The scope of nanotechnology research includes scientific and engineering phenomena at the minutest and most fundamental levels in order to develop technologies for environmental and pharmaceutical applications. The interdisciplinary group on engineered materials and particulates focuses on technology development for the preparation, processing and use of engineered-particulate materials and their composites for a spectrum of applications. Research in the manufacturing systems group involves developing new methods and technologies for design innovation and process automation. A specific emphasis is to devise new processes and tools for pharmaceutical manufacturing.

The Material Science and Engineering cluster spans over almost all research clusters including Bioscience and Bioengineering, Environment and Sustainability, Robotics and Machine Intelligence and Data Science and Management in developing environmental and medical sensors and devices, tissue engineering intelligent robotics and rehabilitation systems, additive and pharmaceutical manufacturing, smart buildings and sustainable communities, and data driven modeling and simulation for the development and characterization of smart materials. 

NAE and NAS Grand Challenges and NSF Big Ideas within the scope of this cluster include “Restore and Improve Urban Infrastructure”, “Solar Energy”, “Provide Energy from Fusion”, “Develop Carbon Sequestration Methods”, and “The Future of Work at the Human-Technology Frontier”, and “The Quantum Leap: Leading the Next Quantum Revolution”. 

This cluster represents interdisciplinary research areas in urban ecology, space weather, solar terrestrial, environmental sensors, sustainable infrastructure, intelligent transportation systems, global climate change, biodiversity and conservation, clean water, waste management, renewable energy, and smart grid systems. The urban ecology and sustainability area emphasizes sustainable infrastructure, smart transportation, ecological communities, and urban modeling and simulation. Space weather sciences and impact of evolutionary changes in the solar system impacts directly our environmental ecosystem and global climate changes. This area also focuses on the water-energy nexus and the impact of ocean levels on the environment, as well as the development of technologies to clean water and to provide green energy, such as biofuel cells and powerful, long-lasting batteries. The Environment and Sustainability cluster intersects with other research clusters including Material Science and Engineering, Robotics and Machine Intelligence and Data Science and Management in developing smart and green buildings and sustainable communities, understanding space weather and climate changes. 

NAE and NAS Grand Challenges and NSF Big Ideas within the scope of this cluster include “Solar Energy”, “Restore and Improve Urban Infrastructure”, “Access to Clean Water”, “Provide Energy from Fusion”, “Develop Carbon Sequestration Methods”, and “The Future of Work at the Human-Technology Frontier”, “Navigating the New Arctic” and “Windows on the Universe”. 

The cybersecurity group designs secure cyber systems and improves cyber information and communications technology (ICT). ICT is shaping many aspects of society as the economy evolves rapidly, providing access to unprecedented amounts of information, anytime and anywhere, from any type of device. By 2025, the number of global IoT (internet of Things) connections will increase from 12 billion in 2020 to more than 30 billion according to an estimate by IoT Analytics. Global spending on security hardware, software and services is estimated to almost reaching $175 billion by 2024, according to Statista. This cluster with a broader transdisciplinary scope with diverse applications also includes multidisciplinary research centers focused on mathematical sciences, transportation systems, additive manufacturing and wireless communications technology and industry and business management, as well as on the societal impacts of science and technology. 

The Data Science and Management cluster spans over all other research clusters including Bioscience and Bioengineering, Environment and Sustainability, Material Science and Engineering and Robotics and Machine Intelligence for developing data driven approaches in almost all applications from healthcare information systems to industry automation, and to finance and business management. 

NAE and NAS Grand Challenges and NSF Big Ideas within the scope of this cluster include “Secure Cyberspace”, “Advance Personalized Learning”, “Enhance Virtual Reality” “Restore and Improve Urban Infrastructure”, “Engineer the Tools of Scientific Discovery”, and “The Future of Work at the Human-Technology Frontier”, “Harnessing the Data Revolution”, “Growing Convergence Research” and “The Quantum Leap: Leading the Next Quantum Revolution”.

Grant Management Roles

We are all research administrators when it comes to managing awards and we all have the responsibility of properly managing these grants. As a team, each of the following players has an important role to play:

• Principal Investigator and key personnel
• Dean/Chair/Director and Department/Center Administrative Support Staff
• Office of Research (College Research Liaison; Pre and Post Award units; Research Compliance; Intellectual Property)
• Support of NJIT financial and other administrative services
• Support of Technology resources
• Support of General Counsel

Communication and shared responsibility are key!

Principal Investigator (PI)

The PI has fiduciary responsibility for the overall management and success of the grant program. The PI is involved in all steps of the grant lifecycle:

• Identifying funding opportunities
• Proposal preparation
• Review and accept terms & conditions in partnership with the Office of Research
• Manage the administration and science of the award
• Execute and ensure spending is directly tied to the programmatic objectives 
• Fulfill and certify effort commitments
• Award reconciliation and closeout

Dean/Chair/Director and Department/Center Administrative Support Staff

The departmental unit has responsibility to provide leadership and guidance as well as administrative support to the PIs on the financial management of the research awards.

• Assure work fits the department’s mission
• Provide general oversight for proposals including budget review
• Review & approval of PI effort and commitment
• Verify PI eligibility/availability
• Verify approval of regulatory compliance protocols
• Approve cost sharing/matching
• Verify resources and facilities
• Manage effort (Commitments are met; Salary is charged correctly-avoid salary cost transfers)
• Financial Management-execute financial transactions and conduct regular monitoring of spending on awards

Office of Research 

The Office of Research (OR) has several units that provide institutional oversight on the adherence to financial and compliance regulations; and policies and procedures governing the research awards. In addition, the OR ensures that proper internal controls and measures are established to meet requirements by independent and sponsor auditors.

College Research Liaison - The College Liaison helps support the Principal Investigator (PI) during the proposal phase of the award lifecycle.

• Identify Funding Opportunities
• Assists with proposal and budget development
• Coordinate proposal submission within Streamlyne
• Assists with award maintenance and continuation

Pre-Award Services - The Pre award unit in the central office provides oversight on the final submission of proposals, authorized receipt of awards, and subcontracting processes.

• Review, sign and submit proposals
• Liaise with sponsor on award terms/conditions
• Negotiate, accept and sign agreements for funding
• Request No Cost Extensions
• Project Scope changes, budget justifications and other requirements needing sponsor approvals
• Subaward contract development and execution

Post-Award Management - The Post Award unit in the central office provides oversight on financial management and compliance on funded awards.

• Maintain award setup and profile in the financial system and conduct timely closeout of awards
• Review and approve all grant transactions for budget and compliance
• Report on and invoice for all eligible charges that are recorded in the financial system
• Manage revenue and sponsor payments
• Oversee the Effort certification process
• Prepare research financial data and reports
• Prepare audit documentation

Research Compliance - The Research Compliance unit in the central office helps to ensure that all research activities undertaken by faculty, staff, and students at NJIT are conducted ethically and in compliance with federal, state, local, and institute regulations and policies. It also serves as a resource for the NJIT research community for regulatory analysis and interpretation, policy development, and training and education.  The research compliance unit provides oversight and responsibility over the following areas:

• Human Subjects Research (IRB)
• Recombinant DNA, biohazards, and radioactive material (IBC)
• Vertebrate Animals Research (IACUC)
• Research-related Conflict of Interest (COI)
• Export Controls and Undue Foreign Influence
• Research Misconduct
• Responsible Conduct of Research

The Federal awarding agency or pass-through entity will close out the Federal award when it determines that all applicable administrative actions and all required work of the Federal award have been completed by the non-Federal entity. If the non-Federal entity fails to complete the requirements, the Federal awarding agency or pass-through entity will proceed to close out the Federal award with the information available (eCFR 200.344).

Many sponsors will not remit final payment until all required closeout documents/reports are submitted and accepted .

One or more of the following documents may be required by the sponsor for official closeout of the award:

• Technical Reports
• Financial Reports
• Property Reports
• Patents/Invention Reports

It is the responsibility of the PI to ensure that all progress/technical reports are submitted timely to the sponsor.

The final invoice due date, which can be within 30 to 120 days after the grant end date, will determine the timeframe the PI/Dept has to finalize costs on the award.

For example,

• If the invoice is due 30 days after grant end date, then all expenses must be paid and reconciled in less than those 30 days.
• If the invoice/final report is due 90 days after the grant end date, then all expenses must be paid and reconciled within 60 days of grant end date.
• If the invoice/final report is due 120 days after the grant end date, then all expenses must be paid and reconciled within 90 days of grant end date.

This is to allow all expenditures to post and clear in the ledger so they can be included in the invoice and proper support documentation be provided to sponsor, if it is required.  It is also necessary that all expenses are posted upon final invoice/report submission for audit trails and compliance.

As grant end approaches, within 90/60/30 days prior the following actions should be in progress:

• Reallocation plan for all personnel or termination.
• Pending transactions have been approved.
• Recurring charges are closed out.
• Purchase orders and encumbrances are closed out.
• Deficit on grants have been removed.
• Subcontract invoices have been received and approved for payment. Note: these must be submitted at least 30 days prior to NJIT’s due date for the sponsor so it can be cleared and posted to the ledger.
• Cost Share/Match Accounts - During the closeout period, cost share/match accounts must also be reconciled and terminated.  If it is a required match, the PI/Department must ensure that these obligations have been met.

Once the grant is reconciled, billed and all payments collected, the grant will be terminated in the financial system.  No further expenditures can be charged to the sponsored award.

Once a grant is closed, the associated sponsored programs will not be reopened. However, per federal regulations, the federal awarding agency maintains the right to disallow costs and recover funds on the basis of a later audit or review.

Such audits and reviews must be completed within the record retention period.

As per Uniform Guidance requirements, pass-through entities are directly accountable to the sponsor for the subrecipient’s performance and compliance. Hence, proper monitoring must be performed.

Pass-through entities must monitor the activities of subrecipients to ensure that the subaward is used for authorized purposes, subaward performance goals are achieved, and the subrecipient is in compliance with Federal statues, regulations, and the terms and conditions of the subaward (eCFR 200.331).

Pass-through entity monitoring of the subrecipient must include:

• Reviewing financial and performance reports;
• Following-up and ensuring that the subrecipient takes timely and appropriate action on all deficiencies pertaining to the Federal award

Subaward Agreement Development

To initiate a subcontract agreement request, use following link: External Subcontractor Generator Form-Grants

Step 1: PI works with Pre-Award services to develop, negotiate and finalize contracts with sub recipient.
Step 2: Pre-Award services works with general counsel, as needed, to execute signed contract and sends to PI.
Step 3: Upon receipt of executed contract, department personnel submits the requisition (within 3 days) to request the purchase order.

If agreement is over $25K, two requisitions need to be entered for subcontracts to be in compliance with 2CFR200

• 1st Req: up to $25,000 use account code 756110 (Subcontract <= 25K)
• 2nd Req: Remaining balance above $25,000 use account code 756111 (Subcontract > 25K)
• Subcontract requisitions are submitted to post-award for approval

Subcontract requisition must not be entered without a fully executed agreement. The Subaward must be uploaded as support to the requisition request.

Subagreement and Purchase Order (PO) must be in place for subrecipient to begin work.  They will need the purchase order number to adequately invoice NJIT for payment of services/work rendered. These invoices will need to be submitted to Apinvoices@njit.edu with the PO number indicated on the invoice.  Otherwise, they run the risk of payment delays.

Subaward Invoices

The project PI and departmental research administrators are required to ensure that invoices from subrecipients are reviewed before they are approved for payment. Project and invoice monitoring includes the following steps:

• Reviewing invoices against the approved budget and verifying that costs are appropriate for the work performed;
• Verifying that costs are in alignment with cost principles;
• Ensuring that invoicing is occurring according to the schedule outlined in the terms and conditions of the subaward;
• Ensuring that subrecipients submit a final invoice for project expenses at the end of the project, and such an invoice is marked “final.”

The PI approves all subrecipient invoices for payments via eMerchant.

Policy: Subcontract and Contractual Agreement Management
Resource: eCFR 200.331 Subrecipient and contractor determinations

Effort Reporting is required in accordance with eCFR 200.430 Compensation-Personal Services.

• The processes and system in place allow for reasonable approximations of the activity actually performed;
• The system must recognize the principle of after-the fact confirmation or determination so that costs distributed represent actual costs.
• Reasonably reflect the total activity for which the employee is compensated by the non-Federal entity, not exceeding 100% of compensated activities (for IHE, this per the IHE's definition of IBS)
• Salaries and wages of employees used in meeting cost sharing or matching requirements on Federal awards must be supported in the same manner as salaries and wages claimed for reimbursement from Federal awards.

Effort reports provide a percentage breakdown of an individual’s total activity during the certification period and must equal 100% of their dedicated time and effort across all funding sources including university activity efforts.

Types of Effort

• Funded Research under sponsored program
• Unfunded Research
• Teaching
• Service (University, department/college related duties)
• Administration (e.g. department chair, associate dean)
• Sabbatical or leave of absence

Effort reports should be certified by responsible persons with suitable means of verification that the work was performed. However, PIs must certify their own reports.

Effort reports are distributed three times a year – once each Semester – Spring/Summer/Fall. The Effort Report deadlines will be:

Spring – Early July (Due to fiscal year end processes and recast deadlines)
Summer – September 24
Fall – March 31

Training Materials:

Effort Reporting and Recast Overview
Banner Effort Report Module Manual
Banner Effort Report Module Navigation video

Instructions to view:

Go to MyNJIT Login. In Faculty/Staff Services, under Research Services, select "Effort Certification." The first tab on the "Effort Certification" module is "Certify My Effort” to certify your own efforts.

For certifications of individuals on the grants, PIs can use “Advanced Search” by clicking on the “Review or certify effort” tab and then 

1. Select or enter “1” for Chart of Account (COA) code
2. Select or enter “FALL2021” for the Effort Period code
3. Click on the “Go” button: It will then list the grants for which certifications are required.

We strongly encourage PIs to review the training materials particularly the training navigation video and powerpoint presentation below. This provides instructions, how to understand the report data, and the criteria PIs need to enter to access certifications for their staff/students. 

If there are still any questions, please send an email to timeandeffort-group@njit.edu.

Policy: Time and Effort Reporting and Certification

Participant support costs are direct costs for items such as stipends or subsistence allowances, travel allowances and registration fees paid to or on behalf of participants or trainees (but not employees) in connection with conferences or training projects (eCFR 200).

A participant is a non-NJIT employee, who is eligible to receive a service or training associated with a workshop, conference, seminar, symposium or other short-term instructional or information-sharing activity.  Participants may include students, scholars, and scientists from other institutions, individuals from the private sector, teachers, and state or local government personnel.

A participant does not perform work for the project, and is not required to provide any service or deliverables in return for the participant support allowances.

Participant Support does not include fees for speakers or trainers, expenses for the PI, expenses for NJIT employees to attend training or conferences, or incentives for research subjects to participate in a research project, such as gift cards or stipends.

For research (human) subjects that are part of a project, there is a separate account code utilized. The grant account will be able to provide that information.

Participant Support is only allowable on a research project with the prior approval of the awarding agency (eCFR 200.456), and when the project includes an education or outreach component.

Budgeting and Managing Participant Support Costs

Participant support should be budgeted in its own separate category, labeled as Participant Support. All funds approved for this budget category have a restricted purpose and are to be accounted for separately. At NJIT, a separate Expense Account for participant support costs is set up, and all expenses charged to this account are exempt from indirect costs. Under the Uniform Guidance, participant support costs are exempt from indirect costs and they are excluded from Modified Total Direct Costs (MTDC) for the purposes of F&A (UG Appendix VII to Part 200).

In cases when the sponsor doesn't impose any additional restrictions, funds may be transferred into Participant Support budget category but may not be budgeted out without prior approval from the sponsor (eCFR 200.308). If prior approval to rebudget participant support costs is not obtained, any unspent funds in this budget category cannot be used for any other purpose and must be returned to the sponsor at the end of the project period.

PIs and departmental research administrators are responsible for reviewing award documents, monitoring expenditures throughout the life of the award, and for obtaining written sponsor approval for any rebudgeting when prior approval to transfer funds between the cost categories is required.

All grant transactions are initiated by the departmental support staff upon the direction of the Principal Investigator responsible for the award.  These transactions must align with the executed award agreement and budget plan.

Budget Revisions

The Principal Investigator may need to request a Budget Transfer when the budget needs to be adjusted to reprogram grant funds from original budget due to anticipated program needs.

Regular monitoring allows the PI to adjust the spending plan prospectively and obtain any necessary approvals prior to spending.

For a copy of the form and submission of budget revisions requests, please contact your assigned grant accountant under Post-Award management section of the Contact us page.

Some budget transfers will require additional levels of approval if they have an impact on the following categories. PI must obtain Chair/Dean Approval if:

• Transfer of Academic Year release time to summer salary or to any other category.
• Reduction in student support (Stipend and/or Tuition)
• Reduction in F&A (Indirect/overhead costs charges)

Sponsor Agency Approval may be required for the following examples and will only be transferred when said approval is documented:

• Changes in Indirect Costs
• Changes in Academic Year Release Time or other key personnel or percentage effort
• Changes in Student Support (Stipend and/or Tuition)
• Exceeds allowable limit threshold for re-budgeting
• Changes to Equipment
• Changes to Subcontracts
• Reduction to Participant Support

Policy: Budget and Expenditure Monitoring for Sponsored Research Programs
Resource: Prior Approval Matrix across multiple federal agencies: Budget Change Approval Matrix
Form: Budget Transfer Request

Cost Transfers

All sponsored award expenditures should be initially charged to the correct sponsored award because of the direct impact it has for the aims of that project. However, occasionally expenses are charged erroneously. When an erroneous entry affects a sponsored award, the correction must be made on a timely basis and sufficient information must be provided to allow for a clear audit trail back to the initially recorded expense.

A cost (expense) transfer – is an after-the-fact movement of costs (labor and non-labor) from a sponsored or non-sponsored award to another sponsored award.  This is completed when expenses needs to be reallocated retroactively from one index to another whereby one or both of these is a sponsored award.

Requirements:

• These cost transfers require proper documentation of the original expenses to be reallocated.
• Justification/explanation are needed for transactions greater than 90 days.  Any adjustments done greater than 90 days, give the perception that grants aren’t being monitored regularly and are an audit flag.
• These instances require additional documentation, clear explanations and corrective actions to prevent future errors.

Grants should be reviewed at least quarterly to identify if any adjustments are needed.

Acceptable Reasons for a Cost Transfer

• Clerical Error – These are typically data entry errors such as transpositions.
• Pre-Award Costs – Costs incurred prior to receiving an award and setup on a non-grant fund. In no case, may an existing sponsored project index be used as holding account for pre-award costs on a pending award.
• Costs Benefiting More than One Project – “If a cost benefits two or more projects or activities in proportions that can be determined without undue effort or cost, the cost must be allocated to the projects based on the proportional benefit.   If a cost benefits two or more projects or activities in proportions that cannot be determined because of the interrelationship of the work involved, then…the costs may be allocated or transferred to the benefited projects on any reasonable documented basis.” 
• Continuation of a Sponsored Project or Program – If the continuation has another index and the expenses are in the initial index, these may be legitimately moved to the continuation award in accordance with the terms of the new award..

Inappropriate Reasons for Cost Transfers

OMB federal regulations state that any cost allocable to a Federal award may not be charged to other Federal awards to overcome fund deficiencies, to avoid restrictions imposed by regulations of terms and conditions of the Federal award, or for other reasons (eCFR 200.405).

In addition, it is strictly prohibited to allocate expenses on a federal award due to delay in funding from another source with the intent to move it when it comes in. This is called “Parking of Expenses” and it is not allowed.

Examples of other unallowable cost transfers are:

• To cover cost overruns or deficit balances in other non-grant or grant funds
• To utilize unexpended funds of a sponsored award
• To use for cost management strategy
• Used any other reason of convenience

Policy: Cost Transfer Policy
Resource: Expense Account Codes Listing-Finance
Form: Cost Transfer Request

Personnel (Labor) Adjustments

To ensure proactive personnel management on awards, regular review by department/PI on a monthly, or at least quarterly, basis to determine adjustments or updates needed to be processed promotes effective grant management.

When reviewing your monthly grant payroll reports, any corrections or adjustments should be done upon discovery so that these changes would have taken effect in time for the creation of the effort reports. This will reduce the need to make corrections during the open review period so the submission of the time and effort certification can be completed by the deadline.

Realignment of Personnel Expenses

As a grant is approaching 90/60/30 days prior to expiration of funding, the Principal Investigator with departmental administrative support, must take proactive measure to avoid employees falling off payroll. 

One of the following steps must be taken:

• Submit Personnel Action Form (PAF) with future effective start date on the new funding source.
   
• If anticipated grant balance and work continuation is expected on the grant, submit a No Cost Extension (NCE) request at least 90 days prior to grant end to allow reasonable time for sponsor response and updating in Banner.  Contact your College Office of Research liaison to initiate the NCE request.
   
• If there is no continued grant funding established but you anticipate additional funding, these personnel can be moved to a non-grant funding source approved by your College Dean until your external funding is received. 

Otherwise, contact your College Office of Research liaison to inquire about an Advance Account request. Note: You will need to provide evidence from the sponsor to support that the grant is imminent and this will need to be approved by leadership. See link: Advance Account Requests for Sponsored Research

An updated PAF must be sent to Human Resources by the PAF processing deadline for the payroll in which their end date occurs for each of these scenarios.  A link to the payroll and PAF processing calendar can be found here.

Any ineligible expenses on the grant beyond the grant end date will need to be removed and covered by your area if proactive measures are not taken to ensure timely reallocation of personnel. 

Labor Redistribution (Recasts)

Given that a timely review of monthly grant payroll reports is expected, labor transfers should occur infrequently and must include detailed documentation as to why the transfer is required. Written justification and PI approval for the labor transfer for sponsored awards is required and must be provided on the cost transfer form upon request from the grant accountant.

For non-sponsored funds, approval from the Budget Administrator or appropriate delegated authority is required.

Resource: eCFR 200.430 Compensation-Personal Services
Resources: Labor Redistribution-Finance Site