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  • Developing Policies and Procedures

    Policies and procedures are important tools for making an institution's research enterprise run smoothly and are an element of the internal control framework. This program will focus on the mechanics of establishing, implementing, and maintaining policies and procedures.

    90 Minutes: Policies and procedures are important tools for making an institution's research enterprise run smoothly and are an element of the internal control framework.  This program will focus on the mechanics of establishing, implementing, and maintaining policies and procedures.

    Level: Intermediate

    Pre-requisites: A basic understanding of research administration in a pre-, post-, departmental, or compliance area.

    Handouts will be available 24 hours before the live webinar.


    Additional Registrations:

    Your registration includes one log-in. We are pleased to provide the opportunity for you to register additional sites at a discounted price of $25.00 per log-in.  When you are checking out, click the Add button and type in the email address of your colleague that you would like to register.  If that person does not already have an NCURA profile, please have them go to the NCURA website to create a profile, then you will be able to register them with your registration.  You will be able to change or add more registrations by clicking “My Registrations” in the menu at the top left of the home page, then clicking the “Purchases for Others” button.  If you have any questions about this option, please email ncura@commpartners.com.

    Attendees will gain an understanding of:

    • the importance of having institutional policies and procedures for research activity
    • processes for developing research policies and procedures

    Jeffrey Silber

    Senior Director, Sponsored Financial Services

    Cornell University

    Jennifer Rodis

    Policy & Planning Analyst

    University of Wisconsin - Madison

    Participants receive 1.5 hours of continuing education credits = .2 CEU's for each webinar.

    You can access your certificate from the box on the right side of the screen, after filling out the webinar evaluation.

    Watching in a group? Everyone watching the presentation can request a CEU certificate by writing down the verification code at the end of the webinar. Please make a note of the verification code as it will not be available after the webinar.

    The main registrant can access instructions on the Group CEU tab for group participants to receive CEU certificates.

    We recommend testing your browser as soon as possible in case you need to contact your IT department for help.
    • It is recommended that you use a PC or MAC with an updated Internet Browser.
    • Make sure you have pop-ups blockers disabled in your Internet browser settings.
    • Make sure that your internet browser is Active X enabled.
    • Wifi is not recommended. The problem with WiFi is signal strength can vary causing bandwidth to increase or decrease.
    • We recommend a wired connection. A wired connection gives a consistent signal and consistent bandwidth. A wired connection provides a better experience.
    • It's better for organizations with low bandwidth to only have the webinar running on 1 computer in a conference room than having 10 individual people running the session on 10 computers at their desks.
    • Audio (sound) is projected through your computer speakers. Be sure your computer is equipped with speakers so you can hear the presenters.

    For additional recommendations on your computer set up for the webinar, please click here.

  • NSF Fundamentals Workshop

    Does your institution receive NSF Funding? The NSF Fundamentals Virtual Workshop is an essential part of your onboarding and continuing education program on your campus!

    This workshop provides a primary basis of understanding of proposals to and awards from the National Science Foundation (NSF).

    The program is perfect for someone new to research administration, as well as for research administrators seeking to expand their knowledge of federal funding agencies. The curriculum provides an overview of the policies and procedures essential to preparing successful proposals to and managing grant awards from NSF.

    Major content areas covered include:

    • NSF overall structure, culture, and organization;
    • Developing NSF proposals;
    • The merit review process;
    • Post-award administration;
    • Tips and tricks.

    Pre-requisites: None

    Member Price: $169
    EARMA Member Price: $103.50
    Non-Member Price: $199


    Additional Registrations:

    Your registration includes one log-in. We are pleased to provide the opportunity for you to register additional sites at a discounted price of $50.00 per log-in.  When you are checking out, click the Add button and type in the email address of your colleague that you would like to register.  If that person does not already have an NCURA profile, please have them go to the NCURA website to create a profile, then you will be able to register them with your registration.  You will be able to change or add more registrations by clicking “My Registrations” in the menu at the top left of the home page, then clicking the “Purchases for Others” button.  If you have any questions about this option, please email ncura@commpartners.com.

    • Participants will understand the policies and procedures that guide the preparation of proposals to NSF as well as those that guide the management of NSF awards.
    • Participants will understand NSF organization, structure and culture and what that means for you and your organization.
    • Participants will learn when it is appropriate to pose questions to an NSF program officer, grants officer or the Policy Office.

    Jamie French

    Division Director, Division Grants and Agreements, Office of Budget, Finance and Award Management

    National Science Foundation

    Participants receive 3.25 hours of continuing education credits = .3 CEU's for each webinar.

    You can access your certificate from the box on the right side of the screen, after filling out the webinar evaluation.

    Watching in a group? Everyone watching the presentation can request a CEU certificate by writing down the verification code at the end of the webinar. Please make a note of the verification code as it will not be available after the webinar.

    The main registrant can access instructions on the Group CEU tab for group participants to receive CEU certificates.

    We recommend testing your browser as soon as possible in case you need to contact your IT department for help.
    • It is recommended that you use a PC or MAC with an updated Internet Browser.
    • Make sure you have pop-ups blockers disabled in your Internet browser settings.
    • Make sure that your internet browser is Active X enabled.
    • Wifi is not recommended. The problem with WiFi is signal strength can vary causing bandwidth to increase or decrease.
    • We recommend a wired connection. A wired connection gives a consistent signal and consistent bandwidth. A wired connection provides a better experience.
    • It's better for organizations with low bandwidth to only have the webinar running on 1 computer in a conference room than having 10 individual people running the session on 10 computers at their desks.
    • Audio (sound) is projected through your computer speakers. Be sure your computer is equipped with speakers so you can hear the presenters.

    For additional recommendations on your computer set up for the webinar, please click here.

  • Understanding the Administratively Complex and High-risk Business Objective of Cost Sharing

    This webinar will explore the many elements of cost sharing, ranging from the pre-award, often strategic decision to engage in cost sharing from different methods to handle the post award management of cost sharing, offering the participant a lifecycle view of cost sharing.

    90 Minutes: Cost sharing represents an administratively complex and high-risk business objective. This webinar will explore the many elements of cost sharing, ranging from the pre-award, often strategic decision to engage in cost sharing from different methods to handle the post award management of cost sharing, offering the participant a lifecycle view of cost sharing. 

    The webinar will touch on basic concepts such as what constitutes cost sharing at the proposal stage and federal policies and guidelines related to cost sharing, but will primarily be focused on more complicated concepts, including the impacts of cost sharing on an institution, the functional areas cost sharing touches outside of sponsored research (e.g., finance and budget), and the weighing of strategic interests against traditional compliance when entering into a cost share agreement.

    Level: Intermediate

    Pre-requisites: The webinar will touch on basic concepts such as what constitutes cost sharing at the proposal stage and federal policies and guidelines related to cost sharing, but will primarily be focused on more complicated concepts, so a general understanding of cost sharing will be helpful.

    Handouts will be available 2 hours before the live webinar.


    Additional Registrations:

    Your registration includes one log-in. We are pleased to provide the opportunity for you to register additional sites at a discounted price of $25.00 per log-in.  When you are checking out, click the Add button and type in the email address of your colleague that you would like to register.  If that person does not already have an NCURA profile, please have them go to the NCURA website to create a profile, then you will be able to register them with your registration.  You will be able to change or add more registrations by clicking “My Registrations” in the menu at the top left of the home page, then clicking the “Purchases for Others” button.  If you have any questions about this option, please email ncura@commpartners.com.

    Participants will explore challenges and approaches related to tracking and funding of cost share commitments and effectively using enterprise management systems to help where possible, including a case study examining an institutional change in post-award cost sharing tracking (including evaluation, design, and implementation).

    Kelly Morrison

    Director of Pre-Award, Office of Sponsored Programs

    University of Virginia

    Participants receive 1.5 hours of continuing education credits = .2 CEU's for each webinar.

    You can access your certificate from the box on the right side of the screen, after filling out the webinar evaluation.

    Watching in a group? Everyone watching the presentation can request a CEU certificate by writing down the verification code at the end of the webinar. Please make a note of the verification code as it will not be available after the webinar.

    The main registrant can access instructions on the Group CEU tab for group participants to receive CEU certificates.

    We recommend testing your browser as soon as possible in case you need to contact your IT department for help.
    • It is recommended that you use a PC or MAC with an updated Internet Browser.
    • Make sure you have pop-ups blockers disabled in your Internet browser settings.
    • Make sure that your internet browser is Active X enabled.
    • Wifi is not recommended. The problem with WiFi is signal strength can vary causing bandwidth to increase or decrease.
    • We recommend a wired connection. A wired connection gives a consistent signal and consistent bandwidth. A wired connection provides a better experience.
    • It's better for organizations with low bandwidth to only have the webinar running on 1 computer in a conference room than having 10 individual people running the session on 10 computers at their desks.
    • Audio (sound) is projected through your computer speakers. Be sure your computer is equipped with speakers so you can hear the presenters.

    For additional recommendations on your computer set up for the webinar, please click here.

  • The Revised Common Rule: New Opportunities and Challenges

    The Department of Health and Human Services (HHS) Office for Human Research Protections (OHRP) released revised human subjects regulations, known as the "Common Rule," on January 19, 2017, following a lengthy rulemaking process. The updated rule includes a number of welcome changes and omits many of the most controversial proposed changes.

    90 Minutes: The Department of Health and Human Services (HHS) Office for Human Research Protections (OHRP) released revised human subjects regulations, known as the "Common Rule," on January 19, 2017, following a lengthy rulemaking process. The updated rule includes a number of welcome changes and omits many of the most controversial proposed changes. Concerns remain, however, with some elements of the revised rule and their implications with respect to administrative burden and human subjects protections.

    Level: Overview

    Pre-requisites: None

    Handouts will be available 24 hours before the live webinar.


    Additional Registrations:

    Your registration includes one log-in. We are pleased to provide the opportunity for you to register additional sites at a discounted price of $25.00 per log-in.  When you are checking out, click the Add button and type in the email address of your colleague that you would like to register.  If that person does not already have an NCURA profile, please have them go to the NCURA website to create a profile, then you will be able to register them with your registration.  You will be able to change or add more registrations by clicking “My Registrations” in the menu at the top left of the home page, then clicking the “Purchases for Others” button.  If you have any questions about this option, please email ncura@commpartners.com.

    Participants will understand an overview of the revised rule, anticipated challenges to institutions and researchers, and how institutions are addressing these challenges as they update their systems, processes and policies.

    Martha Jones

    Executive Director, Human Research Protection Office

    Washington University in St. Louis 

    Kerry Peluso

    Associate Vice President, Research Administration

    Emory University

    Sara Bible

    Associate Vice Provost for Research

    Stanford University

    Lisa Nichols

    Director

    Council on Governmental Relations (COGR) Research and Regulatory Reform Committee

    Participants receive 1.5 hours of continuing education credits = .2 CEU's for each webinar.

    You can access your certificate from the box on the right side of the screen, after filling out the webinar evaluation.

    Watching in a group? Everyone watching the presentation can request a CEU certificate by writing down the verification code at the end of the webinar. Please make a note of the verification code as it will not be available after the webinar.

    The main registrant can access instructions on the Group CEU tab for group participants to receive CEU certificates.

    We recommend testing your browser as soon as possible in case you need to contact your IT department for help.
    • It is recommended that you use a PC or MAC with an updated Internet Browser.
    • Make sure you have pop-ups blockers disabled in your Internet browser settings.
    • Make sure that your internet browser is Active X enabled.
    • Wifi is not recommended. The problem with WiFi is signal strength can vary causing bandwidth to increase or decrease.
    • We recommend a wired connection. A wired connection gives a consistent signal and consistent bandwidth. A wired connection provides a better experience.
    • It's better for organizations with low bandwidth to only have the webinar running on 1 computer in a conference room than having 10 individual people running the session on 10 computers at their desks.
    • Audio (sound) is projected through your computer speakers. Be sure your computer is equipped with speakers so you can hear the presenters.

    For additional recommendations on your computer set up for the webinar, please click here.

  • The New World of Single IRBs: Single IRB Under The NIH Policy and Revised Common Rule

    The panelists will provide an overview of the requirements of the NIH Policy on the Use of a Single IRB (sIRB) for Multi-Site Research, which is effective September 25, 2017, and associated guidance, FAQs, and resources. sIRB requirements under the recently revised Federal Policy for the Protection of Human Subjects (Common Rule) will also be discussed.

    90 Minutes: The panelists will provide an overview of the requirements of the NIH Policy on the Use of a Single IRB (sIRB) for Multi-Site Research, which is effective January 25, 2018 and associated guidance, FAQs, and resources. sIRB requirements under the recently revised Federal Policy for the Protection of Human Subjects (Common Rule) will also be discussed.

    Level: Overview

    Pre-requisites: None

    Handouts will be available 24 hours before the live webinar.


    Additional Registrations:

    Your registration includes one log-in. We are pleased to provide the opportunity for you to register additional sites at a discounted price of $25.00 per log-in.  When you are checking out, click the Add button and type in the email address of your colleague that you would like to register.  If that person does not already have an NCURA profile, please have them go to the NCURA website to create a profile, then you will be able to register them with your registration.  You will be able to change or add more registrations by clicking “My Registrations” in the menu at the top left of the home page, then clicking the “Purchases for Others” button.  If you have any questions about this option, please email ncura@commpartners.com.

    Participants will understand the approaches each institution is taking to implement the sIRB mandate.

    Martha Jones

    Executive Director, Human Research Protection Office

    Washington University in St. Louis 

    Kerry Peluso

    Associate Vice President, Research Administration

    Emory University

    Lisa Nichols

    Director

    Council on Governmental Relations (COGR) Research and Regulatory Reform Committee

    Sara Bible

    Associate Vice Provost for Research

    Stanford University

    Participants receive 1.5 hours of continuing education credits = .2 CEU's for each webinar.

    You can access your certificate from the box on the right side of the screen, after filling out the webinar evaluation.

    Watching in a group? Everyone watching the presentation can request a CEU certificate by writing down the verification code at the end of the webinar. Please make a note of the verification code as it will not be available after the webinar.

    The main registrant can access instructions on the Group CEU tab for group participants to receive CEU certificates.

    We recommend testing your browser as soon as possible in case you need to contact your IT department for help.
    • It is recommended that you use a PC or MAC with an updated Internet Browser.
    • Make sure you have pop-ups blockers disabled in your Internet browser settings.
    • Make sure that your internet browser is Active X enabled.
    • Wifi is not recommended. The problem with WiFi is signal strength can vary causing bandwidth to increase or decrease.
    • We recommend a wired connection. A wired connection gives a consistent signal and consistent bandwidth. A wired connection provides a better experience.
    • It's better for organizations with low bandwidth to only have the webinar running on 1 computer in a conference room than having 10 individual people running the session on 10 computers at their desks.
    • Audio (sound) is projected through your computer speakers. Be sure your computer is equipped with speakers so you can hear the presenters.

    For additional recommendations on your computer set up for the webinar, please click here.

  • CUI, FISMA & NIST:  Regulated Research Data

    Protecting research information and systems from unauthorized access, use, disclosure, disruption, modification, or destruction is a critical component to safeguarding research information and preventing financial loss or damage to the university’s reputation.

    90 Minutes: Protecting research information and systems from unauthorized access, use, disclosure, disruption, modification, or destruction is a critical component to safeguarding research information and preventing financial loss or damage to the university’s reputation. Protecting confidential information is not only a legal and business requirement, but is also an ethical requirement. Due to increased cybersecurity concerns throughout the world, sponsors are including more stringent requirements for working with restricted data. 

    CUI, NIST 800-171, 32 CFR 2002, FISMA, HIPAA. What do they mean? How do they impact my University’s portfolio? What should I be doing to comply? This session will describe the basis of the requirements and offer best practices and lessons learned in creating compliant institutions.

    Level: Basic

    Prerequisites: None

    • Participants will understand the basis of the requirements.
    • Participants will understand best practices in creating a compliance institution.

    Stephanie Gray (Moderator)

    Assistant Vice President

    Division of Sponsored Programs, University of Florida

    Alicia Turner

    Business Relationship Manager 2, Enterprise Systems, Information Technology

    University of Florida

    Participants receive 1.5 hours of continuing education credits = .2 CEU's for each webinar.

    You can access your certificate from the box on the right side of the screen, after filling out the webinar evaluation.

    Watching in a group? Everyone watching the presentation can request a CEU certificate by writing down the verification code at the end of the webinar. Please make a note of the verification code as it will not be available after the webinar.

    The main registrant can access instructions on the Group CEU tab for group participants to receive CEU certificates.

    Please click here if you need assistance with your computer set up for the webinar.

  • Clear and Authentic Communication with Principal Investigators

    Participants will learn best practices for guiding PIs through common, yet complex policies and topics. Panelists will provide strategies a research administrator (RA) can use to interact and communicate with PIs, using case studies and examples.

    90 Minutes: Participants will learn best practices for guiding PIs through common, yet complex policies and topics. Panelists will provide strategies a research administrator (RA) can use to interact and communicate with PIs, using case studies and examples. Topics will include:

    • Rockstar Research Administrators – What is the importance of the RA role? How do RAs become the PI's resource? What do you do when things go wrong (proposal not submitted, student not hired, disallowed cost, etc.)? What strategies are used to communicate policies to PIs?
    • Proposal Preparation: Tips to communicate constructive critiques in proposal preparation
    • Deadlines – Communicating the submission and reporting deadlines and why they are important.
    • Time & Effort – What is it? What is allowable compensation? Communicating strategies for describing effort commitment related to project scope. Communicating effort reporting and the importance of certification.
    • F&A – What is it? Why is it important to apply direct & indirect costs consistently?
    • Cost Sharing – What is it? What are the different types? What is allowable? How do you explain when it is not allowable?
    • Compliance/Research Integrity – Communicating clearly and simply about the PI responsibilities in general compliance areas such as IRB, IACUC, COI.
    • Allocation Method – Clearly describing requirements and implications of allocating costs to appropriate projects.
    • Procurement Policies/Thresholds – How do you explain general procurement policies and steps to follow?
    • Sub-recipients– What are the differences of subrecipient V. vendor? Why is it important to identify a difference? More broadly, navigating communication challenges in collaborative research/subrecipient arrangements.
    • Communication Hands-Offs Facilitating communication transitions among/between offices. When no communication is good and when no communication is bad.

    Closed Captioning now available at no additional fee. Sign in and click on "Closed Captioning" link in the handouts tab or in the links box in the meeting room to access this feature.

    Webinar Member Price: $85.00

    Webinar Non-Member Price: $105.00

    Participants will be able to:

    • Participants will identify general communication strategies and be able to apply those strategies to communicating specific research administration topics.
    • Participants will identify clear and simple language to explain complex topics.
    • Participants will use reflective communication strategies and examine issues from multiple perspectives to help improve communication strategies.

    Kris A. Monahan, Ph.D.

    Director of Sponsored Research and Programs

    Providence College

    Katie Plum, M.Ed., CRA

    ​Director of Sponsored Projects

    Angelo State University

    Participants receive 1.5 hours of continuing education credits = .2 CEU's for each webinar.

    You can access your certificate from the box on the right side of the screen, after filling out the webinar evaluation.

    Watching in a group? Everyone watching the presentation can request a CEU certificate by writing down the verification code at the end of the webinar. Please make a note of the verification code as it will not be available after the webinar.

    The main registrant can access instructions on the Group CEU tab for group participants to receive CEU certificates.

    "A great webinar! I got a lot of ideas for areas that I can look into further, and materials and tools that I could produce."

    "Thank you for providing the Seven Cs, we will be adding this into our training."

    "The presenters were effective, knowledgeable and used great examples."

    "Planning to show this webinar to others in my office!"

  • Outside the Box of Effort Reporting - Past, Present and Future

    This webinar will discuss Effort Reporting – often viewed as the most confusing and burdensome administrative task placed on faculty. An overview of the most common after-the-fact methodologies will be reviewed, as well as the importance of building an internal control framework around compensation and strategies for implementation.

    90 Minutes: The administrative burden placed on faculty and institutions performing research continues to be a major area of concern for the research enterprise at the federal and university level.  Publications from the National Science Board (2014), National Academies of Sciences (2015), and the Federal Demonstration Partnership (Survey in 2005 and 2012) have reported or documented the extent in which the administrative burden placed on faculty can hinder the affordability and facilitation of science.  One intent of the Uniform Guidance (2 CFR 200) was to address these burdens by streamlining policy requirements and focusing on research outcomes.  Will universities adopt the changes available to them in the Uniform Guidance to help reduce research burden?  

    This webinar will discuss Effort Reporting – often viewed as the most confusing and burdensome administrative task placed on faculty.  An overview of the most common after-the-fact methodologies will be reviewed, as well as the importance of building an internal control framework around compensation and strategies for implementation.

    Level: Intermediate

    Prerequisites: Understanding of traditional effort reporting

    Participants will gain:

    • a better understanding of alternatives to effort reporting
    • an increased awareness of balancing compliance and audit risk
    • strategies for successful internal controls processes
    • insights into the institutional decision making process for alleviating faculty administrative burden


    Linda Gregory

    Interim Director, Grants & Contracts Office, Post Award Administration

    University of Illinois at Urbana-Champaign

    Lisa Mosley

    Assistant Vice President, Research Operations

    Arizona State University

    Jeremy Forsberg

    Assistant Vice President of Research

    The University of Texas at Arlington

    David Ngo

    Associate Provost

    The New School

    Jayne Goby

    Assistant Director, Grants & Contracts Post Award Administration

    University of Illinois at Urbana-Champaign

    Participants receive 1.5 hours of continuing education credits = .2 CEU's for each webinar.

    You can access your certificate from the box on the right side of the screen, after filling out the webinar evaluation.

    Watching in a group? Everyone watching the presentation can request a CEU certificate by writing down the verification code at the end of the webinar. Please make a note of the verification code as it will not be available after the webinar.

    The main registrant can access instructions on the Group CEU tab for group participants to receive CEU certificates.

  • An Overview of the New Research Terms and Conditions

    On March 14, 2017, the National Science and Technology Council’s Research Business Models Interagency Working Group issued the new Research Terms and Conditions (RTCs), which are intended to implement the Uniform Guidance (2 CFR 200) and which are now available for use by federal agencies when issuing research awards.

    90 Minutes: On March 14, 2017, the National Science and Technology Council’s Research Business Models Interagency Working Group issued the new Research Terms and Conditions (RTCs), which are intended to implement the Uniform Guidance (2 CFR 200) and which are now available for use by federal agencies when issuing research awards.  When are the RTCs effective?  Which agencies will use them?  Which agencies have already implemented them? How do I tell if the RTCs apply to an award I have received? Do the RTCs implement any prior approvals or restrictions relative to the Uniform Guidance?  How do the RTCs apply to subawards my institution issues?  Will participating agencies issue their own implementations of the RTCs, as they did with the previous version?

    Please join us for an informative session in which we will answer these questions.

    Level: Overview

    Pre-requisites: None

    Participants will learn: 

    • When the RTCs are effective
    • Which agencies will use them
    • Which agencies have already implemented them
    • How to tell if the RTCs apply to an award the participant’s institution has received
    • Do the RTCs implement any prior approvals or restrictions relative to the Uniform Guidance
    • How the RTCs applies to subawards your institution issues
    • Will participating agencies issue their own implementations of the RTCs, as they did with the previous version?

    Cindy Hope

    Assistant Vice President for Research and Director of the Office for Sponsored Programs

    The University of Alabama

    David Mayo

    Director, Office of Sponsored Research

    NCURA Distinguished Educator

    California Institute of Technology

    Jean Feldman

    Head, Policy Office, Office of Budget, Finance & Award Management

    National Science Foundation

    Michelle Bulls

    Director, Office of Policy for Extramural Research Administration, OPERA

    National Institutes of Health

    Participants receive 1.5 hours of continuing education credits = .2 CEU's for each webinar.

    You can access your certificate from the box on the right side of the screen, after filling out the webinar evaluation.

    Watching in a group? Everyone watching the presentation can request a CEU certificate by writing down the verification code at the end of the webinar. Please make a note of the verification code as it will not be available after the webinar.

    The main registrant can access instructions on the Group CEU tab for group participants to receive CEU certificates.

    "Very good discussion!  I plan to listen to the audio again in the future."

    "Speakers are top-notch and incredibly knowledgeable!"

    "All of the speakers are great! Would listen to them over and over!"

  • How to Manage a Financially Focused University Research Audit Effectively

    This comprehensive publication covers all aspects of the audit process from the pre-award preparation, notification, roles and responsibilities, scope, entrance conference, field work, exit conference, final report, to audit resolution and follow-up. NOTE: To purchase this downloadable publication click the “Register” button

    image

    This comprehensive publication covers all aspects of the audit process from the pre-award preparation, notification, roles and responsibilities, scope, entrance conference, field work, exit conference, final report, to audit resolution and follow-up.
    Includes references and resources and over 30 tips from seasoned experts.

    (30 pages, PDF)

    Exclusively available online. Purchase and download the PDF. Once purchased the PDF will be available for download for 30 days. To purchase click the “Register” button.

    Table of Contents

    Introduction: What is an Audit?

    Summary of Key Audits of the Sponsored Research Function

    Sponsor/Office of Inspector General (OIG) Audits

    Federal Single Audit (Often Called A-133 Audit)

    Internal Audits

    Subrecipient Monitoring Audit Activities

    Audit Process/Lifecycle Overview

    Pre-Notification Preparation

    Policy for Audit Response and Management

    Awareness of Audit Environment and Federal Agendas

    Incorporate Audit Readiness into Training

    Audit Roles and Responsibilities

    Auditors

    Institutional Resources

    Notification

    Recognize that an Audit has been Initiated or Requested

    Identify the Agency or Other Auditor Involved

    Identify Areas of the Institution Affected

    Appoint a Designated Audit Liaison

    Brief Leadership and Others

    Develop a Plan

    Definition of Scope

    Determine Scope and Extent of the Audit

    Obtain Data from IT Systems

    Review Planned Submissions

    Prepare

    Assess Risk

    Entrance Conference

    Fieldwork

    Interviews and Walk-throughs

    Document Requests

    Institutional Communications

    Common Audit Findings

    Exit Conference

    Preliminary Report

    Final Report and Audit Response

    Audit Resolution and Follow-up

    Conclusion

    Appendix: References and Resources


    30 pages, PDF

    Ashley Deihr
    Senior Manager, Baker Tilly

    Ashley Deihr, CPA, CIA, CFE, Senior Manager at Baker Tilly, is a member of the firm's Higher Education and Research Institutions Practice specializing in assisting institutions with organizing for compliance, managing sponsored research risks and processes, and achieving strategic objectives.


    Kimberly Ginn
    Partner, Baker Tilly

    Kimberly Ginn, CIA, Partner at Baker Tilly, is a leader in the firm's Higher Education and Research Institutions Practice with over sixteen years of experience advising on research risks and controls, compliance infrastructures and programs, governance structures, and complex audit matters.


    Jeffrey Silber
    Senior Director, Sponsored Financial Services, Cornell University

    Jeffrey Silber, Senior Director of Sponsored Finance at Cornell University, is responsible for post-award finance, cost accounting and capital assets. He has over three decades in research administration, is active with NCURA and serves on the Costing Committee of the Council on Governmental Relations (COGR).