LSA Research Administrators Information Network ( RAIN )

1. LSA Research Administrators Information Network (RAIN) POST-AWARD Managing the Process January 9, 2013 Presented by: Peggy Westrick, Research Process Senior Manager Steve Beach, Research Process Coordinator College of LSA Research Office

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

3. LSA RAIN Managing the Post-Award Process PI has just notified you that an award is forthcoming—What are your next steps: • If award is to be reduced by more than 20% and/or cost sharing and IDC are changed the PAF is re-routed by ORSP for new signatures. (We ask that any changes be reflected in the MUD screens which you’ll hear about shortly.) • Verify project costs and scope with PI • Research Administrator prepares documents if sponsor needs additional information in order to approve award. • When to ask for a Hardship • Your PI knows it is going to be awarded but anticipates a delay receiving the full award documents. http://orsp.umich.edu/projects/accounting/hardships.html

4. LSA RAIN Managing the Post-Award Process How is Pre-Award spending different from a Hardship PreAward Costs • The award is in just a while before the start date The University may approve pre-award costs of up to ninety days prior to the effective date of an award. Pre-award costs must be necessary for the effective and economical conduct of the project and the costs must be otherwise allowable in accordance with the anticipated terms of the award. Requests should include a brief description of the need and an itemized budget of the costs necessary prior to the effective date of the award. If pre-award costs are associated with a request to establish a new project/grant, please use the Hardship Request Form (in the end you still use the Hardship Request Form).

5. LSA RAIN Managing the Post-Award Process

6. LSA RAIN Managing the Post-Award Process Getting approval to spend up to ninety days before start date • THE UNIVERSITY OF MICHIGAN • DIVISION OF RESEARCH DEVELOPMENT AND ADMINISTRATION • FEDERAL DEMONSTRATION PARTNERSHIP • POST-AWARD CHANGE APPROVAL/NOTICE • The purpose of this form is to record certain post-award changes proposed by Principal Investigators of awards covered by the terms and conditions of the Federal Demonstration Partnership (FDP). It should be used for the following changes: 1) Time extensions (one-time only), without additional funds, for up to twelve months; 2) Equipment purchases, not included in the sponsor-approved budget, where the unit price exceeds $10,000, or in the case of general purpose equipment, where the unit price exceeds $500; 3) Any equipment purchase in the final three months of a project period, even if included in the sponsor-approved budget; 4) Space alteration and/or renovation costs exceeding $3,000. In addition, the form should be used to request approval for 5) Pre-award costs for up to ninety days prior to the effective date of the award. • Principal Investigator:__________________________ DeptID:_________________________________ • Sponsor:____________________ Award#__________________ UM Project/Grant____________ • Describe the proposed change and provide justification. Remember, all proposed changes must be made with the intention of advancing the scientific aspects of the approved project. See back of form for additional instructions. • Dated Signatures: • ________________________ ________________________ ______________________

7. LSA RAIN Managing the Post-Award Process If award comes in and isn’t reduced, a Project Award Notice (PAN) is established by ORSP, and then the project is handed off to Financial Operation (Fin Ops). LSA obviously doesn’t require you change anything in eRPM’s MUD screens. • Here are the basics you’ll find on the PAN All the information identifying the PI, Department, Project Rep, Sponsor, Sponsor numbers, Award amount, period, budget commitments—both sponsor and UM, IDC rate, Project Grant Coordinator, and notes that pertain to the award both from the sponsor and from the UM. IF IT SHOWS eVERIFY make sure that all appointments on this shortcode get eVERIFIED. • If the PAN is wrong you’ll want to contact Fin Ops right away to get a Project Award Change (PAC) issued.

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9. LSA RAIN Managing the Post-Award Process

10. LSA RAIN Managing the Post-Award Process Once Fin Ops activates the project grant, spending can begin (we’ll tell you more about spending in a few minutes including discussing showstoppers): • How do you know if it is activated? (see next two slides) • Get to know your project grant coordinator and your LSA Analyst. Most questions go to one of those two people.

13. LSA RAIN Managing the Post-Award Process If Award comes in but budget IS reduced a new budget, justification, and scope of project is required. (PAFs are not rerouted when Award Documents are in hand.) • Renegotiate sub-awards too!!!!! • eRPM and Sponsor require documents to be uploaded. • Then a PAN is issued for the reduced Award and follows all the steps we mentioned before.

14. Adding Resource Commitments Changes (Budget, Effort ,and Subaccount) to MUD Step 2 Pick your unit Step 3 Click add to start adding commitments Step 1

15. The PAF Subaccount View

16. The MUD Subaccount View

17. The PAF Effort View

18. The MUD Effort View

19. Tracking and Communicating the Award Just like at the proposal stage the: • Research Administrator adds information to MUD in ePAF (see next screen) using an A at beginning of field to identify this entry is at award stage. • Research Administrator alerts the IT Manager via an email (template provided) that an award has been received with computing equipment over $5,000 listed in the budget and/or a Data Management Plan. • Included in that email is a copy of the Data Management Plan submitted with the proposal and any changes made if budget cuts (if applicable). • Research Administrator copies the College Research Office who in turns sends email to AD for Budget for his tracking purposes. (The College Research Office wants to be copied to ensure that folks remember to follow this new process.)

22. LSA RAIN Managing the Post-Award Process Then PAN is issued for the reduced Award and follows all the steps we mentioned before. Showstoppers must be addressed before spending can really begin Critical Items : Certain activities may require further registration/inspection/approvals by appropriate institutional committees for the certification of compliance with federal and state regulations. The establishment of a project/grant may be delayed until approvals are granted for the following activities: use of human subjects/patients • For research involving human subjects, an application must be submitted to the appropriate Institutional Review Board for approval before the research is started. This is now handled online through eResearch. (Go to: http://eresearch.umich.edu/ to start the approval process. • See Human Research Protection Program to identify the appropriate IRB and learn more about obligations for protecting human subjects. Use of human embryonic stem cells • Approval must be obtained from the University Embryonic Stem Cell Research Oversight (ESCRO) Committee for any proposed activity involving the use of human embryonic stem cells. Further information can be obtained by calling the Committee at 615-8936 or online at: http://orsp.umich.edu/policies/um/EScells.html. use of verterbrate animals • Approval must be secured from the University Committee on the Use and Care of Animals (UCUCA) for any proposed activity involving vertebrate animals during the proposed project period. UCUCA and more information use of recombinant DNA • Specify any recombinant DNA that will be used in this project. more information classified research • A Supplementary Proposal Approval Form R is required for classified research restrictions. UM Policy information restrictions on openness of research • If a sponsor intends to impose a restriction, contact your DRDA representative. Restrictions fall into standard, nonstandard, and classified categories. See more information for further details.

23. LSA RAIN Managing the Post-Award Process PEERRS certification is also needed in order to activate project grant if it is the first award for the PI. • PEERRS (Program for Education and Evaluation in Responsible Research and Scholarship) certification look ups (Requires UM Uniqname and Kerberos password) • Any new qualifying appointments that are on PHS or PHS like projects who weren’t already in M-Inform should do so at the time of appointment.

24. LSA RAIN Managing the Post-Award Process 7471s created—It’s mandatory in our College • Justify A21 sensitive items here if they are to be direct charged • Create all sub-awards and ask the departments to review and sign • Revisit “Resource Commitments”: Effort, Cost Sharing, Sub-awards, Subcontracts • Alert IT staff that proposal has been funded so they can review the Data Management Plan for implementation. • 7471 can be changed for moving categories that aren’t required on FDP or change scope of project. • Uploading your 7471 into eRPM alerts your Project Grant Coordinator that it has been done.

25. LSA RAIN-Managing the Post-Award Process Managing the Project Grant • Put Expenses where they belong (no parking—follow the 7471’s categories) • Fix Cost Sharing changes on 7471 too! • Using the Hardships and “PreAward Spending” tools ensures that you won’t need to Park! Moving expenditures is a red flag to auditors. Sub-awards must have parent approval for hardship.

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27. LSA RAIN Managing the Post-Award Process If Conflict of Interest (CoI) is checked on your project and a management plan is in place: • Make sure someone in your unit is monitoring to ensure compliance. • If you want to learn more about the CoI process go to this website • http://www.orsp.umich.edu/policies/um/coi/operating.html

28. LSA RAIN Managing the Post-Award Process Check M-Reports or PBSR to verify that 7471 has been loaded correctly. If not, call your Project Grant Coordinator.

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30. LSA RAIN Managing the Post-Award Process

31. LSA RAIN Managing the Post-Award Process Setting up your file for your project grant with hardcopies and or using the electronic repository (eRPM), the file should include: • Activity Log Information • Sponsor Award Documents • Proposal, Budget, and Justification • PAN and PACS • 7471, FDPs, and A21 Sensitive items list • PAF • Important relevant emails

32. LSA RAIN Managing the Post-Award Process eRPM can be used to hold info in two ways. For info you want to share with everyone – post it as a comment (7471, updated budget/justification, etc). If it includes an attachment go to the attachment tab to easily see it.

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34. LSA RAIN Managing the Post-Award Process eRPM Manage Unit Data supporting documents can be used to hold only documents shared within your own department.

35. LSA RAIN Managing the Post-Award Process Spending the funds: Doing the Hiring Paperwork • Work with your HR person to get the person hired. • Keep them informed of new grants or ending grants, also if funds are running low. Also if eVERIFYrequirements are attached to this contract. • Summer support that has been granted from sponsor. Can’t spend more than 2.5 months from sponsor funds. • Hire any other personnel who will be funded on grants such as temps, consultants, GSRAs, and Postdocs. • Keeping HR paperwork correct ensures Effort Certification is correct.

36. LSA RAIN Managing the Post-Award Process Spending the funds: Equipment (not allowed at end of granting period) • Renovations • IT costs Keep your IT and Facilities people in the loop so there aren’t any unfortunate surprises.

37. LSA RAIN Managing the Post-Award Process Spending the funds: Travel • Concur Just a reminder to use concur and follow the College rules. • Fly America Act United States law, 49 U.S.C. 40118, or "The Fly America Act", requires travelers whose air travel is being financed by the U.S. Government to use U.S. flag air carrier service for all international air travel. In cases where a U.S. flag air carrier does not provide acceptable service for a particular leg of a trip, foreign air carrier service may be used, but only to or from the nearest interchange point on a usually traveled route to connect with U.S. flag air carrier service. In these circumstances, the FTR sections 301-10.135 - 138 specify the exception criteria used to determine the non-availability of a U.S. flag air carrier. http://www.finops.umich.edu/programs/forms/FAAE+Form

38. LSA RAIN Managing the Post-Award Process Spending the funds: Supplies • Computer equipment under $5,000 is considered supplies • If you have approved A21 sensitive items that have been approved in the proposal process attach the approved justification to the 7471 when processing it. Will eliminate the need for the follow-up A21 report.

39. LSA RAIN Managing the Post-Award Process Spending the funds: Tuition • Training Grants Have a tuition cap and the shortfall it causes is funded in LSA with a 50% contribution by Rackham, 25% by participating department, and 25% by College. • GSRAs -- Calculating the GSRA rates http://www.orsp.umich.edu/proposals/students/gsra.html • If a GSRA appointment is put on a grant the tuition will follow just like fringe benefits follow salary. • All sponsors pay blended rate. UM funds are not allowed to use the blended rate. • If sponsor does not allow tuition, let it charge the grant and then move expenditures off the grant to the appropriate funding project grant. If not, you won’t get the in-state rate.

40. LSA RAIN Managing the Post-Award Process Spending the funds: UM Funds (eGIF) • Cost Sharing – project grants management • When should you move the funds? • When you have salary as cost sharing—how to manage? • Renegotiating cost sharing after an award is reduced. • Other commitments – • Most often are non-mandatory cost sharing and the agreement for providing the funds are in-house only (budget for them didn’t go to sponsor). • Rackham’s and College Tuition Grant shortfalls • How often to request the shortfall?

41. LSA RAIN-Managing the Post-Award Process eReconcile—You’ve been spending what’s next: • Revenue vs. projected revenue—make 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 receipts—Follow 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/Pcards—It is easier to get them now rather than from accounts payable when you need them. • Reporting monthly—how to interact with faculty member https://mreports.umich.edu/mReports/ - M-Reports https://finprod.dsc.umich.edu/psp/finprod - eReconciliation https://businessobjects.umich.edu/ - Business Objects

42. LSA RAIN-Managing the Post-Award Process eReconcile—You’ve been spending what’s next: A21 revisited– Journal Entry to move off or reaccount • Watch Research Salaries so you don’t end up with a need for the 120 day memo (don’t park)—If the Research salaries get an account code that makes them A21 sensitive try to work with Sponsored Funds to fix. • 120 day memo—it 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 supplies—get them put on the right account code.

43. 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 FoundationDRDA Project Representative: David Plawchan, davedrda@umich.edu, 764-7237 • Environmental Protection AgencyDRDA Project Representative: Amanda Coulter, acoulter@umich.edu, 936-1353 • U. S. Department of EnergyDRDA Project Representative: Amanda Coulter, acoulter@umich.edu, 936-1353 • National Institutes of HealthDRDA Project Representative: Terri Maxwell, tmax@umich.edu 764-7246 • Air Force Office of Scientific ResearchDRDA Project Representative: Kathy DeWitt, dewitt@umich.edu, 763-6438 • U. S. Department of ArmyDRDA Project Representative: Kathy DeWitt, dewitt@umich.edu, 763-6438 • Office of Naval ResearchDRDA Project Representative: Kathy DeWitt, dewitt@umich.edu 763-6438 • National Aeronautics and Space AdministrationDRDA Project Representative: Kathy DeWitt, dewitt@umich.edu 763-6438 • U.S. Department of AgricultureDRDA Project Representative: Kathy DeWitt, dewitt@umich.edu 763-6438

44. LSA RAIN-Managing the Post-Award Process Managing the Project Grant • Federal Demonstration Partnership (FDP) • Time Extensions—aka. NCTX—How 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 ORSP Rep • Sponsored Programs will issue PAC w/new end date • Do new 7471 when you get PAC This if for first NCTX request—check with ORSP Rep if an additional NCTX is needed (not automatic).

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

46. 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 you’ve 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.

47. 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) • Don’t submit form until you’ve discussed with DRDA Project Rep as most sponsors don’t 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

48. LSA RAIN-Managing the Post-Award Process Managing the Project Grant • Federal Demonstration Partnership (FDP) 5) PreAward Costs As we’ve already discussed in the Hardship and PreAward spending section if you need them ask (don’t 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 you’ve just extended the grant period but don’t have additional $$$$$. It takes a couple days to get the Project Grant to begin spending.

49. 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 ORSP 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

50. 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 what’s happening