Sponsored Project Training Program Introduction to Sponsored Projects Jennifer Gagnon, Nick Brightman & Sudha Ramaswami September 12, 2012
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Transcript Sponsored Project Training Program Introduction to Sponsored Projects Jennifer Gagnon, Nick Brightman & Sudha Ramaswami September 12, 2012
Sponsored Project Training Program
Introduction to Sponsored Projects
Jennifer Gagnon, Nick Brightman & Sudha Ramaswami
September 12, 2012
1
Introduction to Sponsored
Projects
This session will provide an overview of
the grant life cycle from searching for
funding to grant closeout.
Participants will learn the roles and
responsibilities for all individuals involved
in the grant life cycle.
Sponsored Project Training Program
Learning Objectives
Participants will:
◦ Receive an overview of Sponsored Project
Administration
◦ Learn about the grant lifecycle
◦ Understand the roles and responsibilities of
investigators, chairs and deans, and central
units, in addition to how they as business unit
administrators fit in
◦ Know where to go for help and become
aware of future learning opportunities
Sponsored Project Training Program
What is a sponsored project?
Externally-funded activities in which a
formal written agreement, i.e., a grant,
contract, or cooperative agreement, is
entered into by recipient (UVM) and
sponsor
Supports research, public service, or
instructional efforts at the university
Sponsored Project Training Program
Characteristics of sponsored
projects
Statement of work
Clear period of performance
Reporting requirements
◦ Programmatic & financial
◦ External audits
◦ Return of unspent funds
Special facilities/accommodations
Sponsored Project Training Program
Common terms
Grant - assistance mechanism
Contract - procurement mechanism
Cooperative Agreement - similar to a grant
but with more involvement from sponsor
OMB Circulars
◦ A-21, cost principles
◦ A-133, audit
Federal Acquisition Regulations (FAR)
Subrecipient
Cost share
Sponsored Project Administration
Integrated office supporting faculty and
sponsors on activities within the grant life
cycle
◦ Collaborates with business unit
administrators in providing this support
Focus on service, compliance, and capacity
Solely responsible for accepting awards
on behalf of UVM
Sponsored Project Training Program
Grant Life Cycle
Sponsored Project Training Program
Find Funding
Alert services
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InfoEd SMARTS
NIH Guide for Grants and Contracts
National Science Foundation Update
Grants.gov
Databases
◦ InfoEd SPIN (Sponsored Programs Information
Network)
◦ Community of Science
◦ PIVOT
Grant proposal writing resources
Sponsored Project Training Program
Find Funding
SPA provides individualized services to
UVM faculty, staff, and students in their
search for funding opportunities
Contact Hilda Alajajian at 6-1322 to
schedule an appointment
https://www.uvm.edu/spa/?Page=findfundi
ng.html
Sponsored Project Training Program
Proposal Development &
Submission
Collaboration between PI, business unit
administrator, and SPA
Determining PI eligibility
◦ Faculty and professionally qualified staff with a
.50 FTE or greater
◦ Emeriti faculty, with dept & college approval
◦ https://www.uvm.edu/spa/?Page=pieligibility.ht
ml
Sponsored Project Training Program
Proposal Development &
Submission
Contact SPA early and often
◦
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Intent to apply
Sponsor guidelines
Funding restrictions
Draft budget & scope of work
Budget development
Subawards
Interpretation of university federal &
sponsor regulations
Completion of agency forms & certifications
Sponsored Project Training Program
Proposal Development &
Submission
PI responsibilities
◦ Writing the proposal, scope of work
◦ Responsible for the successful routing and
approval of the proposal
◦ Ultimately responsible for proposal submission
◦ Coordinating with sub awardees
◦ Get the approval of Dean/Chair on
Levels of effort
Staff on the project
Cost share
Space
Sponsored Project Training Program
Proposal Development &
Submission
Dept Chair reviews & approves proposal
prior to submission
◦
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Quality
Consistency with unit mission
Effort
Cost share commitments
Space
Proposal Development &
Submission
Business unit administrator responsibilities:
◦ Assist PI with budget & other administrative tasks
◦ Confirm chartstrings for cost share commitments
◦ Assist, if applicable, with decisions on budget &
space availability
Dept admin toolkit https://www.uvm.edu/spa/?Page=department
administratortoolkit.html
UVM Fact Sheet https://www.uvm.edu/spa/?Page=uvmfactshee
t.html
Sponsored Project Training Program
Proposal Development &
Submission
Regulatory research requirements (use of
human subjects, animals, recombinant
DNA, etc.)
◦ Research Protections Office http://www.uvm.edu/rpo/
Financial conflicts of interest
◦ https://www.uvm.edu/spa/?Page=coi_new_ann
ouncement.html
University policies & operating
procedures
Sponsored Project Training Program
InfoEd
Proposal Development is used by the PI
to:
◦ Upload proposal documents
◦ Route proposals for internal approvals
◦ System-to-system proposal submissions (NIH)
Proposal Tracking is used by the PI &
business unit administrators to:
◦ Track & report – current & pending support
data
◦ View proposal documents
Sponsored Project Training Program
InfoEd – Training Resources
For questions/training, contact Cathy
Ruley Condon at
[email protected] or 6-3360 or
visit InfoEd website
https://www.uvm.edu/~infoed/
Training opportunity:
Getting the most out of InfoEd
Wednesday, October 31, 1:30 – 3:30
InfoEd login - https://spogi.uvm.edu/
Sponsored Project Training Program
Award Acceptance & Set up
Award receipt & Acceptance
◦ Final negotiations including budget revisions if any –
Federal/Private or industry
◦ Clarification of reporting & invoicing terms
◦ Clarification of publication, data ownership & Intellectual
Property rights
◦ Clarification of indemnification and insurance
requirements
◦ Adhering to applicable university policies & procedures
PI responsibilities
◦ Review and approve scope of work, technical reporting
requirements, and other terms and conditions
◦ Work with SPA to negotiate contract as needed
Sponsored Project Training Program
Award Acceptance & Set up
Advance account (aka guaranteed funding)
◦ https://www.uvm.edu/spa/?Page=advancedaccount
s.html
◦ Requested by PI with assistance from business
unit administrator
◦ Approved by department chair and/or dean
Unless AA is used, award document must be
fully executed before:
◦ Work begins
◦ Chartstring can be set up
Sponsored Project Training Program
Award Acceptance & Set up
Set up in Peoplesoft
◦ Budget information & chartstrings – including cost
share
◦ Reporting & Invoicing terms & conditions
◦ Additional terms & conditions
Set up in InfoEd
◦ RPO approvals
◦ Conflict of Interest information
Issues delaying the set up
◦ Research protection approvals
◦ Conflict of interest disclosures
◦ Institutional procedures, such as cost policy
justification forms
Award Acceptance & Set up
Notification sent to PI & business unit
administrator once award is set up
◦ Identifies unique terms & conditions
Sponsored Project Training Program
Award Management
Critical component of the award life cycle
Continuous monitoring during this phase of
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Expenses
Rebudgeting
Cost transfers
Cost sharing
Actions requiring prior approval from sponsor
PI responsibilities
◦ Manage project personnel, including subrecipients
◦ Ensures meeting of cost share commitments, including third party
commitments
◦ Periodical monitoring of expenses with the assistance of the business
unit administrator
◦ Seeks prior approvals from sponsor when necessary
◦ Approves sub recipient invoices
◦ Ensures timely & accurate effort reporting of personnel
Award Management
SPA’s role during this process
◦ Financial analysts acts as the first point of contact for requests
related to PeopleSoft
Rebudgeting
Journal Entry approval
Budget checking errors
◦ Research Administrators will assist in the preparation &
submission of prior approval requests, including extensions
◦ Financial Analysts do an annual review of the various terms &
conditions for federal awards and per award terms for private
awards
◦ Financial Analysts do interim financial reports as required by the
sponsor
◦ Financial Analysts receive the subrecipient invoices, analyze them
for expense allowability & other terms & conditions and forward
to the PI for approval
Award Management
Business unit administrator responsible
for:
◦ Reviewing and analyzing financial activity
◦ Monitoring cost share and effort
commitments
◦ Should meet with PIs at least quarterly
Learning opportunity:
Grant Financial Management: Tools & Best
Practice
Wednesday, November 7, 1:30 – 3:30
Sponsored Project Training Program
Award Management
Other units that help with the process
◦ Procurement Services
Purchase orders, check requests & purcards
◦ General Accounting
Travel advances & reimbursements
◦ Cost Accounting Services
Effort reporting
Space & Equipment Inventory
◦ Payroll Services
Sponsored Project Training Program
Award Closeout
SPA prepares and circulates monthly reports of awards:
◦ Ending within 90 days, or
◦ Has ended within the last 30 days
An email from the Financial Analyst:
◦ Confirming final expenses
◦ Requesting clarification on expenses that are miscoded, unusual
based on the scope of work of the project, or potentially
unallowable
◦ Listing any pending transactions that need to be processed
PI responsibilities
◦ All expenses have been accounted for or have been forwarded
to SPA, including the sub recipient expenses
◦ Cost share commitments have been met
◦ Final Technical/Progress reports have been sent
◦ Final invention statement, if applicable, has been sent
Award Closeout
Business Unit Admin responsibilities
◦ Assist the PI with meeting their responsibilities
◦ Ensures that cost share is correctly and fully
accounted for against the department chartstring
SPA responsibilities
◦ Responsible for preparing & submitting financial
reports
◦ Closeout in PS & InfoEd
◦ Facilitate invention and other closeout reporting
with PIs and others, as needed
Sponsored Project Training Program
PeopleSoft
System of record for financial & human
resource data
Source of internal control
◦ Budget limited to the awarded amount
◦ Only approved categories set up
◦ Exceptions highlighted
Used for
◦ Accounting & tracking expenses based on
chartstring
◦ Reporting of these expenses using various tools
Sponsored Project Training Program
PeopleSoft – Training & Resources
See UVM Learning Services website for
training opportunities & online resources
https://www.uvm.edu/hrs/?Page=skills/dev
elop_skills.html
PeopleSoft login https://www.uvm.edu/~erp/portal/
Sponsored Project Training Program
Grant Life Cycle
Sponsored Project Training Program
Outside of Grant Life Cycle
Cash management & collections
Subrecipient monitoring
USDA federal formula funds
Audit coordination
◦ Learning opportunity:
What happens if your grant gets audited?
Wednesday, October 10, 1:30 – 3:30
Sponsored Project Training Program
Roles & Responsibilities Overview
Clearly delineate roles and
responsibilities
◦ Eliminate duplication of effort
◦ Address tasks that were falling through the
cracks
◦ Increase efficiency
Ensure those engaged in grant lifecycle
understand their functions
Mitigate compliance risks & audit findings
Sponsored Project Training Program
33
Roles
Principal Investigator (PI)
Business Unit Administrator
Sponsored Project Administration (SPA)
Department Head/Chair
Dean
VP for Research and Dean of Graduate
College
VP for Finance and Administration
Sponsored Project Training Program
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Principal Investigator (PI)
Must participate to a significant
intellectual degree in sponsored project
Bears primary responsibility for all
essential aspects of work being carried
out
May delegate tasks to business and
support staff; but ultimately responsible
for project
Sponsored Project Training Program
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PI Responsibilities
Programmatic
◦ Completes progress reports
◦ Monitors subrecipients
Compliance
◦ Satisfies regulatory research requirements
◦ Ensures accurate and timely effort reporting for
project personnel
◦ Discloses conflicts of interest when required
Administrative/fiscal
◦ Monitors project’s financial status
◦ Manages project within budget limits
◦ Ensures that cost-share requirements are met
Business Unit Administrator
Provides financial, human resource,
reporting and other administrative
support services for Principal
Investigators
Has a general understanding of:
◦ Federal and other sponsor policies and
regulations
◦ University policies and procedures
◦ College guidelines as they pertain to
University grants and contracts
Sponsored Project Training Program
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Bus Unit Admin Responsibilities
Assists PI in proposal submission
Serves as resource to PI for any financial
or human resource issue
Assists PI in meeting compliance
requirements, such as effort reporting &
subrecipient monitoring
Supports PI in monitoring a project’s
financial status, including ensuring:
◦ Expenses are allowable and allocable
◦ Cost share commitments are met
Sponsored Project Administration
(SPA)
Central university office involved in the
university’s sponsored research
enterprise and other sponsored activities
Use an integrated approach to partnering
with business unit administrators in
support of researchers and sponsors
throughout the grant lifecycle
Sponsored Project Training Program
39
SPA Responsibilities
Disseminates funding opportunity information
Reviews proposals for compliance with
university policies and sponsor proposal
guidelines
Approves and authorizes submission of
proposals on behalf of the institution
Reviews, negotiates, and approves terms and
conditions of award
Writes, negotiates, executes, and monitors
subaward agreements
Sponsored Project Training Program
40
SPA Responsibilities
Provides guidance and training to
research community about federal,
sponsor, and university regulations and
policies
Prepares invoices and financial reports
Manages cash
Additional Resources
Dean’s Offices
Roles and Responsibilities:
http://www.uvm.edu/spa/?Page=rolesandresponsibilities.html
Sponsored Project Training Program:
https://www.uvm.edu/spa/?Page=sptp.html
Quick Compliance Guide for PIs:
http://www.uvm.edu/spa/documents/quickcomplianceguide.pdf
UVM & Federal Policies:
http://www.uvm.edu/spa/?Page=uvmandfederalpolicies.html
Sponsored Project Training Program
42
Introduction to Sponsored Projects
Questions?
Sponsored Project Training Program
Learning Objectives
Participants will:
◦ Receive an overview of Sponsored Project
Administration
◦ Learn about the grant lifecycle
◦ Understand the roles and responsibilities of
investigators, chairs and deans, and central
units, in addition to how they as business unit
administrators fit in
◦ Know where to go for help and become
aware of future learning opportunities
Sponsored Project Training Program