Policies and Procedures

The Foundation’s mission is to advance the frontiers of research in mathematics and the basic sciences.

The Foundation is committed to advancing basic science and mathematics to benefit humankind and expand our collective understanding of our world. As part of our mission, we support partners, programs and initiatives that seek to broaden the scientific community and open pathways to science and mathematics careers.

Applicants and grantees consent to the collection and processing of personal information by the Foundation and its affiliates. For more information, please refer to the SF Privacy Policy.

When an award is made by SFI, applicants and grantees consent to the collection and processing of personal information by SFI, and to the transfer of personal information between SFI and SF for grant administration purposes. For more information, please refer to the SFI Privacy Policy.

The Foundation is committed to the conduct of science in an environment that conforms to the highest ethical, professional and legal standards.

Accordingly, grantee institutions must maintain an environment that complies with law, professional codes of conduct and its own policies and procedures, as well as those of the Foundation.

All grantee institutions are expected to implement and adhere to policies and procedures that:

1. foster an environment free of discrimination, harassment and retaliation;
2. actively promote professional codes of conduct;
3. ensure that employees understand, and are fully aware of, applicable laws, policies and codes of conduct;
4. provide an accessible and effective process to report Prohibited Conduct (as defined below), with protection from retaliation;
5. respond promptly to reports of Prohibited Conduct and investigate those reports thoroughly;
6. support the highest ethical standards in the conduct of research, strictly prohibiting any Research Misconduct (as defined below).

All Personnel (as defined below) must comply with this Grantee Code of Conduct.

Notifications

The Foundation requires grantee institutions to provide notice, within ten (10) business days, of any Determination (as defined below) relating to Prohibited Conduct involving Personnel, unless prohibited by law:

The notice should be submitted through the Foundation’s secure portal.

The Foundation will maintain the confidentiality of any reported Determination, as well as all related information, to the extent required by law.

Individuals should report any Prohibited Conduct that impacts a grant funded by SF or SFI to the designated persons at their institution. If the institution does not address the report, the individual may contact the Foundation through its secure portal, in which case, the Foundation may follow up with the institution, as appropriate, to confirm that the grant is being performed in a manner consistent with this Grantee Code of Conduct.

Review of Grant Status Following Notification

The Foundation will review the Determination, consider the impact on performance of the grant, and determine whether it is appropriate for the grantee institution to proceed with the grant.

The Foundation reserves the right to suspend or terminate any grant at any time.

Definitions

For purposes of this Grantee Code of Conduct, the following definitions apply:

Determination: The disposition of a matter involving Prohibited Conduct resulting in disciplinary or corrective action, including termination or suspension (including suspension as an interim resolution pending final disposition), taken with respect to Personnel.

Personnel: Principal Investigators and all other members of the research team working on a grant funded by the Foundation.

Prohibited Conduct: Any violation of applicable federal, state and local antidiscrimination, anti-harassment and anti-retaliation laws; of criminal laws, including those with respect to physical assault; of institutional policies and procedures relating to antidiscrimination, anti-harassment, anti-retaliation and Research Misconduct, including this Grant Code of Conduct; and of professional codes of conduct.

Research Misconduct: Fabrication or falsification of research data or findings, and plagiarism. Research Misconduct does not include honest errors, differences of opinion or disputes about authorship.

Principal Investigators, postdoctoral fellows, Authorized Institution Officials, Signing Officials, Financial Officers and contact delegates, as well as any additional staff members as needed, will be granted access to and must use the web-based tools proposalCENTRAL (pC) and/or Simons Award Manager (SAM) for submitting electronically signed award letters, Progress Reports, Financial Statements and other documents to the Foundation during the award period. The applicant/grantee institution must submit all required documentation to the Foundation through pC and/or SAM; hard copies will not be accepted.

All pC records will be migrated to our new grants management system, SAM. Principal Investigators and their institution administrators will be contacted ninety (90) days before their records are imported. For more information about SAM, please refer to the SAM FAQ page.

To access SAM, go to https://sam.simonsfoundation.org/.

To access pC, go to http://proposalcentral.com/.

Each institution that applies for funding or receives an award must maintain an Institution Profile in the Simons Award Manager (SAM).

Within the Institution Profile, institutions must provide a comprehensive list of all active Authorized Institution Officials (AIOs), contact delegates, Signing Officials (SOs) and Financial Officers (FOs). Additionally, all institutions must manage their banking details using the Institution Profile. Institutions are able to access a full list of their applications and funded awards, via the Institution Profile.

Anyone from the institution can set up an account in SAM, but only an AIO or an approved contact delegate can manage the Institution Profile. Only an AIO can approve users in the roles of FO, SO and contacts delegate. Each institution must have at least two certified AIOs to receive payments. The Foundation certifies new AIO users after they register. It is the institution’s responsibility to maintain an up-to-date list of active contacts in their SAM Institution Profile.

Each award in the Simons Award Manager (SAM) includes a list of institution contacts in the Contacts & Personnel section. This list is created during the application stage. It is strongly recommended that applicants provide both pre- and post-award Signing Officials (SOs) and Financial Officers (FOs) during the application stage.

Once an award is activated, users with application access can add or remove institution personnel from the award at any time using the Institution Administrative Contacts table in the Contacts & Personnel section.

To add or remove project personnel from an award, navigate to the Contacts & Personnel section within the record and click the Add/Modify button in the appropriate section — either Institution Administrative Contacts or Project Personnel.

The Foundation manages contacts and user access for awards managed in proposalCENTRAL. To make any changes, email: [email protected] with your request.

User Profile Modification

Foundation grants administration staff are unable to modify user profiles. If a user needs to update their contact information (such as their title, address, phone number or email address), they must do so within their user profile. It is the responsibility of both the institution and its users to ensure that their SAM accounts are kept up-to-date on all information, including email addresses.

Shared User Accounts

If an institution allows multiple SOs and FOs to access and manage awards using a shared user account and email address, the Authorized Institution Official (AIO) or Contacts Delegate must certify the authority of all users who use the shared account. Instructions on how to certify users can be found in the Institution Information section of the Institution Profile in the Shared Email Address section.

Only institution administrators, FOs and/or SOs can register a shared email address. The role(s) selected when creating the shared account will determine which tasks users are authorized to perform when logged in to that account. Shared email addresses may not be registered with an AIO or contact delegate role.

When a shared email account is registered, the following user account naming convention is required: The first name of the user account must be the name of the institution (plus the relevant department, if applicable) and the last name must be “Shared Account.” For example: ‘Simons Foundation (first name) Shared Account (last name)’.

The grantee institution agrees to consent to transact business using electronic communications, to receive notices and disclosures electronically, and to utilize electronic signatures (e-signatures) in lieu of using paper documents.

Documents signed electronically and transmitted by facsimile, email or other means of electronic transmission shall be deemed to have the same legal effect as delivery of an original executed copy of the document, for all purposes. If the grantee institution is located in a jurisdiction where e-signatures are not legally binding, then the Foundation will accept a PDF of the signed document.

For grants outside the United States (U.S.), the Foundation generally requires that an organization be the equivalent of a U.S. public charity before awarding the grant. If an organization has a determination letter from the Internal Revenue Service (IRS) of the U.S. stating exemption under 501(c)(3), and either a 509(a)(1), (2) or (3) classification, this letter must be included in the grant application. If a non-U.S. institution does not have the aforementioned documentation, the Foundation will require that the institution complete an equivalency determination if an award is recommended for funding. All costs associated with the determination will be paid for by the Foundation.

The purpose of the equivalency determination is to conclude whether an organization is the equivalent of a U.S. public charity. The Foundation contracts with NGOsource, http://www.ngosource.org/, an independent U.S.-based service, to assist in the equivalency determination process. NGOsource handles all administrative and financial aspects of this determination. A representative of the institution will be required to complete an online questionnaire. 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 (2) years from the date of the fiscal year documents that the institution has provided to NGOsource. Three (3) months prior to the end of this period, an equivalency renewal process will be initiated by NGOsource to determine if the institution has remained the equivalent of a U.S. public charity.

If an institution is already approved by NGOsource as an equivalent of a U.S. public charity for a period beyond the award start date, the institution will not be required to complete the equivalency determination paperwork; however, the institution may be required to submit equivalency determination paperwork midaward 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 midaward determination that an institution is not the equivalent of a U.S. public charity may also result in the termination of all awards at the institution if the institution is not able to fulfill the requirements of expenditure responsibility outlined below.

Grantees are solely responsible for the eligibility of any subcontracts.

For more information regarding the IRS classification of exempt organizations, please see the IRS website: https://www.irs.gov/charities-non-profits/charitable-organizations/life-cycle-of-a-public-charity.

Grant funds and income earned on those funds (if the Foundation permits earned interest to be retained by the grantee institution) may be spent only for charitable, religious, scientific, literary or educational purposes. Grants are made only for the purposes stated in the award letter, and it is agreed that these grant funds will be used only for such purposes, substantially in accordance with the budget submitted with the grant proposal. No substantial changes to the approved budget or grant proposal may be made without the Foundation’s prior approval in writing.

Grantees with subcontracts are responsible for entering into agreements with the investigators and/or other institutions that are consistent with the terms of the grant and Foundation policies.

To ensure appropriate use of its funds, the Foundation tracks the requirements for an expenditure responsibility grant in accordance with Section 4945(h) of the U.S. Internal Revenue Code (IRC) and the regulations thereunder. Grantees agree to cooperate with the Foundation to ensure that the Foundation is able to satisfy such requirements. In addition, grantees agree to the terms outlined below:

• All Foundation grant funds received by the grantee institution must be maintained in a separate account dedicated to the charitable purposes described in the award letter. The Foundation defines a separate account as 1) a physically separate bank account restricted to the described charitable purposes, or 2) a separate bookkeeping account (limited to the described charitable purposes) maintained as part of the institution’s financial records.
• Grantees are required to maintain records of receipts and expenditures and make their books and records available to the Foundation upon request. Financial records with respect to a grant, along with any copies of annual reports submitted to the Foundation, are required to be maintained by the Principal Investigator and their institution for at least four (4) years following the year in which all grant funds are fully expended.
• Grantees will repay any portion of the amount granted that is not used for the purposes of the grant.
• Grantees agree not to use grant funds for any of the following restricted activities:
  • To carry on propaganda, lobbying or otherwise to attempt to influence any legislation (within the meaning of Section 4945(d)(1) of the U.S. IRC).
  • In support of a candidate or party seeking elected office, or to influence the outcome of any specific public election, or to carry on, directly or indirectly, any voter registration drive (within the meaning of section 4945(d)(2) of the U.S. IRC).
  • To make grants to individuals for travel, study or other similar purposes by such individuals (such as scholarships, fellowships or grants for research), unless such grants satisfy the requirements of section 4945(g) of the IRC.
  • To make any grant to any other organization (other than to public charities or exempt operating foundations) that does not comply with the requirements of section 4945(d)(4) of the U.S. IRC.
  • To undertake any activity for any purpose other than the charitable purposes specified in section 170(c)(2)(B) of the U.S. IRC.

Grantees must use grant funds provided in compliance with all applicable U.S. laws and regulations, including the Export Administration Regulations, Executive Order 13224, the Global Terrorism Sanctions Regulations set forth in 31 C.F.R. Part 594 and other applicable U.S. anti-terrorism laws and regulations. Grantee certifies that it will not knowingly provide financial support to, employ or transact business with terrorists, terrorist organizations or designated state sponsors of terrorism, as defined in U.S. anti-terrorism laws and regulations. Grantee certifies that it will not knowingly distribute the received award funds directly or indirectly to terrorist organizations or to designated state sponsors of terrorism as defined in U.S. anti-terrorism laws and regulations.

If the grantee institution is a 501(c)(3), earned interest up to $5,000 per project may be kept by the grantee institution to be used for general operating support of the institution. Any amount over $5,000 must be returned to the Foundation within sixty (60) days of the end date of the grant.

If the grantee institution is not a 501(c)(3), any earned interest must be returned to the Foundation within sixty (60) days of the end date of the grant.

Non-U.S. taxes charged for purchasing goods or services that a grantee institution is legally required to pay in a non-U.S. country is an allowable expense. If the costs are credited back to the grantee institution, unless stated otherwise in the award letter the refund may be used toward the original aims of the grant; if the award is closed and complete, the credit may be used for research purposes. Credits should not be reported on the Financial Statement.

These costs are unallowable for countries where an exemption of this tax for research exists.

Investigators and their institutions must abide by all applicable laws and regulations as may be in effect from time to time, including those governing the conduct of research on humans or animals. The Foundation requires grantee institutions to have policies and procedures that protect the welfare of human research participants and animal research subjects. Institutions are required to follow the Animal Welfare Act (https://www.nal.usda.gov/animal-health-and-welfare/animal-welfare-act) and NIH guidelines for the humane care and use of animals in research (http://grants.nih.gov/grants/olaw/olaw.htm), as applicable, and regulations governing the involvement in and protection of human participants in research (https://grants.nih.gov/policy-and-compliance/policy-topics/human-subjects). Non-U.S. institutions must follow equivalent regulations governing both the protection of human research participants and the welfare of animal research subjects.

Investigators are responsible for obtaining all human research and/or animal use ethical approvals to conduct research under the grant, in accordance with their institution’s relevant policies and procedures. All institutions holding grants that fund human participant research and/or animal research must have up-to-date assurances from the relevant federal, state and/or local agencies as of the start date of the grant and at all times throughout the life of the grant. The institution must contact the Foundation if at any time during the life of the grant any assurances are expired or revoked, or if the investigator’s ethical approval for the conduct of human and/or animal research is suspended or terminated prior to the end of the grant. The institution may not accept funds from the Foundation for research on humans or animals unless the institution has all required and valid assurances.

Grants may not activate without current human participant and/or animal research ethical approvals without prior written approval of the Foundation.

Publication expenses, including Open Access costs, are an allowable budget cost. Publications must be in machine-readable formats.

All published research, including articles, preprints and books, as well as activities (as defined below) and public communications resulting from projects supported by the Simons Foundation, must carry the following acknowledgment:
 

For projects supported by Simons Foundation International, the following acknowledgment must be used instead:
 

Activities include, but are not limited to, posters, presentations, conferences and recruitment for supported positions. Public communications include, but are not limited to, scientific abstracts, posters at scientific meetings, press releases or other media communications and Internet-based communications.

All investigators who receive funds from the Simons Foundation Autism Research Initiative (SFARI), or who have used SFARI resources, biospecimens or data must follow these guidelines when publishing work.

Unless stated otherwise in your award letter, press releases or other media communications and Internet-based communications do not require prior written approval. Any descriptions of the Simons Foundation and/or Simons Foundation International or its work in outgoing publicity should be approved by the Simons Foundation communications office. Prior written approval is required for any advertisement or marketing publications. Please contact the Simons Foundation communications office at [email protected] to submit requests for approval.

Any Science, Society & Culture (SSC) announcement or acknowledgment must be approved by SSC staff. Please contact the SSC team at [email protected] to submit your request for approval.

The Simons Foundation and/or Simons Foundation International may distribute information regarding the project, including, without limitation, the project title, abstract, publications, PI biographical information and photo; and, for publicity purposes, on its website, in its annual report, in press releases or other venues, to the extent allowed by applicable law.

Use of the Simons Foundation and/or Simons Foundation International logos must be approved by the Simons Foundation communications office.  All logos are available in various formats here.

The Foundation requires PIs to post preprints on recognized servers, such as arXiv https://arxiv.org/, bioRxiv http://biorxiv.org/ or medRxiv http://medrxiv.org at the same time as (or even before) submission to a peer-reviewed journal. The Foundation also requires PIs to publish under Open Access licenses, which are allowable budget costs.

ORCID provides a persistent digital identifier (an ORCID iD) that researchers own and control, and a site (https://orcid.org/) that distinguishes them from every other researcher. Researchers can connect their ORCID iD with their professional information — affiliations, grants, publications, peer reviews and more.

Principal Investigators (PIs) are required to provide their ORCID iD as part of the application process.

Any research project personnel whose salary/stipend is supported by the project, unless stated otherwise in the award letter, must have an ORCID iD (including PIs, Co-Investigators, collaborators, postdoctoral fellows, postdoctoral research associates, graduate students, etc.). ORCID iDs will be collected as part of the annual Progress Report.

Neither SF nor SFI wishes to participate in the commercialization of any intellectual property that may result from a grant. The Foundation reserves the right to release a summary of findings of the applicable research or project within a reasonable period of time.

It is essential that grantee institutions and Principal Investigators (PIs) share data, renewable reagents, software and algorithms (collectively “Research Data and Materials”) with other investigators to enable other scientists both to reproduce and to extend research results. PIs are required to have a Research Data and Materials Sharing Plan (“Sharing Plan”) in place prior to receiving a grant.

At a minimum, a Sharing Plan must include:

• In any resultant publications, sufficient information about the methods, experimental procedures, materials and data such that other scientists will be able to perform the experiments described in the publications;
• A plan to make available to other scientists for research purposes Research Data and Materials that are integral to the research and not commercially or otherwise readily available. Such Research Data and Materials may be excluded from a Sharing Plan if:
  • The Research Data and Materials are able to be readily generated and used without restriction for research purposes from information provided in the publication, or;
  • The Research Data and Materials can be readily obtained from third parties on reasonable terms.
• A plan to make Research Data and Materials available at the end of the grant, though PIs may decide to share Research Data and Materials following a relevant publication prior to the end of the grant.
  • A PI may make a request to the Foundation for additional time prior to implementing a Sharing Plan following the end of a grant if a manuscript resulting from the funded research is being drafted or is under peer review. Approval of such requests will be made on a case-by-case basis and, if granted, will be for a limited duration.

Research Data and Materials are considered integral to the research if they are necessary to support the major claims of a publication or to reproduce and verify the research results.

• If data are integral to a publication, but too large to be included in the publication itself, the data should be made available by other means, such as depositing the data in a public repository appropriate to the specific type of dataset. Data deposited in public repositories should be readily accessible to academic and nonprofit researchers, and free of restrictions on the projects or field of research. If the data have been generated from human subjects, data sharing and access requirements must meet the terms and conditions of the research protocol and relevant consent forms.
  • If no such repositories are available that properly fit the type and content of the research-generated data, the PI(s) shall make every effort to make the data available through electronic supplementary tables and figures, which are now routinely associated with publications.
  • The Foundation may request that the PI provide the Foundation with an electronic copy of all properly de-identified 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. The Foundation may release these data to other qualified researchers and may integrate the data into other Foundation data collections.
• If a publication announces new software, the source code or an executable file should be made available. If a primary result is a new algorithm, a description of the source code should be provided.
• Genetically modified model organisms (e.g., mutant mice, rats, drosophila, C. elegans, zebrafish, plants) as well as primary or genetically modified cells (e.g., bacteria, fibroblasts, induced pluripotent stem cells, lymphoblastoid cell lines) are considered renewable reagents, and PIs and their institutions are required to share renewable reagents developed with Foundation funding or used in a Foundation-funded project by deposition at a third-party repository (e.g., the Jackson Laboratory, the Mutant Mouse Resource and Research Center, the Drosophila Genomics Resource Center, the Zebrafish International Resource Center, the Arabidopsis Biological Resource Center, the Nottingham Arabidopsis Stock Centre) or at a repository indicated by the Foundation. In instances where a legally binding restriction prevents deposition of a reagent in a third-party repository, the Foundation expects the PI(s) and the PI(s) institution(s) to work with the licensed grantor, the repository and Foundation staff members to identify an acceptable solution. The Foundation prefers that this be done before use of the reagent. Failure to reach a mutually satisfactory solution may affect future funding decisions.
  • At the end of the grant, the PI(s) must deposit the renewable reagents into the repository in accordance with their Sharing Plan. The institution is responsible for transferring the animals/cells to the appropriate center. Once the transfer has occurred, the Foundation will pay costs assessed by the third-party repository for maintenance of the reagent at the depository. In specific cases at the Foundation’s discretion, the Foundation may contract with the repository to pay the additional costs necessary to maintain the model organism as a viable colony versus preservation in a frozen repository or to backcross the model into a different strain, in the case of rodent models.

The Foundation salary support guidelines are outlined below.

Faculty

There is no salary cap for Principal Investigators (PIs) or other faculty; however, the compensation is prorated according to the individual’s percent effort on the grant.

There is no minimum percent effort required for PIs or other personnel on any Foundation award type, but it is expected that PIs will join the collaborative community of investigators and partake in certain conferences, workshops and symposia organized by the Foundation.

Postdoctoral Research Associate/Scholar/Scientist or Equivalent Employee Position

The postdoctoral research associate or equivalent employee must be an employee, with benefits, of the grantee institution. There is no salary cap for a postdoctoral research associate or equivalent employee position.

Graduate Research Assistant or Equivalent

There is no cap on the compensation package for a Graduate Research Assistant (GRA); however, the compensation package is prorated according to the GRA’s percent effort on the grant. It is expected that graduate student compensation will be within the usual norms of the relevant department or program.

The compensation package may include salary, stipend or wages; health-care allowance or fringe benefits; and tuition remission. Indirect costs may be taken on GRA salaries, stipends or wages and health-care allowances, but not on tuition.

Postdoctoral Fellow

Fellowships are administered by the host institution, and payment cannot be made directly to fellows.

Unless stated otherwise in the postdoctoral fellow’s Request for Application (RFA) or award letter, a postdoctoral fellow is not treated as an employee of the grantee/sponsoring institution.

Fellows’ stipend amounts are outlined in their award letters. In addition to the stipend, fellowships will include a research allowance and an allowance for health insurance or equivalent for the fellow and the fellow’s family in the country where the fellow’s institution is located. Approved research allowance and allowance for health insurance amounts are outlined in the fellow’s award letter. No indirect costs may be taken on fellows’ stipends, research allowances or health insurance allowances.

If the fellow is required to be an employee, with benefits, of the grantee/sponsoring institution per the terms of the RFA and/or award letter, the fellow’s salary will be outlined in their award letter. If the fellow is required to be an employee, per the terms of the RFA and/or award letter, indirect costs may be taken per the terms of the Indirect Costs section of this Policy.

The stipend or salary may be supplemented by the postdoctoral fellow’s sponsoring institution or sponsor to meet the institution’s stipend or salary levels, but the fellowship must be the main source of support. The postdoctoral fellow may not hold another postdoctoral fellowship concurrent with the fellowship. The stipend or salary may not be less than the stipend or salary awarded. Funds may not be used for fellowship stipend supplementation unless specifically authorized by the Foundation.

All travel charged to an award must be reasonable, necessary and directly related to the award’s scope of work. All travel and accommodation expenses exclusively related to meetings organized by the Foundation must be reimbursed outside of the award funds.

The Foundation will own equipment purchased with grant funds with a unit cost of $50,000 or more, unless stated differently in the award letter. At the end of the grant funding period or in case of grant termination for any reason, the Foundation reserves the right to retain ownership or cede ownership to the PI’s institution. Equipment with a unit cost of $50,000 or less shall be the property of the PI’s institution, unless stated otherwise in the award letter.

Indirect costs may not be taken on equipment with a unit cost of more than $10,000.

The Foundation does not require a detailed justification of supplies, unless stated otherwise in the award letter.

The Foundation reserves the right to purchase and provide to grantees some research supplies (e.g., human DNA microarray kits). Approved investigators may also access data and request biospecimens collected from a number of cohorts through the Simons Foundation Autism Research Initiative (SFARI). These materials will be available to all approved scientists through SFARI Base at https://sfari.org/resources/sfari-base. The Foundation encourage applicants and grantees to use this resource. Policies regarding acquisition of SFARI biospecimens are available online at SFARI Base at https://sfari.org/rescources/sfari-base.

Indirect costs to the primary institution are limited to 20 percent of direct costs, with the following exceptions: equipment with a unit cost over $10,000, tuition and any portion of each subcontractor cost in excess of $25,000. The primary institution may take indirect costs on the first $25,000 modified total direct costs of each subcontract. Indirect costs paid to a subcontractor may not exceed 20 percent of the modified total direct costs paid to the subcontractor.

The indirect cost rate is nonnegotiable. No indirect costs may be taken on SF- or SFI-funded postdoctoral fellowships unless stated otherwise in the Request for Application (RFA) or in the award letter.

All payments are made in U.S. dollars. Payments to institutions will be disbursed biannually by the end of the first and third quarters, unless otherwise stated in the award letter. Payments are made via electronic fund transfer (EFT), unless otherwise specified. All payments to U.S. institutions are made via Automated Clearing House (ACH) transfer. All non-U.S. payments will be made via an international wire transfer (WT) unless the institution requests to be paid using a U.S. bank. All payments are made payable only to an institution, university or equivalent organizational entity. Under no circumstances will payments be made payable to an individual. The grantee institution will be responsible for providing accurate and complete EFT information. Payment is contingent on the receipt and approval of an electronically signed copy of the award letter and a completed EFT Form in SAM. Payment is also contingent on the annual certification of the institution’s EFT payment information.

Acknowledgment of the payment is not required. A payment reference on the EFT will state the numeric portion of the Foundation’s Record ID and the PI’s first initial and last name. No other reference will be made.

Grantees will not be reimbursed, nor may grant funds be used, for costs or losses of funds that are a result of exchange-rate fluctuations or bank fees associated with the transmission of funds via EFT.

Failure to provide timely and complete Financial Statements, Progress Reports or other required Deliverables may result in the withholding of payments, suspension of the grant, early termination of the grant and/or reimbursement of any unexpended funds.

If a grantee does not provide Financial Statements or Progress Reports by the due dates, payments will be withheld. After forty-two (42) days, the grant will be suspended. After seventy-two (72) days, the grant may be terminated.

In addition, payments may be withheld, the grant suspended or the grant terminated if the investigator’s Annual Progress Report or Annual Financial Statement indicates limited progress toward goals, as determined by the Foundation in its sole and absolute discretion. Payments may 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 for reporting research progress.

In addition, a grant may be suspended or terminated if a change in key personnel is deemed unacceptable by the Foundation. Additionally, changing the research plan without prior written approval from the Foundation will result in the termination of the grant and require reimbursement of all funds to the Foundation.

All early terminations require the submission of a Final Progress Report and a Final Financial Statement within thirty (30) days after the effective date of termination. Within thirty (30) days of the submission and approval of the Final Financial Statement, a refund for any unexpended funds, after withholding any costs that were not cancelable, will be issued.

Either party may terminate the grant upon thirty (30) days’ advance written notice to the other. If the institution wishes to terminate an award, a Termination Deliverable must be signed by the institution’s SO and submitted to the Deliverables section of the award.

In the event of a 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 grantee will receive full credit for the grantor’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.

Because interaction among scientists working at different levels can facilitate the evolution of questions, theories and methodologies, the Foundation will foster communication among research groups by hosting small workshops and teleconference lab meetings and by using online tools for data sharing and discussion. Investigators are expected to share data, results, reagents and other research products developed with grant funds. The Foundation welcomes suggestions for ways to improve communication within the scientific community at large.

Investigators are expected to participate in certain conferences, workshops and symposia organized by the Foundation. All travel and accommodation expenses exclusively related to these meetings will be reimbursed outside of the award funds.

To accept the award, an electronically signed copy of the award letter is due on or before the start date of the award in the Simons Award Manager (SAM).

The award will be terminated without activation if the grantee does not electronically sign the award letter within thirty (30) days of the due date stated on the award letter or start date of the award. No funds will be paid toward the award.

Grants will not be activated without current human participant and/or animal research ethical approval documentation, if applicable, without prior written approval of the Foundation.

EFT payment information must be submitted using an EFT form, which can be accessed and completed online in the Simons Award Manager (SAM) Institution Profile. The EFT form must be signed and submitted by the appropriate Authorized Institution Officials (AIOs). Annually, in SAM, two AIOs must confirm that the EFT payment information is accurate. Failure to submit the EFT form by the due date or to confirm the EFT payment information annually will result in the withholding of funds for all awards at the institution.

Annual Progress Reports are due on or before the end of each funding year of the award, unless a Carry Forward is requested, or as otherwise stated in the award letter. If required, a Carry Forward Request must be submitted thirty (30) days prior to the end of the funding year, unless stated differently in the award letter.

Note: For most awards, Carry Forward Requests are not required. Check the award letter or contact the Foundation to determine if an award requires a Carry Forward Request.

Final Progress Reports are due within one hundred and twenty (120) days of the award end date, or within thirty (30) days of the award’s effective date of termination or date of transfer, unless otherwise stated in the award letter. No-Cost Extension Progress Reports and No-Cost Extension Requests must be submitted thirty (30) days prior to the end of the funding year, unless otherwise stated in the award letter.

Progress Reports, Carry Forward Requests and No-Cost Extensions must be submitted online in the Deliverables section.

If any report shows substantially less progress than anticipated, the Foundation reserves the right to withhold further payment (See Withholding of payments, Suspension and Termination section, above) or to redirect the remaining portion of the grant.

If relevant to the progress of the award, the progress of the subcontract must be included on the grant’s overall Progress Report Form. A separate Progress Report Form for the subcontract should not be submitted, unless stated otherwise in the award letter.

In proposalCentral (pC), the Spokesperson PI/Collaboration Director must submit one overall Annual or Final Scientific Progress Report for the entire project, even if the project has PIs at different institutions, unless stated otherwise in the award letter.

In SAM, each PI in a collaboration must submit a Progress Report. The Spokesperson PI/Collaboration Director’s progress report contains questions related to the scientific progress of the award, whereas the Collaboration PI’s Progress Report contains administrative questions for award management. Each Collaboration PI’s report, as well as the Spokesperson PI’s report, requires sign-off by a Signing Official (SO) from that individual PI’s institution. All PIs (Spokesperson and Collaboration) can work on their Progress Reports and have their individual SO sign off concurrently. Once all reports have been signed by a SO, the Spokesperson PI can submit the Collaboration Deliverable package to the Foundation via their Progress Report.

Financial Statements are due within one hundred and twenty (120) days following the end of each funding year and one hundred and twenty (120) days following the end date of the grant, or within thirty (30) days of the award’s effective date of termination or date of transfer, unless stated otherwise in the award letter.

Expenses must be reported in the award period the expenses are incurred. The Foundation does not allow negative expenditures.

Financial Statements are due within one hundred and twenty (120) days following the end of the funding year, even if the grantee submitted a Carry Forward Request or No-Cost Extension Request.

All reporting to the Foundation must be denominated in USD. Using the institution’s normal practices for foreign currency exchange, expenses incurred in local currency should be reported back to the Foundation in USD and may not exceed the amount in USD awarded for any given annual award period. Any gains or losses due to exchange rate fluctuations will not result in increases or decreases to the total USD award amount. The Foundation will not reimburse for, nor may grant funds be used for costs or losses of funds that are a result of exchange rate fluctuations or bank fees associated with the transmission of funds via EFT to the institution or to subcontractors paid by the institution. Underspending due to expected costs not being incurred remains subject to the Foundation’s Carry Forward and Unspent Funds policies.

The Foundation will not accept revisions under $500 to Financial Statements that were previously submitted and approved by the Foundation. The Foundation will accept revisions over $500 within one year of the due date of the financial statement only while the grant is active. The Foundation will not accept any revisions of the financial statement once one year after the due date has passed or if the award is inactive and closed out.

Financial Statements can be accessed and completed online in the Deliverables section.

Grantees must submit a Subcontract Financial Statement via the Financial Statement Deliverable in SAM. Financial Statements must be submitted for each subcontract.

A separate Financial Statement must be completed online in the Deliverables section of the award for each institution that receives funds directly from the Foundation.

After review and approval of the Financial Statement, the Foundation will email the grantee institution to request any unspent funds. Unexpended funds must be returned to the Foundation within thirty (30) days of the request for unspent funds.

Do not remit payment for the unspent funds until the Foundation has approved the Financial Statement and requested the unspent funds. Otherwise, this may result in a return of an inaccurate amount. Questions about an unexpended balance should be sent to the Foundation at [email protected].

Alternatively, if allowed by the award type, funds may be carried forward to the next funding period or paid out during a No-Cost Extension; see Carry Forward and No-Cost Extension policies for additional terms and conditions.

Unless noted in the award letter, the Foundation will not be responsible for any expenditure made before funds are committed (i.e., the date the award letter is issued). Expenditures must be consistent with the approved budget. The Foundation is not responsible for unallowable expenditures as noted in the Request for Application, expenditures that are inconsistent with the approved grant proposal or research plan, or expenditures that exceed the total funded amount of the grant annually.

Funds may be reallocated without prior approval across budget categories within a funding year in a manner consistent with the approved budget and grant proposal or research plan, unless stated otherwise in the award letter. Funds may not be moved across budget categories if the result exceeds any maximum allowable cost set for a budget line item, such as salaries/wages or indirect costs. Reallocations may not exceed annual funding of the grant.

Unless stated otherwise in the award letter, if a balance remains at the end of a funding period for a multi-year grant, the Foundation will allow the grantee to carry forward the unspent funds into the following period to use within approved budget categories toward the approved aims of the grant.

Grants with $200,000 or more of unspent funds will have subsequent payment(s) withheld until the unspent balance is less than $100,000 and then reported to the foundation via the Funds Expended Deliverable. The Funds Expended Deliverable is not a Financial Statement; it is an attestation by the institution that the unspent balance is less than $100,000. The Deliverable must be signed and submitted by a Signing Official or Financial Officer.

Note: The total award amount will not be reduced.

As part of the Annual Progress Report, grantees must provide an estimate of the unspent funds that must include any funds previously carried forward, as well as indirect costs. If they can, grantees must also indicate the month the unspent balance will fall below $100,000.

If the grantee provides an estimated month by which unspent funds will be less than $100,000 in the Annual Progress Report, the Funds Expended Deliverable will be due by the first day of that month. If the unspent balance is less than $100,000 before the originally estimated month, the grantee may submit a Funds Expended Deliverable as soon as that happens. The next payment will then be released on or before the last day of the following month. If the Funds Expended Deliverable is submitted by the first day of the month in which the unspent balance is less than $100,000, payments will be released by the last day of that month.

If the grantee is unable to estimate the month by which the unspent balance will be less than $100,000, a Funds Expended Deliverable will be due by the first day of the month of the grantee’s next scheduled payment. Please reference the award letter to determine the grant’s payment schedule.

If the grantee does not submit the Funds Expended Deliverable by the due date, payments will be withheld for an additional three months and not released before the end of the third month. The Funds Expended Deliverable must indicate that the remaining balance carried forward is less than $100,000, or it must specify a new date when the unspent balance carried forward is estimated to fall below $100,000.

Unless stated otherwise in the award letter, grantees are permitted a one-time extension, without additional funding, for a period of up to twelve (12) months. No prior approval is required. Funds during the No-Cost Extension must be used within approved budget categories toward the approved aims of the grant. A No-Cost Extension Progress Report is due thirty (30) days prior to the end date of the funding year.

In rare circumstances, requests for additional time beyond the established expiration date of the first extension may be approved. A formal request for a No-Cost Extension beyond the first extension is due thirty (30) days prior to the end date of the first extension. To request approval, manually add and complete the No-Cost Extension Request in the Deliverables section of the award.

If a No-Cost Extension is not requested, a Final Progress Report is due within one hundred and twenty (120) days of the award end date, unless stated differently in the award letter.

An approval notification will not be sent for the first automatically approved No-Cost Extension.

In pC, the spokesperson PI must submit one overall No-Cost Extension Request for the entire project, even if the PIs are at different institutions, unless specified otherwise in the award letter.

In SAM, each PI in a collaboration must submit a No-Cost Extension request via their own award.

The Foundation has the right to request and receive from the grantee institution and/or Principal Investigator(s) (PI(s)), or review during a site visit, copies of any and all documents including research records and other information related to the grant at any time during or after the term of the grant for up to four (4) years following the year in which all grant funds are fully expended, unless specified otherwise in the grant agreement.

As a condition of accepting the award, the grantee institution agrees to maintain books and records documenting the expenditure of the grant funds in accordance with customary accounting procedures. The Foundation reserves the right to review all financial books and records of the grantee institution and PI(s) related to the grant and to perform an audit or other accounting procedures of all expenses related directly or indirectly to the grant.

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 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, but are not limited to:

• 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 that 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 that 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 videotapes 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 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 grant. Grantees will be notified in advance of an upcoming on-site evaluation. Payments for subsequent funding periods may be tied to the evaluation results.

The Foundation, with reasonable notice to the grantee and accommodating the grantee’s scheduling conflicts, may require additional reporting or require the grantee to participate in site visits, telephone conferences, presentations or other speaking engagements.

The Foundation defers to the institution’s policies on leaves. To request leave, an institution’s Signing Official must sign and submit a Parental or Personal Leave Deliverable. The Foundation reviews all leave requests on a case-by-case basis, and a request must comply with the grantee institution’s leave policy.

Any changes to the original grant proposal, research design and/or specific aims require a formal request and prior written approval before implementation. All requests can be accessed and completed online in the Deliverables section of the award. Minor adjustments in approach do not require written approval; however, they should be communicated to Foundation staff and further documented in the Progress Report. Changes without prior written approval may result in suspension of payments, early termination of the grant and/or reimbursement to the Foundation of any expended or unexpended funds.

With approval from the Foundation, Principal Investigators (PIs) may transfer their grant to a new institution, provided that both the old and new institutions agree to the change of institution. PIs may transfer their grant to domestic and foreign nonprofit organizations and public and private institutions, such as colleges or universities, unless specified otherwise in the Request for Application or award letter. The award cannot be transferred to for-profit organizations.

The following documentation is required for a change of grantee institution:

Required from the Original Institution:

• A Transfer Deliverable.
• A Financial Statement due within thirty (30) days of the effective date of transfer.
• Unexpended funds must be returned to the Foundation within thirty (30) days following the successful submission and approval by Foundation staff of the Financial Statement.

Required from the New Institution:

• A new application, including a revised budget, must be completed, then signed and submitted by the institution’s Signing Official (SO). The signature on the application is the SO’s confirmation of the PI’s appointment at the new institution and the new institution’s support for the project.

Change of Institution Approval

Once the Foundation has approved the change of institution, the Foundation will send a closeout letter to the original institution and an award letter to the new institution.

Under rare circumstances, a change of Principal Investigator (PI) will be approved. A Change of Principal Investigator Deliverable must be signed and submitted by the institution’s Signing Official. The Deliverable must state the reason for the personnel change and provide verification of the new PI’s eligibility, qualifications and availability, and a description of how the change will affect the scope of work, implementation and timeline of the research project. The new PI’s curriculum vitae and/or biosketch must be uploaded to the Deliverable.

Changes in project personnel or key personnel do not require prior approval.

Changes in percent effort of project or key personnel do not require prior approval.

To close out a Foundation grant, the following conditions must be met:

• The grantee must submit a Final Progress Report, due within one hundred and twenty (120) days of the end date.
• The grantee must submit a Final Financial Statement, due within one hundred and twenty (120) days of the end date.
• Unexpended funds must be returned to the Foundation within thirty (30) days following the successful submission and approval by Foundation staff of the Financial Statement.
• Do not remit payment for unspent funds until the Foundation has approved the Financial Statement and a refund is requested.
• Refunds from U.S. institutions must be paid via an ACH transfer and non-U.S. refunds via an international wire transfer.

Upon receipt and approval of all Deliverables and any refund, if applicable, an email notification will be sent to confirm that the award is closed out. In this email, the institution will be notified if the Foundation will cede or maintain ownership of any equipment over $50,000.

Award or Grant

The Foundation uses the terms award and grant interchangeably. The award or grant is the provision of funds by the Foundation, based on an approved application and budget or Progress Report, to an institution to carry out the approved project. For the purpose of these policies, the terms award and grant encompass the term fellowship.

Grantee

The Foundation uses the terms institution and grantee interchangeably.

Key Personnel

Key personnel include the Principal Investigator and other individuals who contribute to the scientific development or execution of a project to a substantive, measurable degree, whether or not they receive salaries or other compensation. This may include Co-Investigators, collaborators, postdoctoral research associates or equivalent positions.

Principal Investigator

Principal Investigators (PIs) are those individual(s) judged by the applicant institution to have the appropriate level of authority and responsibility to direct the project or program supported by the grant. All PIs must hold a Ph.D., M.D. or equivalent degree and have a faculty position or equivalent at a college, university, medical school or other research facility. The PI is responsible and accountable to the applicant institution and the Foundation for the proper conduct of the project or activity, including the submission of all required reports. There is no minimum percent effort required for a PI, but it is expected that the PI will join the collaborative community of Foundation Investigators, and that the PI will partake in some conferences, workshops and symposia that the Foundation organizes.

The applicant institution may designate multiple individuals as PIs who share the authority and responsibility for leading and directing the project, intellectually and logistically. Each PI is responsible and accountable to the applicant institution or, as appropriate, to a collaborating organization for the proper conduct of the project or program, including the submission of all required reports. The presence of more than one identified PI on an application or award diminishes neither the responsibility nor the accountability of any individual PI. Each such designated individual will have the title of PI, as the Foundation does not use the title, ‘Co-PI.’

In circumstances where the applicant institution designates multiple PIs, the PI under whose name the application is submitted will serve as the spokesperson PI for administrative purposes. The spokesperson PI must be affiliated with the institution submitting the application. The spokesperson PI will be responsible for communication between the Foundation and the rest of the leadership team.

Co-Investigator

A Co-Investigator is an individual involved with the Principal Investigator (PI) in the scientific development or execution of a project. The Co-Investigator must hold a Ph.D., M.D. or equivalent degree, and be employed by or affiliated with the applicant/grantee institution or another organization participating in the project under a consortium agreement. The Foundation does not require a minimum effort from the Co-Investigator. The designation of a Co-Investigator, if applicable, does not affect the PI’s roles and responsibilities, nor is it a role implying multiple PIs.

Collaborator

A collaborator is an individual involved in the scientific development or execution of a project. A collaborator is considered key personnel and may or may not be supported by funds from the grant.

Consultant

A consultant is an individual providing professional advice or services on the basis of a written agreement. These individuals are not normally employees of the organization receiving the services. Consultants also include firms providing professional advice or services.

Postdoctoral Research Associate or Equivalent Employee Position

Postdoctoral research associates (or equivalent employee positions) are individuals who have received a doctoral degree (or its equivalent) and who are engaged in a temporary and defined period of mentored advanced training to enhance the professional skills and research independence needed to pursue their chosen career path. The postdoctoral research associate performs specific services in exchange for compensation and is treated as an employee of the grantee institution, with benefits.

Postdoctoral Fellow

A postdoctoral fellow is an individual who has received a doctoral degree (or its equivalent) and who conducts independent research at a host institution under the guidance of a mentoring Principal Investigator (or Investigators).

Unless stated otherwise in the postdoctoral fellow’s Request for Application (RFA) or award letter, a postdoctoral fellow is not treated as an employee of the grantee/sponsoring institution.

Institution Profile

The Institution Profile is a means for managing the institution’s primary officials, user access and electronic fund transfer (EFT) payment information in the Simons Award Manager (SAM). The institution is required to submit an EFT form and manage contacts and users through the SAM Institution Profile. Anyone from the institution can create an Institution Profile in SAM, but only an Authorized Institution Official (AIO) or an approved contact delegate can manage the SAM Institution Profile. Each institution must have at least two certified AIOs to receive payments. It is the institution’s responsibility to maintain an up-to-date list of active contacts in their SAM Institution Profile.

Authorized Institution Official

An Authorized Institution Official (AIO) has the authority to legally bind the institution in grants administration matters. Two AIOs are required per institution. The AIO manages their institution’s profile. The AIO may or may not fulfill the role of a Signing Official (SO) or Financial Officer (FO) on individual proposals or grants. Users fulfilling both an AIO role and another institution role should select only the AIO role as their system role, as the AIO role will permit users to perform all necessary tasks.

The individual fulfilling this role may hold any of a number of titles at the applicant/grantee institution. The label AIO is used in the Simons Award Manager (SAM) as a system role and is not necessarily the title of the individual.

The Foundation certifies new AIO users after they register. Certified AIOs can view all applications and awards at their institution. Uncertified AIOs can view only applications and awards to which they have been assigned access.

Signing Official

A Signing Official (SO) has the authority to legally bind the institution in grants administration matters. The individual fulfilling this role may have any number of titles in the applicant/grantee institution. The label Signing Official is used in conjunction with the Simons Award Manager (SAM) as a role and is not necessarily the title of the individual. The SO is responsible for the proper administration of the grant, including but not limited to overseeing the submission of the electronically signed award letter, budgets, Activation Agreements, Reallocation Requests, Progress Reports, Carry Forward Requests and No-Cost Extensions. Additionally, the SO is required to certify that all information submitted is accurate, that the terms of the award are acceptable, and that the applicant/grantee institution will comply with all applicable laws and Foundation policies. SOs may be given access to any number of awards. Each award must have at least one SO.

For most institutions, the SO is located in its Office of Sponsored Research or equivalent.

Financial Officer

The Financial Officer (FO) is designated by the grantee institution and is responsible for the proper accounting of grant funds. The individual fulfilling this role may have any number of titles in the applicant/grantee institution. The label Financial Officer is a designation used in the Simons Award Manager (SAM) as a role and is not necessarily the title of the individual. In this role, the individual is required to complete the required annual Financial Statements and any budgets. Additionally, the FO is required to certify that all information submitted in the Financial Statement or budget is accurate, that the terms of the award are acceptable, and that the applicant/grantee institution will comply with all applicable laws and Foundation policies. FOs may be given access to any number of awards. Each award must have at least one FO.

For most institutions, the FO is located in its Office of Sponsored Research or equivalent.

Contact Delegate

A contact delegate is designated by the grantee institution to manage contacts for their institution. In this role, the individual may review and approve Signing Officials, Financial Officers and other contact delegates in the Simons Award Manager (SAM), and deactivate the accounts of individuals who cease to be associated with their institution.

The label contact delegate is a designation used in SAM as a system role and is not necessarily the title of the individual. The individual fulfilling this role may hold any of a number of titles at the applicant/grantee institution. There may be more than one contact delegate per institution.

Please reference the PI’s name, the title of the grant and the record ID in all correspondence.

For payment-related questions: [email protected]

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