Grants 3.0 Departmental Administrator Review January 22, 2014

2 Agenda Meeting Objective Background and Project Objective Key Changes Examples: -Amendment Requests – such as End Date Extension -New Research Project Request -Over Expenditure Authorization Request Questions Agenda

3 Meeting Objective Review current design Obtain feedback Consider suggestions for: -Communication and Training Approach -Final adjustments to design (where feasible) Meeting Objective

4 1998: PeopleSoft Implementation 2004: eTRAC (Project Costing Implementation) 2009: Researcher Home Page (RHP) (Grants Grants & Contracts Implementation) 2014: On-line Research related Requests Researcher Home Page Improvements (Grants 3.0) Future: Implement on-line Approvals Background

5 Why are we doing this? Simplify and streamline processing for the complete lifecycle of Grants Management Make the system easier to use for the UofA Research Community and provide increased transparency. Make the Researcher Home Page a key tool to get many of your answers and initiate Research related Requests. Position us for the future implementation of on-line Approvals Project Objective

6 Key Changes Transition Research Request Forms on-line Significant improvements to the Researcher Home Page -Initiate new Requests on-line -Inquiry enhancements including Lifecycle Inquiry -Ability to view and save the Flash Report as a PDF file Streamline Award Processing (RSO) Simplify Revenue Recognition Approach and transition to delivered Indirect Cost Processing (RSO) Key Changes

7 Key Changes - eTRAC New Project Search Criteria: Faculty Sponsor Sponsor Program

8 Key Changes – Researcher Home Page New Project Search Criteria: Sponsor Sponsor Program RES # is immediately assigned and visible when a new Request has been saved Details Tab to include Sponsor, Sponsor Program, Award Reference # Ability to search for Proposals that were not awarded Proposal will always be visible during Award Processing Flash Report Enhancements Keywords can be assigned to Proposals and Projects New Over Expenditure Tab: OE Status – OE Date OE Request Status – Authorization Amount – Authorization End Date Lifecycle Inquiry and Ability to initiate new Requests

9 1.Option to generate as PDF file, including option to suppress printing of past due invoices. 2.Remove Milestone section (transfer to Lifecycle) 3.Header Changes: Renamed to Financial Overview New fields: Sponsor Name Sponsor Program Award Reference Number Award PI Name 4.PDF version will include direct and indirect cost. On-line version will only display direct cost Flash Report – Financial Overview

10 Key Changes Current – Grants 2.0Proposed Grants 3.0 New Project / Award Set-up (2,000 annually) Initiate Request: on Forms Cabinet (PDF) Status Inquiry: Complex and not intuitive – Detailed Task Listing Initiate Request: in Researcher Home Page (On-line Request) Status Inquiry: in Researcher Home Page (Lifecycle Inquiry) Amendments and Sub- grants (3,000+) annually Initiate Request: on Forms Cabinet (PDF) Status Inquiry: Not available Initiate Request: in Researcher Home Page (On-line Request) Status Inquiry: in Researcher Home Page (Lifecycle Inquiry)

11 Key Changes – Forms Cabinet These six PDF Forms will be replaced with on-line pages accessible via the Researcher Home Page

12 Create New Request Proposed Grants 3.0 Initiate Request Initiate new Application/Proposal or new Project Requests Initiate Requests related to existing Projects: Amendment Sub-Grant Over-Expenditure Authorization

13 RSO actions after signed Forms are received Since on-line Approval is not implemented in Grants 3.0, signed hard copies of the Request Forms including any required attachments must still be sent to RSO for RSO to action the file. !

14 Current Grants 2.0 Status Inquiry Proposal/Award Processing – Task Management Inquiry (50+ RSO Tasks) Amendment Processing – No Inquiry available

15 Create New Request Proposed Grants 3.0 Status Inquiry Proposal/Award Processing – LifecycleAmendment Processing - Lifecycle

16 Proposed Grants Lifecycle Proposal / Award Processing Application/Proposal Approved for Submission to Sponsor Notice of Decision received by RSO or Signed Project Request Form received by RSO

17 Proposed Grants Lifecycle Project Activation / PI Notification Project Activated / PI Notified Pending Milestones: 04/30/2014 NSERC Form 300 signed by PI 04/30/2015 NSERC Form 300 signed by PI 04/30/2016 NSERC Form 300 signed by PI Amendment Processing Details: Similar to Award Processing Details

18 Lifecycle - Feedback

19 Examples 1.Amendment Requests – such as End Date Extension 2.New Research Project Request – Internal Award 3.Over Expenditure Authorization Request Examples

20 Change to Existing Research Project (End Date Extension) Amendment – Current Process

21 Initiate Amendment Proposed Grants Amendment Processing

22 Proposed Grants Amendment Processing Submit Confirmation! After submission, print the Signature Form, obtain signatures and forward the completed originals with the required attachments to RSO. RSO will not start processing until the authorized Signature Form including required attachments have been received. Click OK to confirm. Click Cancel to return without submitting.

23 Proposed Grants 3.0 Amendment Inquiry

24 2. Request for New Research Project – Internal Award 1.Create and Submit Request for New Research Project 2.Print Request for New Research Project Signature Page 3.Forward signed package to RSO 4.RSO receives package 5.RSO Review and Approval, Award Processing and Set-up 6.PI Notification Request for New Research Project

25 Request for New Research Project Create New Request

26 Request for New Research Project Submit Confirmation! After submission, print the Signature Form, obtain signatures and forward the completed originals with the required attachments to RSO. RSO will not start processing until the authorized Signature Form including required attachments have been received. Click OK to confirm. Click Cancel to return without submitting.

27 Print Request for New Research Project Signature Page Forward signed package to RSO Request for New Research Project RSO receives package RSO Review and Approval, Award Processing and Set-up

28 Request for New Research Project 1.Award Processing Steps 2.System Set-up: Award Terms and Milestones Contract Details, Bill and Revenue Plans Detailed Project Budgets, SpeedCode, Quality Assurance Review, Advice Notice, Attachments etc. 3.PI Notification

29 Request for New Research Project

30 Request for New Research Project

31 Example 3: Over Expenditure Authorization Enhancements 1.Automatic notifications based on rules 2.Researcher Home Page Improvements 3.On-line OE Authorization Request Over Expenditure Process

32 Automated Notifications 1.One-time notifications to the Project Holder when the threshold of 80% is exceeded 2.Monthly to the Project Holder when the Project is Over Expended and OE is not authorized 3.Monthly to Departmental Budget Owners with a listing of over-expended projects related to their DeptID. Over Expenditure Process

33 Create New Request Over Expenditure Process New Over Expenditure Tab: OE Status – OE Date – OE Request Status – Authorization Amount – Authorization End Date

34 Over Expenditure Process Submit Confirmation! After submission, print the Signature Form, obtain signatures and forward the completed originals with the required attachments to RSO. RSO will not start processing until the authorized Signature Form including required attachments have been received. Click OK to confirm. Click Cancel to return without submitting.

35 We want to make the Researcher Home Page a key tool for Researchers and Departmental Administrators to efficiently manage the entire lifecycle of their Grants. Answer many Project and Proposal related Questions Initiate research related Requests Access Reports and other Attachments Researcher Home Page

36 Questions?