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SPTP. Jennifer Gagnon, Nick Brightman & Sudha Ramaswami September 12, 2012. Sponsored Project Training Program Introduction to Sponsored Projects. Introduction to Sponsored Projects.

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jennifer gagnon nick brightman sudha ramaswami september 12 2012

SPTP

Jennifer Gagnon, Nick Brightman & SudhaRamaswamiSeptember 12, 2012

Sponsored Project Training Program

Introduction to Sponsored Projects

introduction to sponsored projects
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
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
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
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
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
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
Grant Life Cycle

Sponsored Project Training Program

find funding
Find Funding
  • Alert services
    • 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 funding1
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=findfunding.html

Sponsored Project Training Program

proposal development submission
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.html

Sponsored Project Training Program

proposal development submission1
Proposal Development & Submission
  • Contact SPA early and often
    • 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 submission2
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 submission3
Proposal Development & Submission
  • Dept Chair reviews & approves proposal prior to submission
    • Quality
    • Consistency with unit mission
    • Effort
    • Cost share commitments
    • Space
proposal development submission4
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
  • Deptadmin toolkit -https://www.uvm.edu/spa/?Page=departmentadministratortoolkit.html
  • UVM Fact Sheet - https://www.uvm.edu/spa/?Page=uvmfactsheet.html

Sponsored Project Training Program

proposal development submission5
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_announcement.html
  • University policies & operating procedures

Sponsored Project Training Program

infoed
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
InfoEd – Training Resources
  • For questions/training, contact Cathy Ruley Condon at catherine.ruley@uvm.edu 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 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 up1
Award Acceptance & Set up
  • Advance account (aka guaranteed funding)
    • https://www.uvm.edu/spa/?Page=advancedaccounts.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 up2
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 up3
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
Award Management
  • Critical component of the award life cycle
  • Continuous monitoring during this phase of
    • 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 management1
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 management2
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 management3
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
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 closeout1
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
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
PeopleSoft – Training & Resources
  • See UVM Learning Services website for training opportunities & online resources https://www.uvm.edu/hrs/?Page=skills/develop_skills.html
  • PeopleSoft login - https://www.uvm.edu/~erp/portal/

Sponsored Project Training Program

grant life cycle1
Grant Life Cycle

Sponsored Project Training Program

outside of grant life cycle
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
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

roles
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

principal investigator pi
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

pi responsibilities
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
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

bus unit admin responsibilities
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
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

spa responsibilities
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

spa responsibilities1
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
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

introduction to sponsored projects1
Introduction to Sponsored Projects
  • Questions?

Sponsored Project Training Program

learning objectives1
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