Research Administration Handbook
03| Budgeting & Budget Preparation
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National Institutes of Health (NIH) grants policy allows the submission of certain elements of a competing application to be deferred for certain programs and award mechanisms until an award is anticipated.
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Rutgers University, as a recipient of sponsored awards, is obligated to ensure compliance with governing laws, regulations, and the terms and conditions of each award. This includes adhering to federal cost principles, which require that all reimbursable costs be reasonable, allowable, and allocable, and be charged as either direct or indirect (F&A) costs.
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As the recipient of a sponsored award, Rutgers University is obligated to ensure compliance with governing laws, regulations, and the terms and conditions of the award. The University is also responsible for adhering to specific cost principles set forth in federal law, which require that all reimbursed costs be reasonable, allowable, and allocable, and that they be charged as direct or indirect (F&A) costs.
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As a recipient of sponsored funds, the University is responsible for properly administering sponsored programs with committed cost sharing in accordance with sponsor requirements and federal regulations. This policy outlines the University’s process for budgeting, tracking, documenting, charging, and reporting committed cost-sharing expenditures to ensure compliance.
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Rutgers, The State University of New Jersey, has negotiated both on-campus and off-campus Facilities and Administrative (F&A) rates with its cognizant agency, the Department of Health and Human Services (DHHS).
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Participant support is allowable as a direct cost when the sponsor (federal or non-federal agency) funds a project aimed at supporting outreach programs.
04| Proposal Preparation & Deadlines
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Under the general oversight and authority of Rutgers University, the Principal Investigator (PI) is the individual responsible for technical compliance, completion of programmatic work, fiscal stewardship of sponsor funds, and compliance with the project's administrative requirements. Thus, the University must ensure that individuals serving as Principal Investigators have the technical competence and administrative capabilities to carry out all projects.
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Sponsors occasionally require that applicants submit a pre-application (e.g., Letters of Intent, White Papers, Concept Papers, and Pre-Proposals) for review before a full proposal. The pre-proposal typically includes a project summary, a list of personnel, and (sometimes) a budget amount / basic budget breakdown.
Open | Letters of Intent, White Papers, Concept Papers, and Pre-Proposals
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The University Board of Governors has delegated authority for approval and submission of proposals to federal, state, for-profit, corporate, not-for-profit, and other non-corporate sponsors, foundations and organizations, educational institutions, and other external organizations to Research and Sponsored Programs (RSP). RSP must review and approve ALL proposals prior to submission to an external funding agency.
07 | Post Award (Non-Financial)
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Occasionally, faculty and staff will be reassigned to another home department due to a department merger or a change in position resulting from a Human Resources action. If the faculty and staff are listed as Principal Investigator/Project Director on sponsored awards, the following procedure will help ensure the awarded project is moved and assigned to the new home department, along with the Principal Investigator/Project Director.
Open | Change in Principal Investigator (PI) Home Department
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Grants and Contracts are awarded to Rutgers, The State University of New Jersey in full consideration of the skills and talents of the Principal Investigator (PI) managing the project. Periodically, situations arise when a PI is no longer available to continue the project.
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No Cost Extension (NCE) is an award provision that allows the Principal Investigator (PI) or Project Director (PD) to request additional time beyond the end of the project period to successfully complete the project's scope of work. Each Sponsor has specific requirements for when and how to request an extension; the additional time is usually up to twelve (12) months, and as the phrase “no cost” suggests, there is no additional funding provided by the Sponsor.
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After a Sponsored Program has been awarded, the Principal Investigator may determine that the approved budget allocations are not consistent with the project's actual needs. S/he may request the formal reallocation of funds from one spending category to another that better reflects the project requirements.
Open | Prior Approval Rebudgeting / Reallocation of a Sponsored Award
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Outline expectations and procedures for submitting an interim and/or final technical progress report to the Sponsor.
08 | Subawards and Subaward Management
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This procedure outlines the expectations and requirements for approving subaward invoices to ensure compliance with federal regulations and proper financial oversight of sponsored awards involving subrecipients. It provides guidance for PIs and designated approvers in managing the review and approval process for these invoices.
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This procedure outlines the expectations and requirements for monitoring subrecipients to ensure compliance with the OMB Uniform Guidance. It aims to establish clear procedures for financial oversight and to ensure that subrecipients achieve programmatic goals and comply with all applicable laws, regulations, and terms and conditions of the primary award.
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This procedure seeks to promote compliance with federal, state, and local, as well as non-profit and for-profit sponsor regulations regarding the issuance and administration of subawards. It provides guidance on unitlevel and individual responsibilities to ensure that sponsor funds are appropriately spent and that Rutgers and its sponsors receive value for the funds expended.