POST-AWARD Managing the Process April 20, 2011 Presented by: Amber Stadler, Business Manager, Department of EEB Alexandra Thebaud, Contract and Grant Specialist,

POST-AWARD Managing the Process April 20, 2011 Presented by: Amber Stadler, Business Manager, Department of EEB Alexandra Thebaud, Contract and Grant Specialist, Department of Physics Peggy Westrick, Senior Manager, College of LSA Research Office LSA Research Administrators Information Network (RAIN) Day Four 1

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

LSA RAIN-Managing the Post-Award Process 3 Two things I want to officially bring to your attention before we go into todays session: 1. Please check my name on the eRPM list for each first 7471 for new awards as you are loading them into eRPM. That way I am notified that it is now in the system. The 7471 becomes the historic view of the the changes made to the sponsor budgetmost often dont get a new one from sponsor when changes are made. 2. At proposal time and when an award is issued notify your IT folks for computing over $5,000 and Facilities folks for equipment causing the need for a renovation. Youll hear at the May RAIN session how to use the Manage Unit Data pages for capturing this information. Ive included a template email so you can notify your IT and Facilities folks without allowing them into eRPM.

LSA RAIN-Managing the Post-Award Process Creating a Standard Operating Procedure (Business Process) Help create steps for building your own. Create eRed Folder in eRPMs Manage Unit Data screens (will show you how in the May RAIN session) which includes these categories: Activity Log, Sponsor Award Documents, Proposal, Awarded Budget, Awarded Budget Justification, PAN and PACs, 7471, FDPs, and A21 Sensitive items list, PAF, Important relevant emails. This could resemble the paper version that Alex talked about last time. 4 Amber

LSA RAIN-Managing the Post-Award Process Managing the Project Grant Put Expenses where they belong (no parking follow the 7471s categories) Using the Hardships and PreAward Spending tools ensures that you wont need to Park! Moving expenditures is a red flag to auditors. Sub-awards must have parent approval for hardship. 5 Amber

LSA RAIN-Managing the Post-Award Process eReconcileYouve been spending whats next: Revenue vs. projected revenuemake sure your funds have arrived! Budget is not revenue Budget is what was promised and revenue if what was received. DOE or NSF Letter of Credit How to see it on: SOAs, M-Reports, and PBSR (see handout) Best Practice for eReconciling Keeping receiptsFollow your departments best practice Keep Federal records for 7 years after the close Keep receipts for A-21 sensitive items paid before end date Tracking Salaries Concur/PcardsIt is easier to get them now rather than from accounts payable when you need them. Reporting monthlyhow to interact with faculty member https://mreports.umich.edu/mReports/https://mreports.umich.edu/mReports/ - M-Reports https://finprod.dsc.umich.edu/psp/finprodhttps://finprod.dsc.umich.edu/psp/finprod - eReconciliation https://businessobjects.umich.edu/https://businessobjects.umich.edu/ - Business Objects 6 Alex

LSA RAIN-Managing the Post-Award Process eReconcileYouve been spending whats next: Faculty Monthly Report Power Point 7 Alex

LSA RAIN-Managing the Post-Award Process eReconcileYouve been spending whats next: A21 revisited Journal Entry to move off or reaccount Watch Research Salaries so you dont end up with a need for the 120 day memo (dont park)If the Research salaries get an account code that makes them A21 sensitive try to work with Sponsored Funds to fix. 120 day memoit takes a month to get a retroactive salary approval because your Project Grant Coordinator has to approve it and then it goes to Bryan Van Sickle for approval. Research supplies might show up as general suppliesget them put on the right account code. 8 Alex

LSA RAIN-Managing the Post-Award Process Managing the Project Grant Federal Demonstration Partnership (FDP) 1) Time Extensions, 2) Equipment Purchases not in budget, 3) Equipment Purchases in last three months of Project Grant, 4) Renovations exceeding $3,000, 5) PreAward Costs, and 6) Rebudgeting Which Project Reps have FDP authority? http://www.drda.umich.edu/policies/federal/fdp.html Participating Federal Agencies National Science Foundation DRDA Project Representative: David Plawchan, [email protected], 764-7237David [email protected] Environmental Protection Agency DRDA Project Representative: Amanda Coulter, [email protected], 936-1353Amanda [email protected] U. S. Department of Energy DRDA Project Representative: Amanda Coulter, [email protected], 936-1353Amanda [email protected] National Institutes of Health DRDA Project Representative: Terri Maxwell, [email protected] 764-7246Terri [email protected] Air Force Office of Scientific Research DRDA Project Representative: Kathy DeWitt, [email protected], 763-6438Kathy [email protected] U. S. Department of Army DRDA Project Representative: Kathy DeWitt, [email protected], 763-6438Kathy [email protected] Office of Naval Research DRDA Project Representative: Kathy DeWitt, [email protected] 763-6438Kathy [email protected] National Aeronautics and Space Administration DRDA Project Representative: Kathy DeWitt, [email protected] 763-6438Kathy [email protected] U.S. Department of Agriculture DRDA Project Representative: Kathy DeWitt, [email protected] 763-6438Kathy [email protected] 9 Amber

LSA RAIN-Managing the Post-Award Process Managing the Project Grant Federal Demonstration Partnership (FDP) 1) Time Extensionsaka. NCTXHow to get one. Rationale from PI When to get one Create new budget and justification Get signatures on form from PI and Chair Submit to DRDA Rep Sponsored funds will issue PAC w/new end date Do new 7471 when you get PAC This if for first NCTX requestcheck with DRDA Rep if an additional NCTX is needed (not automatic). 10 Amber

LSA RAIN-Managing the Post-Award Process Managing the Project Grant Federal Demonstration Partnership (FDP) 2) Equipment Purchases not in budgetTo do it. Rationale from PI Create new budget and justification Get signatures on form from PI and Chair Submit to DRDA Rep Sponsored funds will issue PAC w/new Direct, Indirect (changes IDC), and Total Do new 7471 when you get PAC 11 Amber

LSA RAIN-Managing the Post-Award Process Managing the Project Grant Federal Demonstration Partnership (FDP) 3) Equipment Purchases in last three months of Project Grant Hard to get approved because it is rare to have a good rationale Examples of good rationale would be grant is continuing or youve been granted a NCTX Get signatures on form from PI and Chair Submit to DRDA Rep NO PAC from Sponsored funds and NO NEW 7471 NEEDED. 12 Amber

LSA RAIN-Managing the Post-Award Process Managing the Project Grant Federal Demonstration Partnership (FDP) 4) Renovations exceeding $3,000 (if allowed in original grant from sponsor and wanting to rebudget more funds into Reno) Dont submit form until youve discussed with DRDA Project Rep as most sponsors dont allow renovations. Get signatures on form from PI and Chair Submit to DRDA Rep DRDA will issue PAC Do new 7471 when you get PAC 13 Amber

LSA RAIN-Managing the Post-Award Process Managing the Project Grant Federal Demonstration Partnership (FDP) 5) PreAward Costs As weve already discussed in the Hardship and PreAward spending section if you need them ask (dont park expenses) Do Hardship Form too Get signatures on both forms from PI and Chair Submit to DRDA Rep Sponsored funds will issue Hardship PAN Do new 7471 when you get Hardship PAN Watch funds carefully as youve just extended the grant period but dont have additional $$$$$. It takes a couple days to get the Project Grant to begin spending. 14 Amber

LSA RAIN-Managing the Post-Award Process Managing the Project Grant Federal Demonstration Partnership (FDP) 6) Rebudgeting For major categories that shift the scope of the project If DRDA does not have FDP approval the PI must go to the sponsor for approval for changes over 25% For changes less than 25% just change by using a 7471 Sponsored funds will issue PAC w/new Direct, Indirect (changes IDC), and Total Do new 7471 when you get PAC 15 Amber

LSA RAIN-Managing the Post-Award Process Managing the Project Grant Projections Forecasting A 7471 helps keep spending in the right categories and clarifies any budget changes A forecasting tool helps you sort out unexpected spending and allows you to forecast how it impacts the budget Use the forecasting tool to meet with your faculty member so they have a better understanding of whats happening 16 Alex

LSA RAIN-Managing the Post-Award Process Progress and Financial Reports Using eRPM as a repository (Best practice for Research Administrator to load into eRPM) If PI hasnt done the appropriate reports the sponsor often wont give next years funds. UM is also at risk of losing funding if PI is late with reports. 17 Alex

LSA RAIN-Managing the Post-Award Process M-Reports you know the end date is approaching Make sure monthly expenses like gas, phone, etc. are stopped from hitting the project grant. Project Ends RA receives FSR two to three months after closing Final Status Report (FSR)Closing out the project Research Administrator Reviews (A21 notice means you didnt do all the earlier steps) Make adjustment to FSR if need be Faculty sign off Monitor for expenses hitting the project grant until it is off the M-Reports 18 Alex

LSA RAIN Scenario PI met with his Research Administrator (RA) January 1, 2011 to review his accounts. RA brought to his attention that his NSF grant will run into deficit if he continued to pay for his postdoc salary and fringe benefits. The PI noticed that he hardly spent any funds on his NIH grant and would like to transfer the postdoc appointment retroactive to July 1, 2010. The PI mentioned by making this appointment change it will also free up funds to purchase research supplies on his NSF grant. The RA found out that the postdoc already effort certified. How should the RA proceed? 19 Amber

LSA RAIN Scenario Answers 1.Depending on Department policy, the simple answer is no, we do not retroactive appointments. 2.RA inquires with PI: -Will the postdoc be working on the research related to the NIH or NSF? -Depending on the PIs answer, the postdoc can have a split appointment if he will be working on both projects. If the postdoc will be changing projects and working on the NIH grant then we need to request 120 day memo, etc. 3.Explain to the PI: due to the 120 day rule we can only go back as far as September 1, 2010 4.Need to request a 120 day memo (along with what the HR submittal form would look like) and receive approval from Fin Ops. Once approved then your HR rep will also need to inform the postdoc that he has to recertify 20 Amber

LSA RAIN-Managing the Post-Award Process LINKS for reference DRDA Website http://www.drda.umich.edu/http://www.drda.umich.edu/ Financial Operations website http://www.finops.umich.edu/programs http://www.finops.umich.edu/programs LSA RA Toolkit http://www.lsa.umich.edu/research/resources/admintoolkit http://www.lsa.umich.edu/research/resources/admintoolkit Mreports http://wolverineaccess.umich.edu/reporting_secondary.jsp http://wolverineaccess.umich.edu/reporting_secondary.jsp eGIF https://www-a1.lsa.umich.edu/eGif/https://www-a1.lsa.umich.edu/eGif/ 21 Peggy

Query list 22 Business Objects ReportsM-Reports CMB Sponsored Project Grant Reconciler w PBSRProject Grant Budget Status Report with Drilldown features - Sponsored CMB Reporting Bdgt Ledger NonSponsored Reconciler by PG Project Grant Budget Status Report with Drilldown features Non Sponsored CMB Reporting Bdgt Ledger NonSponsored Reconciler by FundDeptPrgm P/G Budget Status/Activity CMB NonSponsored Reconciler by PG with Carryforward and Revenue Spon Parent Summary PY01 Pay Payroll Estimates for Dept or Dept GrpP/G Voucher Details CMB eReconciliation by Fund/Dept/Program CMB eReconciliation by Project Grant