LSA Research Administrators
Information Network (RAIN)
Day Four
POST-AWARD Managing the Process
April 20, 2011
Presented by:
Amber Stadler, Business Manager,
Department of EEB
Alexandra Thebaud, Contract and Grant Specialist,
Department of Physics
Peggy Westrick, Senior Manager,
College of LSA Research Office
1
Know A21 rules
Cost Acctg. Standards
Locate resources needed
Help make proposals best that can be
submitted
Spend time needed to
explain your expectations
Advocating
for faculty
Training
staff
Being a
good
steward of
funds
Keeping
my career
on track
Take courses
Know the RA track if you want to stay
doing research administration
Being a
good
BIG
PICTURE
Shepherding proposals (nagging)
communicator Talking with HR manager
about appointments
Department and
PI
for Department
Research Admin.
Keeping up
with the
rules
Attending LSA ResAG
Sponsor sites
DRDA-net
Word of Mouth
2
Managing
the awards
Resource commitments
7471s
Appointments
Purchasing
Submitting
proposals
Sponsor guidelines
eRPM
IRBs
Deadlines
Time
management
Have a good
Business
Process for
managing
Research
Administration
Proposals, Renewals,
final reports, budgets,
7471s
How many things can I
juggle-be realistic
Start
here
Setting expectations for faculty
Service plan, Renewals, Deadlines,
LSA RAIN-Managing the Post-Award Process
Two things I want to officially bring to your attention before we go
into today’s session:
1. Please check my name on the eRPM list for each “first 7471 for
new awards” as you are loading them into eRPM. That way I am
notified that it is now in the system. The 7471 becomes the historic
view of the the changes made to the sponsor budget—most often don’t get
a new one from sponsor when changes are made.
2. At proposal time and when an award is issued notify your IT folks
for computing over $5,000 and Facilities folks for equipment
causing the need for a renovation. You’ll hear at the May RAIN
session how to use the Manage Unit Data pages for capturing this
information. I’ve included a template email so you can notify your
IT and Facilities folks without allowing them into eRPM.
3
LSA RAIN-Managing the Post-Award Process
Creating a Standard Operating Procedure
(Business Process)
 Help create steps for building your own. 
 Create “eRed” Folder in eRPM’s Manage Unit Data
screens (will show you how in the May RAIN session)
which includes these categories: Activity Log, Sponsor
Award Documents, Proposal, Awarded Budget, Awarded
Budget Justification, PAN and PACs, 7471, FDPs, and
A21 Sensitive items list, PAF, Important relevant emails.
This could resemble the paper version that Alex
talked about last time.
4 Amber
LSA RAIN-Managing the Post-Award Process
Managing the Project Grant
 Put Expenses where they belong (no parking—
follow the 7471’s categories)
 Using the Hardships and “PreAward Spending”
tools ensures that you won’t need to Park!
Moving expenditures is a red flag to auditors.
Sub-awards must have parent approval for hardship.
5 Amber
LSA RAIN-Managing the Post-Award Process
eReconcile—You’ve been spending what’s next:
 Revenue vs. projected revenue—make sure your funds
have arrived!
 Budget is not revenue
 Budget is what was promised and revenue if what was received.
 DOE or NSF Letter of Credit
 How to see it on: SOAs, M-Reports, and PBSR (see handout)
 Best Practice for eReconciling
 Keeping receipts—Follow your departments best practice
 Keep Federal records for 7 years after the close
 Keep receipts for A-21 sensitive items paid before end date
 Tracking Salaries
 Concur/Pcards—It is easier to get them now rather than from
accounts payable when you need them.
 Reporting monthly—how to interact with faculty member
https://mreports.umich.edu/mReports/ - M-Reports
https://finprod.dsc.umich.edu/psp/finprod - eReconciliation
https://businessobjects.umich.edu/ - Business Objects
6 Alex
LSA RAIN-Managing the Post-Award Process
eReconcile—You’ve been spending what’s
next:
 Faculty Monthly Report Power Point
7 Alex
LSA RAIN-Managing the Post-Award Process
eReconcile—You’ve been spending what’s
next:
A21 revisited– Journal Entry to move off or
reaccount
 Watch Research Salaries so you don’t end up with a
need for the 120 day memo (don’t park)—If the
Research salaries get an account code that makes
them A21 sensitive try to work with Sponsored Funds
to fix.
 120 day memo—it takes a month to get a retroactive salary approval
because your Project Grant Coordinator has to approve it and then it
goes to Bryan Van Sickle for approval.
 Research supplies might show up as general
supplies—get them put on the right account code.
8 Alex
LSA RAIN-Managing the Post-Award Process
Managing the Project Grant
Federal Demonstration Partnership (FDP)
1) Time Extensions, 2) Equipment Purchases not in budget, 3) Equipment Purchases in last three months of
Project Grant, 4) Renovations exceeding $3,000, 5) PreAward Costs, and 6) Rebudgeting
Which Project Reps have FDP authority?
http://www.drda.umich.edu/policies/federal/fdp.html

Participating Federal Agencies

National Science Foundation
DRDA Project Representative: David Plawchan, davedrda@umich.edu, 764-7237

Environmental Protection Agency
DRDA Project Representative: Amanda Coulter, acoulter@umich.edu, 936-1353

U. S. Department of Energy
DRDA Project Representative: Amanda Coulter, acoulter@umich.edu, 936-1353

National Institutes of Health
DRDA Project Representative: Terri Maxwell, tmax@umich.edu 764-7246

Air Force Office of Scientific Research
DRDA Project Representative: Kathy DeWitt, dewitt@umich.edu, 763-6438

U. S. Department of Army
DRDA Project Representative: Kathy DeWitt, dewitt@umich.edu, 763-6438

Office of Naval Research
DRDA Project Representative: Kathy DeWitt, dewitt@umich.edu 763-6438

National Aeronautics and Space Administration
DRDA Project Representative: Kathy DeWitt, dewitt@umich.edu 763-6438

U.S. Department of Agriculture
DRDA Project Representative: Kathy DeWitt, dewitt@umich.edu 763-6438
9 Amber
LSA RAIN-Managing the Post-Award Process
Managing the Project Grant
 Federal Demonstration Partnership (FDP)
Time Extensions—aka. NCTX—How to get one.
Rationale from PI
When to get one
Create new budget and justification
Get signatures on form from PI and Chair
Submit to DRDA Rep
Sponsored funds will issue PAC w/new end date
Do new 7471 when you get PAC
This if for first NCTX request—check with DRDA Rep if an
additional NCTX is needed (not automatic).
1)
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10 Amber
LSA RAIN-Managing the Post-Award Process
Managing the Project Grant
 Federal Demonstration Partnership (FDP)
2) Equipment Purchases not in budget—To do it.
 Rationale from PI
 Create new budget and justification
 Get signatures on form from PI and Chair
 Submit to DRDA Rep
 Sponsored funds will issue PAC w/new Direct,
Indirect (changes IDC), and Total
 Do new 7471 when you get PAC
11 Amber
LSA RAIN-Managing the Post-Award Process
Managing the Project Grant
 Federal Demonstration Partnership (FDP)
3) Equipment Purchases in last three months of
Project Grant
 Hard to get approved because it is rare to have a
good rationale

Examples of good rationale would be grant is continuing
or you’ve been granted a NCTX
Get signatures on form from PI and Chair
Submit to DRDA Rep
NO PAC from Sponsored funds and NO NEW 7471
NEEDED.
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12 Amber
LSA RAIN-Managing the Post-Award Process
Managing the Project Grant
 Federal Demonstration Partnership (FDP)
4) Renovations exceeding $3,000 (if allowed in
original grant from sponsor and wanting to
rebudget more funds into Reno)

Don’t submit form until you’ve discussed with DRDA
Project Rep as most sponsors don’t allow renovations.

Get signatures on form from PI and Chair
Submit to DRDA Rep
DRDA will issue PAC
Do new 7471 when you get PAC
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13 Amber
LSA RAIN-Managing the Post-Award Process
Managing the Project Grant
 Federal Demonstration Partnership (FDP)
5) PreAward Costs
As we’ve already discussed in the Hardship and PreAward spending
section if you need them ask (don’t park expenses)
Do Hardship Form too
Get signatures on both forms from PI and Chair
Submit to DRDA Rep
Sponsored funds will issue Hardship PAN
Do new 7471 when you get Hardship PAN
Watch funds carefully as you’ve just extended the grant
period but don’t have additional $$$$$.
It takes a couple days to get the Project Grant to begin
spending.
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14 Amber
LSA RAIN-Managing the Post-Award Process
Managing the Project Grant
 Federal Demonstration Partnership (FDP)
6) Rebudgeting
 For major categories that shift the scope of the project
 If DRDA does not have FDP approval the PI must go
to the sponsor for approval for changes over 25%
 For changes less than 25% just change by using a 7471
 Sponsored funds will issue PAC w/new Direct,
Indirect (changes IDC), and Total
 Do new 7471 when you get PAC
15 Amber
LSA RAIN-Managing the Post-Award Process
Managing the Project Grant
Projections – Forecasting
 A 7471 helps keep spending in the right
categories and clarifies any budget changes
 A forecasting tool helps you sort out unexpected
spending and allows you to forecast how it
impacts the budget
 Use the forecasting tool to meet with your faculty
member so they have a better understanding of
what’s happening
16 Alex
LSA RAIN-Managing the Post-Award Process
Progress and Financial Reports
 Using eRPM as a repository (Best practice for
Research Administrator to load into eRPM)
 If PI hasn’t done the appropriate reports the
sponsor often won’t give next year’s funds.
 UM is also at risk of losing funding if PI is late
with reports.
17 Alex
LSA RAIN-Managing the Post-Award Process
 M-Reports – you know the end date is approaching
 Make sure monthly expenses like gas, phone, etc. are
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18 Alex
stopped from hitting the project grant.
Project Ends
RA receives FSR two to three months after closing
Final Status Report (FSR)—Closing out the project
Research Administrator Reviews (A21 notice means
you didn’t do all the earlier steps)
Make adjustment to FSR if need be
Faculty sign off
Monitor for expenses hitting the project grant until it
is off the M-Reports
LSA RAIN
Scenario
PI met with his Research Administrator (RA) January 1, 2011 to
review his accounts. RA brought to his attention that his NSF
grant will run into deficit if he continued to pay for his postdoc
salary and fringe benefits. The PI noticed that he hardly spent any
funds on his NIH grant and would like to transfer the postdoc
appointment retroactive to July 1, 2010. The PI mentioned by
making this appointment change it will also free up funds to
purchase research supplies on his NSF grant. The RA found out
that the postdoc already effort certified.
How should the RA proceed?
19 Amber
LSA RAIN
Scenario – Answers
1. Depending on Department policy, the simple answer is no, we do not
retroactive appointments.
2. RA inquires with PI:
- Will the postdoc be working on the research related to the NIH or NSF?
- Depending on the PI’s answer, the postdoc can have a split appointment if he
will be working on both projects. If the postdoc will be changing projects
and working on the NIH grant then we need to request 120 day memo, etc.
3. Explain to the PI: due to the 120 day rule – we can only go back as far as
September 1, 2010
4. Need to request a 120 day memo (along with what the HR submittal
form would look like) and receive approval from Fin Ops. Once
approved then your HR rep will also need to inform the postdoc that he
has to recertify
20 Amber
LSA RAIN-Managing the Post-Award Process
LINKS for reference
 DRDA Website http://www.drda.umich.edu/
 Financial Operations website
http://www.finops.umich.edu/programs
 LSA RA Toolkit
http://www.lsa.umich.edu/research/resources/admintoolkit
 Mreports
http://wolverineaccess.umich.edu/reporting_secondary.jsp
 eGIF https://www-a1.lsa.umich.edu/eGif/
21 Peggy
Query list
Business Objects Reports
M-Reports
CMB Sponsored Project Grant Reconciler w PBSR
Project Grant Budget Status Report with Drilldown
features - Sponsored
CMB Reporting Bdgt Ledger NonSponsored Reconciler by Project Grant Budget Status Report with Drilldown
PG
features – Non Sponsored
CMB Reporting Bdgt Ledger NonSponsored Reconciler by P/G Budget Status/Activity
FundDeptPrgm
CMB NonSponsored Reconciler by PG with Carryforward Spon Parent Summary
and Revenue
PY01 Pay Payroll Estimates for Dept or Dept Grp
CMB eReconciliation by Fund/Dept/Program
CMB eReconciliation by Project Grant
22
P/G Voucher Details