LSA Research Administrators Information Network ( RAIN ) Day Four

1. LSA Research Administrators Information Network (RAIN)Day Four 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

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 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 Two things I want to officially bring to your attention before we go into today’s 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 budget—most often don’t 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. You’ll hear at the May RAIN session how to use the Manage Unit Data pages for capturing this information. I’ve included a template email so you can notify your IT and Facilities folks without allowing them into eRPM.

4. 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 eRPM’s 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.

5. LSA RAIN-Managing the Post-Award Process Managing the Project Grant • Put Expenses where they belong (no parking—follow the 7471’s categories) • 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.

6. 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

7. LSA RAIN-Managing the Post-Award Process eReconcile—You’ve been spending what’s next: • Faculty Monthly Report Power Point

8. 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.

9. 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

10. 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 DRDA Rep • Sponsored funds will issue PAC w/new end date • Do new 7471 when you get PAC This if for first NCTX request—check with DRDA Rep if an additional NCTX is needed (not automatic).

11. LSA RAIN-Managing the Post-Award Process Managing the Project Grant • Federal Demonstration Partnership (FDP) 2) Equipment Purchases not in budget—To 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

12. 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.

13. 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

14. 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.

15. 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

16. 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

17. 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 hasn’t done the appropriate reports the sponsor often won’t give next year’s funds. • UM is also at risk of losing funding if PI is late with reports.

18. 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 didn’t 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

19. 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?

20. 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 PI’s 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

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

22. Query list