Guide to Administration - Columbia University · 2018. 9. 19. · JULY 2017 1 GUIDE TO ADMINISTRATION Reina Burdie 212-305-0695 Department Administrator Room 1507 [email protected]

FACULTY HANDBOOK

Guide to Administration

JULY 2017 iii

GUIDE TO ADMINISTRATION

Table of Contents

Staff Directory/Contact List 1

New Employee Information 2

Introduction to the Cluster Structure 4

Cluster Administrative Support 5

Grants Management 7

Financial Administration 12

Reimbursements 15

Day to Day Operations 18

Information Technology 21

Human Resources 23

Visiting Faculty and Scholars 26

Event Promotion Guide 28

Supportive Resources 30

Appendices 31

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Reina Burdie 212-305-0695Department AdministratorRoom [email protected]

Audrey Collin 212-342-4429Post-Award CoordinatorRoom [email protected]

Mirtha Delvalle 212-305-6226Associate Director of Grants & FinanceRoom [email protected]

Anthony Diaz 212-305-9539Administrative Clerk7th floor [email protected]

Elizabeth Ferrari 212-342-4552Project Manager for Academic ProgramsRoom [email protected] Gerald Govia 212-342-4542Coordinator for Special ProjectsRoom [email protected]

Laura Goldenkranz 212-305-4534Assistant to the ChairRoom [email protected]

Ebony King 212-305-0895Administrative Manager of OperationsRoom [email protected]

Kiki Korikis 212-305-1825 Director of Human Resources and Faculty AffairsRoom [email protected]

Department of Epidemiology Central Administrative Staff Important Emergency Phone Numbers

Carmen Minsal 212-342-0138 Pre-Award CoordinatorRoom [email protected]

Naiomi Moreno 212-342-4445 HR CoordinatorRoom [email protected]

Dilenny 212-305-6718 Roca-Dominguez Senior Program Manager Room [email protected]

Samantha Rumph 212-342-2133 Financial CoordinatorRoom [email protected]

Manidipa Sengupta 212-305-9081 Financial CoordinatorRoom [email protected]

Alexa Taveras 212-305-9557 Program ManagerRoom [email protected]

Cecilia Vasquez 212-342-2133Financial CoordinatorRoom [email protected]

Liliane Zaretsky 212-305-9410Director for Academic ProgramsRoom [email protected]

Security

212-305-8100

Emergency

Fire/Smoke

212-305-7979

Biohazards

212-305-6780

Cardiac Arrest

212-305-9999

Medical

Emergency

212-305-7979

Facilities

(Emergency Only)

212-305-0303

Environmental Health

and Safety

212-305-5603

Workforce Health

and Safety

212-305-7580

Staff Directory/Contact List

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New Employee InformationGetting

Started

Getting started as new employee/faculty member

The new employee orientation provides all new employees with mandatory HIPAA training, informa-tion about work/life and resources at Columbia, and guidance to help you select the benefits that best suit your personal needs.

Benefits package

You will learn about benefits options that are available to you at your new employee orientation, and you will be able to complete your benefits enrollment online at my.columbia.edu once your hire is confirmed and your UNI is activated. The Benefits Department at Columbia will send you an e-mail approximately 2 weeks after your start date alerting you that you can enroll online. For questions about benefits, please call the Benefits Hotline at 212-851-7000. Note that most benefits selections MUST be made within 30 days of your start date.

University Network ID (UNI)

On your first day of work, Kiki Korikis will provide you with your UNI. Once you have this, you can activate your UNI and set a password using the following URL: uni.columbia.edu.

Click on “Activate a NEW Account.” Please bookmark this page as it also contains guides to changing your password, setting up email autoresponses, etc.

ID card

The CUID allows access to University facilities, servic-es, and resources, including libraries and gyms. The Health Science ID Center is in P&S, Room 1-405C. If you are getting a CUID for the first time, please bring a photo ID and your UNI. Should you lose your ID, please report it to Security immediately and request a new ID. The CUMC Security Office asks that your CUID be visible above the waistline at all times.

Direct deposit

If you want to enroll in the University’s direct deposit payroll program, you can do so online from my.columbia.edu, using the Faculty & Staff tab. You’ll need to provide your checking or savings account and

bank routing number in order to enroll.

Computer and telephone

Your SCA will have made initial arrangements for your computer and telephone. Further information about IT support and ahrdware and software purchas-ing can be found on page 17 and 18. Details about phone use, including setting up voicemail, can be found on page 16.

Navigating campus

■ Campus map: cumc.columbia.edu/map

■ Guide to the campus and surrounding community: cumc.columbia.edu/sites/cumc/files/campusguide.pdf

Timesheets

All time record documents should be submitted to Kiki in person (MSPH 15th floor, Room 1511) with au-thorized supervisory signature. Note: overtime hours must be initialed by supervisor.

■ Bi-weekly timesheets for Support Staff Association (SSA) and casual employees are due every other Wednesday.

■ Officer timecards are due at the end of every month

Getting paid

■ SSA and casual employees are paid every other Friday.

■ Officers are paid twice monthly.

Checks and stubs should be picked up on the appro-priate days from Kiki by one designated staff member from each cluster. Officers with direct deposit will not receive a check stub.

Getting medical attention or reporting an ac-cident

CUMC Workforce Health and Safety, located at the Harkness Pavilion 1st Floor (212-305-7580), is avail-able to serve all employees who require medical attention while at work.

If you experience a work-related injury or illness, please alert your supervisor and Kiki as soon as pos-sible.

Director of Human Resources and Faculty Affairs, Kiki Korikis ([email protected]), will provide you with a welcome letter and hire packet includ-ing your official hire date, benefits information, University Network ID (UNI), and the date of your mandatory new employee orientation.

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(CONTINUED FROM P. 2)

Reporting potential security problems

To prevent theft, it is important that unoccupied of-fices are kept locked and valuables stored out of sight. Should you see anyone suspicious, do not hesitate to call the MSPH security desk at 212-342-1905. In an emergency, please dial 212-305-7979. To speak to a sergeant or report an incident, call 212-305-8100.

Getting

Started

JULY 2017 4


Introduction to the Cluster StructureCluster Intro

The Department is organized into five intellectual and administrative clusters. The clusters are based upon our five primary areas of epidemiologic excellence (see the table above) and they serve as catalysts for scientific discussion among faculty and trainees through a structured program of formal interac-tion that encourages the development of innovative projects and programs. All faculty, staff, and doctoral students are assigned to a primary cluster, and all master’s students are encourage to join a cluster and attend cluster events.

Administratively, the cluster structure has made it possible for us to raise policy and practice to a new standard and ensure that all faculty are well-support-ed in the process of grant submission and post-award financial management, including budgeting, report-ing, hiring, purchasing, and reimbursements.

In the pages that follow, you will see how the cluster structure helps to streamline administrative sup-port. In many, although not all, cases when you need advice or service in the course of completing your assigned tasks, you will be directed to check with your Senior Cluster Administrator or a member of her staff as a first step.

The Department of Epidemiology is dedicated to excellence in our scholarly and public health mission, and we know that our success relies upon on a smoothly running administrative engine. Thus we are deeply invested in providing seam-less support to all of our staff, faculty, and students. We welcome you to our team, with the expectation that you will both benefit from and contribute to our efforts to provide an optimal administrative infrastructure.

CLUSTER NAME / FACULTY CLUSTER LEADER

CHRONIC DISEASE EPIDEMIOLOGY Mary Beth Terry, PhD

INFECTIOUS DISEASE EPIDEMIOLOGY

Wafaa El-Sadr, MD, MPH

INJURY EPIDEMIOLOGY

Guohua Li, MD, PhD

PSYCH/NEURO EPIDEMIOLOGY Ruth Ottman, PhD

SOCIAL EPIDEMIOLOGY Andrew Rundle, DrPH

C L U S T E R S I N E P I D E M I O LO GY

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Cluster Administrative SupportCluster A

dm

inThe senior cluster administrator (SCA) is responsible for the overall administration and financial management of the cluster. Primary responsibilities include all pre-award activities for grant submissions for cluster faculty, post-award financial management, coordination of the monthly cluster seminar, coordination of hiring activities for all research grants, and supporting the faculty in any other activities related to departmental engagement. The SCA also works very closely with the Department Administrator to develop fiscal year budgets, allocate faculty and staff effort to research grants where appro-priate, and ensure that other central deliverables, such as effort reporting, monthly reconciliations, and grant attestations, are completed in a timely fashion.

We also have a team of four financial coordinators, who work together to manage the daily financial activities of the department’s research portfolio. The primary respon-sibilities of the financial coordinator include processing invoices for research, unrestricted, and gift accounts;

creating purchase requisitions for lab supply purchases or service agreements; and processing reimbursements for faculty and staff who incur out-of-pocket expenses for research activities (such as travel for scientific confer-ences). Financial coordinators monitor open commit-ments on grant accounts, including subcontracts, to make sure that invoices are being received and paid in a timely manner. The financial coordinators are also intimately familiar with the many Columbia University policies that govern our financial transactions, and at-tend training sessions conducted by our central financial offices whenever they are offered. The financial coordi-nators support the clusters as a shared resource, and are able to work across all the grant and gift accounts in the department.

For clusters that have in their research portfolio an institutional training grant, the training grant coordinator is responsible for providing support to all trainees so that they can meet the obligations of the training grant.

IF YOU NEED TO...

SENIOR CLUS-

TER ADMINIS-

TRATOR

FINANCIAL

COORDINATOR

TRAINING

GRANT COOR-

DINATOR

ORDER SUPPLIES ×

SUBMIT A REIMBURSEMENT ×

HIRE STAFF ×

APPOINT A NEW TRAINEE ×

UPDATE MY TRAINING GRANT DATABASE ×

PAY A CONSULTANT ×

SUBMIT A GRANT ×

ASK A QUESTION ABOUT TRAVEL POLICIES ×

Over the past three years, the cluster structure has helped to streamline and con-solidate the administrative support that researchers need in order to be productive and efficient. While each of the five clusters in our department have unique areas of focus and therefore different administrative needs, we have three primary levels of support that are more or less consistent: the senior cluster administrator (SCA), the financial coordinator, and, when applicable, the training grant coordinator.

C L U S T E R A D M I N Q U I C K R E F E R E N C E C H A R T

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The coordinator assists with academic advising and class registration, schedules seminars for trainees and mentors, works with the training grant executive com-mittee on the scientific direction of the training program, assists with recruitment and admissions, and maintains a database for all trainees who receive support from the training grant. The training grant coordinator is fluent in all federal regulations that relate to training grant administration, including policies that govern trainee appointments, publications and the NIH Public Access Policy, and IRB requirements for individual research projects.

While the SCA, financial coordinator, and training grant coordinator have distinct roles to support different func-tions within the cluster, they collaborate on a daily basis to ensure that all of the needs of the cluster members are being met, research grants are meticulously man-aged, and trainees have the tools they need to conduct their studies.

Cluster A

dm

in


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Grants Management

One objective of the cluster structure is to assist investigators in streamlining the process for submit-ting and managing extramurally funded research programs.

Every year, our department submits over 140 research grants (that’s more than 10 every month), and we have an active grant portfolio of close to $20 million. Coordinating the submission process between our department, the Office of Sponsored Projects Admin-istration, and collaborating departments is very time consuming, and the SCAs are standing by to ensure everything goes as smoothly as possible.

There are a number of central Columbia resources available to investigators who are interested in engag-ing in extramural research, and we list some of the most useful links here. There are also a number of important NIH websites that provide basic informa-tion about different funding mechanisms, standard deadlines, and standard application components; you can find those here as well.

Whenever an Epidemiology faculty member, trainee, or officer of research is interested in exploring grant opportunities, the SCA should be the first person to know about it. While a number of grants are very straightforward, like NIH R01s or R21s, there are always lots of moving pieces to a proposal and it is always best to start the process as early as possible. At minimum, your SCA should know about a scheduled grant application 2 months before the scheduled dead-line. SPA requires a draft copy of the proposal with a complete budget and other administrative documents, like biosketches and in-kind letters, 7 business days before the due date.

In addition to the links here, and the lifecycle of a grant visual aid on the next page, we’ve provided some frequently asked questions in the following pages. These questions touch on some of the most common issues that come up during the course of a grant application or a grant’s active life, but they are by no means comprehensive. If you don’t find the answer to your question here, ask your SCA! They see so many different kinds of applications over the course of a year, and as a department we have cre-ated an impressive body of knowledge on all sorts of things that can crop up along the way.

Helpful Columbia Websites

Office of the Executive Vice President for Research evpr.columbia.edu A portal to all of the offices involved in research ad-ministration across the university

Sponsored Projects Administration evpr.columbia.edu/content/sponsored-projects-handbook A starting point for all administrative and financial policies related to extramural funding

Institutional Review Board cumc.columbia.edu/dept/irb Information about the process for submitting and maintaining clearance from the Institutional Review Board for human subjects research

Research Compliance and Training researchcompliance.columbia.edu A one-stop-shop for the many many many compli-ance policies that govern research at Columbia

Sponsored Projects Handbook evpr.columbia.edu/content/sponsored-projects-hand-book?1304525640 A central repository of internal processes involved in the submission, management, and close-out of extramural funding

Institutional Information spa.columbia.edu/proposals/institutional-information A quick run-down on some key identification numbers for the University, and up-to-date information on fringe and IC rates

Helpful NIH Websites

Submitting Your Application grants.nih.gov/grants/submitapplication.htm A step-by-step guide for submitting new and non-competing grant applications to NIH

Standard Due Dates grants.nih.gov/grants/funding/submissionschedule.htm A listing of standard due dates for all parent funding opportunities, including new applications, resubmis-sions, and continuations

Research Project Grant (Parent R01) grants.nih.gov/grants/guide/pa-files/pa-11-260.html The parent RFA for the standard R01 application

NIH Exploratory/Developmental Research Grant Pro-gram (Parent R21) grants.nih.gov/grants/guide/pa-files/pa-11-260.html The parent RFA for the standard R21 application

Grants

JULY 2017 8

MSPH Mailman School of Public HealthNOA Notice of AwardPI Principal InvestigatorPIN Project Information NotificationRASCAL Research Compliance and Administration System

KEY

ARC Accounting & Reporting ColumbiaDA Department AdministratorFSR Financial Status Report HR Human ResourcesIRB Institutional Review Board

RFA Request for Applications SCA Senior Cluster AdministratorSPA Sponsored Projects AdministrationSPF Sponsored Projects Finance

3 MONTHS BEFORE AGENCY DEADLINE

1 MONTH BEFORE AGENCY DEADLINE

7 BUSINESS DAYS BEFORE AGENCY DEADLINE

5 BUSINESS DAYS BEFORE AGENCY DEADLINE

JUST IN TIME

AFTER PI RECEIVES REVIEWERS’ COMMENTS

NOTICE OF AWARD

SAME DAY AS NOTICE OF AWARD

WITHIN 5 BUSINESS DAYS

WITHIN 10 DAYS OF NOTICE OF AWARD

WITHIN 30 DAYS OF NOTICE OF AWARD

MINIMUM OF 6 WEEKS AFTER NOTICE OF AWARD

4 MONTHS PRIOR TO END OF BUDGET PERIOD

2.5 MONTHS PRIOR TO END OF BUDGET PERIOD

2 MONTHS PRIOR TO END OF BUDGET PERIOD

1 DAY AFTER AGENCY AWARDS FUNDS FOR NEW BUDGET PERIOD

SAME DAY AS PIN IS RECEIVED

WITHIN 90 DAYS AFTER THE END OF THE BUDGET PERIOD

1 DAY AFTER AGENCY AWARDS CARRYOVER FUNDS

SAME DAY AS PIN IS RECEIVED

4 MONTHS PRIOR TO END OF PROJECT PERIOD

1 DAY AFER END OF PROJECT PERIOD

WITHIN 90 DAYS AFTER THE END OF THE PROJECT PERIOD

■ PI meets with SCA to review RFA, update application checklist, and develop initial budget

■ PI and SCA meet to finalize budget; SCA develops and compiles biosketches, subcontract proposals, letters of support, in-kind letters, RASCAL approvals, Facilities and Resources, etc; SCA submits Decision Analysis (if applicable) to DA, Department Chair, and MSPH Finance for approval

■ SCA submits a draft of the entire proposal (including a draft of the science) to SPA for review

■ PI finalizes science; SCA submits a final version of the proposal to SPA, including science and addressing all comments from first review; Project Officer in SPA submits proposal to the agency; SCA gives DA a copy of proposal, including RASCAL, salary letters, in-kind letters, budget, Decision Analysis, etc. and provides 2 copies to SPA

■ SCA collects and submits Other Support and Proof of Training in the Protection of Human Subjects to Project Officer; Project Officer in turn submits these materials to Agency.

■ PI submits IRB protocol for review

■ The Notice of Award or signed agreement is sent to Columbia from the agency

■ PI and SCA meet to develop budget based on award; SCA submits budget and IRB to SPA and DA

■ SPA creates ARC project account once a complete packet is received

■ PIN notification is set out to DA; SCA prints PIN report and creates project binder with all relevant documentation

■ DA updates cluster grant spreadsheet and attestation sheet

■ Subcontracts unit sends out partially executed subcontract agreements for all budgeted subawards

■ PI and SCA meet to discuss hiring plan and funding availability; PI discusses space options with department chair; HR Director and SCA work together to prepare paperwork to post positions

■ New project personnel can start work

■ SCA meets with PI to prepare progress report and to spend unobligated balance left on the account

■ SCA submits draft of progress report (not including science) to Project Officer in SPA for review

■ PI finalizes science for progress report; SCA submits final progress report to Project Officer in SPA for review; Project Officer submits progress report to agency; SCA files copy of RASCAL + program report in project binder

■ SCA submits budget for next budget period’s funds to Project Officer in SPA; Project Officer adds funds to ARC project and issues PIN to DA

■ SCA prints copy of PIN report, NOA, and any other new documentation; files in project binder

■ SCA meets with PI to prepare carryover request; carryover request is submitted to agency as soon as possible

■ SCA submits budget for carryover funds to Project Officer in SPA; Project Officer adds funds to ARC project and issues PIN to DA

■ SCA prints copy of PIN report, NOA, and any other new documentation; files in project binder

■ SCA meets with PI to prepare competitive renewal proposal or to request no-cost extension; SCA notifies DA of the renewal or NCE

■ SCA prepares final reconcilliation for SPF; SPF submits FSR to agency and to DA

■ PI submits final invention statement and final report to SCA; SCA ensures that these materials are submitted to the agency, DA, and SPA

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D E TA I L N E X T PA G E →

LIFE CYCLE OF A GRANT

JULY 2017 9

LIFE CYCLE OF A GRANT

DAILY MONTHLY QUARTERLY ANNUALLY

■ Financial coordinator processes all invoices, expense reports, service agreements, purchase orders, etc.

■ Original AP transaction paperwork must be given to DA within 24 hours after it is entered into the financial system. Originals are filed on 15th floor

■ SCA monitors accounts, reconciles expenses, performs cost transfers and clears overdrafts as needed; direct and IC overdrafts are not permitted by CUMC

■ PI provides SCA with spending forecast

■ DA monitors SCA’s files and reviews account reconciliations

■ SCA meets with DA quarterly to update Budget Tool entries for ARC account based on PI’s spending forecast

■ SCA meets with PI quarterly to review and sign grant attestations; SCA gives grant attestations to DA immediately after they are signed; DA keeps original attestations

■ PI certifies effort

■ PI submits performance evaluations for project staff to Department HR

■ SCA and PI prepare progress report for continuation of sponsored project between 3 months and 6 weeks before end of project period

P O S T- A W A R D | M O N T H S 4 – 1 5


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Grants

What are the PI’s responsibilities for financial oversight of grants and contracts?

The University’s Administrative Policy Library includes policies applicable to PIs of sponsored projects. The policy can be accessed at policylibrary.columbia.edu/principal-investigator-responsibilities-financial-oversight-grants-contracts

What materials are needed by SPA and/or the agency for my progress report?

The required documentation for progress reports gen-erally includes (at a minimum) the budget for the next budget period, RASCAL, and scientific report—but the materials required can vary greatly depending on the type of award. Your SCA will be able to determine what is required.

What should I be looking for when I review my grant attestations?

Grant attestations and the backup documentation from ARC (Columbia’s accounting system) are submitted quarterly but should be reviewed monthly by the SCA and the principal investigator to ensure that the expenses incurred are appropriate and directly related to the project account to which they were charged. The Office of the Controller performs regular audits of grant attestations, and as such, it is critical to comply with this process and to review the attestations in a timely manner.

What is the effort reporting process and what do I need to do to certify my effort?

Effort reporting is the federally-mandated process by which the salary charged to a sponsored project is certified as being reasonable in relation to the effort expended on that project. All Officers of Instruction and Officers of Research other than postdocs (“Fac-ulty”) who receive sponsored project funding or apply effort to any sponsored projects are required to certify their own effort annually. Principal investigators are required to certify the effort of postdocs, graduate students and staff funded by their grants. Effort certifi-cation is completed once per year via effortreporting.columbia.edu. After PIs certify, the DA processes all

employees. (Note: effort reporting can be reviewed quarterly, but can only be certified annually.)

What do I do when faculty in another department want to put me on a grant proposal?

If a faculty member in another department wishes to include you in a proposal, please provide his or her administrator with the name and contact information of your SCA. The SCA will coordinate with that depart-ment to secure RASCAL approvals, salary confirma-tions, etc.

How do I know if I have automatic carryover authority?

The Notice of Award or subaward agreement for a sponsored project will generally indicate whether prior authorization is required in order to carry over an un-obligated balance from one budget period to the next. If prior authorization is required, an official request to the agency should be prepared, including a budget for how the carryover funds will be spent as well as a detailed justification.

When are progress reports due on my projects?

For NIH awards, progress reports are generally due 2 months prior to the end of the current budget period. For NIH awards subject to eSNAP (Electronic Stream-lined Noncompeting Award Process), progress reports are due 6 weeks prior to the end of the current budget period. For non-NIH awards, the Notice of Award and/or subaward agreement should provide details, including deadlines, for submitting progress reports.

PIs should confirm due dates at era.nih.gov/commons/quick_queries/index.cfm#progress, which allows you to search progress report deadlines by institution name and then PI and award number:

How soon after the end of a budget period do I need to request carryover?

Carryover should be requested as soon as possible after the Financial Status Report (FSR) is generated by SPF.


KEY




JULY 2017 11


How often do I need to review my salary accounting?

Salary accounting should be reviewed by the SCAs on a daily basis, and updates need to be submitted via PAC. Your SCA will alert you when it is time to review salary accounting in order to plan any adjustments or to find alternative funding sources, should you experi-ence a lapse in salary funding.

How do I ensure that I spend all of my grant funds before the end of the budget period?

You should meet with your SCA regularly to develop and update a plan for spending project funds. All expenses for which current budget period funds are to be used must be reflected in the accounting system well in advance of the end of the budget period in order; therefore, it is critical to provide your SCA with enough time to process purchase orders, invoices, and Travel and Business Expense reimbursements before the end of the budget period.

When can I rebudget grant funds and what is the process for rebudgeting?

Rebudgeting authority varies from project to project. Check with your SCA to inquire about the process for reallocating funds from one expense category into another.

What do I need to do if my NIH proposal exceeds $500K direct costs in any year?

For applications requesting $500,000 or more direct costs for any year, applicants must seek agreement to accept assignment from Institute/Center staff at least 6 weeks prior to the anticipated submission of any application. This policy does not apply to applications submitted in response to RFAs or in response to other Announcements that include specific budgetary limits. Your SCA can assist in drafting a request to go above

the $500K limit. SPA requires that these requests in-clude a detailed budget for the entire project period.

If I serve on an NIH study section do I have the authority to submit proposals after the standard deadlines?

An alternative submission policy is available for cer-tain applications submitted listing as PD/PI individu-als serving as appointed members of NIH chartered standing study sections, NIH Boards of Scientific Counselors, NIH Advisory Boards or Councils, NIH Program Advisory Committees, and/or peer reviewers who have served as regular or temporary members six times in 18 months. This policy applies to R01, R21, and R34 applications that would normally be received on standard application submission dates (not special receipt dates). Your SCA should attach proof of your eligibility for continuous submission to the cover let-ter portion of your proposal.

What if the NIH deadline falls on a holiday or a weekend?

When a standard NIH postmark/submission date falls on a weekend or Federal holiday, the application deadline is automatically extended to the next busi-ness day. If the submission deadline shifts beyond the expiration date of the FOA, applicants submitting electronically may receive a warning message from Grants.gov. This warning will not keep your applica-tion from processing through Grants.gov.

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JULY 2017 12


Financial AdministrationFinance

Columbia’s Financial System

In July of 2012, Columbia undertook a university-wide financial systems transition. The new system consoli-dates what had previously been three separate systems into one — what we now call Accounting and Reporting at Columbia (ARC). While the way a number of transac-tions are processed has changed, the basic principles have not. In this section, we cover five different finan-cial tasks and discuss specifically how those tasks are handled as they related to your sponsored projects and department financial management. The following pages will provide a comprehensive overview of financial processes so that you can have a general sense of what your SCA and financial coordinators do on a daily basis to support your projects.

First, in order to have access to ARC, a user must submit an online application and complete a series of online training courses. The application can be found on the Service Now website (columbia.service-now.com). If you would like your research assistant or project coor-dinator to have access to the financial system to assist in financial transactions related to your projects, please have them reach out to your SCA to start the process.

PIs receive monthly emails with account statements for all of their active projects. While the SCAs are review-ing account statements on a daily basis, this monthly distribution allows PIs to review the previous month’s financial activity independently. The electronic reports replace the hard copy reports that were distributed prior to the financial systems transition, known as “blue books.”

While we do our best to cover as many relevant topics as possible here, Columbia’s Finance website is an exhaustive source of information on how money is spent and managed. Your SCA should always be your first point of contact when you have a question about a specific transaction or activity, but feel free to browse the policies that guide how we handle financial activity.

■ Columbia University Finance Website finance.columbia.edu

■ Procurement Website finance.columbia.edu/procurement

■ Sponsored Projects Finance Website finance.columbia.edu/content/sponsored-projects-finance

Vendor Management

In order to receive a payment of any kind through Columbia’s financial system, an individual or business must be an approved Columbia vendor. This means that, before we can think about processing a payment for a consultant, we need to complete tax documents that can be independently verified by the university.

The process is different for individuals depending on their employment status and citizenship. For Columbia employees, it’s quite straightforward. No tax documents are required because Vendor Management can confirm the information with personnel records. However, an application must still be completed. The application to add a new vendor is available at forms.finance.columbia.edu/vendor-request.

For individuals who are not Columbia employees, a copy of a W9 or W8 tax form is required. W9 forms are required for all U.S. citizens or permanent residents, and include the submission of a social security number. W8 forms are required for all foreign individuals. Note: there is no way to add an individual as a Columbia vendor without one of these documents.

For domestic businesses, ranging from small LLCs to other research universities, a copy of an organizational W9 is required. The W9 should list the legal name of the business, as well as the name under which the business operates (DBA name), and should be signed by the authorized representative. For foreign businesses, a W8 is required.

The process to create a new vendor can take anywhere from a few business days for a university employee to a couple of weeks for a foreign research institution. As soon as you believe you’ll need a new vendor created, please reach out to a financial coordinator to start the process.

Supply Purchases

The university has a master agreement with Staples, which allows us to purchase general supplies at a significant discount. PIs and research staff should never purchase supplies with their personal funds for two reasons: 1) because Columbia is a tax-exempt organiza-tion, we cannot reimburse for sales tax, and 2) not all supplies can be paid for with grant funds and therefore might not qualify for reimbursement. Ordering supplies through Staples ensures that no sales tax is incurred, and all supplies are reviewed prior to purchase to con-firm they are allowable expenses.

When you want to place a supplies order, you can look up the items on the Staples website (staples.com) and send an email with the item, item number, and quantity to your SCA. Be sure to include information about what project should be charged for the purchase.

Purchase Requisitions and Purchase Orders

A number of financial transactions, such as contracting with consultants, paying for services like data analysis, or the purchase of equipment or lab supplies require the use of a purchase order before payment can be sent. At minimum, a purchase order allows Columbia

JULY 2017 13


and the vendor to agree upon a specified price, terms of deliverables, and payment timetable. The purchase order requirements differ depending on the type of ser-vice being contracted, the amount of money allocated, and the risk both to the university and to the vendor, but all purchase orders start with a purchase requisi-tion.

In order to create a purchase order, a financial coordi-nator will start by submitting a purchase requisition in ARC. The requisition will contain the vendor informa-tion, the amount that you will ultimately pay out to the vendor, and the period for which the funds should be committed. This could be very short-term, if you are buying lab supplies, or up to three years if you are hir-ing a consultant.

In order to start the requisition process, you need:

■ An approved Columbia vendor

■ An approved funding source

■ A confirmed dollar amount

The additional requirements are very different for differ-ent types of services. Additional information for consul-tants, services, and equipment is provided below, but this list is not exhaustive and in special cases, addi-tional information or documentation may be required. Because the unique requirements for different purchase order requisitions can vary so significantly, you should start the requisition process as soon as possible. You should not ask your vendor to perform any work until your purchase order has been fully approved. It can take many weeks for the process to be completed.

1. CONSULTANTS

Consultant purchase orders are the most common pur-chase order in the department. We use consultants for a number of very different reasons, and they frequently appear on research proposals.

General consultant work is straightforward. In addition to the minimum requisition requirements listed above, a scope of work which outlines the expectations of the consultancy is required, as is a copy of the consultant’s CV and a list of clients, if applicable. An independent contractor certification form is also required if the con-sultant is an individual and not an organization or an incorporated entity.

■ Scope of Work finance.columbia.edu/content/scope-work-sow

■ Independent Contractor Certification Form finance.columbia.edu/content/independent-contractor-certification-icc

If the work being performed includes human subjects research, data transfer, website development, or any other tasks where sensitive information is involved, a business associates addendum will also be required. The business associated addendum carries the ad-ditional requirement of limited liability insurance, so if you believe that your consultant scope of work might require the completion of this form, you should discuss this with your vendor as early as possible.

■ Business Associates Addendum finance.columbia.edu/content/business-associate-addendum

If the total dollar amount of the proposed scope of work exceeds $25,000, a single source justification is also required. This applies both to individuals and organizations being contracted as consultants. You can work with your SCA on preparing just a justification if necessary.

2. SERVICES

Researchers contract with other research institutions on a frequent basis for specific tasks that we either don’t have the capacity to do here at Columbia, or would be best handled by an outside group with established expertise. Services like assay analysis, blood collection and testing, large-scale data analysis are among the many that Epidemiology faculty members contract out to third parties.

In place of the consultant scope of work, a service agreement is required for such purchase orders. Colum-bia has an approved service agreement template that can be filled out, along with a supplementary document regarding the specific scope of the work, and submitted along with the purchase requisition. The service agree-ment template fully addresses all of Columbia’s internal policies, and is the most straightforward document to use in such cases.

■ Service Provider Agreement finance.columbia.edu/content/service-provider-agreement-consultants

If you have selected your preferred vendor without soliciting quotes from other vendors, you will also need to submit a single source justification to explain why this vendor is being used.

In many instances, the vendor will have their own pre-ferred service agreement document that they will insist upon using. We cannot agree to use non-Columbia agreements unless they have been thoroughly vetted by the Purchasing department. If the vendor insists that their own agreement is used, the timeline for approving the purchase order will be extended and there will likely be negotiation between Columbia and the vendor.

(CONTINUED FROM P. 12)Finance

JULY 2017 14


Financial Administration

3. EQUIPMENT AND LAB SUPPLIES

Equipment and lap supply purchase orders are certainly the most straightforward. All we need in addition to the vendor profile, funding source, and dollar amount is an official quote from the vendor with the dollar amount and “bill to” address clearly reflected.

The only time when additional approvals are required is when we are purchasing capital equipment or when the product requires approval from the Environmental Health and Safety Office. These are rare occurrences.

Payments

Once the W9 form has been sent in, the vendor has been approved, and the purchase order has finally been processed, the last step in the procurement cycle is pay-ment. Like everything else in the financial system, there are a number of different types of payments, and we run through the main categories here.

Every financial transaction that is passed off to the finan-cial coordinators for processing should be accompanied by the financial transaction face page. If the face page or supporting documentation is not complete, the request will be returned to the requestor until all the necessary information/details are available.

1. INVOICES

Invoices are the most straightforward payments. We re-ceive an invoice for a Poland Spring order, or Sprint cell phone service, and that invoice is entered directly into the financial system without any additional supporting documentation using just the vendor name, amount due, and invoice number listed on the invoice we receive.

Most of the invoices we receive are submitted to ARC without a purchase order. When we do have a purchase order, for a consultant invoice or a lab supplies invoice from Fisher Scientific (for example), the invoice is entered in the same way, but must also reference the purchase order.

2. REIMBURSEMENTS

Reimbursements are the second most frequently used payment type. We reimburse employees for business related expenses and travel, and we also reimburse non-employees for a variety of reasons. The documents re-quired for employee vs. non-employee reimbursements differ slightly, but the guiding principles are the same.

A comprehensive overview of reimbursements is in-cluded in the next section of this guide.

Other Finance Topics

Petty Cash

If a researcher is working with participants in order to collect data for a study, petty cash is one way to compensate those participants for their time and travel in support of the study aims. Because having a large amount of cash on hand is a liability for the university, there are a number of policies that regulate both the creation of a petty cash account and the management of the funds once they are available.

The website below provides information on how to open and manage a petty cash fund. We are generally restricted to $2,500 per petty cash account, and the petty cash custodian (the person responsible for reconciling the account, keeping receipts and cash, and submitting replenishments) must be a full-time Columbia employee.

■ finance.columbia.edu/content/opening-petty-cash-account

If you wish to open a petty cash account to support your research activities, please reach out to your SCA.

Business Travel

Columbia has preferred travel agencies who can book travel expenses directly for faculty and staff who are traveling to other destinations, or visiting faculty/staff who are coming to New York, so that individuals do not have to pay out of pocket for travel expenses. JourneyCorp is Epidemiology’s preferred agency, and all of the SCAs have the contact infor-mation for JourneyCorp’s travel reps.

If you are planning a trip to a conference or to meet with collaborators, you can reach out to JourneyCorp directly, always copying your SCA, and request assistance with travel arrangements. Once the traveler has approved the itinerary, JourneyCorp will send an email to the Department Administrator requesting final approval to issue the ticket.

Business and first class travel is not permitted on spon-sored projects, and whenever possible US airlines or code-share airlines should be used to ensure compliance with the Fly America Act.

Purchasing Card Program

We have several university purchasing cards, or p-cards, that are available for use for small purchases and expenses like conference registration. Each cluster administrator has a p-card, and other administrative staff in the department also have access to a card. If you wish to purchase some-thing that you think might be paid most easily via a p-card, reach out to your SCA to explore your options.

Please keep in mind that P-cards cannot be used for travel expenses, food purchases, and a number of other restricted commodities.

Finance

JULY 2017 15


Reimbursements

Travel and Business Expenses

“The University Reimburses travelers for necessary and reasonable business expenses incurred while traveling. These expenses must conform to federal and state law and the restrictions placed upon sponsored projects”.

We have created a menu of financial transaction cover sheets, which should accompany every single reim-bursement request that is dropped off to your SCA for processing. This cover sheet, when completed, provides key information which is not requested on the various financial forms, and allows us to save time if any ad-ditional information is required.

When submitting a travel or business expense report (TBER), the cover sheet and TBER form should be completed and all supporting documentation such as receipts or conference agendas should be attached. Expenses should be listed on the TBER form in chrono-logical order with a comprehensive description, and receipts should be taped to blank paper, organized in chronological order and labeled by expense number, so that the report is easy to review and reconcile. An ex-ample is provided as Figure 1 at the end of this section.

Itemized, original receipts are required for all expense reimbursement requests, and copies of the transaction on a credit/debit card statement are also required if the payments are not made with cash. If an itemized receipt cannot be provided, supplemental approval must be requested from MSPH Finance and reimbursement is not guaranteed.

Please be sure to sign and date the TBER form before dropping it off, and keep a scanned copy of the com-pleted TBER request for your own records.

The original TBER and supporting documentation should be left with your SCA, who will perform a quick review and confirm funding support before passing the reimbursement on to the financial coordinators for processing. If any additional documentation or informa-tion is requested, the financial coordinator will follow up with the individual seeking reimbursement (payee) directly. If additional material is requested and not pro-vided within 10 business days, the reimbursement will be returned to the payee.

Business Purpose

All financial transactions require a business purpose. For a reimbursement, the business purpose could be as simple as “travel to attend annual APHA conference in San Diego, June 1 – 6.” For an invoice, the business purpose could be “shipping of assays to lab in Seattle.” The more details, the better. If a transaction is submit-ted without a business purpose, it will be returned until one is provided.

Meals

In order to be compliant with University rules, the traveler cannot exceed the following pre-tax, pre-tip thresholds:

■ $25 Breakfast

■ $35 Lunch

■ $50 Dinner

Alcohol

Alcohol is an allowable expense that can only be charged to an individual faculty discretionary account. Alcohol cannot under any circumstances be charged to grants. Alcohol consumed on its own, without a meal, is not reimbursable.

Gratuities

The University will reimburse gratuities up to a maxi-mum of 20% of the pre-tax cost when reasonable (i.e., restaurants, ground transportation, bellhops). Any gratuities above that will not be reimbursed.

Travel Arrangements

The traveler must obtain approval from the PI prior to making travel arrangements. It is preferred that the traveler book airfare and hotels through the depart-ment-approved travel agent, JourneyCorp. If arranged independently, the traveler is responsible for booking at the lowest price and using economy/coach fare, particularly important when the trip will be charged to a government sponsored grant.

Fly America Act

In order to comply with restrictions on government sponsored grants, it is required that travelers fly on a US owned airline. Exceptions to this requirement are listed at campustravel.com/university/Columbia.

Reim

bursem

ents

JULY 2017 16


PI Approval

If the traveler is not the sponsored project PI, he/she must obtain the PI’s written approval that their reim-bursement is allowable. PIs can provide approval by signing the TBER as the “expense report validator” or sending confirmation via email, which will then be attached to the TBER as part of the supporting docu-mentation.

The University will typically not reimburse the cost of expenses that fall outside of the time frame shown on the event attended.

This includes costs of lodging, local transportation, meals and change of airfare beyond the minimum days required for business purpose. If the traveler knows in advance that they want to stay extra days, then he or she must first obtain approval for the exception request and must provide a comparison quote.

Reimbursement Submission Time Limit

The University requires that travel reimbursements are submitted within 10 days of the trip and no later than 120 days after the date of expenditure. Late submis-sions outside of the 120 days will not be processed for reimbursement unless the traveler can provide docu-mentation proving extenuating circumstances leading to the late submission of the expense. Frequent travel is not an adequate justification.

Non-reimbursable Expenses

Here is a brief list of frequently requested non-reim-bursable expenses. If you have a question regarding the allowability of an expense not listed here, please reach out to the financial coordinators to confirm before making any payments.

■ Airline/VIP club membership dues or 1-day admission fees

■ Air phone usage

■ Babysitting

■ Barbers and hairdressers

■ Clothing or toiletry items

■ More than 3 personal calls

■ Excess baggage cost related to personal property

■ Expenses related to vacation or personal days taken before, during, or after a business trip

■ Frequent flyer miles

■ Helicopter services for local travel/entertainment

■ Laundry or cleaning expenses on trips lasting 5 days or less, unless emergency circumstances are documented.

■ Mini-bar alcoholic refreshments

■ Movies

■ “No show” charges for hotel or car service

■ Recreational expenses

■ Saunas, massages, spa visits

■ Souvenirs or personal gifts

■ Snacks

Reim

bursem

ents


Figure 1. Sample expenses as listed on the TBER form.

JULY 2017 17

TBER SUBMISSION

PROCESS

KEY

ARC Accounting & Reporting Columbia FC Financial CoordinatorSCA Senior Cluster AdministratorTBER Travel & Business Expense Report

FINANCIAL COORDINATOR LOCATION

722 W. 168th Street, 15th Floor Room 1513

SCA MANAGER LOCATIONS

Mirtha – 722 W. 168th Street, Room 1506 Dilenny – 722 W. 168th Street, Room 1503

Alexa – 722 W. 168th Street, Room 1505

*After TBER is correctly submitted to FC, please allow 2–3 weeks for check to arrive.

R e q u e s t o r s u b m i t s T B E R t o S C A

TBER submission instructions

S C A r e v i e w s T B E R s u b m i s s i o n

R e q u e s t o r p i c k s u p T B E R , m a k e s a l l c o r r e c t i o n s , r e s u b m i t s t o F C

S C A s u b m i t s T B E R t o F C f o r r e v i e w

S C A r e t u r n s T B E R t o r e q u e s t o r

F C r e t u r n s T B E R t o r e q u e s t o r

T B E R p r o c e s s e d i n A R C , s u b m i t t e d

f o r a p p r o v a l

*Please make a copy of TBER for your records before

submitting to SCA.

S U B M I S S I O N N OT

C O M P L E T E

S U B M I S S I O N N OT

C O M P L E T E

S U B M I S S I O N C O M P L E T E

S U B M I S S I O N C O M P L E T E

JULY 2017 18


Day to Day OperationsOp

erations Office supplies

Office supplies should be purchased through your SCA or Financial Coordinator. See details on page 12.

Requesting meeting space, audiovisual equip-ment, chairs, and refreshments

To request the use of a conference room, complete a conference room request form (Appendix B) and email it to Senior Clerk Anthony Diaz at [email protected]. Use this form to provide requirements and special instructions for A/V, chair set up, and whether food will be served.

The Department of Epidemiology currently maintains 3 conference spaces: 15th floor (Room 1514); 8th floor (Room 812A); and the 7th floor (Room 739A). If none of our rooms are available, Anthony will reach out to other departments to find space for you.

In Anthony’s absence, meeting requests should be directed to Ebony King at [email protected].

Meeting space should be requested with reasonable advance notice, with the understanding that some loca-tions (particularly large ones) are reserved for classes. Last minute requests for space can be difficult to accom-modate. This is also true for A/V equipment and chairs.

Ordering refreshments for meetings

Refreshments should be ordered by the individual unit. Before placing any food order, be sure to get pre-approval from your SCA. You should note on the conference room request form that you plan to provide refreshments; this way core staff can ensure that the room reserved for you allows food, and can be available to assist with set up and clean up as needed. Prompt clean up is essential, as rooms may be booked for other events immediately afterward.

IF YOU NEED TO...OPERATIONS

MANAGERSENIOR CLERK

SENIOR CLUS-

TER ADMINIS-

TRATOR

REPORT A BROKEN OR JAMMED COPIER ×ADDRESS FACILITIES ISSUES (LIGHTING, SHELVING, CLEAN-

ING, ETC.) ×

REQUEST TELEPHONE REPAIR ×

MAKE ARRANGEMENTS FOR A PLANNED OFFICE MOVE ×

RESERVE MEETING SPACE AND A/V EQUIPMENT ×

ASK A QUESTION ABOUT MAIL DELIVERY ×

SEND A MASS MAILING ×

PURCHASE OFFICE SUPPLIES OR EQUIPMENT ×

Keeping our Department’s physical space and major equipment running smoothly is no small task. Epidemiology is fortunate to have an outstanding operations team dedicated to providing seamless support to our faculty, staff, and students. The pointers on these pages should cover the majority of common issues and let you know where to turn when you need assistance.

O P E R AT I O N S Q U I C K R E F E R E N C E C H A R T

JULY 2017 19


The Department has accounts with the following establishments:

■ X-Caffe

■ Empire Szechuan

■ Carrot Top

■ Famiglia Pizza

■ Mike’s Bagels

■ Tasty Deli

■ Dinosaur BBQ

■ Strokos

■ JouJou Cafe

A credit card or other method of payment can be used for the following establishments:

■ El Presidente

■ PiePie Pizza

■ Coogans

■ Kismat

■ Heights Tavern

■ Cafe Metro

Each of these restaurants has its own preferred method for processing orders. Special Projects Coor-dinator Mr. Gerald Govia can provide guidance as to how best to work with a given establishment. Gerald can be reached at [email protected] or 212-342-4542.

Large copy jobs

Routine small copying must be performed by the staff of the individual cluster. To obtain a code for the copier nearest you, please see Ebony King (Room 1502). Anthony Diaz on the 7th floor and Ebony on the 15th floor are available to assist with large copy jobs. Ample notice and clear instructions should be submit-ted in writing whenever possible.

Scanning documents

Scanners are located on the 7th, 8th, and 15th floors. Each floor is equipped with a dual-functioning copier that has the ability to scan directly to email and Ac-counts Payable. See Anthony Diaz or Ebony King for assistance.

Especially large scan jobs can be provided by outside vendors (see CU Preferred Vendors procurement.columbia.edu/purchasing/pv_list.html).

Sending/receiving letters and packages

Only business mail can be processed in the Epidemiol-ogy mail room. No personal mail or packages may be accepted.

Domestic USPS mail that requires postage can be left in the 7th floor mailroom (740). Be sure to include your four-digit postage code in the top right hand corner and it will be mailed. (Have your SCA contact Ebony for the appropriate four-digit code). Mass mailings (50+) will be stamped but the requesting unit is responsible for getting them to the mail slot. See Anthony Diaz for ques-tions regarding bulk mailing.

Per recent federal law, any item over 13 ounces must be brought to the local post office.

International USPS mail has the same instructions as domestic.

Fed Ex domestic and International air bills are avail-able on the 7th floor from Anthony. Please be sure to reference your Project number on the air bill for billing purposes, and give the original receipt to your SCA.

Internal (Epi Department) interoffice mail is picked up and delivered daily for 722.

A mailbox will be assigned to you and labeled with your name or the name of your group for the receipt of your incoming mail on your respective floor.

General maintenance requests/complaints

Contact Ebony King via e-mail or phone to make a report or request regarding heating/cooling, power, broken items, signage, keys/locks, leaks, add-ons, trash/recycling, paint, hanging boards/art, shelving installation, routine cleaning, lighting, pest control, furniture replacement/removal, noise complaints, carpet shampoo, telephone etc. Ebony will arrange service from the appropriate facilities staff. If you experience delays in response to the problem, please get back to Ebony directly so she can intervene. Some Facilities related requests will require SCA approval/project info.

New or changed office space and coordination of office moves

All space requests should be supbmitted to Department Chair directly. Ebony King will coordinate all approved office assignments and moves.

(CONTINUED FROM P. 18)Op

erations

JULY 2017 20



Recycling

Each office is equipped with a blue container for re-cycling paper. These should be emptied into the large blue recycling receptacles on each floor. Shredded paper must be bagged. Cardboard boxes should be placed NEXT to the receptacle.

Each floor also has a large blue receptacle designated for recycling glass, metal and plastic.

Using your phone

Visit the CUMC Telecommunication website: cumc.co-lumbia.edu/it/phone for a comprehensive explanation of telephone features, charges, and instructions.

If you need to place long distance calls (US domes-tic, tri-state, international, or Caribbean), please see Ebony King to have an authorization code assigned to you. Telephone billing is managed through our Finance team and questions re: billing should be directed to Ebony.

Telephone repairs/changes/installations/discon-nections/assistance

Requests may be sent via e-mail to Ebony King. Tele-communications requests have a standard turnaround time of up to two weeks with some exceptions.

Shredding unwanted material

There is a small office shredder located in the lobby of the 15th floor for documents of 15 pages or less. There is a more industrial sized shredder in Room 740 for medium shredding tasks. The department also has a secure locked bin on the 7th floor for insertion of materials needing to be shredded. We recommend using the secure shredder bin for all large shredding jobs, as well as for the destruction of CDs, thumb drives, old video cassettes, etc. An outside contractor collects material from the bins once monthly.

Op

erations

JULY 2017 21


Information TechnologyIT Supp

ort

MSPH & CUMC has centralized IT service and all computer questions and problems should first be directed to [email protected] so that one of the IT technicians can assist you. Please be sure to include your location, issue, software needs, and the best time you can be contacted to resolve your support needs. If you are unable to email the ticketing mechanism, please call 212-305-4357 option 5 for telephone support or creation of a ticket on your behalf.

What happens when you call 5-help? The 5-help service representative creates a ticket through a system called ServiceNow, and attempts to resolve the problem on the spot. If they resolve it, the ticket is recorded and closed. If they can’t resolve the problem remotely, the ServiceNow ticket is routed to the MSPH IT service bucket.

Requesting a domain account

In order to access the secure O- or P-drives on the CUMC server, users must have a domain account. Domain accounts are also necessary for anyone who needs to use Outlook Exchange for the email. Contact Ebony King with the UNI, name and location of the new user and a request will be submitted for an ac-count. If specific drives (O/P) need to be accessed, please submit a ticket to [email protected] with the path name.

IF YOU NEED TO... CONTACT 5-HELP CONTACT YOUR SCA

REPORT AN EMAIL, VIRUS, SOFTWARE, OR HARDWARE PROBLEM ×

REQUEST A TEMPORARY EXPANSION OF YOUR EMAIL QUOTA ×

REQUEST ENCRYPTION FOR ONE OR MORE COMPUTERS ×

RESET YOUR PASSWORD FOR YOUR UNI OR DOMAIN ACCOUNT ×

LEARN ABOUT CURRENT SYSTEM OUTAGES OR DELAYS ×

ARRANGE TO HAVE YOUR COMPUTER MAPPED TO A LOCAL PRINTER ×

REQUEST A DOMAIN ACCOUNT ×

REQUEST AN EXCHANGE ACCOUNT ×

REQUEST O OR P DRIVE ACCESS ×

PURCHASE HARDWARE OR SOFTWARE ×

GET ADVICE FOR HARDWARE SPECIFICATIONS ×

Information Technology policy, oversight, and support on the CUMC campus is provided by the CUMC and Mailman School IT offices and their associated technical support teams.

I T Q U I C K R E F E R E N C E C H A R T

JULY 2017 22


(CONTINUED FROM P. 21)IT Supp

ort

Security protocols and protecting your data

CUMC has implemented a strict security protocol for endpoint encryption. This means that we are required to ensure that the following are encrypted:

■ All laptops and desktops that access Protected Health Information (PHI) or Personally Identifiable Information (PII)

■ Smartphones that access CU email or PHI or PII

■ Privately owned desktops and laptops that access PHI or PII

The safest place for the storage of sensitive data (PHI or PII) is on the O- and P-drives, which are managed through CUMC IT.

All faculty and staff members should back up their files at last once weekly. Catastrophic disk failures or encryption corruption happen all too frequently, and the only way to be safe is via regular backups.

Acquiring new hardware and software

If you need to purchase a new computer, printer, or related equipment, this becomes a financial transac-tion, and as such must involve your cluster’s SCA. Please complete the Hardware Request Form (Ap-pendix C) and send it to your SCA for approval. Your SCA will confirm available funding and forward the approved request to Ebony King to place the appro-priate order and work with the IT Support Specialist to install as needed.

Software requests are handled in the same fashion — the requestor should compete a Software Request Form (Appendix D) and submit it to his/her SCA for approval, who will confirm funding and forward to Ebony King at [email protected].

Bulk software orders

The Department places a number of bulk software or-ders for our faculty and staff. The largest of these are our SAS and SPSS orders, which are placed in early fall. Faculty and staff will be notified via email well in advance about signing up for bulk orders.

JULY 2017 23


Human ResourcesHR The Director for Human Resources and Faculty Affairs has primary responsibil-

ity for all human resources functions. However, particularly when we bring new people into the department as employees or visitors, other members of the Chair’s Office team play critical roles. SCAs must always confirm funding for any new hire or salary increase. The Operations Manager must be notified to assign office space and phone number, and the IT Support Specialist must ensure that a computer is set up, encrypted, and has Internet access. In almost all cases, it is wise to contact your SCA as a first step in undertaking HR actions.

H I R I N G S TA F F : T H E 1 0 B A S I C S T E P S

1 Principal Investigator/Supervisor checks in with the Department Chair to confirm the availability of space for new hire. Department Chair alerts Opera-tions Manager to plan for space.

2 Principal Investigator/Supervisor meets with SCA and completes Hiring Form (Appendix E), providing information about proposed job title, position type, salary, space, and funding.

3 SCA signs off to confirm funding, enters grant and project numbers, appends ARC statement and forwards Hiring Form to Director of HR.

4 Director of HR iterates with PI/SCA to develop job description and enters it in JAC. Director of HR prepares hiring documentation for DA signature and MSPH HR and Salary Review approval.

5 Director of HR provides guest access to JAC sys-tem to allow PI/Supervisor to review applicants.

6 PI/Supervisor reviews applicants, arranges and documents interviews, identifies selectee, and notifies SCA and Director of HR.

7 SCA works with IT Support to specify hardware and software purchases as needed.

8 Director of HR collects interview documentation and selectee information, reconfirms salary and start date, and submits selectee to MSPH HR for approval.

9 Once the selectee is approved, Director of HR sends formal offer letter and arranges with selectee to complete HR paperwork and schedule orientation.

10 Director of HR emails Operations Manager and IT support to alert them of imminent hire. Operations Manager and IT Support finalize arrangements for office space, telephone, domain and Exchange ac-counts, and hardware/software.

JULY 2017 24


HR


Hiring casual employees

Casual employees are paid hourly. They are part-time, non-salaried employees, and are not eligible for benefits.

The scope of work for casuals includes clerical and re-search duties only. Casual employees are not eligible for benefits. Casuals can work up to 40 hours weekly at a regular hourly rate. Excess of 40 hours must be paid to the casual at 1.5x the hourly rate. Casual em-ployees who are NOT Columbia University students must pass a drug screening and background check to be hired.

Casual employees who are not Columbia University students may only work a maximum of four months or 560 hours, whichever comes first.

If you need to hire a casual employee, please notify your SCA at least 4 weeks prior to arrival. It is very important that you notify the SCA as far in advance as you can.

Hiring support staff

Supporting Staff Association (SSA) employees are regular, salaried employees of the University. SSA employees working at least 20 hours weekly are en-titled to benefits. Their scope of work includes clerical and research duties. These employees are members of the 1199 United Healthcare Workers East union, and many of the conditions of their employment are governed by the Collective Bargaining Agreement between 1199 and Columbia. SSA employees are paid bi-weekly and must submit bi-weekly timesheets. They are also eligible for 1.5x overtime pay if their work week exceeds 35 hours. The salary grades for SSA employees are fixed. Policies concerning raises, performance evaluations, and disciplinary procedures for SSA employees differ from other employment categories, per the negotiations of the Collective Bar-gaining Agreement.

Hiring Officers of Administration

Officers of Administration are regular, salaried employees of the University. Officers working at least 20 hours weekly are entitled to benefits. Their scope of work may include administrative assistance and management, supervision of other employees, financial oversight, and other duties requiring inde-pendent judgment. Officers are paid semi-monthly, and their starting salaries fall into a range based on pre-determined job grades that are commensurate

with the employee’s experience. Officers do not sub-mit timesheets; their attendance is instead recorded through monthly vacation accrual reports. Please note that new Officer of Administration hires, promotions, and increases all require multiple levels of review and approval both within and outside the Department.

If you need to hire an SSA or Officer of Administra-tion, please notify your SCA at least six weeks before you would like the employee to begin working. It is very important that you notify your SCA as far in advance as you can.

Hiring interns or research volunteers

Although interns and research volunteers are unpaid, it is essential that the Department be aware of any plans to bring them to Columbia regardless of the duration of their stay. Please notify your SCA of your intention to hire interns at least 4 weeks before the intern is to begin working.

Salary increases and promotions

If a supervisor is interested in securing a promotion or salary increase for a staff member, the SCA should be consulted first to confirm available funding before the PI notifies the Director of Human Resources. The Di-rector of HR will work with the supervisor to develop the necessary documentation, which will be subject to approval from the Chair, MSPH HR, and CUMC HR.

Tracking staff attendance and vacation time

Casual and SSA employees must submit bi-weekly timesheets. Timesheets are to be signed by the em-ployee’s direct supervisor. Employees deliver signed timesheets to Director of HRby 5:00 pm every other Wednesday.

Officers of Administration submit monthly vacation accrual forms. These forms record all vacation, per-sonal, and sick days taken each month. Accrual forms are to be signed by the employee’s direct supervisor. Employees deliver signed forms to Director of HR by the first working day of every month.

SSA employees and Officers of Administration wish-ing to take vacation must submit a departmental vaca-tion request to their supervisor at least one month prior to the beginning of the requested vacation period.

JULY 2017 25


HR


Evaluating employees’ progress and development

All Officers of Administration must be given a yearly performance appraisal. The Department asks all su-pervisors to conduct these during the months of Feb-ruary and March. Principal investigators evaluate each staff member’s performance and identify goals for the coming year, and each employee is able to review the evaluation before it is given to the Department. An-nual salary increases are dependent on performance evaluations being completed by the Department and Mailman School’s deadlines.

SSA employees must receive a one-time probationary performance review at the end of their third month of employment.

JULY 2017 26


Visiting Faculty and ScholarsVisito

rs

STEP 1: Chair’s office approval

The sponsoring faculty member should email the Chair about the proposed visitor at least 4 months in advance of the planned arrival date. All visitors to the Depart-ment in any capacity must be approved by the Chair’s office. Approval is contingent on the following criteria:

■ there is a sponsoring faculty member who wishes to invite the visitor and who feels that the visitor will add to the intellectual life of the Department

■ the visitor is a ‘fit’ with the Department’s strategic mission.

■ the visitor is committed to participating in the life of the Department and will attend Department seminars, CUEGRs and so forth

■ if the visitor is to be compensated, extramurally derived funds have been designated for that purpose

■ we have adequate office space to host our visitors

STEP 2: Title and visa

Once approval from the Chair has been secured, the SCA from the sponsoring faculty member’s cluster should contact the Director for HR/Faculty Affairs. She will evaluate the purpose of the visit, the funding source, and the CV to determine whether a visitor will require a formal faculty appointment, volunteer status, a visa, or other special considerations. She will guide both the sponsoring faculty member and the visitor through the visa/appointment process, manage the on-boarding process, and create a UNI.

If a visa is needed

Scholars who are visiting the US for a month or less generally will not require a special visa to spend time at Columbia, as long as they are not receiving compensa-tion. Scholars who are visiting the US for longer than a month are most often sponsored under a J-1 visa. The J-1 visa process takes a minimum of two months, often longer. Prospective visitors should work closely with the Director of HR to complete the necessary forms and secure the required documentation, in order to assure

the smoothest and speediest process.

Title

Scholars who are visiting briefly may not need to be appointed formally. The Director of HR will determine whether a formal designation is necessary, or if the visitor can simply be documented a volunteer. Postdoc visitors who are staying for a longer period can be ap-pointed either as Postdoctoral Research Fellows, which indicates that they are supported by fellowship funds through Columbia or another institution, or as Postdoc-toral Research Scientists, which indicates that they are supported through research grants or are working on a zero-salary basis. Visitors without a doctorate may be appointed into a Staff Associate position, which would be supported through research grants or, in some cases be zero-salary.

STEP 3: Compensation, health insurance, and housing

These concerns generally apply to longer-term visitors who are formally appointed.

Stipend or salary

1. Postdoctoral Research Fellows who are funded via NIH training grants will receive a stipend, to be paid monthly

2. Postdoctoral Research Fellows funded through an in-stitution outside of Columbia will need to document the availability of funds before they are approved for a visit. The Department of Epidemiology will have no involve-ment with salaries or stipends for these visitors.

3. Postdoctoral Research Scientists who are funded via research grants in the Department of Epidemiology will be paid via regular twice-monthly payroll.

Health insurance considerations

Visiting scholars on a J-1 visa are required to demon-strate that they will have health coverage during their time in the US.

Research scholars who join the Department from outside the US often have a range of special requirements, including visa, insurance, and housing. The following detailed steps are designed to guide the sponsoring faculty member(s), the Senior Cluster Administrator (SCA), and the prospective visitor through the process. Re-gardless of length of stay, all visitors who will be spending time in the Department must be registered with Human Resources, per University policy.

JULY 2017 27


Visito

rs


Scholars who are appointed as Postdoctoral Research Fellows and paid via stipend are eligible to enroll in a university health care plan, although at a higher rate than employees. For more information on the health-care plan options and the monthly costs, please visit the Human Resources benefits page for Postdoctoral Fellows hr.columbia.edu/benefits/postdocs. Postdoc-toral Fellows on a stipend are also eligible to enroll in the Medical Center’s Student Health Services’ Aetna Health Plan. This is a lower cost, but less robust option.

A Postdoctoral Research Scientist who is full-time as an employee has fringe benefit costs charged to his/her salary and is able to choose from among various healthcare plans offered to all other employees at the University. For more information about the various healthcare plans and the monthly pre-tax contribution costs for medical coverage, please visit the Human Resources website and review the “Benefits Highlights” at hr.columbia.edu/benefits.

Postdoctoral Research Scientists who are not full time employees are not eligible for either student or employee health coverage. They must arrange for their own health insurance prior to beginning their appoint-ment at Columbia. This also applies to visitors who hold less than full-time staff titles.

Housing

Visitors are responsible for identifying and funding their own housing. Sponsoring faculty members should inform prospective visitors that housing options at Columbia are extremely limited and that NYC housing in general tends to be very expensive. Listed below are a number of housing resources that visitors are encour-aged to explore.

Columbia housing resources:

■ The Office of Postdoctoral Affairs website postdocs.columbia.edu provides information about applying for the limited Columbia apartments available to postdocs, as well as advice and support for the process of identifying off-campus rentals.

■ Just down the street from Mailman at 50 Haven Avenue is Bard Hall, which can accommodate a limited number of visitors to the CUMC for short-term stays. Call to inquire about availability and rates: 212-304-7000.

■ The University hosts a subletting site for on- and off-campus apartments. columbia.edu/cu/ire/sublease/subregistry.html

■ The Columbia Office of Work-Life offers guidance in finding a range of temporary housing options. worklife.columbia.edu/housing-relocation

■ The Columbia Office of Postdoctoral Affairs also offers guidance, specifically to postdoctoral research fellows and scientists. Notably, there is a limited amount of on-campus housing at CUMC available via a monthly lottery. postdocs.columbia.edu/housing.html

Other housing resources:

■ The Morningside Inn at 235 West 107th Street offers hotel accommodations for visitors starting at $75/night. morningsideinn-ny.com

■ International House provides housing for international scholars visiting NYC. ihouse-nyc.org

■ Sabbatical Homes connects faculty from around the world who are looking for rentals and home exchanges. sabbaticalhomes.com

STEP 4: Office space, computer, and phone

Once there is an estimated date for the visitor’s arrival, the SCA should coordinate with the Program Man-ager for Operations, Ebony King with regard to space, equipment and telecommunications. Ebony will make every effort to place the visitor near his/her planned collaborator(s), but this may not always be possible. If an additional phone line is needed for the visitor, Ebony will make arrangements once a funding source has been identified.

The SCA should also work with the Epidemiology IT Support Specialist to assure that the visitor will have a computer, printer, and internet access. The IT Sup-port Specialist can facilitate hardware and software purchases as needed once a funding source has been supplied by the SCA. The IT Support Specialist can also assist with setting up a personal laptop as needed.

STEP 5: Final arrangements

As soon as possible after arriving in the U.S., the visi-tor should meet with the Director for HR and Faculty Affairs, who will assist in completing final visa and appointment paperwork.

Special notes about accompanying family members

Spouse and children may join the visitor via the J-2 visa, which should be processed simultaneously with the J-1.

The Columbia University Office of Work/Life website worklife.columbia.edu has useful information about identifying schools and childcare.

JULY 2017 28


COMMUNICATION TOOLS: HOW TO USE THEM

1 MSPH calendar

To enter the event, visit mailman.columbia.edu/events. Click “submit your event” beneath the event category options, and then follow the steps to submit your event. A notice will be sent to the Epidemiology Calendar Administrator, who will approve your event to go live on: A, The MSPH main events page, and B, the “more to explore” section near the bottom of the Depart-ment of Epidemiology’s pages.

2 Department and cluster listservs

The Department listservs (faculty, staff, and students) are typi-cally used only for CUEGRS, Department seminars, special lectures, Department meetings and social events. To send announcements via the Department listservs, contact Gerald Govia at [email protected]. To send an announce-ment within your own cluster, please contact Cecilia Vasquez at [email protected].

3 Facebook and Twitter

To include your event on the Epidemiology Facebook page facebook.com/cuepidemiology and Twitter page twitter.com/cuepidemiology, email Gerald Govia and Kathryn Gerlach with the details, including the name of the event, speaker, descrip-tion, time, date, and place. Remember that tweets are limited to 140 characters!

4 Week N

Week N is the Department Chair’s weekly email to faculty, students and staff. If you would like to have the Department Chair include your event in the Week N, please contact Gerald to coordinate.

The Department of Epidemiology sponsors a large number of events, including sympo-sia, grand rounds, seminars, special lectures, training and cluster seminars, and social gatherings.

This guide will help us to assure that relevant audiences are aware of events, providing an overview of the tools available to us, helpful instructions about how to use them, and a chart indi-cating which tools are appropriate for specific events.

MSPH MAIN EVENTS PAGE

“MORE TO EXPLORE” SECTION

A

B

Event Promotion Guide

For consultation about promoting

special events or initiatives, please

contact Gerald Govia (gg2431@

cumc.columbia.edu)

JULY 2017 29


DIGITAL SIGNAGE EXAMPLED

EVENT TYPEMSPH

CALENDAR

DEPARTMENT

LISTSERV

DIGITAL SIG-

NAGEFACEBOOK / TWITTER WEEK N

CLUSTER

LISTSERV

CUEGRS × × × × ×

SPECIAL LECTURES × × × × ×

DEPARTMENT SEMINARS × × × × ×TRAINING SEMINARS

(E.G PET) ×

CLUSTER SEMINARS × × × ×

SOCIAL EVENTS × × ×

* FOR GMHP LECTURES, SEND TO THE PSYCH/NEURO AND SOCIAL CLUSTER LISTSERVS


5 Cluster seminar posters

The Department utilizes a template to create posters advertising the various cluster seminars (see C at right). In order to have your poster assembled, please send the following items to Web Devel-oper/Graphic Designer Kristen Byers at [email protected]: cluster name; seminar title; date; time; location; speaker name; speaker title and affiliations; speaker bio (100 words max); and speaker photograph.

6 Digital signage

Events can be displayed on the Mailman School flat screens in the lobby. We advertise all CUESSs, CUEGRs, department semi-nars, EPIC, and special lectures/events on our digital signage. Due to high volume, cluster seminars are not advertised on the digital signage. We recommend student groups advertise special events on the signage but not a regular meeting of the group. See D at right. In order to advertise a cluster’s events as flyers and digital signage, contact Kristen.

7 Epi bulletin boards

Don’t forget about the Department of Epidemiology bulletin boards on the 5th, 7th, 8th, 15th and 16th floors. Note that, on the 7th and 15th floors, there are two boards: one for jobs/studies and one for seminar announcements. Please display flyers on the appropriate board and please do not overcrowd bulletin boards.

SAMPLE CLUSTER SEMINAR POSTERC

JULY 2017 30


Supportive ResourcesReso

urces

Training and Career Development

The Department of Epidemiology aims to assure that officers of administration and support staff members have opportunities to grow and improve in their jobs and to enhance their future career options. As such, staff members are encouraged to explore the numer-ous training resources available at Columbia.

■ hr.columbia.edu/learn-dev/e-learning Columbia Learning and Development provides online courses to build proficiency in numerous software applications, as well as personal effectiveness skills such as supervision, coaching, and leading meetings.

■ hr.columbia.edu/learn-dev/live Columbia Learning and Development offers a wide array of classroom-based courses at the Studebaker Building at 615 West 131st Street. These courses, which address skills in communications, time management, performance management, and project management, cost $70 for half-day classes, and $140 for full-day classes.

■ finance.columbia.edu/content/finance-training Columbia’s Finance Division offers training in financial systems, e.g. APCAR and FFE, and also in specific functions such as travel and business expense reimbursement, purchasing, and budgeting/accounting. There are also ongoing programs sponsored at CUMC to build skills in IRB and pre- and post-award grants management.

■ library.cumc.columbia.edu/classes The Columbia libraries offer a number of classroom based software courses from EndNote to Intro to GIS. These courses are available free of charge. Employees are encouraged to make use of them, provided that the skills are related to their current job responsibilities and their supervisor approves of the time devoted to them.

Where appropriate, the Department will use cen-tral funds to cover the cost of a limited number of Learning and Development classes for staff members whose job performance will clearly benefit from them. Applications for Department funding for individuals taking these courses will be reviewed by the Depart-ment Chair, Vice-Chair, and senior Department faculty on a case-by-case basis.

All staff who wish to undertake training should com-plete and submit the application form (Appendix F) to their supervisor and senior cluster administrator.

Ombuds Office The Ombuds Office columbia.edu/cu/ombuds offers a safe place for any member of the Columbia communi-ty to discuss workplace issues, interpersonal conflict, academic concerns, bureaucratic runarounds, and many other problems. The Ombuds office provides advice that is completely confidential and informal.

Work/Life

The Office of Worklife is an excellent resource for ad-vice and support around personal wellness, childcare and schooling, elder care, housing, and numerous other concerns. Visit the website at worklife.columbia.edu to learn more, and to check the schedule for a range of wellness and personal development work-shops.

Employee Assistance Program

The Employee Assistance Program (EAP) provides a network of specialized services, including short-term counseling, to help you and your household members cope with everyday issues such as stress, work/life balance, relationships, depression, drug and alcohol addiction, wellness and the management of adult/el-der care responsibilities, among others. The EAP also offers discounts. Visit the EAP web page on the Work/Life site, worklife.columbia.edu/employee-assistance-program, for more information.

Summer hours

The Department of Epidemiology sponsors a summer hours program that provides officers of administra-tion and non-union support staff an opportunity to enter into a flexible work arrangement that will condense the 35-hour workweek into 4 or 4.5 days, resulting in an extended weekend. Summer hours go into effect on the Monday after the 4th of July and extend through the Friday before Labor Day.

Details about proposed weekly schedules and em-ployee eligibility can be found in Appendix G.

The Department and the University offer a range of supportive programs designed to optimize the work/life experience of our community.

JULY 2017 31


Appendices

Grant Checklist Appendix A

Conference Room Request Appendix B

Hardware Request Appendix C

Software Request Appendix D

Hiring Form Appendix E

Application for Staff Training Appendix F

Summer Hours Appendix G

Invoice Payment Request Form Appendix H

TBER Form Appendix I

Requisition Request Form Appendix J

JULY 2017 32

APPENDIX A

ADMIN PAPERWORK DUE TO SCA: / /(10 business days prior to SPA deadline)

ADMIN PAPERWORK DUE TO SPA: / /(7 business days prior to deadline)

SCIENCE DUE TO SPA: / /(5 business days prior to deadline)

SUBMISSION TO SPONSOR: / /(agency deadline)

ITEM NEEDED COMPLETED NOTES

HUMAN SUBJECTS (Y/N)? IRB?

PROJECT SUMMARY/ABSTRACT

PROJECT NARRATIVE

BIBLIOGRAPHY & REFERENCES CITED

FACILITIES & RESOURCES

RESEARCH STRATEGY

SPECIFIC AIMS

PROTECTION OF HUMAN SUBJECTS

INCLUSION OF WOMEN & MINORITIES

TARGETED/PLANNED ENROLLMENT

TABLE

INCLUSION OF CHILDREN

CONSORTIUM ARRANGEMENTS

LETTERS OF SUPPORT

APPENDIX

BUDGET

BUDGET JUSTIFICATION

COVER LETTER

PI NAME:

PROPOSAL TITLE:

RFA:

RASCAL:

(PAGE 1 OF 2)Grant Checklist

BIOSKETCHES NEEDED REQUESTED RECEIVED REVIEWEDSALARY

CONFIRMATION

KEY PERSONNEL #1:

KEY PERSONNEL #2:

KEY PERSONNEL #3:

R E Q U I R E D D O C U M E N T S

IMP

OR

TAN

T D

ATE

S

JULY 2017 33

APPENDIX A

ITEM NEEDED REQUESTED COMPLETED NOTES

SUBCONTRACT PROPOSAL FACE PAGE

DETAILED BUDGET

BUDGET JUSTIFICATION

FACILITIES/RESOURCES

SCOPE OF WORK

DUNS #

CONGRESSIONAL DISTRICT

PERFORMANCE SITE LOCATION

DHHS AGREEMENT

BIOSKETCHES FOR ALL KEY PERSONNEL

FCOI CERTIFICATION

INTERNAL DOCUMENTS/CERTIFICATIONS REQUESTED COMPLETED NOTES

LOW IC ANALYSIS APPROVAL

INTERNATIAONAL ANNEX

SUBAWARD PRE-APPROVAL

IN-KIND LETTERS

HIRE LETTERS

PI ELIGIBILITY APPROVAL FROM STEVE SHEA

HIPAA CERTIFICATION

FCOI FORM

FCOI RASCAL EXAM

PHS CERTIFICATION

CONSULTANT FCOI CERTIFICATION

FOREIGN DEPARTMENT SALARY

CONFIRMATION

(PAGE 2 OF 2)Grant Checklist

SUBCONTRACT INSTITUTION:

ADMINISTRATIVE CONTACT:

A D D I T I O N A L D O C U M E N T S A S N E E D E D

JULY 2017 34

APPENDIX B

TITLE OF MEETING EXPECTED NUMBER OF ATTENDEES

DATE START TIME (include extra 10–15 mins

for A/V setup or food delivery)

END TIME

HOST NAME HOST TELEPHONE NUMBER/EMAIL

Room Preference/Additional Notes

Conference room requests should be sent to Anthony Diaz ([email protected]).

In the event of Anthony’s absence, please send requests to Ebony King ([email protected]).

LCD PROJECTOR

LAPTOP

MICROPHONE

SPEAKERS

INTERNET

FLIP CHART

OVERHEAD PROJECTOR

LASER POINTER

CONFERENCE PHONE

VIDEO CONFERENCE

SKYPE

DRY ERASE BOARD

YES, EXPECTED TIME: VENDOR:

YES, ADDITIONAL DATES:

Audio/Visual Needs

Food Delivery?

Recurring Meeting?

Conference Room Request

AUGUST 2018 35

APPENDIX C

NAME UNI START DATE

OFFICIAL JOB TITLE PHONE NUMBER (IF APPLICABLE)

DELL DESKTOP OPTION 1

DELL LAPTOP OPTION 1





MACBOOK PRO

BLACK & WHITE PRINTER

COLOR PRINTER

NETWORK PRINTERlocation and model:

name of previous user:

MACBOOK AIR

IMAC

Computers

Printers

Employee Information

Please email [email protected] for assistance with a quote. Once you’ve received your quote, attach it to this form.

PC users are encouraged to select from the list of Dell desktops and laptops on the following page that have been customized to MSPH standards. If you wish to purchase a Mac, you may develop your own specs at apple.com and attach them to this form. Please note that the specifications available on commercial sites may differ from specifications available for Columbia purchasing.

As part of the Green Champion Initiative, we encourage you to use one of our many network copiers available on each floor.

Please complete this form with Mirtha Delvalle and submit to Ebony King ([email protected]) for purchase.

ADDITIONAL DETAILS:

ADDITIONAL DETAILS:

Hardware Request

YES

YES

NO

NO

Domain/Exchange Account Needed?

Computer Reassignment

(PAGE 1 OF 3)

AUGUST 2018 36

APPENDIX C

NOTE: Prices listed are as of August 10, 2018.

Dell Desktop Option 1: $1,170.15 OptiPlex 7460 AIO XCTO Bundle w/ P2417H Monitor

Processor: Intel Core™ i5-8500 (6 Cores/9MB/6T/up to 4.1GHz/65W); sup-ports Windows 10/Linux (I5 up to 4.3GHz add $18.00; I7-8700 up to 4.6GHz add $78.75)Operating System:Windows 10 Pro 64bit English, French, SpanishMemory: 8GB 1X8GB 2666MHz DDR4 Non-ECC (16GB add $83.25;32GB add $240.75)Hard Drive: M.2 512GB SATA Class 20 Solid State Drive (1TB add $202.50, 2TB add $472.50)Video Card: Intel® Integrated GraphicsChassis Options: 7460 AIO 23.8” FHD 1920x1080 IPS Non-Touch Anti- Glare, No Camera, Integrated Graphics, Bronze PSU (Touch screen w/camera add $108.00)Keyboard: Dell KM636 Wireless Keyboard & Mouse BlackAll-in-One Stands and Optical Drive: OptiPlex All-in-One HeightAdjustable Stand, 7460 All-in-One (DVD/RW add $22.59)LCD: OptiPlex All-in-One Non-Touch PanelMonitors: Dell 24 Monitor - P2417HHardware Support Services: 3 Years ProSupport with Next Business Day Onsite Service

Dell Desktop Option 2: $1,669.97 OptiPlex 7760 AIO XCTO Bundle w/ P2717H Monitor

Processor: Intel Core™ i5-8500 (6 Cores/9MB/6T/up to 4.1GHz/65W); sup-ports Windows 10/Linux (I5 up to 4.4GHz add $23.60; I7-8700 up to 4.6GHz add $103.25)Operating System: Windows 10 Pro 64bit English, French, SpanishMemory- 8GB 1X8GB 2666MHz DDR4 Non-ECC (16GB add $109.15; 32GB add $315.65)Hard Drive: M.2 512GB SATA Class 20 Solid State Drive (1TB add $265.50; 2TB add $619.50)Chassis Options: 7760 AIO 27” FHD 1920x1080 IPS NonTouch Anti-Glare, No Camera, Integrated Graphics, Platinum PSUKeyboard: Dell KM636 Wireless Keyboard & Mouse BlackMouse: Mouse included with KeyboardBack Cover: No Cable CoverCables and Dongles: No Additional CableExternal Speakers: No External SpeakerAll-in-One Stands and Optical Drive: OptiPlex All-in-One Articulating Stand, 7760 All-in-OneNon-Microsoft Application Software: Windows 10 NonEmbedded without IR Camera (with Camera add: $5.90)LCD: OptiPlex All-in-One Non-Touch PanelMonitors: Dell 27 Monitor – P2717HHardware Support Services- 3 Years ProSupport with Next Business Day Onsite Service

Dell Desktop Option 3: $1,071.91 Optiplex 7060 Micro Form Factor XCTO Bundle w/ 2417H Monitor Processor: Intel Core™ i5-8500 (6 Cores/9MB/6T/up to 4.1GHz/65W); sup-ports Windows 10/Linux (I5-8600 up to 4.3GHz add $29.18; I7-87—up to 4.6GHz add $103.43)Operating System: Windows 10 Pro 64bit English, French, SpanishMemory: 8GB 1X8GB 2666MHz DDR4 Non-ECC (16GB add $107.53; 32GB add $300.03)Hard Drive: M.2 512GB SATA Class 20 Solid State Drive (1TB add $263.21; 2TB add $593.21Chassis Options: OptiPlex 7060 Micro with 130W up to 87% efficient adapterKeyboard: Dell KB216 Wired Keyboard English BlackMouse: Dell MS116 Wired Mouse BlackExternal Speakers: No External SpeakerMonitors: Dell 24 Monitor - P2417HHardware Support Services: 3 Years ProSupport with Next Business Day Onsite Service Dell Desktop Option 4: $1,017.08 Optiplex 7060 Small Form Factor XCTO Bundle w/ P2417H Monitor

Processor: Intel Core™ i5-8500 (6 Cores/9MB/6T/up to 4.1GHz/65W); sup-ports Windows 10/Linux (I5-8600 add $42.50, I7-8700 add $116.75)Operating System: Windows 10 Pro 64bit English, French, SpanishMemory: 8GB 1X8GB 2666MHz DDR4 UDIMM Non-ECC (16GB add $118.25;32GB add $310.75)Hard Drive: M.2 512GB SATA Class 20 Solid State DriveCD ROM/DVD ROM: No Optical Disk DriveChassis Options: OptiPlex 7060 Small Form Factor with 200W up to 85% ef-ficient Power Supply (80Plus Bronze)Keyboard: Dell KM636 Wireless Keyboard & Mouse BlackExternal Speakers: No External SpeakerMonitors: Dell 24 Monitor - P2417HHardware Support Services: 3 Years ProSupport with Next Business Day Onsite Service

Please account for the following lead times: 1) Pre-formatted PC orders can take up to 3 weeks for delivery, and custom orders can extend lead time to 5-6 weeks; 2) Standard Apple orders take approximately 3 weeks for delivery, with custom orders occassionally arriving in excess of 5 weeks; 3) Domain (user log in) and Exchange accounts (email) should be created by CUMC IT in 5-7 business days.

Hardware Request- Desktops (PAGE 2 OF 2)

APPROVED FOR PURCHASE

AD

MIN

USE

ON

LY

APPROVED BY DEPT

BUS UNIT PROJECT ACTIVITY INITIATIVE

PROJECT

SEGMENT

FUND FUNCTION

PC BUS UNIT ACCOUNT

DATE

Hardware Request- Laptops (PAGE 3 OF 3)

APPENDIX C

NOTE: Prices listed are as of August 10, 2018 Dell Laptop Option 1: $1,333.43 Dell Latitude 7290

Processor: 8th Gen Intel® Core™ i7-8650U Processor (Quad Core, 8M Cache, 1.9GHz,15W, vPro)Operating System: Windows 10 Pro 64bit English, French, SpanishProcessor Information: Intel® UHD Graphics 620 with Displayport over USB Type-C with Core i7 vProMemory: 8GB, 1x8GB, 2400MHz DDR4 MemoryHard Drive: M.2 512GB SATA Class 20 Solid State DriveLCD: 12.5” HD (1366 x 768) Anti-Glare, HD CAM/Mic, WLAN/WWAN capable, Mag Alloy back, Non TouchWireless: Intel® Dual-Band Wireless-AC 8265 Wi-Fi + BT 4.2 Wireless Card (2x2)Primary Battery: 42 Whr Express Charge Capable (3-cell)Service: 3 Years ProSupport Plus with Next Business Day Onsite Service

Dell Laptop Option 2: $1,402.36 Dell Latitude 7490

Processor: 8th Gen Intel® Core™ i7-8650U Processor (Quad Core, 8M Cache, 1.9GHz,15W, vPro)Operating System: Windows 10 Pro 64bit English, French, Spanish Processor Information: Intel® UHD Graphics 620 with Displayport over USB Type-C with Core i7 vProMemory: 8GB, 1x8GB, 2400MHz DDR4 Memory Hard Drive: M.2 512GB SATA Class 20 Solid State DriveLCD: 14.0” HD (1366 x 768) Anti-Glare, HD CAM/Mic, WLAN/WWAN capable, Mag Alloy back, Non TouchWireless: Intel® Dual-Band Wireless-AC 8265 Wi-Fi + BT 4.2 Wireless Card (2x2)Primary Battery: 42 Whr Express Charge Capable (3-cell)Service: 3 Years ProSupport Plus with Next Business Day Onsite Service

Dell Laptop Option 3: $1,498.95 Dell Latitude 7390

Processor: 8th Gen Intel® Core™ i7-8650U Processor (Quad Core, 8M Cache, 1.9GHz,15W, vPro) Operating System: Windows 10 Pro 64bit English, French, Spanish Processor Information: Intel® UHD Graphics 620 with Displayport over USB Type-C with Core i7 vProSystems Management: Intel vPro™ Technology’s Advanced Management FeaturesMemory: 8GB, 1x8GB, 2400MHz DDR4 Memory Hard Drive: M.2 512GB SATA Class 20 Solid State DriveLCD: 13.3” FHD (1920 x 1080) Anti-Glare, HD CAM/Mic, WLAN/WWAN capable, Mag Alloy back, Non TouchWireless: Intel® Dual-Band Wireless-AC 8265 Wi-Fi + BT 4.2 Wireless Card (2x2)Primary Battery: 42 Whr Express Charge Capable (3-cell)

AUGUST 2018 37


AD

MIN

USE

ON

LY

APPROVED BY DEPT


PROJECT

SEGMENT

FUND FUNCTION

PC BUS UNIT ACCOUNT

DATE

Please account for the following lead times: 1) Pre-formatted PC orders can take up to 3 weeks for delivery, and custom orders can extend lead time to 5-6 weeks; 2) Standard Apple orders take approximately 3 weeks for delivery, with custom orders occassionally arriving in excess of 5 weeks; 3) Domain (user log in) and Exchange accounts (email) should be created by CUMC IT in 5-7 business days.

JULY 2017 38

APPENDIX D

NAME UNI START DATE

OFFICIAL JOB TITLE PHONE NUMBER (IF APPLICABLE)

Employee Information

Please complete this form with Mirtha Delvalle and submit to Ebony King ([email protected]) for purchase.

PC (32-BIT) PC (64-BIT)

SASversion:

SUDAAN ARCGIS

ARCVIEW

SPSS

STAT/TRANSFER

PARALLELS

ADOBE ACROBAT

SMALL STATA (small data sets)

STATA IC

STATA SE(general purpose users)

MPLUS

OTHER:

MAC

Software

Please email [email protected] for assistance with a quote. Once you’ve received your quote, attach it to this form.

Please select the operating system you would like to purchase below. Please note: If you want to run SAS on a MAC computer, you will additionally need PARALLELS software in order to do so.

Please select the software license(s) you would like to purchase below. Please enter a quantity to the left of your selections. Remember each license is per computer, not per user. For example, one license of SAS cannot be used on two computers.

Software Request

VOLUNTEER VISITOR CASUAL/WORK STUDY FT/PERMANENT OTHER

Terms of Employment


AD

MIN

USE

ON

LY

APPROVED BY DEPT


PROJECT

SEGMENT

FUND FUNCTION

PC BUS UNIT ACCOUNT

DATE

START DATE

JULY 2017 39

APPENDIX E

ANTICIPATED START DATE PRINCIPAL INVESTIGATOR

ANTICIPATED SALARY

CURRENT CU DEPARTMENT (IF APPLICABLE)

EXPECTED TERMINATION DATE (IF APPLICABLE) SUPERVISOR (IF OTHER THAN PI)

PROPOSED JOB TITLE

PROJECT NAME

PLANNED SPACE USE (REQUIRES CHAIR’S APPROVAL)

FULL-TIME

NEW POSITION NEW COMPUTER NEEDED (ATTACH HARDWARE REQUEST FORM)

CASUAL (MAXIMUM 4 MONTHS/560 HOURS)

FULL-TIME TEMPORARY

STUDENT CASUAL

OFFICER OF ADMINISTRATION

PART-TIME

REPLACEMENT

TRANSFER EXISTING PHONE NUMBER

NEW PHONE NUMBER NEEDED

CANDIDATE IDENTIFIED?

UNION/SUPPORT STAFF

VARIABLE HOURS

STAFF ASSOCIATE

GRADUATE RESEARCH ASSISTANT (GRA)

Effort

Position Type

To be completed by Principal Investigator/Supervisor Note: Please plan for a minimum of 6 weeks from SCA approval to start date for permanent employees; 4 weeks for casuals.

ARC STATEMENT ATTACHED UNDER SEPARATE COVER?

AD

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USE

ON

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APPROVED BY

GRANT NUMBER(S)

PROJECT NUMBER(S)

Hiring Form

JULY 2017 40

APPENDIX F

EMPLOYEE NAME

SUPERVISOR / PRINCIPAL INVESTIGATOR

CLUSTER

DATE

CLASS TITLE AND LOCATION

SENIOR CLUSTER ADMINISTRATOR

CLASS FEE (IF APPLICABLE)

CHAIR’S OFFICE (IF FUNDING IS REQUESTED)

CLASS DATE AND TIME

DATE

DATE

How will the proposed class directly enhance your ability to succeed in your current role?

Approved:

Application for Staff Training

JULY 2017 41

APPENDIX G

The Department is offering two separate options so as to best accommodate the needs and schedules of its employees. An employee may choose to work an additional hour Monday-Thursday and leave at 12 PM on Friday, or work an additional hour and 45 minutes Monday-Thursday and take Friday off completely. Details about proposed weekly schedules and em-ployee eligibility can be found below.

Eligibility

In order to be eligible for summer hours, a staff member must be employed by the Dept. of Epidemiology for a full calendar year. The staff member’s supervisor must also approve of the arrangement. Supervisors should determine whether to allow a staff member to participate on a case-by-case basis in accor-dance with the needs, requirements, and constraints of both the department and the staff member. As a general rule, to be approved for summer hours, the staff member should have ex-cellent time management skills and a demonstrated history of satisfactory, independent work performance. Supervisors can elect to revoke summer hours if business conditions change or job performance is negatively affected. Supervisors can also require that staff temporarily suspend summer hours in order to meet urgent deadlines.

Part-time officers of administration and non-union support staff members are welcome to propose a modified summer ar-rangement to their supervisors, as long as they meet the other criteria above and their proposed schedule does not alter the total number of hours worked and continues to meet the needs of the position.

Requesting Summer Hours

Staff interested in summer hours should begin by completing the University’s approved FWA form (available at hr.columbia.edu/sites/default/files/document-files-word2014/09/08/flex-ible_work_arrangement_proposal_form.doc) and meeting with their supervisor to discuss the arrangement. If the supervi-sor approves, s/he will mark that the arrangement has been approved, both the staff member and supervisor will sign the form, and the supervisor will send an email to Director of Hu-man Resources and Faculty Affairs Kiki Korikis, copying the staff member, with a PDF of the form.

The Department of Epidemiology strives to be a supportive and nurturing work place, and we hope that our staff will take advantage of this program during the summer months.

SUMMER HOURS SCHEDULE MONDAY TUESDAY WEDNESDAY THURSDAY FRIDAY

OPTION #1ARRIVE 9:00AM 9:00AM 9:00AM 9:00AM 9:00AM

DEPART 6:00PM 6:00PM 6:00PM 6:00PM 12:00PM

OPTION #2ARRIVE 9:00AM 9:00AM 9:00AM 9:00AM

OFFDEPART 6:45 PM 6:45 PM 6:45 PM 6:45 PM

The Department of Epidemiology sponsors a summer hours program that provides officers of ad-ministration and non-union support staff an opportunity to enter into a flexible work arrangement that will condense the 35-hour workweek into 4 or 4.5 days, resulting in an extended weekend. Summer hours go into effect on the Monday after the 4th of July and extend through the Friday before Labor Day.

Summer Hours

JULY 2017 42

APPENDIX H

W9 FORM IF YOU ARE A U.S. CITIZEN OR PERMANENT RESIDENTirs.gov/pub/irs-pdf/fw9.pdf

W8 FORM IF YOU ARE NOT A U.S. CITIZEN OR PERMANENT RESIDENT irs.gov/pub/irs-pdf/fw8ben.pdf

FACULTY STAFF STUDENT OTHER

(ENTER VENDOR ID # IF KNOWN):

Affiliation:

Form submitted by:

PI/supervisor information, if applicable:

New Vendor

Existing Vendor

VENDOR INFORMATION

Invoice Payment Request Form

Please submit a copy of the invoice along with this request form to your Senior Cluster Administrator.

If this is the first time a vendor is submitting for payment, please complete a W9/W8 form and submit with invoice to your Senior Cluster Administrator. Please allow additional processing time for new vendor requests.

FULL NAME

PI/SUPERVISOR NAME

UNI/EMAIL

PI/SUPERVISOR EMAIL

PHONE NUMBER

CONTACT INFORMATION

INVOICE PAYMENT INFORMATION

PAYEE NAME:

PO # SAPO #

PO/SAPO INVOICE PAYMENT:

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NAME DEPT PC BUS UNIT

PROJECT PROJECT ACTIVITY INITIATIVE

SEGMENT

JULY 2O17 43

APPENDIX I

Travel & Business Expense Reimbursement Request Form (TBER)

For assistance on TBER submissions, please refer to the Guide to Administration (TBER Submission Process).

REQUIRED SUPPORTING DOCUMENTS


COMPLETED TBER REQUEST FORM (THIS FORM)

COMPLETED & SIGNED TBER FORM

ITEMIZED RECEIPTS TAPED TO 8.5 X 11 PAPER. (IN CHRONOLOGICAL ORDER)

FLYER FOR EVENT/CONFERENCE (MUST INCLUDE DATES AND LOCATION)

CREDIT CARD STATEMENT(S) (WITH ALL REQUESTED REIMBURSEMENT TRANSACTIONS)


MYSELF SOMEONE ELSE

VENDOR ID #:(IF KNOWN)

Completing the form for: PI/supervisor information (if applicable):

Request form submitted by:

New Vendor

Checklist

Existing Vendor

VENDOR INFORMATION

If this is the first time a vendor is submitting for payment, please complete a W9/W8 form.

FULL NAME FULL NAME FULL NAME

UNI/EMAIL UNI/EMAIL UNI/EMAIL

PHONE NUMBER PHONE NUMBER PHONE NUMBER

CONTACT INFORMATION

AD

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USE

ON

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SEGMENT

JULY 2017 44

APPENDIX J

REQUEST TYPE


SCOPE OF WORK

SERVICE COMPLIANCE CHECKLIST

SOLE SOURCE QUESTIONS (PLEASE ANSWER QUESTIONS LISTED BELOW)

QUOTE

RESUME/CLIENT LIST/COMPANY BROCHURE

INDEPENDENT CONTRACTOR CERTIFICATION

CERTIFICATE OF INSURANCE – (REQUIRED IF VENDOR IS COMING ON-SITE/COLUMBIA)


FACULTY STAFF STUDENT OTHER

VENDOR ID #: CATEGORY CODE # (IF KNOWN)(IF KNOWN)

Affiliation:

Form submitted by:

PI/supervisor information, if applicable:

New Vendor

Consultant (Independent Contractor) - √ Requestor’s Checklist

Existing Vendor

VENDOR INFORMATION

Requisition Request Form (Purchase Order - PO)

Please include appropriate supporting documentation with your request form.

If this is the first time a vendor is submitting for payment, please complete a W9/W8 form and submit with invoice to your Senior Cluster Administrator. Please allow additional processing time for new vendor requests.

If none of the following options seem appropriate, please contact Anuj Goyal at [email protected].

FULL NAME

PI/SUPERVISOR NAME

UNI/EMAIL

PI/SUPERVISOR EMAIL

PHONE NUMBER

CONTACT INFORMATION

(PAGE 1 OF 2)

FULL NAME UNI/EMAIL PHONE NUMBER

JULY 2017 45

APPENDIX J

Requisition Request Form (Purchase Order - PO)A

DM

IN U

SE O

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SEGMENT

SOLE SOURCE JUSTIFICATION QUESTIONS

(PAGE 2 OF 2)

SCOPE OF WORK

SERVICE COMPLIANCE CHECKLIST


CERTIFICATE OF INSURANCE – (REQUIRED IF VENDOR IS COMING ON-SITE/COLUMBIA)

QUOTE

QUOTE (IF AVAILABLE)

SHIPPING ADDRESS (IF NOT 722 W. 168TH STREET 15TH FLOOR):


Institutional Service Agreement - √ Requestor’s Checklist

Supplies Purchase - √ Requestor’s Checklist

1. What type of service/item are you requesting?

2. How will this service/item impact your work/research?

3. Why is this the only vendor that can be used?

4. Have you solicited quotes from other vendors? If yes, please attach.

5. Is this equipment under patent or does it have a proprietary design?

YES

YES

NO

NO

Documents

Guide to Administration - Columbia University · 2018. 9. 19. · JULY 2017 1 GUIDE TO ADMINISTRATION Reina Burdie 212-305-0695 Department Administrator Room 1507 [email protected]