Jennifer Gagnon, Nick Brightman & Sudha Ramaswami September 12, 2012 1 Sponsored Project Training Program Introduction to Sponsored Projects

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Jennifer Gagnon, Nick Brightman & Sudha RamaswamiSeptember 12, 2012

Sponsored Project Training Program Introduction to Sponsored Projects

Introduction to Sponsored ProjectsThis 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 ObjectivesParticipants 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


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


Characteristics of sponsored projectsStatement of workClear period of performanceReporting requirements

◦Programmatic & financial◦External audits◦Return of unspent funds

Special facilities/accommodations


Common termsGrant - assistance mechanismContract - procurement mechanismCooperative Agreement - similar to a

grant but with more involvement from sponsor

OMB Circulars◦A-21, cost principles◦A-133, audit

Federal Acquisition Regulations (FAR)SubrecipientCost share

Sponsored Project AdministrationIntegrated 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


Grant Life Cycle


Find FundingAlert 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 resourcesSponsored Project Training Program

Find FundingSPA 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


Proposal Development & SubmissionCollaboration 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


Proposal Development & SubmissionContact SPA early and often

◦ Intent to apply◦Sponsor guidelines◦Funding restrictions◦Draft budget & scope of work

Budget developmentSubawardsInterpretation of university federal &

sponsor regulationsCompletion of agency forms &

certifications


Proposal Development & SubmissionPI 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


Proposal Development & SubmissionDept Chair reviews & approves

proposal prior to submission◦Quality◦Consistency with unit mission◦Effort◦Cost share commitments◦Space

Proposal Development & SubmissionBusiness unit administrator responsibilities:

◦Assist PI with budget & other administrative tasks

◦Confirm chartstrings for cost share commitments◦Assist, if applicable, with decisions on budget &

space availabilityDept admin toolkit -https

://www.uvm.edu/spa/?Page=departmentadministratortoolkit.html

UVM Fact Sheet - https://www.uvm.edu/spa/?Page=uvmfactsheet.html


https://www.uvm.edu/spa/?Page=departmentadministratortoolkit.html



https://www.uvm.edu/spa/?Page=uvmfactsheet.html

https://www.uvm.edu/spa/?Page=uvmfactsheet.html

Proposal Development & SubmissionRegulatory 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


https://www.uvm.edu/spa/?Page=coi_new_announcement.html

https://www.uvm.edu/spa/?Page=coi_new_announcement.html

InfoEdProposal 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


InfoEd – Training Resources

For questions/training, contact Cathy Ruley Condon at [email protected] or 6-3360 or visit InfoEd website https://www.uvm.edu/~infoed/

Training opportunity:Getting the most out of InfoEdWednesday, October 31, 1:30 – 3:30

InfoEd login - https://spogi.uvm.edu/


mailto:[email protected]

https://www.uvm.edu/~infoed/



https://spogi.uvm.edu/

https://spogi.uvm.edu/

Award Acceptance & Set upAward 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 &

proceduresPI responsibilities

◦ Review and approve scope of work, technical reporting requirements, and other terms and conditions

◦ Work with SPA to negotiate contract as needed


Award Acceptance & Set upAdvance 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


https://www.uvm.edu/spa/?Page=advancedaccounts.html

https://www.uvm.edu/spa/?Page=advancedaccounts.html

Award Acceptance & Set upSet 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 upNotification sent to PI & business

unit administrator once award is set up◦Identifies unique terms & conditions


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 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 ManagementBusiness 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 PracticeWednesday, November 7, 1:30 – 3:30


Award ManagementOther 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 ServicesSponsored Project Training Program

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 CloseoutBusiness 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


PeopleSoftSystem of record for financial &

human resource dataSource 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 toolsSponsored Project Training Program

PeopleSoft – Training & ResourcesSee 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/


https://www.uvm.edu/hrs/?Page=skills/develop_skills.html



https://www.uvm.edu/~erp/portal/



Grant Life Cycle


Outside of Grant Life CycleCash management & collectionsSubrecipient monitoringUSDA federal formula fundsAudit coordination

◦Learning opportunity:What happens if your grant gets audited?Wednesday, October 10, 1:30 – 3:30


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Roles & Responsibilities OverviewClearly 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

Sponsored Project Training Program 34

RolesPrincipal Investigator (PI)Business Unit AdministratorSponsored Project Administration

(SPA)Department Head/ChairDeanVP for Research and Dean of

Graduate CollegeVP for Finance and Administration


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

PI ResponsibilitiesProgrammatic

◦ 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 AdministratorProvides 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

Bus Unit Admin ResponsibilitiesAssists PI in proposal submissionServes as resource to PI for any

financial or human resource issueAssists 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)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


SPA ResponsibilitiesDisseminates funding opportunity

informationReviews 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

SPA ResponsibilitiesProvides guidance and training to

research community about federal, sponsor, and university regulations and policies

Prepares invoices and financial reports

Manages cash


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



https://www.uvm.edu/spa/?Page=sptp.html



http://www.uvm.edu/spa/documents/quickcomplianceguide.pdf

http://www.uvm.edu/spa/documents/quickcomplianceguide.pdf



Introduction to Sponsored ProjectsQuestions?


Learning ObjectivesParticipants 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


Documents

Jennifer Gagnon, Nick Brightman & Sudha Ramaswami September 12, 2012 1 Sponsored Project Training Program Introduction to Sponsored Projects