Project Status

We will implement the streamlining of research administration in waves. Each implementation wave is anticipated to last four months.

Below is the summary of changes implemented in Wave 2 and Wave 3.  These changes were announced on April 25, 2016 and will be fully implemented on April 25, 2016.

Uniform Guidance Working Group
Area
Process Change for Implementation
Impact
Policies and Procedures
  • Leveraged efforts of an internal Steering Committee in order to align Rutgers research practices with Uniform Guidance. Reviewed, developed and/or modified policies and procedures related to:
    • Award Closeout*
    • Conflict of Interest
    • Cost Share
    • Direct Charging of Administrative and Clerical Salaries
    • Direct Charging of Computing Devices
    • Effort Reporting
    • Internal Controls
    • Prior Approval
    • Records Retention
    • Subrecipient Issuance and Modification*
    • Subrecipient Monitoring*
  • (* Policy change accompanied by procedure changes)

    Links to final content are available on the Uniform Guidance website.

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Minimize Compliance Risk
Subrecipient Monitoring Working Group
Area
Process Change for Implementation
Impact
Final Subinvoice Approval
  • Final subrecipient invoices no longer require signatures from the Subrecipient PI and Rutgers PI, unless designated as high-risk by the internal Subrecipient Risk Assessment.
  • The approval of the final closeout numbers by the Rutgers PI will serve as their approval of the subrecipient charges for subreceipients that are designated as low-risk by the internal Subrecipient Risk Assessment.
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Reduce Administrative Burden
High-Risk Sub Questionnaire
  • An annual Subrecipient Questionnaire will be sent from GCA Compliance to Rutgers PIs for high-risk subrecipients to assist with the subrecipient monitoring process.
  • Three questions will be asked regarding:
    • Satisfactory subrecipient advancement of programmatic goals
    • Timeliness and accuracy of subrecipient invoices and reports
    • Regularity of communication with the Subrecipient PI
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Minimize Compliance Risk
Departmental Checklist for Sub Monitoring
  • Developed an optional departmental checklist with guidance for monitoring subrecipient payments and performance.
  • The checklist can be located on the ORSP website
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Minimize Compliance Risk
Cost Share Working Group
Area
Process Change for Implementation
Impact
Cost Share Procedure Guidance
  • Standardized procedure guidance for requiring the inclusion of Cost Share in the budget at the proposal/award stages and establishment of companion accounts.
  • Created a corresponding process grid distinguishing requirements for Mandatory Committed, Voluntary Committed, Voluntary Uncommitted, and Third Party cost sharing types.
  • This procedure guidance and corresponding policy are available on the ORSP website.
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Promote Transparency
Conflict of Interest Working Group
Area
Process Change for Implementation
Impact
eCOI Training Module
  • Reduced the Conflict of Interest training module in eCOI system by 63% to capture the policy information most relevant to faculty.
  • The four-year required training for RBHS begins August 2016.  Investigators will not be able to process annual disclosures or research certifications until the training module is complete
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Reduce Administrative Burden
Research Certifications
  • Reduced Research Certification by 60% for Investigators that have financial interests disclosed to remove information that is not required to make a relatedness determination.
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Reduce Administrative Burden
Email Reminders
  • Revised the email sent to Investigators to complete the Research Certification to provide clear instructions for completion.
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Promote Transparency
COI Monitors
  • Changed “Department Review” to “COI Monitor Review”
  • Identified COI Monitors for Rutgers N, NB and C
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Minimize Compliance Risk
Department Admin Role
  • Developed a Department Administrator role to allow departments to view annual disclosure dates and the status of the research certification. Access is granted by the COI Monitor.
  • This is the same role given to ORSP, but is limited by the assigned unit.
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Reduce Administrative Burden
Cost Transfer Working Group
Area
Process Change for Implementation
Impact
Non-Payroll Cost Transfer Forms
  • Simplified the Cost Transfer Between Projects Approval (CTBPA; RBHS) and Late Cost Transfer Exception Request (LCTER; RU) forms for non-payroll cost transfers to 1-page fillable pdfs.
  • New forms and guidance are available on the GCA website
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Reduce Administrative Burden
Payroll Reallocation Forms
  • Simplified the Change in Source of Funds (CISF; RBHS) form for salary reallocations to a 1-page fillable pdf.
  • Created guidance for completing the Salary and Wage Redistribution Justification (SWRJ; RU) form to clarify field entry.
  • New forms and guidance are available on the GCA website.
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Reduce Administrative Burden
Cost Transfer Approval Signatures
  • Reduced and standardized signatures for cost transfers under 90 days:
    • Department Preparer
    • Department Reviewer
    • GCA Official
  • Reduced and standardized signatures for cost transfers over 90 days:
    • PI
    • Business Official/Research Dean
    • GCA Official
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Reduce Administrative Burden
Research Website Working Group
Area
Process Change for Implementation
Impact
ORRA Website
  • Launched a new ORRA website with simplified content and imagery.
  • Removed legacy sites within individual schools.
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Promote Transparency
Clinical Trials Working Group
Area
Process Change for Implementation
Impact
Clinical Trials with a Defined Budget (e.g., NIH)
  • Rutgers internal budget template is required for award set-up (new, modifications, continuations, etc.).
  • Full budget will be entered in the financial system.
  • If an end date is specified, the sponsor defined end date will be entered in the system.  Otherwise, the award will be set-up for a three year period.
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Minimize Compliance Risk
Clinical Trials with no Defined Budget (e.g., Industry)
  • Rutgers internal budget template is not required for award set-up. Only the per-patient budget provided to the sponsor is needed.
  • Initial budget allocation will be set at $5,000 in the financial system.
  • Award will be set-up for a three year period.  At the end of the three year period, departments can request a three year extension.
  • Departments will send invoices to GCA monthly when sent to the sponsor.
  • GCA will increase the budget and book AR accordingly.
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Minimize Compliance Risk
Effort Reporting Working Group
Area
Process Change for Implementation
Impact
New/Change System Access Forms
  • Simplified the New/Change System Access forms for ECRT and FTERS to 1-page fillable pdfs.
  • New forms are available on the GCA website
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Reduce Administrative Burden

 

Below is the summary of changes implemented  in Wave 2.  These changes are effective as of February 1, 2016.

Award Closeout Working Group
Area
Process Change for Implementation
Impact
Invention Statements
  • Standardized process for submitting invention statements during award closeout. The PI/Department will send completed invention statements directly to the DGCA Accountant/Analyst for sponsor submission. DGCA will work with the Office of Research Commercialization to verify the accuracy of the invention statement. For NIH awards, the PI/Department will complete the invention statements in ERA Commons and notify the DGCA Accountant/Analyst for University approval.
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Promote Timely Review
Conflict of Interest Working Group
Area
Process Change for Implementation
Impact
Training
  • Following the implementation of eCOI to all units in October, the Office of Research Regulatory Affairs (ORRA) will be conducting training sessions for faculty, staff and department administrators. Click here for a list of training opportunities.
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Enhance Process Efficiency
Non-Employee Attestation Form
  • Removed the Non-Rutgers Employee Attestation Form from eCOI. Subrecipients will only complete the Rutgers COI process if the subrecipient institution does not have a PHS compliant policy in place.
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Promote
Transparency
Outgoing Subrecipients
  • Removed questions related to outgoing subrecipients from eCOI. Relevant COI information is collected separately during the sub-agreement execution process.
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Enhance Process Efficiency
Advance Accounts Working Group
Area
Process Change for Implementation
Impact

Institutional Prior Approval System

(IPAS)

  • Advance Accounts: The PI/Department may request an account or index before an agreement is received by Rutgers or it is fully-executed.  Advance accounts require a back-up account from the Department and restrict spending.  If approved, advance accounts will be expedited for set-up. Advance Accounts can be requested via the Institutional Prior Approval System (IPAS).
  • Pre-Award Spending: Certain sponsors allow spending in advance of the award start date. Once an award is fully-executed, the PI/Department may request approval for expenses incurred prior to the award start date if allowed by the sponsor. This request should be made via the Institutional Prior Approval System (IPAS).
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Increase Customer Service
Contract Agreement Types Working Group
Area
Process Change for Implementation
Impact
Contract Agreement Types Decision Tree
  • Developed a resource to clarify the various contract agreement types issued by the Office of Corporate Contracts (OCC), Office of the General Counsel (OGC), Office of Research and Sponsored Programs (ORSP), and Procurement.
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Enhance Process Efficiency
Gift vs. Sponsored Project Checklist
  • Developed a resource to distinguish between gifts and sponsored projects. This provides guidance to determine whether an award is considered a gift or sponsored project, which office handles the agreement and the form needed to request an account or index.
  • The Contract Agreement Types Decision Tree and Gift vs. Sponsored Project Checklist guidance can be found on the ORSP website.
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Promote Transparency
Effort Reporting Working Group
Area
Process Change for Implementation
Impact

FTERS Certifications

(RBHS Faculty Only)

  • Simplified the effort certification process in the FTERS System. The following changes will be implemented for the July 2015 – December 2015 certification period which will be issued for certification in February 2016:
    • Removed certification requirements for individuals that do not conduct research, or whose research activities are not funded by state/federal/local funding. Certified effort statements are now only required from individuals with effort on one or more sources of state/federal/local funding (including pass-through).
    • Reduced the categories that must be certified.  Individuals only need to certify detail for research awards in the Research and Sponsored Activities category. All other effort can be included as a lump-sum percentage in Non-Sponsored Activities.
    • Removed the post-approval review by the Dean. Effort reports are available to Dean for oversight in the system.
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Reduce Administrative Burden

Effort Recertification Requests

(Both RU and RBHS)

  • Simplified the recertification process. If you need to reopen and recertify a previously certified and processed effort card, complete the updated Recertification Request and submit to pacer@rci.rutgers.edu. Recertification of previously certified effort certification documents should be limited to rare and extenuating circumstances and a justification to recertify must be provided.
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Enhance Process Efficiency

 

Below is the summary of changes implemented  in Waves 1-2.  These changes were announced on October 27, 2015 and will be fully implemented on November 2, 2015.

Award Set-up Group
Area
Process Change for Implementation
Impact
Award Set-up Unit for RBHS
  • Established an Award Set-Up Unit to ensure sustained, ongoing success for award set-up for priority during Wave 2.
  • The award set-up unit will have staff dedicated solely to the set-up of RBHS awards. The Office of Research and Sponsored Programs and the Division of Grants and Contracts Accounting will continue to set-up awards for Rutgers Newark, New Brunswick and Camde
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Reduce Administrative Burden
IACUC Congruency Review
  • Eliminated review of approved IACUC protocols in subsequent years of non-competing continuations/modifications unless a significant change to vertebrate animals is identified on the progress report.
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Promote
Timely
Review
Project Fund Source Form
  • Streamlined Project Fund Source/Index Request & Modification Form to request additional accounts or indices.  If requesting project accounts, please submit this form to ORSP/OCC with all other award documents.
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Promote
Timely
Review
Establishment of New Accounts or Indices
  • Created guidelines for when awards will keep the same account/index for the project period and when a new account/index will be set-up each year.
    • New Account/Index Each Year: A new account/index will be set-up each year if the award includes the following terms and conditions:
      • New award number
      • New competing segment
      • Change in payment method (e.g. from G to P subaccount (NIH only))
      • Restricted carryforward
      • Supplemental funding with new scope
      • Restricted funding with concurrent indirect cost rate
    • Same Account/Index for Project Period: For all other scenarios, the same account/index will apply for the project period.  For instance, if you have a five year award with automatic carryforward, the same account/index will be in place for all five years.
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Enhance
Process
Efficiency
Oracle End Date
  • For Oracle (legacy Rutgers) awards that keep the same account for the project period as outlined above, the financial system will allow expenses to be charged after the end date for continuing years.  Departments do not need to submit an IPAS request to extend the internal IPAS end date, unless the award letter is delayed by more than 90 days.
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Reduce Administrative Burden

 

Conflict of Interest Working Group
Area
Process Change for Implementation
Impact
Implementation of eCOI
  • As of October 19th, the eCOI system has been implemented across all units.  This is the first system and process that is consistent across all Rutgers units.
  • For additional guidance on who needs to disclose and when to disclose, visit the ORRA website.
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Reduce
 Administrative
 Burden

 

Subrecipient Monitoring Working Group
Area
Process Change for Implementation
Impact
Subrecipient Commitment Form
  • Developed a consolidated commitment form for PI/Department Administrator to collect necessary subrecipient information during proposal submission for each new subaward.
  • This form replaces the Subrecipient checklist and should be collected with the budget, budget justification, letter of intent, and scope of work.
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Minimize
Compliance Risk
Risk Assessment Tool
  • Developed a tool for ORSP to objectively categorize subrecipients’ risk level, in accordance with Uniform Guidance.  The level of risk will determine the terms and conditions included in the agreement.
  • For additional detail related to Subrecipient monitoring, visit the ORSP website.
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Minimize
Compliance Risk
Award Closeout Working Group
Area
Process Change for Implementation
Impact
Closeout Timeline
  • Standardized timeline and templates for closeout communications between the PI/Department and DGCA.  Departments will receive an automatic notification 60 days prior to the award end date to trigger a no-cost extension request or award closeout.
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Enhance Process Efficiency
Department Checklist
  • Developed standard checklists for use by the PI/Department and DGCA when completing closeout action items.
  • To view the Department Checklist and the Closeout Timeline, visit the DGCA website
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Enhance Process Efficiency
IRB and IACUC Working Group
Area
Process Change for Implementation
Impact
IACUC Policies
  • Aligned committee processes for full board and designated member review.  For the Rutgers IACUC, this will result in certain protocols moving to Designated Member Review that are currently reviewed by the full board.
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Promote
Timely
Review
IRB De Novo Process
  • Delayed “de novo” process for the Arts and Sciences IRB until eIRB is implemented next spring to avoid re-writing IRB protocols for the de novo process and again for conversion to eIRB.
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Reduce
 Administrative
 Burden

 

Below is a summary of changes implemented during Wave 1. These changes were announced on August 3, 2015 and will be fully implemented on September 1, 2015.

Proposal Submission Working Group
Area
Process Change for Implementation
Impact
External-Process Change Impacting Entire Research Community
Endorsement Form
  • Shortened Endorsement Form from 6 to 2 pages for use prior to RAPSS implementation by eliminating unnecessary and duplicative data fields.
  • The shortened Endorsement Form replaces the previous version of the Endorsement Form, as well as the Clinical Trial Endorsement Form.
  • Added electronic signature capability to eliminate back and forth of approvals on paper forms.
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Reduce Administrative Burden
Internal Submission Deadline & Enforcement Mechanism
  • Enacted a 5 business day deadline for administrative components and 2 business day deadline for scientific elements prior to the sponsor deadline.
    • All administrative items are required 5 business days before the sponsor deadline.
    • All final science is due 2 business days before the sponsor deadline
      • If your proposal is not submitted to ORSP by the 2 business day deadline, an exception request must be sent to the AVP for Research Administration (cc ORSP Grants Specialist).
      • Email proposal_exception@rutgers.edu, including a justification as to why your proposal could not meet the established internal deadline(s).
    • Once ORSP reviews the proposal, the Grant Specialist may request changes. All changes must be completed and returned to ORSP no later than 12PM Eastern Time on the day of the sponsor deadline
  • The full policy is located on the ORSP website: http://orsp.rutgers.edu/proposal-preparation-and-submission-proposal
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Promote Timely Review
Conflict of Interest Review
  • Established requirement that an up-to-date financial conflict of interest (FCOI) disclosure must be on file for all Investigators (e.g. PI, Co-PIs) listed in the proposal at the time of submission.
    • Note that investigators will not be required to submit a new FCOI disclosure at the time of proposal submission
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Reduce Administrative Burden & Minimize Compliance Risk

 

Award Management Working Group
Area
Process Change for Implementation
Impact
External-Process Change Impacting Entire Research Community
IPAS System
  • Removed the Dean/Director/Designee approval for all IPAS requests (e.g. late cost transfers, advance account requests).
  • Removed no-cost extension requests from the IPAS system and transferred approval of first time no-cost extensions from DGCA to ORSP.
    • All no-cost extensions requests now will be reviewed, approved, and processed by ORSP before sent to DGCA for financial systems updates.
    • To submit a no-cost extension request, contact your ORSP Specialis
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Enhance Process Efficiency
Internal-Process Change Impacting Central Research Offices Only
Invoicing & Reporting Tool
  • Developed automated Excel tool to review expenses and prepare invoices and reports for those units (e.g. RBHS, Rutgers – Camden) that do not have access to AIRS.
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Reduce Administrative Burden

 

Award Set-Up Working Group
Area
Process Change for Implementation
Impact
External-Process Change Impacting Entire Research Community
Budget Reductions
  • Established a 5 business day window for PI to respond to budget reductions less than 25% and under Expanded Authorities. ORSP will perform a straight line reduction across all cost categories, if updated budget is not received.
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Promote Timely Award Set-Up
Non-Competing Continuations
  • Determined interim process of utilizing updated 2 page Endorsement Form for award modifications and non-competing continuations.
    • Only the PI signature will be required for non-competing continuations.
    • Process will be streamlined electronically in RAPSS during the Phase 2 Implementation (March 2016)
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Reduce Administrative Burden
Signature Authorization Form
  • Eliminated collection of the Signature Authorization Form, as approval is obtained via EBRC code and other electronic approvals.
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Reduce Administrative Burden
Automatic Award Notification
  • Implemented automatic electronic notification of award set-up for awards set-up in Banner to align with awards set-up in Oracle. This will replace the report on the Researcher’s Dashboard.
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Enhance PI Customer Service
Internal-Process Change Impacting Central Research Offices Only
IRB Congruency Review
  • Eliminated review of approved IRB protocols in subsequent years of non-competing continuations/modifications. Pending, approved with stipulations, and expired protocols will continue to be reviewed at the time of award set-up.
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Reduce Administrative Burden

Initiatives for Wave 1 (May – August 2015)

  1. Proposal Submission
    Streamline proposal review process from identifying a funding opportunity to submission of the proposal to the sponsor
  2. Award Setup
    Streamline award setup process and implement standard communications at key steps from receipt of award to account/index setup in the financial system
  3. Award Managment
    Analyze financial information provided for novated awards
    Simplify central reporting and invoicing process
  4. Contract Agreement Types
    Provide guidance on when to use certain research agreement mechanisms, and the office or contact for each type of agreement
  5. Award Closeout
    Develop a standard process and template for reporting final financial figures to the sponsor and closing accounts/indices in the financial system
  6. Cash Management
    Automate tools used to report and draw funds from federal agencies
  7. Subaward Execution and Subrecipient Monitoring
    Reduce subaward execution time
    Revise processes for monitoring subrecipient institutions
  8. Animal Protocols
    Harmonize processes and procedures across the Institutional Animal Care and Use Committee
  9. Human Subject Protocols
    Harmonize processes and procedures across the Institutional Review Board
  10. Conflict of Interest
    Harmonize processes and procedures across the units at Rutgers
  11. Technology Roadmap
    Develop an IT roadmap that identifies and prioritizes a single system to support research adminstration functions