Introduction toPost-Award Research

Administration 02.18.2010

An award has been received…Now what?- Department responsibilities:

-Provide PI approval-Provide PS friendly budgets-Ensure correct deptid and cost share information provided

- SPA responsibilities:-Negotiate contract-Set up project and produce NOGA

- SFR responsibilities:-Once project is set up- ensure timely financial

reporting/invoicing-Ensure sponsor remittance -Close out-Sponsor project audits

Department responsiblities Review Budget (Direct and F&A) Review Restrictions Review Reporting/Invoicing Terms Review Human/Animal Approval Status Note Restrictions or Specifications on

Intellectual Property, Publications, Data Security

Review EFS Budget (account codes) Work with PI to Adjust Budget for changes

and Determine Payroll/Effort

Department Responsibilities If Rebudget is Needed: Complete SPA

Rebudget Form If Subaward is Needed: Submit to GA the

Workscope, budget and PS-Friendly Budget Discuss Subaward Invoice Monitoring with PI Approve Expenses (if assigned) and monitor

for allowability, allocability and reasonableness

Regularly Manage Effort Certification Record Retention

Department Responsibilities Work with PI on:

◦ No-cost Extension Request◦ Carryforward Request◦ Equipment Request◦ Equipment Fabrication Issues◦ Significant Effort Changes (Key Personnel)◦ Other Special Change Requests◦ Collection Issues if Needed

Department Responsibilities Report Preparation

◦ Review Terms and Restrictions◦ Verify Expenses◦ Confirm Outstanding Expenses Processed◦ Balance to Department Records◦ Communicate with SFR Accountant

Expenses to Include Plan to Remove Late Charges Final Approval to Submit Report Adverse Event – Agency Extension Needed

Department Responsibilities Closeout

◦ Request Fixed Price Transfer◦ Remove Late Charges – Within 90 Days◦ Notify PI/Lab to Cease Spending◦ Process Distribution Changes if Ongoing Payroll◦ Close Encumbrances◦ Check Status in EFS

SPA and SFR

Sponsored Projects Administration (SPA) and Sponsored Financial Reporting (SFR) are two separate central units supporting research at the U of MN

SPA and SFR (con’t) SPA:

◦ Reports up to the Vice President for Research◦ Handles pre award: proposal submission, contract

negotiations SFR:

◦ Reports up to the Controller◦ Handles post award: Reporting & invoicing,

payment application, collections, close out

Sponsored Projects Administration Office of the Vice President for Research

Sponsored Projects Administration June 2009

Pamela A. WebbAssociate VP

Kevin McKoskeySr. Associate Director

Judith KrzyzekAssociateDirector

David HagenAssociateDirector

F&A Group

Effort Group

Team 2 Public HealthVeterinary MedicineDentistryPharmacyNursingAHC Shared

Team 3 Institute of TechnologyCollege of Liberal ArtsEducationHumphreyDesignContinuing EducationCarlson SchoolLaw

Team 4 State of Minnesota (All campus)CFANSExtensionUniversity LibrariesOVPRSystem Acad Adm.

Team 5Business and Industry (All Campus)MTAs (All Campus)

Team 1Med School Biological Sciences

David Moyer,Manager,Support Group

AwardSet-up Team

Karen Sachi(PGA) +2 distributed50% time GAs*

Lorrie Awoyinka (PGA) Tanya WaltonSowolo Abdullai Renee Frey Bailey FossDor Hogenson (Support)(Vacant) (PGA)

Karen Sachi*Jason JacobsMichelle McGrawAnjeanette Bastian Nancy Benson (Support)

Amy Rollinger (PGA)Pat Jondahl Amber FinkDanielle Billington Riana FletcherFrances Werner (Support)

Laura Williams (PGA)Bridget Foss Brett Anderson Chris Coyne*Duane Oyen Becky Lowery Nancy Benson (Support)

April Coon (PGA)Annie Marshall*Kelly Fallows Brett CarlsonKim Makowske Derek Krogstad (cross -team)Dor Hogenson (Support)

Coordinate Campuses are invited to contactany TC grants administrator for

assistance

Coordinate Campuses are invited to contactany TC grants administrator for

assistance

Training

Frances Spalding

Chris LarsonHolly SchuveillerVern Kleinsasser

Don Hammer

Laura GenoExec. Assistant

Rob HowiesonPaulie GarciaCody Christopher

SPA responsibilities

Common requests:

◦ Rebudgeting* Cost share set up◦ PI transfer◦ No-cost extensions◦ Change of PI* Subawards◦ Incremental/supplemental funding◦ Change of Scope◦ Significant change in effort◦ Preaward/ advance account request

Watch Request Deadlines!

SPA resources: SPA website:

◦ http://www.ospa.umn.edu/index.html

SPA contacts:◦ http://www.ospa.umn.edu/directory.html

PS friendly budget template:◦ http://www.ospa.umn.edu/efs_sp/documents/PS-Friendlybudget.xls

Preaward requests:◦ http://www.fpd.finop.umn.edu/groups/ppd/documents/form/preaward_form1.cfm

Effort:◦ http://www.ospa.umn.edu/effort/

ECRT:◦ https://ecrt.eresearch.umn.edu/

SFR Org Chart

Sue PaulsonDirector

Kamala Upadhyaya

Associate Director

Mark RovaMary Gorder

Data Analyst

Marjorie NeboFinance Manager

Accounts Receivable:Collections

Payment ApplicationClose Outs

Kerry MarsolekFinance ManagerNon Federal Area:State of MinnesotaBusiness & Industry

FoundationsHealth

Organizations

Tonya KnutsonFinance Manager

Federal Area:DHHS

US Dept of Education

NSFUS Dept of Energy

Federal Subcontracts

Sylvia TaubePrincipal Office & Admin

Specialist

Student Position

SFR Org Chart (con’t)

Marjorie Nebo

Kerry Marsolek

Tonya Knutson

Accountant II:Julia Steinkopf

Diane Grimley (1/2 time)Stephanie Kranitz

Dick HartmannStaci Gallahue (LOA)

Kathy KrumJennifer LaFrance

Kristin LienCarly Prellwitz (1/2 time)

Wendy Willner

Accountant I:Christina CheungNaisan Madson

Jim KaintzKristin LienChris YbarraAngela Lane

Todd StroessnerKatie Manthey

Accountant II:Michele DobsinskiDiane Grimley (1/2

time)Kristie Berglund

Andrea Hyllengren

Accountant I:Bridget Al-QublanXuefei Hu (Fay)

Debbie KochLeah Mumm

Tuan Ta

Accountant I:Tatyana Estrin

Principal Collection Representatives:Nayubel Bernard

Misty BauermeisterCarly Prelwitz (1/2

time)

Accountant II:Jill Neu

SFR Accountant Assignment Finance Manager receives and reviews

NOGA and verifies PS set up Based on sponsor requirements, assigns to

accountants Changes billing specialist in PS and forwards

NOGA to accountant

Reporting/Invoicing Billing and reporting triggered by PS

events Interim-expenses are picked up based on

accounting date. Department is not consulted.

Final (budget & project period)-late expenses are included using other verification sources. Department is consulted.

Payment Application All sponsored payments are sent to a

separate bank account

Accounts receivable accountants identify and apply payments

Unidentified payments are worked separately

Collections Principal Collections Reps follow up on

unpaid invoices greater than 90 days

Will contact PI if non payment is due to missing technical deliverable

Close Outs Verify all invoices are paid

Overdrafts and late charges are removed

Verify encumbrances are closed

Other Important Items Letter of credit (LOC) payments are drawn

from sponsor website Clinical Trial budgets are set up as invoices

are created Refer to Accounts Receivable job aid for

instructions on looking up open and paid invoices

PI’s are copied on all e-mails

Important Items (continued) SFR accountant will work with the PI and

department accountant to obtain signatures on financial forms

SFR is responsible for coordinating all sponsored project audits

Department is responsible for monitoring rebudgeting restrictions

Contact Information:

Tonya Knutson, SFR: 612-624-7850 knuts055@umn.edu

Pam Wilson, Mech. Engineering: 612-625-9315 pwilson@umn.edu

April Coon, SPA: 612-624-7021 john5885@umn.edu