1. ORSP-DGCA Research Administration Information Network (RAIN) Meeting Fall 2014

2. Organization of Talk ORSP –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

3. 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

5. Mission of ORSP Facilitate the grant submission process to Federal and State programs, county and municipalities, and Not-For-Profit entities such as universities, foundations, etc. Act as official signatory for federal, state and other not-for-profit agreements/awards for Rutgers. Provide official data & reports regarding proposals and awards for the University administration and community and external stakeholders 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).

6. ORSP Responsibilities 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)

7. 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)

8. ORSP Interacts with Several Key Offices/Units REHS Radiation Biohazards REHS Radiation Biohazards OCC Corporate Sponsors OCC Corporate Sponsors OTC Patents/IP Licensing OTC Patents/IP Licensing Dept PI Finance Dean;s office Dept PI Finance Dean;s office ORRA IRB COI Expt Control Select Agents ORRA IRB COI Expt Control Select Agents ORD Grant facilitators ORD Grant facilitators DGCA Post-award DGCA Post-award RU CFR Foundations corporations RU CFR Foundations corporations ORM Insurance Indemnity ORM Insurance Indemnity Procurement Purchasing (subs) Procurement Purchasing (subs) OGC Legal OGC Legal

9. ORSP Contact Information http://orsp.rutgers.edu/ http://orsp.rutgers.edu/ Administrative Services Building III, 2 ND FloorStanley S. Bergen Building 3 Rutgers Plaza65 Bergen Street, Suite 538 New Brunswick, NJ 08901-8559Newark, New Jersey 07101-2403 Telephone: (848) 932-0150Telephone: (973)-972-7766 Fax: (732) 932-0162Fax: (973)-972-3202 EMAIL: SPONPGMS@ORSP.RUTGERS.EDUEMAIL: rbhsnewark-orsp@grants.rutgers.edurbhsnewark-orsp@grants.rutgers.edu ORSP New Brunswick and RBHS Leadership: Diane Ambrose, Senior Associate Director of (848) 932-4037 diane.ambrose@rutgers.edudiane.ambrose@rutgers.edu Research and Sponsored Programs Casandra Burrows, Assistant Director – ORSP New Brunswick(848) 932-4002 casandra.burrows@rutgers.educasandra.burrows@rutgers.edu Christopher Stastny, Assistant Director – RBHS-ORSP (NB)(848) 932-4032 stastncm@rutgers.edustastncm@rutgers.edu Letitia Dean, Assistant Director – RBHS-ORSP Newark (973)-972-0283 deanle@rutgers.edu (includes RU-Newark College of Nursing)

10. Grant Specialist Assignments New Brunswick/Piscataway: http://orsp.rutgers.edu/rutgers-gsstaff-assignments-nbpisc RBHS Newark: http://orsp.rutgers.edu/rbhs-gsstaff- assignments-newarkhttp://orsp.rutgers.edu/rbhs-gsstaff- assignments-newark

11. ORSP – Rutgers Newark and Camden NEWARK 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 Director: Jackie Cornelius Ph: (973) 353-1539 Fx: (973) 353-1536 Email: jcorneli@andromeda.rutgers.edujcorneli@andromeda.rutgers.edu CAMDEN Office of Sponsored Programs 311 North Fifth Street Armitage Hall, 2 nd Floor Camden, NJ 08102-1405 Tel: (856) 225-2949 Fax: (856) 225-6687 http://orsp.rutgers.edu/rutgers-camden Director: Camie Morrison, CRA, CAP Ph: (856) 225-2949 Fx: (856) 225-6687 Email: cammor@camden.rutgers.edu

12. 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.

13. 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

14. Proposal Preparation Draft Proposals should be submitted to ORSP ten (10) business days prior to the sponsor deadline. Draft application package should include: 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

15. 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.

16. Proposal Submission Final proposal package must be submitted five (5) business days prior to the sponsor deadline. Final Documents include: Completed Endorsement form signed by PI, Chair and Research Dean 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 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.

17. 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.

18. 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-studies- serviceshttp://postaward.rutgers.edu/grant-management/cost-studies- services 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-costshttp://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:

19. 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 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

20. 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 –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

21. 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. ORSP Administrator will complete the Abstracting Form (pre-award internal form) Awards are entered into the Pre-award Database (currently COEUS) Final Abstracted Packages are forwarded to DGCA for processing 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.asphttps://dgca200.rutgers.edu/rbhsaward/DGCALogin.asp LRU: https://dgcamck.rutgers.edu/dashboard/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.).

22. 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=sPeQ3vhttp://research.njms.rutgers.edu/redcap/surveys/?s=sPeQ3v Agreements should be uploaded to Red Cap (as a word doc) along with the following: Completed Endorsement form signed by PI, Chair and Research Dean 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 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.

23. 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: 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.

24. 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/

25. 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

26. 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

27. 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

28. 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, A- 110 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

29. 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).

30. 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 Development and/or Update of Policies & Procedures Website Communications Training

31. Upcoming Change – NIH Sub-Accounting and Closeouts NIH Notice 13-120 NIH Domestic Awards to Transition to Payment Management System Sub- accounting 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

32. 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

33. 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

34. 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

35. 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 (rohaeri@rci.rutgers.edu)rohaeri@rci.rutgers.edu Email information requests or notices to Ms. O’Haeri and dgca1@rci.rutgers.edudgca1@rci.rutgers.edu

36. ORSP- DGCA Resources Websites – PreAward: http://orsp.rutgers.eduhttp://orsp.rutgers.edu PostAward: http://postaward.rutgers.eduhttp://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

37. 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/

38. Questions/Answers