Grants and Contracts Changes, Changes, and more Changes...

What would this University be without Changes?

Heather L. Paulsen

Updates

Emphasis on Customer Service

Restructured Grants and Contracts Staff

Bi-weekly meetings to train Staff

Monthly Training

Subaward vs. Professional Consultant last month

Managing your Grant (Nov. 20th)

Reviewing Processes and Procedures

Streamlining Processes

Less Restrictive Procedures

Benefit to the Grant

Foundation Processing

Old Process Complete Foundation CGA form

Award Letter and Funds must be available

Linda Hall will send approval

OSP required a proposal

Scope of Work

Budget and Justification

All approved, CGA would setup

New Process Complete Foundation CGA form

Award Letter must be available (funds do not have to be available-Assumption process)

Linda Hall will send approval

OSP will ONLY require proposal if there are assurance questions (see handouts)

CGA will setup

Benefits of New Foundation Process

Allows Departments/Centers/Schools/Colleges to setup Foundation funds on Assumption

Allows for quicker processing and use of funds

Less work for the Requestor

Revising a Foundation Grant

Process is Same

Submit a Foundation GCA Form to Foundation

Foundation will send approval to Grants and Contracts

Grant Coordinator adjusts Banner

If you no longer need the Foundation Grant

Submit a request to GCA to closeout

Please request end dates no more than five years out

Fund 1 Contracts

Proposal is reviewed by OSP

Sandi is POC for signing and reviewing

Effort Reporting

What is Effort Reporting?

How does the University Measure Effort?

How Frequent is it Required?

What is the Process for Effort Reporting?

What happens when the effort does not add to 100%?

What if effort is certified incorrectly?

What if salary needs to be moved after effort has been certified and reported?

What happens if I do NOT certify?

OMB A-21 requires annually for exempt faculty

OMB A-21 requires bi-annually for all other exempt positions

What is Effort and Why do I need to Report?

Effort is the time spend on a sponsored project

Because times spent is hard to calculate, the best calculation is salary and payroll

Effort is reported as an average over the reporting period

Effort must equal 100% cumulative total and cannot exceed 100% if working on multiple projects

Does NOT include any activities outside of University related work

It is NOT measured on a standard 40 hour work week, but on actual time worked

Audit threshold of +/-10% based on the original award agreement

Effort Reporting Process

Current Process Departments run the effort

report from Banner

Departments are responsible for collecting employee signatures and turn them in no later than 30 days after the period closes

Originals come to GCA

GCA scans originals into OnBase

Originals returned to Dept for record keeping

New Process for Jan 2014 Effort GCA will print and send the

Departments the required Effort reports

Depts will need to have employee sign. If employee not available, PI or Chair, Dean, Director can sign

Original comes to GCA

GCA scans originals

Originals returned

Effort not returned, emails will be sent out to employee, fiscal mgr, and employee’s supervisor

Problems with the Effort Process and How to Address Them

Effort does not add up to 100% or adds above 100%?

If effort is within a reasonable margin of error (ie +/-1% make adjustment to the form without submitting an LR)

If effort is not within margin of error, notify GCA so we can resolve

Effort is certified incorrectly?

If effort was noted on certification form as incorrect, LR needs to be processed so that effort matches certification. Effort will be held until LR submitted

If effort was NOT noted on certification as incorrect, re-certification process needs to be completed

Recertification Process

Used when Effort has been Certified Incorrectly or Salary needs to be moved AFTER Effort Report has been certified and reported

Fill out the Recertified Grant Effort Certification Justification

LR will need to be attached (if applicable) Note: Salary will NOT be approved until all of the appropriate forms are turned in.

New Effort Certification

Reason: Employee is signing an auditable legal document that is used to determine costs that are allowable by Funding Agency and Internal/External Auditors.

What if I choose NOT to Participate?

Effort Certification requirements are 100%

Opt out is NOT an option

Grant Coordinator will remind Financial Managers

If later than 15 days past the deadline, then I will send an email and continue up the employee’s chain until we have the Certification

Effort expenses will be discussed with your funding agency and in most cases the agency will disallow your expenses resulting in them being moved to Fund 1

Some Effort reporting will also require agency approval:

Absences (generally 3 months or more)

Reductions in Effort

Cost Share and Match

What is Cost Share and Match?

When should it be used?

When should it be setup?

Problems with Cost Share and Match?

What is Cost Share and Match?Cost Sharing: Funds that come from an outside source in the form of cash contributions, volunteer services, or donated property; from the University’s own funds or from shared resources or facilities.

Matching Funds: Required by the funding agency to increase the level of support provided by the funding agency.

In-Kind Contributions: Represent the value of non-cash contributions provided by the University or non-federal third parties to a sponsored project when such contributions directly benefit the project

Types of Cost Share

Direct Cost Share: Faculty and Staff time and benefits, dedicated equipment, tuition, computer support, and other resources as direct support for the project as well as indirect costs. Typically commitments made by Department, School, or unit

Indirect (F&A) Cost Share: when the University agrees to recover less than the federally negotiated indirect cost rate.

Mandatory Cost Share: Required by the Sponsor as a Condition of the award.

Voluntary Cost Share: Not required by the Sponsor as a condition but has been offered in the proposal by Investigator.

Cost Share Process

Current Process OSP and GCA sign off on Cost

Share

GCA setups the Grant

Dept setups and the Match account with Kelly

Dept has the grant life to satisfy match

Match is reported to Agency

New Process OSP and GCA sing off on Cost

Share

GCA will NOT setup grant until Match account has also been setup

Dept needs to spend match proportionately to Grant spending

Match is reported to Agency

Problems with Current Process

Current Process Dept forgot about the match

because account was never setup

Direct Costs on Grant have been disallowed because match has not been met or spent

Match was pledged when Dept cannot meet

Match crossing fiscal years

New Process Addresses Match account needs to be setup

at time of grant

Proportionate spending stops funding agency being able to disallow costs

This will be identified at setup time so we can re-negotiation with Agency

Match crossing fiscal years should not be issue since spending has occurred with the Match

Resources to Assist

Office of Grants and Contracts

Heather Paulsen (hpaulsen@uaa.Alaska.edu) 907-786-1663

Annette DeBruyn (akdebruyn@uaa.Alaska.edu) 907-786-1557

Grant Coordinators

Website: http://www.uaa.alaska.edu/budfin/grants/