Sponsored Project Training Program
Introduction to Sponsored Projects
Jennifer Gagnon, Nick Brightman & Sudha Ramaswami
September 12, 2012
1
Introduction to Sponsored
Projects
This session will provide an overview of
the grant life cycle from searching for
funding to grant closeout.
 Participants will learn the roles and
responsibilities for all individuals involved
in the grant life cycle.

Sponsored Project Training Program
Learning Objectives

Participants will:
◦ Receive an overview of Sponsored Project
Administration
◦ Learn about the grant lifecycle
◦ Understand the roles and responsibilities of
investigators, chairs and deans, and central
units, in addition to how they as business unit
administrators fit in
◦ Know where to go for help and become
aware of future learning opportunities
Sponsored Project Training Program
What is a sponsored project?
Externally-funded activities in which a
formal written agreement, i.e., a grant,
contract, or cooperative agreement, is
entered into by recipient (UVM) and
sponsor
 Supports research, public service, or
instructional efforts at the university

Sponsored Project Training Program
Characteristics of sponsored
projects
Statement of work
 Clear period of performance
 Reporting requirements

◦ Programmatic & financial
◦ External audits
◦ Return of unspent funds

Special facilities/accommodations
Sponsored Project Training Program
Common terms
Grant - assistance mechanism
 Contract - procurement mechanism
 Cooperative Agreement - similar to a grant
but with more involvement from sponsor
 OMB Circulars

◦ A-21, cost principles
◦ A-133, audit

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Federal Acquisition Regulations (FAR)
Subrecipient
Cost share
Sponsored Project Administration

Integrated office supporting faculty and
sponsors on activities within the grant life
cycle
◦ Collaborates with business unit
administrators in providing this support
Focus on service, compliance, and capacity
 Solely responsible for accepting awards
on behalf of UVM

Sponsored Project Training Program
Grant Life Cycle
Sponsored Project Training Program
Find Funding

Alert services
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InfoEd SMARTS
NIH Guide for Grants and Contracts
National Science Foundation Update
Grants.gov
Databases
◦ InfoEd SPIN (Sponsored Programs Information
Network)
◦ Community of Science
◦ PIVOT

Grant proposal writing resources
Sponsored Project Training Program
Find Funding
SPA provides individualized services to
UVM faculty, staff, and students in their
search for funding opportunities
 Contact Hilda Alajajian at 6-1322 to
schedule an appointment
 https://www.uvm.edu/spa/?Page=findfundi
ng.html

Sponsored Project Training Program
Proposal Development &
Submission
Collaboration between PI, business unit
administrator, and SPA
 Determining PI eligibility

◦ Faculty and professionally qualified staff with a
.50 FTE or greater
◦ Emeriti faculty, with dept & college approval
◦ https://www.uvm.edu/spa/?Page=pieligibility.ht
ml
Sponsored Project Training Program
Proposal Development &
Submission

Contact SPA early and often
◦
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Intent to apply
Sponsor guidelines
Funding restrictions
Draft budget & scope of work
Budget development
Subawards
Interpretation of university federal &
sponsor regulations
Completion of agency forms & certifications
Sponsored Project Training Program
Proposal Development &
Submission

PI responsibilities
◦ Writing the proposal, scope of work
◦ Responsible for the successful routing and
approval of the proposal
◦ Ultimately responsible for proposal submission
◦ Coordinating with sub awardees
◦ Get the approval of Dean/Chair on

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Levels of effort
Staff on the project
Cost share
Space
Sponsored Project Training Program
Proposal Development &
Submission

Dept Chair reviews & approves proposal
prior to submission
◦
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Quality
Consistency with unit mission
Effort
Cost share commitments
Space
Proposal Development &
Submission

Business unit administrator responsibilities:
◦ Assist PI with budget & other administrative tasks
◦ Confirm chartstrings for cost share commitments
◦ Assist, if applicable, with decisions on budget &
space availability
Dept admin toolkit https://www.uvm.edu/spa/?Page=department
administratortoolkit.html
 UVM Fact Sheet https://www.uvm.edu/spa/?Page=uvmfactshee
t.html

Sponsored Project Training Program
Proposal Development &
Submission

Regulatory research requirements (use of
human subjects, animals, recombinant
DNA, etc.)
◦ Research Protections Office http://www.uvm.edu/rpo/

Financial conflicts of interest
◦ https://www.uvm.edu/spa/?Page=coi_new_ann
ouncement.html

University policies & operating
procedures
Sponsored Project Training Program
InfoEd

Proposal Development is used by the PI
to:
◦ Upload proposal documents
◦ Route proposals for internal approvals
◦ System-to-system proposal submissions (NIH)

Proposal Tracking is used by the PI &
business unit administrators to:
◦ Track & report – current & pending support
data
◦ View proposal documents
Sponsored Project Training Program
InfoEd – Training Resources
For questions/training, contact Cathy
Ruley Condon at
catherine.ruley@uvm.edu or 6-3360 or
visit InfoEd website
https://www.uvm.edu/~infoed/
 Training opportunity:

Getting the most out of InfoEd
Wednesday, October 31, 1:30 – 3:30

InfoEd login - https://spogi.uvm.edu/
Sponsored Project Training Program
Award Acceptance & Set up

Award receipt & Acceptance
◦ Final negotiations including budget revisions if any –
Federal/Private or industry
◦ Clarification of reporting & invoicing terms
◦ Clarification of publication, data ownership & Intellectual
Property rights
◦ Clarification of indemnification and insurance
requirements
◦ Adhering to applicable university policies & procedures

PI responsibilities
◦ Review and approve scope of work, technical reporting
requirements, and other terms and conditions
◦ Work with SPA to negotiate contract as needed
Sponsored Project Training Program
Award Acceptance & Set up

Advance account (aka guaranteed funding)
◦ https://www.uvm.edu/spa/?Page=advancedaccount
s.html
◦ Requested by PI with assistance from business
unit administrator
◦ Approved by department chair and/or dean

Unless AA is used, award document must be
fully executed before:
◦ Work begins
◦ Chartstring can be set up
Sponsored Project Training Program
Award Acceptance & Set up

Set up in Peoplesoft
◦ Budget information & chartstrings – including cost
share
◦ Reporting & Invoicing terms & conditions
◦ Additional terms & conditions

Set up in InfoEd
◦ RPO approvals
◦ Conflict of Interest information

Issues delaying the set up
◦ Research protection approvals
◦ Conflict of interest disclosures
◦ Institutional procedures, such as cost policy
justification forms
Award Acceptance & Set up

Notification sent to PI & business unit
administrator once award is set up
◦ Identifies unique terms & conditions
Sponsored Project Training Program
Award Management
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Critical component of the award life cycle
Continuous monitoring during this phase of
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Expenses
Rebudgeting
Cost transfers
Cost sharing
Actions requiring prior approval from sponsor
PI responsibilities
◦ Manage project personnel, including subrecipients
◦ Ensures meeting of cost share commitments, including third party
commitments
◦ Periodical monitoring of expenses with the assistance of the business
unit administrator
◦ Seeks prior approvals from sponsor when necessary
◦ Approves sub recipient invoices
◦ Ensures timely & accurate effort reporting of personnel
Award Management

SPA’s role during this process
◦ Financial analysts acts as the first point of contact for requests
related to PeopleSoft
 Rebudgeting
 Journal Entry approval
 Budget checking errors
◦ Research Administrators will assist in the preparation &
submission of prior approval requests, including extensions
◦ Financial Analysts do an annual review of the various terms &
conditions for federal awards and per award terms for private
awards
◦ Financial Analysts do interim financial reports as required by the
sponsor
◦ Financial Analysts receive the subrecipient invoices, analyze them
for expense allowability & other terms & conditions and forward
to the PI for approval
Award Management

Business unit administrator responsible
for:
◦ Reviewing and analyzing financial activity
◦ Monitoring cost share and effort
commitments
◦ Should meet with PIs at least quarterly

Learning opportunity:
Grant Financial Management: Tools & Best
Practice
Wednesday, November 7, 1:30 – 3:30
Sponsored Project Training Program
Award Management

Other units that help with the process
◦ Procurement Services
 Purchase orders, check requests & purcards
◦ General Accounting
 Travel advances & reimbursements
◦ Cost Accounting Services
 Effort reporting
 Space & Equipment Inventory
◦ Payroll Services
Sponsored Project Training Program
Award Closeout

SPA prepares and circulates monthly reports of awards:
◦ Ending within 90 days, or
◦ Has ended within the last 30 days

An email from the Financial Analyst:
◦ Confirming final expenses
◦ Requesting clarification on expenses that are miscoded, unusual
based on the scope of work of the project, or potentially
unallowable
◦ Listing any pending transactions that need to be processed

PI responsibilities
◦ All expenses have been accounted for or have been forwarded
to SPA, including the sub recipient expenses
◦ Cost share commitments have been met
◦ Final Technical/Progress reports have been sent
◦ Final invention statement, if applicable, has been sent
Award Closeout

Business Unit Admin responsibilities
◦ Assist the PI with meeting their responsibilities
◦ Ensures that cost share is correctly and fully
accounted for against the department chartstring

SPA responsibilities
◦ Responsible for preparing & submitting financial
reports
◦ Closeout in PS & InfoEd
◦ Facilitate invention and other closeout reporting
with PIs and others, as needed
Sponsored Project Training Program
PeopleSoft

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System of record for financial & human
resource data
Source of internal control
◦ Budget limited to the awarded amount
◦ Only approved categories set up
◦ Exceptions highlighted

Used for
◦ Accounting & tracking expenses based on
chartstring
◦ Reporting of these expenses using various tools
Sponsored Project Training Program
PeopleSoft – Training & Resources
See UVM Learning Services website for
training opportunities & online resources
https://www.uvm.edu/hrs/?Page=skills/dev
elop_skills.html
 PeopleSoft login https://www.uvm.edu/~erp/portal/

Sponsored Project Training Program
Grant Life Cycle
Sponsored Project Training Program
Outside of Grant Life Cycle
Cash management & collections
 Subrecipient monitoring
 USDA federal formula funds
 Audit coordination

◦ Learning opportunity:
What happens if your grant gets audited?
Wednesday, October 10, 1:30 – 3:30
Sponsored Project Training Program
Roles & Responsibilities Overview

Clearly delineate roles and
responsibilities
◦ Eliminate duplication of effort
◦ Address tasks that were falling through the
cracks
◦ Increase efficiency
Ensure those engaged in grant lifecycle
understand their functions
 Mitigate compliance risks & audit findings

Sponsored Project Training Program
33
Roles
Principal Investigator (PI)
 Business Unit Administrator
 Sponsored Project Administration (SPA)
 Department Head/Chair
 Dean
 VP for Research and Dean of Graduate
College
 VP for Finance and Administration

Sponsored Project Training Program
34
Principal Investigator (PI)
Must participate to a significant
intellectual degree in sponsored project
 Bears primary responsibility for all
essential aspects of work being carried
out
 May delegate tasks to business and
support staff; but ultimately responsible
for project

Sponsored Project Training Program
35
PI Responsibilities

Programmatic
◦ Completes progress reports
◦ Monitors subrecipients

Compliance
◦ Satisfies regulatory research requirements
◦ Ensures accurate and timely effort reporting for
project personnel
◦ Discloses conflicts of interest when required

Administrative/fiscal
◦ Monitors project’s financial status
◦ Manages project within budget limits
◦ Ensures that cost-share requirements are met
Business Unit Administrator
Provides financial, human resource,
reporting and other administrative
support services for Principal
Investigators
 Has a general understanding of:

◦ Federal and other sponsor policies and
regulations
◦ University policies and procedures
◦ College guidelines as they pertain to
University grants and contracts
Sponsored Project Training Program
37
Bus Unit Admin Responsibilities
Assists PI in proposal submission
 Serves as resource to PI for any financial
or human resource issue
 Assists PI in meeting compliance
requirements, such as effort reporting &
subrecipient monitoring
 Supports PI in monitoring a project’s
financial status, including ensuring:

◦ Expenses are allowable and allocable
◦ Cost share commitments are met
Sponsored Project Administration
(SPA)
Central university office involved in the
university’s sponsored research
enterprise and other sponsored activities
 Use an integrated approach to partnering
with business unit administrators in
support of researchers and sponsors
throughout the grant lifecycle

Sponsored Project Training Program
39
SPA Responsibilities
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Disseminates funding opportunity information
Reviews proposals for compliance with
university policies and sponsor proposal
guidelines
Approves and authorizes submission of
proposals on behalf of the institution
Reviews, negotiates, and approves terms and
conditions of award
Writes, negotiates, executes, and monitors
subaward agreements
Sponsored Project Training Program
40
SPA Responsibilities
Provides guidance and training to
research community about federal,
sponsor, and university regulations and
policies
 Prepares invoices and financial reports
 Manages cash

Additional Resources
Dean’s Offices
 Roles and Responsibilities:
http://www.uvm.edu/spa/?Page=rolesandresponsibilities.html
 Sponsored Project Training Program:
https://www.uvm.edu/spa/?Page=sptp.html
 Quick Compliance Guide for PIs:
http://www.uvm.edu/spa/documents/quickcomplianceguide.pdf
 UVM & Federal Policies:
http://www.uvm.edu/spa/?Page=uvmandfederalpolicies.html

Sponsored Project Training Program
42
Introduction to Sponsored Projects

Questions?
Sponsored Project Training Program
Learning Objectives

Participants will:
◦ Receive an overview of Sponsored Project
Administration
◦ Learn about the grant lifecycle
◦ Understand the roles and responsibilities of
investigators, chairs and deans, and central
units, in addition to how they as business unit
administrators fit in
◦ Know where to go for help and become
aware of future learning opportunities
Sponsored Project Training Program