Sponsored Projects Symposium III
February 18, 2010
Presented by: Lorrie Awoyinka & Lori Wallin
What Will Be Covered:
 What are complex proposals/awards?
 Proposal Preparation and Processing
 Award Acceptance and Set-Up
 Post-Award Management
What Are Complex Awards?
Complex awards are large, often
multi-investigator, multi-site,
research, training, or
procurement activities that are
funded under grants, contracts or
cooperative agreements.
Common Features
 Multiple Principal and Co-Investigators
 Multiple Projects/Cores
 Multiple Departments/Colleges
 Multiple Institutions (thus subawards, IP & security plans)
 Large dollars (typically >$500K per year)
 Contain Governance Plan, Steering Committees, Internal
and External Advisory Committees, Some with agency
involvement
Examples
 Multi-site clinical trials/networks (NIH)
 Interdisciplinary training grants (NIH, NSF)
 Center grants (some with re-granting funds)
 Clinical & Translational Science Awards (NIH)
 Sea Grant (NOAA)
 Large contracts (DOD, NIH, CDC, etc.)
 Title VI Centers (US Dept of Ed)
 Program project grants (NIH, JDRF, ACS, others)
 Core facility grants (CMRR)
 Infrastructure grants
 Construction grants
Proposal Preparation and
Processing
 Reviewing the RFA/RFP
 Preparing to prepare the proposal
 Preparing the proposal
 Cross-checking for errors
 Proposal submission
 Proposal routing from (PRF) requirements
 Submitting to SPA and sponsor
 SPA review
Reviewing the RFP/RFA
Pay particular attention to:
 Award mechanism (i.e., co-op agreement, PPG, federal contract)
 One-time RFA or multiple receipt dates?
 Limited submissions? (determine coordinating office at UMN)

http://www.collaborate.umn.edu/explore/external_coordinated_funding.cfm
 Total funding available and funding limitations
 direct or total cost limits? with or without sub F&A?
 inflation limits
 budget category limits, salary limits
 Multiple PIs allowed? Collaborative awards or subs required?
Reviewing the RFP/RFA
Pay particular attention to:
 Allowable and unallowable costs
 F&A allowability or limitations
 Cost sharing and matching requirements
 Resource sharing plans required (data, biologicals, software)
 Proposal preparation instructions (read RFA and instructions cover
to cover first time for overall understanding)
 Make no assumptions
EXAMPLE—MECHANISM OF SUPPORT AND DATES
Part I Overview Information
Department of Health and Human Services
Participating Organizations
National Institutes of Health (NIH), (http://www.nih.gov)
Components of Participating Organizations
National Institute on Alcohol Abuse and Alcoholism (NIAAA), (http://www.niaaa.nih.gov)
Title: Case Ascertainment to Estimate the U.S. Prevalence of Fetal Alcohol Spectrum Disorders
in Young Children (U01)
Announcement Type
New
Request For Applications (RFA) Number: RFA-AA-10-005
Catalog of Federal Domestic Assistance Number(s)
93.273
Key Dates
Release Date: October 23, 2009
Letters of Intent Receipt Date: November 22, 2009
Application Receipt Date: December 22, 2009
Peer Review Date: March-April 2010
Council Review Date: May 2010.
Earliest Anticipated Start Date: July 2010
Additional Information To Be Available Date (Url Activation Date):
Expiration Date: December 23, 2009
EXAMPLE—FUNDING AMOUNTS AND PROJECT PERIOD
Executive Summary
Purpose. The National Institute on Alcohol Abuse and Alcoholism (NIAAA) seeks grant applications from
institutions that propose to determine within defined geographical areas of the U.S. a prevalence rate for fetal
Alcohol spectrum disorders (FASD), including fetal alcohol syndrome (FAS), partial FAS and alcohol-related
neurodevelopmental disorders, among young children in the United States. ……
Mechanism of Support. This FOA will utilize the cooperative agreement (U01) grant mechanism .
Funds Available and Anticipated Number of Awards. Depending on the availability of funds and the
number and quality of applications received, a total of $2 million is to be awarded and one to three awards
are anticipated.
Budget and Project Period. The total project period for an application submitted in response to this funding
opportunity may not exceed five years. Direct costs may range between $500,000 and $1.4 million
per year for a five-year period.
Eligible Institutions/Organizations. Institutions/organizations listed in Section III, 1.A. are eligible to
apply.
Eligible Project Directors/Principal Investigators (PDs/PIs). Individuals with the skills, knowledge, and
resources necessary to carry out the proposed research are invited to work with their institution/organization
to develop an application for support. Individuals from underrepresented racial and ethnic groups as well as
individuals with disabilities are always encouraged to apply for NIH support.
Number of PDs/PIs. More than one PD/PI (i.e., multiple PDs/PIs), may be designated on the application
Number of Applications. Applicants may submit more than one application, provided they are
scientifically distinct
Resubmissions. Resubmission applications are not permitted in response to this FOA.
Renewals. Renewal applications are not permitted in response to this FOA.
Special Date(s). This FOA uses non-standard due dates. See Receipt, Review and Anticipated Start Dates
Application Materials. See Section IV.1 for application materials.
Hearing Impaired. Telecommunications for the hearing impaired are available at: TTY: (301) 451-5936
EXAMPLE—MECHANISM DETAILS, BUDGET FORMAT
Part II - Full Text of Announcement
Section I. Funding Opportunity Description
Section II. Award Information
1. Mechanism of Support
This funding opportunity will use the Cooperative Agreement (U01) award mechanism(s). The
Project Director/Principal Investigator (PD/PI) will be solely responsible for planning, directing, and
executing the proposed project.
This FOA uses “Just-in-Time” information concepts. It also uses non-modular budget formats
described in the PHS 398 application instructions
(see http://grants.nih.gov/grants/funding/phs398/phs398.html).
This funding opportunity will use a cooperative agreement award mechanism. In the cooperative
Agreement mechanism, the Project Director/Principal Investigator (PD/PI) retains the primary
responsibility and dominant role for planning, directing, and executing the proposed project, with
NIH staff being substantially involved as a partner with the Principal Investigator, as described
under the Section VI. 2. Administrative Requirements, "Cooperative Agreement Terms and
Conditions of Award".
Section II. Award Information (continued)
2. Funds Available
The estimated amount of funds available for support of 1-3 Collaboration on FASD
(CoFASP) projects awarded as a result of this announcement is $2 million for fiscal
year 2010. Future year amounts will depend on annual appropriations. Applicants
may request a project period of up to five years. The direct costs budgeted
for each cooperative agreement award may range from $500,000 to $1.4
million per year, depending on the number of final awards made.
Because the nature and scope of the proposed research will vary from application to
application, it is anticipated that the size and duration of each award will also vary.
Although the financial plans of the IC(s) provide support for this program, awards
pursuant to this funding opportunity are contingent upon the availability of funds
and the receipt of a sufficient number of meritorious applications.
EXAMPLE—ALLOWABLE COSTS
Section II. Award Information (continued)
The U01 award will provide support for:
-Administrative costs for managing the effort such as salaries for key personnel, travel for key
personnel, equipment, and supplies to support an administrative structure
-Research costs for the conduct of collaborative research projects
-Recruitment costs for study participants and agency referrals
Facilities and administrative costs requested by consortium participants are not included in
the direct cost limitation, see NOT-OD-05-004.
NIH grants policies as described in the NIH Grants Policy Statement will apply to the applications
submitted and awards made in response to this FOA.
EXAMPLE—COST SHARING/MATCHING
Section III – Eligibility Information
1.
Eligible Applicants
1.A Eligible Institutions
1.B Eligible Individuals
2. Cost Sharing or Matching
This program does not require cost sharing as defined in the current NIH Grants Policy
Statement.
3. Other-Special Eligibility Criteria
Number of Applications. Applicants may submit more than one application, provided they are
scientifically distinct.
Resubmissions. Resubmission applications are not permitted in response to this FOA.
Renewals. Renewal applications are not permitted in response to this FOA.
Mandatory Cost Sharing Budget Example
(15% of Agency Costs)
Mandatory Cost Sharing Budget Example
(15% of Total Project Costs)
Mandatory Cost Sharing Budget Example
(Separate Cost-Share Budget)
Section IV. Applicant and Submission Information
3. Submission Dates and Times
Applications must be received on or before the receipt date described
below (Section IV.3.A). Submission times N/A.
3.A. Receipt, Review and Anticipated Start Dates
Letters of Intent Receipt Date: November 22, 2009
Application Receipt Date: December 22, 2009
Peer Review Date: March-April 2010
Council Review Date: May 2010
Earliest Anticipated Start Date: July 2010
Section IV. Applicant and Submission Information (cont.)
3.B. Sending an Application to the NIH
Applications must be prepared using the forms found in the PHS 398 instructions for
preparing a research grant application. Submit a signed, typewritten original of the application,
including the checklist, and three signed photocopies in one package to:
Center for Scientific Review
National Institutes of Health
6701 Rockledge Drive, Room 1040, MSC 7710
Bethesda, MD 20892-7710 (U.S. Postal Service Express or regular mail)
Bethesda, MD 20817 (for express/courier service; non-USPS service)
Personal deliveries of applications are no longer permitted
(see http://grants.nih.gov/grants/guide/notice-files/NOT-OD-03-040.html).
At the time of submission, two additional copies of the application and all copies of the appendix
material must be sent to:
Abraham Bautista, Ph.D.
Director, Office of Extramural Activities
National Institute on Alcohol Abuse and Alcoholism
National Institutes of Health, DHHS
5635 Fishers Lane, Room 2089
Bethesda, MD 20892
MY SHIPPING INSTRUCTIONS
FedEx on Thursday, February 26th to arrive Friday morning, February 27th.
Place the following label in two places on the outside of each package and one
inside: (print 9 labels)
RFP No. NHLBI-HB-10-03
NHLBI Production Assistance for Cellular Therapies (PACT) Program – Cell
Processing Facilities
TO BE OPENED BY AUTHORIZED GOVERNMENT PERSONNEL ONLY
Receipt Time/Date = Monday, March 2, by 3:00 p.m. EST
Photocopy each FedEx label and place inside each package as well.
FedEx labels for:
Technical Proposal
Original plus 2 paper copies (mark each as original or copy, make sure original is
on top, easily accessible for date stamping):
Section IV. Applicant and Submission Information (cont.)
5. Funding Restrictions
All NIH awards are subject to the terms and conditions, cost principles, and other considerations
described in the NIH Grants Policy Statement. The Grants Policy Statement can be found at
NIH Grants Policy Statement.
Pre-award costs are allowable. A grantee may, at its own risk and without NIH prior approval,
incur obligations and expenditures to cover costs up to 90 days before the beginning date of the
initial budget period of a new award if such costs: 1) are necessary to conduct the project, and
2) would be allowable under the grant, if awarded, without NIH prior approval. If specific
expenditures would otherwise require prior approval, the grantee must obtain NIH approval
before incurring the cost. NIH prior approval is required for any costs to be incurred more than
90 days before the beginning date of the initial budget period of a new award.
Section IV. Applicant and Submission Information (cont.)
6. Other Submission Requirements
Budget: Investigators should budget for travel to the Washington, DC area to attend
two face to-face Steering Committee meetings in the first year and one meeting per
year for the remainder of the project period.
Research Plan Page Limitations
All applications and proposals for NIH funding must be self contained within specified
page limitations: 25 page limit per CoFASP project and 12 page limit per DACC
component.
Appendix Materials
All paper PHS 398 applications submitted must provide appendix material on CDs
only. Include five identical CDs in the same package with the application. See
http://grants.nih.gov/grants/guide/notice-files/NOT-OD-08-031.html.
Do not use the Appendix to circumvent the page limitations of the Research Plan
component. An application that does not observe the required page limitations may be
delayed in the review process.
Preparing to Prepare
Strategize the process within your department/unit
 Who needs to be involved? Roles
 What needs to be done? Responsibilities
 When? Timeline with firm/enforced milestone-
based deadlines
Preparing to Prepare
Prepare a one-page project description to be used for
information sharing and in securing resources/costsharing/matching. Be sure to:
 List participant names/departments/colleges
 Identify academic and financial benefit to




department/college/UMN/State of MN/community
Identify interdisciplinarity/multidisciplinarity aspects
Present a basic prioritized budget (including anticipated
cost-sharing)
Include an org chart/governance chart
Indicate how the PI and PI’s department will deal with a
reduced award or reduced time frame.
Preparing to Prepare
 With the PI, discuss the project first with immediate
division/department head (use draft of one-pager).
 Determine PI capability (especially relevant if jr. faculty)
 Project must be within the department’s priorities else
department head will not be advocate
 Determine how this project fits in with other departmental
proposals already scheduled
 Identify two key support staff
 If additional resources/cost-sharing needed, head approaches
dean, deans approach VPs/Provosts/President (do not suggest PIs
contact any directly)
 Contributions are often divided three or more ways.
Preparing to Prepare
 PI must contact agency program officer to confirm suitability
of project and of PI.
 Identify similar projects at the UMN already—search for
awards by mechanism # (e.g., P50, U54, P01, P30).
 Request advice from those PIs, Administrators, and SPA GA
of these similar awards.
 Ask if PI is willing to share a copy of the successful
proposal.
Preparing to Prepare
 Study ALL terms and conditions, sample contracts/awards
(if available) and compliance requirements (including IT
security, IP) before beginning preparation. International
typically has additional terms.
 Discuss these with SPA GA who will forward any
questionable terms to OGC and/or OTC as necessary.
 For federal contracts, know what the official window is for
questions and inform your GA so that questionable terms
can be discussed and if necessary, negotiated.
Preparing to Prepare
 Read ALL review criteria and assist PI to incorporate into the
structure of the proposal (use criteria word for word in headings,
etc.).
 Prepare checklist of review criteria and index reference pages.
 Discuss those that are vague with agency contact for clear
understanding.
 Read RFA and instructions for second time, highlighting major
items or items unfamiliar to you.
 Mock up a Table of Contents and indicate page # from instructions
corresponding to each section as necessary.
Example
Review Criterion:
“Ability to address related biological measures of alcohol
effect on the mothers and their children.”
Narrative:
“Thus, the results of the blood tests proposed above,
once analyzed, will clearly allow us to determine
whether measure A or measure B provides more
accurate information regarding alcohol effect on the
mothers and their children, a major review criterion
of this RFA.”
Criteria
Adequacy of documentation of
the patient population as
outlined in supplemental
instructions
Adequacy of ability to implement
clinical, biological, or
epidemiological studies,
based upon links to low and
high-risk communities
Ability to address related
biological measures of
alcohol effect on the mothers
and their children
Ability to address culturally
sensitive neuropsychological
and psychosocial measures
on mothers and their children
Adequacy of existing collaborative
arrangements with
communities in which the
studies will take place, or
plans to develop such
arrangements
Adequacy of plans for scientific
and operational collaboration
between the CoFASP and the
DACC
Strength
Clarity
Page(s)
Comments
Index of Review Criteria and Corresponding Pages
Adequacy of documentation of the patient population as
outlined in supplemental ........................................……………………………………10, 13, 16
Adequacy of ability to implement clinical, biological, or
epidemiological studies, based upon links to low and high-risk
communities…………………………………………..…………………………………………………………………….…21
Ability to address related biological measures of alcohol
effect on the mothers and their children………………………..……………..……………………….18, 19
Ability to address culturally sensitive neuropsychological
and psychosocial measures on mothers and their children……….…………………………….34-36
Adequacy of existing collaborative arrangements with
communities in which the studies will take place, or plans
to develop such arrangements………………………………………………………..…….…………………26, 29
Adequacy of plans for scientific and operational collaboration
between the CoFASP and the DACC……………………………………………….……….………………………41
Preparing to Prepare
 Begin development of timeline (today –> deadline date)
 Develop a grid of participant roles and responsibilities;
distribute to all and ask for confirmation that each
understands
 Schedule weekly (adjust as needed) check-ins with PI, Co-
investigators and other administrative people (budgeting
person). Prepare agenda of discussion and action items and
record outcomes. Follow up with summary e-mail to all.
Preparing to Prepare
 Determine departments, colleges, centers and VP units with participants.
Determine who will need biosketches, other support, etc.
 Determine the space (and owner of space) to house the project(s) for use
in F&A sharing negotiations.
 If agency limits F&A to below UM negotiated rate, assure that
departments/colleges are aware and willing to accept.
 Determine F&A sharing plan (inter and/or intra-collegiate)
 Identify resources not in the budget but essential and available, either
cost-shared or not (administrative assistance; tuition; equipment (including
maintenance; training; shipping; calibration); drugs; data sets;
remodeling; travel)
Preparing to Prepare
F&A Waiver
 If TOTAL COST limit PI more likely to request reduction of F&A (they see as
flexible) thereby increasing direct costs.
 Complex grants by nature require high indirect costs so dept/dean/SPA
approval of waiver unlikely.
 If waiver pursued, begin immediately with department head/chair who will
pursue with dean(s). Process is time consuming (many weeks) and
requires much justification, fully-vetted budgets, and agreement among
multiple administrative levels.
 Must have Plan B in place. Deans and VPs are typically willing to contribute
in other ways if project is considered a priority.
Preparing to Prepare
Budgeting
 Request only the most justifiable costs in budget. Use easily-cut items as
cost-sharing if necessary. Make it difficult for agency to line-item veto
anything.
 Justify items in terms of the goals/strategies of each aim and refer to
review criteria.
 When necessary, provide subawardees a total cost limit rather than a direct
cost limit—they can choose to reduce their F&A (or not).
 Multiple subs to the same institution are counted separately (and therefore
each is assessed F&A on first $25K).
 Composite budgets needed for multi-project proposals.
 As CRIS Clinical Manager, Ms. *** directly supports CRIS goals 1 and 3, the
development of a flexible, mobile support structure; …
 … . Thus, TTR will help CTS investigators maximize the use of these limited
resources. Due to the critical nature of their contributions, the technology experts
directly support all TTR goals. …
 Pilot grant funding: In support of goal 2 (develop mechanisms to encourage use of
methodologies) two $30,000 grants will be awarded semi-annually to CTS
investigators (i.e., $120K annually).
 … . Specifically, the co-leaders will identify key performance indicators that will be
built into the management dashboard (goal 1) and the mechanisms that will feed
process activities, outputs and outcomes into the dashboard for efficient tracking
(goal 2). Drs. *** and *** will interpret the meaning of collected evaluation data and
formally summarize findings on a scheduled cycle (goals 3 and 4). Every three years
they will convene and facilitate, via video conferencing, a team of experts who will
advise on the quality of research produced under the CTSI in terms of innovation,
collaboration, and impact on the field of CTS research (goal 3). …
Preparing to Prepare
 Resources and Facilities: Identify all facilities that
are available and indicate in description how the
project would utilize the facility.
 Scientific Peer-Review: Identify several faculty
colleagues and secure commitments.
 Administrative Peer-Review: Identify a senior
colleague and secure commitment.
Preparing to Prepare
 Securing consortia agreements
 Securing and determining value of 3rd party
in-kind contributions
 Business & Industry (e.g., pharmaceuticals)
 Individuals
 Associations/Foundations
Preparing to Prepare
 Letters of Support
 University Resource Contributors (can be




combined in one letter)
State of Minnesota, Political Leaders
Community Partners
Philanthropy
Business & Industry
 Letters must be substantive yet concise and
describe benefit of project to their area
Preparing to Prepare
 Contact letter writers early
 Follow up with a draft for his/her editing
 Request signed .pdf document on their letterhead
to be returned by specific deadline.
 Send multiple reminders, document conversations
(who, when, etc.)
Preparing the Proposal
 Read the RFA and instructions for the third time (in detail).
Make notes on instructions of reminders or questions.
 If electronic, are all necessary registrations in place on the
agency electronic system (NIH Commons, HRSA Handbooks,
NSF FastLane, DOD eReceipt)?
 Confirm that you downloaded the correct forms/application
package? Check version #s, CFDA#, RFA title, etc.
 If electronic (grants.gov in particular) physically confirm
that anyone who will have access to the electronic forms
has the correct version of software on all of their computers.
Preparing the Proposal
Must haves:
 Shared server with automatic daily backup
 File management system
 File naming protocol
Prepare written instructions and distribute to all with access
THESE ARE ESSENTIAL
Else you should not be able to sleep at night
Example File Management
Jones 2009-12-22 NIH U01
JJU01 BiosFinal
JJU01BioJones 2009-11-15
JJU01BioWilson 2009-12-01
JJU01 BiosFromThem
JJU01 Budget
JJU01BudgJust 2009-12-17
JJU01 Letters
JJU01LtrBaker 2009-12-01
JJU01LtrSmith 2009-12-18 JW
JJU01 Research Plan
JJU01Section1 2009-12-20 JJ
JJU01Section2 2009-12-17 LW
JJU01Section2 2009-12-18 8PM JJ
Alternative
GrantFinal_ReplacementFinal_ReallyFinal_ReallyReallyFinal_Mondaynight_810PM
Preparing the Proposal
 Letter of Intent often requires:
 Anticipated key personnel (assists review center with potential reviewer
list).
 Anticipated sites/consortia arrangements
 Brief description, potential milestones
 How the project is responsive to the RFA
 Preliminary budget
 Send signed LOI via e-mail (copy self/PI). Request acknowledgement if
LOI is mandatory.
 Typically LOI is not considered a pre-proposal and typically neither
needs to be submitted via SPA. Look for language contrary to this and
submit via SPA if an institutional signature is required.
Preparing the Proposal
 Confirm margin and font requirements—check all
narrative sections
 Confirm page limitations (see draft TOC)—literally
count the pages
 Confirm if appendices allowed and if so are there
special requirements
 Other special requirements?
Preparing the Proposal
 Provide all writers with a style guide so that narratives are
consistently formatted (define headings, numbering,
indenting, use of bold/italics, etc.)
 Confirm agency naming protocol and format (i.e., .pdf) for
attachment files has been followed.
 If electronic, confirm that size of individual graphics and
total file size is within limitations. Check again at actual
time of submission.
Cross-checking for Errors
 Proposal title (check PRF, IRB/IACUC documents, letters,
narratives).
 Total budget request (check budget pages, cover page, F&A
checklist, and PRF)
 Budget (manually check all budget periods for each project
and composites—including all subs).
 F&A-exempt items and F&A calculations on budget
(manually check—assure you are aware of how exemptions
are calculated).
Cross-checking for Errors
 Budget justifications (check each against agency
requirements. Identify F&A exclusions in budget
narrative to assure SPA and sponsor understand.)
 Roles (check that roles of participants align with
agency definitions (e.g., NIH OSCs))
 Performance site(s) (check that sub sites are
properly documented)
Cross-checking for Errors
Biosketches
 Cross-check included biosketches against listing of key
personnel (or those that agency requires); do not add any
additional
 Cross-check biosketch research support section against
other support documents, if both included
 Cross-check current rank/position on biosketch against
budget justification or other forms that identify participants
 Check instructions for biosketch format and page limits
Proposal Submission
PRF completed and fully signed by:
 All PIs
 All PI departments
 All PI deans
 All departments of paid or cost-shared personnel
 All deans of paid or cost-shared personnel
 Directors of facilities that provide non-ISO services
(e.g., CTSI)
 Providers of space if not in the above
 Providers of non-personnel cost-sharing if not in the
above
OK to have combination of ink and electronic
Proposal Submission
Particularly Important PRF Questions:
 Who to list as “co-investigator” even if that term is not used.
Includes high-level investigators like project and core leaders.
Confirm DeptIDs with each admin unit.
 Conflict of Interest—especially if there is a B&I component—applies
to ALL listed as PI or Co-Investigator.
 Cost-sharing text box—assure that it is comprehensive as this is
what dept heads and deans are agreeing to support when they
sign.
 F&A Sharing Plan
Proposal Submission
Submitting to SPA
 SPA review and approval is a required and integral component of the
submission process
 Complex proposals require additional time for a complete and thorough
review by SPA
 Communicate upcoming complex submissions to your SPA GA (at least one
month before)
 Provide RFA# and website information to your SPA GA (at least one month
before)
 Provide final ADMINISTRATIVE portions of the proposal a MINIMUM of ONE
WEEK for review (regardless of paper vs. electronic).
Proposal Submission
 Depending on complexity, the SPA GA may be willing to pre-
review portions of the proposal. If not, engage the help of a
sr. grants person in your department or college.
 Be in contact with your SPA GA from the beginning. If GA
anticipates being out of the office the week you intend to
submit, find out who the backup will be and assure the GA
and backup have communicated about your proposal.
Proposal Submission
Submit to SPA (at least one week before deadline)
 For paper that PI will courier or electronic that PI submits:
 Face/Cover pages (signed original)
 All administrative form pages
 Key Personnel page
 Initial year budget
 Cumulative budget
 Budget justification
 Consortia agreements, budgets, justification, workscope
 Completed and signed PRF (or PRF#)
 Contact information for person who will pick up the SPA-signed
original (and preferably a second contact)
Proposal Submission
 For grants.gov or other electronic that SPA must submit:
 Completed electronic forms package
 Completed and signed PRF (or PRF#)
 Respond immediately to SPA questions/comments;
make corrections as necessary
 Track and assure receipt by agency.
Proposal Submission
What if the proposal is not finalized enough to submit to
SPA more than 24 hours before it must be submitted?
What if signed subaward documents are not received
before proposal must be submitted to SPA or to
agency?
What if the PRF is not fully signed before proposal must
be submitted to SPA or to agency?
Award Acceptance and
Set-Up Tips
 Before Award:
 Submit any requested Just-in-Time (JIT)
information as soon as possible after agency
officially request.
 Pre-award Spending or Advance Account:
Determine the impact pre-award spending
would have on the overall project. Provide
source of funding should award be later than
90 days after first spending.
Award Acceptance & Set-Up (cont.)
 After Agency Award/Before UMN NOGA:
 If proposal was submitted with a single budget
but multiple projects or F&A sharing is
required, submit the split budget or sharing
info to SPA as soon as possible on PS-friendly
budget forms.
 If cost sharing was indicated in the budget or
on the PRF, submit the cost share info to SPA
as soon as possible.
Award Acceptance & Set-Up (cont.)
 Review the agency Notice of Grant Award (NOGA)
or award document for any special terms or
conditions:
 Is a revised budget or any other information
requested?
 Are there any restrictions on the funding?
 Are there any special reporting requirements?
 Are there any rebudgeting or other restrictions?
Award Acceptance & Set-Up (cont.)
 If subawards/subcontracts are included, get
the required sub materials to your GA as soon
as possible after it has been requested.
Materials Required to Write a Subcontract or Subaward
1. A workscope narrative or statement that summarizes the work the
collaborator is to perform under this agreement
2. Info on what, if any, technical reports will be required
3. An approved detailed budget for the amount of funding being
awarded
4. If grant allows automatic carry forward, an indication on whether
or not you want this flowed down to the collaborator
5. Legal name, address and EIN number of the collaborator
6. Name, address, phone, fax and e-mail address for collaborator’s
representative who is to receive the paperwork
NOTE: AT TIME OF AWARD WRITE-UP, THE GA SHOULD BE
REQUESTING THESE MATERIALS. DO NOT SEND THEM
PIECEMEAL OR BEFORE THE AWARD HAS COME IN.
Award Acceptance & Set-Up (cont.)
 Let your GA know if you or the PI have any questions
or find anything wrong with the award (from agency or
UMN) as soon as possible
 FINALLY, NOTE: If the funding received is less than
what was requested in your proposal, the GA will often
just prorate the proposal budget/s to do the award set
up without contacting the Dept. If this is not what you
want, contact your GA as soon as the agency award
document has been received to tell him/her you will
send over a detailed budget/s for the funding set-up.
Post-Award Administration
 Departmental Monitoring:
 Make sure all expenses charged to project are
allowable and relate to the scope-of-work
 Review & reconcile monthly expense reports
 Assist PI in establishing, monitoring performance
and invoicing subs
 Make sure IRB, IACUC and IBC approvals remain
current; up-to-date RCR
Post-Award Administration (cont.)
 Departmental Monitoring (cont.):
 Monitor budgets for deviations. Make sure any
request for rebudgeting that requires prior
agency approval is prepared and submitted via
SPA.
 Watch for any other changes. Make sure any
other change that would require prior agency
approval (i.e. significant reduction in effort,
change in key personnel, etc.) is prepared and
submitted via SPA.
Post-Award Administration (cont.)
 Departmental Monitoring (cont.):
 Monitor internal re-granting processes, be
aware of SPA requirements and compliance
issues with re-grants
 Monitor international banking, initiate and
monitor wire transfers
 Assure all committed cost-sharing and any 3rd
party in-kind contributions are properly
documented
Post-Award Administration (cont.)
 Departmental Monitoring (cont.):
 Identify and monitor program income
 Assure small-business reporting completed
 Assist with annual progress reports and
budgeting
Post-Award Administration (cont.)
 Departmental Monitoring (cont.):
 Monitor budget and project period end dates.
 Make sure any carry forward or no-cost
extension request is prepared and submitted in
a timely manner.
 Discuss any questions or concerns you may
have regarding the project with your GA.
REQUIREMENTS FOR A CARRY FORWARD LETTER
(No Matter What the Source of Funding)
1. Dollar amount being requested for carry forward
(direct & indirect)
2. The reason for this balance and what impact it had
on the progress of the project
3. A programmatic justification of why these funds need
to be carried forward
4. A detailed budget that shows how you intend to
spend these funds if the carry forward is approved
REQUIREMENTS FOR A NO COST EXTENSION LETTER
(No Matter What the Source of Funding)
1. Length and period of the extension (Note: SPA can only approve extensions of 6, 9 or
12 months for NIH grants via the eRA Commons)
2. Reason for the extension or description/summary of work in the original Work Scope
that still needs to be completed
3. Anticipated balance as of the current end date
4. Detailed budget that shows how you intend to spend this balance during the extension
period
5. If animal or human subjects are used, the updated IACUC/IRB protocol number and
approval date
6. If the request is submitted after the termination date, the reason why it is being
submitted late
7. If the balance is insufficient to cover all the projected costs for the entire extension
period, a statement that indicates there are non-sponsored funds are available to
cover any cost overruns
Post-Award Administration (cont.)
REMEMBER: Any correspondence to the
sponsor (no matter the sponsor) must be signed
by both the PI and the Department Head (or
his/her designee) and routed to SPA for review,
signature and submission. Contact your Grant
Administrator if you have any questions or need
assistance with the preparation of the request.
QUESTIONS OR COMMENTS?