Hot Topics

1. Hot Topics Sarah Waldemar & Pamela Webb 02.18.2010

2. News from the Front • Late Proposal Statistics • SPA Organizational Updates • Award Processing Turnaround Update

3. Reminder: Recent EFS Reports Guide for Using EFS Sponsored Reports http://www.ospa.umn.edu/efs_sp/documents/GuideforEFSSponsoredReports-updatedJan2010.pdf • 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 EFS EFS EFS EFS EFS Coming Attractions:

4. 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

5. 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

6. 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

7. Active Systems Projects in SPA Subaward Tracking System ECRT Upgrade PRF Upgrade March 28 (anticipated) Summer 2010 (anticipated) Not yet scheduled Electronic Proposal Development & Submission

8. 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

9. 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!

10. 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

11. 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!

12. 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

13. 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 in July 2010

14. 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

15. 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

16. 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

17. 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

18. 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

19. 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

20. 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

21. 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