Hot Topics Sarah Waldemar & Pamela Webb 02.18.2010.

Hot TopicsSarah Waldemar & Pamela Webb

02.18.2010

News from the Front

Late Proposal Statistics

SPA Organizational Updates

Award Processing Turnaround Update

Reminder: Recent EFS Reports

Sponsored Awards in Deficit Sponsored Project Detail Drilldown F&A Recovery Distributions Submitted Proposal Processing Statistics Award Processing Statistics Sponsored Projects Summary

Fixed Price Balances Flexible Period Expense Summary

Guide for Using EFS Sponsored Reportshttp://www.ospa.umn.edu/efs_sp/documents/GuideforEFSSponsoredReports-

updatedJan2010.pdf

EFS

EFS

EFS

EFS

Coming Attractions:

EFS

Status of Policy Development F&A Waiver Policy (under review)

◦ “Small Project” Waivers available since 10/08◦ After Presidential Policy Committee review in in March:

“Strategic” and “Regular” Waivers rolled out Data will be reported on “waived” amount by college New Excel-format waiver form posted Master list of pre-approved reduced rates for non-profit and

governmental agencies posted

Summer & Part-Time Effort Policy (under review)◦ Maximum of 2.5 months summer salary paid on sponsored

projects unless exception approved◦ Part-timers can write proposals on time not paid by the University◦ Work on-campus unless project specifies an off-campus location or

exception approved

Use NetFiles to Send Supersized Electronic Proposals to SPA

Job Aid on SPA web page under “EGMS” http://www.ospa.umn.edu/documents/SolutiontoSubmitLargeElectronicProposalFiles-1.pdf

Use for electronic proposals larger than 25 MB

These proposals will bounce if sent via University email services

Department Administrator Curriculum Project

Courses expected to be available by June 30th:◦ Sponsored Projects Overview◦ Research Policies, Compliance, and Ethics◦ Cost Sharing◦ Planning & Issuing Subawards◦ Managing Subawards◦ Effort Certification

Blue = shared core course taken by everyone in the certification program

Active Systems Projects in SPA

PRF Upgrade

March 28(anticipated)

ECRTUpgrade

Summer 2010(anticipated)

Subaward Tracking System

Not yet scheduled

Electronic Proposal Development & Submission

PRF Upgrade Estimated release: March 28, 2010 PDF version now shorter and easier to read

◦ Key data elements appear on first page

Data elements have been added or refined to enhance departmental and college review◦ Time the proposal is due (if not 5 p.m. central)◦ F&A rate and base, F&A waiver information◦ Improved information on ICR sharing arrangements◦ Administering department /DeptID◦ Quick-scan view of personnel and their effort/roles◦ For existing projects, agency award # and key EFS info◦ Ability to include cost-sharing/matching chart-strings (optional)◦ Enhanced ability to view signatories and signature status◦ Notes/ instructions print on the PDF version of the PRF

PRF Upgrade (continued) Improved look-up capabilities for names/units Better award setup guidance to SPA Ability to update limited data elements mid-route Improved “Help” text Bug fixes (e.g, jump to top of PRF when starting

review)

Test & Play Version Available Soon!

• Users will be able to get used to the new screens/data elements in a “training” version of the system BEFORE Go-Live

• Training classes are available in two Instructor-led formats• Demo or Hands-On

See Handout!

ECRT Upgrade Coming!Anticipated release: Summer 2010 Improved reliability and timeliness

◦ Pulling data from source systems not data warehouse◦ No in-house customization - vendor supports system

“Build As You Go” Effort statements ◦ Watch statements build throughout performance period◦ Easier to identify needed changes before certification

Ability to Query within ECRT◦ Search by x.500 as well as EMPLID◦ Effort Unit able to write custom queries and make

available to end users

ECRT Upgrade (continued) Improved Reporting

◦ SPES (Sponsored Project Employee Summary)◦ ECPR (Effort Certification Payroll Report)◦ Audit Report (shows all individuals who certified

on a project)◦ Several others

Commitment management functionality

Training sessions to be provided before Go-Live

Later!

Subaward Database Project Business requirements crafted

◦ On-line tracking of subaward transactions◦ On-line tracking of invoices ◦ Audit management and tracking

Summer 2009 RFI results◦ 8 vendors responded, 0 had viable

product

Next Steps◦ Demo’ing related Oracle/Peoplesoft product (2/23)◦ Considering partnering with a vendor and possibly other

institutions to create a product

Upcoming Change to the Chart of Accounts (COA)

Budget by Individual Subaward! ◦ Existing subawards will stay in existing accounts◦ New subawards will use new schema◦ Up to 9 subawards per project

More than 9 subawards? Use a second project or use existing account codes

Available inJuly 2010

Recent Agency Updates NIH (http://grants.nih.gov/grants/policy/policy.htm)

◦ New shorter/revised proposal formats now required◦ Error correction window extended from 2 days to 5 days

through 5/25 *if* you have errors/warnings◦ Most out-year increases limited to 2% rather than 3%◦ NRSA Stipend levels up 1%◦ NIH Salary Cap increased on 1/1/10 to $199,700

And then there is..

RCR

NSF & NIH Training Requirements NSF RCR Requirements

Effective January 4, 2010

Certification at time of application Must provide appropriate training and oversight in the

responsible and ethical conduct of research Applies to undergraduates, graduate students and

postdoctoral researchers Must be completed within 90 days of start of funding

Additional information:http://cflegacy.research.umn.edu/first/NSFApprCrs.html“RCR Requirements for NSF & NIH” breakout session materials

NSF & NIH Training Requirements NIH RCR Requirements

applies to all new and renewal applications submitted on or after January 25, 2010,

all continuation (Type 5) applications with deadlines on or after January 1, 2011

Requires ongoing instruction relevant to career stage Specific requirements for content, format, duration and

frequency Requires monitoring of attendance and reports on activities

completed

Additional information:http://cflegacy.research.umn.edu/first/NSFApprCrs.html“RCR Requirements for NSF & NIH” breakout session materials

Oversight of ARRA Funds

Quarterly reporting requirements

Increased likelihood of audits by external auditors

Increased scrutiny by sponsors

Oversight activities to be conducted by OAR

Conflict of Interest

High visibility due to interest of federal government

Disclosure of payments to consultants required for pharmaceutical companies

New Regents’ policy in review process

New administrative policy to follow

Export Controls Federal agencies are tuning in

Large penalties for seemingly small errors or infractions

Review of UMN risk exposure to be initiated late Spring, 2010

Additional information: http://www.research.umn.edu/regulations/export_controls.html "Foreign Entanglements: Export Controls, OFAC Boycotts, Prison Sentence for a Prof ” breakout session materials

OAR Tools for Compliance

Transaction and Risk Summary Reviews – active

Proceeding with central unit, targeted and special compliance reviews

Policy/procedure/regulatory reviews and education

Reviewing and revising oversight processes

Updates to website

Slowly Simmering Topics

NSF Effort Audits – increase in frequency planned

Changes to sponsor policies/guidelines – read your NOGAs, RNO

Audit results from other institutions – be prepared

Audit requests from agencies – share the fun with others