New Faculty Event, October 21, 2013
Ivar Strand
Angelo Chrisomalis
Richard Scammell
Mission Statement
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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
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Ensure that:
◦ Proposal routing document (“Proposal Information Form”, or “PIF”) is
completed and signed
http://www.rpi.edu/dept/finance/docs/research/ProjectInformationFor
m.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
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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
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Scope of Work – all technical components
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Budget Development and/or Input
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Create “Proposal Routing Form”
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Obtain internal cost sharing commitments
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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
Training – On Campus
Training – Off Campus
26.00%
32.00%
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 Benefits
38.75%
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
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Publication Restrictions
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Intellectual Property Ownership
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Intellectual Property Licensing provisions
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Liability and Indemnification
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Export Controls
GRANT ADMINISTRATOR
DEPARTMENT/ORGN
SUPPORT STAFF
Jennifer A. Rosch
518.276.6176
roschj@rpi.edu
Computer Science (2550)
Electrical, Computer, & Systems Eng. (2260)
Darcy Wilson
Darcy Wilson
Angela Stark
518.276.6169
starka@rpi.edu
Mechanical, Aerospace & Nuclear Eng. (2280)
Lynn Chaplin
Jennifer Newnhan
518.276.6173
newnhj@rpi.edu
Physics (2580)
Chemical & Biological Engineering (2230)
Civil & Environmental Engineering (2240)
Research/Non‐Research Staff (no ORG)
Hartford (2600)
Mary Bielawa
Lynn Chaplin
Irene Nelson
Irene Nelson
Lynn Chaplin
Laura Salvati
518.276.8359
salval@rpi.edu
Biomedical Engineering (2220)
Chemistry and Chemical Biology (2540)
Architecture (2165) / LRC (2190)
Mary Bielawa
Mary Bielawa
Mary Bielawa
Susan Pepe
518.276.2087
pepes@rpi.edu
Materials Engineering (2270)
Arts (2390)
Economics (2400)
Dept of Communication & Media (2410)
Cognitive Science (2420)
Science & Technology Studies (2440)
Management (2480)
Biology (2530)
Earth & Environmental Sciences (2560)
Mathematical Sciences (2570)
Industrial & Systems Engineering (ISE) (2620)
Irene Nelson
Irene Nelson
Irene Nelson
Irene Nelson
Irene Nelson
Irene Nelson
Irene Nelson
Irene Nelson
Irene Nelson
Irene Nelson
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
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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
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Cost Transfers
Time and Effort (Labor Verification) Reports
Cost Allocation Methodology
Technical Reports
Purchasing office supplies, hiring
administrative staff
Fly America Act
No cost extensions
Adherence to sponsor expenditure restrictions
Subcontractor monitoring
Key personnel changes
Research Finance Staff
NAME
TITLE
CONTACT REGARDING:
Angelo Chrisomalis
518.276.6154
chrisa2@rpi.edu
Director
Karen Adriance
518.276.2300
adriak@rpi.edu
Mary Ellen Mainello
518.276.4003
mainem@rpi.edu
Jason Guilbeault
518.276.6735
guilbj@rpi.edu
Lou Ann Griffin
518.276.6361
griffl2@rpi.edu
Leslie Scoons
518.276.8108
scoonl2@rpi.edu
Sandra Gingell
518.276.6924
ginges@rpi.edu
Operations
Specialist
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.
Assists with Award maintenance and Close-out, Budget Allocations, FTR
Processing, Non-sufficient Funds Monitoring, and Reporting
Sr. Grant
Administrator
Universities and NYS Agencies
Cost Analyst
Rate Development, Invoicing, Drawdowns and Payment Receipts
Grant
Administrator
Corporations, Foundations, and Other Not-For-Profit awards
Grant
Administrator
Military, DOE, EPA, and Federal Labs
Grant
Administrator
Invoicing, Drawdowns and Payment Receipts
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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.
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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.
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Comply with all reporting requirements
Submit them on time
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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.
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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).
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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.
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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.
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Not allowed just to spend down project balance
Don’t incur costs unrelated to original award
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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
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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.
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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.
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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
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Guide to Sponsored Programs http://www.rpi.edu/dept/finance/docs/resear
ch/Guide_to_Sponsored_Programs.pdf
Unallowable Non Reimbursable Expenses http://www.rpi.edu/dept/finance/docs/resear
ch/UnallowableNonReimbursableExpenses.pdf
Direct charging http://www.rpi.edu/dept/finance/docs/resear
ch/DirectCharging.pdf
Labor Verification Policy http://www.rpi.edu/dept/finance/docs/resear
ch/LaborVerificationPolicyandProcedures.pdf
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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