Introduction to Post-Award Research Administration

- 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

 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

 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

 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

 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

 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

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

 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. Webb Associate VP Kevin McKoskey Sr. Associate Director Judith Krzyzek Associate Director David Hagen Associate Director F&A Group Effort Group Team 2 Public Health Veterinary Medicine Dentistry Pharmacy Nursing AHC Shared Team 3 Institute of Technology College of Liberal Arts Education Humphrey Design Continuing Education Carlson School Law Team 4 State of Minnesota (All campus) CFANS Extension University Libraries OVPR System Acad Adm. Team 5 Business and Industry (All Campus) MTAs (All Campus) Team 1 Med School Biological Sciences David Moyer, Manager, Support Group Award Set-up Team Karen Sachi(PGA) +2 distributed 50% time GAs* Lorrie Awoyinka (PGA) Tanya Walton Sowolo Abdullai Renee Frey Bailey Foss Dor Hogenson ( Support) (Vacant) (PGA) Karen Sachi* Jason Jacobs Michelle McGraw Anjeanette Bastian Nancy Benson ( Support) Amy Rollinger (PGA) Pat Jondahl Amber Fink Danielle Billington Riana Fletcher Frances 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 Carlson Kim Makowske Derek Krogstad (cross -team) Dor Hogenson ( Support) Coordinate Campuses are invited to contact any TC grants administrator for assistance Coordinate Campuses are invited to contact any TC grants administrator for assistance Training Frances Spalding Chris Larson Holly Schuveiller Vern Kleinsasser Don Hammer Laura Geno Exec. Assistant Rob Howieson Paulie Garcia Cody Christopher

 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 website: ◦  SPA contacts: ◦  PS friendly budget template: ◦  Preaward requests: ◦  Effort: ◦  ECRT : ◦

Sue Paulson Director Kamala Upadhyaya Associate Director Mark Rova Mary Gorder Data Analyst Marjorie Nebo Finance Manager Accounts Receivable: Collections Payment Application Close Outs Kerry Marsolek Finance Manager Non Federal Area: State of Minnesota Business & Industry Foundations Health Organizations Tonya Knutson Finance Manager Federal Area: DHHS US Dept of Education NSF US Dept of Energy Federal Subcontracts Sylvia Taube Principal Office & Admin Specialist Student Position

Marjorie Nebo Kerry Marsolek Tonya Knutson Accountant II: Julia Steinkopf Diane Grimley (1/2 time) Stephanie Kranitz Dick Hartmann Staci Gallahue (LOA) Kathy Krum Jennifer LaFrance Kristin Lien Carly Prellwitz (1/2 time) Wendy Willner Accountant I: Christina Cheung Naisan Madson Jim Kaintz Kristin Lien Chris Ybarra Angela Lane Todd Stroessner Katie Manthey Accountant II: Michele Dobsinski Diane Grimley (1/2 time) Kristie Berglund Andrea Hyllengren Accountant I: Bridget Al-Qublan Xuefei Hu (Fay) Debbie Koch Leah Mumm Tuan Ta Accountant I: Tatyana Estrin Principal Collection Representatives: Nayubel Bernard Misty Bauermeister Carly Prelwitz (1/2 time) Accountant II: Jill Neu

 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

 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.

 All sponsored payments are sent to a separate bank account  Accounts receivable accountants identify and apply payments  Unidentified payments are worked separately

 Principal Collections Reps follow up on unpaid invoices greater than 90 days  Will contact PI if non payment is due to missing technical deliverable

 Verify all invoices are paid  Overdrafts and late charges are removed  Verify encumbrances are closed

 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 s

 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:  Pam Wilson, Mech. Engineering:  April Coon, SPA: