Sponsored Projects Symposium III February 18, 2010 Presented by: Lorrie Awoyinka & Lori Wallin

Sponsored Projects Symposium IIIFebruary 18, 2010

Presented by: Lorrie Awoyinka & Lori Wallin

What Will Be Covered:

What are complex proposals/awards?

Proposal Preparation and Processing

Award Acceptance and Set-Up

Post-Award Management

What Are Complex Awards?

Complex awards are large, often multi-investigator, multi-site, research, training, or procurement activities that are funded under grants, contracts or cooperative agreements.

Common FeaturesMultiple Principal and Co-Investigators

Multiple Projects/Cores

Multiple Departments/Colleges

Multiple Institutions (thus subawards, IP & security plans)

Large dollars (typically >$500K per year)

Contain Governance Plan, Steering Committees, Internal and External Advisory Committees, Some with agency involvement

ExamplesMulti-site clinical trials/networks (NIH)Interdisciplinary training grants (NIH, NSF)Center grants (some with re-granting funds)Clinical & Translational Science Awards (NIH)Sea Grant (NOAA)Large contracts (DOD, NIH, CDC, etc.)Title VI Centers (US Dept of Ed)Program project grants (NIH, JDRF, ACS, others)Core facility grants (CMRR)Infrastructure grantsConstruction grants

Proposal Preparation and Processing

Reviewing the RFA/RFPPreparing to prepare the proposalPreparing the proposalCross-checking for errorsProposal submission

Proposal routing from (PRF) requirementsSubmitting to SPA and sponsorSPA review

Reviewing the RFP/RFAPay particular attention to:

Award mechanism (i.e., co-op agreement, PPG, federal contract)

One-time RFA or multiple receipt dates?

Limited submissions? (determine coordinating office at UMN) http://www.collaborate.umn.edu/explore/external_coordinated_funding.cfm

Total funding available and funding limitations direct or total cost limits? with or without sub F&A? inflation limits budget category limits, salary limits

Multiple PIs allowed? Collaborative awards or subs required?

Reviewing the RFP/RFAPay particular attention to:

Allowable and unallowable costs

F&A allowability or limitations

Cost sharing and matching requirements

Resource sharing plans required (data, biologicals, software)

Proposal preparation instructions (read RFA and instructions cover to cover first time for overall understanding)

Make no assumptions

EXAMPLE—MECHANISM OF SUPPORT AND DATESPart I Overview Information

Department of Health and Human Services

Participating OrganizationsNational Institutes of Health (NIH), (http://www.nih.gov)

Components of Participating OrganizationsNational Institute on Alcohol Abuse and Alcoholism (NIAAA), (http://www.niaaa.nih.gov)

Title: Case Ascertainment to Estimate the U.S. Prevalence of Fetal Alcohol Spectrum Disorders in Young Children (U01)

Announcement TypeNew

Request For Applications (RFA) Number: RFA-AA-10-005

Catalog of Federal Domestic Assistance Number(s) 93.273

Key Dates Release Date: October 23, 2009Letters of Intent Receipt Date: November 22, 2009Application Receipt Date: December 22, 2009Peer Review Date: March-April 2010Council Review Date: May 2010.Earliest Anticipated Start Date: July 2010Additional Information To Be Available Date (Url Activation Date): Expiration Date: December 23, 2009

EXAMPLE—FUNDING AMOUNTS AND PROJECT PERIOD

Executive Summary Purpose. The National Institute on Alcohol Abuse and Alcoholism (NIAAA) seeks grant applications from institutions that propose to determine within defined geographical areas of the U.S. a prevalence rate for fetal Alcohol spectrum disorders (FASD), including fetal alcohol syndrome (FAS), partial FAS and alcohol-related neurodevelopmental disorders, among young children in the United States. ……

Mechanism of Support. This FOA will utilize the cooperative agreement (U01) grant mechanism . Funds Available and Anticipated Number of Awards. Depending on the availability of funds and the number and quality of applications received, a total of $2 million is to be awarded and one to three awards are anticipated. Budget and Project Period. The total project period for an application submitted in response to this funding opportunity may not exceed five years. Direct costs may range between $500,000 and $1.4 million per year for a five-year period. Eligible Institutions/Organizations. Institutions/organizations listed in Section III, 1.A. are eligible to apply. Eligible Project Directors/Principal Investigators (PDs/PIs). Individuals with the skills, knowledge, and resources necessary to carry out the proposed research are invited to work with their institution/organization to develop an application for support. Individuals from underrepresented racial and ethnic groups as well as individuals with disabilities are always encouraged to apply for NIH support. Number of PDs/PIs. More than one PD/PI (i.e., multiple PDs/PIs), may be designated on the application Number of Applications. Applicants may submit more than one application, provided they are scientifically distinct Resubmissions. Resubmission applications are not permitted in response to this FOA. Renewals. Renewal applications are not permitted in response to this FOA. Special Date(s). This FOA uses non-standard due dates. See Receipt, Review and Anticipated Start Dates Application Materials. See Section IV.1 for application materials. Hearing Impaired. Telecommunications for the hearing impaired are available at: TTY: (301) 451-5936

EXAMPLE—MECHANISM DETAILS, BUDGET FORMAT

Part II - Full Text of Announcement

Section I. Funding Opportunity Description

Section II. Award Information

1. Mechanism of Support

This funding opportunity will use the Cooperative Agreement (U01) award mechanism(s). The Project Director/Principal Investigator (PD/PI) will be solely responsible for planning, directing, and executing the proposed project.

This FOA uses “Just-in-Time” information concepts. It also uses non-modular budget formats described in the PHS 398 application instructions (see http://grants.nih.gov/grants/funding/phs398/phs398.html).

This funding opportunity will use a cooperative agreement award mechanism. In the cooperative Agreement mechanism, the Project Director/Principal Investigator (PD/PI) retains the primary responsibility and dominant role for planning, directing, and executing the proposed project, with NIH staff being substantially involved as a partner with the Principal Investigator, as described under the Section VI. 2. Administrative Requirements, "Cooperative Agreement Terms and Conditions of Award".

2. Funds Available

The estimated amount of funds available for support of 1-3 Collaboration on FASD (CoFASP) projects awarded as a result of this announcement is $2 million for fiscal year 2010. Future year amounts will depend on annual appropriations. Applicants may request a project period of up to five years. The direct costs budgeted for each cooperative agreement award may range from $500,000 to $1.4 million per year, depending on the number of final awards made.

Because the nature and scope of the proposed research will vary from application to application, it is anticipated that the size and duration of each award will also vary. Although the financial plans of the IC(s) provide support for this program, awards pursuant to this funding opportunity are contingent upon the availability of funds and the receipt of a sufficient number of meritorious applications.

Section II. Award Information (continued)

EXAMPLE—ALLOWABLE COSTS

Section II. Award Information (continued)

The U01 award will provide support for:

-Administrative costs for managing the effort such as salaries for key personnel, travel for key personnel, equipment, and supplies to support an administrative structure

-Research costs for the conduct of collaborative research projects

-Recruitment costs for study participants and agency referrals

Facilities and administrative costs requested by consortium participants are not included in the direct cost limitation, see NOT-OD-05-004.

NIH grants policies as described in the NIH Grants Policy Statement will apply to the applications submitted and awards made in response to this FOA.

EXAMPLE—COST SHARING/MATCHING

Section III – Eligibility Information

1. Eligible Applicants

1.A Eligible Institutions

1.B Eligible Individuals

2. Cost Sharing or Matching

This program does not require cost sharing as defined in the current NIH Grants Policy Statement.

3. Other-Special Eligibility Criteria

Number of Applications. Applicants may submit more than one application, provided they are scientifically distinct.

Resubmissions. Resubmission applications are not permitted in response to this FOA.

Renewals. Renewal applications are not permitted in response to this FOA.

Mandatory Cost Sharing Budget Example

(15% of Agency Costs)


(15% of Total Project Costs)


(Separate Cost-Share Budget)

Section IV. Applicant and Submission Information

3. Submission Dates and Times

Applications must be received on or before the receipt date described below (Section IV.3.A). Submission times N/A.

3.A. Receipt, Review and Anticipated Start Dates

Letters of Intent Receipt Date: November 22, 2009

Application Receipt Date: December 22, 2009

Peer Review Date: March-April 2010

Council Review Date: May 2010

Earliest Anticipated Start Date: July 2010

Section IV. Applicant and Submission Information (cont.)

3.B. Sending an Application to the NIH

Applications must be prepared using the forms found in the PHS 398 instructions for preparing a research grant application. Submit a signed, typewritten original of the application, including the checklist, and three signed photocopies in one package to:

Center for Scientific Review National Institutes of Health 6701 Rockledge Drive, Room 1040, MSC 7710 Bethesda, MD 20892-7710 (U.S. Postal Service Express or regular mail) Bethesda, MD 20817 (for express/courier service; non-USPS service) Personal deliveries of applications are no longer permitted (see http://grants.nih.gov/grants/guide/notice-files/NOT-OD-03-040.html).

At the time of submission, two additional copies of the application and all copies of the appendix material must be sent to:

Abraham Bautista, Ph.D. Director, Office of Extramural Activities National Institute on Alcohol Abuse and Alcoholism National Institutes of Health, DHHS 5635 Fishers Lane, Room 2089 Bethesda, MD 20892

MY SHIPPING INSTRUCTIONSFedEx on Thursday, February 26th to arrive Friday morning, February 27th.

Place the following label in two places on the outside of each package and one inside: (print 9 labels)

RFP No. NHLBI-HB-10-03NHLBI Production Assistance for Cellular Therapies (PACT) Program – Cell

Processing FacilitiesTO BE OPENED BY AUTHORIZED GOVERNMENT PERSONNEL ONLY

Receipt Time/Date = Monday, March 2, by 3:00 p.m. EST

Photocopy each FedEx label and place inside each package as well.

FedEx labels for:Technical Proposal

Original plus 2 paper copies (mark each as original or copy, make sure original is on top, easily accessible for date stamping):

5. Funding Restrictions

All NIH awards are subject to the terms and conditions, cost principles, and other considerations described in the NIH Grants Policy Statement. The Grants Policy Statement can be found at NIH Grants Policy Statement.

Pre-award costs are allowable. A grantee may, at its own risk and without NIH prior approval, incur obligations and expenditures to cover costs up to 90 days before the beginning date of the initial budget period of a new award if such costs: 1) are necessary to conduct the project, and 2) would be allowable under the grant, if awarded, without NIH prior approval. If specific expenditures would otherwise require prior approval, the grantee must obtain NIH approval before incurring the cost. NIH prior approval is required for any costs to be incurred more than 90 days before the beginning date of the initial budget period of a new award.



6. Other Submission Requirements

Budget: Investigators should budget for travel to the Washington, DC area to attend two face to-face Steering Committee meetings in the first year and one meeting per year for the remainder of the project period.

Research Plan Page Limitations

All applications and proposals for NIH funding must be self contained within specified page limitations: 25 page limit per CoFASP project and 12 page limit per DACC component.

Appendix MaterialsAll paper PHS 398 applications submitted must provide appendix material on CDs only. Include five identical CDs in the same package with the application. See http://grants.nih.gov/grants/guide/notice-files/NOT-OD-08-031.html.

Do not use the Appendix to circumvent the page limitations of the Research Plan component. An application that does not observe the required page limitations may be delayed in the review process.

Preparing to PrepareStrategize the process within your department/unit

Who needs to be involved? Roles

What needs to be done? Responsibilities

When? Timeline with firm/enforced milestone-based deadlines

Preparing to PreparePrepare a one-page project description to be used for

information sharing and in securing resources/cost-sharing/matching. Be sure to:

List participant names/departments/colleges Identify academic and financial benefit to

department/college/UMN/State of MN/community Identify interdisciplinarity/multidisciplinarity aspectsPresent a basic prioritized budget (including anticipated

cost-sharing) Include an org chart/governance chart Indicate how the PI and PI’s department will deal with a

reduced award or reduced time frame.

Preparing to Prepare With the PI, discuss the project first with immediate

division/department head (use draft of one-pager). Determine PI capability (especially relevant if jr. faculty) Project must be within the department’s priorities else

department head will not be advocate Determine how this project fits in with other departmental

proposals already scheduled Identify two key support staff

If additional resources/cost-sharing needed, head approaches dean, deans approach VPs/Provosts/President (do not suggest PIs contact any directly)

Contributions are often divided three or more ways.

Preparing to PreparePI must contact agency program officer to confirm suitability

of project and of PI.

Identify similar projects at the UMN already—search for awards by mechanism # (e.g., P50, U54, P01, P30).

Request advice from those PIs, Administrators, and SPA GA of these similar awards.

Ask if PI is willing to share a copy of the successful proposal.

Preparing to PrepareStudy ALL terms and conditions, sample contracts/awards (if

available) and compliance requirements (including IT security, IP) before beginning preparation. International typically has additional terms.

Discuss these with SPA GA who will forward any questionable terms to OGC and/or OTC as necessary.

For federal contracts, know what the official window is for questions and inform your GA so that questionable terms can be discussed and if necessary, negotiated.

Preparing to Prepare Read ALL review criteria and assist PI to incorporate into the

structure of the proposal (use criteria word for word in headings, etc.).

Prepare checklist of review criteria and index reference pages.

Discuss those that are vague with agency contact for clear understanding.

Read RFA and instructions for second time, highlighting major items or items unfamiliar to you.

Mock up a Table of Contents and indicate page # from instructions corresponding to each section as necessary.

ExampleReview Criterion: “Ability to address related biological measures of alcohol

effect on the mothers and their children.”

Narrative:“Thus, the results of the blood tests proposed above,

once analyzed, will clearly allow us to determine whether measure A or measure B provides more accurate information regarding alcohol effect on the mothers and their children, a major review criterion of this RFA.”

Criteria Strength Clarity Page(s) Comments

Adequacy of documentation of the patient population as outlined in supplemental instructions

Adequacy of ability to implement clinical, biological, or epidemiological studies, based upon links to low and high-risk communities

Ability to address related biological measures of alcohol effect on the mothers and their children

Ability to address culturally sensitive neuropsychological and psychosocial measures on mothers and their children

Adequacy of existing collaborative arrangements with communities in which the studies will take place, or plans to develop such arrangements

Adequacy of plans for scientific and operational collaboration between the CoFASP and the DACC

Index of Review Criteria and Corresponding Pages

Adequacy of documentation of the patient population as outlined in supplemental ........................................……………………………………10, 13, 16

Adequacy of ability to implement clinical, biological, or epidemiological studies, based upon links to low and high-risk communities…………………………………………..

…………………………………………………………………….…21

Ability to address related biological measures of alcohol effect on the mothers and their children………………………..……………..……………………….18,

19

Ability to address culturally sensitive neuropsychological and psychosocial measures on mothers and their children……….…………………………….34-36

Adequacy of existing collaborative arrangements with communities in which the studies will take place, or plans to develop such arrangements………………………………………………………..…….…………………

26, 29

Adequacy of plans for scientific and operational collaboration between the CoFASP and the DACC……………………………………………….……….

………………………41

Preparing to PrepareBegin development of timeline (today –> deadline date)

Develop a grid of participant roles and responsibilities; distribute to all and ask for confirmation that each understands

Schedule weekly (adjust as needed) check-ins with PI, Co-investigators and other administrative people (budgeting person). Prepare agenda of discussion and action items and record outcomes. Follow up with summary e-mail to all.

Preparing to Prepare Determine departments, colleges, centers and VP units with participants.

Determine who will need biosketches, other support, etc.

Determine the space (and owner of space) to house the project(s) for use in F&A sharing negotiations.

If agency limits F&A to below UM negotiated rate, assure that departments/colleges are aware and willing to accept.

Determine F&A sharing plan (inter and/or intra-collegiate)

Identify resources not in the budget but essential and available, either cost-shared or not (administrative assistance; tuition; equipment (including maintenance; training; shipping; calibration); drugs; data sets; remodeling; travel)

Preparing to PrepareF&A Waiver

If TOTAL COST limit PI more likely to request reduction of F&A (they see as flexible) thereby increasing direct costs.

Complex grants by nature require high indirect costs so dept/dean/SPA approval of waiver unlikely.

If waiver pursued, begin immediately with department head/chair who will pursue with dean(s). Process is time consuming (many weeks) and requires much justification, fully-vetted budgets, and agreement among multiple administrative levels.

Must have Plan B in place. Deans and VPs are typically willing to contribute

in other ways if project is considered a priority.

Preparing to PrepareBudgeting

Request only the most justifiable costs in budget. Use easily-cut items as cost-sharing if necessary. Make it difficult for agency to line-item veto anything.

Justify items in terms of the goals/strategies of each aim and refer to review criteria.

When necessary, provide subawardees a total cost limit rather than a direct cost limit—they can choose to reduce their F&A (or not).

Multiple subs to the same institution are counted separately (and therefore each is assessed F&A on first $25K).

Composite budgets needed for multi-project proposals.

As CRIS Clinical Manager, Ms. *** directly supports CRIS goals 1 and 3, the development of a flexible, mobile support structure; …

… . Thus, TTR will help CTS investigators maximize the use of these limited resources. Due to the critical nature of their contributions, the technology experts directly support all TTR goals. …

Pilot grant funding: In support of goal 2 (develop mechanisms to encourage use of methodologies) two $30,000 grants will be awarded semi-annually to CTS investigators (i.e., $120K annually).

… . Specifically, the co-leaders will identify key performance indicators that will be built into the management dashboard (goal 1) and the mechanisms that will feed process activities, outputs and outcomes into the dashboard for efficient tracking (goal 2). Drs. *** and *** will interpret the meaning of collected evaluation data and formally summarize findings on a scheduled cycle (goals 3 and 4). Every three years they will convene and facilitate, via video conferencing, a team of experts who will advise on the quality of research produced under the CTSI in terms of innovation, collaboration, and impact on the field of CTS research (goal 3). …

Preparing to Prepare

Resources and Facilities: Identify all facilities that are available and indicate in description how the project would utilize the facility.

Scientific Peer-Review: Identify several faculty colleagues and secure commitments.

Administrative Peer-Review: Identify a senior colleague and secure commitment.


Securing consortia agreements

Securing and determining value of 3rd party in-kind contributionsBusiness & Industry (e.g., pharmaceuticals)IndividualsAssociations/Foundations

Preparing to PrepareLetters of Support

University Resource Contributors (can be combined in one letter)

State of Minnesota, Political LeadersCommunity PartnersPhilanthropyBusiness & Industry

Letters must be substantive yet concise and describe benefit of project to their area


Contact letter writers early

Follow up with a draft for his/her editing

Request signed .pdf document on their letterhead to be returned by specific deadline.

Send multiple reminders, document conversations

(who, when, etc.)

Preparing the ProposalRead the RFA and instructions for the third time (in detail).

Make notes on instructions of reminders or questions.

If electronic, are all necessary registrations in place on the agency electronic system (NIH Commons, HRSA Handbooks, NSF FastLane, DOD eReceipt)?

Confirm that you downloaded the correct forms/application package? Check version #s, CFDA#, RFA title, etc.

If electronic (grants.gov in particular) physically confirm that anyone who will have access to the electronic forms has the correct version of software on all of their computers.

Preparing the Proposal

Must haves:Shared server with automatic daily backupFile management systemFile naming protocol

Prepare written instructions and distribute to all with access

THESE ARE ESSENTIALElse you should not be able to sleep at night

Example File ManagementJones 2009-12-22 NIH U01

JJU01 BiosFinalJJU01BioJones 2009-11-15JJU01BioWilson 2009-12-01

JJU01 BiosFromThemJJU01 Budget

JJU01BudgJust 2009-12-17JJU01 Letters

JJU01LtrBaker 2009-12-01JJU01LtrSmith 2009-12-18 JW

JJU01 Research PlanJJU01Section1 2009-12-20 JJJJU01Section2 2009-12-17 LWJJU01Section2 2009-12-18 8PM JJ

AlternativeGrantFinal_ReplacementFinal_ReallyFinal_ReallyReallyFinal_Mondaynight_810PM

Preparing the Proposal Letter of Intent often requires:

Anticipated key personnel (assists review center with potential reviewer list).

Anticipated sites/consortia arrangements Brief description, potential milestones How the project is responsive to the RFA Preliminary budget

Send signed LOI via e-mail (copy self/PI). Request acknowledgement if LOI is mandatory.

Typically LOI is not considered a pre-proposal and typically neither

needs to be submitted via SPA. Look for language contrary to this and submit via SPA if an institutional signature is required.

Preparing the ProposalConfirm margin and font requirements—check all

narrative sections

Confirm page limitations (see draft TOC)—literally count the pages

Confirm if appendices allowed and if so are there special requirements

Other special requirements?

Preparing the ProposalProvide all writers with a style guide so that narratives are

consistently formatted (define headings, numbering, indenting, use of bold/italics, etc.)

Confirm agency naming protocol and format (i.e., .pdf) for attachment files has been followed.

If electronic, confirm that size of individual graphics and total file size is within limitations. Check again at actual time of submission.

Cross-checking for ErrorsProposal title (check PRF, IRB/IACUC documents, letters,

narratives).

Total budget request (check budget pages, cover page, F&A checklist, and PRF)

Budget (manually check all budget periods for each project and composites—including all subs).

F&A-exempt items and F&A calculations on budget (manually check—assure you are aware of how exemptions are calculated).

Cross-checking for Errors

Budget justifications (check each against agency requirements. Identify F&A exclusions in budget narrative to assure SPA and sponsor understand.)

Roles (check that roles of participants align with agency definitions (e.g., NIH OSCs))

Performance site(s) (check that sub sites are properly documented)

Cross-checking for ErrorsBiosketches

Cross-check included biosketches against listing of key personnel (or those that agency requires); do not add any additional

Cross-check biosketch research support section against other support documents, if both included

Cross-check current rank/position on biosketch against budget justification or other forms that identify participants

Check instructions for biosketch format and page limits

Proposal SubmissionPRF completed and fully signed by:

All PIsAll PI departmentsAll PI deansAll departments of paid or cost-shared personnelAll deans of paid or cost-shared personnelDirectors of facilities that provide non-ISO services

(e.g., CTSI)Providers of space if not in the aboveProviders of non-personnel cost-sharing if not in the

aboveOK to have combination of ink and electronic

Proposal SubmissionParticularly Important PRF Questions:

Who to list as “co-investigator” even if that term is not used. Includes high-level investigators like project and core leaders. Confirm DeptIDs with each admin unit.

Conflict of Interest—especially if there is a B&I component—applies to ALL listed as PI or Co-Investigator.

Cost-sharing text box—assure that it is comprehensive as this is what dept heads and deans are agreeing to support when they sign.

F&A Sharing Plan

Proposal SubmissionSubmitting to SPA

SPA review and approval is a required and integral component of the submission process

Complex proposals require additional time for a complete and thorough review by SPA

Communicate upcoming complex submissions to your SPA GA (at least one month before)

Provide RFA# and website information to your SPA GA (at least one month before)

Provide final ADMINISTRATIVE portions of the proposal a MINIMUM of ONE WEEK for review (regardless of paper vs. electronic).

Proposal SubmissionDepending on complexity, the SPA GA may be willing to pre-

review portions of the proposal. If not, engage the help of a sr. grants person in your department or college.

Be in contact with your SPA GA from the beginning. If GA anticipates being out of the office the week you intend to submit, find out who the backup will be and assure the GA and backup have communicated about your proposal.

Proposal SubmissionSubmit to SPA (at least one week before deadline)

For paper that PI will courier or electronic that PI submits: Face/Cover pages (signed original) All administrative form pages Key Personnel page Initial year budget Cumulative budget Budget justification Consortia agreements, budgets, justification, workscope Completed and signed PRF (or PRF#) Contact information for person who will pick up the SPA-signed

original (and preferably a second contact)

Proposal SubmissionFor grants.gov or other electronic that SPA must submit:

Completed electronic forms package Completed and signed PRF (or PRF#)

Respond immediately to SPA questions/comments; make corrections as necessary

Track and assure receipt by agency.

Proposal Submission

What if the proposal is not finalized enough to submit to SPA more than 24 hours before it must be submitted?

What if signed subaward documents are not received before proposal must be submitted to SPA or to agency?

What if the PRF is not fully signed before proposal must be submitted to SPA or to agency?

Award Acceptance and Set-Up Tips

Before Award:Submit any requested Just-in-Time (JIT)

information as soon as possible after agency officially request.

Pre-award Spending or Advance Account: Determine the impact pre-award spending would have on the overall project. Provide source of funding should award be later than 90 days after first spending.

Award Acceptance & Set-Up (cont.)After Agency Award/Before UMN NOGA:

If proposal was submitted with a single budget but multiple projects or F&A sharing is required, submit the split budget or sharing info to SPA as soon as possible on PS-friendly budget forms.

If cost sharing was indicated in the budget or on the PRF, submit the cost share info to SPA as soon as possible.

Award Acceptance & Set-Up (cont.)Review the agency Notice of Grant Award (NOGA)

or award document for any special terms or conditions:

Is a revised budget or any other information requested?

Are there any restrictions on the funding?

Are there any special reporting requirements?

Are there any rebudgeting or other restrictions?

Award Acceptance & Set-Up (cont.)

If subawards/subcontracts are included, get the required sub materials to your GA as soon as possible after it has been requested.

Materials Required to Write a Subcontract or Subaward

1. A workscope narrative or statement that summarizes the work the collaborator is to perform under this agreement

2. Info on what, if any, technical reports will be required

3. An approved detailed budget for the amount of funding being awarded

4. If grant allows automatic carry forward, an indication on whether or not you want this flowed down to the collaborator

5. Legal name, address and EIN number of the collaborator

6. Name, address, phone, fax and e-mail address for collaborator’s representative who is to receive the paperwork

NOTE: AT TIME OF AWARD WRITE-UP, THE GA SHOULD BE REQUESTING THESE MATERIALS. DO NOT SEND THEM PIECEMEAL OR BEFORE THE AWARD HAS COME IN.

Award Acceptance & Set-Up (cont.)

Let your GA know if you or the PI have any questions or find anything wrong with the award (from agency or UMN) as soon as possible

FINALLY, NOTE: If the funding received is less than what was requested in your proposal, the GA will often just prorate the proposal budget/s to do the award set up without contacting the Dept. If this is not what you want, contact your GA as soon as the agency award document has been received to tell him/her you will send over a detailed budget/s for the funding set-up.

Post-Award AdministrationDepartmental Monitoring:

Make sure all expenses charged to project are allowable and relate to the scope-of-work

Review & reconcile monthly expense reports

Assist PI in establishing, monitoring performance and invoicing subs

Make sure IRB, IACUC and IBC approvals remain current; up-to-date RCR

Post-Award Administration (cont.)Departmental Monitoring (cont.):

Monitor budgets for deviations. Make sure any request for rebudgeting that requires prior agency approval is prepared and submitted via SPA.

Watch for any other changes. Make sure any other change that would require prior agency approval (i.e. significant reduction in effort, change in key personnel, etc.) is prepared and submitted via SPA.


Monitor internal re-granting processes, be aware of SPA requirements and compliance issues with re-grants

Monitor international banking, initiate and monitor wire transfers

Assure all committed cost-sharing and any 3rd party in-kind contributions are properly documented


Identify and monitor program income

Assure small-business reporting completed

Assist with annual progress reports and budgeting

Post-Award Administration (cont.)

Departmental Monitoring (cont.):

Monitor budget and project period end dates. Make sure any carry forward or no-cost

extension request is prepared and submitted in a timely manner.

Discuss any questions or concerns you may have regarding the project with your GA.

REQUIREMENTS FOR A CARRY FORWARD LETTER(No Matter What the Source of Funding)

1. Dollar amount being requested for carry forward (direct & indirect)

2. The reason for this balance and what impact it had on the progress of the project

3. A programmatic justification of why these funds need to be carried forward

4. A detailed budget that shows how you intend to spend these funds if the carry forward is approved

REQUIREMENTS FOR A NO COST EXTENSION LETTER(No Matter What the Source of Funding)

1. Length and period of the extension (Note: SPA can only approve extensions of 6, 9 or 12 months for NIH grants via the eRA Commons)

2. Reason for the extension or description/summary of work in the original Work Scope that still needs to be completed

3. Anticipated balance as of the current end date

4. Detailed budget that shows how you intend to spend this balance during the extension period

5. If animal or human subjects are used, the updated IACUC/IRB protocol number and approval date

6. If the request is submitted after the termination date, the reason why it is being submitted late

7. If the balance is insufficient to cover all the projected costs for the entire extension period, a statement that indicates there are non-sponsored funds are available to cover any cost overruns

Post-Award Administration (cont.)

REMEMBER: Any correspondence to the sponsor (no matter the sponsor) must be signed by both the PI and the Department Head (or his/her designee) and routed to SPA for review, signature and submission. Contact your Grant Administrator if you have any questions or need assistance with the preparation of the request.

QUESTIONS OR COMMENTS?

Documents

Sponsored Projects Symposium III February 18, 2010 Presented by: Lorrie Awoyinka & Lori Wallin