02.18.2010

- Department responsibilities:
-Provide PI approval
-Provide PS friendly budgets
-Ensure correct deptid and cost share information provided
- SPA responsibilities:
-Negotiate contract
-Set up project and produce NOGA
- SFR responsibilities:
-Once project is set up- ensure timely financial reporting/invoicing
-Ensure sponsor remittance
-Close out
-Sponsor project audits

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Review Budget (Direct and F&A)
Review Restrictions
Review Reporting/Invoicing Terms
Review Human/Animal Approval Status
Note Restrictions or Specifications on
Intellectual Property, Publications, Data
Security
Review EFS Budget (account codes)
Work with PI to Adjust Budget for changes and Determine Payroll/Effort

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If Rebudget is Needed: Complete SPA
Rebudget Form
If Subaward is Needed: Submit to GA the
Workscope, budget and PS-Friendly Budget
Discuss Subaward Invoice Monitoring with PI
Approve Expenses (if assigned) and monitor for allowability, allocability and reasonableness
Regularly Manage Effort Certification
Record Retention

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Work with PI on:
◦ No-cost Extension Request
◦ Carryforward Request
◦ Equipment Request
◦ Equipment Fabrication Issues
◦ Significant Effort Changes (Key Personnel)
◦ Other Special Change Requests
◦ Collection Issues if Needed

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Report Preparation
◦ Review Terms and Restrictions
◦ Verify Expenses
◦ Confirm Outstanding Expenses Processed
◦ Balance to Department Records
◦ Communicate with SFR Accountant
 Expenses to Include
 Plan to Remove Late Charges
 Final Approval to Submit Report
 Adverse Event – Agency Extension Needed

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Closeout
◦ Request Fixed Price Transfer
◦ Remove Late Charges – Within 90 Days
◦ Notify PI/Lab to Cease Spending
◦ Process Distribution Changes if Ongoing Payroll
◦ Close Encumbrances
◦ Check Status in EFS

Sponsored Projects Administration (SPA) and
Sponsored Financial Reporting (SFR) are two separate central units supporting research at the U of MN

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SPA:
◦ Reports up to the Vice President for Research
◦ Handles pre award: proposal submission, contract negotiations
SFR:
◦ Reports up to the Controller
◦ Handles post award: Reporting & invoicing, payment application, collections, close out

June 2009
Coordinate Campuses are invited to contact any TC grants administrator for assistance
Pamela A. Webb
Associate VP Laura Geno
Exec. Assistant
Kevin McKoskey
Sr. Associate Director
Judith Krzyzek
Associate
Director
David Hagen
Associate
Director
Team 2
Public Health
Veterinary Medicine
Dentistry
Pharmacy
Nursing
AHC Shared
(Vacant) (PGA)
Karen Sachi*
Jason Jacobs
Michelle McGraw
Anjeanette Bastian
Nancy Benson ( Support)
Team 3
Institute of Technology
College of Liberal Arts
Education
Humphrey
Design
Continuing Education
Carlson School
Law
Amy Rollinger (PGA)
Pat Jondahl
Amber Fink
Danielle Billington
Riana Fletcher
Frances Werner ( Support)
Award
Set-up Team
Karen Sachi(PGA)
+2 distributed
50% time GAs*
Rob Howieson
Paulie Garcia
Cody Christopher
Training
Frances Spalding
David Moyer ,
Manager,
Support Group
Team 4
State of Minnesota
(All campus)
CFANS
Extension
University Libraries
OVPR
System Acad Adm.
April Coon (PGA)
Annie Marshall*
Kelly Fallows
Brett Carlson
Kim Makowske
Derek Krogstad (cross
-team)
Dor Hogenson ( Support)
Team 5
Business and
Industry (All Campus)
MTAs (All Campus)
Laura Williams (PGA)
Bridget Foss
Brett Anderson
Chris Coyne*
Duane Oyen
Becky Lowery
Nancy Benson ( Support)
Team 1
Med School
Biological Sciences
Lorrie Awoyinka (PGA)
Tanya Walton
Sowolo Abdullai
Renee Frey
Bailey Foss
Dor Hogenson ( Support)
F&A Group
Chris Larson
Holly Schuveiller
Vern Kleinsasser
Effort Group
Don Hammer
Sponsored Projects Administration
Office of the Vice President for Research

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Common requests:
◦ Rebudgeting
* Cost share set up
◦ PI transfer
◦ No-cost extensions
◦ Change of PI
* Subawards
◦ Incremental/supplemental funding
◦ Change of Scope
◦ Significant change in effort
◦ Preaward/ advance account request

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SPA website:
◦ http://www.ospa.umn.edu/index.html
SPA contacts:
◦ http://www.ospa.umn.edu/directory.html
PS friendly budget template:
◦ http://www.ospa.umn.edu/efs_sp/documents/PS-Friendlybudget.xls
Preaward requests:
◦ http://www.fpd.finop.umn.edu/groups/ppd/documents/form/preaward_form1.cfm
Effort:
◦ http://www.ospa.umn.edu/effort/
ECRT
:
◦ https://ecrt.eresearch.umn.edu/

Sue Paulson
Director
Kamala Upadhyaya
Associate Director
Marjorie Nebo
Finance Manager
Accounts Receivable:
Collections
Payment Application
Close Outs
Kerry Marsolek
Finance Manager
Non Federal Area:
State of Minnesota
Business & Industry
Foundations
Health Organizations
Tonya Knutson
Finance Manager
Federal Area:
DHHS
US Dept of Education
NSF
US Dept of Energy
Federal Subcontracts
Mark Rova
Mary Gorder
Data Analyst
Sylvia Taube
Principal
Office &
Admin
Specialist
Student
Position

Marjorie Nebo
Accountant II:
Jill Neu
Accountant I:
Tatyana Estrin
Principal Collection
Representatives:
Nayubel Bernard
Misty Bauermeister
Carly Prelwitz (1/2 time)
Kerry Marsolek
Accountant II:
Michele Dobsinski
Diane Grimley (1/2 time)
Kristie Berglund
Andrea Hyllengren
Accountant I:
Bridget Al-Qublan
Xuefei Hu (Fay)
Debbie Koch
Leah Mumm
Tuan Ta
Tonya Knutson
Accountant II:
Julia Steinkopf
Diane Grimley (1/2 time)
Stephanie Kranitz
Dick Hartmann
Staci Gallahue (LOA)
Kathy Krum
Jennifer LaFrance
Kristin Lien
Carly Prellwitz (1/2 time)
Wendy Willner
Accountant I:
Christina Cheung
Naisan Madson
Jim Kaintz
Kristin Lien
Chris Ybarra
Angela Lane
Todd Stroessner
Katie Manthey

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Finance Manager receives and reviews NOGA and verifies PS set up
Based on sponsor requirements, assigns to accountants
Changes billing specialist in PS and forwards
NOGA to accountant

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Billing and reporting triggered by PS events
Interim-expenses are picked up based on accounting date. Department is not consulted.
Final (budget & project period)-late expenses are included using other verification sources. Department is consulted.

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All sponsored payments are sent to a separate bank account
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Accounts receivable accountants identify and apply payments
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Unidentified payments are worked separately

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Principal Collections Reps follow up on unpaid invoices greater than 90 days
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Will contact PI if non payment is due to missing technical deliverable

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Verify all invoices are paid
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Overdrafts and late charges are removed
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Verify encumbrances are closed

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Letter of credit (LOC) payments are drawn from sponsor website
Clinical Trial budgets are set up as invoices are created
Refer to Accounts Receivable job aid for instructions on looking up open and paid invoices
PI’s are copied on all e-mails

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SFR accountant will work with the PI and department accountant to obtain signatures on financial forms
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SFR is responsible for coordinating all sponsored project audits
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Department is responsible for monitoring rebudgeting restrictions

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Tonya Knutson, SFR: 612-624-7850 knuts055@umn.edu
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Pam Wilson, Mech. Engineering: 612-625-9315 pwilson@umn.edu
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April Coon, SPA: 612-624-7021 john5885@umn.edu