GCA Forum Fall 2019 - PowerPoint Presentation

GCA Forum Fall 2019 Featuring OSP!

Welcome! Bathrooms are across the hall. If our delivery could be better (i.e. speak slower or louder), let us know!We want you to be engaged. This meeting is for you!We have a lot of material prepared, but please ask us questions!!

GCA Winter Forum Wednesday, January 22 11 a.m. Foege Building – Room N130A

New: GCA Forum Web Page! Including: Details and agenda for upcoming forum Slide sets from prior forumsGCA Website > Resources > GCA Forumhttps://finance.uw.edu/gca/resources/gca-forum

SURVEY

Agenda OSP Award Process Advance, Renewal, or Extension? OSP/GCA CommunicationWhich Office Do I Go To? What Post Award Tasks Are Done Where?

MyResearch Project Lifecycle

Award Lifecycle Roles & Responsibilities Find Funding Proposal Prep Spending Money Manage Award Award Negotiation Technical and Financial Reporting Closing Review Sponsor Websites Review Program Announcements Review Eligibility Guidelines Complete Sponsor instructions and forms Prepare Budget Complete egc1 Ensure all approvals Review and Approve Proposal in egc1 Provide info to OSP Review T&C Review T&C Negotiate Award with Sponsor Sign Award Send Funding Action to GCA Award Set Up Review award T&C, Budget set up Establishes award in FIN & SERA Notifies Dept. of Budget Number Request subawards and modifications Monitor subawards Monitor & facilitate report cost share, FECs & GCCRs Prepare change requests & submit Managing compliance approvals Issue & process subaward requests & modifications Review , approve and submit change requests to sponsors Review & process amendments Expend Funds Reconcile Budgets Prepare Invoices Prepare Financial Reports Receive Cash Prepare and submit technical reports GCA OSP Dept & PI Submit Final Invoice/Financial Report Closes Budget Ensure: deliverables are met all expenditures posted on award all cost share commitments entered final report(s) are submitted Facilitate closeout of sponsored programs Liaise with IRB, IACUC, EHS Prepare JIT Prepare supplemental proposal material Request Advance budget eligibility Pre-Award Review & Submit pre-award documentation to sponsor Review & set up Advance Budget Review & submit progress reports to sponsor (i.e. NIH)

Advance Budget Number Steps Complete online ABN Eligibility Tool OSP reviews & determines if eligible Department uses SAGE “Advances” module to obtain request formPrint form, obtain necessary signatures, scan it and email to gcahelp@uw.edu Resource: Advance Budget Number Eligibility Tool

Just -In-Time Requests - Are Handled by OSP Some sponsors request updated or more info prior to award NIH = Just In Time (JIT) PI/Department Prepare in accordance with sponsor request – May include:Other SupportProtocol Approvals Training Certifications Revised Budget Copy of F&A Rate Agreement OSP reviews and submits to sponsor

More Money, More Time…More Problems? Advances, Renewals, Extensions, Oh My!

Multiple Processes = Confusion Sponsor wants to give PI more money and/or time Always a good thing, but OSP/GCA/Dept. have to figure out which of several options is correct depending on the terms of the original award and what the sponsor is offering now No-cost extensionSupplement extension Renewal (same project, new budget number)

Still waiting for amendment? MORE confusion! You need ONE of the following: An advance renewal budget A temporary extension for your current budgetAn extension of your current advance budget But how do you know which to request?

Translating Research-ese to English Many of the terms we use around putting more time and money on a budget have little relationship to how they are used in everyday English. “Renewal” is a huge source of confusion.

It all depends what the definition of “renewal” is English You RENEW a library book Research-ese The library is giving you a NO-COST EXTENSION on your book You’re not getting any additional content, just more time to finish the book you already have

English Your favorite TV show is RENEWED : Research-ese The network granted your favorite show a SUPPLEMENT / EXTENSION Still the same show, but now you get more of it

Now we flip the script a bit… English Congratulations! Your budget is getting a SEQUEL ! Research-ese Your budget is being RENEWED You get more time and money, just like a supplement/ extension, but the award terms require us to issue a new budget number (usually to meet reporting or invoicing requirements)

Bringing it back to the case where we’re still awaiting a sponsor award document… If you expect the amendment to be a SUPPLEMENT/EXTENSION, work with OSP to request a TEMPORARY BUDGET EXTENSION If you expect a RENEWAL (i.e. a new budget number for the next period on the same project), request an ADVANCE RENEWAL BUDGET in SAGE using the ADV request formIf you already have an advance budget, but it’s expiring and you’re still awaiting the award agreement, request an ADVANCE BUDGET EXTENSION Unless your budget’s title begins with xxxADVxxx, you CANNOT use this option. You need a Temporary Budget Extension or an Advance Renewal

Questions?

Award is Here!

UW Award Acceptance Policy - GIM 2 OSP is the only office with the delegated authority to accept sponsored program awards on behalf of the University Awards are made to the UW, not an individual Once accepted and made available in a sponsored program budget number, the Dean/Director, Chair and Principal Investigator (PI) assumes the responsibility to oversee that appropriate internal controls are implemented to manage the award at the project level. Resources: GIM 2 , Executive Order 34

OSP Turnaround Times - It Depends Many factors outside OSP’s control can affect turnaround time at the time of award. Your item is processed in the order in which it was received. So turnaround time can depend on current overall volumes, which are unpredictable. System Holds may be placed on your award & might involveSponsor Negotiations or required ConcurrencesExport Control OR for SFI/FCOI IRB Approval IACUC GCA Use My Research Portal/Status Checker to see Hold Notes and other status information about your specific item.

OSP Volumes - FY19 5,215 Proposals 5,494 Funding Actions7,838 Admin Actions: Pre-Award Notifications (PANs): 1,922 Post Award Changes (PAC): 4,138 Non-Award Agreements (NAAs): 683 Closeout (COs): 1095 2,008 Subawards New: 539 Modifications: 1,469

FA Automatic Holds Types (1 of 2) Budget & Fiscal F&A not one of Federally Negotiated Rates Administrative Support Costs in ProposalCost Sharing – need CS AddendumHuman Subjects – need approved protocol Animal Use – need approved protocol Equipment & Materials Equipment Fabrication Material Transfer Agreement needed Export Control Resource: Award Status and Holds

FA Automatic Holds Types (2 of 2) Data & Technology Export Controls Significant Financial Interest (SFI)/Financial Conflict of Interest (FCOI)Ensure all disclosures are made by Investigators & FCOI review is completePHS Training For awards from US Public Health Service (PHS) Ensure all Investigators has current FCOI training

FA - Manual Holds Types Type of Hold What does OSP need to release funding? For Check A copy of a check award. (The original check goes to GCA) Pending Fully Executed Agreement OSP is waiting for sponsor signature. Revised Budget Dept. needs to submit a revised budget that matches award amount and allowed costs. Other (Campus) Dept needs to submit PI confirmation, back-up documentation or other necessary information to complete a Funding Action. OR OSP is waiting on information from another central office. Other (Sponsor) Revisions or additional info needed from the sponsor. PI Signature PI Signature needed. Pending Notice to Process/Activation Notice For fellowship award: OSP is waiting on activation notice to determine start date.

OSP/Funder Negotiations OSP may need to negotiate terms & conditions before accepting an award Publications Intellectual PropertyConfidential InformationData UseMany othersOSP reviewer will negotiate with the sponsor directly Most recent status is viewable in MyResearch Portal

Award Acceptance OSP Signs bilateral award after negotiations complete Unilateral awards considered “accepted” once the UW starts spending on them After OSP has a fully executed award, reviewer completes fields in the FA

Funding Action to GCA & Budget Number OSP sends FA to GCA GCA sets up budget number Campus receives a summary of FA via email that includes details like F&A rates, Total Costs, Period of Performance, Some Terms & ConditionsCampus can view UW budget information in MyFinancial Desktop & Grant TrackerTake note of Final Action Date

How Do GCA and OSP Communicate?

Communication at the Setup Stage GCA receives items from OSP via SERA Ability to comment and/or send back SAGE Campus eGC1 SAGE budget ADV requests SPAERC OSP eGC1 (typically view) ADV (view) Cycles FA, PAC, PAN, etc. SERA GCA eGC1 (view only) FA (view/limited edit) PAC (view only)

Additional Communication Email/phone Typically Grant Analysts Manager or stream member if necessaryPost-Award Collaborative Team (PACT)Members from OSP and GCA Quarterly meetings Collaborate and communicate to improve timeliness and efficiency in shared pre-/post-award activity processes Implement improvements to processes System enhancements Training opportunities

Which OfficeDo I Go To? OSP, GCA or Both?

General Rule Think of OSP as your award/contract specialist, and GCA as your accountant: OSP is your compliance office and institutional signatory Once your award has been negotiated and approved by OSP the FA or PAC is sent to GCAGCA sets up your budget in the system, and creates the financial reports and invoices that are submitted to the sponsor

Examples of Shared Responsibilities Surplus Transfers: If your balance is greater than 25% OSP needs to review and approve If the balance is less than 25% GCA can approve and process

Examples of Shared Responsibilities Sponsor questionnaires: OSP answers audit questions GCA answers accounting questionsBoth offices can loop in other central offices as needed Equipment Inventory Office (EIO) Procurement Services

Examples of Shared Responsibilities Rebudget requests: OSP will process rebudget requests that need sponsor approval Post Award Change (PAC)If no sponsor approval is required GCA can process your request using the Rebudgeting Form

GCA Post Award Tasks

GCA Post Award Tasks Some changes don’t require sponsor approval as they’re only changing budget details that appear in UW’s systems: Sub budget requests Online via GrantTracker for new budgetsTRANSPASU Form submitted via GrantTracker For new budgets To supplement existing subs Change the PI Extending a sub budget end date New date is the same or earlier than the parent

GCA Post Award Tasks Simple Budget Changes Budget short title Box numberOrganization (Org) codes FIN budget status changes (from 1 to 3, etc.) These change requests don’t need to go through OSP and can go directly to GCA via GrantTracker

GCA Post Award Tasks Written sponsor approval of a supplemental final invoice or the extension of a final report due date does not have to go through OSP: No change in due dates (contract terms) Sponsor is acknowledging that they will accept a late invoice/reportNot contractually obligated to accept it

When is an Amendment Required? Generally, changes to your contractual agreement require a formal amendment. An amendment is required if there is a revision to: the total value of the awardthe period of performancethe scope of work This is not an all encompassing list. The terms of your specific award may require an amendment for other changes.

Closeout at GCA Review and prepare budget number for closing Prepare and submit final invoice, final financial statement and/or contractor’s release Close balanced budget to status 4 within 120 daysReports OSP completes or submits: Final performance reports Final invention statement or patent-related reports Equipment reports GIM 39 - Closeout of Sponsored Programs

Thank you! Questions? Comments?