Life Cycle of an Award1 Office of Sponsored Programs Post-Award Overview of Award Management/ Life...

Life Cycle of an Award 1

Office of Sponsored Programs

Post-Award

Overview of Award Management/

Life Cycle of an Award

Life Cycle of an Award 2

Vice Chancellor for Research and Dean of Graduate Studies

Proposal Development

Compliance – IRB / IACUC

Office of Sponsored Programs

•Pre-Award •Post-Award

Technology Development

Life Cycle of an Award 3

Office of Sponsored Programs Post-Award Staff

Post-Award Director:Jeanne Wicks 472-1825 jwicks2@unl.edu

Assistant Director:Mike Behne 472-6323 mbehne@unl.edu

Training and Web Resource Development:Ginny Gross 472-7061 ggross2@unl.edu

Legal Intern:Heather Smith 472-7049 hsmith3@unl.edu

Life Cycle of an Award 4

Kathy Anderson 2-6326 kanderson2@unl.edu

Deb Arent 2-6327 darent1@unl.edu

Donna Douglas 2-6321 ddouglas1@unl.edu

Shelly Hardies 2-2247 mhardies2@unl.edu

Kathi Malone 2-3430 kmalone2@unl.edu

Joyce Schuette 2-6354 jschuette1@unl.edu

Post-Award Project Specialists

Life Cycle of an Award 5

Session Topics

Considerations prior to proposal submission

Pre-award costs

WBS establishment

Management and reporting tasks during an award

Project closeout

Audits and reviews

Life Cycle of an Award 6

Proposal Development and Submission

Idea Development

FundingSource

Identification

ProposalPreparation

Proposal Submission, Approval, Routing

and Mailing

Be aware of timelinesAvoid excess or voluntary cost sharePre-award costs

Award

Decline

Life Cycle of an Award 7

Avoid “excess” Cost Share . . .

Cost share doesn’t increase funding opportunities and results in additional:

•Personnel Activity Reports (PARs)•documentation•oversight and monitoring

Considerations prior to proposal submission:

Life Cycle of an Award 8

Considerations prior to proposal submission

Pre-award Costs:

•aren’t allowed on “24” grants–State Single LOC•may not be available on all grants•are incurred at the risk of the department•are allowable no more than 90 days prior to effective date of award. Written permission from granting authority is required to exceed 90 days.

Use “Prior Approval to Spend” (IPAS) form to request

Pre-Award costs.

Life Cycle of an Award 9

Considerations prior to proposal submission

You must include a budget that:

•allows for inflation factor in multi-year awards•is complete & balanced to award amount•is at no deeper level than accounting system capability

Include in budget: •F & A•benefits•sub-award information in the work statement

Life Cycle of an Award 10

Considerations prior to proposal submission

F & A (Indirect Costs):

support administrative & facilities costs associated with research

include a portion which is returned to the collegeare a true cost to the universityare based on a rate negotiated and approved

by the federal government

Life Cycle of an Award 11

Considerations before the award is signed

Reporting Requirements:

Burdensome requirements (e.g. copies of all invoices)

Other special conditions:•special forms•specific reporting dates

Life Cycle of an Award 12

WBS Establishment

Project information must be complete and include:

copy of proposala balanced budget that agrees to awardCost Share information with:

•specific persons identified•percentage of time commitment•funding source – cost center

signed & completed routing formVerification of Compliance – IRB/IACUCannual Conflict of Interest disclosuresubaward Information: Letter of Commitment, contact

information, budget, work statement

Note: PARs from previous awards must be current.

Life Cycle of an Award 13

WBS Establishment

Timeline:

Creating the WBS – Monday, Wednesday, Friday

Changing payroll information (department responsibility)

Know your Project Specialist.

Life Cycle of an Award 14

Project ManagementWBS

Establishment(Award Cost Center)

ProjectManagement

ProjectCloseout

Audit

Life Cycle of an Award 15

Project Management

Documentation:

personal Activity Report (PARs – Effort reporting)original invoicesfinancial reportsno-cost extension (FDP)other extensions

Life Cycle of an Award 16

Project Management

Basic Considerations for Costs:

Primary Principle - All costs must:be reasonable be allocablebe treated consistently across the institutionconform to any limitations or exclusions described in these principles or in the sponsored agreement as to types or amounts of cost items

The cost is unallowable if these aren’t all met .

Life Cycle of an Award 17

Project Management

Department Responsibility:

Strongly recommend centralized records maintenanceReview/reconcile SAP reportsUse Commitments for planning purposesDeficits not allowed – must remove immediatelyCost Share outside of payroll

•travel•invoice•outside source

Life Cycle of an Award 18

Project management

Re-budgeting:required in some cases – 0% - ??%consider cumulative effect when determining if grantor approval is neededmanagement tool

Retention:5 years after the final report is filedmulti-year awardsaudit of any records you retain

Life Cycle of an Award 19

Project Management

Overspending an Award:Costs must be removed from the grantAdditional budget available?Use commitments to avoid deficits

Special Issues:Changing a PI during the grantSub-awarding part of the grantTransferring award to another institution

Life Cycle of an Award 20

Project Closeout

Prior to end date:Process PAFsPARsAct on SAP workflow messages (“action alerts”)Request extensions (if needed) in a timely manner

First 30 days after the end date:Pay all invoicesRemind subgrantees to submit invoicesReview SAP reports and adjust if needed

Life Cycle of an Award 21

Project Closeout

30 – 60 days after end of award:Post-Award finalizes adjustmentsPost-Award reviews SAP financial ReportsSAP intramurals postDepartment ensures records are ready for auditDepartment (PI) files final technical report

60-90 days after end of award:Post-Award requests final reimbursementPost-Award files final financial report(s)

Afterward:Complete PARs

Life Cycle of an Award 22

Audits and Reviews

Documentation:PARsInvoicesFinancial reportsTechnical/progress reportsOther information required by the award

Retention:5 years after the final report is filedMulti-year Awards

Life Cycle of an Award 23

Governing Regulations – Important Web Sites:

OMB Circulars: http://www.omb.gov

CFR: http://www.access.gpo.gov/nara/cfr/cfr-table-search.html

FAR: http://www.arnet.gov/far/

FDP: http://www.thefdp.org

UNL: http://busfin.unl.edu/bfsite/

State of Nebraska: http://www.das.state.ne.us/accounting/nis/amcon.htm

Life Cycle of an Award 24

Questions?