THE SCHOOL OF NURSING FACULTY GRANT WRITER S HANDBOOK

Transcription

1 THE SCHOOL OF NURSING FACULTY GRANT WRITER S HANDBOOK September

2 TABLE OF CONTENTS Table of Common Acronyms 3 Office of Grant Support Functions and Key Research Office Staff 4 Overview of Pre-and Post-Award Processes.6 Snapshot of PI/PD Responsibilities.9-10 Submitting a Proposal Step by Step When There are Subcontracts..14 When You Get Your Award 15 Post-Award Support..15 Post-Award Management Annual Progress/Final Reports..17 Useful Links

3 TABLE OF COMMON ACRONYMS AO. Authorizing Official, RBHS COI.Conflict of Interest GCA... Rutgers Grants and accounting ecoi...electronic Conflict of Interest eirb...electronic-institutional Review Board FXB...Francóis-Xavier Bagnoud, a clinical and research center IRB...Institutional Review Board ORSP....Office of Research and Sponsored Programs (RBHS level) PI/PD....Principal Investigator / Project Director RA... Research Assistant RAPSS..Research Administration Proposal Submission System RBHS.. Rutgers Biomedical and Health Sciences RU... Rutgers University RWJUH... Robert Wood Johnson University Hospital SN... School of Nursing UH...University Hospital 3

4 OFFICE OF GRANT SUPPORT FUNCTIONS AND KEY RESEARCH STAFF The Office of Research and Sponsored Program Support is responsible for supporting research and sponsored programs initiated by faculty and students at Rutgers University School of Nursing. The Office oversees compliance of research personnel with all research-related policies and regulations set forth by Rutgers Biomedical Health Sciences (RBHS) and Rutgers, The State University of New Jersey from grant submission through final report. o o o o Phone, , and brief bios of each of the staff listed below appear on our SN webpage. Janet Bowne, MS, CRA Assistant Dean, Director of Contracts and Grants Benjamin Anderson Jr., MPA Program Coordinator, Office of Grants and Contracts Cheryl Thiemann, MPA Executive Assistant to the Dean and Directors All of the above staff are supervised by the Dean of Research and Support Services (currently Margaret W Sullivan, Ph. D.). The Dean also oversees the operations of the Office of Institutional Research, but this office is not directly involved with grants except on an as need basis. The organizational chart for the office is on the following page. See Figure 1. 4

5 Figure 1. Office of the Associate Dean of Research and Sponsored Program Support Assoc. Dean of Research. Assistant Dean, Director of Grants and Contracts (J. Bowne) Exec. Asst. to Dean and Directors (C. Thiemann) Program Coordinator (B.Anderson, Jr.) The main office is located at 180 University Avenue, Ackerson Hall, Second Floor, Newark, NJ Auxillary office: 110 Paterson Street in New Brunswick, Third floor. For the convenience of NB campus faculty, the office is staffed Wednesday and Friday by Janet Bowne, and at least one day per week by Dean Sullivan.Consult with Ms. Thiemann regarding scheduling appointments at either location. 5

6 OVERVIEW OF PRE- AND POST- AWARD PROCESSES The SN s Office of Research and Sponsored Program Support is the liaison between faculty and RBHS s Office of Research and Sponsored Programs (ORSP). This means that while all grant applications flow through our office, award submission and award setup are managed centrally at the RBHS level. The SN office does not directly submit grants, but provides resources and coordination for PI/PDs and works closely with ORSP. The ORSP official who works with your grants is SN s designated Grants Specialist. The Authorizing Official (AO) in ORSP is the LAST person to approve your grant and who does the final submission for the majority of proposals. The Grants Specialist and AO work with our office to ensure that the final version of your grant is complete, in compliance with all rules and policies in the guidelines and submitted on time. There is a separate AO for the University for subawards and nonprofit Research/Service agreements. Subawards and Memorandums of Agreement/Understanding (MOA/MOU) involve institutions other than Rutgers. RAPSS (Rutgers Administration Proposal Submission System) is ORSP s electronic tool that ensures submissions of all grants and contracts are centrally logged, internally approved, and compliant with the University s policies and standards at the time of award submission. RAPSS is also involved in award setup and tracking. PI/PD s work with Cheryl Thiemann or Ben Anderson (or the Director of Administration for the FXB Center) to initiate the RAPSS process. Full edit privileges (read/write) need to be given to all Research staff for internal routing and review of all funding requests. Award notices, service agreements and award set-up all use RAPSS. All corporate contracts are also processed through this system. Information about financial disclosures (ecoi) and IRB status (eirb) are also entered into RAPSS at the time of award setup in SN s and RU financial monitoring systems. RAPSS applies to foundation submissions too. The Rutgers University (RU) Foundation collaborates with our office to submit all foundation proposals through RAPSS. RU Foundation supports proposal writers with an editor, serves as the contact with the targeted program officials if required or desired, and will help identify potential funding sources or match proposals for faculty on request. Our office provides foundation and internal submissions with the same budgetary and technical document support as other external funding requests. Internal funding through School or other Rutgers sources (e.g., Busch Biomedical, GAIA) are typically logged into RAPSS at the time an award is made, but budget reviews are required before submission. Sometimes for smaller Foundation or Association competitions, PIs can upload their proposals directly, BUT ONLY after obtaining Pre-Award sign-off by the AO. 6

7 PRE-AWARD SUPPORT PIs must notify SN s Associate Dean s Office about any planned submissions that will seek financial support from any external or internal source. The Associate Dean and Director of SN Grants and Contracts (or Director of Administration, FXB Center) provide a checklist (See Figure 2) for the PIs and will work with them to coordinate grant preparation activities, assist with budget development, produce technical proposal documents such as bio-sketches and other required components, and assist with preparation of RAPSS endorsement as needed giving full edit privileges (read/write) to research staff. The Office of Grant Support works with the PI/PDs to meet the standard internal ORSP deadlines of 5 days prior to external deadline for the close to final draft of all submissions, and 48 hours prior to external deadline for final science narrative. Failure to meet these RBHS deadlines may delay or stop submission of a funding request. What SN s Office of Grant Support does at minimum: 1. Consult with the PI on project design or help locate expertise within RU to do so. 2. Help you develop the budget. 3. Set up a target timeline and checklist (see below) for proposal completion and help the PI stay on-schedule for internal approval at ORSP. See sample provided. 4. Request that ORSP establish era Commons credentials for the PI if needed. 5. Communicate with the PI regarding outstanding items. 6. Facilitate the internal routing and endorsement of your proposal. 7. Advise you on the preparation of tables, figures etc. 8. Proof and edit the final draft of your scientific narrative. 9. Assist you in assembling and submission of your application for final approval. Figure 2. A sample checklist for an R03/R21 federal submission: Please note: The Responsibility column denotes the Principal Investigator and an ABC denotes one or more Office of Grant Support personnel. Budget Proposal Documents Page Limits Responsibility Due Dates TECHNICAL COMPONENTS Final documents due: Detailed Budget (non-modular) Use R & R budget forms PI and ABC Budget Justification (Detailed budget) No limit PI and ABC Budget - Modular (applicable only to R01, R03, R15, R21 and R34) Use R & R modular budget forms 7 PI and ABC Personnel Justification - Modular budget No limit PI and ABC Additional Narrative - Modular Budget (as needed) No limit PI and ABC

8 Other Project Information Project Summary/Abstract maximum 30 lines total PI Project Narrative 2 to 3 sentences PI Facilities and Other Resources No limit PI Equipment (if applicable) No limit PI Biosketches for Key Persons & Other Significant Contributors 5 page limit per person PI and ABC Multiple PI Leadership Plan (if applicable) No limit PI Consortium (Subaward) Section Consortium detailed budget Use R & R budget extract ABC Consortium detailed budget justification No limit ABC Consortium budget for modular proposal (internal to UW) No limit ABC Consortium budget justification No limit ABC Consortium Institutional Letter of Support 1 letter per Consortium ABC Consortium/Contractual Arrangements No limit PI and ABC Consortium Scope of Work (for UW internal purposes) No limit ABC Research Plan SCIENCE COMPONENTS Science documents due: Specific Aims 1 1 page limit PI Research Strategy (R03, R13, R21, R35, R36, R41, R43, R50, U13) 1 6 page limit* PI Bibliography and References 2 No limit PI Introduction (resubmission/revisions only) 2 1 page limit PI Progress Report Publication List (renewals only) 2 No limit PI Authentication of Key Biological and/or Chemical Resources Other If applicable; 1 page suggested PI Vertebrate Animals No limit PI Select Agent Research 2 No limit PI Letters of Support (if applicable) As needed PI Resource Sharing Plan (if applicable) 2 No limit PI Cover Letter (if applicable) 2 No limit PI PHS Assignment Request Optional PI Appendices (Note: can't be used to circumvent page limits of the 10 document limit PI research plan or other documents) 2 8

9 Human Subjects Protection of Human Subjects No limit PI Data Safety Monitoring Plan Required for Clinical PI Trials, no limit Inclusion of Women/Minorities No limit PI Inclusion of Children No limit PI Planned Enrollment Report (new/revisions only) No limit PI Cumulative Inclusion Enrollment Report (renewals only) No limit PI SNAPSHOT OF PI/PD RESPONSIBILITIES What the PI is Responsible For: Planning the specific aims, experimental design, outcomes, expected results, and alternative approaches. Determining the appropriate source for funding (NIH, DOE, DOD, AHRQ, etc.) and the mechanism (i.e., for NIH; R21 R03, R01, etc.) Notify the Office of Grant Support of your intent to submit for a deadline and whether you will seek external or internal (anonymous faculty peer) review of your proposal. What the Research Office Helps With: Tailoring your Grant Forward search, recommending specific funding announcements, facilitating a connection with the development officer at RU Foundation, or with potential collaborators or external reviewers, if desired. Directing you to initiate internal routing of your application in RAPSS working with Cheryl Thiemann or Ben Anderson. Full edit privileges (read/write) need to be given to these staff by the PI. Downloading forms from the chosen agency for you and alert ORSP (RBHS central grants administration) of your intent to submit. Developing an application-specific checklist and writing/document schedule for you and schedule any desired review. Providing sample boilerplate about SN and Rutgers which you may use and freely edit for organizational descriptions, and charts, Data Sharing Plans, and biosketch templates. Editorial support is available upon request. Obtaining support for development of figures, tables, and other illustrative material that may be needed in your proposal. Obtaining/tracking of support letters upon request. 9

10 Determine the need for IRB, and Biosafety Committee approval. List equipment and space requirements, timelines, outcomes, personnel requirements, and estimate overall costs for your preliminary budget meeting. Write the grant. Advising and providing sample Human Subjects sections for NIH applications and troubleshooting issues on your behalf as needed. The Director of Grants and Contracts or a representative will meet with you to draft the budget. Some equipment and space needs require central approval; Director of Grants & Contracts will advise you if this is necessary. Final proofing is available if you request it. A final check for completeness before submitting the final application package through RAPSS to ORSP for AO authorization and submission. 10

11 SN Faculty Grant Handbook.version SUBMITTING A PROPOSAL STEP BY STEP 1. Faculty should advise SN s Office of Grant Support of their intent to submit a grant proposal as soon as they decide to submit a proposal. It will help us budget time to assist you and help you open your funding documents in RAPSS. 2. Provide the link to the program announcement, grant deadline, and/or any guidelines, or request assistance in downloading. The Office of Grant Support will use this to tailor your checklist, and upload to RAPSS so ORSP knows it s coming as well. If RU Foundation is involved, we will alert them also. Special circumstances: We will assist with any special approvals needed for space, equipment or other items required by the grant guidelines. External review may be requested at this time and will be arranged through the Dean s Office. 3. Review the timeframe for completion of the various proposal components, including all supporting materials and components based on the checklist and timeline you were provided. ORSP deadlines are, except under special circumstances, not flexible. If you are planning to go to a conference or will be on vacation during the week that the proposal is due, work with us to revamp the schedule, so that all documents are with our office and approved for submission by ORSP BEFORE you leave. 4. External reviews are recommended for large, federal proposals, but this must be requested at the time the decision to apply is made to allow adequate time to set the reviews up and arrange for your consultant s payment. Internal reviews are optional, but available for all faculty, provided that a working draft of the proposal is submitted to the Dean at least 14 days prior to your internal grant deadline. This is to give the reviewers reasonable time to read and critique your work. 5. Schedule a preliminary budget meeting with the Director of Grants and Contracts or the support staff who will arrange a consult with Finance if necessary for larger or complex proposals, those with costsharing and any required ORSP (central administration) approvals for construction, major equipment, lab space, etc. The Director of Grants and Contracts will advise you if this is needed for your proposal. All University and SN policies must be followed regarding the allocation of space and salary requests. A detailed budget and Budget Justification or Narrative are required in all proposals to be drafted by the PI following the preliminary budget meeting. Good ones may help minimize budget reductions in your final proposal. The Office of Grant Support will assist with preparation of a budget justification, however the PI must provide a draft. 6. The FINAL BUDGET must be provided to the Office of Grant Support at least 7 working days before the external proposal deadline (that is, 2 days before it is due in RAPSS) for final school review. Sometimes things need to change based on your final design; sometimes relevant costs were inadvertently omitted or underestimated. Advise the Director of Grants and Contracts on all budgetary changes from the initial plan. The office will put your budget in the standard RBHS/RU budget template required in RAPSS for you. It is a different format than what the funding agency/sponsor 11

12 SN Faculty Grant Handbook.version typically requests in your proposal, but it must match it exactly and be consistent with the rest of the proposal. 7. A Special Note on Indirect Costs: Indirect costs are required on all grant budgets and subcontracts, unless the sponsoring agency specifically prohibits them. There are different levels of indirect costs for off-campus and clinical research. The Office of Grant Support will help you determine which is appropriate for your project. Reducing indirect costs below the standard, negotiated federal rate requires advance approval from RBHS Central Administration and must be requested as early in your process as possible. Submissions through RU Foundation have administrative costs in lieu of indirect costs, unless prohibited. All gifts/awards/grants come through the RU Foundation. Therefore, the Foundation requires a 5% administrative fee of any award of $10,000 or more. All gifts/awards/grants below $10,000 must include a 10% fee. 8. Final proofing of close-to-final applications will be done by the Office of Grant Support for all proposals provided that they are submitted at least 5 working days (i.e. the ORSP deadline, see below) in advance of the external deadline. 9. All technical documents and a close-to-final draft of your science narrative are required in RAPSS 5 Days BEFORE your external deadline at NOON. A summary table for ORSP follows on page 13 of this handbook. 10. IRB approval is not required before submission of research studies. It is a good idea to submit your protocol in eirb once funding is anticipated. 11. A note about Conflict of Interest disclosures: (ecoi.rutgers.edu). Each PI is responsible for certifying that their research is free from conflict of interest. All faculty register disclosures annually in the RU system. ecoi is considered up-to-date if your last login to update your disclosures occurred within the last 12 months. You will be prompted to update your disclosure again and link it to your IRB approval by creating a research certification if your proposal is funded. SHARING INFORMATION ON COST-SHARING. In RBHS, faculty are strongly DISCOURAGED from including in-kind or cost-sharing in their proposals, unless it is required by the sponsoring agency. This will be specified in the Request for Application (RFA). RBHS policy is that all project activities should be recovered as direct costs from the funder. If in-kind or cost-sharing of project expenses is listed in the proposal, this must be noted in RAPSS and the budget template for your proposal. A source account will be designated from which these funds will be drawn down, should the proposal be funded. This requires consultation with the finance office. Your proposal budget will not be approved without it. When a proposal with cost-sharing is funded, you will be required to submit the completed cost-share budget template, identifying all fund sources/indices which will fund the cost-shared portion of your grant. 12

13 SN Faculty Grant Handbook.version Budgets with a cost-share must be approved and signed off by Dean Holzemer and the Finance Office at SN. If additional RU schools are units, an approved, signed cost-share budget must be provided as well. The fund source for the award cannot be set up without cost share approval and its completed budget template. Following the approval process at the time of your proposal submission, will make index setup at the time of award proceed more smoothly. For further guidance Refer to Rutgers Cost-Sharing Policy SUMMARY OF ORSP REQUIREMENTS FOR SUBMISSION Office of Grant Support (for review) Requested at Five (5) Business Days Before ORSP s deadline Deadline: Noon Office of Research and Sponsored Programs (for final submission) Requested at Two (2) Business Days Before sponsor s deadline Deadline: Noon Completed technical proposal docs in RAPSS with PI signature, working project title; science narrative may still be proofed/edited Completed FINAL docs with all required approvals and final project title Sponsor's guidelines, if not provided earlier Final biosketches, letters, all technical proposal elements Final budget with budget justification Final science, which may include: Project Summary/Abstract Project Narrative Bibliography & References Cited Specific Aims Research Strategy Resource Sharing Plan(s) Subaward documents (if applicable): Budget Budget Justification Completed COI Disclosure if needed. A new disclosure is not required if PI has updated it within the last 12 months. 13

14 SN Faculty Grant Handbook.version Office of Grant Support (for review) Requested at Five (5) Business Days Before ORSP s deadline Deadline: Noon Office of Research and Sponsored Programs (for final submission) Requested at Two (2) Business Days Before sponsor s deadline Deadline: Noon SOW Letter of Commitment WHEN THERE ARE SUBCONTRACTS A. If Rutgers is a main/lead grantee in a submission and enters into an agreement (subcontract) with another institution as part of the grant s work plan, the general procedures for submission are the same. The following additional documents are required: 1. Letter of intent to establish a subcontract from subawardee (preferably using the RU budget template). 2. Scope of work, budget, and budget justification. In other words: The subcontractor s proposal. B. If Rutgers SN is a subawardee on a grant submission at another institution, the general process is the same and the following documents are required: 1. Completed RAPSS approval of SN s subcontract proposal, including a detailed budget and justification on the RBHS template. 2. Completed and signed letter of intent (Use either the primary institutions template or RU template). 14

15 SN Faculty Grant Handbook.version WHEN YOU GET YOUR AWARD Let us know so we can congratulate you and initiate the award setup process. Award notices may come directly to ORSP or to you personally depending on the sponsor. ORSP will usually use RAPSS to notify everyone, but don t assume: Send us a copy of your award notice. Award setup involves the co-ordination of multiple systems through the RAPSS Award Module. It involves resolving any funding cuts or reductions in scope of work from the original proposal as well as documenting all compliance approvals (e.g.: ecoi; IRB; UH-approved Research Plan, if applicable). POST-AWARD SUPPORT Once an award notice is received, the process of setting up an award is handled at the RBHS level by ORSP s Award Set-up Team, comprised of several individuals who will review the terms of the award and conduct a compliance review. ORSP staff works with the Office of Grant Support and the PI/PD to revise the budget if there have been cuts. If there are no changes, the award will move forward in ORSP to the compliance review stage. Compliance review checks that the project conforms to University policies for IRB, conflict of interest disclosure (ecoi), and export controls for international projects at minimum. If IRB approval is pending, your account can be setup, but will have a hold placed on funds until approval is issued. If you are working with collaborators outside of the Rutgers University system on a grant and you are having difficulties setting up a guest Net ID, e- COI, etc., please advise the Office of Grant Support. Once compliance review is completed, ORSP refers the grant to Rutgers Grants and Accounting for account setup in ORACLE, the University s accounting system. New accounts are accessible by SN s Finance Office thereafter. The length of time taken from award to account setup will vary depending on compliance review. This is why it is important to proceed with updating IRB, ecoi as soon as you hear that funding is likely. These reviews are processed in separate systems, may take some time (especially IRB) and can delay account setup. If rapid access to funds is required, PI/PDs can work with the Research and SN Finance Offices to request an Advance Account, upon receipt of your award letter. POST-AWARD MANAGEMENT The Office of Grant Support will set up a meeting with you and Finance if necessary, to review any restrictions or special conditions of spending on your grant. All day-to-day budget requests on your grant must be approved by the SN Finance Office and will be monitored centrally by RBHS GCA s Post-Award Office. Approval is subject to any terms of the grant. You may not spend money just because it is there. PI/PDs have fiduciary responsibility for all awards. A grant account is not a bank account. It is a business agreement to use awarded funds to accomplish the scope of work within a specified timeframe. PIs are expected to be good stewards of their funding and to finish projects within budget and within the expected time frame. No cost extension requests should be the exception, not the rule. 15

16 SN Faculty Grant Handbook.version PI/PDs will receive periodic statements of their account balances or can request updates as needed from the SN Finance Office. SN s Director of Grants and Contracts (or Director of Administration, FXB Center) is available to advise on spending issues and to help project spending in preparation for interim and final reports. The Office maintains a calendar of grant end dates to remind PIs when these are due. The Office will also troubleshoot issues and problems related to purchasing, billing, and routing of contract approvals and research agreements, working with Finance to resolve these when necessary. Please alert the Office of Grants and Contracts immediately if you run into issues with purchasing or billing so we can assist you. Clerical support for Purchase Order requests, Travel Plans and Advances, and Consultant Honoraria should be processed through the administrative unit with which you are associated and submitted directly through the Finance Office. Usually this will be done by your division support person. Some Centers (e.g. FXB) and clinical services (e.g., Jordan & Harris/Mobile Health) have their own support personnel, which should be used. The Office of Grant Support does not have clerical support to do these tasks. PIs are strongly encouraged to budget RA time on grants and to include this type of clerical job function and when developing job descriptions for project staff. The exception is purchase of gift cards for research participant incentives which will be handled by The Office of Grant Support. Cheryl Thiemann is familiar with this process and can expedite it once IRB approval is obtained. Other guidance on the following topics may be found on ORSP s website: Modifying an award: General Information on Award management: Closing out your award: 16

17 SN Faculty Grant Handbook.version ANNUAL PROGRESS/FINAL REPORTS The Office of Grant Support will alert you and request a status from Finance when you have less than 6 months left in your funding period. Almost all awards require an annual and final report. Fiscal reports are prepared automatically annually and at the end of an award by the Office of Grants and Accounting. The fiscal analyst will determine whether you are likely to be underspent for the current year and whether any special action (e.g., a formal No Cost Extension or roll-over request) is required. The Office of Grant Support will assist you in preparing a revised budget request and any of these forms for your annual report. Routine progress report narratives should be submitted/routed to The Office of Grant Support 5 days prior to sponsor s due date and include the following: 1. Completed narrative and any supporting documents for upload into RAPSS. 2. The Finance Office will prepare a financial statement for approval by RU GCA before release. The Authorizing Official must approve both documents (narrative, financial statement) before your report is submitted to the funding agency. 17

18 SN Faculty Grant Handbook.version USEFUL LINKS Budget template: (choose RBHS Budget Actual template if you are a Legacy UMDNJ faculty member. If you are a legacy CON faculty member you should choose Rutgers Budget Actual template) from this website: ecoi: Rugters IRB: SciENcv (NIH s support system for biosketchs: Subcontract/modification form The Research Office website may be found at: CONTACT INFORMATION: Office of the Associate Dean for Research Services Phone: sullivan@sn.rutgers.edu Janet Bowne, Director of Grants and Contracts Phone: jbowne@sn.rutgers.edu Cheryl Thiemann, Executive Assistant to the Dean and Director Phone: thiemacl@sn.rutgers.edu Benjamin Anderson, Program Coordinator. Phone: ba198@sn.rutgers.edu 18