Award Set Up, Commitment, and Cost Share

1. Award Set Up, Commitment, and Cost Share Last Updated: May 2013

2. Award Set Up, Commitment, and Cost Share Justin Lepscier & Melanie Jacobs Senior Grants & Contracts Specialists Research & Sponsored Programs Pre-Award, Award Set-Up Team Email contact: WISPER@rsp.wisc.edu

3. Agenda • Award Setup Process • Purpose of Projects tab/ project details • Entering protocol • Effort commitments • Cost sharing • PI signature • Validation • Advance awards • No cost extensions

4. Projects Tab Purpose is to Capture DETAILS about how to manage the finances under the award Such as • Federal/Non-Federal Award • Mandatory/Voluntary Committed Cost Sharing • Multiple projects at the time of award • Compliance protocols • Spending edits • Effort commitments Data can be entered at any time but is required before RSP can Generate Award (or Advance Award)

5. Projects Tab When to start? If RSP receives the award first - we will send a “Set-Up Projects” approval to the Award Setup contact (list maintained by Division). If PI or Department receives award notice first: • You can Upload document(s) to Attachments tab • Complete Projects tab • Send Setup approval to Division or RSP

6. WISPER – Division Implementation Your Division may have specific instructions on the following items. Please ensure that you communicate with your Division Research Administrators to determine if they recommend any specific method for: Who will initiate Project Details? Who will complete Project Details? Routing path Use of approvals Attachments expected

7. Projects Tab Projects Tab- What to enter Award Costs & Dates to match award (if advance, best known information $0 OK) Request Multiple Projects if necessary (Subaccounts) Why Multiple Projects? If… - The project necessitates separation of budget or accounting by multiple tasks, departments or other factors. The award incorporates multiple F&A rates (e.g., NSF grant with REU component). Separate fiscal periods require separate accounting, billing or fiscal reports (such as NIH P, T, or U mechanisms). If a new project will be needed each year, set up a new project for each year (Click on “Add Project” button to start) and If you are not sure if projects will be needed each year, contact RSP Add them NOW. RSP will require justification if you ask for them after the award has been generated.

8. WISPER – Protocol Details Protocol Details For any Compliance question to which you responded yes at proposal stage…

9. WISPER – Protocol Details The protocol must be approved & valid. Enter under the Details link. For exempt IRB: Check Yes on the General Page. Enter the protocol number, approved status, date approved and expiration date of 12/31/2099. For WIRB: Upload a copy of the approval as an attachment.

10. WISPER – Protocol Details Protocol Certification Details • Enter IRB, IACUC, biosafety, and stem cell protocol approval information • Protocol must specifically list this award as a funding source (MSN#, Sponsor# etc) • Upload a copy of WIRB approval in Attachments tab • NIH Training Grants: Special instructions at http://www.grad.wisc.edu/research/traininggrants/animalhumanbiol.html

11. WISPER - Project Details Project Details – Necessary Info Description–Use this for your own Reference (It will appear in reports and WISDM.) PI Name Project Type (Research, Public Service etc.) Fund Code 144 (Federal/Federal pass-through) or 133 (Non-Federal) Department – Responsible for award Project Dates - Start & End F&A Information F & A Rate Type – Research, Instruction, Public Service, Off-Campus FA Base– MTDC, TDC FA Rate - % recovered from Sponsor

12. WISPER - Project Details Enter Project Details - Combo Edits (Department & Program) Allowing People to Spend on Account # Single or Multiple Departments Program Codes Reference: http://www.uwsa.edu/fadmin/activity/ Budget Details Direct/F&A, Category, or NIH Training Grant If Advance Award, can leave these as $0

13. WISPER – Effort Resources Effort RSP Effort Page: www.rsp.wisc.edu/effort/index.html

14. WISPER- Verifying Effort Certification and Training Effort Certification is required by Federal Regulation and University policy. Effort Certification is the UW’s means of providing assurance to Sponsors that faculty and staff have met their commitments, paid or unpaid (cost shared), to Extramural/Sponsored projects. Effort Certification is done through ECRT but we use WISPER to confirm Effort Training and Certification requirements are met.

15. WISPER – Effort Training and Certification UW EFFORT Requirements for Account Set-Up • All Key Personnel must complete Effort Training • PI must certify for self and staff (graduate students, postdocs & classified staff) • Key Personnel must certify for self *RSP will not set up awards when anyone on the key personnel or commitments section has a NO for Effort Requirements met. There is a validation warning in WISPER if Key Personnel have not Met requirements. WISPER General Tab has a help icon that Provides a link to RSP ECRT page for help. Or contact Dept Effort Coordinator.

16. What is a commitment? Identified & quantified obligations Commitments Effort Non-Effort PaidEffort Cost-Shared Effort Non-Payroll Cost Sharing Not Paid By Sponsor

17. WISPER – Effort Commitments UW Effort Policy: http://www.rsp.wisc.edu/effort/uwMadisonEffortPolicyFINAL2007-08-29.pdf Policy in place to ensure: • Faculty and staff have met their commitments to sponsored projects. • Salaries charged to sponsored projects are reasonable in relation to the work performed. • Policy states that faculty cannot commit 100% of their effort on sponsored projects, as time must be reserved for other UW duties.

18. WISPER – Effort Commitments UW Effort Guidelines: http://www.rsp.wisc.edu/effort/uwMadisonEffortGuidelines2008-03-19.pdf Must have minimum of 1% effort commitment (regardless of salary requested) to be listed as PI on ANY WISPER record. Exception 1: No PI Commitments required on: • Equipment or instrumentation grants, doctoral dissertation grants, and student mentoring grants Exception 2: Can have less than 1% if individual is the PI on multiple clinical trials *The commitment to any one trial may be less than 1%, as long as the sum of all the commitments represents a reasonable level of effort

19. WISPER – Effort Commitments Who has commitments? • PI • Co-Investigators • Key Personnel (that are listed & identified in the proposal or award as senior/key personnel). When the proposal does not explicitly list key persons, the university defines key personnel for the purpose of effort reporting as the principal investigator/project director and all co-investigators

20. Effort commitments: what’s quantified, where is it identified? • Commitments are made at Proposal Stage: • What? The quantified amount of effort proposed in a grant proposal or other project application • Where? Budget, Budget justification, SOW (if specific & quantified) • Ex 1: "Professor Jones will devote 10% of her time during the academic year to this project." • Ex 2: PI proposes 30% effort for 12 months • PI requests salary support for 10% • Effort commitment still = 30% • Creates cost share commitment = 20%

21. Effort Commitments –what’s quantified, where is it identified? Award Stage: Quantified amount of effort proposed that the sponsor accepts & awards, regardless of salary support. Sponsor reductions in budgets do not Mean Sponsor accepts a reduction in effort. Options for dealing with budget cuts: • Keep salaries & effort the same as proposed; reduce other budget categories (travel, supply etc.) • Keep effort the same, reduce salaries – document the increased cost share • Reduce effort commitments – prior approval needed from sponsor if reduction is greater than 25% for all sponsors

22. WISPER – Effort Commitments Fellows & Trainees • Fellows & trainees are not normally considered Key Personnel • No effort commitment required as they are paid stipend and not salary Mentors • No effort required for Career award or fellowship mentoring • Effort is required for Training Grant PIs

23. What documents contain effort commitments? Effort commitments can be found and RSP checks at the time of award (in this order): • Post award commitment changes • Award document • JIT info (revised budgets/justifications) • Proposal budget • Other proposal sections

24. WISPER - Commitments Conversion Calculator www.rsp.wisc.edu/PMconversion.xls

25. WISPER – Effort Commitment Entry, A-basis, Sponsor paid • Example 1 • Professor PI has promised 4.8 calendar months to the project in Year 1 • 4.8 calendar months = 40% effort commitment whether or not salary is being requested

26. WISPER – Effort Commitment Entry, A-basis, Sponsor paid One Commitment – Constant, paid by Sponsor, A-basis appointment. Enter aggregate. Year 1 -5: Start = 12/1/07. End = 11/30/12. Commitment = 40%

27. WISPER – Effort Commitment Entry, A-basis, Sponsor paid Example 2 Multiple periods – Not constant, paid by Sponsor, A-basis appointment. Enter each commitment period separately: • Year 1: Start = 1/1/08. End =12/31/08. Commitment = 30% • Year 2: Start = 1/1/09. End= 12/31/09. Commitment = 5% • Year 3: Start = 1/1/10. End =12/31/10. Commitment = 25%

28. WISPER – Effort Commitments Summer Commitments – Academic (C or 9 month) Appointees • Typically, budgets list “1 summer month” or “2 summer months” without identifying which month(s). • Check with your Dean’s office for method to use. • You may opt to enter summer effort for the summer period only: • 1 summer month: 33% from 6/1 – 8/31 • 2 summer months: 67% from 6/1 – 8/31 • This method enables us to know that an individual is not overcommitted for the summer months • You may opt to enter summer effort over the total months funded: • 1 summer month: 1/10 = 10% from 9/1 - 6/30 • 2 summer months: 2/11 = 18% from 9/1 – 7/31

29. WISPER – Effort Commitments More on Summer Commitments • Page 9 of the Effort manual: http://www.rsp.wisc.edu/effort/uwMadisonEffortGuidelines2008-03-19.pdf • 8/9 rule • Faculty are permitted to work 8 months of summer salary in any 9 summer months (any 3 consecutive years). They must take at least 1 month without summer salary every 3 years.

30. Cost Sharing Policy, Guidelines, Key Ideas, Definitions, Etc.: http://www.rsp.wisc.edu/costsharing/index.html RSP Cost Share Working Group Business Process #4 (How RSP/Campus will setup CS at award) http://www.rsp.wisc.edu/costsharing/CSWG-BPR04.pdf

31. Cost share commitment entry in WISPER/PS Cost Sharing Federal & Non-Federal Awards Mandatory Required as a condition of proposal submission & award acceptance Voluntary Not required, but offered in proposal & accepted by sponsor; an obligation that university must fulfill Any committed salary cost sharing (effort committed, but salary not paid by sponsor) must be entered Any non-payroll cost sharing, send email or add approval to notify RSP & Division A term of the award will be added

32. WISPER – Cost Share Payroll Commitments If you are cost sharing, you must be careful while setting up the Project details. • An appropriate source of funding should be used to provide the cost share. • C-basis appointees are typically only paid on 101 funds during the academic year. • If using 101 funds for C-basis appointees, cost share should be set up only during academic year, 9/1-5/31. • For C-basis appointees, the denominator for cost share commitment may be different than for the effort commitment.

33. WISPER – Effort Commitment, A-basis, Sponsor paid & Cost shared Example 3

34. WISPER – Effort Commitment, A-basis, Sponsor paid & Cost shared 3. One Commitment – Paid partly by Sponsor and cost shared by University, A-basis appointment.

35. WISPER – Effort Commitment, C-basis Example 4

36. WISPER – Effort Commitment, C-basis, Sponsor paid & Cost shared

37. WISPER – Effort Commitment, C-basis, Sponsor paid & Cost shared 4. One Commitment – Paid partly by Sponsor and cost shared by University, C-basis appointment.

38. The effort process in a nutshell: • Proposed commitments for the PI/Co-I and all key personnel are entered into the Projects tab in WISPER (before award set up). • RSP verifies commitment information at award set up. • Commitment data flows into SFS Extensions when the award is set up. ECRT extracts commitment information from SFS Extensions. • View commitment data: SFS Extensions>UW Cost Share>Effort Commitment>Commitment Inquiry or Projects tab>UW Commitment Inquiry • Effort is expended. Effort reporting is needed, after the fact, to ensure to the sponsor that commitments are met (done in ECRT). • ECRT - Add-on Tools section • Tool will display overall commitment – AND show how that commitment relates for the current cert period. Certification = a.) that effort met the commitment to the sponsor; and b.) that the grant was not overcharged

39. WISPER - Changes Changes http://www.rsp.wisc.edu/forms/costshare.pdf You must check the appropriate box first. Then appropriate questions will appear below. Send completed forms to Dean’s office, who will route to RSP.

40. WISPER - PI Signature PI’s must log in with their own NetID & sign • Link is only available for those listed as PI • Link at the top of the General tab & the bottom of all other tabs • Award Signature must be completed before the request to set up the advance award or finalize set up of the projects. • Know whether the PI has signed by clicking on the Request signature button on the General Tab or looking in the Document History (request using button on General Tab if needed)

41. WISPER – PI Signature PI signature on History tab

42. New PHS FCOI Regulations • http://www.gpo.gov/fdsys/pkg/FR-2011-08-25/pdf/2011-21633.pdf • http://grants.nih.gov/grants/policy/coi/ • All PI/Co-I and Key Personnel on PHS Awards will need to complete FCOI training • All PI/Co-I and Key Personnel will need to update their OAR at time of Award Setup

43. WISPER – I’ve Completed Project Entry Validate! If RSP sent you an approval, respond to it. Make sure to click “Validate” button prior to responding to the approval. Correct any errors. Errors appear in RED

44. WISPER – Advance Award Request Advance Award Projects to be set up in advance of the award a) being received or b) fully executed. Complete all information on Projects tab Validate! Add approval REQUEST ADVANCE AWARD SETUP to your Division Division then notifies RSP via Division Action page The day after advance award set up is completed, an email notification is sent to those on Department email contacts list. Check Document History if you are not listed.

45. WISPER - Changes No Cost Extensions • Processed in WISPER • http://www.rsp.wisc.edu/awardmgt/nocost.html

46. Help? If you need help, try the following steps: • Click on the help icon next to the field in question • Click on the WISPER Help link on the top of each page • Contact the SPO Owner (see SPO Action tab) • Consult the WISPER help page at: http://www.rsp.wisc.edu/WISPER/ for • Training Manual • Desk References • Webcasts • This presentation • Email: WISPER@rsp.wisc.edu

47. WISPER – Feedback & Questions • Questions? • Anything we didn’t cover that you would like to see. • Anything we covered that wasn’t clear. Thank you!