Announcements

This is a reminder that Sponsored Projects Administration (SPA), in collaboration with Columbia University Information Technology (CUIT), will be launching Rascal Proposal Tracking 3.0, anticipated to be released the start of April. We will be hosting webinars beginning next week.

What is Rascal Proposal Tracking?

Rascal Proposal Tracking is currently required to register any new or competing renewal grant or contract proposals with SPA.  It captures critical proposal and compliance details used by your SPA Project Officer for proposal review and submission to a sponsor. Rascal Proposal Tracking is also used to register proposal resubmissions, transfer applications, non-competing continuations, supplemental requests, and cost extensions.

What’s changed?

Rascal Proposal Tracking 3.0 has been modernized with new functionality to make it easier to identify, sort, and filter projects. Several data entry fields have been removed to reduce burden, while others have been enhanced to improve data collection and reporting. New validations have been created to highlight missing or potentially inaccurate information. It is easier to identify changes that have been made in Rascal Proposal Tracking throughout the registration and finalization process in close collaborations with the SPA Project Officer.

Will there be training?

Yes! We have scheduled two webinars to provide the research community with an overview of Rascal Proposal Tracking 3.0. The sessions will be recorded. You can register for one of the following dates:

• Wednesday, March 22, 2:00 pm – 3:30 pm Eastern Time
• Wednesday, March 29, 2:00 pm – 3:30 pm Eastern Time

In addition, we will be holding weekly office hours in April 2023 to assist you and answer your specific questions. To register for office hours:

• Tuesdays, April 4 – April 25; 9:30 am – 10:30 am Eastern Time

We will provide more detailed information and resources as we get closer to the release of Rascal Proposal Tracking 3.0. For questions, please contact your SPA Project Officer.

Sponsored Projects Administration (SPA), in collaboration with Columbia University Information Technology (CUIT), is excited to announce Rascal Proposal Tracking 3.0, anticipated to be released the end of March 2023.

What is Rascal Proposal Tracking?

Rascal Proposal Tracking is currently required to register any new or competing renewal grant or contract proposals with SPA.  It captures critical proposal and compliance details used by your SPA Project Officer for proposal review and submission to a sponsor. Rascal Proposal Tracking is also used to register proposal resubmissions, transfer applications, non-competing continuations, supplemental requests, and cost extensions.

What’s changed?

Rascal Proposal Tracking 3.0 has been modernized with new functionality to make it easier to identify, sort, and filter projects. Several data entry fields have been removed to reduce burden, while others have been enhanced to improve data collection and reporting. New validations have been created to highlight missing or potentially inaccurate information. It is easier to identify changes that have been made in Rascal Proposal Tracking throughout the registration and finalization process in close collaborations with the SPA Project Officer.

Will there be training?

Yes! We have scheduled two webinars to provide the research community with an overview of Rascal Proposal Tracking 3.0. The sessions will be recorded. You can register for one of the following dates:

• Wednesday, March 22, 2:00 pm – 3:30 pm Eastern Time
• Wednesday, March 29, 2:00 pm – 3:30 pm Eastern Time

In addition, we will be holding weekly office hours in April 2023 to assist you and answer your specific questions. To register for office hours:

• Tuesdays, April 4 – April 25; 9:30 am – 10:30 am Eastern Time

We will provide more detailed information and resources as we get closer to the release of Rascal Proposal Tracking 3.0. For questions, please contact your SPA Project Officer.

We have two important clarifications for PIs regarding: (1) the use of DMPTool and NIH’s formatting requirements, and (2) when the Resource Sharing Plans are required in addition to the Data Management and Sharing Plan.

1. DMPTool - When using DMPTool to create the DMS Plan, the Plan must comply with all of NIH’s formatting requirements. Otherwise, the application is at risk of getting withdrawn. This includes font size, margins, and no URLs or hyperlinks are allowed.  You should download the Plan created in DMPTool as a Word document to make sure you can meet all formatting requirements.  See this one-page DMPTool Formatting Guide for NIH Proposals.
2. Resource Sharing Plan(s) - When the new DMS Policy took effect on January 25, 2023, it eliminated the requirement to include a Data Sharing Plan (under the 2003 policy), or a Genomic Data Sharing Plan, in the Resource Sharing Plan(s) section of the application. Instead, only one DMS Plan is needed (even if subject to the Genomic Data Sharing Policy), which is included in the Other Plan(s) section of the application. See Writing a DMS Plan, which contains additional instructions for applications subject to the Genomic Data Sharing Policy.

A Resource Sharing Plan(s) is required only when the PI plans to create the following two items:

• • Model Organisms –unique model organisms, including unique mammalian and non-mammalian models ; and/or
  • Research Tools – unique research resources that can be useful for many others and many projects.

See NIH Instructions on Resource Sharing Plans for FORMS-H.

For questions about DMPTool, or the contents of the DMS Plans, please contact [email protected]. You can also contact your SPA Project Officer for questions concerning the preparation of your NIH applications.

The new NSF Proposal and Award Policies and Procedures Guide (PAPPG) (NSF 23-1) took effect this week for proposals submitted on, or due on or after, Monday, January 30, 3023. To assist with the creation of NSF’s new Biographical Sketches and Current & Pending (C&P) Support formats, we provide you with the following:

Resources

• Have I Included…?  - a questionnaire to assist you with ensuring all projects and in-kind contributions are included in the C&P form.

• The Rascal Other Support Tool -  a starting point to assist researchers in identifying current and pending sponsored projects required to be disclosed in Other Support/Current and Pending Support forms for federal agencies. Researchers can download an Excel report to send to administrators assisting with C&P Support. The Other Support Tool contains only proposals from and awards to Columbia.  It does not include other information required in C&P Support, such as in-kind contributions. The researcher is responsible for including all required information.

• NSF’s video and slide decks from their recent webinar on the revised Biographical Sketches and C&P formats, with a SciENcv demonstration.

• View our last town hall slide decks and the latest information at NSF Researcher Disclosure Requirements.

Reminders

• The Biographical Sketch and Current & Pending (Other) Support formats contain a new certification requirement, in accordance with Section 223(a)(1) of the William M. (Mac) Thornberry National Defense Authorization Act for Fiscal Year 2021 (42 USC 6605(a)(1)). Senior personnel are required to certify that the information provided in their Biographical Sketch and Current and Pending Support documents are accurate, current, and complete.

• The signature requirement cannot be delegated and must be completed by the person submitting the biographical sketch or current and pending support.

• You can use either NSF’s PDF-fillable Biographical Sketches and Current & Pending (C&P) Support formats, containing the revision date “rev. 01/19/2023”, or you can use SciENcv to create these forms. Earlier versions of these formats will not be accepted in Research.gov, and will cause compliance errors if a proposer attempts to upload a prior version of either document.

• If using the PDF-fillable forms, you should not use DocuSign, or any other e-signature software. The certification requires a typed name and date only. Using an e-signature will generate errors upon proposal submission.

• If you choose to use SciENcv, we strongly encourage you to view NSF’s webinar first to learn the latest information on how to use SciENcv to include the newly required certifications.

• SciENcv will be required beginning October 23, 2023. At that time, the PDF-fillable versions will no longer be available or accepted.

Please feel free to contact your SPA Project Officer with questions.

Dear NSF-funded Researchers and Applicants,

As we have previously communicated, as of today (January 30, 2023) all NSF proposals that include off-campus or off-site research must have a plan to ensure a safe and inclusive work environment for that specific project, and must share the plan with all participants.  NSF defines “off-campus or off-site research” as “data/information/samples being collected off-campus or off-site, such as fieldwork on research vessels and aircraft.”

To support principal investigators in meeting this new requirement, we have created two templates that principal investigators can download, customize for their specific project(s), and then disseminate to their team members: 

1. Template Plan for Ensuring a Safe and Inclusive Work Environment for Off-Campus or Off-site Research Activity.  This template plan (“Plan”) includes a project-specific information sheet for the Principal Investigator to complete, plus a description of Columbia-wide policies, resources and information relevant to safe and inclusive research environments, and a place to add any school or departmental resources.
2. Template Email to Disseminate Plan.  NSF requires the Plan to be disseminated to all members of the team before they depart for field or off-site research activity.  Principal investigators should use this template email to do so.  It is important for principal investigators and/or their administrators to keep a copy of the email after it is sent, to document that this NSF requirement was fulfilled.

In addition, as of today, a new certification has been added to the Rascal Proposal Tracking Data Sheet, to confirm compliance with this requirement.  The certification says:

“I/we certify that a plan has been developed for this proposal in accordance with NSF requirements on ensuring a Safe and Inclusive Working Environments for Off-Campus or Off-Site Research.”

Please note: In general, NSF does not require the plan to be submitted to NSF. However, several solicitations from the NSF Directorates for Biological Sciences (BIO) and Geosciences (GEO) will soon require the submission of a Safe and Inclusive Work Environments Plan that will be considered as part of the Broader Impacts criteria during the review process. Program Directors from BIO and GEO will hold a Virtual Office Hour on Tuesday, February 7, 2023; 3:30 - 4:30 PM Eastern on this new pilot effort regarding Safe and Inclusive Work Environments Plans. Register here for this webinar.

If you have questions about this new requirement, please contact your SPA Project Officer.

Thank you.

William Berger
AVP for Sponsored Projects Administration

Naomi Schrag
Vice President for Research Compliance, Training and Policy

Dear Members of the Research Community,

We write to remind you of two important federal legal requirements related to sponsored projects:

1. Certification of current and pending/other support (per Section 223 of the William M. (Mac) Thornberry National Defense Authorization Act for Fiscal Year 2021)

Federal law requires principal investigators and senior/key persons to:

• disclose the amount, type, and source of all current and pending research support received by, or expected to be received by, the individual as of the time of the disclosure;
• certify that the disclosure is current, accurate, and complete; and
• update such disclosure at the request of the agency prior to the award of support and at any subsequent time the agency determines appropriate during the term of the award.

Currently, funding agencies vary in their implementation of the certification requirement.  Information related to specific funding agency requirements is available on the Funding Applications and Progress Reports Disclosure page of the University’s Science and Security website.  If you are uncertain whether to make a disclosure, we recommend that you err on the side of transparency.  Please contact your Sponsored Projects Administration project officer with questions.

2. Prohibition against use of certain telecom or video surveillance equipment (per Section 889 of the National Defense Authorization Act for Fiscal Year 2019)

The U.S. Government prohibits Columbia from using certain telecommunications or video surveillance equipment, produced by certain companies, as a substantial or essential component or as critical technology for any system.  These rules, which apply to all recipients of federal funding, also prohibit the use of federal funds to procure or obtain covered telecommunications equipment or services.  These restrictions apply to all purchases completed through a University Purchase Order, P-Card, AP Voucher or reimbursement of a personal charge through Concur.

“Covered telecommunications equipment or services” are:

Telecommunications equipment or services produced by Huawei Technologies Company, ZTE Corporation, or any subsidiary or affiliate of these entities; and

Video surveillance technology and equipment or services used for certain public safety, physical surveillance, or national security purposes and produced by Hytera Communications Corporation, Hangzhou Hikvision Digital Technology Company, Dahua Technology Company, or any subsidiary or affiliate of these entities.

For more information about this prohibition and to access lists of the prohibited companies and their subsidiaries and affiliates, please visit Research Compliance and Training’s Economic Sanctions and Restricted Parties webpage. 

For Procurement-related questions, please contact Hugh Horowitz, Procurement Services, at [email protected].  For questions about this restriction more generally, please contact Michelle Avallone, Director of Export Controls and International Engagement, at [email protected].

Thank you for your attention to these important requirements.

Sincerely,

William Berger
AVP for Sponsored Projects Administration

Hugh Horowitz
AVP for Procurement

Naomi Schrag
VP for Research Compliance, Training and Policy

Our office will be hosting a town hall on Wednesday, December 14^th at 2pm EST to review very important upcoming changes to NSF proposals and awards, taking effect for proposals submitted or due on or after January 30, 2023 as stated in NSF’s revised version of the NSF Proposal and Award Policies and Procedures Guide (PAPPG) (NSF 23-1).

To register for the town hall on December 14^th, register here, using a Columbia-affiliated email address.

The town hall agenda will include, but is not limited to:

• Revisions to the Biographical Sketch and Current and Pending Support formats to require certifications from the individual (as required by the 2021 National Defense Authorization Act,  Section 223) regarding information being accurate, current, and complete.
  • In addition, NSF program officers will request updated Current and Pending Support information prior to making a funding recommendations.
• Requirement for field or other off-site research proposals to have a plan specific to that proposal to address Safe and Inclusive Working Environments for Off-Campus and Off-Site Research.
• Expansion of training to faculty and other senior personnel in the Responsible and Ethical Conduct of Research (RECR) as of July 31, 2023.

We encourage you to review:

• NSF’s Video and slide deck (presented Nov. 17, 2022) on the Revisions to the PAPPG (NSF 23-1)
• The full, revised PAPPG
• Summary of changes

For questions, please feel free to contact your SPA Project Officer.

Dear fellow members of the Columbia community,

We write to reiterate Columbia University’s commitment to integrity in scholarly research, and to remind you of key policies and resources that support your research endeavors. In particular, if you conduct research, or if you support people who conduct research, please be sure to read the information below.

• The University’s conflict of interest and conflict of commitment policies affirm that a researcher’s outside activities may stimulate and nurture scholarship. These policies also address how real or perceived conflicts may cause bias in research, or affect an individual’s ability to carry out their University responsibilities because of time commitments required or competing priorities, and set out disclosure requirements. CUIMC affiliates must also follow CUIMC’s policies on conflict of interest in clinical care and education. Disclosure of potential conflicts to the University must be completed at least annually through Rascal. 

• Research security continues to be a priority at the federal and University level. The University’s Science and Security webpage contains resources and guidance in this area. New FAQsaddress considerations for common international engagements and collaborations. Researchers must pay particular attention to making all disclosures required by federal funding agencies.

• The University’s Policy on Misconduct in Research ensures that issues of plagiarism, falsification or fabrication of research are addressed with rigor, care and confidentiality. 

• The University’s Guidelines on Retention of Research Data reiterate that research data acquired under the auspices of the University must be stewarded, managed and shared in accordance with scholarly practice and funding agency requirements. 

• • NIH and other federal funding agencies have new policies to mandate research data management and sharing. NIH’s policy takes effect January 25, 2023. Visit Research Data at Columbia for more information and resources.

• The Office of the EVP for Research publishes 6 research handbooks containing key research policies and procedures in many areas, and also a Quick Guide to Research, highlighting the many offices that support research at Columbia. These offices also offer many resources to help researchers find funding and collaborate on major proposals. Visit the Find Funding webpage for more information.

If you have questions about research compliance issues, please contact the applicable EVPR office or the Office of Research Compliance and Training at [email protected].

Wishing you a productive year.

Katrina A. Armstrong

Executive Vice President and CEO of the Health Sciences

Mary C. Boyce

Provost

Jeannette M. Wing

Executive Vice President for Research

NIH’s new Data Management and Sharing Policy (NOT-OD-21-013) takes effect January 25, 2023. For a high-level overview of the Policy, see their PowerPoint presentation, Data Management & Sharing Policy Overview (June 2022).

NIH will be offering a two-part webinar series to prepare researchers and administrators for the policy implementation:

• Thursday, August 11, 2022 / 1:30 - 3:30 PM EDT; Understanding the New NIH Data Management and Sharing Policy
  • Agenda: In this webinar, you will learn about DMS policy expectations, the applicability of the policy, how to prepare a Data Management and Sharing Plan, and considerations for sharing data responsibly.
• Thursday, September 22, 2022 / 1:30 - 3:30 PM EDT; Diving Deeper into the new NIH Data Management and Sharing Policy
  • Agenda: In this second webinar of the series, we will expand upon the information presented in the first webinar and dive deeper into topics including privacy protections for data from human participants and justifiable limitations on sharing data.

To register for these events, go to the NIH Data Management and Sharing Policy Webinar Series. NIH confirmed that these webinars will be recorded and available for viewing shortly after the live events. We highly encourage all researchers planning to submit NIH grants, and grant administrators, to attend these webinars to gain an understanding of the new policy and proposal expectations. Please visit the Research Data at Columbia webpage for additional resources and information, including a list of research data storage options and resources for writing a data management plan.  Later in the fall, several central offices will provide additional information and resources to assist you with meeting this new data management and sharing requirement.

NIH recently updated its NIH Pre-award and Post-award Disclosures Relating to the Biographical Sketch and Other Support table (rev. June 8, 2022). It contains additional clarifications of where certain types of activities should be disclosed on NIH forms (i.e. the Biographical Sketch, Other Support, Annual Project Reports, etc.).

In addition, we recently posted new Columbia-specific FAQs to clarify the requirements for uploading supporting documentation to accompany NIH Other Support forms and be uploaded into Rascal’s COI Module. Please see FAQs: Supporting Documentation Requirements for Rascal and Other Support.

As a reminder, we have several resources to assist you with completing the NIH Biographical Sketches, Other Support forms, and the certification requirements:

• NIH Researcher Disclosure Requirements
• Columbia's FAQs on NIH Other Support and Biosketches
• NIH's FAQs - Other Support and Foreign Components
• NIH's FAQs - Biosketches
• SciENcv – currently optional, a tool for creating NIH Biosketches
• Request DocuSign in order to complete the certification requirements for NIH Other Support
  • Note that most NIH-funded PIs were already given access to DocuSign. If you are other senior key personnel on an NIH grant, or an administrator assisting with Other Support forms, you will need to request DocuSign. DocuSign user guides and videos are available on the NIH Researcher Disclosure Requirements webpage. To request DocuSign, use this Request DocuSign Qualtrics form. If experiencing technical difficulties, contact [email protected].

For questions, reach out to your SPA Project Officer.

NIH/AHRQ/HRSA issued a notice of correction of the NRSA stipend levels for FY22, previously announced on April 15, 2022. See the details in notice NOT-OD-22-132.

As a reminder, effective January 25, 2022, PIs and other senior/key personnel must electronically sign the NIH Other Support form to certify the accuracy of the information provided, and adhere to Columbia University’s Electronic Signature Policy. A typed name is not an electronic signature and is not acceptable. Certification cannot be delegated to administrators or other staff. NIH will not accept wet signatures, or pictures of wet signatures. 

The University recommends using DocuSign to electronically sign the Other Support forms. DocuSign is cloud-based and automatically retains the originally signed documents. Both faculty and administrators can use DocuSign. 

CUIT is in the process of creating DocuSign accounts for PIs who have current active or pending NIH grants. Administrators who support faculty in creating and organizing Other Support forms and wish to have access to DocuSign will need to request an account. Please complete this Qualtrics form as soon as possible in order for CUIT to create an account. We only need the person’s name and UNI, and one person can complete forms for multiple individuals.   

DocuSign training will be offered next week by CUIT and SPA, and will be recorded if you are unable to attend. A quick desktop reference guide and instructional video resources will also be forthcoming. Please register for the trainings by using a Columbia-affiliated email address here:

• Wednesday, January 19^th, 3 – 4pm
• Friday, January 21^st, 2 - 3pm

In addition, we’d like to remind you about tomorrow’s NIH Town Hall – Part II. During the town hall, we will cover the latest changes to the NIH application forms (FORMS-G), the new eRA Commons ID requirements, and leave time for open Q&A on anything concerning the biosketches and Other Support forms. To register: 

• Friday, January 14^th, 2pm – 3:30pm (use a Columbia-affiliated email address)

Please feel free to send me any questions at [email protected].

Dear NIH Researchers,

As previously announced, as of January 25, 2022, NIH will require new Biographical Sketches and Other Support format pages containing substantial changes. The updated forms and instructions are required for use in applications and Research Performance Progress Reports (RPPRs) due on or after January 25, 2022.

IMPORTANT: the revised Other Support form requires three new action items for all PIs and senior/key persons:

• Sign Electronically:  The PI and other senior/key personnel must electronically sign the Other Support form to certify the accuracy of the information provided, and adhere to Columbia University’s Electronic Signature Policy. A typed name is not an electronic signature and is not acceptable.  Acceptable methods for obtaining electronic signature are DocuSign, and a departmentally licensed version of Adobe.
  • PIs and Departments must retain the “original” electronic signatures, prior to the conversion to PDF format, and prior to submission to Sponsored Projects Administration (SPA).

• Include Non-U.S. Supporting Documentation in JIT/RPPR Other Support Packet: With the electronically signed Other Support forms, PIs and senior/key persons must include copies of contracts/agreements specific to any non-U.S. appointments and/or employment for any non-U.S. activities and resources that are reported in Other Support. If the contracts/agreements are not in English, recipients must provide translated copies.  These materials must be provided to SPA as part of the JIT/RPPR Other Support packet.

• Upload Non-U.S. Supporting Documentation to Rascal:  A new Rascal module has been launched to allow PIs and senior/key personnel to upload their supporting documentation for a limited, parallel compliance review by the Office of Research Compliance and Training (ORCT).  Documentation need only be uploaded one time in the life of the agreement, but amendments and modifications must be uploaded.  This upload is separate from the submission to SPA noted above. 

We strongly recommend that individuals who have non-U.S. agreements related to Other Support upload the documentation to Rascal now, so that ORCT can review before submission to NIH.

To learn more about the changes to the Biosketches and Other Support forms, complying with the electronic signature mandate, and the new Rascal module for supporting documentation, sign up for an upcoming webinar:

Schedule (click on the hyperlinks below to register, using a Columbia-affiliated email address. Other email addresses will be rejected):

• Wednesday, November 17, 1-2pm EST
• Thursday, December 9, 1-2pm EST
• Monday, January 10, 2022, 1-2pm EST

We will continue to provide updates as we get closer to January 25, 2022. We are also happy to discuss these updates at upcoming faculty or administrator meeting as scheduling permits. For questions about these webinars and speaking engagements, please reach out to Stephanie Scott at [email protected]. For more information, see our NIH Researcher Disclosure Requirements webpage, and our supplemental FAQs.

Sincerely,

Naomi J. Schrag, JD

Vice President for Research Compliance, Training & Policy

Office of Research Compliance & Training

William Berger

Executive Director

Sponsored Projects Administration

Last week, the NIH implemented new system validations for Research Performance Progress Reports (RPPR) for clinical trial registration and results reporting. RPPRs that have associated clinical trials that are non-compliant with these requirements will receive errors preventing submission of the RPPR. See NOT-OD-22-008 for more details.

As a reminder, failure to register or report results data for an Applicable Clinical Trial (ACT) as per FDAAA 801 and the Final Rule or the NIH Policy on the Dissemination of NIH-Funded Clinical Trial Information can result in immediate suspension or termination of funding, monetary civil penalties of up to $10,000 per day of non-compliance, criminal or civil prosecution, and/or a permanent notice of non-compliance publicly posted on the ClinicalTrials.gov record for a study.

Of note, the FDA issued its first Notice of Noncompliance to an individual investigator conducting a trial sponsored by an academic institution. The Principal Investigator (PI) failed to submit required results data to ClinicalTrials.gov.  As a result of this noncompliance, the ClinicalTrials.gov record for the study will be permanently marked with and searchable by the “FDAAA 801 Violations” field, even though results were posted a day after the Notice was issued.

The requirements for registration and results reporting are as follows:

• Applicable studies must be registered no later than 21 days after enrollment of the 1^st participant (i.e., date of when the 1^st participant signs a study consent form).
• Results information for applicable studies must be submitted to ClinicalTrials.gov no later than one year after primary completion date (with limited exceptions) for the primary outcome measure, and one year after the study completion date for all other outcome measures, including safety data.

If you require assistance with ClinicalTrials.gov registration or results reporting, please contact the University’s system administrators at [email protected].

We will be hosting webinars on the NIH Biosketches and Other Support format pages to provide you with the latest information and guidance. The new format pages will be required for proposals, Just-In-Time (JIT) and the Research Performance Progress Reports (RPPRs) for due dates on or after January 25, 2022. In addition, electronic signatures and the collection of supporting documentation, where applicable, will take effect January 25, 2022 for Other Support. The University will be implementing new procedures in order to meet these requirements.

NIH is continuing to provide clarifications and guidance on these new requirements. For this reason, we may have additional information as we get closer to the January 25, 2022 effective date, and you may wish to register for multiple sessions to stay current on the latest information.

Schedule (click on the hyperlinks below to register, using a Columbia-affiliated email address.Other email addresses will be rejected):

• Monday, October 18, 3-4pm EDT
• Wednesday, November 17, 1-2pm EST
• Thursday, December 9, 1-2pm EST
• Monday, January 10, 2022, 1-2pm EST

If you have any questions about these webinars, feel free to contact me at [email protected].