April Coon Frances Spalding

1. Grants & Financial Decision Making: Who is SPA and how can we help you with proposal application and receiving and administering your award April Coon Frances Spalding Assistant Director Training Coordinator Sponsored Projects Administration Sponsored Projects Administration 08.26.2014

2. Sponsored Project Administration website: www.ospa.umn.edu

4. Gifts Responsibilities External Sales Outgoing MTAs

5. PI proposal workflow PI Electronic Manual

6. Due dates • The sponsor’s submission type dictates date due at SPA • More info at: ospa.umn.edu/GrantGov/documents/ProposalSubmissionstoSPAQuickRef13Jul11.pdf

7. SPA proposal workflow • Per Regents Policy, SPA is the only authorized unit that may submit proposals for the university. Review Endorsement Submission AWARD AGENCY Electronic Paper Request pre-award Review includes checking for PI training and sponsor compliance

8. Award workflow & responsibilities Fulfill Agency Info Requests Award Negotiation & Acceptance Issue Award Notice & Acct Award NOGA Revised Budget Or … or Current and Pending Support Revised Work Statement Human & Animal Subject Approvals (other …) Award SPA works with PI to solve the problem FCOI Training PI Performs Work SFR Invoices Sponsor Agency Pays Us Reporting/Deliverables SPA Issues Subawards Technical Report Financial Report Award Equipment Report Invention Report Check for FCOI compliance on PHS subawards

9. Tips for success

10. Tips for success

11. SPA is your resource Proposals Awards Negotiates favorable terms on behalf of the PI and the University (publication rights, intellectual property rights, rights in data, adequate indemnification, payment terms, etc.) Accepts awards on behalf of the University Sets up project accounts in the financial system Creates and distributes internal “Notice of Grant Award” synopsizing award terms and conditions Resolves post-award issues (rebudgeting requests, change of PI, disputes with subrecipients, questions about allowability of costs, etc.) Institutional point of contact for questions raised by agencies (e.g., adherence to terms and conditions, compliance with reporting requirements, etc.) • Reviews for completeness and compliance with agency and university requirements (non-technical). Includes the use of eProtocol • Approve proposals on behalf of the University. Includes Unfunded Research Agreements (UFRA) and Proposal Routing Form (PRF). • Submits proposals to agencies • Manages electronic systems for proposal preparation, institutional approval, and submission to agencies (EGMS is a University optional proposal creation system)

12. SPA mission includes Subawards Facilities & administrative costs Known as F&A or Indirect Costs Negotiates University F&A and fringe benefits rates with federal government Approves F&A waivers or reductions Negotiates F&A rates for subrecipients who don’t have federally-approved rates • Assesses potential subrecipients for risk • Checks for FCOI compliance • Issues subawards after ensuring compliance with sponsor requirements • Monitors subrecipients • Approves subaward invoices for payment (after PI review and approval)

13. Other SPA responsibilities Effort reporting Unfunded research agreements Known as UFRAs Assist faculty in obtaining research materials: Material Transfer Agreements (MTA), Confidential Disclosure Agreements (CDA), Data Use Agreements (DUA), Research Collaboration Agreement (RCA) Negotiate INCOMINGMTAs; the Office of Technology Commercialization handles OUTGOING MTAs Prepare and sign all UFRAs • Tracks and monitors compliance with federal effort reporting requirements • Issues effort reports biannually to faculty and departments involved in sponsored research • Works with departmental effort coordinators to facilitate approval and certification of effort reports • Approves historical salary adjustments and re-certifications of effort • Manages associated electronic systems (eCRT is the University’s effort system)

14. Important links General Proposals Funding Opportunities www.research.umn.edu/advance/funding.html F&A Rates www.ospa.umn.edu/forms/rates/F&A.html FY 2015 Fringe Benefit Rates http://www.ospa.umn.edu/forms/FringeBenefitRates.html eProtocolwww.eprotocol.umn.edu Institutional Factoids for Proposals www.ospa.umn.edu/manual/InstitutionalInformation.html • OVPRwww.research.umn.edu • SPAwww.ospa.umn.edu • Sponsored Projects EFS www.ospa.umn.edu/efs_sp/index.htm • SPA Staff Directory www.ospa.umn.edu/directory.html • SFRwww.finsys.umn.edu/sfr/sfrhome.html • PI reports in UM Reports www.umn.edu/ohr/prod/groups/ohr/@pub/@ohr/@trainingservices/documents/asset/ohr_asset_355282.pdf

15. Important links Other PI Training (Mandatory) www.research.umn.edu/reo/education/core.html Sponsored Projects Policies www.research.umn.edu/regulations/policies/ Subaward Resources www.ospa.umn.edu/subaward/index.htm Un-Funded Research Agreements http://apps.research.umn.edu/ufra/ Financial Conflict of Interest www.ospa.umn.edu/PHSFCOIT.html • Pre-Award/ Advance Account Request Form www.fpd.finop.umn.edu/groups/ppd/documents/form/preaward_form1.cfm • Electronic Grants Management System (EGMS)(includes Proposal Prep, Proposal Routing Form, Report for External Professional Activities, Request for Consultant or Outside Service Agreement)www.egms.umn.edu • Effort Reporting Tools and Formswww.ospa.umn.edu/effort/index.html • Peoplesoft-Friendly Budget Form www.ospa.umn.edu/efs_sp/documents/PS-Friendlybudget.xls • Research Statistics (proposals, awards, expenditures, national rankings, etc.) www.research.umn.edu/news/stats.html

16. Contact us! • Pamela Webb • Associate VP for Research Administration • pwebb@umn.edu • 624-1648 • Kevin McKoskey • Sr. Associate Director • kevin@umn.edu • 624-5066 • Judy Krzyzek • Associate Director • krzyzek@umn.edu • 624-2546 • David Hagen • Associate Director (F&A and Effort Reporting) • hagen027@umn.edu • 626-9895 • April Coon • Assistant Director • john5885@umn.edu • 624-7021 • Margie Fisher • Director, Sponsored Financial Reporting • spaul@umn.edu • 624-5007