ors quarterly grants managers meeting 05/15/14. three year trend: 5/14

ORS Quarterly Grants Managers Meeting

05/15/14

Three Year Trend: 5/14

2012 2013 20140

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800

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16001517

14101327

1016943 958

ProposalsAwards

Agenda

Rebudgeting Scenarios◦Review GLs 099600 and 099800

Heather Quadlin

NSF Updates◦Formatting Matters◦The Two-months Rule

Keith Hurka-Owen

SPS on the Web: Rollout Susan Lasley

Various Updates◦OSA—Sponsored Projects◦FDP—Subrecipient Monitoring

Agenda

Rebudgeting Scenarios◦Review GLs 099600 and 099800

Heather Quadlin

Rebudgting Scenarios

099600--This G/L account is used for two primary purposes:

◦To reduce the amount of the award by the amount the sponsor will not be awarding.

◦To increase the amount of the budget by the amount awarded when no budget has been submitted.


The sponsor cuts our $100,000 budget by $5,000.

Our PI has been told that the $5,000 will come in on a future modification.

OSP has a budget for the original $100,000.

What happens in SAP?


Current Practice

099600-Restricted Amount

600000- Administrative Effort

610000-Fringe Benefits

645000-Lab &ResearchTotal Budget

5,000

60,000

20,000

20,000

$95,000


Departmental Options

Option 1: Don’t do anything.

ORS processes the modification and sends it to OSP.

OSP removes the restricted amount from 0996.

Budget total is $100,000.

The Award Comes in



Option 2: Rebudget the restricted amount to another category.

From To

5,000

60,000

20,000

20,000

$95,000

55,000

20,000

20,000

$95,000



Option 2a: Rebudget the restricted amount to another category.

The Department submits a budget for $5,000 to ORS.

ORS processes the modification and sends it to OSP.

OSP keys the budget as it normally would.

Budget total is now $100,000.

The Award Comes in



Option 2b: Rebudget the restricted amount to another category.

ORS processes the modification without a budget and sends it to OSP.

OSP adds the $5,000 to 099600 pending plan from the department.

The Department uses the rebudgeting tool to redistribute the funds.

The Award Comes in


Current Practice

099600-Restricted Amount

600000- Administrative Effort

610000-Fringe Benefits

645000-Lab &ResearchTotal Budget

5,000

55,000

20,000

20,000

$100,000

NSF Updates

Formatting Matters.The Two-months Rule.

NSF Updates

ORS Proposal Review (Required)◦Cover page or application form◦Proposal abstract (draft)◦Budget (final)◦Budget justification (final)◦PI and co-PI signatures on page 3 (Assurances) of the

DPAF printed from SPS◦Forms required by the sponsor, including certifications

and representations◦Subcontract endorsements, subrecipient checklist,

budget and justification, and statements of work, FCOI, and certifications and representations if applicable

◦Request for Cost Sharing Form, if applicable◦Conflict of interest disclosures, if applicable

NSF Updates

ORS Proposal Review (Required)◦FY2000

ORS located in the North Building (previously housed in the Allen Building).

ORS entered all proposal data in SPS.◦Targeted NIH and NSF form sets.◦NSF moves to FastLane.

Last minute reviews. Never, or rarely if ever saw the whole proposal.

◦The department or PI had to put all of the pieces together, run the copies and get it in the mail.

NSF Updates

Fastlane Rollout◦FY2001 (Fall)

Fundamentally changed the game.◦Submitters had to convert files into pdfs.◦Early Career Deadline (2002)—one day.

Now spread out over 3 days.◦Proposal routes to ORS for final review and

approval. (We hit the button). Suddenly ORS has to become much more

interested in the other pieces of the proposals.◦Proliferation of systems puts more pressure on

all of us to get things submitted correctly.

NSF Updates

Formatting Matters.◦Second set of eyes never hurts.◦ORS will try to scan for issues in the entire

proposal, but only if we have enough time.◦When pressed for time, then we will review

what we’re required to review and rely on the PI and the Department for the rest.

NSF Updates

Formatting Matters. Rejection Reasons.◦Broader Impacts not discussed in adequate

depth. ◦Proper format for prior results not followed—

omitted some of the required data points.◦use of “et al” instead of listing all co-authors in

references cited.◦Biosketches:

Exceeding 2 page limit. 6 synergistic activities instead of 5.

◦Documents included in Appendices when not required by the FOA.

NSF Updates

The Two-months Rule.

NSF Updates

The Two-months Rule.◦NSF limits faculty compensation to 2/9ths.

Senior Personnel◦Anyone who will be responsible for the scientific or

technical direction of the project.◦Any individual considered by the performing

institution to be a member of its faculty or who holds an appointment as a faculty member at another institution, and who will participate in the project being supported.

Anyone who is considered a faculty member.

NSF Updates

The Two-months Rule.◦Scenario One

Faculty member X is a PI on two NSF grants. Grant A has a budget year from January to

December Grant B has a budget year from October to

September. 2 months charged to grant A: July and August--

2013 2 months charged to grant B: May and June--2014

NSF Updates

The Two-months Rule.◦Duke’s fiscal year dominates.◦The PI can receive not more than 2 months

during Duke’s fiscal year: July—June.

NSF Updates

The Two-months Rule.◦Scenario Two:◦PI on an NSF grant wants to include a newly

hired assistant professor on her grant.◦The recently hired faculty member was not

named on the awarded budget.◦Does the salary limitation apply?

SPS on the Web: Rollout


RAD has no experience with web application usage demands like we expect with SPS Web.

Performance could degrade if the number of users is increased too rapidly.

RAD has done its best to beef up servers in anticipation of an increase number users.

RAD will closely monitor the system to ensure that it handles the new demands.

Gradual rollout will allow for time to make adjustments should issues arise.


ORS will coordinate with Departments to develop a rollout list.

Phased rollout will begin in early July.Goal: all Departments brought on-line by

October.Legacy SPS user access will disappear for

a majority of people.◦Central offices will retain Legacy SPS access.

Various Updates

OSA—Sponsored ProjectsFDP—Subrecipient Monitoring

Various Updates

OSA—Sponsored Projects◦ORS, ORA, OSP and Procurement are

developing a new OSA for sponsored projects.◦Driver: Close Out

Must include an “invoice by” date to meet new close out requirements.

60 days after expiration of the grant Duke may no longer be able to draw down funds.

Reminder: Please use the current sponsored projects form to hire consultants.

Reminder: Please use buy@duke with G/L codes 6220 (professional services--individual) or 6916 (contract work--company) as appropriate.

Various Updates

FDP—Subrecipient Monitoring◦Unified Guidance: OMB Circular A-81◦AKA:

Various Updates

FDP—Subrecipient Monitoring

UG!

Various Updates

FDP—Subrecipient Monitoring◦Subaward Committee Working Groups

Subrecipient Monitoring. Purchasing/Procurement. Admin/clerical salaries.

Q and A