New Faculty Event, October 21, 2013

Ivar StrandAngelo ChrisomalisRichard Scammell

Mission Statement To provide excellence in service and

administration for the proposal and award activities of approved sponsored grants, contracts and other agreements on behalf of Rensselaer.

Proposal Development and Submission

Award Negotiation

Award Acceptance

Award Establishment

Award Management (non-financial)

Subcontract Issuance

Sub recipient Monitoring

Manage non-financial sponsored audits

Award Management (financial)

Prepare and submit financial reports

Bill and collect from sponsors

Perform Letter of Credit draws

Monitor receivables

Administer Labor Verification process

Manage financial audits of sponsored awards

Develop and negotiate Rensselaer’s Fringe Benefit

and Facilities and Administrative rates

Ensure that:

◦ Proposal routing document (“Proposal Information Form”, or “PIF”) is completed and signed

http://www.rpi.edu/dept/finance/docs/research/ProjectInformationForm.pdf

◦ Conflicts of Interests are declared and managed

http://www.rpi.edu/dept/finance/docs/research/COIQuestionnaire.pdf

◦ Human and animal subject reviews and protocols are completed

◦ Publication, Intellectual Property and Export Control issues conform to RPI policies

◦ Cost Sharing is properly documented and supported

Ensure that:

◦ Award budgets are not exceeded

◦ Expenses are allowable, incurred within the award period and within budget constraints

◦ Proposed expense transfers are allowable and timely

◦ Cost sharing, and project deliverables (reports, etc.) are provided as required

◦ Effort is certified in a timely and accurate manner

◦ Financial audits are clear of adverse findings

Scope of Work – all technical components

Budget Development and/or Input

Create “Proposal Routing Form”

Obtain internal cost sharing commitments

Budget Development and/or Input

◦ Level of effort (minimum 1% generally required)

◦ Graduate students

◦ Equipment needs

◦ Travel expectations

◦ Supplies and Materials

◦ Collaborative efforts

Facility and Administrative (F&A) Rates:Research – On Campus 60.20%

Research - Off Campus 26.00%

Training – On Campus 32.00%

Training – Off Campus 26.00%

F&A rates are based on Modified Total Direct Costs (MTDC).

MTDC, as defined in Federal OMB Circular A-21, consists of all salaries and wages, fringe benefits, materials and supplies, services, travel, sub grants and subcontracts up to the first $25,000 of each sub grant or subcontract (regardless of the period covered by the sub grant or subcontract). Equipment, capital expenditures, charges for patient care and tuition remission, rental costs, scholarships, and fellowships as well as the portion of each sub grant and subcontract in excess of $25,000 is excluded from the MTDC.

Employee Benefits38.75%

Minimum Requirements for Research Administration & Finance to Review and Submit Proposals

Five (5) working days prior to sponsor imposed deadline:

•Completed Project Information Sheet •Preliminary Cost Estimate or budget •Final budget from all collaborators•Sponsor Announcement or Request for Proposal •Any Sponsor Terms and Conditions, if available •Cost Sharing details and approvals •Project Summary

Three (3) working days prior to sponsor imposed deadline:

Complete proposal package, including:•Final budget•Final copy of proposal text, and copies of all appendices in sufficient number to comply with sponsor guidelines•For collaborative proposals, we need collaborator materials (final approved budgets on required sponsor forms, letters of support, bios, C&P, etc.) at this time.

Publication Restrictions

Intellectual Property Ownership

Intellectual Property Licensing provisions

Liability and Indemnification

Export Controls

GRANT ADMINISTRATOR DEPARTMENT/ORGN SUPPORT STAFF

Jennifer A. Rosch Computer Science (2550) Darcy Wilson518.276.6176 Electrical, Computer, & Systems Eng. (2260) Darcy Wilsonroschj@rpi.edu   

Angela Stark Mechanical, Aerospace & Nuclear Eng. (2280) Lynn Chaplin518.276.6169starka@rpi.edu     

Jennifer Newnhan Physics (2580) Mary Bielawa518.276.6173 Chemical & Biological Engineering (2230) Lynn Chaplinnewnhj@rpi.edu Civil & Environmental Engineering (2240) Irene Nelson

Research/Non Research Staff (no ORG)‐ Irene NelsonHartford (2600) Lynn Chaplin

     

Laura Salvati Biomedical Engineering (2220) Mary Bielawa518.276.8359 Chemistry and Chemical Biology (2540) Mary Bielawasalval@rpi.edu Architecture (2165) / LRC (2190) Mary Bielawa     

Susan Pepe Materials Engineering (2270) Irene Nelson518.276.2087 Arts (2390) Irene Nelsonpepes@rpi.edu Economics (2400) Irene Nelson

Dept of Communication & Media (2410) Irene NelsonCognitive Science (2420) Irene NelsonScience & Technology Studies (2440) Irene NelsonManagement (2480) Irene NelsonBiology (2530) Irene NelsonEarth & Environmental Sciences (2560) Irene NelsonMathematical Sciences (2570) Irene NelsonIndustrial & Systems Engineering (ISE) (2620) Irene Nelson

     

◦ Monitor all technical aspects of the project

◦ Submit all progress reports to sponsoring agency

◦ Expenditures oversight

Allowable, within the award period, within any

budget restrictions

Cost sharing

Certify labor

Minimize cost transfers

Award Closeout

◦ Certify final statement of expenditures

◦ Certify final labor verification statements

◦ Submit Final Technical Report

◦ Maintain all data in accordance with record

retention policies

1. Cost Transfers2. Time and Effort (Labor Verification) Reports3. Cost Allocation Methodology4. Technical Reports5. Purchasing office supplies, hiring

administrative staff 6. Fly America Act7. No cost extensions8. Adherence to sponsor expenditure

restrictions9. Subcontractor monitoring10. Key personnel changes

NAME TITLE CONTACT REGARDING:

Angelo Chrisomalis518.276.6154chrisa2@rpi.edu

Director Develops institutional polices and procedures in coordination with other departments; monitors fiscal and regulatory compliance for research activities; liaison with portfolio financial managers and faculty; review of proposed Labor Cost Transfers; provides management reports.

Karen Adriance518.276.2300adriak@rpi.edu

Operations Specialist

Assists with Award maintenance and Close-out, Budget Allocations, FTR Processing, Non-sufficient Funds Monitoring, and Reporting

Mary Ellen Mainello518.276.4003mainem@rpi.edu

Sr. Grant Administrator

Universities and NYS Agencies

Jason Guilbeault518.276.6735guilbj@rpi.edu

Cost Analyst Rate Development, Invoicing, Drawdowns and Payment Receipts

Lou Ann Griffin518.276.6361griffl2@rpi.edu

Grant Administrator

Corporations, Foundations, and Other Not-For-Profit awards

Leslie Scoons518.276.8108scoonl2@rpi.edu

Grant Administrator

Military, DOE, EPA, and Federal Labs

Sandra Gingell518.276.6924ginges@rpi.edu

Grant Administrator

Invoicing, Drawdowns and Payment Receipts

Research Finance StaffResearch Finance Staff

Late transfers (more than 30 days) Transfers at the end of a project to use up the

fund balance Transfers between federal projects Improper authorization Not reconciled to accounting records Lack of clear, specific, detailed explanations Transferring-out account is in deficit Transferring-in account has a surplus and is

ending Salary transfers where effort was previously

certified as correct

* Taken from “lessons learned” on Yale’s $7.6 million cost transfer and effort reporting audit disallowance in 2009.

Performed three times a year Labor Verification Forms must be:

◦ Timely◦ Accurate◦ Signed by the individual or person with “suitable

means of verification”.

Direct Costs: Must be specifically identified with a particular

project Must be allocable, or charged in proportion to

their benefit to a project; Must be allowable (i.e., entertainment may not

be charged to a Federal grant under any circumstances);

Must be reasonable, reflecting the conservative actions of a “prudent person”;

Should be charged correctly the first time to avoid cost transfers; and

Must conform to any limitations or exclusions in the award agreement.

Comply with all reporting requirements Submit them on time

Office supplies that are normally used in the general administrative support of a project may not be included in the budget or charged to the award.

Local telephone rentals used to conduct routine business of the project may not be included in the budget.

Cell phone and pager expenses are usually considered “local telephone costs” and may not be included in the budget if they are used to conduct routine business of the project.

Salaries of administrative and clerical staff are normally considered as part of the F&A rate and therefore unallowable as a direct cost.

General‐purpose computers—especially laptops—can be used to support a variety of activities and are rarely dedicated to one specific purpose. As a result, general‐purpose computers and laptops are typically F&A costs and are seldom proposed in budgets or directly charged to awards.

Aforementioned normally only allowable on "Major Projects”◦ defined as a project that requires an extensive amount

of administrative or clerical support, which is significantly greater than the routine level of such services provided by academic departments (e.g., program project grants, large center awards, clinical translational science awards).

Requires that foreign air travel funded with Federal dollars be performed on U.S. flag air carriers.

U.S. flag air carrier service is also defined as service provided under a code share agreement with a foreign air carrier.

You must use a U.S. flag air carrier on every portion of the route where it provides service unless you qualify for a waiver.

Certain exceptions apply; however, increased cost is not a basis for a waiver.

The request should contain:◦ The length of time for which the extension is being

requested.◦ A justification for the extension request.◦ A brief statement as to the progress and work

remaining to be completed.◦ Unobligated funds currently remaining on the

scheduled expiration date. Not allowed just to spend down project

balance Don’t incur costs unrelated to original award

Refer to Notice of Grant Award, Contract, and/or “Blue” sheet (PDN) from RA&F

Discuss proposed changes with your program officer

Official requests must be in writing, endorsed by RA&F and sent to grant/contracting officer

Program officers typically cannot approve changes to award terms and conditions

During the term of the sub award, the principal investigator is responsible for monitoring the activities of sub recipients to ensure that Federal awards are being used for their authorized purpose and that performance goals are achieved

The PI (or departmental designee) is required to review and approve all invoices, technical and financial reports.

Changes in key personnel Significant changes in PI effort, often

defined as:◦ the absence of the PI from a project for more

than 3 months and/or◦ a reduction in effort of 25% or more.

Review monthly financial reports Work closely with your department/center

business manager Use bridge fund mechanism Adjust expenditures and commitments

promptly Review and sign Labor Verification Reports

promptly – adjust as necessary

Guide to Sponsored Programs - http://www.rpi.edu/dept/finance/docs/research/Guide_to_Sponsored_Programs.pdf

Unallowable Non Reimbursable Expenses - http://www.rpi.edu/dept/finance/docs/research/UnallowableNonReimbursableExpenses.pdf

Direct charging - http://www.rpi.edu/dept/finance/docs/research/DirectCharging.pdf

Labor Verification Policy - http://www.rpi.edu/dept/finance/docs/research/LaborVerificationPolicyandProcedures.pdf

Ivar Strand, Assistant Vice President, Research Administration: strani@rpi.edu; phone: 2161; West Hall, 4th floor

Angelo Chrisomalis, Director, Research Finance: chrisa2@rpi.edu , phone: 6924; West Hall. 3rd floor

Richard Scammell, Director, Research Administration: scammr@rpi.edu, phone: 6177; West Hall, 4th floor

Website: http://www.rpi.edu/research/index.html