Navigating Through Cayuse Application Development Dhanonjoy C Saha

Navigating Through Cayuse Application Development Dhanonjoy C. Saha, Director November 7, 2019

Cayuse Pony

What is Cayuse? Cay·use ˈkīˌ(y)o os, kīˈ(y)o os/ noun A member of an American Indian people of Washington State and Oregon or the language of the Cayuse, of unknown affinity adjective Relating to the Cayuse or their language Cayuse /ˈkaɪuːs/ noun A small Native American (Western US & Canadian) pony used by cowboys

Cayuse • Cayuse (424) is a Web application portal created to simplify the creation, review, routing, approval, and electronic submission of grant proposals, i. e. , S 2 S (system-to-system) submission of proposals • It is owned and operated by a company named Evisions, Inc. • For usual help contact Regina Janicki at (718) 430 -3643 or Regina. janicki@einstein. yu. edu • For urgent help (when we are not available) you may call (503) 297 -2108 Ex 201 or email at https: //yu. cayuse 424. com/

What Can Cayuse Do? • It delivers the S 2 S federal grant proposal development and submission capabilities, checks errors and warnings, and performs most validations before submission • It can transform an old application or application created for one opportunity type to another (type) without creating a whole new application • It also can import sub-award proposal budgets - from oncampus collaborators, other institutions, or subcontractors, whether they are Cayuse subscribers or not

What Can Cayuse Do? . . . q Downloads funding opportunities (i. e. , forms) q Stores data and files (i. e. , contact information, bio-sketches, budgets – auto calculates most items) q Enables users to easily prepare applications q Checks for errors and warnings (including sponsored required validations) q Routes applications and documents for internal approvals q Electronically submits proposals to Grants. gov q Can prepare reports about submissions

Cayuse’s abilities and limitations q Web-based – can be accessed from anywhere, anytime q Browser support -- Internet Explorer, Firefox q Safari and Google Chrome are not preferred q Configurations q Java. Script enabled q Cookies enabled q Pop-ups allowed

Pre-requisites for Submitting Application Using Cayuse q Existence of a profile in Cayuse q PIs and administrators register with NIH e. RA Commons, NSF Fastlane, HRSA Handbooks, Do. D e. BRAP and … q Existing agency accounts need to be “affiliated” with new Einstein • Individuals must have role as a PI

Obtaining a Username and Password • Send an email with your request, along with your complete contact information and professional email address to: regina. janicki@einstein. yu. edu • The username and password given are case-sensitive • You can change the password once you sign in

Delegation of Authority • In most cases, PIs have their administrative personnel work on their applications • To delegate authority OGS must have a signed delegation/routing form on file • Delegation routing forms can be found at http: //www. einstein. yu. edu/docs/administration/grantsupport/Delegation-routing 2. doc • This needs to be done only once

Creating an Application/document in Cayuse • Select the Create button • Complete the Proposal Name field • Proposal Name should be filled out using Einstein’s guidelines (It’s an internal title) • Competitive grants: PI’s last name/Grant Mechanism/Deadline (e. g. , Smith/R 01/2 -5 -16) • Non-competing RPPRs/Progress reports: NC-PIs last name/Grant Mechanism/Deadline (e. g. , NC-Smith/R 01/2 -1516) • OPAS (Other Pre-Award Submissions): OPAS-PI last name/Type of OPAS/Deadline (e. g. , OPAS-Smith/JIT/2 -10 -16)

Exceptions - Study Section Members q Appointed members -- continuous submission q Temporary members -- applications must be received within two weeks of the standard submission date q Please make it clear on Cayuse when the PI expects to submit or indicate study section exemption, i. e. , Smith/R 01/12 -10 -15 SS

Adding Key Persons • Click on the “People” tab to check if they are listed • Key persons should not, ideally, be manually entered in the actual application; they should have a professional profile in the People section that can be auto-filled in the application, as certain setting will allow for auto-calculations/proper auto-fill functions on Cayuse. > Auto-fill sections are indicated by a pencil icon on the right side of the text field

Creating a Profile • To create a profile, click on the “+Person” icon • Type in the person’s name and any other information you want to add (departments, etc. ). In most cases, you need to click “Create Affiliation” • Select the appropriate educational institution. All internal personnel should choose Albert Einstein College of Medicine, Inc. • Please fill in e. RA Role: which should be PI, for investigators and administrative personnel should be listed as “Assistants”

Adding Outside Institutions • If you know you will have a sub-contract and use a SF 424 R&R budget, make sure the sub-K institution is in the system. If not, please send an email to Regina, including all (where applicable) of the following: > > > Institution Name Address DUNS number Congressional District Fringe Rate IDC rate • An institutional profile will be created • It is not necessary to create a new institutional profile for a consultant from another institution

SF 424 R&R - Page 1 • Person to be contacted on matters involving this application: should be Dhanonjoy Saha, Ph. D. Auto-fill this into your application—making sure you keep everything—especially email, intact • The pre-award email goes to Regina Janicki and Gerard Mc. Morrow

SF 424 R&R-Page 2 • Authorized Organizational Representative: Regina Janicki. You will notice there is NO email address. Put in your own. This will allow you to receive email notifications regarding the grant submissions • NIH does not have a specific field for administrative professionals. Adding your own in her (Regina’s) email field allows you to get the same mail as the PI and all the members of the OGS

Budget Development/Review • Section A (of RR Budget) Senior/key person • PI should have some effort • Base salary (for anyone named on the budget) should be equal to his/her annual salary per Banner Finance (+3% increment) • Please explain any variations in the proposal summary comments box • For anyone on Montefiore PR—please note in the comments box and add MMC ORSP to routing chain • Anyone expecting a promotion/raise—please note/explain in the proposal summary comment box

Salary Cap • Salary cap applies to NIH and a few other federal awards and other grantors • AHRQ, SAMHSA, CDC, DOD, HRSA, ACF, ACL, CMS • USDA and NASA use different Salary Cap – Benchmark Compensation Amount • If you use salary cap for other grantors, please add an explanation and attach grantor policy as document • Months must always be shown if salary is budgeted • Fringe must always be budgeted at the Federal negotiated rate; otherwise explain • Any waiver must be approved either by the Associate Dean for Administration and Finance or the Executive Dean

Routing q We strongly urge that you begin routing at least eight business days before the application deadline q Applications are “locked down” for editing fields and uploading anything into the budget section when the routing button is checked off q You can ask for permissions to go in and edit, postcompletion of routing, however only for the scientific and administrative portion, not the budget

Requirements for Routing q The Cayuse summary form needs to be filled out. This is a generic form, but very useful to us, internally q The highlighted fields (on the “cheat sheet”) are mandatory q Everything else can be left out (and budget will be autofilled by the system q The Einstein Final Approval Form is required for EVERY application, except for OPAS q Every field must be filled out and the application must be signed with the current date

Routing Chains for Applications q Routing chains for all competing grants: q q q q q PI Chair Office of Grant Support IACUC, and/or EH&S (Animals or Health/Safety issues are involved) OGS-Budget Authorized Organizational Representative (AOR)* FCOI (Financial Conflict of Interest) Office of Biotechnology (if applicable) MWBE *Once the AOR has approved you can submit the application

Routing Chains for Applications… q Routing chains for NC grants: q PI q Chair q Office of Grant Support q EH&S is the ONLY compliance department who wants to see the application, if applicable. q OGS-Budget q FCOI

Routing Chains for Applications… q OPAS: q PI q OPAS

Application Submission q For competing, electronic submissions: q Once the AOR has approved, you may submit. q Go into the Electronic Submission section (bottom of left side navigation panel of your application) q Click Validate Proposal. If there are NO errors, hit Validate and Submit q Pop-ups will appear. Hit submit again and another popup will appear, telling you the submission is in progress. Keep this window open until you get confirmation that it has been submitted

Application Submission … (Non-Federal Applications) q Select “Other” when creating the application. q Fill in the budget, the summary page (as indicated above), and the Einstein Final Approval form q Include some information about the opportunity from the sponsor (example, sponsor does not allow indirect costs), you should indicate that in the notes section of the summary page q Upload the document, policy if any

Sub-Contracts • Same procedures as non-federal • Please make sure—when creating the budget—to select “Einstein” as the institution in the budget, not the “Prime Institution. ” • Full routing is required

OPAS • There are specific guidelines on our website regarding the various OPAS submissions. • Please do not include the Einstein Final approval form for this type of submission. • Do not fill out the Einstein summary form, beyond the “Comment” section on the bottom of Cayuse’s summary page • Add the full name and address of anyone you want us to send correspondence to in the Comment section, along with instructions of what is to be sent • All documents can be uploaded in the “Document” section • Routing should be PI/OPAS

RPPR/Progress Reports • You can choose either Other or Subcontract when creating the proposal/RPPR. • Fill in the budget, summary page and the Einstein Final Approval form • Also include the RPPR report for NIH in the document section (it may be incomplete) • Routing is required

Cost Considerations • Budget requests must be in compliance with the governing cost principles and policies applicable to the type of recipient and the type of award • Must be compliant with NIH Grants Policy Statement under Cost Considerations • In general, grant awards provide for reimbursement of actual, allowable costs incurred and are subject to Federal cost principles • The cost principles address four tests in determining the “allowability” of costs • Costs charged to awards must be allowable, allocable, reasonable, necessary, and consistently applied regardless of the source of funds

Four Tests • Reasonableness (Including Necessity). Costs are reasonable and necessary -- individuals responsible for the expenditure acted with due prudence in carrying out their responsibilities • Allocability. A cost is allocable as a direct cost to a grant if it is incurred solely in order to advance work under the grant or meets the criteria for closely-related projects determination • Consistency. Recipients must be consistent in assigning costs to cost objectives in all work of the organization under similar circumstances, regardless of the source of funding • Conformance. Conforms with limitations and exclusions as contained in the terms and conditions of award, including those in the cost principles - varies by the type of activity, the type of recipient, and other characteristics of the awards

Direct and Indirect (F&A) costs • • • Direct Costs -- that can be identified with a particular sponsored project or activity that can be directly assigned to such activities relatively easily with a high degree of accuracy Facilities and Administrative (F&A) Costs -- that are incurred by a grantee for common or joint objectives and that, therefore, cannot be identified specifically with a particular project or program F&A costs are determined by applying an organization's Federallynegotiated F&A rate to the direct cost base Modified Total Direct Costs (MTDC) - for most institutions the negotiated F&A rate will use a MTDC base -- excludes items -- equipment, student tuition, research patient care costs, rent, and sub-recipient charges (after the first $25, 000) When calculating whether direct cost per year is $500, 000 or greater, should not include any sub-recipient F&A in the base > Direct cost requests equal to or greater than $500, 000 require prior approval from the NIH Institute/Center before application submission

Modular Budgets • Fund requests in $25, 000 intervals for some applications Exceptions – SBIR/STTR and foreign applications • Modular budget: Use the PHS 398 Modular Budget form • A modular budget justification should include: > Personnel: The name, role, and number of person-months for every person on the project. Use salary cap > Consortium: For a cons. /sub-k, include the total costs (direct plus F&A costs), rounded to the nearest $1, 000, for each cons. /sub-k. Foreign cons. /sub-k should be stated > Additional Narrative: Explanations for any variations in the number of modules requested annually. Any direct costs excluded from the total direct costs (equipment, tuition remission) and work conducted off-site, especially a foreign study site, or an off-site F&A rate

Detailed Budget: Personnel • • • Effort: Report in person months. If salary is requested above the salary cap, NIH will reduce that line item to the salary cap, resulting in a reduced total award amount. In future years, if the salary cap increases, grantees may re-budget to pay investigator salaries up to the new salary cap. NIH instructs to use actual institutional base salaries (not the cap) Fringe Benefits: Use institution's policy Senior/Key Personnel: Include any senior or key personnel from the applicant organization who are dedicating effort to this project Postdoctoral Associates: Listed depending on their level of involvement in project design and execution Graduate Students: Listed in either section A or B, but if listed in section B, include the individuals' names and level of effort in the budget justification section. Tuition remission is included in section F. 8 (not section A). Other Personnel: Listed by project role. If multiple people share the same role, indicate the number of personnel and add their person months, and add their requested salaries together

Equipment, Travel, and Trainee Costs • Equipment: It is defined as an item of property that has an acquisition cost of $5, 000 or more (unless the organization has established lower levels) and an expected service life of more than one year. Our is $3, 000. > General purpose equipment, such as desktop computers and laptops are generally excluded > Usually does not require you to have a price quote for new equipment, but it helps > Travel: Include the destination, number of people and dates or duration of stay for all anticipated travel > Trainee Costs: Leave this section blank unless otherwise stated in the FOA. Graduate student tuition remission can be entered in section F. 8.

Other Direct Costs • • Materials and Supplies: Categories (costs) less than $1, 000 do not have to be itemized Animal Costs: Include the number of animals , the purchase price, and animal facility's per diem care rate Publication Costs: You may include the costs associated with it Consultant Services: Typically, fixed rate for their services - includes both their direct and F&A costs. Travel costs, if any needs to be indicated. No salary cap restriction; however, must meet the definition of "reasonableness" ADP/Computer Services: Should be research specific- such as reserving computing time on supercomputers or getting specialized software to help run statistics. Excludes - standard desktop, laptop, or the standard tech support Alterations and Renovations (A&R): Does not include general maintenance projects or projects exceeding $500, 000 (considered "construction" projects) Research Patient Care Costs: The following information should be provided: > The names of any hospitals and/or clinics and the amounts requested for each > If both inpatient and outpatient costs are requested, provide information for each separately > Provide cost breakdown, number of days, number of patients, costs of tests/treatments > Justify the costs associated with standard care or research care Tuition: For any graduate students include school's tuition rates -- both an in-state and out-ofstate tuition rates. Must meet graduate student compensation limit (equivalent to the NRSA zerolevel post-doctorate stipend level)

Consortiums/Sub-awards • • Each consortium must complete an independent budget form Direct costs: > • F&A: > > • Cost Principles. Regardless of what cost principles apply to the parent grantee, the consortium is held to the standards of their respective set of cost principles. Consortium F&A costs are NOT included as part of the direct cost base when determining whether the application can use the modular format (direct costs < $250, 000 per year), or determining whether prior approval is needed to submit an application (direct costs $500, 000 or more for any year). F&A costs for the first $25, 000 of each consortium may be included in the modified total direct cost base, when calculating the overall F&A rate. If the consortium is a foreign institution or international organization, F&A for the consortium is limited to 8%. If the consortium is with a for-profit entity, such as a small business, the organization must have a negotiated F&A rate before they can charge F&A costs. The default small business rate of 40% is only applicable to SBIR (R 43 &R 44) and STTR (R 41 & R 42) applications. Justification: > Consortiums should each provide a budget justification following their detailed budget. The justification should be separate from the primary grantee's justification and address just those items that pertain to the consortium.

ORCID (Open Researcher and Contributor Identifiers) ID Requirements • ORCID IDs will be required for Individuals Supported by NIH, AHRQ, and CDC Research Training, Fellowship, Research Education, and Career Development Awards Beginning in 2020. • https: //grants. nih. gov/grants/guide/notice-files/NOT-OD-19 -109. html • To create an ORCID profile please use this link. https: //orcid. org/register 2/23/2021 | 37

ORCID ID Needs to be linked with e. RA Commons ID You will be able to associate your ORCID ID from the e. RA Commons Personal Profile module. Log in to your e. RA Commons account and click on Personal Profile https: //era. nih. gov/erahelp/ppf/default. htm#PPF_Help/8_2_orcid. htm%3 FToc. Path%3 D_____13 2/23/2021 | 38

How to Prepare Other Support Page Report all current projects and activities that involve senior/key personnel, even if the support received is only in-kind (e. g. office/laboratory space, equipment, supplies, employees). All research resources including, but not limited to, foreign financial support, research or laboratory personnel, lab space, scientific materials, selection to a foreign “talents” or similar-type program, or other foreign or domestic support must be reported. 2/23/2021 | 39

How to Prepare Other Support Page OTHER SUPPORT Smith, William ACTIVE Domestic: NIH-R 01 AI 026160 -02(Smith) No cost extension Title: Molecular Genetic …… Goal: Generate deletion … starvation leads to sterilization. NIH-U 19 AI 133376 -01 (Jones) Role: Co-Investigator (Project 2 & 5) Title: The biomarkers and coping mechanisms in …. Goal: To evaluate novel diagnostic test …. 03/01/2014 -08/31/2018 Annual: $100, 900 2. 4 cal month Entire Period: $2, 030, 500 08/01/2014 -07/21/2020 Annual: $248, 700 1. 2 cal month Entire Period: $1, 700, 111 05/01/2019 -06/15/2022 Annual $3, 000 5 -10 hours per year Entire Period: $10, 000 Foreign: MRC (UK) BV 2563 Title: Vaccines inducing protein…. Goal: To characterize the protein targets … Role: Consultant 2/23/2021 | 40

How to Prepare Other Support Page Other Active Agreements, Resources, and Significant Collaborations Domestic: Albert Einstein College of Medicine- ? ? Endowed Chair Albert Einstein College of Medicine- Internal Research Support Albert Einstein College of Medicine- Interim support (pending award notice of grant R 01 HL 036150 -11 A 1) NIH- T 32 GM 00722 (PI: Joe) 07/01/1995 -06/30/2020 Effort included in academic responsibility Institution: Albert Einstein College of Medicine Title of Project: “Training Program in molecular…. Role: Trainer/Mentor NIH- R 25 DK 140331 -01 A 1 (PI: Rhine) 08/01/2018 -07/31/2022 0. 00 calendar months Title of Project: Program in Metabolism of …. . I will be consulting on the course … sending students to participate in the course. Overlap: None Foreign: If you have any trainees/postdocs in your laboratory receiving stipends or any other support from foreign entities, add here. 2/23/2021 | 41

How to Prepare Other Support Page PENDING Domestic: NIH-AI 201800005 (Whittam) Role: Consultant Agency: Resources Center for Infectious Disorder Title: Viral Bioinformatics …. I will provide expert consulting on drug …. 09/01/2018 -08/31/2024 Annual: $2, 838 Award: Ron E Heter, Translational Research Piolet Project Grant Award. Institution/Awardee: Albert Einstein College of Medicine, Tonya Perth (MSTP student) Project Period: 05/1/2018 -06/02/2021 Title of Project: “Anti-g globulin promotes humoral responses …” Role: I will be consulting in the evaluation of the student research and serve as a thesis advisor Effort: Included in other academic responsibilities NIH-HL 145343 (Zio) 04/01/2019 -03/31/2023 Title: “The 5 yg. T 5 interactions: regulation of the metabolic …. ” I will be consulting with Dr. Zio to provide strategies to perform genetic analyses of…. 0. 08 cal months (2 days per year) Entire Period: $17, 000 0. 00 calendar months 2/23/2021 | 42

How to Prepare Other Support Page Foreign: NIH-AN 4324555 (Johns) 07/01/2019 -06/30/2023 Title of Project: “Therapeutic interventions to clear HPV …. ” Role: Consultant. I will be consulting with Dr. Johns on the generation of…. 0. 00 calendar months Overlap: None Affiliations Domestic: Institution: Brandon Institute of Science Address: XXX Avenue, Bronx, New York Role: Fellow Foreign: Institution: Indian Health Research Institute Address: XXX School of Medicine, XXX Building, Delhi, India Role: Scientific Advisor Effort: In-kind 2/23/2021 | 43

Application Development and Submission Process Need to find a funding opportunity? Contact OGS to search for funding opportunities Opportunity found; Planning; Team development “Just-in-Time” materials/additional materials required Award acceptance & negotiations if applicable “Notice of Award” arrives Application is developed in Cayuse Routing chain: Verify requirements and systems access Non-Federal application submission steps vary Federal applications submitted through Cayuse Application is submitted Post-Award process begins Grant Development Need help writing the grant? Writing/editing Need study design assistance? Boistatistics support Grant application is routed through Cayuse for internal review/approval Budget is developed

Thank You q For general information, please contact the Office of Grant Support at (718) 430 -3643 or preaward@einstein. yu. edu q For pre-award budget -- Gerard Mc. Morrow at (718) 430 3580 or gerard. mcmorrow@einstein. yu. edu q For Cayuse, e. RA Commons and any other help -- Regina Janicki at (718) 430 -3643 or Regina. janicki@einstein. yu. edu q For any other help -- D. C. Saha at (718) 430 -3642 or dhanonjoy. saha@einstein. yu. edu