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- What is the first step?
Contact SRA. However you are comfortable: e-mail, phone, and stop by our office in the Fenster all Building (3rd Floor); just be in contact.
- What is the preferred way to contact SRA?
The best option is to send an e-mail to the Research Director/Project Manager with a CC to the firstname.lastname@example.org . We recommend using your Director/Research Manager assigned to your college rather than emailing a specific staff member. This will allow us to provide coverage, if necessary, when staff are not readily available. That being said, SRA is also happy to take your phone calls and encourages you to call your representative if that is your preferred method of communication. A list of SRA contacts is located at our web site http://www.njit.edu/research/
- Can I submit a "late" proposal?
Federal agencies distinguish between "deadlines" and "target dates." Deadlines are absolute and proposals received after a deadline are not accepted. For those competitions with target dates, there is no need to inform the Program Director if a proposal will be a week or two late. If the delay will be significantly more, please contact to make certain it can still be included in the pending review cycle. For some NSF competitions, requests may be submitted at any time.
- How can I help avoid delays in SRA proposal processing time?
- Follow the Proposal Preparation Guide
- Work with Department/College Representative and SRA early in the process
- Read the solicitation closely and address any special requirement
- Become familiar with agency-specific rules, e.g. National Institutes of Health (NIH) salary cap and National Science Foundation (NSF) 2-month effort limitation.
- Prepare the necessary forms. Ensure all Investigators have submitted their Conflict of Interest Disclosure prior to submission
- Confirm the Internal Sign off has been approved up to SRA's level of approval
- If the proposal includes subcontracts, ensure you have received the signed Subrecipient Commitment Form for each subcontractor.
- My work is interdisciplinary. What should I do?
Any federal agency recognizes that innovative research often lies at or between traditional disciplinary boundaries and encourages interdisciplinary and multidisciplinary research. A potential applicant should contact a relevant program Director and discuss their particular project. For administrative reasons a proposal may be submitted to only one Program. However it can be jointly evaluated and funded by several. This is a common practice in archaeology and projects do not slip between the cracks. Experience indicates that review by multiple Programs may best be viewed as multiple opportunities for support and not as double jeopardy.
- My project involves multiple researchers at several institutions. How should I handle this?
There are several mechanisms to provide support to researchers at multiple institutions and to accomplish this within the framework of a single project. These include subcontracts, collaborative awards and a central plan of administration by a single institution. Although one needs to consider carefully which mechanism is most appropriate in a specific case, none are cumbersome and all are regularly employed. Applicants should call the Program Director to discuss the details, advantages and disadvantages of each alternative.
- Will you write the grant for me?
The simple answer is no. In our experience, having another person put your ideas into words is not effective, is not as successful, is totally transparent to the reviewer, and can lead to confusion. You are the best person to express your ideas.
- What else do I need to know to effectively deal with SRA?
SRA is committed to facilitating the pre-award process for scholarly research. The following information will help you understand how SRA is structured.
SRA can assist you with properly understanding the Request For Proposal (RFP). This may include blocking off long periods of time to sit with you to properly guide you to the different requirements, gather information for you, format the proposal so that it looks good, and generally help you in any way with the compliance of the whole proposal package. Time can be a very real constraint. Keep in mind that some proposals will need specific certifications that they are common; therefore they will require more time.
- What is the NJIT Timeline for Proposal Submission?
1 month in advance (as early as possible) send the SRA a message of intent to apply to email@example.com
This should include the request for proposal identification number (NSF, NIH) or the grant proposal guidelines document. At minimum, a link to the documents should be provided.
2 weeks before due date the budget should be finalized and the approval proposal process should be initiated. This includes the Department approval and conflict of interest forms with the PI’s and Department Chair’s signature, the detailed budget and justification , proposal title, and preliminary specific aims (NIH), proposal summary (NSF), or contract scope of work (SOW).
72 hours prior to submission the SRA will initiate a proposal review and check for submission errors. For this to occur, all portions of the proposal should be completed and ready for submission with the exception of the proposal narrative. Only a draft of the proposal is needed at this point as a place holder for error checking.
24 hours prior to the deadline for on time submission, the PI should release the final version of the proposal to the SRA office. (Please refer to the http://www.njit.edu/research/pdf/Research-Proposal-Submission-Guidelines-Recommendations-2015.pdf)
- What recommendations do you have for my Major/Multi-year Research Projects (e.g. NSF, NIH, DOD)?
It is strongly recommended that proposal budgets prioritize student support. Grants and contracts generally include in their personnel budgets one or more of the following items: support for PhD student(s), faculty summer salary, agency-supported academic-year release time, post-doctoral fellow support, support staff, masters and undergraduate student support.
- How do we submit Small and Consulting Projects and non-STEM Grants, and/or Creative Projects?
Small or creative projects and/or consulting contracts, usually involving industry, state or private agency funding, will be treated differently. A faculty member who is seeking such funds should clearly explain the scope of the project and its funding source to the Chair to get his/her approval prior to finalizing such plans. As with major/multi-year research projects, the grant and contract approval process will also involve the Chairs and Deans. The involvement of students in such projects can be compensated on an hourly basis at a rate consistent with federal work-study guidelines. All agreements for these types of projects must be reviewed and approved by the SRA office.
- What is the process for changing an Awarded Proposal Budget?
In the case that the budget of a grant or contract is awarded with budget changes, the new budget and justification must be resubmitted on the approval forms for Chair and Dean review and approval. If the grant can no longer support the full student cost, the remaining portion will be cost shared by the Department Chair, Dean or SRA
- How do I Budget a Different Indirect Costs?
If the company or agency does not allow indirect costs as stated in our agreement with the Federal government, they must provide written document of limits to indirect cost by company policy. For grants and contracts that restrict indirect costs, the remaining needed cost will be shared by SRA.
- What if my Proposal Requires a Budget Match?
When an agency requires a match to the proposed budget, the PI of the proposal will contact the SRA to discuss the inclusion of the appropriate matching to meet the scope of work proposed. All agreements on matching must be communicated to the Department Chair and Dean’s office on the Department Approval Forms.
- When is my award going to be set-up?
At the time of the Award notification from Agency, the Office of Research will be setting up grant index within 24 to 48 hour after notification without contingencies to budget changes
- Do I need to change the budget?
Upon award notification, SRA staff will review sponsoring agency award budget against internal sign-off of budget. If fringe rates have changed since time of award, new rates will apply and PI will need to adjust budget accordingly. Once PI returns current updated budget to SRA, a request to create a new index number will be processed
- What info is needed to set-up an award for index creation?
An Award Letter from agency approving the project. The letter should have at a minimum:
- Starting date of project
- Total funding amount of the project
- Language indicating that they are authorizing NJIT to start incurring expenses
- When can I start purchasing items from this award?
Upon e-mail notification from Grants and Contracts Account (GCA). This notification email will contain details of the awarding agency, index number, sponsoring agency and an attachment to PI containing a word document email and signed letter from the grants and contracting group containing PI can start purchasing items upon creation of index
- I need a pre-award index set-up, what are the steps and documents needed?
PI obtains a letter or e-mail from agency approving the project with at minimum the following:
PI sends SRA an email with the current required needs for a pre-award index request
- Starting date of project
- Total amount of the project
- Language indicating that sponsor is authorizing NJIT to start incurring expenses
- NJIT budget for pre-award, as required
- What is the first step to initiate a Subcontract/Consulting Agreement?
To provide Subcontractor’s or Consultant’s Contact Information; i.e. Name, Address, Email, Scope of Work (SOW), Budget and Index number to SRA.
- May we use the format of any prior Agreement and just fill in the current information?
Only SRA completes and issues and executes all Agreements. No other party could use any template.
- What if the recipient wants to make any changes to the Agreement?
The recipient may send the proposed changes to us. SRA would review and negotiate the terms and conditions directly with the recipient. The PI could work only if there is a change in the Scope of Work or Budget.
- Is it possible to add or reduce the amount after an Agreement is signed?
Yes. The value of the Agreement can be modified (increased or decreased) with the PI sending the revision to SRA. Then a modification would be sent out by SRA. No new Agreement is required in such instance.
- Is it possible to extend the project end date after an Agreement is signed?
Yes. The project end date can be extended provided the extension is within the period of performance of the Prime Contract.
- What are the documents required from the subcontractor / consultant?
The subcontractor / consultant will be notified in the beginning as to which documents are required; based on the details of the Agreement.
- How does the Subcontractor / Consultant receive payments?
Once the Agreement is executed, the PI would create a Requisition in Banner system. When an invoice is received, the PI approves it based on the work done. Then the invoice is sent to Accounts Payable department with the PO number written on it.
- Who in the Grants Accounting Office handles my department?
Please see the GCA Staff Directory.
- What is an obligation?
An obligation is a purchase order, a signed contract or other agreement, the purchase of supplies or materials, etc., or other "commitments" to expend the funds. Grant funds may not be obligated prior to the starting date of the grant or after the ending date of the grant.
- When does an obligation occur?
An obligation occurs when:
- Services by an employee - when the services are performed
- Services by a contractor - the date of a binding written commitment to obtain services
- Real or personal property (including purchase of supplies and equipment) - the date of a binding written commitment to acquire the property, such as a purchase order.
- When can I begin to obligate/encumber funds?
The Grant & Accountant assigned to your department will set up the award in Banner and as soon as the PI is informed of the index number, then can obligate/ encumber funds.
- How do I get information from Banner about my program?
The Principal Investigator can access Grant Budget Summary / actual expenses details/ commitments by accessing Self-Services banner system.
- Can I spend money before or after the project period?
Not without prior written approval from the sponsor.
- How do I know if an expense is allowable?
All expenses should be listed in the budget narrative submitted with the proposal. All expenses must help achieve the objectives of the program. Depending upon the type of expenses, prior written approval from the sponsor may be necessary before the purchase is completed. If you're not sure about a particular expense contact your grant accountant.
- What is the difference between direct and indirect costs?
Direct costs are specifically identifiable to your project, whereas, indirect costs cannot be identified readily as related to your project. Examples of direct costs include your grant salary and benefits, travel, and the cost of materials and supplies used to implement the project. Examples of indirect costs include the cost of utilities for the building where you conduct your project activities, general office supplies, and the salaries and benefits of administrative staff who support grants. Direct costs are charged directly to the grant when incurred. The indirect costs charged to your grant are usually calculated as a percentage of wages or total direct costs. They represent an estimate of university’s overhead on grants.
- Why do Federal regulations apply to Non-federally Funded Projects?
Federal regulations / University policies will apply to all awards irrespective of the funding source to assure that business practices recognize some of the unique needs of Universities.
2CFR policy guide 200-400(e) which governs sponsored project agreements between Government Agencies and Universities provides that: "Cognizant Federal agencies involved in negotiating facilities and administrative (F&A) cost rates should assure that institutions are generally applying these cost accounting principles on a consistent basis." Policy guide 200.419, also outlining "Cost Accounting Standards for Educational Institutions", which includes an independent body called the Cost Accounting Standards Board (CASB) which deals with the standards that must be applied. Uniform Guidance requires the filing of an institutional certification of its business practices (DS-2).
In non-business areas, such as those covered by assurances of ethical practices in research (e.g., humans, laboratory animals), university extend the principles embodied in such assurances to all sponsored projects.
- What is considered a Participant Support?
Participant support is payments for participation in nonacademic programs. This may include stipends, travel, and other costs. It is not related to an academic endeavor. There is no real wage, just the expectation that the participant be present at some event. Participant support, are considered non-employee compensation and, as such, are subject to Internal Revenue Service (IRS) requirements for miscellaneous income reporting (1099 or 1042 reporting). The government requires us to keep these costs separate.
- Why can't I charge general office supplies to my federal grants?
ostage and office supplies be considered a departmental expense (indirect cost) unless the expense can be shown to be a significant part of the project or activity and they are purchased for the sole direct technical benefit of the project.
- Are there other costs which are not allowable on federal grant funds?
For a more complete discussion of allowable and unallowable costs on federal funds,
Please refer 2CFR-200-Federal Uniform Administrative Requirements Subpart E-Cost Principles.
- What are the restrictions on purchasing grant equipment?
Capital expenditures for special purpose equipment are allowable as direct costs, provided that items with a unit cost of $5,000 or more have the prior written approval of the Federal awarding agency or pass-through entity. Sponsored equipment purchases should be made at the beginning of the project. At the latest, the process should be initiated no later than 90 days prior to the end of the project.
Please refer 2 CFR-200.439 Equipment and other capital expenditures.
- Are there any outstanding invoices on my research grant and when is the next invoice due?
Invoices are issued and sent by Grant Accountant according to the payment schedule of the award. However, some invoices can only be sent after a milestone has been completed. Please refer to the award agreement for invoicing requirements.
- What are the reporting requirements of my program?
The award agreement should specify the types and due dates of all reports. There are generally two types of reports: Financial reports and Technical (also known as Progress) reports. The Grant Accountant prepares financial reports. Technical reports are prepared by Principal Investigator without GCA involvement (unless financial information is required in the report). If the contract does not specify reporting requirements, contact the sponsor immediately. Failure to meet reporting requirements may jeopardize current and future funding.
- Does cost share have to be documented?
Yes. If cost sharing is included in the sponsor-approved budget, it must be accounted for. A separate banner index is established to assist with tracking cash match. Cost sharing is that portion of the project costs that are funded by sources other than the sponsor, and are categorized as follows: Cash outlays by the university,
University in-kind contributions or third party in-kind contributions. All cost sharing resources must meet these general criteria defined in 2CFR-200-Uniform Administrative Requirements Sub Part D- Post award Requirement in order to qualify:
- Are verifiable from university records;
- Are not included as contributions for another federal project;
- Are necessary and reasonable for proper and efficient accomplishment of project objectives;
- Are allowable under the applicable under Subpart E—Cost Principles;
- Are not paid under another federal award;
- Are provided for in the approved budget;
- Conform to other provisions of 2CFR -Part- 200 as applicable.
- Who is responsible for collecting cost sharing documentation?
The Principal Investigator is responsible for making sure cost sharing is documented and reported as committed in the award document. The PI should work with his/her grant accountant to ensure that all cost sharing has been accounted for before the end of the project period. Please refer to our Cost sharing Policy for details.
- What must I do when a research project has ended?
At the end of the award, PIs are responsible for developing and submitting final technical reports required by the project sponsor. You should contact the Grant Accountant assigned to your fund. You will work with the Grant Accountant to identify the final expenditures. The Accountant will prepare and submit the final invoice and/or final financial report to the sponsor along with invention reporting, or any other financial reporting due if necessary. Depending on the agency the project closeout report is normally due within 30, 60, or even 90 days of the project end date.
- How long must I keep papers relating to a closed-out sponsored research project?
Papers on sponsored grants will be retained for a period of three (3) years from the last day of the fiscal year in which the quarterly, semiannual or annual report was submitted to the awarding agency. The existence of any litigation, claim or audit will result in the extension of the three year retention period to the last day of the fiscal year in which the matter is resolved and final action is taken. An awarding agency may require that records related to a specific grant or contract be retained for a period other than that set forth above. In such a case the records are to be retained for the longer of the period required by the specific grant or contract or the period set forth above. Please refer to our Record Retention Policy for details.
- What if I need more time to finish program objectives?
Contact the Office of Sponsored Research Administration before the end of the project period to request a no-cost time extension of the project period. We must have written approval from the sponsor before the project ends in order to extend the end date.
- What is the procedure if my account is in a deficit at the time of closing?
If the grant is in a deficit after its expiration, the reason for the deficit will be determined. If necessary, the department will be contacted and requested to provide a fund to which the expenditure(s) may be transferred. If there is no resolution with Department, the Dean's Office will be contacted.
- Can I carry remaining funds from the previous budget year in the current year for my research award?
Carry forward of funds varies depending on the terms of the award. If in doubt, contact the Grant Accountant assigned to your award. Requests to agencies for carry over would go through the Sponsored research Administration.
- What is a Cost Transfer?
A cost transfer is an accounting entry to reclassify an incurred expense from one account to another. Cost transfers may be necessary to (a) distribute clearing account expenses; (b) correct salary distribution estimates; or (c) correct clerical, bookkeeping, or data entry errors.
- What information is required when processing a Cost Transfer?
Basic information should be included such as the account number and object code for the accounts for which you are requesting the charges be transferred to/from and the date and description of the original charge. In addition, an explanation of why the transfer is being requested is required. Generally, explanations for cost transfers should address why the expense was originally charged to an account or line item, why the charge needs to be transferred to/from the grant account, and if the charge is being transferred, whether the charge is allowable and allocable based on the terms and conditions of your award. To correct a clerical error is not an acceptable explanation.
- Who must certify a request for a cost transfer?
The Principal Investigator must request the Cost Transfer with a brief justification. Also the PI should make sure that the charges being transferred are appropriate and allowable expenditures on the grant or contract according to the terms of the award. The GCA Office will then verify that the charges are appropriate and allowed by the terms of the award and will complete the cost transfer.
- What is the time period for submitting a Cost Transfer?
Cost transfers must be submitted within 90 days of discovering the misallocation. However, cost transfers will not be approved for charges made after the end of a grant. Also, cost transfers cannot be completed for charges made in a previous fiscal year.
- Why is the time period for cost transfers only 90 days?
Federal regulations govern the amount of time that cost transfers are allowed to be made. In order to comply with these regulations, NJIT policy is that all cost transfers must be made within 90 days of discovering any errors.
- Can salaries be transferred?
Yes, but all necessary paper works with proper explanations, for transferring payroll charges, must be submitted on a timely basis. We also recommend that all personnel documents are submitted as close to the start date of a grant as possible. This is especially important on multi-year grants so that the `previous year’s grant account can be closed in a timely manner.
- How do I re-budget funds from my award?
Read the Notice of Award first to see if there are any re-budgeting restrictions on the award. It should be noted that the Internal Prior Approval Request process cannot be used if the budget change is considered “significant.” The following are examples of significant changes:
- change in scope or objective of the project;
- change in PI;
- absence of PI for a significant length of time (usually in excess of 3 months); or
- significant changes in level of effort (25% increases or decreases) by key personnel.
When significant changes occur, agency notification is required and written authorization must be received from the agency prior to the occurrence of the significant change.
Please refer to our Budget Revision Policy for details.
- Who is eligible for summer salary?
Faculty Members and certain Instructional Staff working on sponsored research projects during the summer months are eligible for summer salary. Employees with a twelve month appointment, Instructional Staff and part time employees are normally ineligible for summer research salary.
- How much I can earn as summer Salary?
Faculty Members certain Instructional Staff working on sponsored research projects during the summer months are eligible to earn up to 1/3rd of their academic year salary.
NIH will not allow requested summer salary above its published salary cap found at http://grants/policy/salcap_summer.htm.As general policy, NSF limits salary compensation for senior project personnel to no more than two months of their regular salary in any one year. This limit includes salary compensation received from all NSF-funded grants.
- When is the Summer research period starts and How long?
The summer research period starts the day after the academic year end graduation date. The total number of summer work hours will be 420, consisting 12 work weeks at 35 hours per week (70 hours or two weeks equal a pay period).
Please refer to our summer salary Policy for details.
- Does the effort expended during academic year qualify for sponsored summer salary?
No. Summer salary is earned and paid over the same period as the summer research is performed. Effort expended during the academic year does not qualify for summer salary.
- What is a Time & Effort report?
A Time & Effort Report is the tool used to confirm that salaries and wages charged to the grant are reasonable in relation to the work performed as part of the funded project. The Federal government requires recipients of grants to maintain time and effort reports that reflect effort levels by employees on grants. The Grants Accountant provides effort reports to PI/Dean’s office three times per year (at the close of each academic semester and the end of the summer) which must be certified by the employee and returned to the Grants Accountant.
- Do I need pre-authorization or pre-approval for my Travel?
Yes, The traveler’s approver, with in his or her school, division, or department must authorize all official business travel.
- Who is making my travel arrangements?
Travelers are expected to make their own travel arrangements by planning ahead, explore multiple transportation and lodging options, and complete their arrangements in the most cost effective manner as far as in advance possible. The Purchasing Department can recommend travel agencies that can be used if the traveler wants to charge transportation or lodging costs directly to the university via purchasing system.
- I am arranging for travel to an international country, do I have to use a US owned airline for my travel arrangements?
The university will reimburse coach class tickets aboard a regularly scheduled commercial carrier. Travelers must use a US Flag Carrier if paying on Research Funds. The university complies with the Fly America Act.
- How do I get an advance for travel?
Travelers may use a purchase requisition made payable to the vendor to charge the purchase of transportation, lodging, and/or conference fees directly to their university account or the traveler’s may make approved travel-related purchases using personal funds and submit a Travel Expense Form to obtain reimbursement after all travel is completed.
- Can I rent a car when I go on travel?
The University will reimburse for rental car when there is a business justification or there is no other means of comparable transportation (e.g. taxis, limousines, etc.).
- What is the current mileage reimbursement rate?
The university will reimburse travelers who use private automobiles on university business at the State’s mileage reimbursement rate in effect at the time of travel (31 cents per mile as of Sept 30, 2011).
- What is the meal per diem for Travel?
The university will reimburse travelers for meals in travel status under the following options: A reimbursement, at a rate of $60 per day. This per diem must be prorated if any meals are provided at a conference, by the hotel or by any other source, or if a traveler begins or ends his/her travel after the start or prior to the end of the business day.
Please refer to our Travel and Business expense Policy for details.
- Do I get reimbursement for meal expenses for Non travel business from my grant.
University regulations apply to all grant or contract meal and food purchases unless there is a restriction or guidance from the sponsor. Generally, meal and food purchases are not an allowable expense on grant funds. In those cases in which meal and/or food purchases are an integral part of the grant purpose, the need for such costs should be specifically identified in the proposal and explicitly provided for such costs should be specifically identified in the proposal and explicitly provided for, in the budget. Entertainment expenses are not allowable on grant/contract funding.
- When should my travel expenses be submitted?
Travelers must submit their Travel Expenses forms and all supporting documents within 45 days after their return to the university. Both the approver and the next higher-level approver must approve Travel Expenses Forms Submitted beyond the 45-day time period. Travel Expense Forms submitted beyond one year after the date(s) of travel will only be reimbursed with a Vice presidents approval.
- Who can approve my travel reimbursement?
The traveler’s supervisor, PI, index/fund responsible person or their designee who does not report to the traveler must approve the reimbursement.
- What is a purchase requisition?
A purchase requisition is used to order equipment, supplies, or services through the Purchasing Department. It is an authorization to commit university or external funds to expenditures for requisitioned items. Individuals must submit a purchase requisition for a purchase order to be generated. An approved purchase order must be in place prior to committing university or external funds.
- What are the basic steps in the general procurement cycle?
Please review the information located in the Purchasing Manual located at http://www5.njit.edu/finance/manual/.
- What is the process to enter a purchase requisition?
You can create a requisition or retrieve an existing template in the banner system. You will need to enter and validate the vendor ID and provide the ship code, organization, commodity and accounting information. Specific instructions to enter a purchase requisition are available on the Highlander Pipeline under Faculty/Staff Services/Banner Documentation/Banner Finance Documentation/Quick Reference: Entering a Requisition.
- Where are the applicable Purchasing forms such as a Sole Source Justification located?
The link is http://www5.njit.edu/finance/purchasing/forms/.
- What is the requisition approval process?
Please review the attached “NJIT Requisition Approval Process” document. The Streamlined Procedure for Processing of Purchasing Requisitions from Grants and Contracts is located at http://www.njit.edu/research/pdf/Procedure-Guideliens-for-Purchase-Requistion-Approval-Process.pdf.
- Is there a different procedure when entering a subcontract requisition?
Yes, two requisitions need to be entered for subcontracts.
- For the first $25,000, please use account code – 756110 Subcontract <= 25K.
- For the remaining amount above $25,000, please use account code – 756111 Subcontract > 25K
- How can someone retrieve an in process or disapproved requisition?
- Click on the Search in Process Requisitions at the top of the requisition page.
- Enter the User ID and then click Execute Query.
Very Important: The requisition must be disapproved first before any changes can be made.
- What determines a ship code?
The ship code is determined by the department based on its location.
- How do you know which account/index to utilize?
The index is normally provided to the PI when a grant has been set up. The account code is determined by the items which will be ordered. The account code definition listing is located at Highlander Pipeline under Faculty/Staff Services/Banner Documentation/Banner Finance Documentation/Account Definitions (Updated July 1, 2013).
- How can more lines be added to a requisition?
Banner Finance only allows a person to enter (5) five line items per requisition.
A requisition can be linked to other requisitions by including the information in the document text. (For example, enter 1 of 2 under document text on the first requisition and on the second requisition enter 2 of 2 – reference the 1st requisition number).
Please also see the Purchasing Department’s website located at http://www5.njit.edu/finance/purchasing/for additional information.
- Can I re-classify or change a position title in one of my grants?
You may only re-classify a position, once you have verified with the funding agency that they will allow such reclassification for your grant.
- What type of compliance is ORD office looking for in my Personnel Requisition form?
- name and department number.
- The funding source, which is a valid Index# for your research project/contract and the account code that you will be debiting from your budget.
- If charging various funding sources or grants make sure you breakdown the funding sources with the appropriate percentage distribution.
- Start and end date of the position.
- Specified, the position type, i.e. grant funded.
- Can I post a Personnel requisition without any funds in my budget for salaries even if I am expecting future funding to cover such expenses?
Banner will allow you to enter a new Personnel Requisition without a funding source. However, the requisition will not be approved until the source on funds is provided.
- How long does it take for the ORD office to approve the Personnel requisition to the HR department?
The ORD office approves all Personnel Requisitions within 24 hours.
- How long do I need to keep a Personnel Requisition open in Banner once I have chosen a candidate?
All Personnel Requisitions stay active in Banner a minimum of five days and in some cases indefinitely if you do not enter a closing date or select open until filled (please note you may also communicate to HR that you would like to keep a job posting open).
- It is recommended to keep the posting open in Banner for 1 month.
- Or you may take down a job posting without canceling it, in case you need to repost at a later time.
- Who is authorized to enter a Personnel Requisition in my department?
All Access to enter Personnel Requisitions should be requested through NJIT’s HR Department.
- For all research grants, the PI initiates all Personnel Requisitions through his department Chair.
- Access to enter Personnel Requisitions can be granted to any administrative staff in your department.
Please see Link for further information:
- What is Research Compliance?
NJIT is committed to the protection of human subjects, the welfare of animals, safe use of select agents pathogens and toxins, and to enhance ethical conduct in research programs. NJIT values integrity and accountability in the conduct of all research.
NJIT, in accepting federal grant dollars, is also required to ensure the research compliance requirements established by the funding agencies. NJIT supports investigators and provides oversight of the ethical conduct of research activity and the appropriate stewardship of funds and resources.
Research compliance is the umbrella term for all research activities affected by or relating to Responsible Conduct of Research (RCR); the protection of human subjects (Institutional Review Board – IRB); safety in the use of biological and hazardous materials (Institutional Biosafety Committee – IBC); the use of animals in research (Institutional Animal Care and Use Committee – IACUC); Export Control regulating the sharing of certain research information to foreign nationals’ and Conflict of Interest/Financial Conflict of Interest (COI/FCOI).
NJIT policies can be found on the Office of Research website at http://www.njit.edu/research/.
- What is RCR?
NJIT is committed to the conduct of research and research training activities in a scientifically responsible and ethical manner. The Responsible Conduct of Research (RCR) training is a part of funding requirements for both the National Institutes of Health (NIH) and the National Science Foundations (NSF).
- What is the NJIT RCR policy?
The NJIT policy is located on the Office of Research website at the link below.
- What training is required to meet federal requirements?
NJIT provides access to the Citi training programs. See more information at the link below.
- What is an IRB?
IRB is the acronym for Institutional Review Board. Any institution that receives federal funding to conduct research with human subjects, such as NJIT, is required to establish an IRB to review all research that directly or indirectly involves human subjects, and to set forth institutional policy governing such research.
The IRB has the authority to review, approve, disapprove or require changes in research or related activities involving human subjects. Research reviewed by the IRB may also be subject to other review and approval or disapproval by officials at NJIT. However, those officials may not approve research that has not been approved by the IRB. The IRB primary role is to ensure the protection of human subjects as participants of research at NJIT.
- How do I know if I am conducting research with human subjects?
According to NJIT Policy, research is defined as "…a systematic investigation, including research development, testing and evaluation, designed to develop or contribute to generalizable knowledge."
Activities which meet this definition constitute research for 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.
Human subjects are "...living individuals about whom an investigator (whether professional or student) conducting research obtains
- data through intervention or interaction with the individual,
- identifiable private information."
Intervention includes both physical procedures by which data are gathered (e.g., venipuncture) and manipulations of the subject or the subject's environment that are performed for research purposes (e.g., providing stimuli to gauge reaction and response).
Interaction includes communication or interpersonal contact between investigator and subject (for example, surveys and interviews).
Private information includes
- information about behavior that occurs in a context in which an individual can reasonably expect that no observation or recording is taking place, and
- information which has been provided for specific purposes by an individual and which the individual can reasonably expect will not be made public (for example, a medical record).
Private information must be individually identifiable (i.e., the identity of a participant is associated with the information or may readily be ascertained by the investigator) in order for obtaining the information to constitute research involving human subjects.
If you are unsure if your project involves research with human subjects, please consult with the IRB Chairperson who can provide guidance in making this determination.
- When am I required to submit a proposal involving research with human subjects to the IRB?
All research projects that will involve human subjects must be submitted for review and approval before beginning the study. This includes proposed research involving existing data as well as any advertising or other recruitment procedures.
- I am just doing a simple survey; do I need to submit my proposal to the IRB?
Yes, if the study meets the definition for research with human subjects, as explained above. Written approval from the IRB must be in place before any interventions or interactions with human subjects (e.g., recruitment) actually begin.
- I am not collecting any identifying information in my human participant research project. Do I need to submit my proposal to the IRB for review?
Yes, if your research project involves active data collection. Federal regulations and NJIT policy require that ALL research involving intervention or interaction with human subjects, regardless of whether or not identifying information is being collected, must be submitted for review prior to beginning the research study.
However, if your research project involves use of existing information collected from human subjects (e.g., secondary datasets), but there are not any identifiers linking individuals to the data/samples, then the activity may not require IRB review.
- Do research projects conducted by NJIT students need IRB approval?
Yes. Projects conducted by NJIT undergraduate and graduate students need IRB approval, if the project fits the definitions of “research” and "human subjects" as described above. If the project is to be used in classroom setting only to teach research methods, the project may not constitute human participant research. However, this means that at no point during or after the conclusion of the course can the results or the data be used for publication, presentation or other research purposes. Therefore, students should discuss these limitations with their instructor or faculty advisor so that they can determine whether IRB review is necessary.
- Can researchers be subjects in their own studies? Does self-experimentation require IRB review?
Yes, researchers can be subjects in their own studies. However, NJIT policy regards this type of research (investigator self-experimentation) as research with human subjects, and generally requires the same review and approval as research that recruits other people as subjects.
- What is meant by "exempt" protocol? What are the requirements?
Under certain circumstances, human participant research activities may be granted exempt status. Technically, exemption means that all the research activities fall under one or more of the exemption categories specified by the federal regulations.
The significance of exempt status is that the research activity is not monitored by the IRB. Assuming the project does not change, it also is not subject to continuing IRB oversight. Exempt status does not, however, lessen the ethical obligations to subjects. Thus, depending on the circumstances, investigators performing exempt studies may need to make provisions to obtain informed consent, protect confidentiality, minimize risks, and address problems or complaints.
In order to have a research project recognized as exempt, investigators will need to request an exemption. The IRB Chairperson will evaluate the exemption request and notify investigators if their projects are eligible.
Please note that for each change that is proposed or occurs during the execution of the research activity, the investigator may need to consult to determine if the change affects the eligibility of the research activity to continue to be exempt from IRB review and approval.
- If my research qualifies as exempt, does this mean that I don't have to submit a protocol for review?
No. The Federal Regulations do make certain categories of research exempt from IRB review. However, NJIT policy does not allow investigators to self-exempt their human participant research projects. Instead, determining if a project is exempt from IRB review is an administrative review process handled by the IRB staff.
- I will be collaborating with another institution. Do I need to submit to NJIT’s IRB and the other institution?
If you are a member of the NJIT faculty or staff, or a NJIT student, and you are the person responsible for the conduct of the study (PI), you must get NJIT IRB approval to conduct your research regardless of where the research takes place. Investigators should contact the IRB office whenever collaborative research is occurring. Separate applications for each institution may be necessary.
- I am developing case studies; do I need to submit my proposal to the IRB?
Studies that use multiple case studies to draw conclusions that are applicable in a generalizable context, or to address a hypothesis, meets the federal definition of 'human subjects research' and requires review by the IRB committee. Other case studies may not require IRB review.
- When may I begin data collection for my study?
You must receive written approval from the IRB before beginning participant recruitment, data collection, or data analysis. An email will be sent to you when your project has IRB approval.
- How long will it take for me to obtain approval to do my study?
Research projects will need to go to the full board for review. Applications need to be submitted to the IRB mailbox (firstname.lastname@example.org) at least 1 week before the next scheduled meeting date, for inclusion. For applications requiring full board review, you should allow at least 3-4 weeks for review and approval of your study.
- Can the IRB approve a project "retroactively?"
No. There is no provision in the federal regulations that allow for IRB approval of research that has already been conducted. If data was collected for purposes that the IRB determines to be non-research (e.g., program evaluations for library or educational programs not initially intended to be used for research), IRB approval can be sought for the data analysis going forward.
- Who can I talk to if I have a question about my research project involving human subjects?
The IRB committee is available to provide assistance to investigators who are engaged in research with human subjects. Dr. Farzan Nadim and Norma Rubio, IRB Co-Chairs, are your resources for any general questions. You can also explore the IRB website for detailed information about the IRB policies and procedures, forms, meeting schedules, committee members, and other important information.
- I don’t know where to start to write a protocol. What needs to be included?
Every new protocol submitted to the IRB must include completed and signed forms (available at: http://www.irb.NJIT.edu/forms/).
- What does the IRB look for in an application? Are there standard criteria for evaluation?
The IRB evaluates every research protocol according to the ethical principles described in the Belmont Report (http://www.hhs.gov/ohrp/humansubjects/guidance/belmont.html).Basically, this means the IRB considers whether the risks and benefits of a study are acceptable and managed appropriately, and whether individuals being asked to participate are adequately informed about the research and its possible risks.
Considered another way, investigators could look at their plans from the point of view of a subject, or an observer concerned about responsible research. Who are the subjects and how are they recruited? Could they be lured or coerced to participate? Is it through an institution that may have responsibilities toward them (e.g., a school or hospital) and should be consulted? Do they understand, in advance, what they are agreeing to participate in and give their consent willingly? What will they actually do, and what is done to them, during the study? Is it possible that the experience might be injurious, painful, uncomfortable, needlessly boring, embarrassing, offensive, or otherwise stressful? Might there be long-term consequences? Could the subject be endangered, compromised or embarrassed if information collected leaked out? There are many possible considerations, but they should not be difficult to understand if one assumes the subject's perspective. The IRB’s role is to look at the study from this perspective and to ensure that proper precautions are taken to protect individuals when they agree to participate in research.
- What does "informed consent" mean? What are its essential components?
Fully informing subjects of the risks, benefits, and procedures involved in a study is a standard requirement in research with human subjects. Ethically and legally, consent is not considered to be "informed" unless the investigator discloses all the facts, risks, and discomforts that might be expected to influence an individual's decision to willingly participate in a research protocol. This applies to ALL types of research including surveys, interviews, and observations in which subjects are identified, and other experiments, such as exercise studies.
- Are there different types of informed consent? What are they?
The informed consent process can take on various forms:
- Signed informed consent is the standard expectation in research with human subjects. This is in the form of a document with the elements of informed consent, signed and dated by the participant and kept as a record by the researcher.
- In research with children (individuals under 18 years old), assent of the child and parental permission are standard requirements.
- In some circumstances, investigators can seek alternatives to standard informed consent procedures, such as:
- A waiver of using a signed consent form (e.g., giving subjects an information sheet but not collecting signatures)
- A waiver of written consent (e.g., using oral consent procedures)
- A waiver of some or all of the elements of informed consent (e.g., in research that involves deception)
It is not uncommon for a research project to involve one or more of the above scenarios.
- What do the terms "consent" and "assent" mean? Aren't they the same thing?
Both consent and assent involve informing potential subjects about the research and its risks and benefits, and documenting their understanding and agreement to participate.
The reason the different terms are used has to do with the age of the subjects. In research involving adults, "consent" is obtained from individuals to participate in the study. In research involving minors, a parent must give permission to allow the child to participate in the research, and children who are able to understand information about participation are asked to "assent" or agree to participate as well.
- Do I always have to obtain the informed consent of research subjects?
In general, yes, but there are some limited exceptions. The NJIT IRB is responsible for ensuring that basic ethical principles are abided by in all research. The expectation that the informed consent of research subjects be obtained is based upon the principle of respect for persons, and regarded as extremely important in conducting ethical research. The IRB has the authority to waive some or all of the federal requirements for informed consent in certain extenuating circumstances. A request for waiver of informed consent must be specifically justified by the researcher in the proposal to the IRB.
- What is signed informed consent?
Used most commonly, signed informed consent allows prospective subjects to document their agreement to take part in research activities by signing and dating the consent document.
- Do research subjects always have to sign the consent document?
Not always. In certain situations, the IRB can waive the requirement that you obtain the participant's signature on the consent form.
- What is a "waiver of documentation" of informed consent?
A waiver of documentation of informed consent is a request whereby a signed consent document is not required. Examples include implied and verbal consent. Consent will still be obtained from subjects; however, they will not be required to sign the consent form. There are only two circumstances when the IRB may waive the requirement to obtain a signed consent form:
- The only record linking the research participant and the research would be the consent document and the principal risk would be potential harm resulting from a breach of confidentiality (participant must be asked if he/she want documentation) OR
- The research presents no more than minimal risk of harm to subjects and involves no procedure for which written consent is normally required outside of the research context (for example, no risk surveys or interviews)
PLEASE NOTE: The IRB will take into consideration the risks and potential harms involved in the research and consent process before granting a waiver of documentation of informed consent.
- I am not collecting any identifying information. Do I still need an informed consent form?
Yes. If the proposed study is truly "anonymous" - no coding for identifiers (e.g., names, social security numbers, driver’s license numbers, etc.), a modified informed consent form (often called an information sheet) may be used. That is, all of the elements of consent must be documented for the participant, but the signature line is replaced with a statement informing the participant that completion and return of the survey is considered implied consent. If, however, the procedures involve risk or biological sample collections, written consent may be required.
- What is "implied" consent?
Implied consent is the tacit indication that a person has knowingly agreed to participate in research by performing a research activity or task. By completing the research task (e.g., completion of a questionnaire, interview, survey, etc.), the participant has provided consent to participate in the research.
Implied consent is actually a type of a waiver of documentation of informed consent. Before granting such a waiver, the IRB may require the researcher to provide the subjects with a written summary or an information sheet about the research, including: (1) purpose of research; (2) time involved; (3) assessment of minimal risk; (4) statement regarding benefit to subjects; (5) contact for questions about the research; and (6) contact for questions about rights as a research participant.
There are a number of instances where this type of consent is helpful. For example, you wish to mail out a survey. The survey does not ask for any identifiable information. The cover letter accompanying the survey could be written in such a manner as to serve as the "implied" informed consent form. The letter would need to contain a statement indicating that completion and return of the survey implies consent to participate in the research.
- How is the consent process handled for Internet-Based research?
For Internet-based surveys, it is sometimes appropriate to use implied informed consent. Subjects would still need to be presented with the consent information, but would be informed that their consent is implied by submitting the completed survey.
If, for study design purposes, the researcher needs to keep track of who participated or if the IRB determines that some sort of documented consent is required, instead of "signed" informed consent, the researcher may email the consent form to subjects who may then type their name and the date into the spaces provided on the consent form, and return it to the researcher via email. This process may be appropriate for data collected via email, chat rooms, online interviews, etc. Alternatively, some Internet-based survey vendors and/or software packages provide a means to record whether a respondent has consented to participate before beginning a survey (e.g., a date/time stamp feature).
- What are the consent requirements for phone based research?
For protocols involving oral consent the following information is required to be communicated to the participant:
- study purpose and procedures involved
- what will participant be asked to do - as well as the amount of time participant will spend
- the voluntary nature of participation in the study
- the participant is free to withdraw at any time
- the information collected will remain confidential
- offer the participant contact information for the researcher and/or the IRB
It may be pertinent to request the PI to offer additional information depending on the nature of the study. It is up to the IRB Committee to suggest additional information to be included in order to further protect the participant.
- What are the IRB requirements for training?
At NJIT, all investigators and research staff much successfully complete the on-line course for Human Subjects Protection given by OHRP and update it every three years.
Additionally, investigators and research staff must be qualified by training and experience for the research they will be conducting. It is important to understand that the responsibility for the welfare of subjects lies with the principal investigator, even when subjects have given consent. Investigators and research staff must have the necessary training and expertise to
- Ensure the rights, welfare and safety of subjects are protected
- Comply with regulations concerning IRB review and approval, including
- Informed consent requirements
- Reporting requirements
- Maintenance and retention of records (keep complete files during and 5 years after research ends)
- Supervise research conduct
- Apply relevant professional standards that are applicable to the research
- Who is required to complete the human subjects training?
All faculty, students, and staff proposing to use human subjects in research under the auspices of NJIT are required to complete the human subjects training. Approvals for including human subjects in proposed research projects will be not be granted until this training has been completed and verified by the IRB Committee.
- How can I take the required training?
You can access the human participant training online. NJIT also makes available the Citi training programs. For more info, go to: http://www.njit.edu/research/compliance/citi-software.php.
The IRB may accept alternate training in lieu of the OHRP course if the researcher can produce documentation related to the training course/s, the institution offering the training, the date of completion and the score received. Such documentation should accompany the proposal submission or be sent to the IRB committee upon request.
- When should a modification (amendment) to an approved research study be submitted?
Any and all changes to an approved research study must be submitted for review and approval prior to implementing the change(s) into the research study.
- What do I have to do if I need to amend my approved research study?
Investigators with approved projects must submit an Amendment application if there are significant changes involving any of the study protocols, study design, informed consent procedures, or principal investigator team. The administrator and chair of IRB review all amendment applications.
- After my approved protocol has passed the one year expiration date what do I do?
If IRB approval of the human research expires, all study procedures related to the protocol under review must cease, including recruitment, advertisement, screening, enrollment, consent, interventions, interactions, and collection of private identifiable information. Continuing human research procedures is a violation of federal regulations. You need to receive continued approval from the IRB in order to continue research.
- How do I obtain continued approval (renewal) for my research study?
It is the responsibility of the principal investigator (PI) to ensure continued approval of his or her human participant research study. For the renewal form and more information visit our forms website.
- In the case of a potential unanticipated problem involving risks to subjects or others, when is the principal investigator expected to report this occurrence to the IRB?
Serious adverse events must be reported to the IRB immediately, with a written report by the PI following within 24 hours of the PI’s becoming aware of the event. Serious adverse events are (1) death of a research participant; or (2) serious injury to a research participant.
All other non-serious unanticipated problems should be reported to the IRB within 2 weeks of the first awareness of the problem by the Protocol PI or another researcher, ORIA, or a member of the IRB. Prompt reporting is important, as unanticipated problems often require some modification of study procedures, protocols, and/or informed consent processes. Such modifications require the review and approval of the IRB.
- Can the IRB temporarily or permanently discontinue a research project as result of an unanticipated problem involving risks to subjects or others?
Yes. If an unanticipated problem poses a risk(s) to the subjects or others, the IRB may temporarily discontinue a research project until a thorough investigation has been conducted. Dependent on the investigation, the IRB may request changes to a research study or permanently discontinue the research study.
- Can the IRB request revisions to the approved research study and the informed consent form as a result of an unanticipated problem?
Yes. As a result of the IRB's investigation of the unanticipated problem, revisions to the approved research study and the informed consent form may be requested.
- If I need to ship materials, do I need to register my shipment or obtain permits?
Your shipment may require permits from the Center for Disease Control (CDC), Department of Commerce (DOC) and/or United States Department of Agriculture (USDA)
- What are Biosafety Levels (BSL)?
A fundamental objective of any biosafety program is the “containment” of potentially harmful biological agents. The term “containment” is used in describing safe methods, facilities and equipment for managing infectious materials in the laboratory environment where they are being handled or maintained. The purpose of containment is to reduce or eliminate exposure of laboratory workers, other persons, and the outside environment to potentially hazardous agents. The use of vaccines may provide an increased level of personal protection. The risk assessment of the work to be done with a specific agent will determine the appropriate combination of these elements. Four “Biosafety Levels ((BSL) have been developed. No BSL4 work is conducted at NJIT.
- BSL-1: Suitable for work involving well characterized agents not known to cause disease in healthy adult humans and of minimal potential hazard to laboratory personnel and the environment.
- BSL-2: Suitable for work involving agents of moderate potential hazard to personnel and the environment.
- BSL-3: Suitable for work with infectious agents which may cause serious or potentially lethal disease as a result of exposure by the inhalation route.
- What are Risk Group (RG) levels?
In many countries, including the United States, infectious agents are categorized in risk groups based on their relative risk. Depending on the country and/or organization, this classification system might take the following factors into consideration:
- Pathogenicity of the organism
- Mode of transmission and host range
- Availability of effective preventive measures (e.g., vaccines)
- Availability of effective treatment (e.g., antibiotics)
- Other factors
Risk group classifications are primarily used in the research environment as part of a comprehensive biosafety risk assessment. There are four (4) risk group designations:
- Risk Group 1 (RG1) agents are not associated with disease in healthy adult humans.
- Risk Group 2 (RG2) agents are associated with human disease which is rarely serious and for which preventive or therapeutic interventions are often available.
- Risk Group 3 (RG3) agents are associated with serious or lethal human disease for which preventive or therapeutic interventions may be available.
- Risk Group 4 (RG4) agents are likely to cause serious or lethal human disease for which preventive or therapeutic interventions are not usually available.
- Why do I need my laboratory inspected and how can I have my lab inspected?
NJIT provides compliance assurances to the National Institutes of Health. One of these assurances is that laboratory inspections will be conducted periodically for all research involving recombinant DNA and/or biohazards.
Contact or your Environmental Health & Safety Representative to set up an inspection at
973-596-3059. For more information go to the EHS link: http://www5.njit.edu/environmentalsafety/
- How do I obtain IBC approval for research conducted at multiple locations?
Research conducted at each location must undergo location-specific institutional (e.g., IBC) research risk reviews and grant approval. Grant approval is often dependent on IBC approval.
- How much time is required to have my submission reviewed and approved?
New applications, responses to deferrals, and any amendments calling for significant changes to approved research require convened committee review and will be discussed at the subsequent monthly meeting
- What are the deadlines for submissions?
Deadlines for new applications, responses to deferrals, and any amendments calling for significant changes to approved research are listed on our website
- What are the NJITs policies regarding biosafety?
- Where do I find the submission forms?
Forms can be found on the Office of Research website at:
- What kinds of biosafety training are provided for faculty, staff and students?
NJIT provides both internal and external training opportunities. The internal training is offered by the NJIT Environmental Health and Safety. For more information, go to: http://www5.njit.edu/environmentalsafety/NJIT also makes available the Citi training programs. For more info, go to: http://www.njit.edu/research/compliance/citi-software.php
- What is IACUC?
The Institutional Animal Care and Use Committee (IACUC) provides oversight of all projects involving animals and is responsible for reviewing all animal use protocols, ensuring compliance with federal regulations, inspecting animal facilities and laboratories, and overseeing training and educational programs.
- Where can I obtain information regarding the use of animals in my research?
Animal use on the NJIT campus is currently managed by Rutgers, the State University, https://acfc.rutgers.edu/. For full information, go to: http://www.njit.edu/research/compliance/animal-care.php.
- What is Export Control?
The U.S. government regulates the transfer of information, commodities, technology, and software considered to be strategically important to the U.S. in the interest of national security, economic and/or foreign policy concerns. There is a complicated network of federal agencies and inter-related regulations that govern exports collectively referred to as “Export Controls.” In brief, Export Controls regulate the shipment or transfer, by whatever means, of controlled items, software, technology, or services out of U.S. (termed an “Export”). Perhaps of even more consequence to the university, is that the government also restricts the release of certain information to foreign nationals here in the U.S. (referred to as a “Deemed Export”). Export Controls have the potential to severely limit the research opportunities of university faculty and their students and staff, as well as to prevent international collaboration in certain research areas. Non-compliance with export controls can result in severe monetary and criminal penalties against both an individual as well as the university, and can result in the loss of research contracts, governmental funding, and the ability to export items.
- Where can I find the NJIT policy on Export Control?
The policy is located on the Office of Research website at the link below.
- What kinds of activities might trigger export control issues?
Research in export restricted science and engineering areas – examples include:
- Military or Defense Articles and Services
- High Performance Computing
- Dual Use Technologies (technologies with both a military and commercial application)
- Encryption Technology
- Missiles & Missile Technology
- Chemical/Biological Weapons
- Nuclear Technology
- Select Agents & Toxins
- Space Technology & Satellites
- Medical Lasers
Traveling overseas with high tech equipment, confidential, unpublished, or proprietary information or data – Traveling with certain types of high tech equipment including but not limited to advanced GPS units, scientific equipment, or with controlled, proprietary or unpublished data in any format may require an export license depending on your travel destination.
Traveling with laptop computers, web-enabled cell phones and other personal equipment – Laptop computers, web-enabled cell phones, and other electronics containing encryption hardware or software and/or proprietary software can require an export license to certain destinations. In general, an export license will be required to take any items to or through any U.S. sanctioned country (e.g., Iran, Syria, Cuba, Sudan, and North Korea).
Use of 3rd Party Export Controlled Technology or Information – University activities involving the use of export controlled information, items, or technology received from outside the university are not protected under the Fundamental Research Exclusion and all research involving the use of export restricted technology is subject to all export controls.
Sponsored research containing contractual restrictions on publication or dissemination – The vast majority of research done at the university is shielded from export controls under the Fundamental Research Exclusion. However, this protection is lost whenever the university or the researcher agrees to allow any restrictions on the publication, dissemination, or access to the research by foreign nationals.
Shipping or Taking Items Overseas – University activities that involve the transfer of project information, equipment, materials, or technology out of the U.S. by whatever means will be subject to export controls and may require export license(s) depending on the item, destination, recipient, and end-use.
Providing Financial Support/International Financial Transactions – University activities that involve the international payment of funds to non-U.S. persons abroad need to be verified to ensure that the university is not inadvertently providing financial assistance to a blocked or sanctioned entity. Examples include providing support via a subcontract to a non-U.S. university or providing payments to research subjects in other countries.
International Collaborations & Presentations – University activities that involve foreign national faculty, students, staff, visiting foreign scientists or collaborator(s), or other foreign entities (e.g., non-U.S. company, university or other organization) or research that will include travel to international conferences to present unpublished results may be subject to export controls especially if any of the foreign nationals are from embargoed or sanctioned countries.
International Field Work – Research projects where any part of the research will take place outside the U.S. (e.g., field work outside the U.S.) may not qualify under the Fundamental Research Exclusion and may be subject to export controls.
International Consulting – Providing professional consulting services overseas, especially to embargoed or sanctioned countries (e.g., Iran, Syria, Cuba, Sudan and North Korea) is, in most cases, strictly prohibited.
- What can happen if I fail to comply with the export control laws?
Penalties for violating U.S. export control laws (EAR, ITAR) or trade sanctions (OFAC) can be severe. The penalty for unlawful exports of items or information controlled under the ITAR is up to two years imprisonment, or a fine of $100,000, or both. The penalty for unlawful export of items or information controlled under the EAR is a fine of up to $1,000,000 or five times the value of the exports, whichever is greater; or, for an individual, imprisonment of up to ten years or a fine of up to $250,000 or both.
- There is no external funding supporting my activities. Do export controls apply?
Yes, export controls apply to all international activities regardless of funding status or source.
- I am doing basic research at NJIT in collaboration with a foreign lab. Do export controls apply?
Yes, export controls apply to all international research activities. In general, basic research conducted at the university is not subject to export controls under the Fundamental Research Exclusion as long as it is not in an export restricted area and there are no restrictions on publication or access by foreign nationals. However, in cases where NJIT research involves collaborations with foreign nationals, the university must perform a review of the research and document that the Fundamental Research Exclusion or other exclusion does or does not apply.
- What is an Export?
An export occurs whenever any item (i.e., any commodity, software, technology, or equipment) or information is sent from the U.S. to a foreign destination or provided to a foreign national here or abroad. The manner in which the transfer or release of the item or information occurs does not matter. Some examples of export activities include: the shipment of items, written or oral communications, hand-carrying items when traveling, providing access to or visual inspection of equipment or facilities, and providing professional services.
- What is a Deemed Export?
A deemed export refers to the release or transmission of information or technology to any foreign national in the U.S., including students, post-docs, faculty, visiting scientists, or training fellows. A deemed export is treated as an export to that person’s home country. Deemed exports are a primary area of export control exposure for the university.
- What is a Foreign National?
A foreign national is defined as any natural person who is not a U.S. citizen, or is not a lawful permanent resident of the U.S. (i.e., does not have a green card), or who does not have refugee or asylum status.
- What is a Foreign Entity?
A foreign entity is any corporation, business, or other entity that is not incorporated to do business in the U.S. This includes international organizations, foreign governments, or any agency of a foreign government.
- What is a Dual Use Item?
A dual use item is any item that can potentially have a military application as well as a commercial or civilian purpose (e.g., GPS units).
- What is the ITAR?
ITAR stands for the International Traffic in Arms Regulations (22 CFR §§120-130) and they are administered by the Directorate of Defense Trade Controls under the U.S. Department of State. The ITAR governs all military, weapons, and space related items and services as enumerated on the U.S. Munitions List (USML).
- What is the EAR?
EAR stands for the Export Administration Regulations (15 CFR §§730-774) and they are administered by the Bureau of Industry and Security (BIS) under the U.S. Department of Commerce. The EAR governs the export of most items in the U.S., especially dual use items as enumerated on the Commerce Control List (CCL).
- How do I know if my item is subject to the Export Administration Regulations (EAR)?
The EAR controls all items (commodities, software, or technology) that are 1) of U.S. origin; or 2) are made with U.S. materials, technology, or know-how; or 3) are located in the U.S. AND that are NOT under the exclusive jurisdiction of another regulatory body (e.g., ITAR or Nuclear Regulatory Commission) or that are NOT shielded from export controls under the Fundamental Research, Educational Information, or Public Information exclusions.
- What is OFAC?
OFAC stands for the Office of Foreign Assets Control (31 CFR §§500-599) and is an office under the U.S. Department of the Treasury. OFAC is responsible for enforcing the foreign policy of the U.S. government, including all trade sanctions, embargoes, and financial interactions with prohibited or blocked individuals or entities. For more information, see a listing of OFAC Country Sanction programs.
- What is the Fundamental Research Exclusion (FRE)?
Fundamental Research is defined by the National Security Decision Directive 189 (NSDD189) as “any basic or applied research in science and engineering, the results of which are ordinarily published and shared broadly within the scientific community…” In order to qualify as Fundamental Research, the research must be conducted free of any publication restrictions and without any access or dissemination restrictions. Research that qualifies as Fundamental Research is NOT subject to export controls as provided for under the federal regulations (15 CFR§734.8). It is critical to note that the Fundamental Research Exclusion will be lost if a researcher agrees to any “side-deals” allowing sponsors the ability to review and approve publications or to control access to the project or project results. Loss of the Fundamental Research Exclusion can quickly put your research in jeopardy of non-compliance with export controls.
- I am doing basic research that includes field work done overseas. Does my research qualify under the Fundamental Research Exclusion?
Maybe. To qualify as Fundamental Research, research must be based at an accredited institution of higher education located in the United States. If your research includes work done outside the U.S., it may not qualify for the Fundamental Research Exclusion. This does not automatically mean that export licenses will be required, but it does mean that an export control determination needs to be done before the work begins.
- My research is exempt from export controls under the Fundamental Research Exclusion. Can I ship items developed as part of that research overseas?
Not automatically. While research results developed or generated under the Fundamental Research Exclusion are exempt from export controls and can be freely shared with foreign nationals both here and abroad, any materials, items, technology, or software generated as a result of the research ARE NOT exempt from export controls. Before shipping or taking any item abroad, an export control determination needs to be done to determine if an export license is required to take or transfer the item.
- What is the Educational Information Exclusion?
Information that is normally taught or released by the university as part of the normal instruction in a catalog course or in an associated teaching laboratory is considered Educational Information and, as provided for under the federal regulations (15 CFR§734.9), is NOT subject to export controls.
- What is the Public Information Exclusion?
Information that is already published or is out in the public domain is considered public information and, as provided for under the federal regulations (15 CFR§734.7 and 15 CFR§734.10), is NOT subject to export controls. Examples of information in the public domain include:
• Books, newspapers, pamphlets
• Publically available technology and software
• Information presented at conferences, meetings, and seminars open to the public
• Information included in published patents
• Websites freely accessible by the public
- What kinds of activities can trigger the need for an export license?
The following are examples of the types of university activities that may trigger the need for an export license or deemed export license:
• Research in controlled or restricted areas (e.g., defense items or services, missiles, nuclear technology, satellites, chemical/biological weapons, encryption)
• Research involving the use of export restricted information obtained from external sources
• Research involving collaborations with foreign nationals here at NJIT or overseas
• Research involving travel or field work done overseas
• Research involving the transfer or shipment of tangible items or equipment overseas
• Presentations at meetings or conferences of unpublished information not protected under the Fundamental Research or Educational Information exclusions
• Research involving the provision of financial support or services outside the U.S.
- How do I know if I need a license?
Determining when you need an export license can be very complicated. Consult the SRA Office.
- What is an Export License Exception?
An Export License Exception is a special authorization that allows you to export or re-export, under very specific conditions, items that would otherwise require an export license. Export License Exceptions are detailed in EAR§740
- Are commercially-available items free from export control licensing requirements?
Yes, in most cases, low-end items that are commercially available do not require export licenses. There are some important exceptions including items containing strong encryption technology or software (e.g., laptop computers, web-enabled cell phones), items that have dual use applications (e.g., high end GPS units), or that are restricted under other regulations or sanctions.
- What happens when I obtain or use export controlled information from an outside entity?
Research conducted at NJIT that includes or uses export controlled or restricted information or items obtained from an outside entity does not qualify under the Fundamental Research Exclusion and would be subject to all export controls.
- I am working as a consultant overseas. Do export controls apply to me?
Yes, export controls apply to all U.S. persons, at all times. It is important that you understand and comply with your obligations under export control regulations. If you are consulting in a restricted technology area (e.g., on dual-use technologies or select agent work), then you may need an export license depending on where you are going, what information you are providing, who you are providing it to, and what they intend to do with it. If the destination or end-user is a foreign national of a sanctioned country (especially Iran, Syria, Cuba, Sudan, or North Korea), then in most cases any consulting activities would be prohibited regardless of the subject matter. For more information, see a listing of OFAC Country Sanction programs.
- I am on an editorial board of a scientific journal and I have been asked to review a paper from an Iranian author. Is this allowed under the OFAC sanctions?
Yes, under the current federal regulations, Federal Register vol. 72, 50047-50052 (see section 560.538), all activities normally incident to publishing are allowed with Iranian citizens as long as the Iranian author is not a governmental official or working on behalf of the government of Iran. Academic and research institutions in Iran and their personnel are not considered governmental employees or representatives for the purposes of the regulations. This would be true for citizens from the other sanctioned countries as well.
- Where can I get additional training on Export Control?
NJIT provides access to the Citi training programs. For more information, go to: http://www.njit.edu/research/compliance/citi-software.php
- Who has to file a Conflict of Interest (COI) Disclosure form?
Federal regulations require that all persons who are involved in the design, conduct, or reporting of research must complete an annual COI disclosure. Federal regulations requirements also mandate that faculty, staff and students who are key personnel on research protocols involving the use of human subjects, animals, or biohazardous materials in research also be screened for potential COIs,
NJIT requires the completion of this information each time a research proposal is submitted for external funding.
- What types of financial interests do I have to report?
You must report all personal financial interests from external sources, including travel. This would include any interest in a company, business, foundation or other organization that:
- Provides products or services in your academic, clinical, or research discipline or area of study. An example would be a manufacturer that has products in your professional discipline, clinical practice area, or area of research;
- Will likely make use of your scholarly work or research – either directly or indirectly. For example, could the company, foundation or organization use your scholarly work or research in its own product line, or could it be used by a competitor?
- Is a member of an industry, trade, advocacy group or professional association that funds scholarly work, research or is an advocate for funding in your professional discipline or area of study or expertise;
- Has some other relationship not described above that could reasonably appear to impact your research or other obligations to the University;
- You receive royalties directly from intellectual property that you have licensed to an external entity.
- For research purposes, what is meant by "financial interest" and "significant financial interest"?
A “financial interest” is any monetary value that belongs to you, your spouse or partner, or your dependent children. The financial interest becomes "significant" if it meets ANY of the following conditions:
- All income from a publicly-traded entity received during the 12 months prior to disclosure plus the value of any equity interest in the entity as of the date of an annual disclosure, when combined, exceeds $10,000 or represents more than 5% ownership interest in any single entity. Examples of income include consulting fees, honoraria, or paid authorship. Equity interest includes any stock, stock option, or other ownership interest;
- ANY equity interest held in a non-publicly traded entity, or more than $10,000 in income from a non-publicly traded entity received during the 12 months prior to disclosure; or
- Income from intellectual property rights and interests received from an entity other than NJIT that exceeds $10,000 during the 12 months prior to disclosure.
Please note that the U.S. Public Health Service (PHS) and its agencies define a “significant” financial interest (SFI) at a lower level than do other federal agencies, such as the National Science Foundation, and the university’s longstanding level of $10,000 described above.
Specifically, if you have worked on PHS funded research in the past year, or expect to work on PHS-funded projects this year, a financial interest becomes “significant” if it meets ANY of the following conditions:
- All income from a publicly-traded entity received during the 12 months prior to disclosure plus the value of any equity interest in the entity as of the date of an annual disclosure, when combined, exceeds $5,000. Examples of income include consulting fees, honoraria, or paid authorship. Equity interest includes any stock, stock option, or other ownership interest;
- ANY equity interest held in a non-publicly traded entity, or more than $5,000 in income from a non-publicly traded entity received during the 12 months prior to disclosure; or
- Income from intellectual property rights and interests received from an entity other than NJIT that exceeded $5,000 during the 12 months prior to disclosure.
PHS agencies include the National Institutes of Health (NIH), Food and Drug Administration (FDA), Centers for Disease Control and Prevention (CDC), Indian Health Service (IHS), Health Resources and Services Administration (HRSA), Substance Abuse and Mental Health Services Administration (SAMHSA), Agency for Healthcare Research and Quality (AHRQ), Centers for Medicare & Medicaid Services (CMS), Administration for Children and Families (ACF), or Administration on Aging (AOA).
- Are there financial interests that I don’t have to disclose?
Federal regulations and university policy do not require you to disclose the following types of financial interests:
- Reimbursement or payment of travel paid by NJIT, or covered by a sponsored program agreement managed through the Office of Research;
- Royalties received from NJIT for intellectual property owned by the university;
- Royalties resulting from traditional academic publishing activities such as the publication of text books or other educational materials;
- Any salary or other remuneration paid to you by NJIT.
- Does sponsored or reimbursed travel need to be disclosed?
Faculty, staff, and students are required to disclose the occurrence of any reimbursed or sponsored travel paid for directly or reimbursed by an external entity. However, this disclosure requirement does not apply to:
- Any travel reimbursed, sponsored or paid for by a U.S. government agency, a U.S. higher education institution, a U.S. academic teaching hospital, medical center, or a U.S. research institute affiliated with a U.S. higher education institution; and
- Any travel reimbursement or payment of travel made by NJIT, a university college, department or unit, or travel covered by a sponsored program agreement managed through the Office of Research.
- Who determines if I have a conflict of interest?
For research purposes, if you disclose a "significant" financial interest with an outside entity, your e-COI disclosure is reviewed by your department chair or college dean, who determines if the significant financial interest may be related to your institutional responsibilities
- What happens if I do have a conflict of interest?
For research purposes, if it is determined that a significant financial conflict of interest exists that may directly and significantly affect the design, conduct or reporting of a specific research project, then the case will be reviewed by the Vice Provost for Research.
- What training is required to meet the COI and FCOI requirements?
NJIT uses the Citi training programs. See link below for more information.
- What is Streamlyne?
Streamlyne is an efficient and streamlined system utilized for faster grant application review and submission processing.
The key personnel will be able to enter into the system the same details of a proposal as they would normally enter using the existing method.
The primary objective of the implementation of Streamlyne at NJIT is to alleviate the legacy paper processing related to Research Administration Proposal, Awards, and Compliance.
A major benefit of adopting Streamlyne is that the framework is designed to work with information about system users (roles and responsibilities) to support workflow. The desired approach for implementation is to keep current processes at NJIT 'where it makes sense.'
- When will Streamlyne be implemented?
The software is currently being implemented. The projected go-live of Streamlyne for NJIT is September, 2016. At the time of go-live, the legacy method of proposal/budget creation and submission will continue in parallel to the processing in Streamlyne until January, 2017.
- How can the faculty receive training on the use of this software?
Streamlyne training sessions are held every Wednesday hosted by the Office of Research. These sessions are open to faculty members from all colleges and departments. One on One training sessions are available upon request, in which the faculty member will coordinate with the ambassador of his/her respective college.
- Will Ekuality KC only be used for submissions?
On the first stage of the implementation we will use the software to create submission on subsequent stages we will implement compliance and proposal management.
- How will a PI access the software?
In the configuration (training) environment, the faculty members will be able to log into Streamlyne using their UCID as their user ID and a universal password assigned by the software vendor. Once the software is live in production, the faculty members will be able to log into the system using their UCID and the same password they would use to access the NJIT Pipeline.
- A lot of tabs within Streamlyne will appear to be overwhelming to the PIs at first. What required information gets entered on which tab?
Proposal- required details: proposal type, sponsor code, lead unit, project start and end dates, activity type, project title, sponsor deadline date, applicant organization congressional district
S2S- the grants.gov opportunity for the proposal
Key Personnel- the names of all personnel attached to the proposal (i.e. PI, Co-investigator and Key Person); each person will answer his/her certification questions; the appropriate combined credit split figures for each person
Abstracts and Attachments- where all proposal-related documents can be uploaded
Questions- various required questions specific to NJIT and questions specific to grants.gov, both of which must be answered by key personnel.
Special Review- based on the answers to NJIT-specific questions on the Questions tab (i.e. questions answered ‘Yes’ relating to IRB and IACUC), the user will enter additional details on this tab.
Budget Versions- the user creates his/her budget and navigates to the following budget-specific tabs
- Parameters- the cost/direct cost limits, the F & Rate types, the indication of on or off campus, the indication of when the budget is final and complete
- Personnel- the calculation of each person’s salary driven by selecting appointment type durations (9M and/or Summer) and specifying the dates of each appointment type duration, calculation of cost sharing
- Non Personnel- the entering/calculating of all expense items required for the budget
- Budget Actions- sub award budgets, budget data validation
Proposal Actions- data validation on both the proposal and budget, the printing of all the forms and reports pertaining to the proposal and budget, submission of the proposals into workflow, the required approvals of the proposal document, submission of the proposal document to grants.gov. by Sponsored Research.
- How will the key personnel become notified when they are required to submit/approve proposals?
Each proposal will become approved through the workflow routing path (each workflow routing path differs between colleges). After the proposal documents are submitted into workflow, the next person in the routing path (usually PI, Co-Investigator or Key Person) will be notified via email for his/her sign-off approval of the document.
The key personnel will also receive an approval notification on his/her Action List on the Streamlyne Portal Index page. The icon ‘APP’ will indicate that the person’s approval is required.
- Are there reference tools to guide the users while they are navigating through Streamlyne?
Since we are currently implementing the software in the Pre-Award phase of Proposal Submission, the Pre-Award Training Manual is available via the following link:
The manual includes a complete step-by-step process of the Pre-Award module with screen shots of each tab and section where the users are required to enter data.
- How will the PIs and all key personnel be able to keep hard-copies of the submitted proposals?
The users can refer to the Proposal Actions tab, ‘Print’ section. This is where all forms and reports can be printed.
- How often will faculty members receive an email for the sign-off process?
The department chair, college dean and the college division chief will be notified by email only once during the proposal sign-off approval process. However if a PI submits a proposal, the PI can decide whether to receive future sign-off approval requests or not. If he/she does wish to receive future requests, he/she will be notified via email. If the PI chooses not to receive future requests, he/she will not be notified via email. The approval will also be acknowledged upon the PI’s submission into workflow.
- The key personnel might encounter bugs in the system which will not allow the user to proceed. Or, the key personnel experience an instance where the system is behaving not as expected (i.e. budget calculations are incorrect, critical information is not populated correctly), who do they address these issues to?
The users can address these issues to Thomas Bozza, the Program Manager for the Streamlyne Implementation. Tom will be able to analyze the issue himself and have it resolved in a timely manner. Or, if it becomes a major issue, Tom will enter a Service Desk Request ticket and submit to Vivantech. Vivantech will then look into the issue with the intention of resolving it.
- Thus far, the faculty will be learning how to submit the positions to the agency: grants.gov only. There are several other agencies where proposals are submitted to as well (i.e. Nspires, Sage and Fastlane). How are the PIs going to handle submitting proposals in Streamlyne to the non-grants.gov agencies?
Upon implementation, the PI will enter the same data in Streamlyne that is populated on the legacy forms. However, the PI will not be able to submit the proposal to non-Grants.gov agencies via Streamlyne. They will also continue to submit their proposals electronically directly to the non-Grants.gov agencies.
- Will the Department Approval and Conflict of interest forms be digital?
Yes they both will.
- Will Streamlyne hold certifications within the Compliance modules?
Once the compliance modules are implemented, the key personnel will be able to upload the PDF files within each of their own profiles. Example, the PI is required to include his/her CITI training certification for IRB. The PI can upload the CITI certification under his/her profile.
- Would I be able to make a copy of my proposal or protocol?
Yes, both the Pre-Award and Compliance modules include the ‘Copy to New Document’ functionality in order to copy both Proposals and Protocols.