Grants 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 life cycle Outline general process Outline PI roles and responsibilities - http://www.uvm.edu/spa/?page=rolesandresponsibilities_pi.html Outline SPA roles and responsibilities http://www.uvm.edu/spa/?page=rolesandresponsibilities_spastaff.html Outline RSENR Staff Support roles and responsibilities - http://www.uvm.edu/spa/?page=rolesandresponsibilities_acadstaff.html

UVM and RSENR Support Structures Administrative STRUCTURE: Sponsored Program Administration (SPA) www.uvm.edu/spa/ Pre-award Services from funding searches to award negotiations primary contact is Josh Tyack (x6-5558) Post-award Services primary contact is Tiffany Stewart (x6-4181) RSENR Support Pre-award Services position in process Post-award Services Heather Bullett (x6-2691) or Vacant Grants Management Coordinator Position SYSTEMS: InfoEd Pre-award Process PeopleSoft Post-award Process Tracking InfoEd to PeopleSoft: InfoEd/OSP Proposal number = PeopleSoft Award number

Grant Life Cycle 1. Funding Search 7. Award Close Out 2. Proposal Development (Narrative, Budget, Forms) 6. Award Management (Transactions, Budget, Objectives and Deliverables) 3. Proposal Submission to SPA and Routing for Signatures 5. Award Negotiations and Set Up in PeopleSoft 4. Proposal Tracking

Funding Search General process Use your networks Search Grants.gov Watch for Kimberly s emails Any interest in setting up a Google Drive folder and file where we can dump opportunities into a table (title, deadline and link)? PI roles and responsibilities SPA roles and responsibilities Can assist with Grants.gov search and download if needed RSENR Staff Support roles and responsibilities NA

Proposal Development (Narrative, Budget, Forms) General process Alert SPA and set meeting ASAP Develop materials following RFP/FFO Get subrecipient, current and pending, and PI allocation forms before submit Ask George Allez for his review services early (nikallez@chorus.net) cc Dean Mathews You are responsible for all forms completion Submit all to SPA 10+ days before deadline PI roles and responsibilities You are in charge for overall completion of all parts Delegate to partners Budget narrative can take many hours PI allocation plan - be prepared! Use Grants.gov SOP and their help line Your job to submit to funding agency if not Grants.gov SPA roles and responsibilities Creates UVM budget and routing package for Deans Can send you links to forms Provides basic info. for form content RSENR Staff Support roles and responsibilities Review only

Proposal Submission to SPA and Routing for Signatures General process Submit all to SPA 10+ days before deadline Use InfoEd to upload materials SPA routes to all colleges at UVM with listed Pis Financial Deans and Deans review and approve SPA roles and responsibilities Officially routes the full package to Deans in all Colleges Communicates to you when approved or if issues PI roles and responsibilities Be sure you are set up in InfoEd from initial SPA meeting Follow guidelines in tips packet to upload for routing RSENR Staff Support roles and responsibilities Financial Deans and Deans in all colleges with PIs must review and approve Does not need to be final narrative for review

Proposal Tracking General process As the proposal is routed, InfoEd allows tracking of it PI roles and responsibilities InfoEd allows you to see a proposal s status as it moves through the system SPA roles and responsibilities If SPA submitted for you in Grants.gov, they will alert you when granting agency picks it up NA RSENR Staff Support roles and responsibilities

I have learned that I am funded what do I do? Many times a faculty/pi will learn that they have been funded before anyone else knows CONTACT SPA (Josh Tyack) Inform SPA that an award is forthcoming and they can prepare for negotiations. CONTACT YOUR RBSC GRANTS MANAGEMENT COORDINATOR (Heather or Vacant position) If you have information on the award from the sponsor (start date and amount of award) your coordinator can began the ADVANCE ACCOUNT process. This will allow your award to be set up prior to the final negotiations and signed award document being processed.

Award Negotiations and Set Up in PeopleSoft General process: All award negotiations occur at the SPA offices. Once negotiations are complete, the award is made. Setup is done by the SPA office and communicated to PI and RSENR Business Service Center. RSENR Grants Coordinator reviews and communicates directly with PI on setup needs. PI roles and responsibilities: Is available for SPA to assist with negotiation as needed; responds to RBSC Grants Coordinator when setup email is received. SPA roles and responsibilities: Negotiates and signs award documents; sets up award in PeopleSoft; communicates with PI and RBSC. RSENR Staff Support roles and responsibilities: Completes RSENR set up process using set up checklist within 10 business days of receiving award set up notification email from SPA.

SPA Set Up Notification Email

Note: Fund 300 = Sponsored Funds

RSENR Setup Checklist

A Direct Cost Justification Request Form is required before any of the following costs, shown along with their respective F level budgetary account, may be directly charged to a federal project. Cost Category Administrative & Clerical Salaries General Supplies & Services (ex. office supplies, books, UVM shipping, UVM printing) F Level F5000 F6002 Computer Supplies & Services/Devices Utilities (ex. insurance, electricity) Memberships & Subscriptions Equipment Maintenance (ex. lab equipment maintenance) Work Orders Telephone & Telecom (ex. Non-UVM internet service, cell phone equipment/service) F6020 F6301 F6006 F6510 F6007 F6320

Award Management -Transactions General process: Once you have your chartstring you can begin incurring expenses on your grant. Expenses include compensation (salary or wages and benefits) and other operating (travel, supplies, equipment, etc ). Overview for transaction processing will be provided in the RBSC 101 session. PI roles and responsibilities: PI s are responsible for spending their funds based on the allowable expenditures in your budget and in compliance with funder and UVM policy and practices. See UVM policy website: www.uvm.edu/policies/. Policies by Category: Research. SPA roles and responsibilities: SPA audits certain expenditures and may request additional information. Ex. Foreign travel, expenses requiring direct cost justification (admin. salaries, general supplies, computer supplies, utilities, memberships, work orders). RSENR Staff Support roles and responsibilities: The RBSC Transaction specialists will assist you with your transactions. They will often work directly with the RBSC Grants Coordinators to ensure compliance with spending and confirm allowability.

Award Management Budget mgmt General process: PI, SPA and RSENR Support Staff work together to ensure that awards are managed within budget limits and that sponsor and University regulations are followed. PI roles and responsibilities: Initiates advance account request when appropriate, monitors project s financial status; monitors effort commitments and actuals of key and non-key personnel; manages project within budget limits; approves expenditures; ensures that expenses incurred are allowable, reasonable and allocable to the project to which they are charged; approves sub-recipient invoices; ensures that cost-share requirements are met; initiates timely requests for prior approval for re-budgeting changes when required; ensures accurate and timely effort reporting for project personnel. SPA roles and responsibilities: Provides policy guidance and training about financial compliance requirements; notifies sponsors of post-award modifications; prepares invoices and financial reports; manages accounts receivable; reviews project financial activity for compliance with federal, sponsor and University policies and regulations; approves cost transfer activities. RSENR Staff Support roles and responsibilities: Provides PI with monthly Budget Assistance Model (BAM); assists PI with all financial transactions; makes any necessary journal entries to correct expenses on a grant; resolves budget checking errors on sponsored projects; works with PI to review budget status, grant expenditures and effort requirements and makes necessary distribution or other changes; assists PI in understanding cost share commitments.

Budget Assistance Model (BAM)

How to navigate your Sponsored Project BAM: 1. Click on attachment to this email (this will bring you to the BAM SUMMARY tab). The summary includes all of your recently closed and active projects by Award.id with project.id listed. 2. Click Enable Editing button located in the yellow SECURITY WARNING bar located at the top of the screen (screenshot below). 3. Click Enable Content button located in the yellow SECURITY WARNING bar bar located at the top of the screen (screenshot below). 4. Click YES button located in gray SECURITY WARNING popup (screenshot below). 5. SUMMARY tab (do not make any changes to this spreadsheet, including forecasting, all changes are done on the ProjectDetail tab) - Includes Award Ref, Project, Title, Budget, Expense, Encumbrance, Remaining Balance, % Spent for Sponsor and Cost Share on active and recently closed awards. NOTE: THIS TAB DRIVES THE AWARD DETAIL AND PROJECT DETAIL TABS (YOU CANNOT SWITCH BETWEEN PROJECT DETAIL AND AWARD DETAIL TABS, YOU MUST RETURN TO THE SUMMARY TAB EACH TIME AND SELECT THE PROJECT YOU WANT TO VIEW). 6. PROJECT DETAIL tab - From Summary tab, click on the project number located in column C. Project Detail Worksheet includes: PI, Sponsor, Title, F&A rate, Start Date, End Date, Chartstring, Budget, Expense, Encumbrance, Remaining Balance, Budget Transaction Detail, Payroll Summary, Forecasting tool and TOTAL DIRECT FUNDS AVAILABLE TO SPEND. NOTE: In some instances, the enable editing, enable content and trusted document buttons reappear and you must Enable Editing, Enable Content and Make the File a Trusted Document as you did in steps 2-4 above. -To find Total Direct Funds Available to Spend - Total Direct to Spend (minus F&A) is located in the yellow highlighted row below the Total Expenses Row (screenshot below). This is an estimate based on calculating all remaining balances except F6600 Facilities and Administration.

-To view Payroll Summary - Click on Personnel Salary line amount in the Expense column. Payroll Summary appears below Project Detail table. Project Detail reports tend to default to this view when initially opened. -To view Budget Transaction Detail - Click on Back to Trans Dtl button located to the right of the gray Project Information table (screenshot below). Budget Transaction Detail appears below Project Detail table (replaces Payroll Summary). -To Forecast Expenses - Often times, you will be aware of an expense in process or know of a future expense that you want to forecast in order to get a better idea of balances available. Please keep in mind that payroll is encumbered through the period of time a person is distributed to your project, but no later than the June 30 payroll for each fiscal year. Salary encumbrances can be seen on the Payroll summary view on your Project Detail report. If you believe someone should be encumbered but is not showing up on the summary, please contact your RBSC support person. To enter all future/projected expense(s) into your report, calculate the amount to forecast and put that amount in the "Update Forecast" column on the ProjectDetail report. Then, click on the "Update Forecast" gray button and the amount will move over to the Forecast column AND will show up on your Summary tab. The Remaining Balance will be updated to account for future expenses. This will also update on your Summary tab.

Award Management Objectives and Deliverables General process: Your award document and proposal outlines required objectives and deliverables for each of your projects. PI roles and responsibilities: Responsible to meet all objectives and ensure all program deliverables are met as outlined in the award document and proposal. SPA roles and responsibilities: Writes and endorses subawards; notifies sponsor of post-award modifications to scope of work; notifies PI if progress report/deliverable is overdue; and is responsible for all financial reporting. RSENR Staff Support roles and responsibilities: Assists SPA with communications to PI as necessary.

Award Close Out General process: PI, SPA and RSENR Support Staff work together to ensure that awards are ready to be closed and reported 30 days after the grant end date. PI roles and responsibilities: Reviews transactions to ensure that all expenses are entered into the financial system (PeopleSoft) by the award end date; notifies Grants Coordinator if no cost extension (NCE) will be requested and completes NCE request form within 30 days of the award end date; diligently monitors budget to reduce compliance risks related to cost transfers; ensures that cost sharing commitments are met (including third party cost share). SPA roles and responsibilities: Notifies Grants Coordinator of grants ending within 90 days on a monthly basis; reviews project financial activity for compliance with sponsor and University policies and regulations; collaborates with RSENR Support Staff to ensure all expenses are posted; creates and submits final financial report; AR reconciliation; closes award in PeopleSoft. RSENR Staff Support roles and responsibilities: Coordinates the closeout process with PI; reviews monthly report from SPA; sends email to PI 60 days prior to end date with award balance; reviews Closeout report and resolves issues; collaborates with PI to ensure cost share is met; sends email to PI 30 days after end date with budget transaction detail information; collaborates with transaction specialist to process cost transfers; collaborates with SPA to close out award.

No Cost Extension Request Form

RSENR Closeout Checklist

Closeout Timeline 60 days before end date 30 days after end date Grants Coordinator reviews closeout report, ERS, and sends PI 60 day closeout reminder with current balance. Grants Coordinator reviews closeout report and works with PI and SPA to resolve any outstanding issues. Grants Coordinator reviews final closeout report and sends PI 30 day closeout email with budget transaction detail for review. Grants Coordinator receives final financial report from SPA and forwards to PI. Award is closed. 30 days before end date 60 days after end date

Effort Management using ERS General Process: ERS is a system at UVM that allows PIs to manage their committed effort and then certify their effort to the federal government. ERS is populated from InfoEd (proposal effort) and PeopleSoft once awards are made. PI roles and responsibilities: PI is responsible for understanding committed and actual effort and ensuring that their work plans correspond with actual work effort. Required to review plans quarterly and certify annually in ERS. All changes are communicated to Grants Coordinator. SPA roles and responsibilities: Ensure compliance with committed effort. RSENR Staff Support roles and responsibilities: Coordinates quarterly verification and annual certification in ERS. Works with faculty to ensure salary distributions reconcile with ERS effort plans.

ERS Effort Plan

Questions

Following slides are resources to respond to questions

Advance Account An advance account allows a sponsored project chart string to be setup in PeopleSoft before a formal notice of award is accepted by the university. Work may not begin until the award has been formally accepted by the university of an advance account has been established. To initiate an advance account on a new or continuing award, complete the Advance Account Request Form, located in the SPA Forms Library Advance accounts are limited to 90-180 days. The budget and time period established in PeopleSoft are also prorated based on the length of the advanced account request. Upon receipt of a completed AA request form, SPA will setup the project chart string within 5 business days. If at the end of AA period award or amendment has not arrived, PI s may choose to extend the AA or must move the project expenses to an unrestricted chart string within 30 days.

Advance Account Request Form

Grant Life Cycle Pre Award Principal Investigator (PI) works with SPA on identifying funding for grants PI creates written proposal and sends it to SPA s Research Administrator contact SPA negotiates contract with help of PI as needed Award Document and Budget get uploaded in InfoEd system Once all documentation is gathered and signed Award gets setup in Financial system PeopleSoft Before a formal notice that award has been accepted by the university project chart string to be setup in PeopleSoft under Advanced Account

Grant Life Cycle Post Award Once Grant is setup in InfoEd and PeopleSoft e-mail notification is sent to PI and Grant Manager stating that the award has been set up in the financial system. Email includes award document attachments. PI responsibilities include going over the award document confirming that attached documents terms and conditions and budget are correct. Grant Manager then creates a setup on RBSC side using setup checklist and sends AWARD SETUP e-mail to the PI asking for confirmation of Effort that will then be setup in Salary Distribution module in PeopleSoft. It also includes chart string and budget for both sponsored and cost share sides.

Grant Management Project Expenses Once award is setup in PeopleSoft expenses are posted PI is responsible for all expenses being posted towards the given project PI works with RBSC Transaction Specialist on posting expenses in PeopleSoft Expenses need to be allowable and applicable as well in compliance with award agreement PI s receive BAM (Budget Assistant Model) excel spreadsheet once a month to help them manage their budget BAM shows budgets and spending on budgets from the start to end of the grant and works with RBSC Grant Manager to resolve any issues

Grant Management Cost Sharing PI is responsible for meeting cost share Cost Sharing commitment of UVM or third party resources to support part of the cost of the sponsored project Once described in the proposal and accepted by the sponsor cost sharing is committed and the obligation must be met Cost Share includes Salary/Effort, Operating cost, Gifts, Third Party and Waived Facilities and Administration cost

Grant Management Effort PI is responsible for Effort management PI works with RBSC Grant Manager on any Effort changes who will then update Salary Distribution in PeopleSoft Prior Approval is needed if PI or Key Personnel reduces committed effort by 25% or more PI s Effort will be tracked in ERS (Effort Reporting System) application PI needs to certify effort on all projects in ERS once a year by October 15 th

Prior Approval Requirements by Sponsor

Grant Closeout PI works closely with RBSC Grant Manager and Transaction Specialist on closing Grant All expenses need to be posted before Grant can be closed Grant can not be overspent, in that case all expenses need to be taken off not to go over funded amount If Grant needs to be extended PI works with RBSC Grant Manager on NCE (No Cost Extension) Form that will extend end date of the Grant Once grants end no further work or expenses can be done on that grant Due to liquidation expiration, all expenses must be entered into the financial system (PeopleSoft) before the end date.

Research related policies Cost Policy for Sponsored Agreements Cost Transfers Involving Sponsored Agreements Effort Management and Reporting on Sponsored Awards Establishment of Advance Accounts for Sponsored Agreements Issuing and Monitoring Subawards on Sponsored Agreements Residual Balances on Sponsored Agreements