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POST-AWARD Managing the Process January 9, 2013 Presented by: Peggy Westrick, Research Process Senior Manager Steve Beach, Research Process Coordinator.

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Presentation on theme: "POST-AWARD Managing the Process January 9, 2013 Presented by: Peggy Westrick, Research Process Senior Manager Steve Beach, Research Process Coordinator."— Presentation transcript:

1 POST-AWARD Managing the Process January 9, 2013 Presented by: Peggy Westrick, Research Process Senior Manager Steve Beach, Research Process Coordinator College of LSA Research Office LSA Research Administrators Information Network (RAIN) 1

2 Submitting proposals Department and PI Have a good Business Process for managing Research Administration Start here Managing the awards Keeping up with the rules Training staff Advocating for my faculty Being a good steward of funds Keeping my career on track Being a good communicator Time management BIG PICTURE for Department Research Admin. Setting expectations for faculty Service plan, Renewals, Deadlines, Sponsor guidelines eRPM IRBs Deadlines Resource commitments 7471s Appointments Purchasing Attending LSA ResAG Sponsor sites DRDA-net Word of Mouth Spend time needed to explain your expectations Locate resources needed Help make proposals best that can be submitted Know A21 rules Cost Acctg. Standards Take courses Know the RA track if you want to stay doing research administration Shepherding proposals ( nagging) Talking with HR manager about appointments Proposals, Renewals, final reports, budgets, 7471s How many things can I juggle-be realistic 2

3 LSA RAIN Managing the Post-Award Process PI has just notified you that an award is forthcoming—What are your next steps: If award is to be reduced by more than 20% and/or cost sharing and IDC are changed the PAF is re-routed by ORSP for new signatures. (We ask that any changes be reflected in the MUD screens which you’ll hear about shortly.) Verify project costs and scope with PI Research Administrator prepares documents if sponsor needs additional information in order to approve award. When to ask for a Hardship Your PI knows it is going to be awarded but anticipates a delay receiving the full award documents. 3

4 LSA RAIN Managing the Post-Award Process How is Pre-Award spending different from a Hardship PreAward Costs The award is in just a while before the start date The University may approve pre-award costs of up to ninety days prior to the effective date of an award. Pre-award costs must be necessary for the effective and economical conduct of the project and the costs must be otherwise allowable in accordance with the anticipated terms of the award. Requests should include a brief description of the need and an itemized budget of the costs necessary prior to the effective date of the award. If pre-award costs are associated with a request to establish a new project/grant, please use the Hardship Request Form (in the end you still use the Hardship Request Form). 4

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6 Getting approval to spend up to ninety days before start date THE UNIVERSITY OF MICHIGAN DIVISION OF RESEARCH DEVELOPMENT AND ADMINISTRATION FEDERAL DEMONSTRATION PARTNERSHIP POST-AWARD CHANGE APPROVAL/NOTICE The purpose of this form is to record certain post-award changes proposed by Principal Investigators of awards covered by the terms and conditions of the Federal Demonstration Partnership (FDP). It should be used for the following changes: 1) Time extensions (one-time only), without additional funds, for up to twelve months; 2) Equipment purchases, not included in the sponsor-approved budget, where the unit price exceeds $10,000, or in the case of general purpose equipment, where the unit price exceeds $500; 3) Any equipment purchase in the final three months of a project period, even if included in the sponsor-approved budget; 4) Space alteration and/or renovation costs exceeding $3,000. In addition, the form should be used to request approval for 5) Pre-award costs for up to ninety days prior to the effective date of the award. Principal Investigator:__________________________ DeptID:_________________________________ Sponsor:____________________ Award#__________________ UM Project/Grant____________ Describe the proposed change and provide justification. Remember, all proposed changes must be made with the intention of advancing the scientific aspects of the approved project. See back of form for additional instructions. Dated Signatures: ________________________ ________________________ ______________________ 6

7 LSA RAIN Managing the Post-Award Process If award comes in and isn’t reduced, a Project Award Notice (PAN) is established by ORSP, and then the project is handed off to Financial Operation (Fin Ops). LSA obviously doesn’t require you change anything in eRPM’s MUD screens. Here are the basics you’ll find on the PAN All the information identifying the PI, Department, Project Rep, Sponsor, Sponsor numbers, Award amount, period, budget commitments—both sponsor and UM, IDC rate, Project Grant Coordinator, and notes that pertain to the award both from the sponsor and from the UM. IF IT SHOWS eVERIFY make sure that all appointments on this shortcode get eVERIFIED. If the PAN is wrong you’ll want to contact Fin Ops right away to get a Project Award Change (PAC) issued. 7

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10 Once Fin Ops activates the project grant, spending can begin (we’ll tell you more about spending in a few minutes including discussing showstoppers): How do you know if it is activated? (see next two slides) Get to know your project grant coordinator and your LSA Analyst. Most questions go to one of those two people. 10

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13 LSA RAIN Managing the Post-Award Process If Award comes in but budget IS reduced a new budget, justification, and scope of project is required. (PAFs are not rerouted when Award Documents are in hand.) Renegotiate sub-awards too!!!!! eRPM and Sponsor require documents to be uploaded. Then a PAN is issued for the reduced Award and follows all the steps we mentioned before. 13

14 Adding Resource Commitments Changes (Budget, Effort,and Subaccount) to MUD Step 1 Step 2 Pick your unit Step 3 Click add to start adding commitments

15 The PAF Subaccount View

16 The MUD Subaccount View

17 The PAF Effort View

18 The MUD Effort View

19 Tracking and Communicating the Award Just like at the proposal stage the: Research Administrator adds information to MUD in ePAF (see next screen) using an A at beginning of field to identify this entry is at award stage. Research Administrator alerts the IT Manager via an (template provided) that an award has been received with computing equipment over $5,000 listed in the budget and/or a Data Management Plan. Included in that is a copy of the Data Management Plan submitted with the proposal and any changes made if budget cuts (if applicable). Research Administrator copies the College Research Office who in turns sends to AD for Budget for his tracking purposes. (The College Research Office wants to be copied to ensure that folks remember to follow this new process.)

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22 LSA RAIN Managing the Post-Award Process Then PAN is issued for the reduced Award and follows all the steps we mentioned before. Showstoppers must be addressed before spending can really begin Critical Items : Certain activities may require further registration/inspection/approvals by appropriate institutional committees for the certification of compliance with federal and state regulations. The establishment of a project/grant may be delayed until approvals are granted for the following activities: use of human subjects/patients For research involving human subjects, an application must be submitted to the appropriate Institutional Review Board for approval before the research is started. This is now handled online through eResearch. (Go to: to start the approval process.eResearch See Human Research Protection Program to identify the appropriate IRB and learn more about obligations for protecting human subjects.Human Research Protection Program Use of human embryonic stem cells Approval must be obtained from the University Embryonic Stem Cell Research Oversight (ESCRO) Committee for any proposed activity involving the use of human embryonic stem cells. Further information can be obtained by calling the Committee at or online at: use of verterbrate animals Approval must be secured from the University Committee on the Use and Care of Animals (UCUCA) for any proposed activity involving vertebrate animals during the proposed project period. UCUCA and more informationUCUCA and more information use of recombinant DNA Specify any recombinant DNA that will be used in this project. more informationmore information classified research A Supplementary Proposal Approval Form R is required for classified research restrictions. UM Policy informationUM Policy information restrictions on openness of research If a sponsor intends to impose a restriction, contact your DRDA representative. Restrictions fall into standard, nonstandard, and classified categories. See more information for further details.more information 22

23 LSA RAIN Managing the Post-Award Process PEERRS certification is also needed in order to activate project grant if it is the first award for the PI. PEERRS (Program for Education and Evaluation in Responsible Research and Scholarship) certification look ups (Requires UM Uniqname and Kerberos password) PEERRScertification look ups Any new qualifying appointments that are on PHS or PHS like projects who weren’t already in M-Inform should do so at the time of appointment. 23

24 LSA RAIN Managing the Post-Award Process 7471s created—It’s mandatory in our College Justify A21 sensitive items here if they are to be direct charged Create all sub-awards and ask the departments to review and sign Revisit “Resource Commitments”: Effort, Cost Sharing, Sub-awards, Subcontracts Alert IT staff that proposal has been funded so they can review the Data Management Plan for implementation can be changed for moving categories that aren’t required on FDP or change scope of project. Uploading your 7471 into eRPM alerts your Project Grant Coordinator that it has been done. 24

25 LSA RAIN-Managing the Post-Award Process Managing the Project Grant Put Expenses where they belong (no parking— follow the 7471’s categories) Fix Cost Sharing changes on 7471 too! Using the Hardships and “PreAward Spending” tools ensures that you won’t need to Park! Moving expenditures is a red flag to auditors. Sub-awards must have parent approval for hardship. 25

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27 LSA RAIN Managing the Post-Award Process If Conflict of Interest (CoI) is checked on your project and a management plan is in place: Make sure someone in your unit is monitoring to ensure compliance. If you want to learn more about the CoI process go to this website 27

28 LSA RAIN Managing the Post-Award Process Check M-Reports or PBSR to verify that 7471 has been loaded correctly. If not, call your Project Grant Coordinator. 28

29 LSA RAIN Managing the Post-Award Process 29 Project Grant Budget Status Report for F Project:F Principal Investigator:CLARKE,ROY Title: Synchrotron Radiation Studies of Materials Dynamics Administrative Contact (SAPOC):THEBAUD,ALEXANDRA Primary Sponsor:Energy, Department ofFinancial Operations Coordinator:MINOR,KATHY MARIE Sponsor Award:DE-FG02-06ER46273DRDA Representative:KOORHAN,KATHLEEN MURPHY IDC Rate:26.00%Project Begin/End Dates:2/1/ /30/2012 IDC Basis:50 Budget Period Begin/End Dates:2/1/ /30/2011 Last month closed: June 2010Show/Hide Projected Balance Details Cost TypeFundDeptBudget CategoryBudgetExpended Official Balance as of last month closed Jun 2010 Additional Budget since last month closed Expended since last month closed excluding Payroll/Fin Aid Payroll/Fin Aid Commitments Purchasing Commitments Other Unit Commitments Projected Balance Direct Cost ERF-Sponsored Federal183000Travel-Foreign$ ERF-Sponsored Federal184500Research Salaries$253,395$240,626$12,769 $0 $52,101$0 ($39,332) ERF-Sponsored Federal184500Adm. Salaries (A-21 Monitored)$30 $ ERF-Sponsored Federal184500Clerical Sal. (A-21 Monitored)$ ERF-Sponsored Federal184500Fringe Benefits$85,079$72,797$12,282 $0 $10,666$0 $1, ERF-Sponsored Federal184500Tuition Waiver$34,811$24,205$10,606 $0 $10, ERF-Sponsored Federal184500Gen. Supplies (A-21 Monitored)$2,780$4,087($1,307) $0 ($1,307) ERF-Sponsored Federal184500Research Supplies & Services$55,953$66,133($10,180) $0$383$0$4,560$0($15,122) ERF-Sponsored Federal184500Postage (A-21 Monitored)$ ERF-Sponsored Federal184500Telephone (A-21 Monitored)$ ERF-Sponsored Federal184500Travel Domestic$74,500$70,469$4,031 $0$502$0 $3, ERF-Sponsored Federal184500Travel-Foreign$8,825$26,106($17,281) $0$963$0 ($18,243) ERF-Sponsored Federal184500Hosting (A-21 Monitored)$ ERF-Sponsored Federal184500Equipment$5,213 $ ERF-Sponsored Federal184500Transfers$0($239)$239 $0 $ ERF-Sponsored Federal184500Budget To Be Allocated$166,000$0$166,000 $0 $166,000 Total Direct Cost$686,586$509,427$177,159 $0$1,847$62,767$4,560$0$107,986 Indirect Cost ERF-Sponsored Federal184500Indirect Cost$124,945$124,802$143 $0 $16,319$0 ($16,177) Total Indirect Cost$124,945$124,802$143 $0 $16,319$0 ($16,177) Total Direct + Indirect$811,531$634,229$177,302 $0$1,847$79,086$4,560$0$91,809 Cost Sharing General184500Research Supplies & Services$0 ($0) $0 ($0) Total Cost Sharing$0 ($0) $0 ($0) Funding SourceRevenueExpended Revenue/Expense Balance as of last month closed Jun 2010 Additional Revenue since last month closed Sponsored$634,229 $0 Cost Sharing$0

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31 LSA RAIN Managing the Post-Award Process Setting up your file for your project grant with hardcopies and or using the electronic repository (eRPM), the file should include: Activity Log Information Sponsor Award Documents Proposal, Budget, and Justification PAN and PACS 7471, FDPs, and A21 Sensitive items list PAF Important relevant s 31

32 LSA RAIN Managing the Post-Award Process eRPM can be used to hold info in two ways. For info you want to share with everyone – post it as a comment (7471, updated budget/justification, etc). If it includes an attachment go to the attachment tab to easily see it. 32

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34 LSA RAIN Managing the Post-Award Process eRPM Manage Unit Data supporting documents can be used to hold only documents shared within your own department. 34

35 LSA RAIN Managing the Post-Award Process Spending the funds: Doing the Hiring Paperwork Work with your HR person to get the person hired. Keep them informed of new grants or ending grants, also if funds are running low. Also if eVERIFY requirements are attached to this contract. Summer support that has been granted from sponsor. Can’t spend more than 2.5 months from sponsor funds. Hire any other personnel who will be funded on grants such as temps, consultants, GSRAs, and Postdocs. Keeping HR paperwork correct ensures Effort Certification is correct. 35

36 LSA RAIN Managing the Post-Award Process Spending the funds: Equipment (not allowed at end of granting period) Renovations IT costs Keep your IT and Facilities people in the loop so there aren’t any unfortunate surprises. 36

37 LSA RAIN Managing the Post-Award Process Spending the funds: Travel Concur Just a reminder to use concur and follow the College rules. Fly America Act United States law, 49 U.S.C , or "The Fly America Act", requires travelers whose air travel is being financed by the U.S. Government to use U.S. flag air carrier service for all international air travel. In cases where a U.S. flag air carrier does not provide acceptable service for a particular leg of a trip, foreign air carrier service may be used, but only to or from the nearest interchange point on a usually traveled route to connect with U.S. flag air carrier service. In these circumstances, the FTR sections specify the exception criteria used to determine the non-availability of a U.S. flag air carrier. 37

38 LSA RAIN Managing the Post-Award Process Spending the funds: Supplies Computer equipment under $5,000 is considered supplies If you have approved A21 sensitive items that have been approved in the proposal process attach the approved justification to the 7471 when processing it. Will eliminate the need for the follow-up A21 report. 38

39 LSA RAIN Managing the Post-Award Process Spending the funds: Tuition Training Grants Have a tuition cap and the shortfall it causes is funded in LSA with a 50% contribution by Rackham, 25% by participating department, and 25% by College. GSRAs -- Calculating the GSRA rates ml ml If a GSRA appointment is put on a grant the tuition will follow just like fringe benefits follow salary. All sponsors pay blended rate. UM funds are not allowed to use the blended rate. If sponsor does not allow tuition, let it charge the grant and then move expenditures off the grant to the appropriate funding project grant. If not, you won’t get the in-state rate. 39

40 LSA RAIN Managing the Post-Award Process Spending the funds: UM Funds (eGIF) Cost Sharing – project grants management When should you move the funds? When you have salary as cost sharing—how to manage? Renegotiating cost sharing after an award is reduced. Other commitments – Most often are non-mandatory cost sharing and the agreement for providing the funds are in-house only (budget for them didn’t go to sponsor). Rackham’s and College Tuition Grant shortfalls How often to request the shortfall? 40

41 LSA RAIN-Managing the Post-Award Process eReconcile—You’ve been spending what’s next: Revenue vs. projected revenue—make sure your funds have arrived! Budget is not revenue Budget is what was promised and revenue if what was received. DOE or NSF Letter of Credit How to see it on: SOAs, M-Reports, and PBSR (see handout) Best Practice for eReconciling Keeping receipts—Follow your departments best practice Keep Federal records for 7 years after the close Keep receipts for A-21 sensitive items paid before end date Tracking Salaries Concur/Pcards—It is easier to get them now rather than from accounts payable when you need them. Reporting monthly—how to interact with faculty member https://mreports.umich.edu/mReports/https://mreports.umich.edu/mReports/ - M-Reports https://finprod.dsc.umich.edu/psp/finprodhttps://finprod.dsc.umich.edu/psp/finprod - eReconciliation https://businessobjects.umich.edu/https://businessobjects.umich.edu/ - Business Objects 41

42 LSA RAIN-Managing the Post-Award Process eReconcile—You’ve been spending what’s next: A21 revisited– Journal Entry to move off or reaccount Watch Research Salaries so you don’t end up with a need for the 120 day memo (don’t park)—If the Research salaries get an account code that makes them A21 sensitive try to work with Sponsored Funds to fix. 120 day memo—it takes a month to get a retroactive salary approval because your Project Grant Coordinator has to approve it and then it goes to Bryan Van Sickle for approval. Research supplies might show up as general supplies—get them put on the right account code. 42 Alex

43 LSA RAIN-Managing the Post-Award Process Managing the Project Grant Federal Demonstration Partnership (FDP) 1) Time Extensions, 2) Equipment Purchases not in budget, 3) Equipment Purchases in last three months of Project Grant, 4) Renovations exceeding $3,000, 5) PreAward Costs, and 6) Rebudgeting Which Project Reps have FDP authority? Participating Federal Agencies National Science Foundation DRDA Project Representative: David Plawchan, David Environmental Protection Agency DRDA Project Representative: Amanda Coulter, Amanda U. S. Department of Energy DRDA Project Representative: Amanda Coulter, Amanda National Institutes of Health DRDA Project Representative: Terri Maxwell, Terri Air Force Office of Scientific Research DRDA Project Representative: Kathy DeWitt, Kathy U. S. Department of Army DRDA Project Representative: Kathy DeWitt, Kathy Office of Naval Research DRDA Project Representative: Kathy DeWitt, Kathy National Aeronautics and Space Administration DRDA Project Representative: Kathy DeWitt, Kathy U.S. Department of Agriculture DRDA Project Representative: Kathy DeWitt, Kathy 43

44 LSA RAIN-Managing the Post-Award Process Managing the Project Grant Federal Demonstration Partnership (FDP) 1) Time Extensions—aka. NCTX—How to get one. Rationale from PI When to get one Create new budget and justification Get signatures on form from PI and Chair Submit to ORSP Rep Sponsored Programs will issue PAC w/new end date Do new 7471 when you get PAC This if for first NCTX request—check with ORSP Rep if an additional NCTX is needed (not automatic). 44

45 LSA RAIN-Managing the Post-Award Process Managing the Project Grant Federal Demonstration Partnership (FDP) 2) Equipment Purchases not in budget—How to do it. Rationale from PI Create new budget and justification Get signatures on form from PI and Chair Submit to ORSP Rep Sponsored Programs will issue PAC w/new Direct, Indirect (changes IDC), and Total Do new 7471 when you get PAC 45

46 LSA RAIN-Managing the Post-Award Process Managing the Project Grant Federal Demonstration Partnership (FDP) 3) Equipment Purchases in last three months of Project Grant Hard to get approved because it is rare to have a good rationale Examples of good rationale would be grant is continuing or you’ve been granted a NCTX Get signatures on form from PI and Chair Submit to DRDA Rep NO PAC from Sponsored funds and NO NEW 7471 NEEDED. 46

47 LSA RAIN-Managing the Post-Award Process Managing the Project Grant Federal Demonstration Partnership (FDP) 4) Renovations exceeding $3,000 (if allowed in original grant from sponsor and wanting to rebudget more funds into Reno) Don’t submit form until you’ve discussed with DRDA Project Rep as most sponsors don’t allow renovations. Get signatures on form from PI and Chair Submit to DRDA Rep DRDA will issue PAC Do new 7471 when you get PAC 47

48 LSA RAIN-Managing the Post-Award Process Managing the Project Grant Federal Demonstration Partnership (FDP) 5) PreAward Costs As we’ve already discussed in the Hardship and PreAward spending section if you need them ask (don’t park expenses) Do Hardship Form too Get signatures on both forms from PI and Chair Submit to DRDA Rep Sponsored funds will issue Hardship PAN Do new 7471 when you get Hardship PAN Watch funds carefully as you’ve just extended the grant period but don’t have additional $$$$$. It takes a couple days to get the Project Grant to begin spending. 48

49 LSA RAIN-Managing the Post-Award Process Managing the Project Grant Federal Demonstration Partnership (FDP) 6) Rebudgeting For major categories that shift the scope of the project If ORSP does not have FDP approval the PI must go to the sponsor for approval for changes over 25% For changes less than 25% just change by using a 7471 Sponsored funds will issue PAC w/new Direct, Indirect (changes IDC), and Total Do new 7471 when you get PAC 49

50 LSA RAIN-Managing the Post-Award Process Managing the Project Grant Projections – Forecasting A 7471 helps keep spending in the right categories and clarifies any budget changes A forecasting tool helps you sort out unexpected spending and allows you to forecast how it impacts the budget Use the forecasting tool to meet with your faculty member so they have a better understanding of what’s happening 50

51 LSA RAIN-Managing the Post-Award Process Progress and Financial Reports Using eRPM as a repository (Best practice for Research Administrator to load into eRPM) If PI hasn’t done the appropriate reports the sponsor often won’t give next year’s funds. UM is also at risk of losing funding if PI is late with reports. 51

52 LSA RAIN-Managing the Post-Award Process M-Reports – you know the end date is approaching Make sure monthly expenses like gas, phone, etc. are stopped from hitting the project grant. Project Ends RA receives FSR two to three months after closing Final Status Report (FSR)—Closing out the project Research Administrator Reviews (A21 notice means you didn’t do all the earlier steps) Make adjustment to FSR if need be Faculty sign off Monitor for expenses hitting the project grant until it is off the M-Reports 52

53 LSA RAIN-Managing the Post-Award Process Creating a Standard Operating Procedure (Business Process) Help create steps for building your own. or use the template Business Process in the RAToolkit. Use eRPM’s Manage Unit Data screens and eRPM as a repository which includes these categories: Activity Log, Sponsor Award Documents, Proposal, Awarded Budget, Awarded Budget Justification, PAN and PACs, 7471, FDPs, and A21 Sensitive items list, PAF, Important relevant s. Call or for help if needed either LResAG 53

54 Query list 54 Business Objects ReportsM-Reports CMB Sponsored Project Grant Reconciler w PBSRProject Grant Budget Status Report with Drilldown features - Sponsored CMB Reporting Bdgt Ledger NonSponsored Reconciler by PG Project Grant Budget Status Report with Drilldown features – Non Sponsored CMB Reporting Bdgt Ledger NonSponsored Reconciler by FundDeptPrgm P/G Budget Status/Activity CMB NonSponsored Reconciler by PG with Carryforward and Revenue Spon Parent Summary PY01 Pay Payroll Estimates for Dept or Dept GrpP/G Voucher Details CMB eReconciliation by Fund/Dept/Program CMB eReconciliation by Project Grant

55 LSA RAIN-Managing the Post-Award Process LINKS for reference ORSP Website Financial Operations website LSA RA Toolkit Mreports eGIF https://www-a1.lsa.umich.edu/eGif/https://www-a1.lsa.umich.edu/eGif/ 55

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