The Lifecycle of a Sponsored Project
|
|
- Lorin Wells
- 5 years ago
- Views:
Transcription
1 The Lifecycle of a Sponsored Project Active Period Spending, Invoicing, Reporting, Monitoring Award Processing And Account Setup Final Reporting Proposal Closeout Funding
2 Funding Sources Where does the Money come from? Congressionally appropriated funds for Basic Research Private Foundations Federal Contracts for specific work Private Industry Contracts for specific work
3 Funding Opportunities Federal Funds for Basic Research Annual Budget Act becomes Public Law Sets funding levels for each agency (NSF, NIH, USDA etc. ) Agencies issue Requests for Proposals (RFP) n on their website: n n n UA Faculty submit applications endorsed by SPS (on behalf of VPR)
4 Funding Opportunities
5 Funding Opportunities
6 Funding Opportunities
7 Funding Opportunities
8 Funding Opportunities back
9 Funding Opportunities Federal Funds for Basic Research Annual Budget Act becomes Public Law Sets funding levels for each agency (NSF, NIH, USDA etc. ) Agencies issue Requests for Proposals (RFP) n on their website: n n n UA Faculty submit applications endorsed by SPS (on behalf of VPR)
10 Proposal Process UA items needed for proposal process Three business day deadline Electronic Proposal as of October 1 st n Replaced Paper PRS (Proposal Routing Sheet) Sponsor Face/Cover Page Project Abstract Budget and Budget Justification Cost Sharing Budget n Including evidence of commitment
11 Proposal Process Proposal Review n n n n n Budget ERE & F&A Rates Budget categories Cost Allowabillity Cost share Compliance with University Policy and Sponsor Regulations Conflict of Interest, Export Control, human/animal subjects, etc Proposal Submission Upon SPS Approval PI, Dept or College may then to submit to Sponsor Electronic Submission by SPS n n Grants.gov Fastlane
12 Agency Review Federal Agencies Receive applications Initial Review of Applications for eligibility and meeting RFP guidelines Peer Review: impartial merit review by peers of applicants Distribution of Applications to Peer Review Committee members
13 Peer Review Peer Review Committee Meeting: Face to face discussion of each application with goal of ranking best applications. Outcome of Peer Review: ranking and recommendations.
14 Selection and Award Notification of Applicants: recommended, not recommended, ranking, etc. (Review Comments) Budget review and negotiation with recommended applicants Recommendation for funding to Grants Office Funding Document Issued
15 Classification of Award Award documents n Unilateral award (does not require signatures) n Bilateral awards (require signatures) n Requires PI approval Types of agreements n Assistance n Grants n Cooperative Agreements n Procurement n Contracts n n n Clinical Trials Cost Reimbursement Fixed Price
16 Sponsor New Award PI Approval Pre- Award Negotiation ORCA (Office of Research and Contract Analysis) Fully executed Agreement Post- Award Dept. UAFinancial Account Award Process
17 Account Setup Review for Special Restrictions (budget, equipment, carryover, etc.) Invoicing Requirements Reporting Requirements Enter into UAFinancials Once Budget is loaded, department can begin spending
18 Terms and Conditions Where to find them: on the award Order of precedence: Award Sponsor T&C (Program T&C and Agency T&C) Circulars A-110; A-21 for federal grants Research Terms & Conditions (RTC); Agency Specific T&C under RTC Federal Acquisition Regulations (FAR) for federal contracts The SuperCircular
19 Monitoring and Reporting Monthly Reconciliations of Financials by Department and PI SPS submits Invoices and Financial Reports Justification and backup from departments may be needed SPS Monitors Aged Accounts Receivable and Cash Balances Deficit Notices New automatic deficit notice Property Reporting Invention / Patent Reporting: PI signature needed
20 Monitoring Accounts Action List SPS Approvals GEC, General Error Correction SET, Salary Expense Transfer Effort Certifications Requisitions Purchase Order Changes with $ Postings to Expired Accounts
21 Spending versus Time ( Burn Rate ) Ideally, spending should be smooth with time, or peaking in middle of active period Late spending (either delays in starting or spending a lot at the end) can raise red flags
22 Modifications & Prior Approvals No cost extensions (different sponsors have different processes) Prior Approval (Administrative Changes) Key Personnel Budget change approval Equipment not in approved budget Foreign Travel Any waiver of Terms and Conditions
23 Modifications & Prior Approvals Amendments and Modifications: Continuation Funding Modifications requiring dual signature n Sponsor issued amendment n UA templates (ORCA site) Research Terms and Conditions Grants From: NSF, NIH, USDA-NIFA, RTC Prior Approval Matrix Prior approvals processed through postaward
24 End of the Project: Concurrence Getting agreement from the PI is the basic requirement for final financial reporting and closeout PI signs concurrence to certify expenses or delegates signature authority to Business Official Uncommunicative PIs/Departments may result in FFR/Final Invoice being late with possible loss of funding Budget is reduced as soon as concurrence is received
25 MEMORANDUM TO: Douglas Loy c/o Rose Evans DUE DATE: October 25, 2013 FROM: Doug Dawson Phone: DATE: October 18, 2013 RE: Account No Tetrazines for Hydrogen Storage The enclosed FINAL WORKSHEET and FINANCIAL STATUS REPORT for the referenced award are forwarded to you for approval. If you concur with this report, please sign the certification below and return this memo to me. If you do not concur, please advise me of the discrepancy for correction. Total award amount: $ 100, Total expenditures: $ 99, Total unexpended balance: $ 0.83 Budget will be reduced $ 0.83 Refund to Sponsor: Unbilled Balance (To Be Invoiced Upon Concurrenc $ - I concur with the expenditure report and certify that all expenditures reported or payment requested are for appropriate purposes and in accordance with the provisions of the application and award documents. I understand that if I fail to return this concurrence by the DUE DATE the University may lose the ability to collect the unbilled balance and my department will be responsible for the uncollected funds. Principal Investigator Date Reasons for non-concurrence (if applicable):
26 /31/2013 Current Valid Total Expenses & FINAL Previously Current Expenses Unliquidated Unliquidated Cumulative FRS Remaining ITD Reported Expenses Adjustments Reported Obligations Obligations Obligations Budget Balance Personnel 41, , , , , , , Tuition Rem. 13, , , , , * Operations 41, , , , , , (24,032.43) Subcontracts Travel 2, , , , , , , Capital Direct 99, , , , , , Indirect TOTAL 99, , , , , , *Tuition Remission rolls up into Personnel I/C ADJUSTMENTS: I/C REPORTED: TDC 99, TDC 99, DATE Less Capital - Less Capital - Concurrence to Department Less Other Non-OH & Tuition Rem. Less Other Non-OH & Tuition Rem. Report Mailed to Sponsor I/C Base 99, I/C Base 99, I/C Adj. Prepared I/C Rate 0.00% I/C Rate 0.00% BL# & Date N/A I/C Earned - I/C Earned - Billing Sent I/C Applied - I/C Applied - Cost Sharing Request Adjustments - Adjustments - Initials ADJUSTMENTS: UNLIQUIDATED TOTAL EXPENSE RECONCILIATION: OBLIGATIONS: as of : 10/18/2013 Month Month INVALID EXPENSES: Posted Posted Month Reference No. To FRS Amount Reference No. To FRS Amount Posted Sept Transactions Sep-13 $ Reference No. To FRS Amount October Transaction Oct-13 $ TOTAL - TOTAL EXP & UNLIQ. OBLIG. 99, TOTAL EXP AS OF 10/18/ , TOTAL TOTAL - DIFFERENCE -
27 Final Financial Report Draft FFR will be sent to department with concurrence. We are certifying that all expenses are appropriate and in accordance with the agreement. Revision is usually not possible. More detail may be required than previously; department may need to provide this information. Cost Category Breakdowns Personnel Classifications Cost Sharing Backup for some or all expenses Expense Justifications
28 Property Reporting Handled by SPS Property Administrator: Jennifer Brown Based on award regulations For contracts that involve an equipment deliverable it s important to work with Jennifer and to have both a D-tag and proof of delivery Possible outcomes depending on the regulations Maintain equipment at the UA Return equipment to sponsor Provide equipment to third party
29 Invention/Patent Reporting PI s have ongoing responsibility to report any inventions to Technology Transfer Office At the end of a project a Final Patent Report is often required. SPS facilitates this reporting. SPS sends form to PI; PI completes and returns to SPS SPS sends to Tech Transfer for signature Back from Tech Transfer, SPS submits to sponsor
30 Other Closeout Documents SPS will complete or coordinate Release and Assignment Forms for Contracts and Subcontracts UA Small Business Utilization Manager - Beth Lopez in Procurement handles Subcontracting Report for Federal Contract > $650K ($750K for new) UA Small Business Utilization Manager - Beth Lopez in Procurement handles EPA Grants need annual MBE/WBE
31 Fixed-Price Contracts Payment for Fixed-Price Contracts depends on deliverables being submitted and accepted by sponsor. SPS will request status of deliverables for invoicing. SPS usually has little reporting at end; non-auditable Dept confirms work is completed and requests conversion to fixed price complete SPS confirms full payment is received and then Charges out IDC budget and Transfers remaining funds to PI s FPC account in appropriate department
32 Closing the Account All reporting should be complete All encumbrance should be removed All disallowed transactions should be removed, deficit should be cleared Accounts and cash must be balanced Account marked closed Records must be kept for 5 years from acceptance of deliverables and Financial Report Consult with College refer to records management Time to find new funding
33 DISCUSSION & COMMENTS
34 Prior Approvals Processing: The old standard: Letter to Grants Officer/Contracts Officer /Grants Management Specialist (NIH) initiated by Dept/College and signed by PI and routed to SPS for endorsement (include signature line for Sherry Esham, Director, Sponsored Projects Services) Dept submits to sponsor and follows up Amendment/Approval is issued by Sponsor and processed (Amendment=preaward; approval= postaward) Prior Approvals Required: A-110 Equipment: Yes required; change of PI effort > 25%: Yes required; Rebudgeting: no if no change in scope; Preaward Costs: Yes required; Foreign Travel: Yes required, Subcontracts (subaward of significant programmatic activity): Yes required. NCE: Yes required Prior Approvals Required: Research Terms & Conditions (RTC): See matrix Equipment: depends; Change of PI effort > 25%: Yes required; Rebudgeting Participant Support (Yes for NSF); Preaward Costs: No, not required; Foreign Travel: depends, Subcontracts (subaward of significant programmatic activity): Yes required. NCE: depends Other sponsors: See T&C of award. Often an request will result in an approval or a contract modification, as appropriate. Contracts have no automatic rebudgeting, especially if they are cost reimbursable. Grants Officer Approval vs. Program Officer Approval: Grants officer approval is usually required when the request concerns prior approvals required. No Cost Extension Processing: NSF: NIH: 1 st NCE Processed through fastlane 10 days + prior to expiration Initiated by PI in fastlane 2 nd NCE: Initiated by PI 45 days + prior to expiration Initiated by PI in fastlane (requires PO approval) 1 st NCE: to fund accountant with justification within 90 days prior to expiration of final segment SPS submits in NIH ERA Commons 2 nd NCE: Letter to GMS through SPS (requires GMS approval) USDA-NIFA: 1 st NCE: to SPS with justification prior to expiration SPS submits letter to NIFA 2 nd NCE: to SPS with justification SPS submits letter to NIFA (requires approval) NASA: 1 st NCE initiated on NASA Shared Services website NOAA: 1 st NCE prior to expiration - Initiated in NOAA grants online by PI (use NCE prior approval waived if available) Other Prior Approval Processing: NSF: fastlane - "Notifications and Requests" section. Other agencies: Letter to Grants/Contracts Officer Other Notes: Fly America Act applies to all federal funds How to find in UAFinancials: Cost Reimbursement vs. Fixed Price: On award doc: Grant Description Federal vs. Non-Federal: On Account doc: SubFund Group Code : FEDSUB vs. NONFED (Account range usually: Fed: ; NONFED: )
35 US NSF - Awards - Federal-Wide Research Terms and Conditions 1 of 2 10/21/ :26 AM FEDERAL-WIDE RESEARCH TERMS AND CONDITIONS Federal Register Notice - Final Notice of Standard Terms and Conditions for Research Grants Research Terms and Conditions Agency Implementation Statements - Updated August 19, 2008 Research Terms and Conditions June 2011 (side by side with A-110) July 2008 (side by side with A-110) Research Terms and Conditions Appendix B Subaward Requirements - June 2011 Research Terms and Conditions Appendix C National Policy Requirements - June 2011 Prior Approval Matrix October 2008 July 2008 Agency Specific Research Terms and Conditions DOC - 2/13, 10/08 DOD/AFOSR - 3/12, 7/08 DOD/AMRAA - 10/11, 7/08 DOD/ARO - 6/09, 7/08 DOD/ONR - 2/11, 10/10, 7/08 DOE - 7/08 EPA - 9/13, 1/13, 10/12, 2/11, 11/10, 6/09, 7/08 HHS/NIH - 12/10, 7/08 NASA - 7/08 NSF - 1/13 Significant Changes in 1/13 02/12 Significant Changes in 02/12 10/10 Significant Changes in 10/10 1/10 Significant Changes in 1/10 1/09 Significant Changes in 1/09, 7/08 USDA/CSREES - 7/08 USDA/NIFA - 4/13, 2/13, 5/12, 4/12, 7/11, 10/10, 7/10, 11/09 RELEVANT LINKS Research Business Models Subcommittee Research.gov National Science and Technology Council The National Science Foundation, 4201 Wilson Boulevard, Arlington, Virginia 22230, USA Tel: (703) , FIRS: (800) TDD: (800)
36 Research Terms and Conditions Prior Approval and Other Requirements Matrix* ** October 2008 AFOSR ARO AMRMC EPA NASA NIH NSF ONR USDA DOC DOE General Requirements Change in Scope Prior approval required R Absence or Change of PI R R R R R 21 R R R R R Need for Additional Funding Prior approval required R R Subaward of "significant part" of programmatic effort R R R R R 2 R R 3 R 1 Pre-award costs (90 days) Prior approval waived W Pre-award costs (more than 90 days) Prior approval required W Initial no-cost extension of up to 12 months (per competitive segment) R R W 4 W W W R 5 W W Subsequent no-cost extension or extention of more than 12 months Prior approval required R Carry-forward of unexpended balances to subsequent funding W W W W 6 7 W W W W 22 Cost-related Requirements Rebudgeting among budget categories W W W W W 8 W W W W 22 Rebudgeting between direct and F&A costs W W W W W 8 W W W W 22 Rebudgeting of funds allotted for training allowances (direct payment to trainees) to other categories of expense. W W W W W 9 R W W W W Equipment not in approved budget W W W W W 8 W W W W 22 Capital expenditures for improvement of equipment not in the Prior approval waived 22 Alterations and Renovations costing less than $25,000 W W W W W 11 W W W W W Foreign Travel W 10 W R W W W W W W W Inclusion of costs requiring prior approval in Cost Principles W W W W W 12 W W W W 22 Faculty consulting compensation that exceeds base salary Prior approval waived 22 Restrictions on costs not explicitly unallowable under Cost Principles none none none none none none 16 none 13 R Prior approval required. "Prior approval" means prior written approval from the sponsor. Prior approval can take the form of the sponsor's acceptance of the proposal and/or proposal budget and subsequent incorporation into the award, or written approval of a separate request submitted by the recipient. W Prior approval requirement waived 1 Waived except when subaward would be more than 25% of the total dollars of the award 2 Waived unless change in scope and except when subawardee is foreign 3 Waived except when subaward(s) would be more than 50% of the total dollars of the award; required for any subaward to federal agencies 4 Waived except for extensions that would result in a project period in excess of five years 5 Waived only for first-time requests for extensions of 12 months or less 6 Uncommitted carryforward funds are to be included in the continuation proposal if they are "substantial." 7 Waived except when award indicates prior approval is required 8 Waived unless change in scope 9 Waived except for Kirschstein-NSRA grants 10 Waived, but trip report is required within 30 days after trip completion. See agency specific requirements, Article No. 17, Foreign Travel Reporting Requirements. 11 Waived for alterations and renovations costing up to $300,000, unless change in scope or rebudgeting into A&R exceeds 25% of budget period total 12 Waived, but costs not specifically covered in the Circulars are subject to NIHGPS. 13 Interest penalties for late payment are not allowable 14 Prior approval required for patient care costs if change in scope 15 Prior approval required to modify the amount of cost sharing reflected on Line M of the award budget. 16 Non-working meals and compensation for harm to persons or property are unallowable; also other unallowable costs for awards made under statutory authority cited in Article 3 of the ASR are: graduate assistant tuition remission, F&A in excess of statutory amount, and fixed and real property. 1 Maintained by the NSTC RBM Terms and Conditions Working Group October 2008
37 Research Terms and Conditions Prior Approval and Other Requirements Matrix* ** October 2008 AFOSR ARO AMRMC EPA NASA NIH NSF ONR USDA DOC DOE Cost-related Requirements (cont.) Inclusion of unrecovered F&A costs as cost sharing Permitted P Transfer of funds between construction and non-construction Prior approval required R Use of program income earned during the project period Funds added to the amount available for the project Same Use of program income earned after the project period No obligation to the federal government 23 Property-related requirements Title to supplies with value of more than $5,000 at the end of a R R R W W W W R W W W Acquire j t real property Prior approval required R Encumber real property acquired with federal funds Prior approval required R Use real property acquired with federal funds for other non-federal Prior approval required projects rather than compensating the federal government for its fair R Encumber equipment acquired with federal funds Prior approval required R Trade in equipment purchased with project funds to buy replacement Permitted P Own equipment upon acquisition without conditions or without Permitted obligation to the sponsor at termination of project P Funding agencies' rights in data Not waived Not waived Use of valuation methods other than the lesser of book value or fair Permitted market value for contributed capital assets P Procurement requirements associated with the simplified acquisition Wherever FDP Terms and Conditions incorporate A-110 provisions referring to the "Small Purchase threshold Threshold," the term "Simplified Acquisition Threshold" is substituted. Same Equipment threshold Even if institutions establish a threshold for equipment lower than $5,000, the FDP provisions relating to equipment apply only to those items costing $5,000 or more. Same Project Management Requirements Monthly submission of Cash Transaction Reports when advances exceed $1 million/year Not required 24 Up-front specification of interrelationship among projects Not required 24 Publication acknowledgment and disclaimers Required R Additional requirements for use of human subjects beyond those imposed by federal law none none 17 none none none none none none none none Additional requirements for use of anatomical substances beyond those imposed by federal law none none 17 none none none none none none none none Use of sponsor budget forms for budget revisions Use of electronic records to meet record retention requirements Permitted P 17 Army Surgeon General approval also required 18 Not required, but budget should be in same general format as original 19 Not required for SNAP awards; but others use "Next Period Budget" form page from PHS Must be submitted electronically via the NSF FastLane system at 21 Required for the PI and any other individuals specifically named in the Notice of Award 22 Prior approval required for non-profits 23 For universities - no obligation to the federal government; for non-profits see special terms and conditions 24 Not required for universities * Any of the waivers noted above may be over-ridden by a special term or condition of award. ** Only the full text of the Research Terms & Conditions and the Agency-specific Requirements (ASR) available electronically at: are authoritative. 2 Maintained by the NSTC RBM Terms and Conditions Working Group October 2008
The Lifecycle of a Sponsored Project
The Lifecycle of a Sponsored Project Active Period Spending, Invoicing, Reporting, Monitoring Award Processing And Account Setup Final Reporting Proposal Closeout Funding Funding Sources Where is the Money?
More informationResearch Administration Services Roles & Responsibilities For Grants and Contracts (Excludes Clinical Trials) Version 3.1
Research Administration Services Roles & Responsibilities For Grants and Contracts (Excludes Clinical Trials) Version 3.1 Category PI/PI Staff Department* RAS Unit School/Unit ORA Offices Relevant SOP
More informationSubrecipient Monitoring Procedures
Subrecipient Monitoring Procedures This procedure describes the proper management of subrecipient activity under Purdue sponsored program awards. Definitions Award: An award is a binding agreement between
More informationRebecca Trahan. Office of Sponsored Programs December 9, ORED Limited Submission Update
Rebecca Trahan Office of Sponsored Programs December 9, 2015 1 NSF Updates NIH Updates Uniform Guidance Updates and Reminders ORED Limited Submission Update OSP Updates Q & A 2 1 3 4 2 NSF 16-1 effective
More informationFederal Rules for Sponsored Programs. Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards 2 CFR 200
Federal Rules for Sponsored Programs Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards 2 CFR 200 Uniform Guidance (UG) The Basics Presented by Dan Evon Director
More informationSponsored Projects Services Post Award. Arizona s First University.
Sponsored Projects Services Post Award Arizona s First University. AGENDA An overview of Postaward Administration and the resources we use Today s discussion will include: The Award Documents Types of
More informationSuccessful Stewardship: The Effective Management of Sponsored Projects. Closeout of a Sponsored Project Presented by Tim Patterson February 23, 2004
Huron Consulting Group. All rights reserved. Successful Stewardship: The Effective Management of Sponsored Projects Closeout of a Sponsored Project Presented by Tim Patterson February 23, 2004 Experience.Redefined.
More informationUniversity of San Francisco Office of Contracts and Grants Subaward Policy and Procedures
Summary 1. Subaward Definitions A. Subaward B. Subrecipient University of San Francisco Office of Contracts and Grants Subaward Policy and Procedures C. Office of Contracts and Grants (OCG) 2. Distinguishing
More informationChildren s Discovery Institute Grants Policies
Table of Contents Section Page #(s) Purpose of Grants 2 Funding Mechanisms 2-3 Grant Identifiers 3 Authority for Making Grants 3 Amendment of Policies 3 Direct Costs 3-4 Facilities & Administrative Costs
More informationBall State University
Ball State University CONTRACTS AND GRANTS MANUAL 1 - Introduction... 3 1.1 Purpose of the CGO Manual... 3 1.2 Roles and Responsibilities... 3 A. Responsibilities of the Contracts and Grants Office...
More informationSJSU Research Foundation
SJSU Research Foundation The Nuts & Bolts of Proposal Preparation and Award Management Sponsored Programs Workshop February 16, 2017 Agenda Discussion of Common Issues and Solutions Terms and Conditions
More informationEast Carolina University Sponsored Projects Administration Roles and Responsibilities Matrix By Responsibility
(See legend at end of matrix.) East Carolina University Sponsored Projects Administration Roles and Responsibilities Matrix By Responsibility This matrix is designed to provide general guidance on administrative
More informationPrincipal Investigator
Principal Investigator HEADER TEXT Award Management Roles & Responsibilities November 4, 2016 Susan Mundt, Chris Barnhill, & Jing Liu Agenda PI Definition and Eligibility PreAward Roles & Responsibilities
More informationKuali Coeus Implementation Awards Blueprinting Workshop 2
Kuali Coeus Implementation Awards Blueprinting Workshop 2 KC AWD13: PI Progress Reports KC AWD10: Rebudget KC AWD9: Precloseout/Closeout September 11, 2013 Goals and Outcomes Goals Obtain feedback on the
More informationHelp Is on the Way: The Federal Demonstration Partnership and Emerging Research Institutions
Help Is on the Way: The Federal Demonstration Partnership and Emerging Research Institutions David Wright Executive Director Federal Demonstration Partnership (FDP) Federal Demonstration Partnership (FDP)
More informationOffice of Sponsored Programs Budgetary and Cost Accounting Procedures
Office of Sponsored Programs Budgetary and Cost Accounting Procedures Table of Contents 1. Purpose and Services 2. Definitions of Terms 3. Budget Items 4. Travel 5. Effort Certification Reporting 6. Costing
More informationKuali Coeus Implementation Preaward/Award Blueprinting Workshop 6
Kuali Coeus Implementation Preaward/Award Blueprinting Workshop 6 KC-PRE28: Prepare Summary Proposal KC-AWD22: Research Gifts November 13, 2013 Goals and Outcomes Goals Obtain feedback on the proposed
More informationFDP Subaward Forms Frequently Asked Questions Check back frequently for updates!
FDP Subaward Forms Frequently Asked Questions Check back frequently for updates! Categories of Questions (click hyperlink below): Invoicing & Final Statement of Cumulative Costs Uniform Guidance (UG) data
More informationUNIVERSITY RESEARCH ADMINISTRATION FINANCIAL ROLES AND RESPONSIBILITIES MATRIX - WORK IN PROGRESS 10/03/2013 Roles.
UNIVERSITY RESEARCH ADMINISTRATION Roles Business Internal Controller's Clinical Responsibilities PI Office Chair Dean Audit Office OCR GCFA GCA PROVOST Trials Office I. GENERAL RESEARCH ADMINISTRATION
More informationOMB Uniform Guidance ( UG ) Briefing. ASRSP & OSR Brown Bag Tuesday, January 27 th
OMB Uniform Guidance ( UG ) Briefing ASRSP & OSR Brown Bag Tuesday, January 27 th Background The UG is the single biggest regulatory change in the last fifty years in research administration Interesting
More informationFinancial Oversight of Sponsored Projects Principal Investigator and Department Administrator Responsibilities
Principal Investigator and Department Administrator Responsibilities Boston College Office for Sponsored Programs Office for Research Compliance and Intellectual Property March 2004 Introduction This guide
More informationUNIFORM GUIDANCE IMPLEMENTATION
UNIFORM GUIDANCE IMPLEMENTATION Presented by Sara Judd, OSR Consultant October 2014 Uniform Guidance Implementation what we know and what we re guessing Ready, Set, Go 2014 Fred Hutchinson Cancer Research
More informationEmory University Research Administration Services (RAS) Standard Operating Procedure (SOP)
Emory University Research Administration Services (RAS) Standard Operating Procedure (SOP) TITLE: Complex Award Management Program Projects/Multi-Fund Awards- Post Award NUMBER: RAS SOP 2001 VERSION: 4.0
More informationUNIFORM ADMINISTRATIVE REQUIREMENTS, COST PRINCIPLES, AND AUDIT REQUIREMENTS FOR FEDERAL AWARDS - UPDATE FEBRUARY 2015
UNIFORM ADMINISTRATIVE REQUIREMENTS, COST PRINCIPLES, AND AUDIT REQUIREMENTS FOR FEDERAL AWARDS - UPDATE FEBRUARY 2015 AOA Conference Pasadena, CA February 9, 2015 Agenda 1. Introduction / Disclaimer 2.
More informationOUTGOING SUBAWARD GUIDE: INFORMATION FOR UWM PRINCIPAL INVESTIGATORS VERSION 1, JULY 2015
OUTGOING SUBAWARD GUIDE: INFORMATION FOR UWM PRINCIPAL INVESTIGATORS VERSION 1, JULY 2015 INTRODUCTION The University of Wisconsin-Milwaukee (UWM) is the prime recipient on a wide range of sponsored awards
More informationGuide for Proposal Development and Sponsored Research
Guide for Proposal Development and Sponsored Research Kansas State Polytechnic Grant Office 102 Tullis Building 785-826-2963 Proposal Development: The Big Picture... 2 Research & Sponsored Programs Offices...
More informationWhat Require Prior Approval. Debbie Pettitt 2018 SRA Western/Northeast Section Meeting March 2018
What Require Prior Approval Debbie Pettitt 2018 SRA Western/Northeast Section Meeting March 2018 1 Discussion Topics Definitions to know NIH Standard Terms of Award Expanded Authorities Prior Approval
More informationResearch Administration at Emory Foundation Program DAY TWO: The Financial Administration of Sponsored Programs
Revised 05/2018 Research Administration at Emory Foundation Program DAY TWO: The Financial Administration of Sponsored Programs Presenter: Finance: Grants and Contracts (FGC) Jumionne Tiako AD Post Award
More informationRESEARCH TERMS AND CONDITIONS June, 2011
RESEARCH TERMS AND CONDITIONS June, 2011 TABLE OF CONTENTS Administrative Requirements I. GENERAL Article 1. Purpose. 2. Definitions 3. Reserved 4. Deviations 5. Subawards II. PREAWARD REQUIREMENTS 10.
More informationSponsored Projects: Curriculum Plan Johns Hopkins University Panel Members:
Sponsored Projects: Curriculum Plan Johns Hopkins University Panel Members: Mike Alexander, University Administration Jim Aumiller, University Administration Holly Benze, Engineering Don Cornely, University
More informationGina Billiot, CRA Grant/Contract Specialist 2 (ERA) Office of Sponsored Programs (OSP)
Gina Billiot, CRA Grant/Contract Specialist 2 (ERA) Office of Sponsored Programs (OSP) SPS - System Features SPS - System Overview Workspace Proposal Creation Demonstration Resources LOUISIANA STATE UNIVERSITY
More informationU. S. ARMY MEDICAL RESEARCH ACQUISITION ACTIVITY GENERAL TERMS AND CONDITIONS FOR ASSISTANCE AWARDS TABLE OF CONTENTS. 1 May 2008
U. S. ARMY MEDICAL RESEARCH ACQUISITION ACTIVITY GENERAL TERMS AND CONDITIONS FOR ASSISTANCE AWARDS TABLE OF CONTENTS 1 May 2008 1. RECIPIENT RESPONSIBILITY (DEC 2001) (USAMRAA) 2. ADMINISTRATION AND COST
More informationDiscretionary Grants Overview. Why This Session Is Needed. Lesson Overview & Module Objectives. Modifications: when, why, and how
Oversight and Monitoring 1 Why This Session Is Needed Prior approval requirements Ability to incur costs Modifications: when, why, and how Application to subrecipients Formula authority 2 Lesson Overview
More informationRamp up and Wrap up projects. Riding the Wave to Close Out
Ramp up and Wrap up projects Riding the Wave to Close Out To maximize our time together today: Please turn off or silence your cell phones Limit side chatter so everyone can hear Best of all. Stay for
More informationGRANTS AND CONTRACTS (FINANCIAL GRANTS MANAGEMENT)
GRANTS AND CONTRACTS (FINANCIAL GRANTS MANAGEMENT) Policies & Procedures UPDATED: February 25, 2015 (04/21/16) 2 TABLE OF CONTENTS Definitions... 3-7 DRFR 8.00 Policy Statement... 8 DRFR 8.02 Employee
More informationWelcome and Introductions
Fiscal Matters: An Overview of Annual Head Start and Early Head Start Grant Requirements U.S. Department of Health and Human Services, Welcome and Introductions Staff Grantee Representatives 1 Goals for
More informationPMS Project Closeout. Dan Evon, Michigan State University Nate Martinez Wayman, Duke University
PMS Project Closeout Dan Evon, Michigan State University Nate Martinez Wayman, Duke University 1 Session Outline GAO Audit Reports Closeout Parameters The FCTR Closeout History Sample Numbers Details Late
More informationSubaward Policies and Procedures Manual
JOHNS HOPKINS UNIVERISTY Krieger School of Arts and Sciences Business and Research Administration Subaward Policies and Procedures Manual 2016 Contents Introduction...3 Differentiating types of relationships...3
More informationadvertising and public relations, other than advertising for help wanted or for the procurement of goods or services necessary for the performance of
Award management, also referred to as post award administration includes compliance with university and sponsor policies and procedures in accomplishing the statement of work within the awarded budget.
More informationGOVERNMENT SHUTDOWN FREQUENTLY ASKED QUESTIONS
GOVERNMENT SHUTDOWN FREQUENTLY ASKED QUESTIONS C&G Contact Info: 919-515-8008 or mailto:cnghelpdesk@ncsu.edu SPARCS Contact Info: 919-515-2444 or mailto:sps@ncsu.edu Q: Is my award/account still open for
More informationPost Award Functions. Department/ Principal Investigator. Sponsored Research
Post Award Functions Department/ Principal Investigator HOBS Office of Sponsored Research Award Negotiation & Acceptance 1 Receives award document from sponsor. (May sometimes be received by PI.) 2 If
More informationSponsored Programs Roles & Responsibilities
The University of Florida is committed to acting with integrity in the management of sponsored programs. The goals of this document are to provide descriptions of key individuals or units and their responsibilities
More informationGrants Management Workshop. Proposal and Award Management Support
Grants Management Workshop Proposal and Award Management Support Agenda Sponsored Project Administration UVM and RSENR Support Systems Provide an overview of the grant life cycle For each stage of the
More informationGrants Financial Procedures (Post-Award) v. 2.0
Grants Financial Procedures (Post-Award) v. 2.0 1 Grants Financial Procedures (Post Award) Version Number: 2.0 Procedures Identifier: Superseded Procedure(s): BU-PR0001 N/A Date Approved: 9/1/2013 Effective
More informationDept/ College. Dept/ College. Dept/ College
Office of Research Administration Matrix Revision date -2.10.17 Submitting proposals, executing awards, conducting research, and administrating sponsored projects involves many different people and units
More informationWorkshop #3 Proposal Preparation. Office of Research and Creative Activities
Workshop #3 Proposal Preparation Office of Research and Creative Activities Preliminary Considerations Gift - any external funds that come with no strings LDS Philanthropies receives all gifts for BYU
More information(a) Article 1. Awards Covered by Research General T&Cs. REFERENCE: ARTICLE 2(a)
U. S. ARMY RESEARCH OFFICE RESEARCH GENERAL TERMS AND CONDITIONS AGENCY SPECIFIC REQUIREMENTS 1 June 2009 Army Research Office Home Page http://www.aro.army.mil DoDGARS Part 32 http://www.dtic.mil/whs/directives/corres/html/321006r.htm
More informationSponsored Programs Roles & Responsibilities
The University of Florida is committed to acting with integrity in the management of sponsored programs. The goals of this document are to provide descriptions of key individuals or units and their responsibilities
More informationSPONSORED RESEARCH CONTRACT CLAUSES. By: Chelsea Inman & Greg Tolliver
SPONSORED RESEARCH CONTRACT CLAUSES By: Chelsea Inman & Greg Tolliver 1 WHAT IS A SPONSORED RESEARCH CONTRACT? An agreement for a sponsored research project May be called a grant, contract, cooperative
More informationAward Transfer Guidelines
Award Transfer Guidelines The process of transferring awards from one institution to another is not a simple task and requires negotiation between the sponsoring agency, the old institution and the new
More informationAB20 Model Agreement Update AOA 2012 Annual Conference
AB20 Model Agreement Update AOA 2012 Annual Conference 1 S U E D E R O S A, C S U C H A N C E L L O R S O F F I C E M I K E R O N D E L L I, S D S U R E S E A R C H F O U N D A T I O N A N D R E W B O
More informationFinancial Research Compliance. April 2013
Financial Research Compliance April 2013 Overview I. What is a Sponsored Award? II. Sponsored Awards at WFU III. Compliance IV. Hot Topics V. Audits VI. WFU Updates VII. Questions VIII. Contacts What is
More informationFDP / No Cost Extension Form Instructions
Instructions Overview: The FDP / No Cost Extension form is used to request additional time to complete the original scope of a project, utilizing existing funds available on a grant award issued by a federal
More informationMSU s Financial Administrator Development Program Post-Award Contract and Grant Administration
MSU s Financial Administrator Development Program Post-Award Contract and Grant Administration Presenters: Dan Evon, Executive Director, Contract and Grant Administration Evonne Pedawi, Assistant Director,
More informationTar Heel Certificate Program in Research Administration Level 1 Certification. Award Financial Management
Tar Heel Certificate Program in Research Administration Level 1 Certification Award Financial Management Agenda Review the regulations from an award management perspective Federal Circulars Federal Demonstration
More informationCOST SHARING POLICY COST SHARING POLICY PAGE 1 OF 8
COST SHARING POLICY Effective Date: December 4, 2013 Replaces: Cost Sharing dated January 1, 2010 Approved by: Steve McNally, Senior Associate Vice Chancellor for Budget, Finance and Enrollment Services
More informationCost Sharing Why and How
$ Cost Sharing Why and How Trudy M. Riley Assistant Provost, Research Administration Susan M. Tkachick Sponsored Research Accountant AGENDA What is Cost Sharing Why Cost Share What is Allowable Managing
More informationAURA Sponsored Projects Policies and Procedures
AURA Sponsored Projects Policies and Procedures Page 1 1/22/2013 Performance of the work described in this manual is subject to and governed by the Cooperative Agreement. In addition, CENTERS must comply
More informationGrant and Contract Accounting
University of Washington Faculty Grants Management Program Grant and Contract Accounting Sue Camber, Assistant Vice President Research Accounting and Analysis Grant and Contract Accounting University of
More informationGrant Review and Pre-Award Process Elisa Gleeson Senior Grants Management Specialist
Grant Review and Pre-Award Process Elisa Gleeson Senior Grants Management Specialist 1 Learning Objectives Participants will gain an understanding of the elements of preaward and how to think through required
More informationUniversity of Colorado Denver
University of Colorado Denver Campus Guidelines Title:, 4-13 Source: Prepared by: Approved by: Office of Grants and Contracts Director, Office of Grants and Contracts Vice Chancellor for Research Effective
More informationNASA Hubble Fellowship Program (NHFP) Policy and Budget Information 2018
NASA Hubble Fellowship Program (NHFP) Policy and Budget Information 2018 1 P age Table of Contents INTRODUCTION... 3 NASA HUBBLE FELLOWSHIP PROGRAM CONTACTS... 3 SECTION 1: STGMS... 4 SECTION 2: ROLE DESCRIPTIONS...
More informationDiane Dean, Director Kathy Hancock, Assistant Grants Compliance Officer Joel Snyderman, Assistant Grants Compliance Officer
Division of Grants Compliance and Oversight Office of Policy for Extramural Research Administration, OER National Institutes of Health, DHHS NIH Regional Seminar San Diego, CA October 2015 Diane Dean,
More informationCLOSEOUT - DON T SHUT DOWN SRA 2018 NORTHEAST/WESTERN SECTION MEETING MARCH 2018
CLOSEOUT - DON T SHUT DOWN SRA 2018 NORTHEAST/WESTERN SECTION MEETING MARCH 2018 PRESENTATION TEAM Christine Toalepai, University of Maryland, Baltimore, Office of Sponsored Programs Administration, Sponsored
More informationTHE UNIVERSITY OF TEXAS AT ARLINGTON OFFICE OF GRANT AND CONTRACT SERVICES CLOSE-OUT PROCEDURE
THE UNIVERSITY OF TEXAS AT ARLINGTON OFFICE OF GRANT AND CONTRACT SERVICES CLOSE-OUT PROCEDURE EFFECTIVE DATE OF POLICY/PROCEDURE: June 1, 2000 DEPARTMENTAL DIRECTOR APPROVAL AND DATE: Laura Wade-On File
More informationSponsored Programs New Developments and Important Reminders
Sponsored Programs New Developments and Important Reminders Rebecca Trahan Office of Sponsored Programs January 23, 2018 1 NSF Updates NIH Updates Federal Updates Defense Base Act (DBA) Insurance OSP Updates
More informationGuidelines for the Acceptance and Use of Externally Funded Grants and Contracts
Guidelines for the Acceptance and Use of Externally Funded Grants and Contracts http://www.una.edu/sponsored-programs/ Tanja F. Blackstone, PhD Director, Sponsored Programs tfblackstone@una.edu University
More informationUniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards
Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards Preparing campus for what is changing and what is not What is Grants Reform and when is it effective? What
More informationHow to Manage Externally Funded Grants PROJECTS - FUND CODE 501 or 502
How to Manage Externally Funded Grants PROJECTS - FUND CODE 501 or 502 What is a Grant? Funding that is coming from a source external to Wesleyan Project conceived by the Investigator Response to a solicitation
More informationSponsored Programs Reference Manual
Sponsored Programs Reference Manual This document produced by the Research Administration Improvement Initiative in collaboration with the Office of Sponsored Programs 2006 Massachusetts Institute of Technology
More informationAN INTRODUCTION TO FINANCIAL MANAGEMENT FOR GRANT RECIPIENTS. National Historical Publications and Records Commission
AN INTRODUCTION TO FINANCIAL MANAGEMENT FOR GRANT RECIPIENTS National Historical Publications and Records Commission March 5, 2012 Contents USE OF THE GUIDE... 2 ACCOUNTABILITY REQUIREMENTS... 2 Financial
More informationResearch Administrators Forum October 10th, Marcia Smith Associate Vice Chancellor for Research
Research Administrators Forum October 10th, 2013 Marcia Smith Associate Vice Chancellor for Research Agenda Meeting Agenda Welcome and Announcements Marcia Smith, Office of Research Administration Contract
More informationOffice of Sponsored Programs Policies and Procedures. Sponsored Program Award Management Guidance
Office of Sponsored Programs Policies and Procedures Contents Principal Investigator Eligibility... 2 Policy on Submission Deadlines for Applications Submitted by the Office of Sponsored Programs... 3
More informationUniform Guidance Subpart D Administrative Requirements. Why This Session Is Needed. Lesson Overview & Module Objectives
Uniform Guidance Subpart D Administrative Requirements 1 Why This Session Is Needed Changes impact grant operations and policies Changes to recipient and subrecipient responsibilities 2 Lesson Overview
More informationSAN DIEGO POLICE DEPARTMENT PROCEDURE
SAN DIEGO POLICE DEPARTMENT PROCEDURE DATE: March 25, 2016 NUMBER: SUBJECT: RELATED POLICY: ORIGINATING DIVISION: 1.40 ADMINISTRATION GRANT PROCEDURES N/A ADMINISTRATIVE SERVICES PROCEDURE: PROCEDURAL
More informationAccounting for Cost Share Commitments
IV. Accounting for Cost Share Commitments A. Overview Cost share commitments are contributions made by RIT or a third party to support the overall costs of a sponsored project. The cost share commitments
More informationFinding Funding, Budget Preparation, and Proposal Submission for Sponsored Research
Finding Funding, Budget Preparation, and Proposal Submission for Sponsored Research Laura Johnston, Office of Sponsored Programs, Asst. Director February 24, 2017 1 Agenda A Walkthrough of MSU s Proposal
More informationCost Sharing Administrative Guidelines
Southern Illinois University Carbondale Cost Sharing Administrative Guidelines Summary Cost sharing refers to the resources contributed or allocated by the University to an externally sponsored project,
More informationOSP Forum: The New Federal Research Terms and Conditions Prior Approval Matrix. August 7,
OSP Forum: The New Federal Research Terms and Conditions Prior Approval Matrix August 7, 2017-1 Agenda Recent changes in Federal terms OSP resources and how to use them Similarities & differences among
More informationAFOSR GRANTS OVERVIEW AFOSR. Air Force Office of Scientific Research. RINA MARTINEZ and MATT SLOWIK Air Force Office of Scientific Research
AFOSR GRANTS RINA MARTINEZ and MATT SLOWIK Air Force Office of Scientific Research Distribution A. Approved for Public Release OVERVIEW AFOSR Process Types of Awards Award Terms & Conditions Pre-award
More informationDivision of Grants Compliance and Oversight Office of Policy for Extramural Research Administration, OER National Institutes of Health, DHHS
Division of Grants Compliance and Oversight Office of Policy for Extramural Research Administration, OER National Institutes of Health, DHHS NIH Regional Seminar Chicago, IL October 2016 Diane Dean, Director
More informationOffice of Sponsored Programs and Contracts
Office of Sponsored Programs and Contracts Proposal Process (Part A) Charles E. Patterson, Ph.D. Assistant Director Baylor University Office of Sponsored Programs 4 th Floor, Pat Neff Hall (254) 710-3817
More informationOSP Subaward Request Process. To utilize the system to initiate and complete a request, follow the steps below.
Effective Date: March 1, 2014 Version: 1 Page: 1 of 13 Overview All Sponsored Awards, whether grants, contracts or cooperative agreements, which are received by Emory and which involve participation by
More informationPost Award & Accounting Manual
OFFICE OF RESEARCH & SPONSORED PROGRAMS Post Award & Accounting Manual Office of Research & Sponsored Programs University of New Orleans New Orleans, LA 70148-2105 CERM 460 http://www.uno.edu/orsp Phone:
More informationUser Guide to the Account Information Sheet (AIS)
User Guide to the Account Information Sheet (AIS) December 2010 Contents Page Section 1 Standard Project AIS 3 Section 2 AIS 9 Section 3 No Fund AIS 13 For any questions concerning this user guide or general
More informationUniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards (New Uniform Guidance)
Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards (New Uniform Guidance) Spring Research Administrators Series March 19, 2015 1 Agenda Background UW-Madison
More informationGrant/Sponsor Related Systems. Department and OSP Perspectives on ERA
Grant/Sponsor Related Systems Department and OSP Perspectives on ERA Grant/Sponsor Related Systems General Proposal Submission Information ERA & Sponsor Systems National Institutes of Health BC internal
More informationGRANT MANAGER S HANDBOOK
GRANT MANAGER S HANDBOOK Office of Research & Graduate Studies Foust 251 T: (989) 774-6777 F: (989) 774-3439 E: orgs@cmich.edu The Purpose of the Grant Manager s Handbook is to provide answers to commonly
More informationNon-Personnel Reconciliation Process for Non-Clinical Trial and Non- Cash Basis Sponsored Project Grants/Agreements (w/wbs elements)
University of Kentucky College of Medicine Sponsored Research Administrative Services Standard Operating Procedure Identification M-SRAS 011 Version 2 Date 11/xx/2015 Effective: Contact: SRAS Manager Review
More information2017 POST AWARD FREQUENTLY ASKED QUESTIONS (FAQS) Post Award FAQS
2017 POST AWARD FREQUENTLY ASKED QUESTIONS (FAQS) Post Award FAQS 1. What is Pre-Award and where is it located? Pre-Award is under the purview of the Office of Sponsored Programs (OSP). They assists in
More informationFAQ S FOR UNIFORM GUIDANCE
FAQ S FOR UNIFORM GUIDANCE As Uniform Guidance (UG) and its implications continue to be defined, the Fred Hutch UG Team will release a series of Frequently Asked Questions (FAQs) to clarify current standings.
More informationSubcontract Monitoring
Subcontract Monitoring Subcontract definition Uniform Guidance (UG) 200.330-332 Subrecipient means a non-federal entity that expends Federal awards received from a passthrough entity to carry out a Federal
More informationThese procedures are issued in accordance with Research Policy 306, Cost Sharing.
Procedures for Post-Award Administration of Cost Sharing These procedures are issued in accordance with Research Policy 306, Cost Sharing. They are intended for guidance on post-award administration of
More informationN O N-PR O FI T O R G A NI Z A T I O NS
FIN A N C I A L M A N A G E M E N T G UID E F O R N O N-PR O FI T O R G A NI Z A T I O NS N A T I O N A L E ND O W M E N T F O R T H E A R TS O F F I C E O F INSP E C T O R G E N E R A L SEP T E M B E
More informationTrinity Valley Community College. Grants Accounting Policy and Procedures 2012
Trinity Valley Community College Grants Accounting Policy and Procedures 2012 TABLE OF CONTENTS I. Overview.....3 II. Project Startup.... 3 III. Contractual Services.......3 IV. Program Income.....4 V.
More informationFinding Funding, Budget Preparation, and Proposal Submission for Sponsored Research
Finding Funding, Budget Preparation, and Proposal Submission for Sponsored Research Laura Johnston, Office of Sponsored Programs, Asst. Director Craig O Neill, Office of Sponsored Programs, Manager February
More informationUniversity of North Carolina Finance Improvement & Transformation Contracts and Grants Standards. January 2015 Version 8
University of North Carolina Finance Improvement & Transformation Contracts and Grants Standards January 2015 Version 8 Table of Contents Introduction.......3 Account Setup.....10 Time and Effort Reporting......14
More informationPost Award Administration. Presented by ORA, Finance, Biology & International Offices
Post Award Administration Presented by ORA, Finance, Biology & International Offices We are in this together.. ORA Other units Provost Office ASIC OGC OTT PI Division Grad Office Int l Offices Finance
More informationCarnegie Mellon University Sponsored Projects Accounting (PA17) Interim Financial Reporting Procedures Updated: June 30, 2017 Frequency:
Carnegie Mellon University Sponsored Projects Accounting (PA17) Interim Financial Reporting Procedures Updated: June 30, 2017 Frequency: As Needed Responsible Staff: Post Award Accountant Approval Required:
More informationCURRENT COGR PRIORITIES - BY COMMITTEE (7/10/17)
CURRENT COGR PRIORITIES - BY COMMITTEE (7/10/17) No. 1 Student Financial Aid and "Securing Student Information" and Compliance Supplement New single audit requirement. Delayed until 2018. MEDIUM Pending
More information