Lorrie Awoyinka, Sponsored Projects Administration Pat Jondahl ...

Lorrie Awoyinka, Sponsored Projects Administration
Pat Jondahl, Sponsored Projects Administration
Leslie Kennedy, Medicine Administration
Kathy Smith, ALRT Admin Cntr
Julia Sytina, Computer Science and Engineering
02.12.2013

This session will focus on a discussion of Best Practices
for handling personnel on Sponsored Projects during
PreAward, Post Award and Closeout.
What ‘effort’ should be shown on the PRF?
Should salary above a sponsored salary cap be considered cost
share on the PRF?
Will my HSAs have an adverse effect on the Personnel
Report/Progress Reports?
When should I do an Activity Report?
What level of effort should be reported during no cost extension
periods?

Communication
Discuss personnel needs with PI
Sponsor Solicitation
Who can receive salary
Salary caps
Multi Appointments
What is the Institutional Base
University of Minnesota Policies

Proposal Routing Form (PRF)
Level of Effort
Level of Effort on PRF is for first budget period
Salary Cap Effort
Minimum of 1% effort on PRF
Explanation (i.e. equipment, supplement)
Cost Share
Documentation (i.e. 1% unpaid)
Key Personnel
Who needs to sign PRF
At minimum - PI, Dept Head(s), Dean(s), SPA

PI receives word of Pending Award
◦ Just In Time (JIT) for NIH
◦ PreAward / Advance Project Option
• Pros and Cons
◦ PeopleSoft Budget
• Meet with PI to discuss any potential changes from original
budget submission.
SPA Receives Sponsor Award
◦ Set up from proposal budget
◦ Wait for PS budget from dept
UM NOGA

Communication
Discuss ongoing personnel needs with PI
Personnel Reports / Progress Reports
Personnel Report for NIH is what effort was expended the previous
year; before processing HSAs, discuss with preparer of Personnel /
Progress Reports to make sure the HSAs and Reports are in alignment.
Activity Reports - keep track of effort for ‘non-employees’
UNS (University Non Service) Appointments
Discuss personnel changes / needs with other depts
Discuss personnel changes with sponsor
Some sponsors require prior approval for significant effort
changes of PI / Key Personnel

Small and Large depts may do things differently
Specialty vs kitchen sink
If not successful may be time to sit down and brainstorm ways to
become successful.

Processing HSAs
Minimizing HSAs – communication
Meeting with faculty/PIs on a monthly or quarterly basis
HSAs need to be approved by CA if beyond 60 days
Preparer needs to provide better justification
Effort
Going to twice a year effort reporting forces the
administrator/Principal Investigator to be better managers during
the time period
Show PI a list of effort on all project
Individuals that are paid 100% on sponsored projects
1% - 5% on non sponsored to handle the other activities such as
preparing proposals

Changes in PI status
Notify Program Official, Grants Official
AND SPA
Address how effort is affected
Special Circumstances
Sabbatical, Leave of Absence, Non Service
Salary Caps
No Cost Extension
Effort Changes during No Cost Extension Period
Don’t assume you can reduce effort just because of the no cost
extension; typically a significant reduction in effort requires
approval.

Should be Looking Ahead Throughout the Project
◦ Ongoing review of personnel (e.g. changes, salary caps)
Remove Personnel
◦ Move to another appropriate sponsored project
◦ Move to non sponsored chartfield string
Annually Renewable Appointments (e.g. Res Assoc)
◦ Do they need layoff notice (Non Renewable Notice)
◦ How long is their termination notice (3, 6, or 12 mos)

“Overdrafts”
Remove personnel costs to appropriate cost share chartfield
string
Work with Sponsored Financial Reporting
Funding Your Cost Share

University Policy Library
◦ http://www.policy.umn.edu
Effort Certification
◦ http://www.ospa.umn.edu/effort/index.html
◦ https://ecrt-prd.eresearch.umn.edu/ecrt/initWelcome.action
◦ http://www.ospa.umn.edu/forms/rates/NIHSalaryCapGuidance.html
Fringe Benefits
◦ http://www.ospa.umn.edu/forms/FringeBenefitRates.html
Job Aides:
◦ Training Services’ Salary Cap Payroll and Cost Sharing Calculations
http://www1.umn.edu/ohr/prod/groups/ohr/@pub/@ohr/@trainingse
rvices/documents/asset/ohr_asset_124326.pdf
◦ Training Services’ Historical Salary Adjustments (HSAs) Certified
http://www1.umn.edu/ohr/prod/groups/ohr/@pub/@ohr/@trainingse
rvices/documents/asset/ohr_asset_420067.pdf

Members of the “Best Practices for Personnel
Management on Sponsored Activities” Workgroup
Lorrie Awoyinka, Sponsored Projects Administration
Pat Jondahl, Sponsored Projects Administration
Leslie Kennedy, Medicine Administration
Kathy Smith, ALRT Admin Cntr
Julia Sytina, Computer Science and Engineering

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This presentation is available in alternative formats upon request. Direct requests to genox003@umn.edu or 612.624.5599.