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Managing Your New Award PI / SPS Partnership  Presented by: PowerPoint Presentation
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Managing Your New Award PI / SPS Partnership  Presented by:

Managing Your New Award PI / SPS Partnership  Presented by:

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Managing Your New Award PI / SPS Partnership  Presented by:

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  1. Managing Your New Award PI / SPS Partnership  Presented by: Jeff Schieder — Agreement Administrator Pam Stanley — Award Analyst

  2. SUNY UB Performance Site Research Foundation Fiscal Agent

  3. Proposal Development Award Closeout Proposal Submission Award Management Award Acceptance

  4. The Role of SPS Sponsored Project Services Provide award management services that allow faculty to focus time on research & instruction Positioned to assist SUNY faculty to translate research and discovery into invention, innovation entrepreneurship, economic opportunity and public benefit Various SPS Staff Roles Proposal/Acct Establishment Specialist –Processes/submits applications and grant documents Administrator – Reviews and submits proposals, negotiates and accepts awards Grant Coordinator – Processes /submits applications, reviews expenditures Award Analyst - Reviews expenditures for reasonableness and allowability Accounts Receivable - Handles sponsor invoicing, financial reports, close out Apply For / Receive Funding Research, Staffing, Billing, Reporting

  5. Proposal Development Award Closeout Proposal Submission Award Management Award Acceptance

  6. Agreement Negotiation /Award Acceptance • The Research Foundation of SUNY reviews and accepts and/or negotiates the award. • Any impact of negotiation on the final budget is addressed. • Any special terms and conditions are highlighted. • The PI is requested to review and approve the award. • Documents are signed by an authorized official.

  7. Award Set Up – Getting an Account Number • Certain items are required to set up a new account • Award (or at-risk/backstop approval) • Approval Form (EPS) • IACUC / IRB / Biohazard approvals • Conflict of Interest form New FCOI rules • Notification of the unique Award/Project/Task number • Award – 5 digits • Project – 7 digits • Task – 1 or 2 digits • Example: 55555-1234567-1

  8. Setting up an Account “At- Risk” • An account can be set-up without an award. • Funds expended are done “at risk” • Someone, typically the dean, needs to agree to “backstop” the expenses • Useful for getting a project started or continuing an active project while an award/continuation is being negotiated or just waiting for “paperwork” to process

  9. Managing an Award – A Team Effort • An Award is made to the RF, not the PI • Financial responsibility – PI • Prior approval requests – PI, Admin • Amendments to contracts/continuations – PI, Admin • Progress reports – PI, Admin, Award Analysts, Grant Coordinator, Accounts Receivable • Requesting a No Cost Extension – PI, Admin

  10. Allowable Charges • When considering putting a charge on a grant, do a sense check • Is the charge reasonable? • Is the charge allowable? • Is the charge allocable? • Is /can the charge be consistently applied? • Allowable costs are specified in Federal or sponsor guidelines • NIH, NSF, A-21 • Sponsors may have very specific terms and conditions • American Heart, NYS DOH • Focus today on allowability

  11. Putting Charges on an Account • A mix of on-line tools and paper forms are used • Personnel • Paper payroll forms / on-line e-ptf system • Various types of appointments: regular, part time, post-docs, graduate students, undergrads • All appointments go through RF HR first • Supplies • e-req system for purchase from a vendor • RAP form for reimbursement to person • Subject Payments • RAP form

  12. Putting Charges on an Account • A mix of on-line tools and paper forms are used • Independent contractors – provide a specific skill • Contract set up for > $10k • Forms on SPS website • Subcontracts • Separate agreement with another site to do some segment of project work • Main project terms apply to subcontractors • Authorization can be set up for a staff member to approve charges on PI’s behalf.

  13. Tools to Manage a Research Account • UBBusiness is the link for access to the PI toolbox • Principle Investigator Award Interface (PIAI) • Monitor award activity • RF Quick View • View balances and overview summary of RF accounts • E-req • Electronic requisition system • E-ptf • Electronic personnel transaction form • UB Jobs • Classification and recruitment processes • SIRI • Source for financial, HR, research, student, enrollment, and facilities data

  14. Submitting a Progress Report • The Award Terms and Conditions will outline the reporting requirements • Frequency • Format • Sponsor specific requirements • Method of submission (NIH e-snap, for example) • Submission may be done by SPS or PI • If unsure, contact the SPS Administrator

  15. Publishing Research Results • The Award Terms and Conditions will specify any requirements • Whether sponsor approval is required prior to any submission for publication • The level of sponsor acknowledgement • Timing and format • The SPS Administrator can help define and clarify these requirements.

  16. Continuing the Research: Applying for Additional Support • It is critical to be proactive • The SPS admin or P/AES can help interpret the sponsor’s policy on continued funding. • Start thinking about applying for additional funding 12-18 months prior to the end of the current award.

  17. Closing Out an Award • SPS utilizes a proactive 3 month terming process • Analyst works with PI prior to term date to close out POs, make sure appropriate charges are processed. • Analyst confirms that committed key personnel effort is reflected. • Final reports due 30 – 90 days after end of award • Joint effort between SPS and the PI to submit necessary financial and technical reports

  18. Keeping the Research on Track • Contact the Program Officer/Official if you feel changes are needed in the scope of your research or the specific aims. • The contacts in SPS need to be aware of any discussion and/or changes that result. • SPS is the support system to navigate the processes • Reporting • Request for prior approval • Payroll and expenditures • Material Transfer Agreements • Confidentiality Agreements • Leverage the SPS expertise – if in doubt, contact us. We’re here to assist you.

  19. References • SPS Forms: • Financial Responsibility Policy: • FCOI: • UBBusiness: • Federal A21: • NSF: • NIH: • Tuition Policy: • Cost Transfer Policy: •

  20. Questions?

  21. Thank you!