Division of Research

Florida International University
Modesto A. Maidique Campus
11200 S.W. 8 Street, MARC 430
Miami, FL 33199-0001
Phone: (305) 348-2494
Fax: (305) 348-4117

All University policies and procedures are located in one central on-line location in the University Policies and Procedures Library maintained by the University Compliance Office at http://policies.fiu.edu/. All of the policies and procedures of the Division of Research may be reviewed on that database which is arranged by Pre-Award and Award, Post-Award, Office of Research Integrity and Office of Technology Management and Commercialization. Additionally, users may search the database using key words and all policies and procedures containing the key words will be listed, regardless of the University unit to which they pertain. This is particularly useful for sponsored research matters as administration of projects routinely involves other University units such as Purchasing, Travel, Risk Management and Environmental Health and Safety and many other units. Thus, the ability to search the Policies and Procedures Library using key words provides users with an expedient way to ensure that all relevant policies and procedures are accessed. The on-line policies and procedures also list the appropriate University contacts so that users may know whom they can call if they have any questions on the policies or procedures. Needed forms and background information are also included in the policies and procedures.

See Division of Research Policy #2320.055, Negotiation and Execution of Sponsored Project Awards and Agreements at http://policies.fiu.edu/files/257.pdf.

Pre-Award may execute agreements that are not related to an existing proposal or sponsored project, but which are related to research or to potential future sponsored research projects or related to University intellectual property as follows.

Examples of these types of agreements are:

• Memoranda of Understanding setting forth that the parties will work together to determine if a research project may be pursued in the future;
• Confidentiality Agreements where documentation is to be exchanged for the purpose of determining if the parties may be able to pursue a future research project or related to University intellectual property review. An approved form confidentiality agreement is on the Pre-Award website at http://www.research.fiu.edu/forms/administrative/nonDisclosureAgreement.doc;
• Material Transfer Agreements where biological material is being transferred for research purposes;
• Teaming Agreements for a proposal effort

To request that Pre-Award execute an agreement other than an award document, the PI must provide to Pre-Award:

1. The completed Agreement Request form
2. A draft of the proposed agreement, if the PI has a draft (e.g., the form FIU confidentiality agreement with the blanks filled in)

Pre-Award will determine if the agreement is appropriate for execution by Pre-Award and if needed, will negotiate the agreement with the entity with which the agreement will be executed. The negotiation will be done in consultation with the PI and other FIU units, as necessary (e.g., Office of the General Counsel, Office of Technology Management and Commercialization). When the agreement is signed by all parties, Pre-Award will send a copy to the PI.

Special Considerations relating to Material Transfer Agreements

If a Material Transfer Agreement (MTA) seeks to transfer any Special Hazards Material (as defined in policy #125.405, Security in Laboratories with Special Hazards), the PI must obtain the approval from Environmental Health & Safety (EH&S) before the MTA may be signed by Pre-Award. Policy #125.405 defines Special Hazards Materials as including, but being not limited to, “radioactive materials, Drug Enforcement Administration (DEA) controlled substances, select agents, carcinogenic and explosive materials, infectious materials, and laser devices, and any other hazardous materials, the purchase, handling, storage or transfer and disposal of which is regulated by federal, state, or local laws.”

The PI must provide to Pre-Award, the appropriate EH&S Research Clearance Form (found on the Pre-Award website at http://www2.fiu.edu/~ehs/dsrt/index.htm) with EH&S’ approval of the transfer of the materials.

If the MTA is for the transfer of animals, the PI must work with the Animal Care Facility to ensure the Facility is prepared for the transfer and the care of the animals. Any IRB, IBC or IACUC approvals must also be in place, as applicable, before beginning to use the material transferred in any research project. See Division of Research Policy #2350.060, Purchase or Receipt of Items Requiring EH&S Prior Approval.

You can get information on funding availability by doing a search on SPIN. If you are a faculty member  or Graduate Student, you may set up a profile on SMARTS/GENIUS. Additionally, the Division of Research provides an updated list of various funding opportunities weekly. The weekly funding opportunities can be accessed via the website at research.fiu.edu or through the DOR listserv. To join the listserv, please click here and follow the instructions. 

A program that restricts the number of proposals submitted by an institution is considered a limited submission. Agencies that impose a limited submission policy will refuse to review any application from an institution submitting more than the number specified in the guidelines. Therefore, complying with restrictions is crucial.

DOR tracks limited submission programs and posts them on this web site with their corresponding internal and agency deadlines as well as specific information on the necessary internal application procedures. DOR makes every effort to track limited submission solicitations. However, if you are interested in applying to a limited solicitation that is not listed on your site, please contact Henry Artigues, limited submission program coordinator, immediately for guidance.

See DOR policy #2320.085 - Sponsor Limit to Number of Proposal Submissions found on the University Policies and Procedures Library at: http://policies.fiu.edu/files/542.pdf

See the Limited Submission portion of this site here: Limited Submissions

The determination of whether an activity should be processed as a sponsored project depends on the source of funds, the relation of the activity to the educational and research mission of the University and the sponsor requirements.

The answers to the following questions may assist in making your decision as to the correct routing of your proposal.  Please contact a DOR, Pre-Award representative, or the Office of Financial Planning and Strategic Development for assistance on specific projects.

1. Does the project involve research or student research training?  If yes, the project must be processed through DOR.
2. Does the sponsor require a technical report or other deliverable?  If yes, the project most likely should be processed through DOR unless the report is strictly for use by the sponsor and will not result in any scientific publication by FIU personnel.
3. Does the sponsor require financial reporting or auditing?  If yes, the project generally should be processed through DOR so that DOR may provide such financial reporting or reply to sponsor audit requests.
4. Will the work result in a scientific or technical publication or a publication that, although related to policy or pragmatic matters, advances a field of research and/or does it involve the support of a graduate student’s thesis? If yes, the project should be processed through DOR.
5. Does the project advance the scientific field?  If yes, the project should most likely be processed through DOR as it is probably research or research training and requires specialized knowledge.

For DOR deadline dates for submission of proposal to DOR, see DOR policy #2320.025 - Deadlines for Proposal Submissions for DOR Review found on the University Policies and Procedures Library at: http://policies.fiu.edu/files/267.pdf

Electronic submissions will require more time from both the PIs and the Division of Research in order to anticipate and address problems. Federal electronic submission deadlines pertain to submissions with no errors.

The complete proposal package is due to Pre-Award 5 days prior to the sponsor deadline. However, the complete proposal package is due to Pre-Award 10 days prior to the sponsor deadline if the proposal: (1) is a collaborative proposal with other universities or entities outside of FIU; or (2) seeks to directly charge expenditures that are normally included in F&A. See DOR policy #2320.025, Deadlines for Proposal Submission to DOR at http://policies.fiu.edu/files/267.pdf.

Following are the items which comprise a complete proposal which must be submitted to Pre-Award for review prior to submission of the proposal to the sponsor.

1. Electronic Internal Clearance Form (eICF) fully completed and signed.  By digitally approving the Electronic Internal Clearance Form, the PI is approving the entire proposal and certifies that he/she will undertake the responsibility for the programmatic and scientific requirements of the project and that he/she will administer the project in accordance with the sponsor guidelines, the approved budget, applicable law and regulations and University policies and procedures.  By digitally approving the eICF, the additional signatories (chairs, deans, center directors) certify that the PI is eligible to submit the proposal and can effectively manage the project. The sinatories to the eICF should carefully read the eICF certifications in the workflow screen, which sets forth all matters to which their approval certifies. See DOR policy #2320.001, Approvals Required on Internal Clearance Form Prior to Proposal Submission to DOR at http://policies.fiu.edu/files/246.pdf.
2. Cost Sharing Form (pdf) fully completed and signed, with account numbers, as applicable, from which the cost sharing will be drawn. This form is needed if FIU is providing any cost sharing for the project.  For mandatory cost share, the cost share form is required at proposal time; for all other forms of cost share, the cost share form will be required if the proposal is funded.  The PI will be responsible for ensuring that the cost sharing is tracked and documented for future reporting to the sponsor.  When including cost sharing in a proposal, the persons signing the Cost Sharing Form pledging the cost sharing must ensure that there is funding in the account pledged as cost sharing to cover the amount of cost sharing proposed for at least one year.  If cost sharing funds are not available at time of award, the award may not be processed by DOR. See DOR policy #2320.020, Cost Sharing in Sponsored Projects at http://policies.fiu.edu/files/250.pdf
3. Text of the Proposal, including technical description of the project and all sections required by the sponsor’s guidelines.
4. Budget and budget justification.  The budget justification must explain in reasonable detail how the amounts in the itemized categories of the budget were calculated and what the budgeted categories will be used to purchase.
5. A writing from the sponsor (or sponsor guidelines) must be included memorializing what the sponsor will pay in F&A costs if the F&A costs to be recovered on the project are less than the FIU standard rates. See DOR policy #2320.040, Full Facilities and Administrative Charges Must be Charged on Sponsored Project Proposals at http://policies.fiu.edu/files/252.pdf
6. Copy of the sponsor guidelines or list the website on the Internal Clearance Form where the guidelines are located.
7. Collaboration letters or emails from all collaborators named in the proposal acknowledging their collaboration on the project.  If the collaborator is an FIU employee listed on the internal clearance form, a collaboration letter/email is not required but for all other FIU collaborators listed in the proposal not present on the internal clearance form, a collaboration letter/email should be provided. If the collaborators are individuals, the letter or email may be from the individual him/herself.  If the collaborator is another entity, the letter or email must be from that entity’s authorized representative.  If the proposal indicates that the collaborator is providing any cost sharing or matching to the project, the letter or email must detail the same. If the proposal includes a budget item for a named subcontractor, include a copy of that subcontractor’s proposal, including the subcontractor’s budget and scope of work, signed by an authorized representative of the subcontractor. If the subcontractor shall provide cost sharing or match, the proposal must detail the same. If the subcontractor is charging F&A costs, the subcontractor must state the basis for arriving at the F&A rate used. See DOR policy #2320.040,Collaboration Letters and Subcontractor Proposals Required for Sponsored Project Proposals at http://policies.fiu.edu/files/247.pdf
8. If the proposal includes a budget item for a named subcontractor, include a copy of that subcontractor’s proposal, including the subcontractor’s budget and scope of work, signed by an authorized representative of the subcontractor.  If the subcontractor shall provide cost sharing or match, the proposal must detail the same. If the subcontractor is charging F&A costs, the subcontractor must state the basis for arriving at the F&A rate used.
9. Proposed contract for the project, if the sponsor has provided one to the PI.

Sponsors will sometimes request a preliminary or “white paper” proposal prior to submission of a full proposal.  In those circumstances, approval from DOR prior to the PI’s submission of the “white paper” proposal to the sponsor is not required provided the white paper or preliminary proposal does NOT contain any of the following: (1) a budget; (2) commitment of University cost sharing or space additional to that already available to the PI; or (3) an authorized University signature. See DOR policy #2320.070, DOR Prior Approval on Sponsored Project Proposals at http://policies.fiu.edu/files/526.pdf

If any of the foregoing items is included or required in the white paper or preliminary proposal, then the normal proposal approval process must be followed by the PI.  However, for all white papers or preliminary proposals where DOR approval is not required, the PI should nonetheless forward a copy of the same to DOR for its files in the event a full proposal is later submitted.

Fellowships do not need to be routed through the Division of Research if the fellow is paid directly by the funding agency and no authorized University signature is required. Applications for fellowships or scholarships that will be made to the University on behalf of an individual must be routed through the DOR internal clearance process at proposal time. Normally, a student may be listed as the co-PI while the faculty mentor is listed as the PI on the fellowship proposal. See DOR policy #2320.035, Eligibility to Submit a Proposal as Principal Investigator at http://policies.fiu.edu/files/362.pdf. Please note that these applications need to adhere to the DOR proposal deadlines addressed in FAQ #4 above.

Depending on the sponsor guidelines, either the faculty mentor or the fellowship applicant may be listed as the PI on the external proposal documents. Within FIU, the faculty mentor should be listed on the internal proposal forms as the PI.

See DOR policy #2320.035, Eligibility to Submit a Proposal as Principal Investigator at http://policies.fiu.edu/files/362.pdf.

If the Dean and/or Chairperson has/have not designated an alternate and there is no cost sharing or release time involved from your College or Department, DOR would accept the Internal Clearance pending the signature of Chairperson  and/or Dean.  If the Dean/Chairperson does not approve the proposal, the proposal will need to be withdrawn.

The information required in order to add your name to the Fastlane database is as follows:

• First Name, Middle Initial (if any), and Last Name
• E-mail address
• Office telephone number
• Office fax number
• Department name
• Highest Degree (i.e. BS, MS, Ph.D., etc.)
• Year that the degree was obtained

You may call DOR at (305) 348-2494 to provide the information or e-mail us at research@fiu.edu. You may also email your Pre-Award representative who can help you set up an account on Fast Lane.

In order to set up an NIH eRA Commons ID, the following information should be provided to either your Pre-Award representative, by calling the DOR main office at (305) 348-2494  or by sending an email, with the information included, to research@fiu.edu:

• First Name, Middle Initial (if any), and Last Name
• User Name
• Email Address
• Birthdate

FIU Federal ID Number: 65-0177616 
DUNS Number (aka CCR Number): 07-129-8814
CAGE Code: 1JHM5
Tax Exempt Number: 85-8012622369C-4
CEC Number: 07-220-891B

	US House District	Florida Senate District	Florida House District
Modesto A. Maidique	21	38	114
Biscayne Bay	20	35	106
Broward Pines Center	23	34	101
Engineering Campus	21	38	114
Metropolitan Center	18	39	107
Wolfsonian	18	35	107

FIU's Federal-Wide Assurance (FWA): FWA00000060 (Expires: 04/05/2014)
Health Sciences IRB Registration Number: IRB00008168
Social and Behavioral IRB Registration Number: IRB00008169
Animal Welfare Assurance number: A3096-01

FIU's NIH IPF number is 513809.

In most cases (NIH, NSF, USDA, Dept. of Education), you will be submitting the approval information "just-in-time" (when you receive a fundable score, award letter, or when the agency requests the IRB/IACUC approval information). For the most accurate information, the PI should consult the agency for guidelines for the use of human subjects and/or animal subjects. All approvals must be obtained before DOR may set up a Project ID.

See also DOR policies #2320.090, Sponsored Award Project Set-Up found on the University Policies and Procedures Library at: http://policies.fiu.edu/files/344.pdf

The Dean's Office of your respective college can best answer that question, as different schools and disciplines pay different rates.

See also DOR policy #2320.080- Salary and Wage Charges on Sponsored Project Proposals found on the University Policies and Procedures Library at: http://policies.fiu.edu/files/265.pdf

Most Federal projects will only allow for the cost of tuition (excluding any additional fees as charged by the University). A full time graduate student is expected to complete twenty-four (24) credits per year [nine (9) credits during the fall and spring, six (6) credits over the summer].

For the academic year 2011 to 2012, the cost per credit for a continuing graduate student is $320; Thus, tuition for a full-time research assistant being charged to the grant will be $7,680. Currently, it is DOR policy that a 15% increase be calculated for tuition for every additional year of funding.

See also DOR policy #2320.110- Tuition and Fee Charges on Sponsored Project Proposals found on the University Policies and Procedures Library at http://policies.fiu.edu/files/731.pdf

• Washington Primer on F&A costs
• Private Companies & On Campus Research:
  
  

  07/01/10 – 06/30/11	45% MTDC
  07/01/11 – Until Amended	45% MTDC

  
  Excluding equipment, capital expenditures, charges for patient care, tuition remission, rental costs of off-site facilities, scholarships and fellowships and the portion of each subcontract and/or subgrant in excess of $25,000 regardless of the period covered. Consultants are not subcontracts. Equipment means an article of nonexpendable tangible personal property having a useful life of more than one year, and an acquisition cost of $1000 or more per unit.
• Other Sponsored Activities : 27% MTDC
  Excluding equipment, capital expenditures, charges for patient care, tuition remission, rental costs of off-site facilities, scholarships and fellowships and the portion of each subcontract and/or subgrant in excess of $25,000 regardless of the period covered. Consultants are not subcontracts. Equipment means an article of nonexpendable tangible personal property having a useful life of more than one year, and an acquisition cost of $1000 or more per unit. Activities that are not organized research or instruction would fall under the other sponsored activities rate. Please contact a Division of Research Pre-Award representative for guidance as t6o when it is appropriate to apply this rate.
• Off Campus Research : 26% MTDC
  Excluding equipment, capital expenditures, charges for patient care, tuition remission, rental costs of off-site facilities, scholarships and fellowships and the portion of each subcontract and/or subgrant in excess of $25,000 regardless of the period covered. Consultants are not subcontracts. Equipment means an article of nonexpendable tangible personal property having a useful life of more than one year, and an acquisition cost of $1000 or more per unit.  If more than 50% of the project will be performed off-campus, the off-campus rate will apply to the entire project.
• American Cancer Society: 20% MTDC for grants funded after July 1, 2002. IDC is allowed on direct costs excluding permanent equipment. Indirect Costs for a subcontract budget may be claimed by either the primary or the secondary institution but not both.
• US Department of Education Training Grants: 8% MTDC excluding tuition, stipends, and major equipment (greater than $1,000 per item). (As per 34 CFR 75.562) The training  F&A rate is allowable for training projects where FIU students are being trained and the 8% rate is specified in the proposal guidelines.
• State Agencies: 15% TDC
• South Florida Water Management District: 25% TDC
• US Department of the Interior/Everglades National Park: 20% MTDC
  Excluding equipment (greater than $1,000 per item), tuition, and stipends. Applies to agreements executed prior to October 6th, 2005 and existing DOI/NPS agreements through the end of the life of the project.
• CESU/South Florida Caribbean Cooperative Ecosystem Studies Unit: 17.50% TDC
  Applies to new agreements executed after October 6th, 2005 for work conducted under the CESU agreement with the following agencies from the Department of the Interior (DOI): Bureau of Land Management (BLM), United States Fish and Wildlife Service (USFWS), United States Geological Survey (USGS), National Park Service (NPS), USDA National Resources Conservation Service (NRCS) and the U.S. Army Corps of Engineers (USACE).
• Miami-Dade Cultural Affairs Council: No indirect cost allowed.

See also DOR policy #2320.040, Full Facilities and Administrative Charges Must be Charged on Sponsored Project Proposals at http://policies.fiu.edu/files/252.pdf

Have the agency put in writing that they will not pay over a certain percentage in F&A costs. Provide a copy of this document or of guidelines stating the deviation from the F&A rate to DOR at the time of proposal submission.

See also DOR policy #2320.040, Full Facilities and Administrative Charges Must be Charged on Sponsored Project Proposals at http://policies.fiu.edu/files/252.pdf

Since 1990, Congress has legislatively mandated a limitation on the rate at which salaries can be directly charged to contracts, grants and cooperative agreements for the National Institute of Health (NIH; collectively referred to as NIH grants). The NIH cap is tied to the Federal Executive Pay Scale specified within the Federal Consolidated Appropriations Act, which has been set at Executive Level I since 2001.

For more information on the NIH salary cap, see Notice Number NOT-OD-08-035: Salary Limitation on Grants, Cooperative Agreements and Contracts: http://grants.nih.gov/grants/guide/notice-files/not-od-08-035.html

At proposal time, if an individual will be funded from NIH and has a salary for full-time effort in excess of the capped rate, the salary cap should be used in calculating the salary for that individual. Salary for effort in excess of the cap will need to be cost shared if awarded. For help in calculating the amount of salary that can be charged to the agency versus the amount that will require cost share, please use: 9 month NIH Salary Cap Calculations and 12 month NIH Salary Cap Calculations

The following fringe rates are effective as of 4/6/2012 on all proposals being submitted. These rates will be effective for awards as of July 1st, 2012:

Employee Group	Pooled Fringe Benefit Rate
Faculty / Administrative (formerly A&P)	29.73%
Staff (Formerly USPS)	40.41%
Other OPS & Temporary Faculty (except students)	2.75%
Student OPS	0.43%

 

Below, the breakdown of each of the fringe rates is shown:  

Benefit Description	Staff	Other OPS / Temporary Faculty	Student OPS	Com Faculty / Faculty / Admin
Social Security	5.82%	0.00%	0.00%	5.47%
Medicare	1.37%	1.27%	0.00%	1.44%
Retirement	5.38%	0.00%	0.00%	7.14%
Health	22.48%	0.00%	0.00%	10.74%
Life	0.15%	0.00%	0.00%	0.10%
Disability	0.00%	0.00%	0.00%	0.01%
Unemployment Compensation	0.48%	0.93%	0.00%	0.10%
Workers Compensation	0.61%	0.42%	0.42%	0.56%
Tuition Waivers	0.72%	0.00%	0.00%	0.37%
Parental & Sabbatical Leave	0.34%	0.00%	0.00%	1.23%
Other	3.06%	0.12%	0.01%	2.57%
Total	40.41%	2.75%	0.43%	29.73%

All negotiations of sponsored project awards and agreements must be accomplished by a representative of Pre-Award. FACULTY AND STAFF MAY NOT EXECUTE SPONSORED PROJECT AWARDS OR AGREEMENTS ON BEHALF OF THE UNIVERSITY. Faculty and staff are not official signatories for the University on sponsored project documentation and therefore, may not execute such documentation.

See DOR policy #2320.055, Negotiation and Execution or Sponsored Project Awards and Agreements at http://policies.fiu.edu/files/257.pdf

FDP stands for Federal Demonstration Partnership. Awards under FDP allow the University to administer certain matters relating to federal grants without prior approval from the sponsor. Your award document from the sponsor will state if the grant is issued pursuant to the FDP.

FIU and most funding agencies will not release funding for spending until IRB/IACUC approval has been verified. Contact Pre-Award and/or the IRB/IACUC/IBC Coordinator for assistance. Also, subsequent funding years will not be released if the IRB/IACUC/IBC is not in compliance and active (i.e. annually submitted for review and approved).

See also DOR policies #2320.090, Sponsored Award Project Set-Up found on the University Policies and Procedures Library at: http://policies.fiu.edu/files/344.pdf

Service / Recharge centers are departments within the University that charge a fee for the services they perform. Some of the costs associated with these centers are recovered by charging the sponsored project a pre-approved service fee.  An example of a recharge/service center is the Duplicating Services Department.

Purchases from Service/Recharge Centers are done by interdepartmental transfers for the services performed by the recharge center.

See DOR policy#2350.080 - Stipend and Other Payments to Students and Temporary Personnel on Sponsored Projects found on the University Policies and Procedures Library at: http://policies.fiu.edu/files/361.pdf

Graduate student support must be included in proposals in which the funding agency and the project permit graduate student support.  Unfortunately, this practice has not always been followed, and more importantly, in many instances in which the student support was available in budgets of funded grants, some Colleges have utilized tuition waivers from the University Graduate School instead of supporting students through the grants.  This costly and inappropriate practice must not continue.  The Division of Research will review grant proposals for adherence to this directive.  Training and support of graduate students in our funded research is an integral element in reaching the University’s goal of achieving the next level of scholarly excellence.

Air Travel on federally sponsored projects must use U.S. flag carriers to the maximum extent possible when commercial air transportation is used between the United States and a foreign country or between foreign countries. Cost savings, convenience or personal preference, are not exceptions to using non U.S. flag air carrier.  For more information on exceptions, see the website at http://www.fic.nih.gov/funding/grants_info/travel.htm.

You may call or e-mail the Post-Award representative assigned to your grant, or you may check your account balances on Panthersoft. For access to Panthersoft go to: http://panthersoft.fiu.edu/faculty_access.html.

If a budget modification is needed, the PI requests the budget modification by filling out the Budget Modification Request Form found in the forms section of the Division of Research (DOR) website. The Budget Modification Request Form must be completely filled out and forwarded via email to the DOR Post-Award representative for the particular Project ID. If a College and Center Administrator is submitting the Budget Modification Request on behalf of the PI, then the PI must be copied on the email request. The DOR Post-Award representative will review the request and the sponsor’s award document and guidelines, as well as the FIU policies and procedures to determine if the modification may be made. If the modification is appropriate, a DOR Post-Award representative will process the budget modification request directly in PantherSoft.

If DOR determines that a budget modification cannot be made without the sponsor’s prior approval, DOR will notify the person requesting the budget modification that the sponsor must be contacted. The PI must send to the DOR Post-Award representative the details of why the budget modification is needed. The PI may do this by sending the DOR Post-Award representative either (1) an email with the details or (2) a draft letter addressed to the sponsor with the details. The DOR, Post-Award representative will review the details as to why the budget modification is needed and will then either email or send the letter to the sponsor contracting officer to request approval for the budget modification. The DOR Post-Award representative will copy the PI on that correspondence. If the sponsor contracting officer approves the budget modification in writing via letter or email, DOR Post-Award representative will process the same. Requests for budget modifications to the equipment category or other budget categories towards the end of a project period will normally not be allowed without sponsor written approval.

All budget modifications that affect F&A on the project must be approved in writing by the PI’s Dean and the Associate Vice President for Research before any budget modification is processed by DOR, Post-Award representative.

F&A is lost when money is transferred from a category which can be assessed overhead to a category which cannot. In order to calculate the loss of F&A, multiply the dollar amount that you are transferring from the overhead-bearing category to the non-overhead-bearing category by the indirect cost rate of your grant.

A No Cost Extension (NCE) extends the ending date of a grant award without adding any additional funds.

See DOR policy#2350.045 - No Cost Extensions on Sponsored Projects found on the University Policies and Procedures Library at: http://policies.fiu.edu/files/259.pdf

See DOR policies found on the University Policies and Procedures Library at:
http://policies.fiu.edu/browse.php?l=university_area&t=1&letter=26

• Policy # 2350.070 , Sponsor Invoicing and Payment Processing at http://policies.fiu.edu/files/347.pdf
• Policy # 2350,005 , Close Out of Sponsored Projects at http://policies.fiu.edu/files/245.pdf

Payments to human subject participants, whether in cash or with gift cards, may only be made if such payments were: (1) approved, in writing, by the IRB, and (2) approved by Post-Award verifying that the budget for the Project ID includes funding for the payments to be made.

The first step in the process for approval of cash or gift card payments to human subjects is for the PI to complete the applicable Division of Research form and provide it to Post-Award. All forms are on the Division of Research website:

• For participants who will be paid in cash or by check, use the Advance for Research Subject Payments form.
• For participants who will be paid with gift cards, use the Gift Card Request for Research Subjects form.
• For participants who are FIU employees, use the Research Subject Payment form.

Provide the completed applicable form to the Post-Award representative for your Project ID. The request will be reviewed to ensure IRB approval for the payments and availability of funds in the project budget. If approved, the form will be signed and the PI will be provided a budget.

The PI may then proceed to request that the payment to the participants be made as set forth below.

Note that the PI must keep a copy of the documentation regarding the participants’ payment for the length of time applicable to the Project ID as specified in Division of Research policy #2350.065, Records Retention Schedule for Sponsored Project Documents, for production to the project sponsor, the FIU IRB or any agency having oversight authority over the conduct of human subject research or in case of audit. Such production shall be done in accordance with the confidentiality requirements of the research study, if any. Documentation related to human subject participant payments are subject to review at any time by the Office of the Controller, Internal Audit or the Division of Research.

1. Cash Payments to Participants
   Cash payments for human subject participants may be processed using a Participant Payment Cash Fund via the Controller’s Office. A Participant Payment Cash Fund is intended to provide cash to a department or project PI, or designee, for the sole purpose of easily making small payments to participants of research projects. The procedures related to requesting and reconciling the Participant Payment Cash Fund are found on the Controller’s website at http://finance.fiu.edu/controller/QL_ControllerProceed.html under the “Participant Payment Forms and Procedures” section.


2. Check Payments to Participants
   For payments to be made to participants via check, the payment must be processed through the FIU vendor payment system (Accounts Payable). The PI must submit an Unencumbered Payment form to Accounts Payable. The Procedures related to that form are found in the “Accounts Payable” section of the Controller’s website at http://finance.fiu.edu/controller/QL_ControllerProceed.html.


3. Payments to Participants via the FIU Payroll System
   Payments to human subject participants who are employees of FIU must be made via the FIU payroll system, so that the withholding required by the IRS may be met. Once the Research Subject Payment form, located in the Division of Research web site, has been approved as described above, Post-Award will forward the signed form to the Human Resources, Payroll Department, for processing of the payment to the employee via the payroll system.


4. Gift Cards
   The procedures and forms related to processing gift cards are found on the Controller’s website at http://finance.fiu.edu/controller/Forms.html#GiftCard in the “Gift Card Processes and Forms” section.

Depending on what purchase is being made, you will need a subcontract, a consulting agreement or a vendor agreement . Speak to your DOR, Pre-Award, representative about which document is needed for your situation.

Subcontracts or Consulting Agreement vs. Vendor Agreement?
The distinctions between subcontracts/consulting agreements and vendor agreements are generally guided by the Federal Acquisition Regulations, OMB Circulars A-110 and A-133, sponsor regulations and State of Florida statutes. These distinctions often include the purpose of the distribution of funds to a sub-awardee and the necessity to flow-down the terms and conditions of the award from the organization initially receiving the funds to the sub-awardee.

A vendor agreement generally is used when FIU buys goods or services from a vendor in the general and usual course of the vendor’s commercial business. Examples of such procurements are the purchase of non-specialized equipment, supplies, printing services and other products and services generally provided in commercial activities. In these instances, the activity is a procurement, and the entity receiving the funds is a vendor. A subcontract is generally not required for these procurements; rather the procurements are done via a purchase order obtained through a Panthersoft requisition or by way of a Pro Card purchase.

The subcontract or consulting agreement process is used when FIU passes-through a portion of the sponsored award to another entity (in the case of subcontracts) or person (in the case of consulting agreements) for the purpose of programmatic effort on the project. Rather than a general commercial purchase, the subrecipient will be responsible for managing the technical and administrative aspects of its part of the overall sponsored project in accordance with the scope of work detailed in the subaward. All the terms and conditions that are part of the primary award from the project sponsor that are applicable to the sub-recipient must be included in the sub-award document and flowed down to the sub-recipient. Accordingly, a written subcontract or consulting agreement is required for these programmatic purchases and signature of acceptance of these terms by the receiving entity/person is required. The entity or person receiving the funds is a sub-recipient.

If you need additional guidance when preparing your proposal budgets as to whether your proposed item is a subgrant as opposed to a procurement of goods or services processed through the Purchasing Office then please contact your Pre-Award Representative at 305-348-2494.

Finding of a sick animal or observation of unusual animal behavior must be reported to the Animal Care Facility (ACF) technicians or ACF Manager, Rene Fernandez, immediately.

Contact Rene Fernandez, Animal Care Facility Manager, at rfernan@fiu.edu or via phone at 305-348-7408.

Please contact Barbara L. Rodirguez in the Office of Research Integrity (bllane01@fiu.edu) to place any animal orders.

Exports are any items (e.g., commodities, software, technology) sent from the U.S. to a foreign destination. Exports include the release or sharing of restricted technology or data (orally or in writing) with foreign nationals inside or outside the U.S. — these are called “deemed” exports. See online DOR Export Control Training at: http://research.fiu.edu/training/trainingCourses.html

Export controls are federal laws that regulate the export of sensitive technologies, equipment, software, biological agents, and related data and services. These laws require that licenses be obtained for exports, including “deemed” exports, of these sensitive items (e.g., defense articles, items with potential military applications, select agents and some commercial items) unless an exemption exists.

Violations of trade sanctions and export controls can result in criminal penalties:

• Individual and/or institutional fines (up to $1 million per violation) and
• Individual incarceration (up to 10 years per violation).

All testing, instructional and research proposals utilizing living vertebrate animals must be submitted for evaluation by the IACUC.   Application submissions must also be submitted when utilizing dead vertebrate animals or animal parts if the animal was both sacrificed and procured solely and specifically for a research, teaching, or testing purpose.

The IACUC should be notified of any requested changes to your animal protocol prior to their implementation. Protocol changes that require an amendment request to be submitted to the IACUC include, yet are not limited to, changes involving increasing the number of animals used, adding additional species, including additional experimental procedures or pilot studies, adding anesthetics/analgesics, changing housing/use locations, altering the early removal criteria, and changing the Principal Investigator or any project personnel.

All projects are required to be renewed annually prior to their one  year expiration date.

The committee has two basic forms.  The Form A, is used for ALL new projects; pilot studies; full project renewals at three year intervals; and significant revisions.  The Form B is a short form used for yearly renewals and minor revisions for active applications

Yes, only PIs that has IACUC approved protocols can place animal orders and/or house animals at the facility.

No.  Animal work cannot begin until committee approval is granted.  All protocol applications are required to undergo full committee review before a decision is rendered.

Per federal and state regulations, Florida International University, Institutional Biosafety Committee (IBC) is required to review, approve, and maintain documentation on all protocols involving recombinant DNA.

Experiments involving the following must be registered with the IBC:

• Pathogens affecting humans, animals, or plants;
• Materials potentially containing human pathogens (e.g. unfixed human specimens, human blood);
• Recombinant DNA molecules including viral vectors;
• All cell and organ cultures of human origin, including well established cell (human embryonic stem cells, pluripotent cells and their derivatives)
• De novo generation of transgenic animals (using recombinant DNA technology to add foreign DNA or subtract a portion of the animal's genome);
• Generation of de novo transgenic animals: Defined as the addition of foreign DNA or subtraction of a portion of the animal genome using recombinant DNA technology. Examples of recombinant DNA technology include (1) Direct microinjection of a chosen gene construct from another member of the same species or a different species into the pronucleus of a fertilized ovum; (2) Insertion of the desired DNA sequence by homologous recombination into an in vitro culture of embryonic stems and cells; (3) Use of a plasmid or virus to transfer the genetic material into germ cells. Breeding animals to generate transgenics need not be registered with the IBC. Those transgenics that already exist or which have been purchased are not subject to IBC registration.
• De novo generation of transgenic plants;
• Introduction of recombinant DNA (plasmids) or gene transfer vectors (including viral vectors) into human subjects;
• Introduction of genetically engineered micro-organisms or infectious agents into human subjects (including live vaccines if they are experimental in nature and/or not FDA approved for use in the specific study population);

Yes. The Biosafety Officer (BSO) is responsible for conducting periodic laboratory inspections. The BSO or designee visits each laboratory each time a protocol is submitted to verify compliance. In addition, university laboratories are subject to inspection by federal, state, and local regulatory agencies as well as funding and accrediting agencies.

There is no prescribed requirement for the order in which IACUC and IBC applications are submitted; however, IACUC final approval will not be granted until IBC approval has been received. It is advisable to submit your IBC proposal either before or at the same time as when you submit your IACUC proposal to avoid delays.

Yes. Registration with the IBC is based on the biological materials used in your experiments, not on funding.

When human beings are asked to participate physically in an activity (i.e. in a survey, answering a questionnaire) or to donate their tissue, organs, fluids and other bodily materials it is considered human subject involvement. Federal Policy (45 CFR 46) and FDA (21 CFR 50) provide definitions of human subjects.

Research means a systematic investigation, including research development, testing and evaluation, designed to develop or contribute to generalizable knowledge; when information is sought from subjects directly (as through interview, examination, or questionnaire) or indirectly (as through observation), and when information concerning specific, individually identifiable human beings is asked for from third parties whether through access to files, data banks, other depositories, or through direct inquiry. Activities which meet this definition constitute research for purposes of this policy, whether or not they are conducted or supported under a program which is considered research for other purposes. For example, some demonstration and service programs may include research activities.

The Institutional Review Board (IRB) Representative list as well as in the Human Subjects Manual are located online at the Office of Research Integrity (ORI) web page.

Faculty Supervisors can amend an approved project, using the IRB Form B-1 Amendment Application to add students researchers (so long as the student activities meet the exact same criteria of the existing IRB approved project). Otherwise, the students will need to submit his/her own Form A submission packet to obtain IRB review.

Yes, the PI does not have the authority to deem his/her proposal as exempt even if it meets all the criteria. All official approvals come from the IRB office.

Exempt and Expedited review occur on an ongoing basis. Full Board review occurs once a month on the last Friday of the month (unless otherwise noted). One (1) copy of your proposal should be submitted to your College/School Representative by the 15th of the month prior to the month you would like to receive Full Board review. Your representative may request revisions prior to providing his/her signature. You then forward the appropriate number of photocopies (plus the original) to the FIU Office of Research Integrity. These copies will be disseminated to the Representatives for the upcoming meeting. The IRB Meeting Schedule is posted for your information.

No, a complete application includes the Human Subjects Tutorial Certificate. You will not receive an approval without the submitted training certificate and will not be able to begin your research.

The process, under normal circumstances takes about 2 weeks. However, you must take into consideration that your representative may have other proposals that s/he is reviewing at the same time, and the amount of time it takes for the approved proposal to get to the IRB office via campus mail.

FIU is currently using the NIH tutorial to fulfill this educational requirement. Details for educational training and a link to the NIH site can be found at the ORI Human Subjects Training Module page. The certificate that you receive upon completion needs to accompany the complete application submitted for IRB review.

All Research being conducted at FIU needs to be approved by the IRB. Whether the research is in conjunction with an FIU faculty or you are only recruiting at FIU, the Human Subjects Training is required for all persons participating in research at FIU who will be interacting with the human subjects including those who will be handling the data collected.

In most cases (NIH, NSF, Dept. of Education) you will be submitting the approval information "just in time", when you receive a fundable score, or when the agency requests the IRB approval information. All of these time frames occur prior to the release of the award to the Division of Sponsored Research at FIU. For the most accurate information, the PI should consult the agency for guidelines for the use of human subjects.

FIU and most funding agencies will not release funding for spending until IRB approval has been verified. Contact the Division of Research and/or the IRB Coordinator for assistance.

Federal-Wide Assurance (FWA): FWA00000060 (Expires: 4/5/14)
Health Sciences IRB Registration Number: IRB00008168
Social and Behavioral IRB Registration Number: IRB00008169

Yes, all proposals approved by Expedited or Full Board Review are required to submit an annual report. In addition, any changes to the Protocol, Methods, and Measures, must receive IRB approval. Consent documents MUST be annually renewed with the filing of the annual report. Proposals that receive Exemption require no additional approval from the IRB as long as the scope of the research remains the same. Any changes to a previously Exempted study requires re-review by the IRB.

What are the consequences of noncompliance in research involving human subjects? The IRB reserves the authority to suspend or terminate approval of research. The suspension of an IRB project that is being funded will in turn affect the continued use of funds on the account. Anyone conducting human subjects research without the approval of the IRB may be subject to a finding of research misconduct.

Are there University procedures for the reporting injuries (Adverse Events) that occur during an approved research project? Yes, there are detailed procedures located at the Adverse Event (AE) Reporting page. This includes definitions of AE's and the appropriate paperwork to be completed by the Investigator. The Principal Investigator is responsible for knowing reporting procedures, providing written notification to the IRB Office and verifying receipt of notification.

You may contact your college/school representative, the IRB Coordinator, or the IRB Chairperson.

If your research was approved through Expedited or Full board Review you are required to complete Form B-2 and submit it to a representative for signature. In addition, you are required to submit a NEW distribution ready consent document for renewal.

The categories are found in the IRB Guidelines page under the "Review Criteria" section.

No, lotteries/raffles/drawings are not permitted for compensation to participants in research, since the Florida Constitution and Statutes prohibits it.

All classroom activities that involve "research" with "human subjects" require IRB approval. However, classroom activities that only involve "research training" are not subject to IRB approval because such studies are conducted specifically for educational purposes only (without publication or presentation of the data). It is always best to obtain IRB approval in advance if you think your project will produce data that you may one day wish to use for research purposes (e.g., you collect the data for educational purposes, but later wish to publish the information). Please note, the IRB is unable to provide retroactive approval, so it is always best to check with the IRB Coordinator if you are uncertain about the applicability of IRB review.

An FIU Faculty, staff, or student informs the University of an invention he/she has made by completing and submitting a IP Disclosure Form to the Office of Technology Management and Commercialization. To access the form or for additional information on the disclosure process at FIU, visit the Office Technology Management and Commercialization section of our website or call our office for assistance at 305-348-0008

See the following University policy links on inventions, works, and copyrightable materials:

Inventions and Patents
“University Staff (non-bargaining unit faculty and employees)"
http://policies.fiu.edu/record_profile.php?id=549

Inventions and Works (UFF)
“University in unit Faculty/United Faculty of Florida (UFF)”
http://policies.fiu.edu/record_profile.php?id=204

Works and Copyrightable Materials
“University Staff (non-bargaining unit faculty and employees)”
http://policies.fiu.edu/record_profile.php?id=463

See Division of Research Policy #2320.055, Negotiation and Execution of Sponsored Project Awards and Agreements at http://policies.fiu.edu/files/257.pdf.

Pre-Award may execute agreements that are not related to an existing proposal or sponsored project, but which are related to research or to potential future sponsored research projects or related to University intellectual property as follows.

Examples of these types of agreements are:

• Memoranda of Understanding setting forth that the parties will work together to determine if a research project may be pursued in the future;
• Confidentiality Agreements where documentation is to be exchanged for the purpose of determining if the parties may be able to pursue a future research project or related to University intellectual property review. An approved confidentiality agreement form is on the Pre-Award website at http://www.research.fiu.edu/forms/administrative/nonDisclosureAgreement.doc;
• Material Transfer Agreements where biological material is being transferred for research purposes;
• Teaming Agreements for a proposal effort

To request that Pre-Award execute an agreement other than an award document, the PI must provide to Pre-Award:

1. The completed Agreement Request form
2. A draft of the proposed agreement, if the PI has a draft (e.g., the form FIU confidentiality agreement with the blanks filled in)

Pre-Award will determine if the agreement is appropriate for execution by Pre-Award and if needed, will negotiate the agreement with the entity with which the agreement will be executed. The negotiation will be done in consultation with the PI and other FIU units, as necessary (e.g., Office of the General Counsel, Office of Technology Management and Commercialization). When the agreement is signed by all parties, Pre-Award will send a copy to the PI.

Special Considerations relating to Material Transfer Agreements
If a Material Transfer Agreement (MTA) seeks to transfer any Special Hazards Material (as defined in policy #125.405, Security in Laboratories with Special Hazards), the PI must obtain the approval from Environmental Health & Safety (EH&S) before the MTA may be signed by Pre-Award. Policy #125.405 defines Special Hazards Materials as including, but being not limited to, “radioactive materials, Drug Enforcement Administration (DEA) controlled substances, select agents, carcinogenic and explosive materials, infectious materials, and laser devices, and any other hazardous materials, the purchase, handling, storage or transfer and disposal of which is regulated by federal, state, or local laws.”

The PI must provide to Pre-Award, the appropriate EH&S Research Clearance Form (found on the Pre-Award website at http://www2.fiu.edu/~ehs/dsrt/index.htm) with EH&S’ approval of the transfer of the materials.

If the MTA is for the transfer of animals, the PI must work with the Animal Care Facility to ensure the Facility is prepared for the transfer and the care of the animals. Any IRB, IBC or IACUC approvals must also be in place, as applicable, before beginning to use the material transferred in any research project. See Division of Research Policy #2350.060, Purchase or Receipt of Items Requiring EH&S Prior Approval at http://policies.fiu.edu/files/353.pdf .

A public disclosure is a non-confidential disclosure of an invention containing sufficient information as to enable someone “skilled in the art” (i.e. familiar with the field of invention) to make, use, or otherwise practice the invention.

Generally, a public disclosure occurs when an invention is: described in a printed publication; placed in public use; or, offered for sale. Public disclosures can include printed or electronic publication of abstracts, research reports, news or scientific journal articles, manuscripts, transcripts, posters, etc. Information discussed or materials distributed in non-confidential settings (e.g. conferences, exhibits, thesis or dissertation defenses) may also constitute a public disclosure. Public disclosures can impact intellectual property rights and protection.

If you have questions regarding public disclosures, contact the Office of Technology Management and Commercialization.

Yes. FIU-owned software should contain the following notice:


If you have any questions about whether FIU owns the software, please refer to the applicable University policies:

• Academic Affairs policy #320.040, Inventions and Works (applies to UFF personnel)
• Division of Research policy #2390.001, Inventions and Patents (applies to non-UFF and other University personnel)
• Human Resources policy #1710.345, Works and Copyrightable Materials (applies to non-UFF and other University personnel)

An open source license allows software to be downloaded, free of charge, by anyone agreeing to the license terms. Software owned by FIU may be made available pursuant to an open source license when it is in the best interests of FIU, the inventor(s) and the public.

All FIU inventors must disclose software owned by FIU to the Office of Technology Management and Commercialization using the Confidential Disclosure Form. If you have any questions about whether FIU owns the software, please refer to the applicable University policies:

• Academic Affairs policy #320.040, Inventions and Works (applies to UFF personnel)
• Division of Research policy #2390.001, Inventions and Patents (applies to non-UFF and other University personnel)
• Human Resources policy #1710.345, Works and Copyrightable Materials (applies to non-UFF and other University personnel)

In the Confidential Disclosure Form, the software inventor(s) may request that the software be made available pursuant to an open source license and may request a particular open source license from the Open Source Initiative at http://www.opensource.org/licenses/index.html or alternative license terms. The Office of Technology Management and Commercialization supports the inventor’s(s’) request to provide software on an open source basis if the software does not have commercial value and if open source distribution is permitted by third party interests in the software (e.g., third part entities whose software is embedded in the disclosed software and/or external sponsor rights in the disclosed software).

If the software will be made available pursuant to an open source license, the Office of Technology Management and Commercialization will notify the inventor. The inventor may then distribute or post the software under such open source license in accordance with the instructions related to the particular license, including inserting the appropriate copyright text required by the particular license in your postings (see also question #1 above). Please also notify the Office of Technology Management and Commercialization of the website URL for the open source software that you post.

If the Office of Technology Management and Commercialization determines that the software has commercial potential, the software will not be made available pursuant to an open source license and will instead be sought to be commercialized by the Office of Technology Management and Commercialization.

If an inventor is contacted by any party wishing to license University open source software for commercial purposes, the inventor should refer the inquiry to the Office of Technology Management and Commercialization for negotiation of a commercial license.

Effort is the proportion of personnel time spent on any institutional activity expressed as a percentage of the total institutional activities of the employee. Effort reporting is a process required by the federal government to verify that salary and wages charged to sponsored projects are reasonable and reflect actual work performed. Effort reporting provides a means of verifying that:

1. Effort compensated by a sponsored project has been performed as promised (direct charge), and
2. Effort expended on a sponsored project, but not compensated by that project (cost sharing), has been performed as promised

Effort reports must account for all effort for which the University compensates an individual. This includes all effort expended on sponsored projects, administration, business development, instruction and nonsponsored scholarly activity, clinical activity, and other activity as prescribed in OMB Circular A-21. It does not include effort for which the employee receives compensation directly from another entity (e.g., outside consulting work) or incidental work for which supplemental compensation (i.e., extra state/overload compensation) is paid. It is important to consider that effort is not calculated on a 40-hour workweek or other University approved standard workweek. Thus, even when the number of hours of effort the employee expends during the period reported substantially exceeds the “normal” workweek of 35-40 hours, the total effort expended by the employee must account for all the work performed by the employee and cannot exceed 100%.

Example
If the employee worked 40 hours in one week on a sponsored project and 20 hours in the same week on an unrelated University project, then the employee’s effort report should show 67% effort devoted to the sponsored project (40 hours divided by 60 total-effort hours) and 33% on the unrelated University project -- regardless of the fact that the employee’s normal work week might be 40 hours. Effort is expressed as a percentage based on the total number of hours worked by the individual and is not reflected as hours. The total effort expended cannot be more than – or less than – 100%, unless the employee is part-time in which case the total effort must be consistent with part-time status.

Certified effort reports provide auditable documentation to confirm that FIU personnel did, in fact, commit the level of effort outlined in the award. Both direct and indirect costs may be disallowed and penalties imposed if the Federal government finds such documentation to be inadequate. In addition, criminal charges may be brought against an individual who falsely certifies his or her effort.

Any individual, who works any portion of his or her time on sponsored projects or activities whether compensated or uncompensated by that project, is required to certify effort using the web-based Effort Certification and Reporting Technology System (ECRT).

Faculty, A&P, USPS exempt, graduate students paid bi-weekly via OPS contract and other OPS contract employees will certify their effort on sponsored activities 3 times per year (Fall, Spring, Summer).

USPS and OPS personnel paid via timecard will continue to provide the required certification of their effort through completion and signature of new timecards, which require supervisor signature and approval. Signed timecards provide auditable documentation of an employee’s certified effort.

No. When an employee receives compensation directly from another entity (e.g., outside consulting work) or incidental work for which supplemental compensation (i.e., extra state/overload compensation) is paid, this effort need not be considered.

Federal effort reporting guidelines require that either the individual or someone having firsthand knowledge of the activities performed by the employee must certify effort reports. OMB Circular A-21 provides that the person signing the effort report must have "suitable means of verification that the work was performed." In most cases, this will be the employee performing the work. In the employee’s absence, the Principal Investigator for a specific project or a supervisor designated by the PI may also certify the effort of the employees working on the PI’s project. The PI must be able to verify that persons paid on their sponsored projects actually performed the work and must be in a position to provide verification of the effort certified.

Certification of effort by a departmental secretary or other staff is not permitted.

Effort certification is required at the end of each semester (3 times per year) for that semester’s activities. Employees are responsible for completing effort certification reports within 30 days from the time they are distributed.

Anytime that payroll does not accurately reflect how the employee spent his/her time on the certified effort report by a margin of +/- 5%, an adjustment to effort and payroll distribution is necessary. OMB Circular A-21 and FIU policy recognize that activities that comprise an individual’s total effort (teaching, research, service, administration, etc) are often difficult to separate and that “an exact assessment of factors that contribute to costs is not always feasible, nor is it expected.” Certification must rely on a reasonable estimate of effort during a specified time period, and when estimating, a degree of tolerance is acceptable and appropriate. FIU recognizes this degree of tolerance to be no more than +/- 5%.

Cost sharing is a commitment of institutional funding or resources to support a specific sponsored project for which the University is not compensated by the sponsoring agency. There are three types of cost sharing:

1. Mandatory/Committed: cost sharing that is documented in the proposal and agreed to in the sponsor’s awarding documents.
2. Voluntary/Committed: cost sharing that the sponsor did not require, but the proposal nonetheless included, and subsequently became a condition of the award.
3. Voluntary/Uncommitted: cost sharing that the University provided to the project, but was not required by the sponsor. This type of cost sharing occurs when effort exceeds pay.

Only mandatory/committed and voluntary/committed cost sharing must be tracked and reported to the sponsoring agency. Voluntary/uncommitted cost sharing need not be reported to the sponsoring agency; however, all effort (whether cost shared or direct charged) must be tracked and reported even if the effort is voluntary/uncommitted cost sharing. It is important to note here that according to University policy, only mandatory cost sharing shall be permitted on proposals to sponsoring agencies.

Certain agencies require effort to be reported in terms of person-months instead of percentage of effort. If the committed effort is expressed in person-months, you can easily convert it to percentage of effort for reporting purposes in eCRT. To convert person-months to percentage of effort, you must divide the number of person-months by the total number of months in that period i.e. summer (3 month), academic year (9 month), or calendar year (12 month). For example, if the committed effort is 1.5 person-months for the summer, and there are three (3) months during the summer period, then the percentage of effort would be the 1.5 person months divided by the 3 total months in the summer period—altogether equaling 50 percent effort for the summer period.

There are three basic salary (wage) bases used when converting person-months to percentage of effort: calendar year (CY), academic year (AY), and summer term (SM). The basic formula for conversion is:

Percentage of Effort = (person-months) / (months in period)

When calculating percentage of effort for effort reporting purposes, please refer to this chart:

PERIOD	MONTHS IN PERIOD	WEEKS IN PERIOD	DAYS IN PERIOD
Academic Year (AY)	9 months	39 weeks	273 days
Summer Term (SM)	3 months	13 weeks	90 days
Calendar Year (CY)	12 months	52 weeks	365 days

Example 1:
A faculty member on an academic year (AY or 9 month) appointment who has 2.25 person-months of effort would have a corresponding percentage of effort equaling 2.25 person-months divided by 9 months in academic year period, or 25 percent effort.

Example 2:
A researcher on a calendar year (CY or 12 month) appointment who has 3 person-months of effort would have a corresponding percentage of effort equaling 3 person-months divided by 12 months in calendar year period, or 25 percent effort.

No. If an employee has been awarded 3-months (i.e., 100%) of their summer salary by an extramural agency, the agency expects that individual to devote 100% of their effort on the funded project(s). This means that normal academic year activities should be minimized during the summer months (e.g., teaching, advising, committee service, etc.). This also means that vacation time off is not allowed during the summer months.

Yes. Effort associated with directing the research of students working on the PI’s research is allowable effort.

During a No Cost Extension, the effort commitment is the same as in preceding years. A PI can reduce their effort by up to 25%, but this must be communicated and agreed to by the sponsoring agency. Without this agreement, the PI will be responsible for completing the original effort commitment.

When the awarded budget is less than the proposed budget, a reduction in effort commitment might be necessary. If the awarded budget is reduced by 25% or more, an appropriate effort reduction can be requested from the agency.

When you have completed your effort certification, print and sign the report. If you are not the PI on the project(s) then send a copy of the signed report to the project’s PI. The PI must keep a copy of all effort reports of individuals paid from their grants.

The effort card will be reopened.

An effort card may be reopened if a payroll transfer is processed and causes the certified effort to no longer align with the computed effort or an effort card will need to be reopened if it is in a certified, processed status and an end user realizes that an update needs to be made to the card. If a user needs a card to be reopened, a documented request must be made to the Division of Research.

Effort cards can only be reopened by the Division of Research. In order for the card to be reopened, a documented reason must be provided.

If a user needs access to a specific PI, contact the Division of Research at ecrt@fiu.edu with a description of the issue and the reason for requesting access.

No, key personnel at FIU should be the ones certifying their time. These individuals who do not certify will appear on the departmental organizational dashboard but they will have an auto approve icon.

Hourly temporary employees don't certify; if they are non-exempt in the EV4 system, then they DON'T certify. OPS hourly on time cards don't certify, OPS on contracts do certify. Only exempt employees charging projects need to certify. If OPS don’t certify, the PI will be certifying their effort.

Additional state payment won't be taken in account in ecrt. Institution based Salary (IBS) will appear on the system but not any supplemental or extra state compensation.

Salary cap can be accounted for in the cost sharing column on the effort card. A user can add new cost sharing to any certifier. You will need to use the user interface under the Data & Workflow/Add Cost sharing in order to add a new cost sharing entry.

A PI will be able to certify researchers’ effort only for the portion associated to any specific project a PI is responsible for.

Yes, the pre-review period allows effort coordinators to prepare and update effort cards before they are released to the certifiers. An e-mail will be sent to effort coordinators and certifiers when the certification period begins alerting them that effort cards are ready to be certified.

A primary effort coordinator can certify his/her own card but another individual should be responsible of processing that effort card. Please contact ecrt@fiu.edu if you are a primary effort coordinator and also have to certify, so that an override effort coordinator can be assigned.

Yes, it can be done. Please send an e-mail to ecrt@fiu.edu with name and panther ID# of alternate effort coordinator and name and PID# of certifiers assigned to the alternate primary effort coordinator. In addition, you will need to support your request.

No, the primary effort coordinator will not have the certifier button. Primary effort coordinator tasks includes: reviewing effort cards, submit payroll transfers, creating notes to the certifier, and processing the effort card.

Primary effort coordinators review and process effort cards. Each department is required to have one. Secondary effort coordinators serve as a backup but won’t receive any processing tasks.

ecrt currently does not display commitments. In the future the system will show commitments based on the proposal.

During the summer a certifier may charge up to 2/9ths of their salary to NSF awards. An individual can charge up to 100% of their summer time to NIH awards, assuming that no other activities are being supported by grant or university funding.

If a husband & wife are both PIs on a grant and key personnel, then they both have to certify their own effort card.

No, ecrt does not replace any paperwork that needs to be submitted. ecrt is a means by which they can review their payroll charges and effort, but paperwork is still required. Also, the ecrt system provides reports that will be useful to users related to cost sharing

Yes, the system will allow an individual to certify, on a cost center basis +/- 5% or $1,500 without creating a payroll transfer. Any variance greater than this will require a payroll transfer.

No, only IBS Institutional Base Salary will be included on the effort report.

ecrt prorates payroll for the pay days in the certification period.

No, continue to process payroll transfers as needed, however be proactive in processing payroll allocation forms and changes, so that payroll transfers are limited.

Commitment information will be available in ecrt in the fall of 2011. The Division of Research is cleaning up the commitment information for awards and this will be input for review.

Auditorium style training and online training will be given to the PIs & faculty.

Effort is not only payroll based. Effort is calculated as Payroll + Cost Share. If a PI / faculty have committed time on a grant, but are paid from another funding source, they still need to certify their effort as cost share on the grant.

Primary effort coordinators may receive pre review emails, certification start email, and three reminder emails on those left to certify in their area, but we don't send emails once done and we don't overload you with emails. Once a PI certifies, they don't receive any additional "automated" emails. Secondary effort coordinators only receive the start of certification email, the primary effort coordinator receives the other email notices.

ecrt utilizes FIU’s single sign-on so it's the same panther id and password you use to login to your computer, pantherSoft, email, etc.

• 9 Month Faculty
• 12 Month
• 12 Month medical
• Other
• Other Medical

When the change in effort is +/-5% of the effort originally proposed. So if you have a grant with 4% effort and you go down to 3%, that's a 25% change and you need to recertify, but you can adjust future semesters to total 4% effort in the overall grant time frame.

You need to certify the effort you had on the grant during that particular semester and for however long during the semester you were on the grant.

Yes, if they have first-hand knowledge of the effort performed by the former PI, if not the Dean or Chair of the former PI would need to certify.

You would contact ecrt@fiu.eduecrt@fiu.edu to request that an alternate contact usually the secondary effort coordinator be changed to "Primary" during the time you are away from the office.

The ecrt system prorates and the semesters are based on the academic calendar. If the semester falls 4 days into the pay period and 6 days into the next semester, the ecrt system is only asking for certification for the actual academic calendar dates in the semester and will prorate OFF the days that don't belong to that semester.

When the change on your committed effort is +/- 25% you need to contact the sponsoring agency first for approval.

You can still process it, it is currently done this way university wide, and the credit or debit will hit your E&G budget in the new fiscal year.

Yes, Certifiers can ad cost share to a project the same way that effort coordinators can.

The effort card processing screen will provide the primary effort coordinator with the differences between computed effort and certified effort. The cost transfer report can also be used to review these differences. If an effort coordinator is unsure about the payroll charged, they should review the charges in EV4 to ensure that it matches ecrt.

As the transfers are processed by ADP they will be received as "ADJ" adjustment types into ecrt. If they are for a semester that has already been certified, the Division of Research will make ensure it reconciles to the certified effort. If it does not reconcile, the effort card will need to be reopened and the PI will need to recertify. This reconciliation is only for those transfers that affect a semester that has already been certified. The effort coordinator has the ability to check ecrt to make sure that what they are expecting to be transferred comes thru. It could take multiple pay periods for all payroll transfers to process, so DoR would wait to reconcile to certified time until all transfers received, based on the payroll transfers previously submitted.

An individual requesting a change must make the request to ecrt@fiu.edu. Within the request, the individual must include approval for the change by the organization department head.

A request must be made to ecrt@fiu.edu with approval from the PI and the Primary Effort Coordinator.