AUDIT EFFECTIVELY AUTHORS: ASHLEY DEIHR, Baker Tilly KIMBERLY GINN, Baker Tilly JEFFREY SILBER, Cornell University

Download a copy today at NCURA’s Online Learning Center https://onlinelearning.ncura.edu/

LAS VEGAS

A PRIMER ON EXPORT CONTROLS AUTHORS: JESSICA B. BUCHANAN, University of Pennsylvania ELIZABETH D. PELOSO, University of Pennsylvania

March 11 – 12 March 13 FRA Conference

FRA/PRA Workshop Day

ADMINISTERING RESEARCH CONTRACTS AUTHOR: DAVID MAYO, California Institute of Technology, NCURA Distinguished Educator

INTERNATIONAL RESEARCH COLLABORATIONS AUTHORS: MARTIN KIRK, King’s College London JEREMY T. MINER, University of Wisconsin-Eau Claire ARA TAHMASSIAN, Harvard University BRYONY WAKEFIELD, University of Melbourne MARIANNE R. WOODS, Johns Hopkins University

* Lead Presenter

55

LEADERSHIP FINANCIAL

ISSUES

STREAMLINING

TOOLS

IDEAS NEGOTIATION The sessions enhanced what I knew, taught me some things I was not aware of.

DATA

FEDERAL

POST-AWARD AGREEMENTS

POLICY

PARTNERSHIPS SERVICE BEST METHODS

PRACTICES

GRANTS

AUDIT

ERA PROCESS

DEPARTMENTAL

COMMUNICATION CLINICAL TRIALS

COMPLIANCE

INTERNATIONAL

COLLABORATION

STRATEGY

ALLOWABILITY

BUDGET EFFORT REPORTING

RELATIONSHIPS

SPONSORED PROGRAMS

DIVERSITY

AGENDA |

Tuesday, March 12, 2019

10:15 – 11:30 am ~ Education Sessions CONCURRENT SESSIONS CONTINUED PREDOMINANTLY UNDERGRADUATE INSTITUTIONS F Overview COST SHARING AT A PUI

To cost share or not to cost share Often times, we find ourselves defending our answer to this question. How effectively we communicate, to all parties involved, what cost sharing is the commitment, responsibilities, reporting requirements, and benefits can assist in determining the answer this question. The objectives discussed during this session is aimed to provide guidance as to how better answer the question at your institution.

LEARNING OBJECTIVES • Participants will discuss when we should cost share.

• Participants will discuss some key benefits of cost sharing.

• Participants will learn what commitments are associated to cost sharing.

• Participants will discuss the responsibilities associated to cost sharing.

• Participants will learn about some disadvantages of cost sharing.

PREREQUISITES None

Shuna H. McMichael*, Organizational Research Administrator, Office of Sponsored Research, Soka University of America

Patricia McNulty, Principal Consultant, Concurrent Research Morakinyo A. Kuti, Director, Office of Sponsored Programs, Central State University

REGULATORY COMPLIANCE F Basic HUMAN SUBJECT DATA, IRB AND YOUR SUBAWARDS: FLOWING DOWN THE RIGHT STUFF

From certificates of confidentiality to sIRBs, the landscape around human subjects research is increasingly complex. This session will focus on recognizing human subjects related work and flowing down appropriate clauses in subawards. The session will specifically cover, Certificates of Confidentiality, sIRB versus local IRB, data use and international considerations.

LEARNING OBJECTIVES • Participants will learn to establish practices for correctly identifying human subjects related work and/or data use and facilitating follow up and discussion between faculty, internal stakeholders and external collaborators to ensure contracts correctly reflect the obligations between the parties.

PREREQUISITES None

Amanda R. Humphrey*, Director, Award Administration, Research Enterprise Services, Northeastern University Stephanie Stone, Director-Contracting, Research Management, Partners HealthCare

SUPPORT ANALYTIC

HUMAN CAPITAL

COSTS

DEVELOPMENT

ADMINISTRATOR

PUI

RESEARCH

INVESTIGATIONS

FOLLOW US @NCURA JOIN THE CONVERSATION #NCURAFRA

IRB

56

www.ncura.edu ~ 20th Annual Financial Research Administration Conference (FRA)

* Lead Presenter

AGENDA |

Tuesday, March 12, 2019

10:15 – 11:30 am ~ Education Sessions CONCURRENT SESSIONS CONTINUED REGULATORY COMPLIANCE F Advanced UTILIZING DATA ANALYTICS TO IDENTIFY REGULATORY FINANCIAL RISK

This session will review how Federal auditors use data analytics to identify high risk transactions for their audit sample. We will suggest reviews institutions can take to preemptively monitor these types of costs, and also cover what kind of training can be created to help research administrators understand these high risk costs.

LEARNING OBJECTIVES • Participants will learn how Federal auditors use data analytics to sample audit transactions.

• Participants will review examples of high risk transactions.

• Participants will discuss internal sampling reviews your institution can create to monitor these high risk transactions.

• Participants will review financial compliance training and development strategies.

PREREQUISITES Prior to attending, please review a NSF performance audit report, which can be found at the NSF OIG Reports website. https://www.nsf.gov/oig/reports/reviews.jsp#external

Marcel A. Villalobos*, Assistant Director, Post-Award Services, Sponsored Projects & Contracting Services, University of Arizona Sarah J. White, Associate Vice Chancellor for Research, Office of Sponsored Programs, University of Tennessee Health Science Center

REGULATORY COMPLIANCE F Intermediate COMPLIANCE IN A WORLD OF “IT DEPENDS”

Sponsored research administration and compliance can be challenging for departmental administrators in a world where questions are frequently answered with “It depends…” The focus of this session is to provide research administrators with best practices for managing compliance within sponsor and institutional regulations, assessing compliance and audit risk from proposal to closeout, determining roles and responsibilities, and establishing internal controls for the management of sponsored projects.

LEARNING OBJECTIVES • Participants will learn best practices for research compliance, assessing compliance and audit risks from proposal to closeout, and establishing internal controls.

• Participants will learn techniques for clarifying and establishing roles and responsibilities related to research administration and compliance.

• Participants will discuss common issues and methods surrounding research compliance.

PREREQUISITES Participants will benefit from exposure to compliance requirements and “It depends” answers.

Roseann L. Luongo*, Higher Ed Consulting Manager, Huron Calleen Roper, Assistant Director, Budget & Finance, Florida State University

DISCUSSION GROUPS CLINICAL/MEDICAL METRICS MATTER IN CLINICAL TRIALS, YOU MEASURE WHAT YOU TREASURE

We know metrics matter. By harnessing key indicators of compliance and performance that relate to defined goals, we leverage our data to our advantage to reduce risk, pare down waste and inefficient practice, and improve outcomes. However, key indicators of compliance and performance are different for standard research grants than they are for clinical trials. How do we measure risk, quality, and efficiency in clinical research What are the metrics that matter, and how do we use them to our advantage? Join us for a discussion about strategies that work at our institutions to learn how you can measure what you treasure to meet your institution’s compliance and performance goals.

Matt Richter*, Manager, Research Compliance, Corporate Compliance Office, Medical College of Wisconsin Tisha N. Kawahara, Research Administration, Department of Surgery, University of Wisconsin-Madison

LAS VEGAS

March 11 – 12 March 13 FRA Conference

FRA/PRA Workshop Day

* Lead Presenter

57

LEADERSHIP

AGENDA |

FINANCIAL

ISSUES

STREAMLINING

TOOLS

IDEAS NEGOTIATION Sessions went National into details and provided concrete actionable guidance.

DATA

AGREEMENTS

PARTNERSHIPS SERVICE BEST

POLICY

DISCUSSION GROUPS CONTINUED

REGULATION AND COMPLIAN

POST-AWARD

JUGGLING MULTIPLE FEDERAL REPORTING SYSTEMS

As technology has evolved within the field of Research Administration, so have the multiple Federal reporting systems and portals. There is no “common look” and there are no “common operational methodologies” for these systems. This discussion group will allow attendees to discuss best practices and share successful and not-so-successful experiences with Federal reporting systems.

Donna R. Kiley*, Director Post-Award, Office of Research and Economic Development, Florida International University Emily Konkol, Post-Award Manager, Office of Research and Sponsored Programs, University of Wisconsin-Madison

PRACTICES

GRANTS

ERA PROCESS AUDIT

10:15 – 11:30 am ~ Education Sessions

Council of University Research Administrators FEDERAL

FEDERAL

METHODS

Tuesday, March 12, 2019

DEPARTMENTAL

Regulation and Compliance:

COMMUNICATION CLINICAL TRIALS

A Compendium of Regulations and Certifications Applicable to Sponsored Programs

COMPLIANCE REGUL ATION Administrators University Research National Council of

NCURA’s comprehensive resource of all the relevant regulations for grants, cooperative agreements, and contracts.

STRATEGY COMPLIANCE

INTERNATIONAL

COLLABORATION AND

ALLOWABILITY

BUDGET

SPONSORED PROGRAMS

EFFORT

This vital reference distills more than 100 Federal Requirements to help you keep your institution and faculty in compliance. Over 200 pages of important information in an easy to use format that will save countless hours of research.

REPORTING

RELATIONSHIPS

lations and Certifications A Compendium of Regu d Programs Applicable to Sponsore

DIVERSITY

SUPPORT ANALYTIC

HUMAN CAPITAL

COSTS

DEVELOPMENT

ADMINISTRATOR RandCad.indd 1

Chapters include:

Regulatory Framework

Safety and Security

Antidiscrimination

Data and Dissemination

Privacy

Employee Directives

Open Government Regulations

Fraud, Waste and Abuse

Protection of Living Things

Administrative Requirements Applicable to All Awards

A GREAT RESOURCE FOR CRA EXAM PREP ~ GET YOUR COPIES TODAY! www.ncura.edu/Publications/Store.aspx

PUI

7/6/18 3:24 PM

RESEARCH

INVESTIGATIONS

IRB

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www.ncura.edu ~ 20th Annual Financial Research Administration Conference (FRA)

* Lead Presenter

AGENDA |

Tuesday, March 12, 2019

10:15 – 11:30 am ~ Education Sessions DISCUSSION GROUPS CONTINUED FINANCIAL COMPLIANCE INSTITUTIONAL AUDITS: MANAGING YOUR AWARD TO PASS THE AUDIT TEST

As stewards of sponsored funding, it’s likely that both departmental and central research administrators will at some point in their careers find themselves participating in a variety of audits.

Typically, a research administrator will answer any questions an auditor may have about a specific project; however, it is of paramount importance to ensure responses are supported by strong internal controls and compliance with various laws and regulations. This discussion will open with an overview of the audit process and highlight the types of reviews that could potentially take place. Regardless of review type, participants will be invited to share their experiences regarding best practices they may have adopted and/or witnessed when managing an award to ensure a successful outcome for the institution and the administrator.

Timothy Schailey*, Director, Research Administration, Office of Research Administration, Thomas Jefferson University Debra Y. Murray, Assistant Director Compliance, Sponsored Programs Accounting and Compliance, University of Maryland, College Park Alma Starks, Assistant Director, Post-Award Manager, George Washington University

GLOBAL for U.S. and Non-U.S. Participants FUNDAMENTAL DIFFERENCES BETWEEN EU AND U.S. SPONSORED RESEARCH AUDITING

EU projects (H2020) and U.S. Single Audits, while basically undergoing the same principles, are very different in terms of when audits are undergone, and the testing procedures in place. This discussion will address these differences, and answer any specific questions.

Jonathan Gray*, Senior Manager, Grant Auditing Team, LEES Chartered Certified Accountants Albana Cejne, Assistant Director, Sponsored Research Audit, Princeton University

POST-AWARD/ACCOUNTING/FINANCE THE INSIDE TRACK ON RED FLAGS: FUNDERS REVIEW

In this discussion, we’ll discuss the following topics from a funder, auditor, and awardee perspective: • What do awardees struggle with when managing an award?

• What are commonly disallowed costs?

• What do auditors see as red flags?

James A. Hulbert*, Assistant Director, Financial Compliance, Patient-Centered Outcomes Research Institute (PCORI) Megan Mesko, Manager, Cotton & Company LLP Rochelle Ray, Branch Chief, Resolution and Advanced Monitoring Branch (RAM), Division of Institution and Award Support (DIAS), National Science Foundation

PREDOMINANTLY UNDERGRADUATE INSTITUTIONS FRINGE BENEFITS RATES AT A PUI – METHODOLOGIES (PROs & CONs)

This discussion will include a panel of university presenters and cover topics related to Fringe Benefit Methodologies - both pooled rates and specific identification.

Mira L. Levine*, Senior Manager, MAXIMUS Cheresa Y. Boston, Director, Office of Research and Sponsored Programs, University of North Florida FOLLOW US @NCURA JOIN THE CONVERSATION #NCURAFRA

LAS VEGAS

March 11 – 12 March 13 FRA Conference

FRA/PRA Workshop Day

* Lead Presenter

59

LEADERSHIP FINANCIAL

ISSUES

STREAMLINING

TOOLS

IDEAS NEGOTIATION The depth and breadth of the agenda are superb!

The topics are always relevant.

DATA

FEDERAL

POST-AWARD AGREEMENTS

POLICY

PARTNERSHIPS SERVICE BEST METHODS

PRACTICES

GRANTS

AUDIT

ERA PROCESS

DEPARTMENTAL

COMMUNICATION CLINICAL TRIALS

COMPLIANCE

INTERNATIONAL

COLLABORATION

STRATEGY

ALLOWABILITY

BUDGET EFFORT REPORTING

RELATIONSHIPS

SPONSORED PROGRAMS

DIVERSITY

SUPPORT ANALYTIC

HUMAN CAPITAL

Tuesday, March 12, 2019

11:30 am – 1:00 pm ~ Networking Luncheon

1:00 – 2:15 pm ~ Education Sessions CONCURRENT SESSIONS CLINICAL/MEDICAL F Overview THE MAGIC AND MYSTERY OF INDUSTRY FUNDED CLINICAL TRIALS

Are industry “funded” clinical trials a mystery to you? This session will briefly introduce you to the world of industrysponsored clinical trials. We will discuss how being thorough when budgeting and negotiating with industry pays off by making it easier to manage accounts receivable later. We will discuss the importance of billing compliance, payment terms, and tracking receivables. We will also discuss how managing clinical trial finances is different than managing grant finances, including reporting to PIs. We will also briefly discuss industry trends.

LEARNING OBJECTIVES • Participants will learn the key differences between the “grant world” and industryfunded clinical trials (eg, why contracts are not worth what they say they are, payments by visits, procedures and milestones.)

• Participants will be able to read protocols from a financial perspective (hard and soft costs) and recognize when people other than the PI’s team should be included in the budgeting process.

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

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

• Participants will learn how industry is crowdsourcing to find new markets for their drugs (PI initiated trials.)

• Participants will learn about accounts receivable, how the budget and payment terms make collecting funds easier or harder, and tracking what is owed to you and when.

• Participants will learn to assess and report on their institution’s financial standing to PIs. • Participants will learn how to ensure a successful, timely and thorough close out audit process.

PREREQUISITES None

Ian Stevenson*, Senior Financial Analyst, Clinical Trials Office, Beth Israel Deaconess Medical Center Lan Zhou, Senior Clinical Research Financial Analyst, Dana-Farber Cancer Institute

COSTS

DEVELOPMENT

AGENDA |

ADMINISTRATOR

PUI

RESEARCH

INVESTIGATIONS

IRB

60

www.ncura.edu ~ 20th Annual Financial Research Administration Conference (FRA)

* Lead Presenter

AGENDA |

Tuesday, March 12, 2019

1:00 – 2:15 pm ~ Education Sessions CONCURRENT SESSIONS CONTINUED DEPARTMENTAL F Intermediate JACK OF ALL TRADES – CENTRAL RESPONSIBILITIES WITH DEPARTMENTAL PARTNERSHIPS

You’re working in a Central Office and are clear about your role within the award lifecycle. You’ve become a jack of all trades to be able to bridge the gaps in staffing, knowledge and experience with your colleagues across campus. How do you make it work without taking on all the responsibilities? Building partnerships with your departmental colleagues will enable you to creatively address the issues as they arise while also keeping a strategic eye on future objectives. This session will focus on recognizing strengths within the partnerships and utilizing them to successfully manage awards for both the short and long term.

LEARNING OBJECTIVES • Participants will be able to distinguish between key Central and Departmental responsibilities at your institution.

• Participants will be able to identify gaps in workflow for both processes and resources.

• Participants will be able to identify opportunities to create transparency and improve processes while also improving relationships.

PREREQUISITES Participants will want knowledge of the award lifecycle.

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

FEDERAL F Overview NSF PROPOSAL PREPARATION FOR FINANCIAL RESEARCH ADMINISTRATORS

This session will provide you with an overview of NSF proposal preparation requirements with an eye towards what is helpful for financial research administrators to know.

LEARNING OBJECTIVES • Participants will learn about the types of funding opportunities and funding mechanisms that NSF employs.

• Participants will learn about the required sections of an NSF proposal including budgetary guidelines for an NSF budget and budget justification.

PREREQUISITES None

Jean I. Feldman*, Head, Policy Office, Division of Institution and Award Support, Office of Budget, Finance & Award Management, National Science Foundation

FINANCIAL COMPLIANCE F Intermediate WOW! YOU ARE FUNDED, NOW WHAT? BUDGETING AND FORECASTING

In this session, we will look at best practices for what to do once an award is provided to our institutions and our faculty become stewards of that funding. Management is more than just financials; it is HR, it is effort, it is the potential for visas and so on.

LEARNING OBJECTIVES • Participants will explore tools and techniques for managing the Post-Award to ensure compliance and, in turn, also support future funding requests.

PREREQUISITES Participants will want a basic understanding of the terms and conditions of awards.

Randi E. Wasik*, Associate Dean, Finance, Administration and Strategy, Floyd College of Medicine, Washington State University Kimberly M. Kruse, Supervisor, Research Service Core, University of California-San Diego

FOLLOW US @NCURA JOIN THE CONVERSATION #NCURAFRA

LAS VEGAS

March 11 – 12 March 13 FRA Conference

FRA/PRA Workshop Day

* Lead Presenter

61

LEADERSHIP FINANCIAL

ISSUES

STREAMLINING

TOOLS

IDEAS NEGOTIATION

Plenty of sessions to chose from!

DATA

FEDERAL

POST-AWARD AGREEMENTS

POLICY

PARTNERSHIPS SERVICE BEST METHODS

PRACTICES

GRANTS

AUDIT

ERA PROCESS

DEPARTMENTAL

COMMUNICATION CLINICAL TRIALS

COMPLIANCE

INTERNATIONAL

COLLABORATION

STRATEGY

ALLOWABILITY

BUDGET EFFORT REPORTING

RELATIONSHIPS

SPONSORED PROGRAMS

DIVERSITY

SUPPORT ANALYTIC

HUMAN CAPITAL

COSTS

DEVELOPMENT

ADMINISTRATOR

AGENDA |

Tuesday, March 12, 2019

1:00 – 2:15 pm ~ Education Sessions CONCURRENT SESSIONS CONTINUED GLOBAL for U.S. and Non-U.S. Participants F Overview MANAGING GRANTS ACROSS BORDERS – INTERCULTURAL AND INTERNATIONAL COMMUNICATION AND TERMINOLOGY

This session will explore the divergences in terminology, legal concepts, and business and cultural norms that complicate the management of grants across borders.

Approaching communication challenges from both a U.S. and non-U.S. perspective, examples culled from experience will serve as a basis for discussion of best practices.

Participants will gain an appreciation of not only potential communication and terminology gaps, but also strategies for navigating their own international relationships to ensure effective grant management.

LEARNING OBJECTIVES • Participants will have a better understanding of the communication and terminology challenges posed by international collaborations.

• Participants will learn strategies for bridging the gaps in cultural, legal, and sponsored research regimes to ensure project success.

PREREQUISITES None

Megan Moore*, Associate Director, Grants and Contracts, Harvard University Jonathan Gray, Senior Manager, Grant Auditing Team, LEES Chartered Certified Accountants Fadia Homeidan, Director of Grants and Contracts and Technology Transfer, American University of Beirut

GLOBAL for Non-U.S. Participants F Overview BUILDING EFFECTIVE UNIVERSITY AND FISCAL COMPLIANCE WHEN YOU DON’T HAVE THE UNIFORM GUIDANCE TO ADHERE TO

Join us for an introductory look at the current university research management environment in the United Arab Emirates (UAE). We will examine advantages and pitfalls of working in a growing research environment without the guidance and federal supervision of the Uniform Guidance (UG). Case study examination of two UAE institutions, one federal and one private, and how they are managing exponential growth will be presented.

LEARNING OBJECTIVES • Participants will be introduced to the UAE higher education system at large; through Zayed University (federal) and AUS (private) system.

• Participants will be introduced to the advantages of operating without UG. • Participants will be introduced to and discuss the pitfalls of operating without UG guidance in the growth and management of research endeavors.

• Participants will gain awareness of the growing research opportunities and collaboration in the UAE. PREREQUISITES None

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

PUI

RESEARCH

INVESTIGATIONS

IRB

62

www.ncura.edu ~ 20th Annual Financial Research Administration Conference (FRA)

* Lead Presenter

AGENDA |

Tuesday, March 12, 2019

1:00 – 2:15 pm ~ Education Sessions CONCURRENT SESSIONS CONTINUED HUMAN CAPITAL F Overview IMPROVE COMMUNICATION WITH RESULTS-BASED DESIGN

Strong communication skills are imperative to our success as research administrators, so you likely already have them. However, most of us rely on what comes naturally and will continue to practice the same communication approaches. Join us to learn tips and best practices for improved communication.

LEARNING OBJECTIVES • Participants will be able to identify common communication mishaps.

• Participants will be able to determine the “need-toknow” information for an audience.

• Participants will learn to create a mind-map to organize important messages.

• Participants will be able to incorporate results based design into written and verbal communication.

PREREQUISITES None

Matt Richter*, Manager, Research Compliance, Corporate Compliance Office, Medical College of Wisconsin Melanie Hebl, Education Coordinator, Research and Sponsored Programs, University of Wisconsin-Madison

HUMAN CAPITAL F Overview CHAIR YOGA FOR ALL! COME BACK TO YOUR NATURAL STATE OF BALANCE

Chair yoga is a gentle form of yoga that we can experience while sitting in our chair, or while standing and using a chair for support. Taking a few minutes at our desk can release stress, help us become more responsive and less reactive, increase productivity, and bring us back to our natural state of balance. Join us as we experience the benefits of chair yoga. A handout of what we learn together will be shared so you can continue your practice back at the office.

LEARNING OBJECTIVES • Participants will be able to identify the benefits of chair yoga.

• Participants will learn chair yoga techniques.

PREREQUISITES None

Tara E. Bishop*, Deputy Chief Executive, National Council of University Research Administrators

LAS VEGAS

March 11 – 12 March 13 FRA Conference

FRA/PRA Workshop Day

* Lead Presenter

63

LEADERSHIP FINANCIAL

ISSUES

Excellent mix of topics.

DATA

STREAMLINING

TOOLS

IDEAS NEGOTIATION

FEDERAL

POST-AWARD AGREEMENTS

POLICY

PARTNERSHIPS SERVICE BEST METHODS

PRACTICES

GRANTS

AUDIT

ERA PROCESS

DEPARTMENTAL

COMMUNICATION CLINICAL TRIALS

COMPLIANCE

INTERNATIONAL

COLLABORATION

STRATEGY

ALLOWABILITY

BUDGET EFFORT REPORTING

RELATIONSHIPS

SPONSORED PROGRAMS

DIVERSITY

SUPPORT ANALYTIC

HUMAN CAPITAL

COSTS

DEVELOPMENT

ADMINISTRATOR

PUI

RESEARCH

INVESTIGATIONS

AGENDA |

Tuesday, March 12, 2019

1:00 – 2:15 pm ~ Education Sessions CONCURRENT SESSIONS CONTINUED POST-AWARD/ACCOUNTING/FINANCE F Basic ORDER FROM CHAOS: SUPPORTING MULTIDISCIPLINARY RESEARCH IN TODAY’S ENVIRONMENT

With increasing funding opportunities and collaboration across scientific fields, research administrators are increasingly expected to support complex, multifaceted, multidisciplinary research projects. Join this panel discussion on best practices in supporting multidisciplinary research, including topics such as: • Benefits of a multidisciplinary approach • Proposal support and budget development • Salary allocation, tracking, and certification • Cost charging, allocation, and shared costs • Understanding disciplinary cultures • Financial and programmatic reporting requirements • Communication techniques • Award monitoring tools and practices • Keeping administrative boundaries from being an obstacle

LEARNING OBJECTIVES • Participants will understand common approaches to multidisciplinary research.

• Participants will gain examples of common challenges with administering multidisciplinary research.

• Participants will discuss and share concrete practices to address common challenges.

PREREQUISITES None

Ashley E. Deihr*, Director, Baker Tilly Jeffrey A. Silber, Senior Director, Sponsored Financial Services, Cornell University

POST-AWARD/ACCOUNTING/ FINANCE F Advanced UNDER RECOVERY OF FACILITIES AND ADMINISTRATIVE COSTS

Our institutions are increasingly challenged by low overhead rates mandated by non-federal or foundation sponsors. Recently, many philanthropic sponsors have made significant changes to their administrative requirements and policies by adding additional costs for sponsor-specific compliance. These changes further burden the institution and its central and departmental administrators. We will present ways to identify, track, and mitigate the burden of facilities and administrative costs.

LEARNING OBJECTIVES • Participants will discuss the primary issues and impact of reduced overhead.

• Participants will acquire tools to track and monitor its value, and develop strategies for mitigating under-recovery of facilities and administrative costs.

PREREQUISITES Participants will need an understanding of budgeting and an appreciation of the impact of facilities and administrative expenses within our institutions.

Vivian Holmes*, Assistant Dean for Research Administration, Sponsored Research, School of Public Health, Boston University Mark P. Daniel, Senior Consultant, Attain

IRB

64

www.ncura.edu ~ 20th Annual Financial Research Administration Conference (FRA)

* Lead Presenter

AGENDA |

Tuesday, March 12, 2019

1:00 – 2:15 pm ~ Education Sessions CONCURRENT SESSIONS CONTINUED PREDOMINANTLY UNDERGRADUATE INSTITUTIONS F Basic EXTRA! EXTRA! LEARN ALL ABOUT IT: REDUCING INSTITUTIONAL RISK WHEN PAYING EXTRA COMPENSATION AT PUIs

In this session, participants will explore how to strengthen internal controls surrounding extra compensation to reduce risk to the institution. An interactive discussion will help participants understand the conditions that need to be present at their PUI institution when paying extra compensation under sponsored awards.

LEARNING OBJECTIVES • Participants will explore the current regulations surrounding extra compensation.

• Participants will learn about the steps to take to reduce institutional risk surrounding extra compensation.

PREREQUISITES None

Glenn A. Pfeifer*, Director, Grants Development and Administration, Georgia State University Leonard Conner III, Grants and Contracts Officer, Office of Grants Development and Administration, Perimeter College, Georgia State University

REGULATORY COMPLIANCE F Intermediate EXPORT CONTROLS AND INTERNATIONAL COLLABORATIONS

As universities are becoming increasingly more involved in global activities, faculty collaborate with individuals and organizations from embargoed or sanctioned countries whether it is done overseas or in on-campus venues.

Research administrators are often the first to identify and analyze the situations. This session will address how the OFAC restrictions differ by country, what scenarios raise red flags, and information to include when submitting a request for an OFAC license. This session will include case studies on the different countries.

LEARNING OBJECTIVES • Participants will learn how OFAC restrictions differ by country.

• Participants will be able to identify what scenarios raise red flags.

• Participants will be able to determine what information to include when submitting a request for an OFAC license.

PREREQUISITES Participants will want a basic familiarity with global export controls.

Mary E. Schmiedel*, Senior Director, Office of Research Oversight, Georgetown University Jill Frankenfield, Associate Director, Division of Research, Office of Research Administration, University of Maryland, College Park

FOLLOW US @NCURA JOIN THE CONVERSATION #NCURAFRA

LAS VEGAS

March 11 – 12 March 13 FRA Conference

FRA/PRA Workshop Day

* Lead Presenter

65

LEADERSHIP FINANCIAL

ISSUES

STREAMLINING

TOOLS

IDEAS NEGOTIATION

I liked that there were sessions for all levels of RAs.

DATA

FEDERAL

POST-AWARD AGREEMENTS

POLICY

PARTNERSHIPS SERVICE BEST METHODS

PRACTICES

ERA GRANTS AUDIT

PROCESS

DEPARTMENTAL

COMMUNICATION CLINICAL TRIALS

COMPLIANCE

INTERNATIONAL

COLLABORATION

STRATEGY

ALLOWABILITY

BUDGET EFFORT REPORTING

RELATIONSHIPS

SPONSORED PROGRAMS

DIVERSITY

SUPPORT ANALYTIC

HUMAN CAPITAL

COSTS

DEVELOPMENT

ADMINISTRATOR

PUI

RESEARCH

AGENDA |

Tuesday, March 12, 2019

1:00 – 2:15 pm ~ Education Sessions DISCUSSION GROUPS DEPARTMENTAL A POST-AWARD REVIEW OF AN INSTITUTION’S CENTRAL OFFICE AWARD PACKAGE

The central office internal award package is a very condensed summary of the sponsor’s award. This package contains important information such as sponsor terms, contract tasks and reporting requirements for compliance by the PI and the institution. The discussion will focus on this critical stage of the award management for the departmental administrator and the understanding of key terms important to the smooth success of the award process for both the central office and the PI. Geraldine M. Pierre*, Senior Research Administrator, Sponsored Programs Administration, Boston VA Research Institute Rady Rogers, Assistant Director of Research Administration and Finance, John A. Paulson School of Engineering and Applied Sciences, Harvard University

FEDERAL THE NEW PROCUREMENT STANDARDS – WHAT HAS CHANGED AT YOUR INSTITUTION?

Please join us to discuss the implementation of the Uniform Guidance Procurement Standards. As a research administrator, you may have been involved or led this implementation at your organization. You may be a departmental administrator responsible for meeting the new requirements on behalf of your researcher. We would love to hear your experiences and the impact on your researchers.

Mary Beth Rudofski*, Principal Consultant, Point Consulting Group Dara C. Little, Assistant Vice President for Research, Division of Research & Innovation Partnerships, Northern Illinois University

FINANCIAL COMPLIANCE WE’RE ALL IN THIS TOGETHER: WHEN POLICIES REQUIRE COLLABORATION ACROSS SILOS

Many of the policies we implement necessitate the involvement of multiple offices. Those who manage sponsored projects may work closely with colleagues in purchasing, human resources, various compliance offices, and more. Examples of policies that have required cross-campus efforts include the NIH Single IRB policy and the NSF notification requirements on sexual harassment, other forms of harassment, and sexual assault. Let’s talk about how our institutions handle implementation of these types of policies. What kinds of challenges have you experienced? What kinds of venues exist to foster relationships that make collaboration easier? What strategies have worked for your institutions in implementing policies that impact several offices?

Jennifer A. Rodis*, Policy Analyst, Office of Research and Sponsored Programs, University of Wisconsin-Madison Brenda J. Smith, Director of Finance, University of Utah

INVESTIGATIONS

IRB

66

www.ncura.edu ~ 20th Annual Financial Research Administration Conference (FRA)

* Lead Presenter

AGENDA |

Tuesday, March 12, 2019

1:00 – 2:15 pm ~ Education Sessions DISCUSSION GROUPS CONTINUED HUMAN CAPITAL ACCOUNTABILITY: DEALING WITH EMPLOYEES WHO FAIL TO MEET EXPECTATIONS

One of the most prevalent and costly workplace issues is the inability to effectively hold others accountable for violated expectations and bad behavior. When people aren’t held accountable for violated expectations, they aren’t able to fully contribute to the strategic goals and success of the organization and everyone suffers. Learn some skills for permanently resolving concerns by holding anyone accountable, regardless of power or position. Uncover how to curb the costs of conflict avoidance and permanently resolve concerns in a way that is 100% honest and 100% respectful.

Veronica Lee*, Grant and Gift Accountant, Finance Office, Gallaudet University M. Diane Cox, Director of Grant Development, Office of Research & Projects, Southern Illinois University at Edwardsville

REGULATORY COMPLIANCE IDEAS FOR REDUCING THE IMPACT OF REGULATORY BURDENS

In times where we are frequently asked to do more with less, the regulatory burdens we face continue to grow. In this interactive discussion, we will all share strategies to manage the various regulatory burdens. This includes procurement, financial reporting, invoicing requirements, subcontract management, human subject concerns, and many more. Bring your list of burdens and join us as we all share our experiences and our journeys towards solutions!

Kerry Peluso*, Assistant Vice President for Research Administration & Finance, Office of Research,

Florida State University Lisa Nichols, Director, Research and Regulatory Reform, Council on Governmental Relations (COGR)

REGULATORY COMPLIANCE RESEARCH COMPLIANCE HEADLINES: THE GOOD, THE BAD, AND THE UGLY

Join us for an intimate and honest discussion of newsworthy headlines in research compliance from the past year. Whether it was the loss of an institution’s expanded authority, federal agencies’ interest in mitigating the theft of intellectual property, issues with the new Procurement Rule, trends in recent audit reports, or the NSF Rule Re: Sexual Harassment, we will have a number of topics to stimulate some great discussion no matter the level of experience.

Jeff M. Seo*, Assistant Vice-Provost for Research Compliance, Office of Research, Northeastern University Andres Chan, Director, Office of Financial Analysis, University of Southern California

2:15 – 2:45 pm Networking and Refreshment Break NCURA’s Commitment to Diversity and Inclusion The Impact of NCURA Membership NCURA Education Scholarship Fund – How to Apply

FOLLOW US @NCURA JOIN THE CONVERSATION #NCURAFRA

LAS VEGAS

March 11 – 12 March 13 FRA Conference

FRA/PRA Workshop Day

* Lead Presenter

67

LEADERSHIP FINANCIAL

ISSUES

STREAMLINING

TOOLS

IDEAS NEGOTIATION

Always a great conference!!

DATA

FEDERAL

POST-AWARD AGREEMENTS

POLICY

PARTNERSHIPS SERVICE BEST METHODS

PRACTICES

GRANTS

AUDIT

ERA PROCESS

DEPARTMENTAL

COMMUNICATION CLINICAL TRIALS

AGENDA |

Tuesday, March 12, 2019

2:45 – 3:45 pm ~ Education Sessions CONCURRENT SESSIONS CLINICAL/MEDICAL F Overview NEGOTIATING CLINICAL RESEARCH: TIPS AND TRICKS IN TODAY’S ENVIRONMENT

It’s tough to manage the process when Clinical Research has so many moving parts! From personnel to participants, policy to privacy, budgets to business offices - you need an accelerated learning curve for better planning and preparation.

This session will arm you with the shared and seasoned knowledge of two dynamic warriors who have treaded the varying vast lands of domestic and global clinical research projects, large and small. They will share their toolkits, experience and hopefully answer that question that has been driving you crazy!!

LEARNING OBJECTIVES • Participants will obtain and engage in sharing, practical, fail-safe tools and tricks to prepare and plan for a streamlined workload in the clinical research environment.

• Participants will learn to successfully avoid and overcome common pitfalls and challenges to increase productivity as a result of planning, collaboration and preparation.

PREREQUISITES None

Amy Caby*, Grant Specialist II, Department of Neurology, Washington University in St. Louis Beth Dubyak, President, Vincent Payment Solutions

COMPLIANCE

National Council of University Research Administrators

LIFE CYCLE OF THE AWARD SERIES EFFORT

INTERNATIONAL

COLLABORATION

STRATEGY

ALLOWABILITY

BUDGET

RELATIONSHIPS

SPONSORED PROGRAMS

REPORTING ONLINE VIDEO WORKSHOP SERIES

WITH SUPPLEMENTAL RESOURCES DIVERSITY

License to post on your institution’s SUPPORT internal site for continued staff training.

Available for immediate download at ANALYTIC onlinelearning.ncura.edu

HUMAN CAPITAL

COSTS

DEVELOPMENT

ADMINISTRATOR

PUI

RESEARCH

INVESTIGATIONS

21.5 hours of training

Compliance Two parts; Two hours each

Award Monitoring/Management Two parts; Two hours each

Award Negotiation and Acceptance Three parts: 90 minutes each

Pre-Award/Budgeting Three parts; 90 minutes each

Proposal Development Three parts; 90 minutes each

IRB

68

www.ncura.edu ~ 20th Annual Financial Research Administration Conference (FRA)

* Lead Presenter

AGENDA |

Tuesday, March 12, 2019

2:45 – 3:45 pm ~ Education Sessions CONCURRENT SESSIONS CONTINUED DEPARTMENTAL F Intermediate SPONSORED PROPERTY: BEYOND THE BASICS

Whether you are a new departmental research administrator or have experience overseeing multiple sponsored projects, it is important that you take the right steps to mitigate risk when you are responsible for managing property purchased with sponsored funds.

Managing sponsored projects property involves more than just financial oversight. Property restrictions and ongoing sponsor obligations require an understanding of a complex web of equipment regulations which often necessitates collaboration between multiple units. This session provides information about sponsored property management processes. We will provide useful tools and guidelines that help the departmental research administrator and Principal Investigator comply with the sponsor’s requirements and administrative compliance standards. Key topics to cover include: Sponsored Projects working with campus Property Office for acquisition, use, and disposition; fabricated equipment; and closeout.

LEARNING OBJECTIVES • Participants will be able to identify federal requirements regarding acquisition, use, and disposition of property purchased with federal funding.

• Participants will receive learning tools to facilitate management of sponsored project property, particularly fabricated equipment; disposition; and award closeout.

PREREQUISITES Participants will want 1-2 years of experience with sponsored research administration practices.

Patricia Dodson*, Assistant Director of Compliance, Office of Contracts & Grants, University of Colorado Boulder Debra Y. Murray, Assistant Director Compliance, Sponsored Programs Accounting and Compliance, University of Maryland, College Park

FEDERAL F 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.

Lisa Nichols*, Director, Research and Regulatory Reform, Council on Governmental Relations (COGR) Richard P. Seligman, Associate Vice President for Research Administration, California Institute of Technology, NCURA Distinguished Educator

FOLLOW US @NCURA JOIN THE CONVERSATION #NCURAFRA

LAS VEGAS

March 11 – 12 March 13 FRA Conference

FRA/PRA Workshop Day

* Lead Presenter

69

LEADERSHIP FINANCIAL

ISSUES

The topics are timely.

DATA

STREAMLINING

TOOLS

IDEAS NEGOTIATION

FEDERAL

POST-AWARD AGREEMENTS

POLICY

PARTNERSHIPS SERVICE BEST METHODS

PRACTICES

GRANTS

AUDIT

ERA PROCESS

DEPARTMENTAL

COMMUNICATION CLINICAL TRIALS

COMPLIANCE

INTERNATIONAL

COLLABORATION

STRATEGY

ALLOWABILITY

BUDGET EFFORT REPORTING

RELATIONSHIPS

SPONSORED PROGRAMS

DIVERSITY

SUPPORT ANALYTIC

HUMAN CAPITAL

COSTS

DEVELOPMENT

ADMINISTRATOR

PUI

RESEARCH

INVESTIGATIONS

AGENDA |

Tuesday, March 12, 2019

2:45 – 3:45 pm ~ Education Sessions CONCURRENT SESSIONS CONTINUED FINANCIAL COMPLIANCE F Basic 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.

The session will include a high-level discussion regarding how the regulations, financial and other data inputs, and submission and negotiation processes work together. Come gain practical insight into the application of the F&A rate to the organization’s awards. Participants are encouraged to share their roles and their experiences with the indirect rate process at their institution.

LEARNING OBJECTIVES • Participants will be able to identify what an F&A rate is, its importance and the various types of costs recovered through the F&A rate.

• Participants will explore different types of rates and how they impact recovery.

• Participants will understand the process for preparing, submitting and negotiating the rate under the Uniform Guidance.

PREREQUISITES None

Alex P. Weekes*, Principal, ML Weekes & Company, PC

FINANCIAL COMPLIANCE F Advanced AUDITING SUBRECIPIENTS

Reviewing subrecipients’ Single Audit reports is a common component of subrececipient monitoring for universities.

But, what happens when the audit report contains findings directly related to your subaward. Deciding what to do next requires determinations of risk and establishing a detailed plan for further action. This session will discuss the processed used to follow up on a subrecipient’s audit findings as well as how to conduct a further audit of their financial systems and grant management activities.

In addition, the session will explore next steps upon completion of the audit.

LEARNING OBJECTIVES • Participants will recognize potential highrisk subrecipients.

• Participants will identify necessary steps for planning and conducting a subrecipient audit.

• Participants will identify possible followup activities after an audit is completed.

PREREQUISITES Participants will want to have familiarity with OMB Uniform Guidance’s subrecipient monitoring requirements.

Robert C. Andresen*, Director of Research Financial Services, Research and Sponsored Programs, University of Wisconsin-Madison, NCURA Distinguished Educator Gabrielle Labayen, Manager, Huron

IRB

70

www.ncura.edu ~ 20th Annual Financial Research Administration Conference (FRA)

* Lead Presenter

AGENDA |

Tuesday, March 12, 2019

2:45 – 3:45 pm ~ Education Sessions CONCURRENT SESSIONS CONTINUED GLOBAL for U.S. and Non-U.S. Participants F Overview ADMINISTRATION OF INTERNATIONAL PROJECTS: LESSONS LEARNED

The forces of globalization have dramatically changed the world of Research Administration. Building international partnerships, managing cooperative agreements from the CDC and USAID while ensuring legal and financial compliance present special challenges to research enterprise especially in NIHcentric institutions. This session will focus on ways to develop an approach of adapting institutional operating practices to ensure sufficient oversight of project implementation in foreign countries.

LEARNING OBJECTIVES • Participants will develop a working list/roadmap of institutional resources that are essential for maintaining an effective support system for administering international projects.

• Participants will be able to identify the ways to address primary issues associated with international collaborations to ensure a compliant oversight of international projects.

PREREQUISITES None

Shella Batelman*, Senior Research Administrator, Beth Israel Deaconess Medical Center

Patricia McNulty, Principal Consultant, Concurrent Research

HUMAN CAPITAL F Overview UTILIZING ALL THE RESOURCES: BUILDING RELATIONSHIPS ACROSS THE CAMPUS

Successful award management requires the involvement of a wide variety of groups on campus. Often these groups have different interests and priorities, which can contribute to challenges related to project management.

Positive relationships with faculty and campus staff are imperative to programmatic and financial success. How can those relationships be developed and enhanced?

How do sponsored programs benefit from cross university engagement? This session will explore strategies that can help you collaborate with others on campus and develop relationships to be more effective in your role. You will hear about resources and tools that can assist in your communications, as well as approaches for promoting engagement and cooperation.

LEARNING OBJECTIVES • Participants will learn different ways to effectively communicate across campus.

• Participants will explore ways to collaborate and engage with faculty, departmental administrators, and central office staff.

PREREQUISITES None

Evonne Pedawi*, Director, Office of Sponsored Programs, Contract and Grant Administration, Michigan State University Kristy Smith, Contract and Grant Manager, Contract and Grant Administration (Post-Award), Michigan State University

FOLLOW US @NCURA JOIN THE CONVERSATION #NCURAFRA

LAS VEGAS

March 11 – 12 March 13 FRA Conference

FRA/PRA Workshop Day

* Lead Presenter

71

LEADERSHIP FINANCIAL

ISSUES

STREAMLINING

TOOLS

IDEAS NEGOTIATION

The courses I took were very engaging.

DATA

FEDERAL

POST-AWARD AGREEMENTS

POLICY

PARTNERSHIPS SERVICE BEST METHODS

PRACTICES

GRANTS

AUDIT

ERA PROCESS

DEPARTMENTAL

COMMUNICATION CLINICAL TRIALS

COMPLIANCE

INTERNATIONAL

COLLABORATION

STRATEGY

ALLOWABILITY

BUDGET EFFORT REPORTING

RELATIONSHIPS

SPONSORED PROGRAMS

AGENDA |

Tuesday, March 12, 2019

2:45 – 3:45 pm ~ Education Sessions CONCURRENT SESSIONS CONTINUED HUMAN CAPITAL F Overview OH THE PLACES WE’LL GO! DIVERSITY & INCLUSION IN THE SPONSORED PROGRAMS OFFICE An intentionally inclusive environment is one that thrives and produces amazing outcomes. In an ever-evolving, globally competitive market, it is important to accept all people and respect everyone’s differences. Faculty and research itself are both incredibly diverse and things are changing constantly. It is imperative that your sponsored programs office reflect these same differences.

LEARNING OBJECTIVES • Participants will understand the importance of diversity and inclusion.

• Participants will learn the driving forces for inclusion and diversity and tools for implementation.

• Participants will leave with a clearer understanding of why diversity and inclusion matters in a sponsored programs office.

PREREQUISITES None

Derick F. Jones*, Program Manager, Translational Genomics and Population Sciences, Los Angeles Biomedical Research Institute Rashonda Harris, Associate Director, Post-Award Operations, Emory University

POST-AWARD/ACCOUNTING/ FINANCE F Intermediate SUBPOOLING O&M FOR A HIGHER F&A RATE

Are you looking for creative ways to increase your Facilities and Administrative Cost Rate? Operations and Maintenance is the component with the most opportunities for rate increase. We will discuss ideas for how to segment costs and allocate them to maximize the impact on the rate. The Utility Cost Adjustment will be addressed in this session as well.

LEARNING OBJECTIVES • Participants will learn new strategies for pooling and allocating Operation and Maintenance costs (including Utilities) in creative ways.

PREREQUISITES Participants will want to have an understanding of the F&A Rate Calculation.

Anne Feuerborn*, Director, MAXIMUS A. Chea Smith, Director, Cost Analysis and Reporting, Rutgers, The State University of New Jersey

DIVERSITY

SUPPORT ANALYTIC

HUMAN CAPITAL

COSTS

DEVELOPMENT

ADMINISTRATOR

PUI

RESEARCH

INVESTIGATIONS

IRB

72

www.ncura.edu ~ 20th Annual Financial Research Administration Conference (FRA)

* Lead Presenter

AGENDA |

Tuesday, March 12, 2019

2:45 – 3:45 pm ~ Education Sessions CONCURRENT SESSIONS CONTINUED PREDOMINANTLY UNDERGRADUATE INSTITUTIONS F Overview THE PUI RESEARCH COMPLIANCE PERSPECTIVE: HOW DOES IT AFFECT ME IN POST-AWARD?

This session will include common terms to be aware of, budget categories to review from a compliance perspective, and a basic overview of the compliance approvals that have to be in place. Topic examples include:

• a project requires the use of an external IRB or human subject incentive payments • I’ve been asked to order HMEC-1 or Aeromonas hydrophila • there is a vivarium listed under equipment • the project country is Afghanistan and involves shipment of equipment • an NSF project that entails hiring of students • the last name of the PI and one of the contractors is the same.

LEARNING OBJECTIVES • Participants will gain insight into the ways that the following types of research compliance regulations will affect Post-Award responsibilities: Institutional Review Board (IRB), Institutional Biosafety Committee (IBC), Institutional Animal Care & Use Committee (IACUC), Export Controls, Responsible Conduct of Research, and Conflict of Interest (COI).

• Participants will be able to identify key terms and activities so they can better recognize when research compliance regulations are involved.

PREREQUISITES None

This session will lay the groundwork for Research Administrators to collaborate successfully and confidently with their institution’s appropriate compliance unit, and know when and who to contact.

Come join us as we review and clarify these topics and others!

Deanna B. Hendrickson*, Research Education & Communication Manager, Office of Sponsored Programs, Georgia Institute of Technology Carolyn Elliott-Farino, Executive Director, Office of Research, Kennesaw State University

REGULATORY COMPLIANCE F Intermediate EMERGING ISSUES RELATED TO FACILITIES AND OPERATIONS

This session will discuss some important new and developing issues and opportunities to enhance F&A recovery at research organizations.

LEARNING OBJECTIVES • Participants will be given insights into new and developing issues in F&A that they can take back and use at their institutions.

PREREQUISITES Participants will want a basic understanding and experience of the F&A rate development process.

Wallace Davis*, Partner, Higher Education and Nonprofits, Attain Deston Halverson, Senior Director Operational Strategy and Special Initiatives, Controller’s Office, University of California-San Diego

FOLLOW US @NCURA JOIN THE CONVERSATION #NCURAFRA

LAS VEGAS

March 11 – 12 March 13 FRA Conference

FRA/PRA Workshop Day

* Lead Presenter

73

LEADERSHIP FINANCIAL

ISSUES

STREAMLINING

TOOLS

IDEAS NEGOTIATION

I loved the energy and collaborative spirit of attendees.

DATA

FEDERAL

POST-AWARD AGREEMENTS

POLICY

PARTNERSHIPS SERVICE BEST METHODS

PRACTICES

GRANTS

AUDIT

ERA PROCESS

DEPARTMENTAL

COMMUNICATION CLINICAL TRIALS

COMPLIANCE

INTERNATIONAL

COLLABORATION

STRATEGY

AGENDA |

Tuesday, March 12, 2019

2:45 – 3:45 pm ~ Education Sessions CONCURRENT SESSIONS CONTINUED REGULATORY COMPLIANCE F Advanced HOW TO SURVIVE IN THE AGE OF DATA

The regulatory landscape of data security is ever evolving with the recent implementation of the Controlled Unclassified Information program, including Covered Defense Information under the Department of Defense. Additionally, the EU General Data Protection Regulations (GDPR) on top of our long struggles with FISMA requirements and protection of PHI under the HIPAA privacy rule have impacted the landscape. But, wait!

Sponsors, both Federal and non-Federal, are increasingly also requiring researchers to make their data freely accessible. What is a research administrator to do to help researchers navigate these complex and often seemingly contradictory requirements?

This session will start with addressing what research data is (and is not) and the most common types of data controls impacting research data.

LEARNING OBJECTIVES • Following the life cycle framework, participants will be prepared to identify potential data-related red flags when proposing a project and accepting an award.

• Participants will be able to offer common solutions for ensuring compliance with data requirements, including how to address the need for securing data in the face of expanding data sharing requirements.

PREREQUISITES Participants will need a working understanding of contracting and data requirements.

Alexandra A. Albinak*, Associate Vice Provost for Research Administration, Johns Hopkins University Melissa Korf, Associate Director, Grants & Contracts, Office of Research Administration, Harvard Medical School, Harvard University

ALLOWABILITY

BUDGET

BULK DISCOUNTS AVAILABLE

EFFORT REPORTING

RELATIONSHIPS

SPONSORED PROGRAMS

Do you have Your Copy of our Uniform Guidance desk reference?

DIVERSITY Contents Overview

SUPPORT

Subpart A – Acronyms and Definitions Subpart B – General Provisions Subpart C – Pre-Federal Award Requirements and Contents of Federal Awards Subpart D – Post-Federal Award Requirements DEVELOPMENT Subpart E – Cost Principles Subpart F – Audit Requirements Appendix I to Part 200 – Full Text of Notice of Funding Opportunity Appendix II to Part 200 – Contract Provisions for Non-Federal Entity Contracts Under PUIAwards Federal Appendix III to Part 200 – Indirect (F&A) Costs Identification and Assignment, and Rate Determination for Institutions of Higher Education (IHEs) Appendix IV to Part 200 – Indirect (F&A) Costs Identification and Assignment, and Rate Determination for Nonprofit Organizations

HUMAN CAPITAL

COSTS

ANALYTIC

ADMINISTRATOR

RESEARCH

INVESTIGATIONS

IRB

74

Appendix V to Part 200 – State/Local Governmentwide Central Service Cost Allocation Plans Appendix VI to Part 200 – Public Assistance Cost Allocation Plans Appendix VII to Part 200 – States and Local Government and Indian Tribe Indirect Cost Proposals Appendix VIII to Part 200 – Nonprofit Organizations Exempted from Subpart E – Cost Principles of Part 200 Appendix IX to Part 200 – Hospital Cost Principles Appendix X to Part 200 – Data Collection Form (Form SF-SAC) Appendix XI to Part 200 – Compliance Supplement Appendix XII to Part 200 – Award Terms and Conditions for Recipient Integrity and Performance Matters Preamble to the Uniform Guidance (Published in Federal Register/ Vol. 78, No. 248/Thursday, December 26, 2013, 78590-78608) Additional Resources Frequently Asked Questions

Order your copies today! https://www.ncura.edu/Publications/Store.aspx www.ncura.edu ~ 20th Annual Financial Research Administration Conference (FRA)

* Lead Presenter

AGENDA |

Tuesday, March 12, 2019

2:45 – 3:45 pm ~ Education Sessions DISCUSSION GROUPS CLINICAL/MEDICAL COSTING ISSUES FOR HOSPITALS AND ACADEMIC MEDICAL CENTERS (AMCs)

Hospital and Academic Medical Centers (AMCs) receive millions of dollars in sponsored research funding from both federal (primarily NIH) and non-federal sources and yet the costing principles and concepts are not always well understood by industry managers. Government rules for treating direct and indirect costs, although similar to the approach used for colleges and universities, are somewhat different for hospitals where federal funds support both the patient care and research missions.

For example, hospitals use information from the Medicare cost report along with costing principles from the Hospital Cost Principles to develop an indirect cost rate proposal. This talk will provide a comparison and discussion of where the hospital principles differ from IHE / University cost principles as well as from non-profit regulations. The presenters bring many years of experience and whether you are involved in developing direct cost budgets for grant applications, managing and accounting for finances post-award, budgeting or costing clinical trials or developing the indirect cost or F&A proposal at a research hospital or AMC. This discussion will be a perfect opportunity to learn more and share knowledge and experiences with your colleagues. Our goals are for participants to be able to describe direct and indirect costing issues and the challenges they create for hospital and AMC research administrators. Participants will also gain or increase their understanding of how hospital indirect cost proposals are prepared and rates are determined, along with and how this process differs from F&A at Universities. Join us as we talk through common pitfalls and how to avoid them.

Mark C. Davis*, Vice President & Partner, Higher Education, Attain Mark P. Daniel, Senior Consultant, Attain Tesha Garcia-Taylor, Assistant Director, Academic Enterprise, Vanderbilt University Medical Center

DEPARTMENTAL #COSTSHARELIFE

We’ve all heard those dreaded words when a proposal is awarded, This award has cost share.

What should you do now? Does your department have a process in place so that cost share is easily tracked and monitored? How do you prevent cost share from taking over your work life? Bring your cost share issues and solutions to this discussion group. We will share our challenges and recommendations too!

Randi E. Wasik*, Associate Dean, Finance, Administration and Strategy, Floyd College of Medicine, Washington State University Angela D. LeMaster, Grants/Contracts Administrator, College of Food, Agricultural and Environmental Sciences, The Ohio State University Mary E. Schmiedel, Senior Director, Office of Research Oversight, Georgetown University

FINANCIAL COMPLIANCE MONITORING SALARY CHARGES IN A DECENTRALIZED ENVIRONMENT

This discussion group is designed to facilitate conversation regarding how to monitor salary charges in a decentralized environment. Please come prepared to share your experiences with your peers – challenges, lessons learned, and success stories. By leveraging one another’s expertise, we can collaborate to identify best practices and improve processes to monitor salary charges at your individual institutions.

Brynn Tomlinson*, Manager, Risk, Internal Audit, and Cybersecurity Services, Baker Tilly Sarah T. Axelrod, Assistant Vice President, Office for Sponsored Programs, Harvard University Ashley E. Deihr, Director, Baker Tilly FOLLOW US @NCURA JOIN THE CONVERSATION #NCURAFRA

LAS VEGAS

March 11 – 12 March 13 FRA Conference

FRA/PRA Workshop Day

* Lead Presenter

75

LEADERSHIP FINANCIAL

ISSUES

STREAMLINING

TOOLS

IDEAS NEGOTIATION Great to share information and think about solutions with others.

DATA

FEDERAL

POST-AWARD AGREEMENTS

POLICY

PARTNERSHIPS SERVICE BEST METHODS

PRACTICES

GRANTS

AUDIT

ERA PROCESS

DEPARTMENTAL

COMMUNICATION CLINICAL TRIALS

COMPLIANCE

INTERNATIONAL

COLLABORATION

STRATEGY

ALLOWABILITY

BUDGET EFFORT REPORTING

RELATIONSHIPS

SPONSORED PROGRAMS

DIVERSITY

SUPPORT ANALYTIC

HUMAN CAPITAL

COSTS

DEVELOPMENT

ADMINISTRATOR

AGENDA |

Tuesday, March 12, 2019

2:45 – 3:45 pm ~ Education Sessions DISCUSSION GROUPS CONTINUED GLOBAL for U.S. and Non-U.S. Participants CURRENT CHALLENGES IN GLOBAL RESEARCH MANAGEMENT

Public engagement is emerging as a new role for researchers creating demands on research administrators for support of public engagement.

This is driven in part by the relationship between public engagement and a growing global research impact agenda. (INORMS 2018) Polling shows that the number of people who believe that science has “made life more difficult” increased by 50 percent from 2009 to 2015.

According to a 2017 survey, only 35 percent of respondents have “a lot” of trust in scientists; the number of people who do “not at all” trust scientists increased by over 50 percent from a similar poll conducted in December 2013. (Tispursky, 2018) In an era of austerity politics and laissez-faire economics, research administrators are met with increasing challenges associated with global research. By effectively managing our global research portfolios, we have an opportunity to contribute to public trust of, and public engagement in, science.

In this open form, we will look directly into the face of those challenges, from Pre-Award to award, through managing the project, and finally close-out and reporting. We’ll discuss how global collaboration necessitates our need to build in more time to plan and execute projects, to work beyond our institutional boundaries, to become: • better communicators – to address differences in access, experience, support, technology, terminology, language, culture, time zones, holidays • better problem solvers – managing visa and travel issues, multiple IRBs, currency fluctuations, hiring, taxes, recovering from natural disasters • legal experts – understanding varied compliance issues, travel to sanctioned countries, bilateral exchange programs, customs laws for exchanging research samples and specimens • Perhaps even diplomats! What has been YOUR experience?

Bibliography INORMS 2018. (2018). Plenary session: Public trust of, and public engagement in, science.

Programme. Edinburgh: Elsevier.

Tispursky, G. (2018, July 5). (Dis)trust in Science: Can we cure the scourge of misinformation?

Retrieved from Scientific American: <https://blogs.scientificamerican.com/observations/ distrust-in-science/> Gai Doran*, Director of Research, School of Forestry & Environmental Studies, Yale University Agatha Keller, Co-Head EU GrantsAccess, Euresearch Zurich, ETH Zurich, University of Zurich Lorraine F. Kiley, Administrative Director, Epidemiology, Boston University

PUI

RESEARCH

INVESTIGATIONS

IRB

76

www.ncura.edu ~ 20th Annual Financial Research Administration Conference (FRA)

* Lead Presenter

AGENDA |

Tuesday, March 12, 2019

2:45 – 3:45 pm ~ Education Sessions DISCUSSION GROUPS CONTINUED HUMAN CAPITAL ENGAGED EMPLOYEES: IT’S NOT JUST ABOUT PRE-AWARD!

How many times have we heard how wonderful Pre-Award is? Faculty praise the Pre-Award team for their efforts in getting proposals out the door and assisting the faculty and departments with questions and guidance. However, seldom do we hear faculty appreciate the efforts provided by the Post-Award team, such as getting their financial reports out the door, managing their financial activities, ensuring that all expenditures are allowable, allocable, reasonable and applicable. How can we encourage our Post-Award teams to continue performing their amazing work? How can they be recognized for their efforts? What can management do to uplift their spirits and keep their teams engaged and motivated? We cannot wait to hear your experiences and the ways you have managed to improve the morale and the productivity of your Post-Award team.

Chrissa Papaioannou*, Assistant Director, Office of Research and Sponsored Programs, Rutgers, The State University of New Jersey Heather Dominey, Assistant Director, Post-Award Services, Office of Sponsored Projects, Brown University

POST-AWARD/ACCOUNTING/FINANCE FRAUD DISCLOSURE AND WHAT TO EXPECT NEXT

Internal audit has discovered fraudulent activity including misuse of grant funds. In this discussion group, we will discuss the Sponsored Program Office’s responsibilities for managing internal and external communications and relationships. We will also discuss how these distressing activities and disclosures can bring the university community together.

Louise G. Griffin*, Senior Director for Research and Sponsored Programs, University of New Hampshire Jill M. Mortali, Director, The Office of Sponsored Projects, Dartmouth College

3:45 pm ~ Conference Adjourns

LAS VEGAS

March 11 – 12 March 13 FRA Conference

FRA/PRA Workshop Day

* Lead Presenter

77

TIPS

TIPS

PROCESS RELATIONSHIPS

RISK

AUDIT POLICY

CHALLENGES

AGREEMENTS

COLLABORATION

REGULATORY PARTNERSHIPS

DEADLINE

POST-AWARD ADMINISTRATOR

DATA

COSTS

COM

NEGOTIATION

PRE-AWARD

FINANCIAL

ALLOWABILITY NEGOTIATION

SERVICE

ADMINISTRATOR POST-AWARD FINANCIA EDUCATION COMMUNICATION

LEADERSHIP CLINICAL TRIALS BUDGET

AGREEMENT

PARTNERSHIP

ANALYTICS DATA

ADMINISTRATOR

EFFORT REPOR

BEST PRACTICES

CHALLENGES

LEADERSHIP

AUDIT

IDEAS

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AUDIT

STREAMLINING GRANTS SPONSORED PROGRAMS DEPARTMENTAL COMMUNICATION IDEAS

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DATA IDEAS

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SUCCESS RESEARCH SUPP DATA

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AUDIT PRE-AWAR

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METHODS

EDUCATION

COMPLIANCE

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BEST EFFORT REPORTING PRACTICES

TRENDING METHODS

RESEARCH REGULATORY DEADLINE ADMINISTR

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NOW

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SUPPORT SPONSORED PROGRAMS

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FINANCIAL COSTS POLICY IDEAS BUDGET SUPPORT DEVELOPMENT

COST

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SUCCESS

L BEST TIPS

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RESEARCH

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POLICY

DEADLINE

PRE-AWARD

SERVICE

BUDGET

AUDIT

LEADERSHIP

AGREEMEN

POST-AWARD

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COMPLIANCE

RESEARCH

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PUI

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INTERNATIONAL

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SUCCESS DIVERSITY

AUDIT

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DEPARTMENTAL ADMINISTRATOR COMPLIANCE DATA TIPS CLINICAL LEADER TRIALS EDUCATION RELATIONSHIPS

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METHODS

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REGULATORY

FRA/PRA WORKSHOP DAY EDUCATION COMPLIANCE

CAREE RISK

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RESEARC

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WORKSHOPS & SENIOR LEVEL FORUMS OVERVIEW Wednesday, March 13, 2019 8:30 AM – 5:00 PM

FULL DAY WORKSHOP WORKSHOP 1

Certified Pre-Award Research Administrator Knowledge Review Session Program Level: Intermediate

1:30 PM – 5:00 PM

HALF DAY AFTERNOON WORKSHOPS AND SENIOR LEVEL FORUM WORKSHOP 14 Proposal Development and Submission: All

You Need to Know - Finalizing the Proposal and Submitting It to the Sponsor Program Level: Intermediate

8:30 AM – NOON

HALF DAY MORNING WORKSHOPS AND SENIOR LEVEL FORUM WORKSHOP 2

WORKSHOP 3

WORKSHOP 4

WORKSHOP 15 The Who, What, When, Where and How of

Succession Planning Program Level: Intermediate

In the Beginning…There Were Proposals: Proposal Development Before Pre-Award Program Level: Intermediate

WORKSHOP 16 Designing a Training Program for Your

Managing Up, Down, & Side to Side: How to Lead at Work When You Aren’t the Boss Program Level: Intermediate

WORKSHOP 17 Negotiating Difficult Award Terms

Managing Yourself and Working Well with Others: A Road Map for Your Career in Research Administration Program Level: Overview

Institution: Techniques, Tools and Tips Program Level: Intermediate Program Level: Advanced

WORKSHOP 18 The 20/80 Rule: How to Mitigate the 20%

of Proposals that Cause 80% of Award Headaches Program Level: Intermediate

WORKSHOP 5

Fundamentals of Building a Budget Program Level: Basic

WORKSHOP 19 A Day in the Life of the Departmental

WORKSHOP 6

Subrecipient Monitoring - Building Your Internal Controls Program Level: Intermediate

WORKSHOP 20 Compensation Compliance and the

WORKSHOP 7

WORKSHOP 8

WORKSHOP 9

Recognizing and Mitigating Risks Associated with Global Collaborations: A Case Study Approach Program Level: Intermediate Managing Sponsored Awards from a Departmental Perspective (Post-Award Focus) Program Level: Intermediate Reviewing Audits to Develop a Compliance Program Program Level: Intermediate

WORKSHOP 10 Service Centers: The Not So Simple Basics

Program Level: Overview

WORKSHOP 11

Administrator (Pre-Award Focus) Program Level: Overview

Standards for Documentation Program Level: Intermediate

WORKSHOP 21 Preparation for Large-Scale and

Annual Single Audits and Compliance Considerations Program Level: Overview

WORKSHOP 22 Post-Award Awareness for the Pre-Award

Administrator Program Level: Basic

WORKSHOP 23 Facilities & Administrative (F&A) Rate

Proposal Process at Universities Program Level: Intermediate

SENIOR LEVEL FORUM 24 Strategies for Research Programs

in an Unusual Time Program Level: Advanced

How NDAs, MTAs, and Other Ancillary Agreements Affect Sponsored Research Program Level: Basic

SENIOR LEVEL FORUM 12 Leadership Coaching: Building

an Effective Style through Partnership and Being Present Program Level: Advanced

WORKSHOP 13 NIH Fundamentals

Program Level: Overview

LAS VEGAS

March 11 – 12 March 13 FRA Conference

FRA/PRA Workshop Day

* Lead Presenter

79

LEADERSHIP FINANCIAL

ISSUES

STREAMLINING

TOOLS

IDEAS NEGOTIATION The variety of the sessions and the quality of the presenters are excellent.

DATA

WORKSHOP 1

FEDERAL

POST-AWARD AGREEMENTS

WORKSHOPS & SENIOR LEVEL FORUMS | Wednesday, March 13, 2019 7:30 AM – 5:00 PM

Workshop Concierge Workshop Participant Materials Pick-up

4:00 – 6:00 PM

PRA Concierge PRA Participant Materials Pick-up

8:30 AM – 5:00 PM

Workshops and Senior Level Forums (additional fee required to attend)

POLICY

PARTNERSHIPS SERVICE BEST METHODS

PRACTICES

GRANTS

AUDIT

ERA PROCESS

DEPARTMENTAL

COMMUNICATION CLINICAL TRIALS

COMPLIANCE

INTERNATIONAL

COLLABORATION

STRATEGY

ALLOWABILITY

BUDGET WORKSHOP 2

EFFORT REPORTING

RELATIONSHIPS

SPONSORED PROGRAMS

DIVERSITY

SUPPORT ANALYTIC

HUMAN CAPITAL

COSTS

DEVELOPMENT

ADMINISTRATOR

PUI

RESEARCH

INVESTIGATIONS

IRB

80

www.ncura.edu ~ 20th Annual Financial Research Administration Conference (FRA) ** Lead Lead Presenter

WORKSHOPS & SENIOR LEVEL FORUMS | Wednesday, March 13, 2019 8:30 am – 5:00 pm ~ Full Day Workshop WORKSHOP 1 ~ Intermediate CERTIFIED PRE-AWARD RESEARCH ADMINISTRATOR KNOWLEDGE REVIEW SESSION

This workshop is the CPRA Body of Knowledge Review session presented by the Research Administrators Certification Council (RACC). It reviews the content of the CPRA Exam to assist persons who are studying to take the exam in the future. This workshop is being offered by the RACC in collaboration with NCURA and is endorsed by RACC. LEARNING OBJECTIVES • Participants will be able to identify the four major sections of the Body of Knowledge.

• Participants will understand what areas in the Body of Knowledge require further review/study.

• Participants will learn to apply skills in registering for and successfully taking the CPRA Exam.

Jeffrey J. Ritchie* Director of Sponsored Research, Office of Sponsored Programs, Hamilton College

Robin S. Lewis Director, Office of Grants and Sponsored Projects, Georgia College & State University

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

SRAad_half.qxp_Layout 1 7/6/18 4:19 PM Page 1

of Research Administration

SPONSORED RESEARCH ADMINISTRATION:

A GUIDE TO EFFECTIVE STRATEGIES AND RECOMMENDED PRACTICES The two-volume reference includes essential research administration principles and practices, sample policies and procedures, practical tools, and extensive supplementary materials.

This comprehensive research administration resource covers the full range of issues impacting the grant lifecycle with over 20 chapters written by leading subject matter experts.

Chapters include: w w w w w w w w

Research Compliance Subawards and Subrecipient Monitoring Export Controls Administering Research Contracts Interacting with Auditors Pre-Award Administration Intellectual Property and Data Rights Facilities & Administrative Costs

Special Issues for PUIs International Research Collaborations w Post-Award Administration w Regulatory Environment w Special Issues for Academic Medical Centers w Training & Education w Sponsored Programs Assessment w­ Staff & Leadership Development w w

A great CRA exam prep resource. www.ncura.edu/Publications/Store.aspx

LAS VEGAS

March 11 – 12 March 13 FRA Conference

FRA/PRA Workshop Day

FOLLOW US @NCURA JOIN THE CONVERSATION #NCURAFRA

* Lead Presenter

81

LEADERSHIP FINANCIAL

ISSUES

STREAMLINING

TOOLS

IDEAS NEGOTIATION The chance to network this conference allows is essential in our field.

DATA

FEDERAL

POST-AWARD AGREEMENTS

POLICY

PARTNERSHIPS SERVICE BEST METHODS

PRACTICES

GRANTS

AUDIT

ERA PROCESS

DEPARTMENTAL

COMMUNICATION CLINICAL TRIALS

COMPLIANCE

INTERNATIONAL

COLLABORATION

STRATEGY

ALLOWABILITY

BUDGET EFFORT REPORTING

8:30 am – Noon ~ Half Day Morning Workshop WORKSHOP 2 ~ Intermediate IN THE BEGINNING…THERE WERE PROPOSALS: PROPOSAL DEVELOPMENT BEFORE PRE-AWARD

We’ve all heard the term “proposal development,” but what about that which takes place before you start putting the application together? In this workshop, we will explore what we need to know and understand before the application process officially starts. Where should you be looking? Who is responsible for what and when? Through case studies, reviewing RFPs and agency guidelines, you will gain new knowledge and understanding about the real proposal development process.

Anne Albinak* Director of Research Administration Operations, Whiting School of Engineering, Johns Hopkins University

Danielle Brown Director, Sponsored Programs Administration, University of Maryland, Baltimore

LEARNING OBJECTIVES • Participants will be able to identify the roles of faculty, departmental staff and central staff in the proposal process.

• Participants will learn how and where to search for appropriate funding sources.

• Participants will be able to identify what knowledge is needed from funding agencies, the government(s), and your institution before starting the application process.

PREREQUISITES Participants will want a general knowledge of the proposal process.

RELATIONSHIPS

SPONSORED PROGRAMS

WORKSHOPS & SENIOR LEVEL FORUMS | Wednesday, March 13, 2019

DIVERSITY

SUPPORT ANALYTIC

HUMAN CAPITAL

COSTS

DEVELOPMENT

ADMINISTRATOR

PUI

RESEARCH

INVESTIGATIONS

IRB

82

www.ncura.edu ~ 20th Annual Financial Research Administration Conference (FRA) ** Lead Lead Presenter

WORKSHOPS & SENIOR LEVEL FORUMS | Wednesday, March 13, 2019 8:30 am – Noon ~ Half Day Morning Workshop WORKSHOP 3 ~ Intermediate MANAGING UP, DOWN, & SIDE TO SIDE: HOW TO LEAD AT WORK WHEN YOU AREN’T THE BOSS

Leadership is a key skill not only for managers, but also for those who are not formally in charge of their office environment. Unfortunately, many people “hold back” from realizing their leadership potential because they lack the skills and training to emerge as leaders. The result is that organizations and teams are not as effective as they could be, and individuals negatively impact their career prospects. This workshop will show you how to be a great leader even if you are not in charge.

LEARNING OBJECTIVES • Participants will learn how to lead even if they are not formally in charge.

• Participants will discuss key best practices and principles of leadership.

• Participants will learn how to interact and get the most out of team members, even if they are peers.

• Participants will learn how to get support from others, such as management and senior executives.

Natasha Williams* Assistant Director, Pre-Award Services, Office of Research, Kennesaw State University

Derick F. Jones Program Manager, Translational Genomics and Population Sciences, Los Angeles Biomedical Research Institute

PREREQUISITES Participants should have 3-5 years experience in Research Administration.

FOLLOW US @NCURA JOIN THE CONVERSATION #NCURAFRA

LAS VEGAS

March 11 – 12 March 13 FRA Conference

FRA/PRA Workshop Day

* Lead Presenter

83

LEADERSHIP FINANCIAL

ISSUES

STREAMLINING

TOOLS

IDEAS NEGOTIATION I loved how open everyone was to sharing their resources with one another.

DATA

FEDERAL

POST-AWARD AGREEMENTS

POLICY

PARTNERSHIPS SERVICE BEST METHODS

PRACTICES

GRANTS

AUDIT

ERA PROCESS

DEPARTMENTAL

COMMUNICATION CLINICAL TRIALS

COMPLIANCE

INTERNATIONAL

COLLABORATION

STRATEGY

ALLOWABILITY

BUDGET EFFORT REPORTING

RELATIONSHIPS

SPONSORED PROGRAMS

DIVERSITY

SUPPORT ANALYTIC

HUMAN CAPITAL

COSTS

DEVELOPMENT

ADMINISTRATOR

PUI

RESEARCH

WORKSHOPS & SENIOR LEVEL FORUMS | Wednesday, March 13, 2019 8:30 am – Noon ~ Half Day Morning Workshop WORKSHOP 4 ~ Overview MANAGING YOURSELF AND WORKING WELL WITH OTHERS: A ROAD MAP FOR YOUR CAREER IN RESEARCH ADMINISTRATION

David M. Schultz* Assistant Vice President, Research Administration and Finance, Rensselaer Polytechnic Institute

Managing Self

Rashonda Harris Associate Director, Post-Award Operations, Emory University

Two essential components for developing your career in Research Administration are successfully managing yourself and working well with others. This half day workshop will be diving into both areas to support and enhance your career and your effectiveness at your institution.

To manage ourselves, it is essential to be self-aware and have a high Emotional Intelligence. Emotional Intelligence is the capacity to be aware of, control, and express our emotions, and to handle interpersonal relationships judiciously and empathetically. It is the key to both personal and professional success.

Working Well with Others

Leadership is not about personality; it’s about behavior. This principle from The Leadership Challenge will guide our learning and discussion. What patterns of behavior do I need for success in Research Administration? What skills can I hone to get there? The Leadership Challenge lays out five, evidence-based practices and behaviors for Achieving the Extraordinary: Modeling the Way, Inspiring a Shared Vision, Challenging the Process, Enabling Others to Act, and Encouraging the Heart.

This workshop will address management of self and working well with others through content, case studies, interactive activities, and group discussions.

LEARNING OBJECTIVES • Participants will learn the foundation of Emotional Intelligence for self-management.

• Participants will learn how to use the 5 principles of the Leadership Challenge to work well with others.

PREREQUISITES None

INVESTIGATIONS

IRB

84

www.ncura.edu ~ 20th Annual Financial Research Administration Conference (FRA) ** Lead Lead Presenter

WORKSHOPS & SENIOR LEVEL FORUMS | Wednesday, March 13, 2019 8:30 am – Noon ~ Half Day Morning Workshop WORKSHOP 5 ~ Basic FUNDAMENTALS OF BUILDING A BUDGET

Developing a clear and reasonable budget is one of the most important pieces of the proposal process. The regulations tell us the budget should be the financial expression of the statement of work. The ability to build a budget that directly ties to the work being performed enhances the chances of being funded by the sponsor, and protects us in the case of an audit. Understanding how to work with PIs to craft a sound, reasonable budget and budget justification is essential to our roles as research administrators.

Using the Uniform Guidance as the basis for our discussion, this workshop will explore the foundations of budget building. We will discuss allowability, allocability, and reasonableness; administrative and clerical salary issues; determination of subrecipient, vendor, or consultant status; and many more issues surrounding budgeting, as well as crafting a solid budget justification. This session should lay the groundwork for research administrators to successfully and confidently collaborate with the PI to build a sound budget that reflects the scope of work.

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

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

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

LEARNING OBJECTIVES • Participants will be able to build a budget that includes allowability, allocability, and reasonableness; administrative and clerical salary issues; determination of subrecipient, vendor, or consultant status.

• Participants will be able to craft a solid budget justification.

• Participants will be able to successfully and confidently collaborate with the PI to build a sound budget that reflects the scope of work.

PREREQUISITES None

FOLLOW US @NCURA JOIN THE CONVERSATION #NCURAFRA

LAS VEGAS

March 11 – 12 March 13 FRA Conference

FRA/PRA Workshop Day

* Lead Presenter

85

LEADERSHIP FINANCIAL

ISSUES

STREAMLINING

TOOLS

IDEAS NEGOTIATION

The topics were relevant and the presenters were relatable.

DATA

FEDERAL

POST-AWARD AGREEMENTS

POLICY

PARTNERSHIPS SERVICE BEST METHODS

PRACTICES

GRANTS

AUDIT

ERA PROCESS

DEPARTMENTAL

COMMUNICATION CLINICAL TRIALS

COMPLIANCE

INTERNATIONAL

COLLABORATION

STRATEGY

ALLOWABILITY

BUDGET EFFORT REPORTING

RELATIONSHIPS

SPONSORED PROGRAMS

WORKSHOPS & SENIOR LEVEL FORUMS | Wednesday, March 13, 2019 8:30 am – Noon ~ Half Day Morning Workshop WORKSHOP 6 ~ Intermediate SUBRECIPIENT MONITORING – BUILDING YOUR INTERNAL CONTROLS

Subrecipient monitoring is required to initially determine and continually assess the risk associated with a subrecipient’s ability to comply with applicable laws and regulations in collaborating on federally funded programs. Monitoring includes conducting Pre-Award risk assessments of prior grant experience, reviewing results of previous audits, monitoring and reviewing personnel changes, timely accurate invoices, and performance reports. This workshop will enable participants to understand the requirements involved in establishing and maintaining a compliant subrecipient monitoring program.

Debra Y. Murray* Assistant Director Compliance, Sponsored Programs Accounting and Compliance, University of Maryland, College Park

Mary E. Schmiedel Senior Director, Office of Research Oversight, Georgetown University

LEARNING OBJECTIVES • Participants will learn how to develop a subagreement, apply terms and conditions to mitigate risk, and understand the important aspects.

• Participants will learn how to perform risk assessments and understand the roles and responsibilities involved in managing subagreements.

• Participants will explore the applicable rules and regulations and internal control considerations.

• Participants will understand lessons learned from previous audit findings.

PREREQUISITES Participants will want experience in subrecipient risk assessments or negotiation of federal subawards.

DIVERSITY

SUPPORT ANALYTIC

HUMAN CAPITAL

COSTS

DEVELOPMENT

ADMINISTRATOR

PUI

RESEARCH

INVESTIGATIONS

IRB

86

www.ncura.edu ~ 20th Annual Financial Research Administration Conference (FRA) ** Lead Lead Presenter

WORKSHOPS & SENIOR LEVEL FORUMS | Wednesday, March 13, 2019 8:30 am – Noon ~ Half Day Morning Workshop WORKSHOP 7 ~ Intermediate RECOGNIZING AND MITIGATING RISKS ASSOCIATED WITH GLOBAL COLLABORATIONS: A CASE STUDY APPROACH

The world’s most pressing and complex challenges defy singular analytical approaches and interpretation.

Our institutions must seek bold ideas for translational research that attempt to convert basic research knowledge into practical applications that protect, enhance, and improve the quality of life for those most in need. Innovative research development support is critical in order to stimulate and promote partnerships between divergent, convergent, and analytical thinkers, who, when brought together, think more dynamically about problems too complex to be solved by any one discipline.

Gai Doran* Director of Research, Yale School of Forestry & Environmental Studies, Yale University

Agatha Keller Co-Head EU GrantsAccess, Euresearch Zurich, ETH Zurich, University of Zurich

This half-day, intermediate workshop, from a multicountry and multi-institutional perspective, aims to introduce both U.S. and non-U.S. participants to the kinds of solicitations that respond to this need. These collaborations require more careful review, interpretation and comprehension, and are inherently risky. This may be particularly true where institutions from multiple countries are collaborating on a proposal.

Knowing what’s in the package can help you prepare and assemble the appropriate information and documentation, as well as assess whether your institution is able to accept an award if the proposal is successful.

By recognizing and mitigating those risks, understanding the business and technical needs of the application, and of the sponsor-specific regulations, research managers can be a source of innovation. They can generate new ideas for new processes and services, and become indispensable to our researchers.

Using a case study approach, we will unpack and discuss real-world examples of non-standard and complex solicitations that have come through the offices of two research institutions – a Swiss research university, and a U.S. university’s Departmental Pre-Award Office.

Examples will draw from solicitations from sponsors such as various agencies of the United Nations (e.g.

UNIDO), the Belmont Forum (with joint NSF support), government agencies (e.g. U.S. Department of Energy, the Government of India), and the European Funding Program Horizon 2020. > continued on next page FOLLOW US @NCURA JOIN THE CONVERSATION #NCURAFRA

LAS VEGAS

March 11 – 12 March 13 FRA Conference

FRA/PRA Workshop Day

* Lead Presenter

87

LEADERSHIP FINANCIAL

ISSUES

STREAMLINING

TOOLS

IDEAS NEGOTIATION

There was something for everyone here to benefit from.

DATA

FEDERAL

POST-AWARD AGREEMENTS

POLICY

PARTNERSHIPS SERVICE BEST METHODS

PRACTICES

GRANTS

AUDIT

ERA PROCESS

DEPARTMENTAL

COMMUNICATION CLINICAL TRIALS

COMPLIANCE

INTERNATIONAL

COLLABORATION

STRATEGY

ALLOWABILITY

BUDGET EFFORT REPORTING

RELATIONSHIPS

SPONSORED PROGRAMS

DIVERSITY

SUPPORT ANALYTIC

HUMAN CAPITAL

COSTS

DEVELOPMENT

ADMINISTRATOR

PUI

WORKSHOPS & SENIOR LEVEL FORUMS | Wednesday, March 13, 2019 8:30 am – Noon ~ Half Day Morning Workshop WORKSHOP 7 CONTINUED ~ Intermediate We will coach participants in carefully reviewing each solicitation so that we understand the sponsor’s requirements, identify risks and construct strategies to mitigate those risks. The consequences of not doing so can affect costs, raise logistical issues, and result in a non-responsive proposal. Finally, we will invite participants to share their own examples, and brainstorm strategies for understanding solicitations and thus increase our chances of winning contracts.

LEARNING OBJECTIVES • Participants will be able to identify the unique challenges associated with global agreements.

• Participants will learn to cultivate skills to assess business and technical needs and sponsor requirements of complex solicitations involving global collaborations.

• Participants will be able to identify and assess risks associated with global collaborations, both to the individual investigator and to the institution.

• Participants will learn to develop strategies and techniques to mitigate those risks.

• Participants will be able to recognize contract terms that require institutional review and negotiation.

• Participants will understand how institutional policy, practice, culture, and risk tolerance impact contract negotiation.

• Participants will learn to recognize the various roles and responsibilities of the gate-keepers in your institution, and opportunities to build relationships, set expectations, and balance conflicting priorities.

PREREQUISITES Participants will want at least 2-5 years of Research Administration or equivalent experience to achieve learning objectives.

The workshop would be appropriate for Pre-Award research administrators, program managers, and new and developing contract negotiators.

RESEARCH

INVESTIGATIONS

IRB

88

www.ncura.edu ~ 20th Annual Financial Research Administration Conference (FRA) ** Lead Lead Presenter

WORKSHOPS & SENIOR LEVEL FORUMS | Wednesday, March 13, 2019 8:30 am – Noon ~ Half Day Morning Workshop WORKSHOP 8 ~ Intermediate MANAGING SPONSORED AWARDS FROM A DEPARTMENTAL PERSPECTIVE (POST-AWARD FOCUS)

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, subcontract versus service agreement 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.

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

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

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 hear tips and tools to assist in managing awards.

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

FOLLOW US @NCURA JOIN THE CONVERSATION #NCURAFRA

LAS VEGAS

March 11 – 12 March 13 FRA Conference

FRA/PRA Workshop Day

* Lead Presenter

89

LEADERSHIP FINANCIAL

ISSUES

STREAMLINING

TOOLS

IDEAS NEGOTIATION

This conference offered a really dynamic variety of workshops.

DATA

FEDERAL

POST-AWARD AGREEMENTS

POLICY

PARTNERSHIPS SERVICE BEST METHODS

PRACTICES

GRANTS

AUDIT

ERA PROCESS

DEPARTMENTAL

COMMUNICATION CLINICAL TRIALS

COMPLIANCE

INTERNATIONAL

COLLABORATION

STRATEGY

ALLOWABILITY

BUDGET

WORKSHOPS & SENIOR LEVEL FORUMS | Wednesday, March 13, 2019 8:30 am – Noon ~ Half Day Morning Workshop WORKSHOP 9 ~ Intermediate REVIEWING AUDITS TO DEVELOP A COMPLIANCE PROGRAM

Federal audits are a valuable tool to assist in the development of a sponsored projects compliance program. These audits can be used to inform risk assessment and focus areas. This workshop will explore leveraging readily available audit findings across the country to establish a basis for risk assessment activity and subsequent compliance program development.

Compliance programs will include policy development, three lines of defense monitoring, process assessment and resource strategies.

Jeffrey A. Silber* Senior Director, Sponsored Financial Services, Cornell University

Ashley E. Deihr Director, Baker Tilly

LEARNING OBJECTIVES • Participants will learn how to understand federal audit reports and agency audit work plans.

• Participants will discuss Federal compliance requirements.

• Participants will learn how to develop audit corrective action plans.

• Participants will review mechanisms to develop a framework to minimize noncompliance.

PREREQUISITES Participants will want a basic understanding of financial compliance.

EFFORT REPORTING

RELATIONSHIPS

SPONSORED PROGRAMS

DIVERSITY

SUPPORT ANALYTIC

HUMAN CAPITAL

COSTS

DEVELOPMENT

ADMINISTRATOR

PUI

RESEARCH

INVESTIGATIONS

IRB

90

www.ncura.edu ~ 20th Annual Financial Research Administration Conference (FRA) ** Lead Lead Presenter

WORKSHOPS & SENIOR LEVEL FORUMS | Wednesday, March 13, 2019 8:30 am – Noon ~ Half Day Morning Workshop WORKSHOP 10 ~ Overview SERVICE CENTERS: THE NOT SO SIMPLE BASICS

Sarah T. Axelrod* Assistant Vice President, Office for Sponsored Programs, Harvard University

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 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.

Zachary Belton Senior Director, Huron

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 a presentation, discussion, and mini case studies/exercises.

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 need prior exposure to service centers in an institutional environment.

FOLLOW US @NCURA JOIN THE CONVERSATION #NCURAFRA

LAS VEGAS

March 11 – 12 March 13 FRA Conference

FRA/PRA Workshop Day

* Lead Presenter

91

LEADERSHIP FINANCIAL

ISSUES

STREAMLINING

TOOLS

IDEAS NEGOTIATION Great to network with colleagues from across the nation and even the world.

DATA

FEDERAL

POST-AWARD AGREEMENTS

POLICY

PARTNERSHIPS SERVICE BEST METHODS

PRACTICES

GRANTS

AUDIT

ERA PROCESS

DEPARTMENTAL

COMMUNICATION CLINICAL TRIALS

COMPLIANCE

INTERNATIONAL

COLLABORATION

STRATEGY

ALLOWABILITY

BUDGET

WORKSHOPS & SENIOR LEVEL FORUMS | Wednesday, March 13, 2019 8:30 am – Noon ~ Half Day Morning Workshop WORKSHOP 11 ~ Basic HOW NDAS, MTAS, AND OTHER ANCILLARY AGREEMENTS AFFECT SPONSORED RESEARCH

During the lifecycle of a sponsored project, other documents besides the proposal and funding mechanism may be necessary.

At proposal stage, you may want to enter into a Teaming Agreement or a NonDisclosure Agreement. In the course of performing a sponsored project, it may become necessary to share information, data, materials, or other resources with a partner. To keep the project moving forward, what is the best way to facilitate such a transfer? This workshop will examine the different types of ancillary research agreements, when and why they are necessary, problematic clauses, and negotiation tips and tricks.

Charles T. Bartunek* Director of Collaborative and Corporate Research Contracts, Division of Research, Children’s Hospital of Philadelphia

Jill Frankenfield Associate Director, Division of Research, Office of Research Administration, University of Maryland, College Park

LEARNING OBJECTIVES • Participants will learn when an ancillary agreement may be necessary.

• Participants will discuss problematic terms in ancillary research agreements.

• Participants will learn negotiation tips and tricks for ancillary agreements.

PREREQUISITES None

EFFORT REPORTING

RELATIONSHIPS

SPONSORED PROGRAMS

DIVERSITY

SUPPORT ANALYTIC

HUMAN CAPITAL

COSTS

DEVELOPMENT

ADMINISTRATOR

PUI

RESEARCH

INVESTIGATIONS

IRB

92

www.ncura.edu ~ 20th Annual Financial Research Administration Conference (FRA) ** Lead Lead Presenter

WORKSHOPS & SENIOR LEVEL FORUMS | Wednesday, March 13, 2019 8:30 am – Noon ~ Half Day Morning Senior Level Forum SENIOR LEVEL FORUM 12 ~ Advanced LEADERSHIP COACHING: BUILDING AN EFFECTIVE STYLE THROUGH PARTNERSHIP AND BEING PRESENT

Coaching is an alternate approach to developing your employees’ potential. Coaching employees requires a continuous effort to make it part of your management practices. Following simple techniques and observations about performance ensures leaders play an important role in inspiring extraordinary performance. When leaders improve their performance, benefits spread throughout the organization.

As leaders in the new millennium become more about empowerment and development, coaching becomes a necessary component as part of training and career development of staff. Coaching can be time-consuming but the return on investment will add value to your human capital, therefore adding benefits to your department. Leadership coaching is a great introduction to an effective way of helping others grow.

Robyn B. Remotigue* Director, Office of Research Services, School of Public Health, University of North Texas Health Science Center at Fort Worth

Rosemary E. Madnick Executive Director, Office of Grants and Contracts, University of Alaska Fairbanks

LEARNING OBJECTIVES • Participants will learn to identify the various forms of coaching methods.

• Participants will learn how to establish a coaching plan.

• Participants will participate in a coaching session.

• Participants will learn how to integrate coaching techniques into the work place.

PREREQUISITES Participants will want to be in a manager/director position with more than 5 years of experience.

FOLLOW US @NCURA JOIN THE CONVERSATION #NCURAFRA

LAS VEGAS

March 11 – 12 March 13 FRA Conference

FRA/PRA Workshop Day

* Lead Presenter

93

LEADERSHIP FINANCIAL

ISSUES

STREAMLINING

TOOLS

IDEAS NEGOTIATION I really enjoyed it and found the variety of people and topics to be just right.

DATA

FEDERAL

POST-AWARD AGREEMENTS

POLICY

PARTNERSHIPS SERVICE BEST METHODS

PRACTICES

GRANTS

AUDIT

ERA PROCESS

DEPARTMENTAL

COMMUNICATION CLINICAL TRIALS

COMPLIANCE

INTERNATIONAL

COLLABORATION

STRATEGY

ALLOWABILITY

BUDGET EFFORT REPORTING

RELATIONSHIPS

SPONSORED PROGRAMS

DIVERSITY

SUPPORT ANALYTIC

HUMAN CAPITAL

COSTS

DEVELOPMENT

ADMINISTRATOR

WORKSHOPS & SENIOR LEVEL FORUMS | Wednesday, March 13, 2019 8:30 am – Noon ~ Half Day Morning Workshop WORKSHOP 13 ~ Overview NIH FUNDAMENTALS

This workshop provides a primary basis of understanding of proposals to and awards from the National Institutes of Health (NIH).

This workshop will give you the basics and we will walk you through the grants process, and give you an overview of key resources and websites you will need to be successful.

The program is perfect for someone new to Research Administration, as well as for Research Administrators seeking to expand their knowledge of federal funding agencies. The curriculum provides an overview of the policies and procedures essential to preparing successful proposals to and managing grant awards from the NIH.

Michelle Bulls* Director, Office of Policy for Extramural Research Administration, National Institutes of Health

Kristin Ta Grants Policy Analyst, Grants Policy Division, National Institutes of Health

Major content areas covered include: • NIH overall structure, culture, and organization; • Developing and submitting NIH proposals; • The merit review process; • Post-Award administration; • Tips and tricks.

LEARNING OBJECTIVES • Participants will be able to describe the organizational structure of NIH and ways it can aid in locating funding opportunities and staff contacts.

• Participants will be able to provide a high-level explanation of the path NIH grant applications take from submission to award and Post-Award management.

• Participants will find answers to their questions, whether it be knowing the right website, helpdesk, or staff contact.

PREREQUISITES None

PUI

RESEARCH

INVESTIGATIONS

IRB

94

www.ncura.edu ~ 20th Annual Financial Research Administration Conference (FRA) ** Lead Lead Presenter

WORKSHOPS & SENIOR LEVEL FORUMS | Wednesday, March 13, 2019 1:30 – 5:00 pm ~ Half Day Afternoon Workshop WORKSHOP 14 ~ Intermediate PROPOSAL DEVELOPMENT AND SUBMISSION: ALL YOU NEED TO KNOW – FINALIZING THE PROPOSAL AND SUBMITTING IT TO THE SPONSOR

You’ve reviewed the announcement to which you’ll respond and the principal investigator has prepared the programmatic portions of the proposal. The budget has been developed and the administrative portions of the proposal are written. Now the proposal need only be submitted, right? Join us for an interactive workshop on getting the proposal out the door once the “pre-work” has been done. We’ll discuss proposal review and approval, finalization of forms, working with sponsor submission systems, and dealing with the unexpected, which is always to be expected.

Mary Louise Healy* Assistant Dean, Research Administration, Krieger School of Arts and Sciences, Johns Hopkins University

Diane L. Hillebrand Grants Manager, Research Affairs, University of North Dakota

LEARNING OBJECTIVES • Participants will be able to describe best practices for proposal review and correcting any problems to ensure smooth submission.

• Participants will be able to list problematic sections of proposals and how to avoid potential problems.

• Participants will be able to describe strategies for working with sponsor submission portals to avoid – and deal with – last minute hiccups PREREQUISITES Participants will want experience preparing and/or reviewing federal proposals and knowledge of sponsor submission portals.

FOLLOW US @NCURA JOIN THE CONVERSATION #NCURAFRA

LAS VEGAS

March 11 – 12 March 13 FRA Conference

FRA/PRA Workshop Day

* Lead Presenter

95

LEADERSHIP FINANCIAL

ISSUES

STREAMLINING

TOOLS

IDEAS NEGOTIATION Every one of the sessions I attended provided me information or guidance to bring back to my department.

DATA

FEDERAL

POST-AWARD AGREEMENTS

POLICY

PARTNERSHIPS SERVICE BEST METHODS

PRACTICES

GRANTS

AUDIT

ERA PROCESS

DEPARTMENTAL

COMMUNICATION CLINICAL TRIALS

COMPLIANCE

INTERNATIONAL

COLLABORATION

STRATEGY

ALLOWABILITY

BUDGET EFFORT REPORTING

RELATIONSHIPS

SPONSORED PROGRAMS

WORKSHOPS & SENIOR LEVEL FORUMS | Wednesday, March 13, 2019 1:30 – 5:00 pm ~ Half Day Afternoon Workshop WORKSHOP 15 ~ Intermediate THE WHO, WHAT, WHEN, WHERE AND HOW OF SUCCESSION PLANNING

Succession planning helps organizations ensure there are capable and experienced candidates to fill vacancies, especially at the leadership level. It is most successful when it is incorporated into a more holistic career ladder approach to retain high potential employees. Let’s face it: if you think they are worth keeping, someone else will think they are worth recruiting. So how do you identify high potential candidates, invest in their professional development, and mentor them to be able to hit the ground running when the opportunity arises? This workshop will focus on: • WHO you identify • WHAT professional development opportunities you afford them • WHEN you assign greater responsibility • WHERE you find candidates • HOW do you keep them for the long term

Susan Wyatt Sedwick* Senior Consultant, Attain

Marianne R. Woods Academic Program Director, Master of Science Degree in Research Administration, Krieger School of Arts and Sciences, Advanced Academic Programs, Johns Hopkins University

LEARNING OBJECTIVES • Participants will learn to identify high potential talent that can be mentored.

• Participants will be able to develop a succession plan that allows for gradual increases in responsibility during the mentoring period.

• Participants will discuss how to enact a seamless transition to new leadership.

PREREQUISITES Participants will benefit from some management experience.

DIVERSITY

SUPPORT ANALYTIC

HUMAN CAPITAL

COSTS

DEVELOPMENT

ADMINISTRATOR

PUI

RESEARCH

INVESTIGATIONS

IRB

96

www.ncura.edu ~ 20th Annual Financial Research Administration Conference (FRA) ** Lead Lead Presenter

WORKSHOPS & SENIOR LEVEL FORUMS | Wednesday, March 13, 2019 1:30 – 5:00 pm ~ Half Day Afternoon Workshop WORKSHOP 16 ~ Intermediate DESIGNING A TRAINING PROGRAM FOR YOUR INSTITUTION: TECHNIQUES, TOOLS AND TIPS

Are you achieving desired learning outcomes in your training programs? Accessing and identifying your organization’s training needs at the beginning is important for designing and preparing educational materials that will achieve the desired learning outcomes.

In order to be effective, both training and facilitation take deliberate planning and leader-participant engagement.

While you don’t have to be an expert speaker or facilitator, you do have to connect with participants in order to engage them through content and processes.

This workshop will take participants from design aspects to delivery and will include a behind-the-scenes look into tips, tools and techniques used by presenters in order to effectively lead participants through training objectives.

These simple techniques will help trainers, speakers and facilitators approach their next learning session with confidence.

LEARNING OBJECTIVES • Participants will hear an overview of design elements specific to training and facilitation geared toward adult learners.

• Participants will obtain a behind-the-scenes look into activities designed to refocus attention and stimulate participation.

• Participants will be shown tools for facilitating participant-centered learning.

Tolise C. Dailey* Training Manager, Research Development Team, Johns Hopkins University

Tricia L. Callahan Senior Research Education and Information Officer, Colorado State

Melanie Hebl Education Coordinator, Research and Sponsored Programs, University of Wisconsin-Madison

PREREQUISITES Participants will want basic familiarity with training development.

FOLLOW US @NCURA JOIN THE CONVERSATION #NCURAFRA

LAS VEGAS

March 11 – 12 March 13 FRA Conference

FRA/PRA Workshop Day

* Lead Presenter

97

LEADERSHIP FINANCIAL

ISSUES

STREAMLINING

TOOLS

IDEAS NEGOTIATION The workshops were very thorough and provided indepth discussion opportunities.

DATA

FEDERAL

POST-AWARD AGREEMENTS

POLICY

PARTNERSHIPS SERVICE BEST METHODS

PRACTICES

GRANTS

AUDIT

ERA PROCESS

DEPARTMENTAL

COMMUNICATION CLINICAL TRIALS

COMPLIANCE

INTERNATIONAL

COLLABORATION

STRATEGY

ALLOWABILITY

BUDGET EFFORT REPORTING

RELATIONSHIPS

SPONSORED PROGRAMS

DIVERSITY

WORKSHOPS & SENIOR LEVEL FORUMS | Wednesday, March 13, 2019 1:30 – 5:00 pm ~ Half Day Afternoon Workshop WORKSHOP 17 ~ Advanced NEGOTIATING DIFFICULT AWARD TERMS

Sponsored agreements contain many clauses that institutions often address using mechanistic rules, which may result in obstacles and bumps in negotiation.

This workshop will provide a brief overview of general contracting and legal concepts as well as tips and techniques for the negotiator. Contract clauses will be discussed, including assessing the importance of particular terms for specific sponsored projects, analyzing the potential impact on an institution, and building and communicating positions persuasively. The workshop will use real life examples and offer potential solutions to common deadlocks on topics such as indemnification, liability, termination, choice of law, arbitration, publishing, confidentiality and intellectual property.

LEARNING OBJECTIVES • Participants will gain an understanding of common contract terms and concepts pertaining to sponsored agreements.

• Participants will learn to use the techniques taught in this workshop to improve the efficiency of award negotiations.

• Participants will better understand the importance of particular terms for specific research projects.

Alexandra A. Albinak* Associate Vice Provost for Research Administration, Office of Research, Johns Hopkins University

David J. Mayo Director of Sponsored Research, Office of Sponsored Research, California Institute of Technology, NCURA Distinguished Educator

Melissa Korf Associate Director, Grants & Contracts, Office of Research Administration, Harvard Medical School, Harvard University

PREREQUISITES Participants will want a familiarity with terms and conditions common in awards issued to research organizations.

SUPPORT ANALYTIC

HUMAN CAPITAL

COSTS

DEVELOPMENT

ADMINISTRATOR

PUI

RESEARCH

INVESTIGATIONS

IRB

98

www.ncura.edu ~ 20th Annual Financial Research Administration Conference (FRA) ** Lead Lead Presenter

WORKSHOPS & SENIOR LEVEL FORUMS | Wednesday, March 13, 2019 1:30 – 5:00 pm ~ Half Day Afternoon Workshop WORKSHOP 18 ~ Intermediate THE 20/80 RULE: HOW TO MITIGATE THE 20% OF PROPOSALS THAT CAUSE 80% OF AWARD HEADACHES

Why does it always feel like a small number of proposals submitted cause us the majority of headaches when it comes to award management? Come join us for a discussion of issues surrounding: • Budgets (ex. detailed budgeting and substantiating costs, cost sharing) • Compliance (i.e. IRB/IACUC, biological specimens, participant vs. human subject) • Award negotiation/terms & conditions (ex. what happens when the sponsor wants to award your grant proposal as a contract?)

• International activities (i.e. export controls, Fly America, foreign nationals, foreign currency)

Jennifer A. Marron* Assistant Dean for Grants Administration, College of Engineering, Boston University

Megan Dietrich Client Advocacy & Education Specialist, Office of Sponsored Research, Stanford University

We’ll unpack how to identify these matters early in the proposal development process, work with the proper teams at your institution during submission and document those points, and monitor and manage a successful challenging award. We’ll cover topics ranging from detailed budgeting to cost sharing to export control to human subjects. So please bring your questions and we’ll work through them together. This workshop will apply to participants from both Pre- and Post-Award, as well as Departmental and Central Offices.

LEARNING OBJECTIVES • Participants will learn strategies to identify, mitigate and document challenging issues at proposal time.

• Participants will acquire tips on how to gather the appropriate team and successfully negotiate and manage the award.

PREREQUISITES Participants will want a basic understanding of proposal submission.

FOLLOW US @NCURA JOIN THE CONVERSATION #NCURAFRA

LAS VEGAS

March 11 – 12 March 13 FRA Conference

FRA/PRA Workshop Day

* Lead Presenter

99

LEADERSHIP FINANCIAL

ISSUES

STREAMLINING

TOOLS

IDEAS NEGOTIATION

There were so may excellent sessions to choose from.

DATA

FEDERAL

POST-AWARD AGREEMENTS

POLICY

PARTNERSHIPS SERVICE BEST METHODS

PRACTICES

GRANTS

AUDIT

ERA PROCESS

DEPARTMENTAL

COMMUNICATION CLINICAL TRIALS

COMPLIANCE

INTERNATIONAL

COLLABORATION

STRATEGY

ALLOWABILITY

BUDGET EFFORT REPORTING

RELATIONSHIPS

SPONSORED PROGRAMS

DIVERSITY

SUPPORT ANALYTIC

HUMAN CAPITAL

COSTS

DEVELOPMENT

ADMINISTRATOR

WORKSHOPS & SENIOR LEVEL FORUMS | Wednesday, March 13, 2019 1:30 – 5:00 pm ~ Half Day Afternoon Workshop WORKSHOP 19 ~ Overview A DAY IN THE LIFE OF THE DEPARTMENTAL ADMINISTRATOR (PRE-AWARD FOCUS)

The departmental administrator is on the front line of Research Administration!

From managing multiple proposals, PIs and your time, each Pre-Award decision also impacts Post-Award. On any given day you, the departmental administrator, can be expected to assist with multiple proposal submissions – usually not within the optimal 10 day window – manage Post-Award activities such as sub-awards, cost transfers, P-card purchases, travel, financial analysis, etc. all with multiple interruptions from faculty, the central office, the Dean’s office, and of course, email. How do you prioritize? How do you plan for last minute proposals and interactions with the central office but allow flexibility for the many last minute emergencies? This workshop will offer best practices on how to organize multiple proposals and projects simultaneously, and then make measurable, encouraging progress on them all. Strategies for (i) efficiently prioritizing tasks, (ii) time-saving, and (iii) communication will be highlighted.

Bring your questions and tips for a lively discussion!

Kay C. Gilstrap* Assistant Director, Business Operations, Center for Molecular and Translational Medicine, Georgia State University

Rob G. Bingham-Roy Director of University System of Georgia Sponsored Operations, Georgia Institute of Technology

LEARNING OBJECTIVES • Participants will learn tips to prioritize proposals and projects to maximize the breadth and depth of service provided to constituents.

• Participants will learn tips to structure their workday to make measurable progress on multiple proposals and projects, even last minute “emergencies.”

• Participants will learn tips on communication with faculty, the dean’s office, the central office, and others.

PREREQUISITES None

PUI

RESEARCH

INVESTIGATIONS

IRB

100

www.ncura.edu ~ 20th Annual Financial Research Administration Conference (FRA) ** Lead Lead Presenter

WORKSHOPS & SENIOR LEVEL FORUMS | Wednesday, March 13, 2019 1:30 – 5:00 pm ~ Half Day Afternoon Workshop WORKSHOP 20 ~ Intermediate COMPENSATION COMPLIANCE AND THE STANDARDS FOR DOCUMENTATION

This workshop will cover the history of regulatory changes made for compensation compliance, the differences in agency instructions for budgeting compensation and how this impacts Post-Award. Participants will learn to evaluate “commitments” of time devoted vs. cost share, review the activities of faculty members that make allocations of salary difficult. Federal Agency inconsistencies to the Cost Principles and differences in auditor regulatory interpretations will be highlighted.

Participants will analyze the Standards for Documenting salary costs in 200.430 and an Internal Control Framework for Compensation Compliance. Lastly, we will dive deeply into the after-the-fact review methodologies (Traditional Effort Reporting or Allocation of Base Salary/ Alternatives to Effort) used by institutions. Case studies, institutional examples of Alternatives to Effort Reporting and their system implementations will be reviewed.

Additionally, institutional survey results will provide insight into the latest institutional trends and practices for compensation compliance.

LEARNING OBJECTIVES • Participants will have a greater understanding of Internal Controls, Documentation Standards, and COSO for compensation compliance.

• Participants will be able to describe and utilize practices and methodologies to increase process integrity and reduce audit risk and administrative burden.

Jeremy A. Forsberg* Assistant Vice President of Research, Office of Research Administration, The University of Texas at Arlington

Lisa E. Mosley Executive Director, Office of Sponsored Projects, Yale University

David Ngo Associate Provost, Sponsored Programs Administration, The New School

Zachary Belton Senior Director, Huron

PREREQUISITES Participants will need a basic understanding of Effort Reporting under A-21 and/or Compensation Compliance under the Uniform Guidance. Participants will need a basic understanding of allocation of salary costs.

FOLLOW US @NCURA JOIN THE CONVERSATION #NCURAFRA

LAS VEGAS

March 11 – 12 March 13 FRA Conference

FRA/PRA Workshop Day

* Lead Presenter

101

LEADERSHIP FINANCIAL

ISSUES

STREAMLINING

TOOLS

IDEAS NEGOTIATION

This conference was just perfect!

DATA

FEDERAL

POST-AWARD AGREEMENTS

POLICY

PARTNERSHIPS SERVICE BEST METHODS

PRACTICES

GRANTS

AUDIT

ERA PROCESS

DEPARTMENTAL

COMMUNICATION CLINICAL TRIALS

COMPLIANCE

INTERNATIONAL

COLLABORATION

STRATEGY

ALLOWABILITY

BUDGET EFFORT REPORTING

1:30 – 5:00 pm ~ Half Day Afternoon Workshop WORKSHOP 21 ~ Overview PREPARATION FOR LARGE-SCALE AND ANNUAL SINGLE AUDITS AND COMPLIANCE CONSIDERATIONS

Unlike the traditional Federal audits, some agencies such as NIH and NSF have been conducting large-scale audits. Typically, a NIH subaward audit requires data for 2 years. Although NSF is changing its data analytics audit approach (requesting data for 3 years), the cost principles for audit remain the same.

In this workshop, we will review the data preparation process, timelines, correspondence, and common risks. We will also discuss the new audit approach that NSF OIG is implementing. In addition, we will review the updates and hot topics for the annual single audit based on the most recent single audit compliance supplement.

Participants will benefit from a general understanding of the cost principles of 2 CFR Part 200 (Uniform Guidance).

Jennifer Y. Mitchell* Associate Executive Director for Research Financial Operations, Office of Financial Operations, Northwestern University

Anne Pifer Senior Director, Huron

Andra Sawyer Assistant Director, Post-Award Fiscal Compliance, University of Washington

LEARNING OBJECTIVES • Participant will gain insight of the largescale audit and annual single audit processes, and how to mitigate the compliance risks.

PREREQUISITES None

RELATIONSHIPS

SPONSORED PROGRAMS

WORKSHOPS & SENIOR LEVEL FORUMS | Wednesday, March 13, 2019

DIVERSITY

SUPPORT ANALYTIC

HUMAN CAPITAL

COSTS

DEVELOPMENT

ADMINISTRATOR

PUI

RESEARCH

INVESTIGATIONS

IRB

102

www.ncura.edu ~ 20th Annual Financial Research Administration Conference (FRA) ** Lead Lead Presenter

WORKSHOPS & SENIOR LEVEL FORUMS | Wednesday, March 13, 2019 1:30 – 5:00 pm ~ Half Day Afternoon Workshop WORKSHOP 22 ~ Basic POST-AWARD AWARENESS FOR THE PRE-AWARD ADMINISTRATOR

This workshop is designed for research administrators interested in thinking ahead to the Post-Award phase when searching for funding opportunities and developing proposals. Participants will have the opportunity to engage in a meaningful discussion of Pre-Award activities with a focus on topics that typically arise during Post-Award. The conversation will span from award implementation through closeout and audit and will be directed towards an award lifecycle approach. We will explore effective strategies for proactively managing Post-Award topics such as cost sharing, indirect cost recovery, effort commitments, subaward vs. vendor determinations, internal billings, IRB & IACUC issues, participant support costs, administrative salaries, financial reporting, foreign currency, and payroll when putting together proposal budgets.

LEARNING OBJECTIVES • Participants will learn to identify key words in program solicitations that may signal the need for additional oversight during the life of a sponsored award.

• Participants will learn to recognize potential budget areas that may require future monitoring and documentation.

• Participants will learn techniques for writing strong budget justifications that will help to minimize questions at the award stage and serve as helpful award management tools.

Jennifer Lech* Senior Sponsored Research Officer, Science Division, Harvard University

Rady Rogers Assistant Director of Research Administration and Finance, John A. Paulson School of Engineering and Applied Sciences, Harvard University

Barbara A. Cole Associate Vice President, Research Administration, University of Miami

PREREQUISITES None

FOLLOW US @NCURA JOIN THE CONVERSATION #NCURAFRA

LAS VEGAS

March 11 – 12 March 13 FRA Conference

FRA/PRA Workshop Day

* Lead Presenter

103

LEADERSHIP FINANCIAL

ISSUES

STREAMLINING

TOOLS

IDEAS NEGOTIATION There are already several members of my team who plan on attending next year’s conference as first timers.

DATA

FEDERAL

POST-AWARD AGREEMENTS

POLICY

PARTNERSHIPS SERVICE BEST METHODS

PRACTICES

GRANTS

AUDIT

ERA PROCESS

DEPARTMENTAL

COMMUNICATION CLINICAL TRIALS

COMPLIANCE

INTERNATIONAL

COLLABORATION

STRATEGY

ALLOWABILITY

BUDGET EFFORT REPORTING

RELATIONSHIPS

SPONSORED PROGRAMS

DIVERSITY

SUPPORT ANALYTIC

HUMAN CAPITAL

COSTS

DEVELOPMENT

ADMINISTRATOR

PUI

RESEARCH

WORKSHOPS & SENIOR LEVEL FORUMS | Wednesday, March 13, 2019 1:30 – 5:00 pm ~ Half Day Afternoon Workshop WORKSHOP 23 ~ Intermediate FACILITIES & ADMINISTRATIVE (F&A) RATE PROPOSAL PROCESS AT UNIVERSITIES

This workshop provides an overview of the Facilities & Administrative (F&A) rate calculation and rate negotiation 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 processes 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 a componentization study, an equipment inventory study, and a library study. Tesha Garcia-Taylor will provide insights from an administrator’s point of view. The content 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 departmental 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.

David Moore* Manager, Education, Nonprofit, and Commercial Services, Attain

Tesha Garcia-Taylor Assistant Director, Finance-Academic Enterprise, Vanderbilt University Medical Center

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 on the institution.

PREREQUISITES Participants will need a basic familiarity with F&A rate usage.

INVESTIGATIONS

IRB

104

www.ncura.edu ~ 20th Annual Financial Research Administration Conference (FRA) ** Lead Lead Presenter

WORKSHOPS & SENIOR LEVEL FORUMS | Wednesday, March 13, 2019 1:30 – 5:00 pm ~ Half Day Afternoon Senior Level Forum SENIOR LEVEL FORUM 24 ~ Advanced STRATEGIES FOR RESEARCH PROGRAMS IN AN UNUSUAL TIME

The perceptions of science, and to some extent universities, by powerful members of the executive and legislative branches in the U.S. federal government are unlike any we have ever witnessed. At times we see research-informed alternatives and public policy approaches ignored or hostilely opposed. Proposals have been made to slash science funding, and the support of university research infrastructure, only to be countered by subsequent agency budget increases.

Expiration of budget caps and adjustments thereto in the coming years will present serious funding challenges throughout the government. Nonetheless, university-led research remains a critical component of our mission and for the security of our nation, making it incumbent on institutional leadership to continue their efforts. This session will be devoted to understanding the current environment, and discussing strategies universities can adopt to sustain and even grow their programs during unusual times.

LEARNING OBJECTIVES • Participants will understand drivers of the federal budget at science agencies.

• Participants will share and observe responses by research institutions.

• Participants will explore new research funding strategies.

Joel Malina* Vice President for University Relations, Cornell University

Michael Ledford President, Lewis Burke Associates

Kei Koizumi Visiting Scholar in Science Policy, American Association for the Advancement of Science

PREREQUISITES Participants will need to have a leadership role at a research institution.

FOLLOW US @NCURA JOIN THE CONVERSATION #NCURAFRA

LAS VEGAS

March 11 – 12 March 13 FRA Conference

FRA/PRA Workshop Day

* Lead Presenter

105