Transcript Slide 1

ORSP-DGCA
Research Administration Information
Network (RAIN) Meeting
Fall 2014
Organization of Talk
• ORSP
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Organization of ORED, slide 4
ORSP Mission and Responsibilities, slides 5-8
Key ORSP Contact Info, slides 9-11
Submission Process for Different Types of PI’s – slides 12-13
Proposal Preparation, Submission, and Budgets -- slides 14-19
Award Acceptance – slides 20-21
Corporate Contracts/SBIR/STTR – slides 22-23
Pre-Award Notable Items – slide 24
• DGCA
– DGCA Services and Key Contacts 26-27
– Uniform Guidance – slides 28-30
– SubAccounts (NIH) and Closeouts, slides 31-33
– FY15 Space Survey, slide 34
– External Audits, slide 35
ORSP-DGCA Resources – slides 36-37
Rutgers Office of Research and
Sponsored Programs (ORSP)
The Basics of Working with RU Pre-award Office
Diane Ambrose, PhD
Senior Associate Director of Research and Sponsored
Programs
RAIN MEETING – FALL 2014
Mission of ORSP
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Facilitate the grant submission process to Federal and State programs, county and
municipalities, and Not-For-Profit entities such as universities, foundations, etc.
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Act as official signatory for federal, state and other not-for-profit agreements/awards
for Rutgers.
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Provide official data & reports regarding proposals and awards for the University
administration and community and external stakeholders
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Although ORSP has a strong service culture, it primarily functions to ensure
compliance with federal and state laws, university policies and Sponsor
guidelines/policies.
ORSP reports administratively to the Associate VP of Research Administration (Dr. Terri
Kinzy) in the Office of Research and Economic Development (ORED).
ORSP Responsibilities
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Provide pre-award advice to faculty and departments
Assist with budget development during proposal stage
Provide guidance to researchers navigating the various departments that
support research at Rutgers
Ensure that the proposal application conforms to both the University’s
policies as well as the sponsor’s specific proposal requirements
Formal submission of the proposal to the sponsor either through electronic
or hardcopy means (i.e. NSF Fastlane, Grants.gov, email submission)
Receipt of award notice and assistance with award set up (ORSP ensures
that compliance needs are met so university can accept the award and
transmits key data about the award to DGCA so index/account may be set
up)
Negotiate a wide variety of grant/contract-related agreements (in
collaboration with several University offices)
ORSP Responsibilities Cont’d
• Issuance of a subcontract/subaward
• Submission of NIH “Just in Time” (JIT) information
• Submission of no-cost extension requests to other federal,
state, municipality and not-for-profit entities (in collaboration
with DGCA)
• Request for carry-forward of unobligated funds/carry-over of
unobligated funds (in collaboration with DGCA)
• Request for transfer of Principal Investigator or Award (in
collaboration with DGCA)
ORSP Interacts with Several Key Offices/Units
REHS
DGCA
OCC
Radiation
Biohazards
Post-award
Corporate
Sponsors
ORD
RU CFR
Foundations
corporations
Grant
facilitators
OTC
Patents/IP
Licensing
Dept
PI
Finance
Dean;s
office
OGC
Legal
ORRA
IRB
COI
Expt Control
Select Agents
Procurement
Purchasing (subs)
ORM
Insurance
Indemnity
ORSP Contact Information
http://orsp.rutgers.edu/
Administrative Services Building III, 2ND Floor
3 Rutgers Plaza
New Brunswick, NJ 08901-8559
Telephone: (848) 932-0150
Fax: (732) 932-0162
EMAIL: [email protected]
Stanley S. Bergen Building
65 Bergen Street, Suite 538
Newark, New Jersey 07101-2403
Telephone: (973)-972-7766
Fax: (973)-972-3202
EMAIL: [email protected]
ORSP New Brunswick and RBHS Leadership:
Diane Ambrose, Senior Associate Director of
Research and Sponsored Programs
(848) 932-4037
Casandra Burrows, Assistant Director – ORSP New Brunswick
(848) 932-4002
[email protected]
Christopher Stastny, Assistant Director – RBHS-ORSP (NB)
(848) 932-4032
[email protected]
Letitia Dean, Assistant Director – RBHS-ORSP Newark
(includes RU-Newark College of Nursing)
(973)-972-0283
[email protected]
[email protected]
Grant Specialist Assignments
• New Brunswick/Piscataway:
http://orsp.rutgers.edu/rutgers-gsstaff-assignments-nbpisc
• RBHS Newark: http://orsp.rutgers.edu/rbhs-gsstaffassignments-newark
ORSP – Rutgers Newark and Camden
NEWARK
CAMDEN
Rutgers Newark Campus ORSP
Blumenthal Hall, Suite 206
249 University Avenue
Newark, New Jersey 07102
Tel: 973-353-1539
Fax: 973-353-1536
http://orsp.rutgers.edu/rutgers-newark
Office of Sponsored Programs
311 North Fifth Street
Armitage Hall, 2nd Floor
Camden, NJ 08102-1405
Tel: (856) 225-2949
Fax: (856) 225-6687
http://orsp.rutgers.edu/rutgers-camden
Director: Jackie Cornelius
Ph: (973) 353-1539
Fx: (973) 353-1536
Email: [email protected]
Director: Camie Morrison, CRA, CAP
Ph: (856) 225-2949
Fx: (856) 225-6687
Email: [email protected]
Who Can Serve as PI?
• Rutgers encourages qualified individuals to submit proposals
for external funding in support of their scholarly work,
research projects, and other efforts to support RU’s mission.
• Requires approval of person’s chair and/or center director and
dean (or dean’s designee) through Endorsement process.
• Chair/Dean’s approval signifies that proposed PI has the
appropriate qualifications and adequate space and resources
to complete the proposed work. Also ensures that the project
will have budgetary oversight.
• The proposed PI must be eligible to use and obtain the proper
compliance authorizations when applicable (animals, humans,
radioactive materials, etc).
• Prospective PI’s must also be eligible according to sponsor’s
restrictions, if any.
Examples of Who Can Serve as PI
• FT and PT tenured or tenure-track faculty
• FT non-tenure track faculty
• Co-terminus or adjunct faculty with paid appointment who have
sufficient available time and effort for the proposed work
• Others hired by faculty members using grant funds (e.g. research
associates, research assistants, post-docs)
Important Exceptions/Additional Requirements
• PT adjunct, lecturer or visiting professor requires additional letter
from Chair/Dean
• New hires – need copy of signed offer letter indicating start date
• Retired faculty can serve as Co-PI – require approval by AVPRA.
Also, urged to check with HR on impact on retirement status/benefits
• Staff may act as PI if approved by AVPRA
Proposal Preparation
Draft Proposals should be submitted to ORSP ten (10)
business days prior to the sponsor deadline.
Draft application package should include:
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Copy of RFA or Link to instructions/guidelines (if not previously
provided)
• Draft Proposal / SF424 package
• Detailed Budget and Justification
• If applicable - Request for approval of reduced Indirect Cost
If proposal includes a Sub-award the following is also required:
• Completed and signed Letter of Intent (RU template)
• Sub Detailed Budget and Justification
• Sub Statement of Work
Foundation Grants
If you are working on a Proposal to a Foundation you must send proposal
information simultaneously to RU Foundation.
RU Foundation will need to review and approve proposal and provide sign off
on endorsement. Final approval for submission is from ORSP.
Please be aware that Rutgers University has the following gift/private grant
assessment policy :
• Gifts/private grants of $10,000 or more will be subject to a 5% assessment
fee
• Gifts/private grants below $10,000 will be subjected to a 10% assessment
fee
Please work with your development officer in building in the assessment fee
into the proposal budget.
Proposal Submission
Final proposal package must be submitted five (5) business days prior to the sponsor
deadline.
Final Documents include:
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Completed Endorsement form
signed by PI, Chair and Research Dean
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Financial Disclosure form
signed by all personnel and Dept. Chairs
If disclosures are made - page three of form must be completed along with the
FCOI Statement
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Final Proposal Package ready for submission
Along with any necessary prior approvals.
Note:
Once proposal has been approved for submission and/or submitted, The PI, Pre-award contact and
Post-award contact will receive an email with a copy of the endorsement form signed by ORSP
which includes the proposal log number. This Log number will follow through to award. Keep for
tracking purposes.
Proposal Signature Authority
Who is the Signing Official for Proposals?
The ORSP Grants Administrator assigned to your Department.
All ORSP Grants Administrators have signing official (SO) rights for Grant
Proposals, Progress Reports, Letters of Intents and information being
forwarded to Sponsors. (ex. Sponsor requests for additional info, JIT,
etc.)
ORSP also signs other contracts and agreements from not-for-profit
sponsors, including subawards in and out.
Note: FOR RBHS, Research Deans at each School, have signing
authority as Dean on Endorsement and Financial Disclosure Form and
FCOI documents.
Important Items to Remember for Budgets:
• Most RBHS schools are still using Legacy UMDNJ (now
RBHS) rates –
– F&A On Campus Research Rates: 59% for Legacy UMDNJ, 55% for
Legacy Rutgers
– Rates: http://postaward.rutgers.edu/grant-management/cost-studiesservices
• F&A Waiver Requests
– Complete new form at least two weeks prior to proposal submission
deadline. Must be approved by Assoc. VP of Research Administration
BEFORE submission – this takes time (leave 2 weeks)!
– Forms: http://orsp.rutgers.edu/facilities-and-administrative-costs
• Until the FY14 fringe rate proposal is negotiated, composite
Fringe Benefit Rates for federal and state proposals remain
the same as FY13:
Cost Sharing
In-Kind/Cost Sharing:
Faculty are encouraged NOT to include in-kind or cost sharing in Proposals.
Should only be included if required by Sponsor.
If in-kind or cost sharing is listed in the proposal, must be noted on the endorsement
form and approved by Chair and Research Dean/Dean.
When proposal is awarded you will be required to submit a completed cost share
Budget template identifying all fund sources/indices which will fund the cost-share.
Cost share templates can be found at the following address:
http://orsp.rutgers.edu/budget-template
Cost share budget must be approved and signed off by Dean of your school.
The Fund Source/Index for the award cannot be set up without cost share
approval and its completed budget template.
For further guidance – Refer to Rutgers Cost-Sharing Policy
Award Acceptance
• Award notices take time to process
• ORSP must review award Terms & Conditions for
acceptability.
• To abstract for an award, ORSP must have completed/signed
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Endorsement Form
Financial Disclosure Form
Updated Compliance Approvals (IRB, IACUC, FCOI)
Full proposal
ORSP budget template that matches the Notice of Award
If applicable,
• Cost Share budget template
• Approved Project Fund Source/Index Form and matching budget templates
• ORSP will also remind PI to complete and submit the subaward
checklist/modification checklist for subawards
Process for Abstracting for Fund Source/Index
Once the award notice and all necessary documents including compliance approvals are
received (see list under Awards Acceptance), ORSP can Abstract the file for fund
source/index creation or addition.
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ORSP Administrator will complete the Abstracting Form
(pre-award internal form)
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Awards are entered into the Pre-award Database (currently COEUS)
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Final Abstracted Packages are forwarded to DGCA for processing
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PIs/Units can view on DGCA website status of award setup for sponsored
programs transmitted from ORSP/OCC and the new fund source/index assigned
RBHS: https://dgca200.rutgers.edu/rbhsaward/DGCALogin.asp
LRU: https://dgcamck.rutgers.edu/dashboard/
Note: Awards cannot be forwarded for fund source/index creation/addition until all
necessary documentation and compliance approvals are received and signed off by
respective compliance units. Please be sure to keep compliance up to date (IRB,
IACUC, etc.).
For-Profit /Corporate Contracts
For-Profit/Corporate Contracts (excluding Subs Out) and Clinical Trials are submitted for
Legal review via
Red Cap: http://research.njms.rutgers.edu/redcap/surveys/?s=sPeQ3v
Agreements should be uploaded to Red Cap (as a word doc) along with the following:
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Completed Endorsement form
signed by PI, Chair and Research Dean
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Financial Disclosure form
signed by all key personnel and Dept. Chairs
If disclosures made - page three of form must be completed along
with the FCOI Statement
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Updated Compliance approval (if applicable)
IRB, IACUC, FCOI, etc.
The Office of Corporate Contracts Office will negotiate terms and conditions of agreement and forward
for final signature.
Charles (Chuck) Wyckoff, Director of Corporate Contracts, is the Signing Official for For-Profit
Corporate Contracts and Clinical Trials. In some cases, this includes data use agreements.
SBIR/STTR letters of Intent
The Office of Corporate Contracts will also review and sign off on Letters of Intent for
Small Business Innovation Research (SBIR) and Small Business Technology Transfer
Research (STTR) proposals.
The following will be required for review:
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Endorsement Form
Budget
Statement of work
Funding announcement (BAA/RFP/Solicitation) number
IDC/F&A is waived for All Phase I SBIR and STTR submissions
Please contact the Office of Corporate Contracts at 848-932-4458
For more information.
New Things of Note:
• Uniform Guidance!!! – More to Follow
• Implementation of Rutgers Research Administration and
Proposal Submission System (RAPSS)
• Requirement in NIH RPPR’s starting October 2014 for
description/explanation of university’s policy/process for use
of Individual Development Plans for grad students/trainees
included on NIH grant
• Expansion of Federal Reporter database– Now includes NIH,
NSF, EPA, NASA, CDC, FDA, AHRQ, CDMRP, VA, + others
http://federalreporter.nih.gov/
Division of Grant & Contract Accounting
(DGCA)
Organization Overview – Upcoming Events/Changes –
Available Help Resources
Michele Conlin
Assistant Controller
Office of University Controller
Division of Grant & Contract Accounting
RAIN MEETING – FALL 2014
DGCA Services
DGCA performs the central financial accounting & reporting and
post award administration support services for the university’s
sponsored programs and other related restricted funds
Services include:
•Financial Reporting
•Invoicing and Cash Management
•Audit and Award Closeout
•Quality Assurance and Compliance
•Effort Certification
•Cost Analysis
•Training and Development
DGCA Key Contacts
Michele Conlin, Assistant Controller, DGCA
New Brunswick Campuses:
Larry Galbreath, Senior Manager of Financial Accounting & Reporting
Al Alvaro – RBHS Acting Manager, Accounting
Liza Latar – RBHS Manager, Accounting
Connie Bornheimer, Manager, Accounting
Jackie Hlavsa, Manager, Accounting
Daniela Prelipceanu, Manager, Accounting
Newark Campuses and University-wide DGCA Activities:
Roberta O’Haeri, Senior Manager of Financial Accounting & Reporting
Donna Graziano, RBHS Acting Manager, Accounting
Guy Narine, Manager, Accounting
Linda Fowler, Manager, Accounting
Vivian Thomas-McClain, Manager, Accounting
Camden Campuses Liaison:
Roberta O’Haeri, Senior Manager of Financial Accounting & Reporting
Contact Information and Assigned Departments may be found at postaward.rutgers.edu
Upcoming Change - Uniform Guidance
OMB Uniform Administrative Requirements, Cost Principles and Audit Requirements – 2
CFR Part 200
– Super Circular
– Omni Circular
– Uniform Guidance
– UG
Single biggest regulatory change in last 50 years of research administration
Consolidates, streamlines and supercedes 8 existing OMB Circulars, including A-21, A110 and A-133
Will apply to new and incremental funding* awarded after December 26, 2014
Existing federal awards will continue to be governed by terms & conditions which they
were awarded
Uniform Guidance Outline
Organized by Subparts:
Subpart A – Acronyms and Definitions
Subpart B – General Provisions
Subpart C – Pre Award
Subpart D – Post Award
Subpart E – Cost Principles
Subpart F – Audit Requirements
Subpart F becomes effective at Rutgers July 1, 2015 (FY16).
Uniform Guidance Implementation
Federal Agencies
• Development of agency-specific implementation plans and policies
to conform to UG
Rutgers University
• Establishment of Steering Committee and Working Groups
– Feedback from University Research Community
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Development and/or Update of Policies & Procedures
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Website
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Communications
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Training
Upcoming Change –
NIH Sub-Accounting and Closeouts
NIH Notice 13-120
NIH Domestic Awards to Transition to Payment Management System Subaccounting starting October 1, 2014
NIH Notice 14-084 – April 2014
NIH Grant Closeout Policies and Procedures to Align with New HHS
Requirements
Uniform Guidance – 200.343 Closeouts
Must liquidate all obligations incurred under a federal award not later than
90 calendar days after the end date of period of performance
All final reports must be submitted no later than 90 calendar days after the
end date of period of performance
Closeout Reminder
Rutgers Closeout Policy –
• All final costs (including payroll) must be finalized and recorded
in the appropriate sponsored program fund source/index in GL 30 days PRIOR to the due date of the final fiscal report.
– Since most agencies require the final reports within ninety (90) days of
the project end date, this requirement will generally give departmental
post-award administrators sixty (60) days to finalize charges .
•All obligations liquidated within 90 calendar days of end date of
award
•Begin Closeout Tasks Before An Award has Ended!
• Subawards
Tools to Manage Closeouts
For Legacy-Rutgers Units
RIAS: Sponsored Program Award Terminations Reports
- Awards Due to Expire Within 180 Days
- Awards Expired But Not Closed Out with Sponsor
For Legacy-UMDNJ Units
E-Print – Grant Expiration Report 30-60-90 Days
Under Development – Awards Expired But Not Closed Out Query
For All
Departmental Closeout Checklist – DGCA Website
Upcoming Event - FY15 Space Survey
What is a Space Study?
•Process of assigning functional coding and percent of use to campus space
•Identify all occupants of research space
•Critical part of the University’s F&A Rate Proposal
Preparations Currently Underway
•Identification of School & Dept Space Coordinators*
– Must work closely with the Faculty in their Assigned Unit
– Must be knowledgeable of Unit’s Financials and Personnel
•Data Collection will be done via web-based system (Webspace)
•Mandated Training Sessions to Gain Access to Webspace
External Audits, Site Visits and Other Inquiries
External agencies generally expected to contact appropriate central university office to
announce audits, site visits, desk reviews, etc.
Initial Notification often received by individual schools, PIs or other departmental
staff/administrators
REMINDER: Any contact by an external auditor or agency should be reported
immediately to the appropriate area-specific central university compliance office with
copies of any written documentation received forwarded to that office*
*Does not include regularly scheduled clinical trial monitoring
DGCA – Primary Contact for Financial Audits, Desk Reviews, Site Visits and Requests
for Additional Financial Information for the University’s Sponsored Programs
Primary DGCA Audit Coordinator – Roberta O’Haeri ([email protected])
Email information requests or notices to Ms. O’Haeri and [email protected]
ORSP- DGCA Resources
Websites –
PreAward: http://orsp.rutgers.edu
PostAward: http://postaward.rutgers.edu
Listservs –
ORSP-DGCA Research Administration Listservs
ORED Listserv
ECRT EC Coordinators Listserv
FTERS/ACR EC Coordinators Listserv
ORSP-DGCA Research Administration Advisory Teams
RAIN Meetings, Brown Bag Sessions and Training Courses
Available Tools and Additional Resources
Institutional Prior Approval System (IPAS) Portal – Advance Fund Source/Index Requests, NCE
http://postaward.rutgers.edu/grant-management/award-establishment
Researcher’s Dashboard (For Legacy-Rutgers Units)
https://dgcamck.rutgers.edu/dashboard/
RBHS Sponsored Award/Index Setup Status Query (For Legacy-UMDNJ Units)
https://dgca200.rutgers.edu/rbhsaward/DGCALogin.asp
Office of Research and Economic Development (ORED)
https://ored.rutgers.edu/
Office of Corporate Contracts (OCC)
http://ored.rutgers.edu/corporate-contracts
Office of the Senior Vice-President of Finance and Treasurer
http://finance.rutgers.edu/
Office of the University Controller
http://uco.rutgers.edu/
Questions/Answers