Life Sciences Simons Collaboration on the Global Brain (SCGB) Fellowships

Life Sciences Simons Collaboration on the Global Brain (SCGB) Fellowships Fellowship Policies and Procedures Table of Contents 1. Our mission Page 2 2. Online fellowship management Page 2 3. Fellowship activation Page 2 4. International awards Page 2 5. Fellowship support Page 3 6. Travel Page 3 7. Organizational assurances Page 3 8. Required fellowship reports Page 4 8.1 Renewal and Final Scientific Progress Reports Page 4 8.2 Annual and Final Financial Statements Page 4 8.3 Unexpended balance Page 4 8.4 Publications and acknowledgement Page 4 8.5 Other reports or engagements Page 4 8.6 Timely submission of reports Page 4 9. Payments Page 5 9.1 Payment schedule Page 5 9.2 Electronic payments Page 5 9.3 Indirect costs Page 5 9.4 Out-of-scope expenditures Page 5 9.5 Withholding of payments Page 5 10. Changes in fellowship status Page 5 10.1 Change in research plan Page 5 10.2 Change of institution Page 5 10.2a Required from the original institution Page 6 10.2b Required from the new institution Page 6 10.2c Change of Institution approval Page 6 10.3 Reallocation of funds Page 6 10.4 Carry forward Page 6 10.5 No-cost extension Page 6 10.6 Termination Page 6 11. Closeout Page 7 12. Intellectual property Page 7 12.1 Final invention statement Page 7 13. Renewable reagents and data sharing Page 7 14. Participation Page 8 15. Auditing Page 8 16. Contact Page 9

The Simons Foundation has adopted the following policies. Fellows and their institutions must abide by all applicable laws and regulations, including those governing the conduct of research on humans or animals. Each fellowship mechanism has unique characteristics, such as duration, funding levels, eligibility requirements and project requirements. The Simons Foundation requires all fellows to submit financial and progress reports as outlined in this document, unless otherwise specified in the fellow s funding letter. The Simons Foundation reserves the right to modify or amend its policies governing fellowships. 1. Our mission The Simons Foundation s mission is to advance the frontiers of research in mathematics and the basic sciences. We sponsor a range of programs that aim to promote a deeper understanding of our world. 2. Online fellowship management Fellows and their financial administrators, as well as any additional staff members as needed, will be granted access to a web-based tool, proposalcentral, at https://proposalcentral.altum.com/ for submitting progress reports, financial statements, publications and other documents to the Simons Foundation during the award period, and must use such tools for submitting their reports. Do not submit hard copies. 3. Fellowship activation The following materials must be submitted on or before the start date of your fellowship unless stated otherwise in your award letter.via proposalcentral at https://proposalcentral.altum.com/, where applicable. Payments will be withheld until all deliverables are received. Fellowships may not activate without current human participant and/or animal research ethical approval documentation, unless given prior approval by Simons Foundation staff. Signed Fellowship Activation and Agreement Form, which can be found online at https://www.simonsfoundation.org/funding/policies-and-forms/simons-collaborationon-the-global-brain-policies-and-procedures or at https://proposalcentral.altum.com/ in the Deliverables section. The form must be submitted via https://proposalcentral.altum.com/ o The Fellowship Activation Forms are due on or before the start date of the fellowship unless stated otherwise in your award letter. A color photograph of the fellow suitable for use for publicity purposes (uploaded separately at https://proposalcentral.altum.com/) If the fellow does not submit the signed and completed Fellowship Activation and Agreement form within 30 days of the start date the fellowship will be terminated without activation. No funds will be paid towards the fellowship. 4. International awards The Simons Foundation requires a determination letter from the Internal Revenue Service (IRS) stating exemption under 501(c) (3) and furthermore, either a 509 (a) (1), (2) or (3) classification. If 2

an international institution does not have the aforementioned documentation the Simons Foundation will require the institution to complete an equivalency determination. The purpose of the equivalency determination is to conclude whether an organization is the equivalent of a U.S. public charity. The Simons Foundation contracts NGOsource, http://www.ngosource.org/, an independent U.S.- based service, to assist in the equivalency determination process. Once an institution is determined to be the equivalent of a U.S. public charity, the institution will be approved for funding for all awards made to the institution for a period of two years from the date of the fiscal year documents that the institution provided to NGOsource. Three months prior to the end of this period, an equivalency renewal process will be initiated by NGOsource to determine if the organization has remained the equivalent of a U.S. public charity. If an institution is already approved at the time of award activation, the institution will not be required to complete the equivalency determination paperwork; however, the institution may be required to submit equivalency determination paperwork mid-award if the approved period expires. An institution s failure to comply with the equivalency determination process will result in a termination of all awards at the institution. Furthermore, a mid-award determination that an institution is not the equivalent of a U.S. public charity will also result in the termination of all awards at the institution 5. Fellowship support Annual stipends will be up to $60,000 USD for the first year with a cost of living increase in subsequent years, increasing the stipend to up to $63,000 USD for the second year and up to $66,150 USD for the third year. In addition to the stipend, awards will include up to $15,000 USD allowance annually for health insurance, small equipment (up to $5,000 USD), supplies, publications, and travel. No indirect costs may be taken. Fellowships will be administered by the host institution. 6. Travel Travel expenses, unless specifically approved or stated otherwise in the award letter, are limited to $2,000 per year to attend scientific meetings directly relevant to the Simons Foundation fellowship. All travel and accommodation expenses exclusively related to Simons Foundation-organized conferences, workshops and symposia will be reimbursed outside of the award funds. 7. Organizational assurances Fellows and their institutions must abide by all applicable laws and regulations, including those governing the conduct of research on humans or animals. The Simons Foundation follows the NIH guidelines for the humane care and use of animals, which can be viewed at http://grants.nih.gov/grants/olaw/olaw.htm, in research and for the use of humans, which can be viewed at http://grants.nih.gov/grants/policy/hs/, in research. All fellowships with human participants and/or animal research must have up-to-date ethical approval documentation as of the start date of the fellowship and at all times throughout the life of the fellowship. It is the fellow and institution s responsibility to manage all human and/or animal ethical approvals. 3

Fellowships may not activate without current human participant and/or animal research ethical approval documentation, unless given prior approval by Simons Foundation staff. 8. Required fellowship reports The Simons Foundation requires periodic Progress Reports and Financial Statements, as specified in the award letter. If any report shows progress to be substantially less than anticipated, the foundation reserves the right to reconsider or redirect the remaining portion of the fellowship. 8.1 Renewal and Final Progress Reports Renewal and Final Progress Reports are due 60 days following the end of each funding year. All forms can be downloaded online at https://www.simonsfoundation.org/funding/policies-andforms/simons-collaboration-on-the-global-brain-policies-and-procedures or at https://proposalcentral.altum.com/ in the Deliverables section, and must be submitted as a PDF at https://proposalcentral.altum.com/. Hard copies will not be accepted. 8.2 Annual and Final Financial Statements Financial Statements for all fellowships are due 60 days following the end of each funding year, 60 days following the end date of the fellowship, or within 60 days of the termination of a fellowship, unless specified differently in the award letter. Please complete the Financial Statement Form, which can be downloaded at https://www.simonsfoundation.org/funding/policies-and-forms/simons-collaboration-on-the-globalbrain-policies-and-procedures or at https://proposalcentral.altum.com/. The same form is used for both Annual and Final Financial Statements. 8.3 Unexpended balance Any unexpended research allowance funds may be carried over to the next funding year. At the end of the fellowship any unspent research allowance funds must be returned to the foundation within 60 days. 8.4 Publications and acknowledgement Publication expenses are an allowable budget cost. Publications resulting from fellowships supported by the Simons Foundation must carry the following acknowledgement: This work was supported by a fellowship from the Simons Foundation (Award Number, Fellow Initials). From time to time, the Simons Foundation may distribute information for publicity purposes on our website, in press releases or other venues. The Simons Foundation s support should also be acknowledged by the fellow and by the institution in all public communication of work resulting from this fellowship, including scientific abstracts, posters at scientific meetings, press releases or other media communications, and Internet-based communications. There is no formal approval process for publications by Simons Foundation fellows; however, it is helpful if fellows notify the foundation when manuscripts are accepted for future publication. All publications resulting from projects supported by the Simons Foundation must be submitted online at https://proposalcentral.altum.com/ with the Renewal and Final Progress Reports. 8.5 Other reports or engagements The Simons Foundation, with reasonable notice to the fellow and accommodating the fellow s scheduling conflicts, may require additional reporting, or require the fellow to participate in site 4

visits, telephone conferences, presentations or other speaking engagements. 8.6 Timely submission of reports Failure to provide timely and complete reports may result in suspension of the fellowship, withholding of payments, early termination of the fellowship, and/or reimbursement to the foundation of any unexpended funds. 9. Payments 9.1 Payment schedule Annual payments will be made by the end of the first quarter as per your award start date. Payments are made via Automated Clearing House (ACH) transfer or check and are made payable only to an institution, university or equivalent organizational entity. Checks will only be sent directly to the legally designated financial administrator. Under no circumstances will the Simons Foundation make payments payable to an individual. Acknowledgement of the payment is not required. All payments are made in U.S. dollars. 9.2 Electronic payments The Simons Foundation makes payments via an Electronic Fund Transfer unless otherwise specified. All payments will be transmitted through ACH transfer to a grantee institution s account at its financial institution. The grantee institution will be responsible for providing the Simons Foundation with accurate and complete ACH information. The grantee institution will receive a hard copy check in the event an ACH transfer is not available. 9.3 Indirect costs No indirect costs may be taken on SCGB Fellowships. 9.4 Out-of-scope expenditures Unless noted in the award letter or without prior approval the Simons Foundation will not be responsible for any expenditure made prior to the effective start date of the fellowship. The foundation is also not be responsible for unallowable expenditures as noted in the Request for Application (RFA), expenditures that are inconsistent with the approved research plan, or expenditures that exceed the total funded amount of the grant or fellowship unless specifically noted in the funding or award letter or with prior approval granted by the foundation. 9.5 Withholding of payments Payments will be delayed if a fellow has not provided Financial Statements or Scientific Progress Reports by the due dates. The Simons Foundation reserves the right to suspend payment if the change in key personnel is deemed unacceptable. Additionally, changing the research plan without prior written approval may result in the withholding of funds. Payments may be suspended or terminated if the fellow s Renewal Scientific Progress Report or Annual Financial Statement indicates limited progress toward goals. Payments will be resumed upon written approval by foundation staff. This approval will be based on stated plans and discussion with the investigator and must include a new timeline and ending date for reporting research progress. 10. Changes in fellowship status 10.1 Change in research plan Any changes in research design and/or specific aims require a formal written request and prior written approval before implementation. All requests must be made via a PDF upload to the Deliverables section at https://proposalcentral.altum.com/. Minor adjustments in approach do not require written approval; however, they should be communicated to the scientific staff and further 5

documented in the Scientific Progress Report. Changing your research plan without prior written approval may result in suspension of payments, early termination of the fellowship, and/or reimbursement to the foundation of any expended or unexpended funds. 10.2 Change of institution With approval Simons Foundation fellows may transfer their fellowship to a new institution, provided that both the old and new institutions agree to the change of institution. Fellows may transfer to domestic and foreign nonprofit organizations and public and private institutions, such as colleges or universities. The award cannot be transferred to for-profit organizations. The following documentation is required for a change of fellow institution. 10.2a Required from the original institution: A letter signed by the institution s signing official stating the reason for departure, plans for continuation of the project, confirmation that the transfer will not alter the project s plans, and an effective date of transfer. The letter must be submitted as a PDF to the Deliverables section at https://proposalcentral.altum.com/. A Financial Statement A check for any unexpended funds sent to the Simons Foundation (within 30 days of transfer date). 10.2b Required from the new institution: A letter signed by the institution s signing official confirming the fellows appointment at the new institution. The letter must indicate support of the new institution for the project, the Fellow s start date, and the updated contact information for the Fellow, signing official, and financial officer. The letter must be submitted as a PDF to the Deliverables section at https://proposalcentral.altum.com/. A signed letter of support from the new mentor A budget for the remainder of the funds. 10.2c Change of institution approval Once the Simons Foundation has received, reviewed and approved the change of institution documentation from both institutions, the foundation will send a new Fellowship Activation and Agreement Form to be signed by the new institution s signing official. Upon receipt of this form unexpended funds received from the original institution will be made payable to the new institution. 10.3 Reallocation of funds Only funds within the research allowance may be reallocated. Prior approval is not required. 10.4 Carry Forward Only funds from the research allowance may be carried forward. 10.5 No-Cost Extension A No-Cost Extension may not be requested for fellowships. 10.6 Termination Either party may terminate this agreement upon (30) days advance written notice to the other party. In the event of such termination, the Grantee may not incur new obligations after the effective date of termination or suspension and must cancel as many outstanding obligations as possible. The Simons Foundation will allow full credit to the grantee for the foundation s share of otherwise approved and allowable costs if the obligations were properly incurred by the grantee before suspension or termination and not in anticipation of it and, in the case of termination, are not cancelable. Typically, the Simons Foundation will allow the grantee to take corrective measures should the possibility of termination arise from financial, ethical, administrative or programmatic 6

insufficiencies. In such cases, the award will be suspended until corrective actions are taken as outlined by the foundation. Additionally, the Simons Foundation may initiate programmatic termination if project milestones are not achieved. The Simons Foundation staff will make this determination, based on the required progress reports and/or additional programmatic information submitted to the foundation. All early terminations require within 60 days after the effective date of termination the submission of a Final Progress Report, a Final Financial Statement and a check for any unexpended funds after withholding any costs that are not cancelable. 11. Closeout To closeout your Simons Foundation fellowship you must submit the following within 60 days of the end date unless stated otherwise in your funding or award letter: Final Scientific Progress Report, via proposalcentral Final Financial Statement, via proposalcentral Unexpended funds, via check made payable to The Simons Foundation mailed to the Grants Manager s attention Upon receipt of all deliverables the Simons Foundation will email via proposalcentral the fellow and institution to notify them that the fellowship is closed out. 12. Intellectual property The Simons Foundation has no wish to participate in the commercialization of any intellectual property that may result from a fellowship. Notwithstanding this commercialization disclaimer, the foundation has the right to release a summary of findings of the research within a reasonable period of time, certainly within six (6) months of the date of the fellowship expiration. 12.1 Final Invention Statement A Final Invention Statement is part of the Final Progress Report and must be submitted within 60 days of the award end date. The Final Progress Report can be downloaded online at https://www.simonsfoundation.org/funding/policies-and-forms/simons-collaboration-on-the-globalbrain-policies-and-procedures or at https://proposalcentral.altum.com/ in the Deliverables section. The Final Progress Report must include the Final Invention Statement and must be submitted as a PDF to the Deliverables section at https://proposalcentral.altum.com/. In the Final Invention Statement, list all inventions that were conceived or first actually reduced to practice during the course of work under the project or state None when applicable. The fellow must submit this report whether or not the funded fellowship results in any subject inventions, and whether or not inventions were previously reported. 13. Renewable reagents and data sharing It is essential that Simons Foundation fellows share renewable reagents and data developed with Simons Foundation funds with other qualified investigators. Fellows will be required to have a renewable reagents and data-sharing plan in place prior to receiving fellowship. At the foundation s discretion, the fellow may be required to provide the foundation with an electronic copy of all research-generated data prior to the end of the grant. In all reasonable cases, the foundation will assume financial responsibility for costs associated with the data transfer. Foundation personnel may, at their discretion, release these data to other qualified investigators who agree not to publish on these data until after an embargo period expires. The length of this 7

embargo period will be established on a case-by-case basis in consultation with the fellow, but will generally not exceed one year after the end of the fellowship or until publication, whichever comes first. These data may eventually be integrated with the other foundation data collections. How, when and if such data are made available to the wider research community will remain under the sole discretion of the foundation. In addition, upon publication of results, the fellow shall make every effort to deposit all research-generated data into public databases that are widely accessible, without charge, to the scientific research community. If no such databases are available that properly fit the type and content of the research-generated data, the fellow shall make every effort to make these data available through electronic supplementary tables and figures, which are now routinely associated with publications. Genetically modified model organisms (e.g., transgenic mice) are considered renewable reagents, and at the foundation s discretion the fellow may be required to share model organisms developed with Simons Foundation funding. This may include deposition of model organisms at a third-party repository (e.g., The Jackson Laboratory) prior to the end of the fellowship. The length of an embargo period for access to these models will be negotiated on a case-by-case basis in consultation with the fellow, but will generally expire when the fellow publishes results on the model organism(s). In all reasonable cases, the foundation will assume financial responsibility for the transfer of model organisms to a third-party repository and/or husbandry costs associated with backcrossing breeding schemes. 14. Participation Because interaction among scientists working at different levels can facilitate the evolution of questions, theories and methodologies, the Simons Foundation will foster communication among research groups by hosting small workshops, teleconference lab meetings and using online tools for data sharing and discussion. Simons fellows are expected to share data, results, reagents and other research products developed with Simons Foundation funds. We welcome suggestions for ways to improve communication within the scientific community at large. We expect that Simons fellows will participate in some of the conferences, workshops and symposia that the foundation organizes. All travel and accommodation expenses exclusively related to these meetings will be reimbursed outside of the award funds. 15. Auditing The Simons Foundation has the right to request and receive from the fellow institution and/or PI or fellow copies of any and all documents and other information related to the grant or fellowship at any time during or after the term of the grant or fellowship for up to three years from the date that both the financial statement and final progress report are submitted to the foundation unless specified otherwise in the grant or fellowship agreement. As a condition of accepting the award the fellow s institution agrees to maintain books and records documenting the expenditure of the Simons Foundation grant funds in accordance with customary accounting procedures. The Simons Foundation reserves the right to review all financial books and records of the fellow institution and fellow related to the fellowship and to perform an audit or other accounting procedures of all expenses related directly or indirectly to the fellowship. The foundation also has the right to request and receive from the grantee or fellow institution and or fellow, or review during a site visit, copies of all research records related to the fellowship at any time during or after the term of the fellowship for up to three years from the date that both the financial statement and final progress report are submitted to the foundation unless specified otherwise in the fellowship agreement. Research records are materials that document the research effort for laboratory research, animal research and clinical trial research. These may be electronic or hard copy such as various forms of logs, notebooks, correspondence, libraries, videos, computer databases or records, audio or digital records, or even the actual products of experiments such as gels. In addition to maintaining accurate and complete research records for 8

data analysis, all records relating to the conduct of the project are important including those that document the management of the research funds and the intellectual property. Although not an inclusive list, research records typically include: Laboratory research: lab notes, notebooks, computer databases, microscopic slides, gels, images, photos, videos, laboratory equipment printouts, and records of statistical and other data analysis. Animal research: protocol binders which include Institutional Animal Care and Use Committee (IACUC)-approved protocols with all approved modifications, animal health records, surgical or treatment records, breeding records, drug records and research data files. Clinical trials: regulatory binders which include Committee on Human Research (CHR) approvals, protocols, informed consent documents, monitoring reports, adverse event reports, and other documents pertaining to sponsors, drugs and devices. Other clinical records can include records for research data, data analysis, audio and video tapes of subjects, images of subjects and any other type of record that can identify persons from whom those data were collected. Funding: records and correspondence relating to the grant or fellowship financial records, purchasing records, scope of work, budgets and service records. All correspondence with granting agencies, institutions and collaborators. Site visits and evaluations may occur for any Simons Foundation grant. Fellows will be notified in advance of an upcoming on-site evaluation. Payments for subsequent funding periods may be tied to the evaluation results. 16. Contact Pre and Post-award questions: lifegrants@simonsfoundation.org Please reference the PI s name, the title of the grant and the proposalcentral application number in all pre-award correspondence with the Simons Foundation. If you have any questions regarding the use of proposalcentral, please contact Customer Support: Phone: (800) 875-2562 Email: pcsupport@altum.com 9