1 - Issue tracker Proposal submission Cayuse... 4 WISPER...30 Final Steps JIT Project set- up...47

Transcription

1 Grants Management Desk Manual 1 - Issue tracker Proposal submission Cayuse... 4 WISPER...30 Final Steps JIT Project set- up Subcontracts Issuing a Subcontract (needs some screen shots)...52 Managing a Subcontract...59 Modifying a subcontract (encumbrance change form) Progress reports esnap (needs screen shots)...63 Paper Submission No- cost extensions Carry- over requests Close- out Contracts Material Transfer Agreements (MTAs) Non- funded Agreements (CDAs, MOUs) Record retention Appendices UPS CampusShip era Commons Grants Management Best Practices Extramural Funds Routing Guidance NIH/R01 New Restructured Application Format Checklist...111

2 Issue Tracker The Issue Tracker is a Labkey product developed for internal use at the Primate Center and is used to track all pending tasks in the Grants Office. The Grants Office Issue Tracker is located at: ement/issue_tracker/login.view?returnurl=%2fissues%2fwnprc%2fwnprc_units%2fop eration_services%2fgrants_management%2fissue_tracker%2flist.view%3f.lastfilter%3dtr ue Sign in using Primate Center address and password. For most purposes, select Open from drop-down Views menu. 1

3 This will limit view to unresolved items: Click on New Grants Issue to create a new record: For new items: Create title for issue (i.e., Project set-up for base grant; MTA to Addgene; Glossary List) Assign to kfaren or ktnagle as appropriate Select type from drop-down (leave blank if none are appropriate) Choose priority rating from drop-down Fill in PI name Add due date if applicable Can add addresses to Notify list (PI, PI contact, etc) if desired Add Comments as appropriate Click Submit 2

4 To update an existing item: Click on Issue number or Title Click Update Can change any entered information except previous comments Add new information in Comments field Click Submit When an item is completed: Click on Issue number or Title Click Resolve Can change any entered information except previous comments Add a Comment regarding resolution Click Submit 3

5 Proposal Submission - Cayuse For all proposal submissions, gather as much information from PI as possible: Sponsor Due date Submission method Collaborators Subcontracts Most federal proposals (including NIH) will submit through Cayuse system: Cayuse is located at: Firefox is the recommended browser for Cayuse Click Log into Cayuse424 to log in using UW NetID and password 4

6 Opportunities: Confirm funding opportunity exists in Cayuse by clicking on Opportunities and searching keywords If opportunity is available, click on Proposals tab. Click on Create Proposal button in upper right (green plus sign) 5

7 In pop-up window: Select proposal type most often click Grants.gov/Research.gov click Create Enter opportunity number in search field and click Search Find opportunity in list and click on green plus sign to select. In pop-up window: 6

8 Proposal name should be PI last name_program type_key word (i.e., Golos_R01_stem cells); once a WISPER record is created, either add to the end of the proposal name or replace key words) Principal Investigator: Enter PI name in search field and click Search for PI - Select PI name from list - If PI name does not appear, you do not have permission to view that PI s profile and will need to request that from the PI. Organization: Select The Board of Regents of the University of Wisconsin System from drop-down list (will find alphabetically under T ) Default IDC Rate: Will appear once institution is selected; select MTDC for most proposals # of Budget periods: Select number of project years by clicking button Validation Type: Select from drop-down list (most often NIH) Click Create Proposal button 7

9 Permissions: In order for others to access a proposal you have created, either to view or edit, they must be granted Permission Click the orange key icon in the upper right of the screen to access the Permissions screen The creator of the proposal has all permissions to the proposal Click Add user/group to add permissions Use search box and click on names to be added. The PI, Kristin Harmon and Kathy Faren should have permissions to all Primate Center proposals. Click Close when done adding names 8

10 Grants Office personnel need all default permissions; Kristin and Kathy generally have all permissions checked for all proposals Do not grant Delete permission to any except Grants Office personnel and PI Routing: Every Cayuse proposal needs a routing profile created. This may default based on selections in the Professional Profile, but should always be reviewed, and edited if necessary Click the green arrow icon in the upper right of the screen to access the Routing screen Click button to edit chain 9

11 Click X button to remove someone from the chain Click green + button to add someone to the chain Always add Kristin Harmon (Grants Manager) to the chain immediately after the PI - Chain should go from PI to Grants Manager to Petra Schroeder (Graduate School) to Cheryl Gest (RSP) Click Close Edit Chain Window when done When routing chain is correct to RSP, No AOR on this routing chain warning changes to approval notice SF424 RR 10

12 NOTE: Cayuse saves automatically when moving between form pages. If you wish to save while working on a particular form page, click the blue disk icon in the upper right. SF424 RR Page 1: Date Submitted, Applicant Identifier, Date Received by State and State Application Identifier remain blank. Type of Submission: Almost always Application Federal Identifier: Used only for renewals and resubmissions. - For resubmissions, use the Grants.gov tracking number - For renewals, use the core NIH grant number (AA11111) Applicant information: Auto-filled based on institutional profile default in Cayuse system Person to be contacted on matters involving this application: Click on pencil icon to bring up search window. - Select Cheryl Gest from list and click Add Applicant Contact. Section will autofill. 11

13 Employer Identification Number: Auto-filled from institutional profile in Cayuse system Type of Applicant: Auto-filled from institutional profile in Cayuse system Type of Application: Select from list (usually New, Resubmission or Renewal ) Name of Federal Agency: Auto-filled from institutional profile in Cayuse system Descriptive Title of Applicants Project: Scientific proposal title (81 character limit, including spaces) Proposed Project Dates: Use calendar icon to select start and end dates Congressional District: Should be auto-filled from institutional profile in Cayuse system. If not, enter WI-002 Project Director: Should be auto-filled from institutional profile in Cayuse system. Click gear icon to make changes if necessary. 12

14 Error/Warning Button at bottom of screen: Click on button to display list of all errors and warnings Click blue error link to be taken directly to error location and fix NOTE: There will be dozens of errors when a proposal is first created due to blank fields. Complete as much information as possible before using error/warning button. SF424 RR Page 2: Estimated Project Funding: Will auto-fill when budget forms are completed Executive Order 12372: Always Check No. Program in not covered by E.O Signing application: Click I agree SFLLL: Rarely used Authorized Representative: Click on pencil icon to bring up search window. - Select Cheryl Gest from list and click Add Applicant Contact. Section will autofill. 13

15 RR Performance Sites: Click on pencil icon to bring up search window. Click box to view list of performance sites. Select The Board of Regents of the University of Wisconsin System - Be sure not to select The Board of Regents of the UW System for UW- Milwaukee Click Close to close window Additional sites can be added by clicking pencil icon next to Other Sites 14

16 RR Other Project Information: Click Yes or No to Human Subjects question - Usually No for Primate Center projects - If Yes, must answer remaining questions Check Yes or No to exemption question and select Exemption Number if Yes If No, select IRB pending or provide IRB approval date - If Yes to Human Subjects, must provide UW-Madison Human Subjects Assurance Number: FWA Click Yes or No to Vertebrate Animals question - If Yes, must answer remaining questions Check Yes if IACUC approval is pending If No, enter IACUC approval date - If Yes to Vertebrate Animals, must provide UW-Madison Animal Welfare Assurance Number: A Check Yes or No to indicate if there is proprietary information in the proposal - This is determined by the PI Check Yes or No to environmental impact question - Most often No Check Yes or No to historic location question - Always No Check Yes or No to international collaborators question 15

17 - If Yes indicate what countries - Provide explanation if desired (optional) NOTE: All attachments must be PDF files. No spaces or special characters may be used in file names, and file names are limited to 50 characters. All should be created in Word using 11-point Arial font and ½-inch margins on all sides. Fonts may be smaller for graphs and tables, but must be legible and all print must be black. Symbols and Greek characters may be inserted in other fonts but must meet 11-point size requirement. Project Summary/Abstract: Intended to serve as a succinct and accurate description of the proposed work, when separated from the application. Should be suitable for public presentation or dissemination Should contain a statement of objectives and methods to be employed Do not include any proprietary or confidential information in the project summary Limited to 30 lines of text Project Narrative: Address the relevance of the proposed research to public health in no more than two or three sentences. Write this section in plain language that can be understood by a lay audience Also called the Relevance Statement Bibliography/References Cited: Provide a bibliography of any and all references cited in the Research Strategy Each reference must include the names of all authors (in the same order in which they appear on the publication), the article and journal title, book title, volume number, page numbers (both starting and ending), and year of publication. Include only bibliographic citations. Facilities & Other Resources: Used to assess adequacy of organizational resources available to perform proposed research Address all resources relevant to the conduct of the proposed research, including laboratory, animal, office, clinical, etc. Explain how the research environment will contribute to the probability of success Include only pertinent resources 16

18 Equipment: List major items of equipment available for the project Include location and pertinent capabilities Other Attachments: Will vary by program and FOA Letters of Support are generally included here Other attachments will be dictated by the FOA instructions RR Key Persons: PI listed automatically. Click on + next to name to edit information and add attachments Edit information if necessary Click Add Attachment to attach biosketch - Be sure to use most current NIH instructions for biosketch - Attach PDF of a Word document, not form page (no headers and footers) Click pencil icon to add additional key personnel if necessary 17

19 Search for personnel to be included as key personnel Click on name and then Add Selected Key Person to add If personnel do not appear in list, contact directly (or departmental administrator) to obtain Cayuse permission to their Professional Profile Do not use Create New Professional Profile for any UW-Madison personnel - UW-Madison personnel must log in personally to create their Professional Profile Click Close when all key personnel have been added 18

20 All budget periods will be checked by default; uncheck boxes for any period in which person will not be paid on the project Biosketch can be attached in Manage Key Person pop-up window Select project role from drop-down menu (e.g., Co-Investigator, Faculty, Post Doctoral Associate, Technician, Consultant, Other) Appointment type and salary may auto-fill - If not auto-filled, enter appointment type in months (calendar = 12, academic = 9) - Enter current year salary plus 3% in Period 1 line - Enter calendar months of effort in Cal. Months column - Click in Fringe Benefits field and type fringe rate (i.e., 44%) to create autocalculation - Click Blue stairs icon to escalate salary across all budget periods Click Close when complete Key personnel can also be edited by clicking the + next to their names - This accesses same view as for PI above - Biosketch can be attached in this view 19

21 RR Budget Page 1 NOTE: Always use the RR Budget section to build project budget. This section contains detail that is needed for campus review and approvals. The PHS 398 Modular Budget section automatically populates based on the information entered in the RR Budget section; if the proposal is to be submitted as a modular budget proposal, this section can be checked rather than the RR Budget section when the proposal is complete. Do not check either budget until the RR Budget section is completed and verified, as doing so will interfere with accurate population of the PHS 398 Modular Budget section. Proposal information (DUNS Number, budget type and Organization name) will load from face page Click calendar icon to select Period 1 start date Select number of years Period length defaults to 1 year Click calendar icon to change start date if necessary Click Update Periods 20

22 Key personnel budget information will auto-fill if completed in RR Key Persons page - If changes are needed or section was not completed in RR Key Persons page click Manage Key Persons button or gear icon next to budget line, which will bring up same Manage Key Persons window as in RR Key Persons page. Check fringe benefits field to confirm correct fringe rate was used. Correct if necessary; enter as percentage (i.e., 44%) and tab out Personnel in Other Personnel section are not entered as individuals, but as position titles Enter number of personnel for a title in the first column (i.e., 2 if there will be two postdocs) Enter the total number of months these personnel will work (i.e., 24 calendar months if two post-docs will each work 100% effort) Enter the requested salary for these personnel Enter the fringe benefit rate as percentage (i.e., 44%) and tab out Total funds requested will calculate Project role can be manually entered if personnel do not fit the roles shown Indirect Cost Type should default as MTDC do not change 21

23 RR Budget Page 2: Top portion will auto-fill Click New equipment row if equipment is being requested - Enter equipment description and cost (complete description and justification should be in budget justification) Enter domestic and/or foreign travel costs Participant/Trainee Support Costs are rarely used for Primate Center grants 22

24 RR Budget Page 3: Top portion will auto-fill Enter totals for budget categories on appropriate lines. Some categories may need to be split or combined depended on how budget was developed by PI Be sure to enter $8000/year tuition remission in line 8 for each graduate student on the project. The Indirect Cost Type for this is excluded. Per diems, animal replacement, and other such costs can be entered in lines 9 and 10. Because there are only two lines for manual entry, items may need to be combined with the heading Other and explained in the budget justification Be sure to use the drop-downs to designate Indirect Cost Type MTDC for manually entered items. Total Direct costs auto-calculate MTDC should auto-fill from Institutional Profile. Confirm that Indirect Cost Type is MTDC and rate is 50.5% Attach PDF file of budget justification in Line K 23

25 RR Budget Page 4: Cumulative budget page calculates from all budget periods and pages. 24

26 Other RR Budget information: Navigation: Use drop-down to move between budget periods. Arrows to right of Budget Period dropdown also move between budget periods one at a time. Escalation: Cayuse 424 will automatically calculate an escalation for inflation between budget periods of a grant. This also populates the subsequent budget periods with all category entries included in the year one budget Click blue stair icon to pull up escalation window Check boxes next to all categories to be escalated. Enter 3.0 in the Rate column for each category to be escalated Check that all budget periods are checked Click Escalate Selected Categories If changes are made to the year one budget, this process needs to be repeated to update subsequent budget periods 25

27 PHS 398 Cover Page Supplement Page 1: Project Director/Principal Investigator: Auto-filled Human Subjects: Auto-filled from SF424 RR Page 1 - If Yes, click Yes or No for Clinical Trial (should never be yes for Primate Center projects Applicant Organization Contact: Auto-filled PHS 398 Cover Page Supplement Page 2: Click Yes or No to indicate if the project involves human embryonic stem cells Identify specific stem cell lines in the numbered fields - Click check box if specific line is not known 26

28 PHS 398 Research Plan Application Type: Click to indicate if proposal is New, Resubmission, Renewal, Continuation, or Revision - Research Plan Attachments: Attach segments of the research plan as indicated - Introduction to application: For resubmissions and revisions only - Specific Aims: Limited to one page - Research Strategy: Page limits vary based on funding mechanism; check FOA - Inclusion Enrollment Report: Only for renewals with human subjects - Progress Report Publication List: Only for renewals Human Subjects Sections apply only if project human involves subjects Other Research Plan Sections: - Vertebrate Animals: Any proposed use of vertebrate animals for experimental research, including use as a source of tissues, constitutes research involving use of live vertebrate animals and requires completion of the VAS. Federal policy requires that the following five points be addressed: Detailed description of the proposed use of the animals, including species, strains, ages, sex and number to be used Justification for the use of animals, choice of species, and numbers to be used Information on the veterinary care of the animals 27

29 Description of procedures for minimizing discomfort, distress, pain, and injury Method of euthanasia and the reasons for its selection - Select Agent Research: Identify any select agents to be used in the proposed research. Select agents are hazardous biological agents and toxins that HHS or USDA have identified as having the potential to pose a severe threat to public health and safety, to animal and plant health, or to animal and plant products. CDC maintains a list of HHS and USDA Select Agents and Toxins. - Multiple PI/PD Leadership Plan: Applicants designating multiple PIs must include a leadership plan, indicating how decisions will be made and what options are available in case of differences of opinion Multiple PI applications are extremely rare - Consortium/Contractual Arrangements: Explain the programmatic, fiscal, and administrative arrangements to be made between the applicant organization and the consortium organization(s) - Letters of Support: Letters indicating institutional support at host and/or collaborator institutions Letters of support for collaborators should clearly spell out roles Letters of institutional support are recommended to indicate institutional resources that are available to ensure the success of the project - Resource Sharing Plan(s): FOAs will designate funding levels at which Resource Sharing Plans are required - Appendices: NOT-OD imposes strict limits on appendix materials. Allowable materials include: Publications: Applicants may submit up to 3 of the following types of publications. Any exceptions will be noted in specific FOAs. Other: Targeted/Planned Enrollment Table Used for human subject research Manuscripts and/or abstracts accepted for publication but not yet published. Published manuscripts and/or abstracts only when a free, online, publicly available journal link is not available. Patents materials directly relevant to the project. Rarely used for Primate Center project Surveys, questionnaires, data collection instruments, clinical protocols, and informed consent documents as necessary. 28

30 Inclusion Enrollment Report Used for human subject research Rarely used for Primate Center projects PHS 398 Checklist Page 1: Application Type: Auto-filled from SF424 RR Page 1 Change of Investigator: Used very rarely Inventions and Patents: For renewal applications only - Check Yes or No to indicate if any inventions or patents arose from the project - Check Yes or No to indicate if those inventions or patents were previously reported (i.e., in an Annual Progress Report) PHS 398 Checklist Page 2: Check Yes or No to indicate if any program income is anticipated (usually No ) Check Yes or No to indicate if limited information may be released to potential collaborators in the event the proposal is not funded (usually Yes ) 29

31 Proposal Submission WISPER WISPER can be found at: - Click Log into WISPER to log in using UW NetID and password Click on UW WISPER 30

32 Click on My WISPER Click on Create New Record 31

33 Proposal Information: Short Title: Abbreviated title for internal reference Add PI to Record: click button and search by PI last name Check box next to Add PI to Record button to send an automatically-generated to the PI requesting that the PI sign the WISPER record. Add Department to Record: Click button and search by department ID (for Primate Center use ). Add Sponsor to Record: Click button and search by sponsor. Create Record: Click Create Record button. 32

34 Completing the WISPER record: NOTE: Do not use the browser back button; always navigate using tabs, menu options, etc. NOTE: Save button is located at bottom of each tab; save often, as information does not automatically save. Basic Info: Contact PI: Auto-filled from prior screen. Can be edited by clicking Change Contact PI button Outside Activities Report Submitted and Effort Requirements Met must both read Yes for proposal to be routed and processed. Official Proposal Title: Should be exact title that is being used on sponsor forms Short title: Will be auto-filled from prior screen but can be edited here. This should be an abbreviated title for internal use; this will be the default title for the WISDM account but can be changed. Administering Department: Auto-filled from prior screen. Can be edited by clicking Change Department on Record button Begin Date/End Date: Enter manually or use calendar tool to select proposed project dates Sponsor: Auto-filled from prior screen. Can be edited by clicking Change Sponsor on Record button 33

35 Primary Sponsor (Optional): If the proposal is a subcontract, the Sponsor will be the Prime Awardee (usually another university), and the Primary Sponsor will be the agency or foundation providing that funding (usually NIH or other federal agency) Proposal Type: Use drop-down to select type of submission (New, Continuation, Supplemental, etc) Document Type: Use drop-down to select type of document (Grant, MTA, CDA, Nocost Extension, etc) Add Related Record: Click for search screen if submitting a no-cost extension, continuation, supplement, etc, - On search screen, enter information about the existing grant and click Search - Select correct record from search results Change Related Record: Once related record has been selected, the Add Related Record button will change to Change Related Record. - Click to conduct new search if related record is incorrect. Remove Related Record: Click to remove related record. Submission Instructions: Sponsor Deadline: Enter the sponsor deadline Submission Method: Use the drop down to select method (i.e., , Cayuse, pick up) Paper Copy to UW SPO: Check box if the original hard copy will be delivered to RSP to submit. Campus Contact: Add campus contact. Click to search by name. Campus Contact Phone: Auto-fills when campus contact is selected. Campus Contact Auto-fills when campus contact is selected. Submission Instructions: Enter any relevant submission instructions (i.e., contact for submission, multiple copies, etc.). 34

36 Compliance: Use drop downs to check yes or no for required protocols. Blue Enter Protocol Certification Details Here link appears after completing and saving page. - Click to add protocol detail 35

37 Use Approval to Add drop down to select protocol type; click add approval button. Enter protocol number, status, approval date and expiration date. Click Return to return to WISPER record. 36

38 Personnel and Budget Information: Personnel: Utilized mostly for multiple PI proposals. Add co-pi by clicking Add Other Personnel to Record. Optional in most cases. Proposed Budget: Direct Costs: Add direct costs total F & A Costs: Add F&A costs Total Costs: Total costs will auto-fill F & A Rate: Enter project F&A rate On Campus: Should be Yes for all Primate Center proposals Outgoing Sub-agreement(s) (Required): Use drop down to indicate if sub-agreements are included in the project Cost Sharing Included: Use drop down to indicate if cost share is voluntary or mandatory. Leave blank if no cost share. Cost Sharing Amount: Fill in if cost share, otherwise leave blank. NOTE: Route to Another Person button is used both for routing to others to review and to Graduate School for submission. 37

39 Comments: Enter any additional comments or information relevant to proposal submission. 38

40 Approvals: Click Initiate New Approval Request for required approvals Chair approval: All documents routed from the center require Chair approval. Documents can be routed before the approval is completed, but it must be requested. Select Chair Approval from the drop-down menu Click Select employee button Search for director s name and select Click Add approval 39

41 Limited PI Status: Limited PI status is required for academic staff applying for grants who are not professors or tenure-track. Download and complete form from RSP web site Attach to WISPER record Select Limited PI Status from drop-down menu Click Approver Type drop-down and select Division Select 34-Graduate School from drop-down menu Click Add Approval 40

42 Other Dept or Div Resource: Used when seeking approval from other departments for collaborators on a proposal (faculty from Vet Med or SMPH as key persons on a proposal from the Primate Center) Select Other Dept or Div Resource from drop-down menu Collaborator: Enter key person name Dates: Enter project dates and indicate if key person will have effort on the grant for the full project period Proposed Effort %: Self-explanatory Salary Amount Requested in Budget: Indicate % of salary requested or detail salary and fringe requested for year one Other Resources Requested (i.e., space): Generally mark N/A From drop-down menu, select Dept Res or Employee. It is generally preferable to use Dept Res unless you know a specific person to whom the request should be directed. - If Dept Res selected, click Department Lookup - Search for department and select from list - Click Add Approval - If Employee selected, Select employee button - Search for contact s name and select from list - Click Add approval 41

43 Request Advance Award Setup: Request advance award set-up when an award is assured but not received in a timely fashion (i.e., the award is about to start and payroll needs to be established). NOTE: In order to request advance award set-up, the Projects tab must be completed (instructions in next section). NOTE: Advance award set-up is always requested on the center s P51 base grant as soon as the Annual Progress Report is submitted. Select Request Advance Award Setup from the drop-down menu Enter information about award status as justification for request in Approval Request box. Select 34-Graduate School from Division drop-down menu Click Add approval 42

44 Attachments: Click Upload Attachment to upload proposal documents. File Description field: Use to describe document Trash can icon: Use to delete attachment. Click Add another attachment to add additional documents Other WISPER Tabs: Projects: Used for project set-up upon receipt of award or when requesting advance account (See Project Set-up section for instructions) Terms: Not used during WISPER proposal stage; primarily used by RSP SPO Action: Not used during WISPER proposal stage; primarily used by RSP History: Provides routing and action history throughout life of WISPER record; use for reference 43

45 Submitting a proposal final steps When proposal is completed and all errors have been eliminated, both the Cayuse record and the WISPER record both need to be routed to Graduate School at the same time Cayuse: Click the green arrow icon in the upper right of the screen to access the Routing screen PI (or delegate) clicks box next to name to approve - Click Approve button (comments are optional) - Black check mark will appear next to PI name and box next to next person in routing chain will turn black. Check box to approve and route to Graduate School for submission 44

46 WISPER: Click Route to Another Person button to route to Graduate School for submission Click Route to 34-Graduate School button - Comments are optional and generally only added if proposal is atypical or has unique requirements 45

47 Just-In-Time Information (JIT) JIT is an NIH term for additional information requested prior to awarding a grant. While a request for JIT does not indicate that the proposal will definitely be awarded, it is an indication that the proposal has received favorable review. JIT requests generally consist of: A request for updated Other Support of key personnel. A request for approved protocols (human subjects, amimal, etc) A request for documentation of human subjects training if human subjects are involved in the project. NOTE: A JIT link next to a grant number in era Commons is not a request for JIT information. The appearance of this link signifies that the application has completed the peer review process and has received a rank for which funding may be possible. Do not submit JIT until a specific request from NIH grants management has been received by the PI or RSP. When a JIT request is received by RSP, they will initiate a JIT Request approval request in WISPER. Contact the PI for updated Other Support and approved protocols if appropriate. It is important that the PI follow the instructions for Other Support: Provide active support for all key personnel. Other Support includes all financial resources, whether Federal, non-federal, commercial or institutional, available in direct support of an individual's research endeavors, including but not limited to research grants, cooperative agreements, contracts, and/or institutional awards. Training awards, prizes, or gifts do not need to be included. Instructions and a sample format page can be found at Be sure effort is represented in calendar months and any potential overlap is addressed. Attached Other Support and approved protocols in WISPER and approve the request. 46

48 Project Set-up When an award is received, RSP will send a Set Up Projects request in WISPER, which will generate an notification. Alternatively, the Projects tab must be completed prior to routing a Request Advance Award Setup request. Direct and F&A amounts must match award; edit if necessary. Total adds from Direct and F&A fields. Verify project dates and edit if necessary Click blue Project Description link (will be WISPER short title) to enter project details. Click Add Project button if multiple accounts will be needed. - Request multiple accounts ( Projects ) for projects with multiple sub-projects (i.e., P01 grants, the P51 base grant) or for each year of multi-year projects requiring a new account number each year (i.e., U01) 47

49 Description: This will be the project title visible in WISDM. Auto-filled from WISPER short title; can be edited. Project PI: Auto-filled from WISPER record. Click Change Project PI to change. - PIs of secondary accounts may vary from primary PI on WISPER record Project Type: Click Add Project Type for list; almost all Primate Center projects are GM_10 Research Fund Code: Click drop-down menu to select 133 for non-federal sponsors, 144 for federal sponsors Owning department: Auto-filled from WISPER record. Click Change Department on Project to change - Projects are rarely owned by another department. It is more common to add additional edits (instructions below) if another department will have a secondary project Start Date: Must match award; edit if necessary End Date: Must match award; edit if necessary F&A Rate Type: Use drop-down menu to select - NONE No F&A for foundations that do not allow F&A to be charged on grants - Primate Center Negotiated Rate for the P51 base grant only - Research On Campus for most grants FA Base: Use drop-down menu to select - Modified Total Direct Cost (G) for most grants - No F&A (Base A) for foundations that do not allow F&A to be charged on grants FA Rate %: Enter F&A rate to be charged on project - Currently 25.5% for P51 base grant, 48.5% for all other research grants unless a different rate is indicated by sponsor - Current F&A rates can always be found at 48

50 Department: Auto-filled from WISPER record - Click Add Combo Edit Department to allow another department direct spending authority on the project. This is used in cases where a sub-project PI is in another department that needs to charge payroll or supplies. Program Code: Use drop-down menu to select virtually all projects will be 4 Research Budget Details: Lump Sum Direct Budget: Direct costs awarded Lump Sum F&A: F&A awarded Total Sponsor Budget: Will auto-fill NOTE: Total Sponsor Budgets on all projects must add to Total Award on main Projects tab screen 49

51 Effort Commitment: Effort must be included by the project PI at least on the primary project for an award. Click Add Project Commitment to search PI name Use drop-down menu to select project role (i.e., PI, Co-Investigator, Fellow, Key, Other) Confirm start and end dates; edit if necessary Sponsor %: Enter percent effort being paid by the grant (all committed effort should be paid whenever allowable by sponsor Cost shared %: Enter percent effort committed to the grant but not paid (this is strongly discouraged unless required by sponsor) Cost share: If cost share has been committed, first indicate above in Effort Commitment section. Click Add Project Cost Share to search PI name Confirm start and end dates; edit if necessary From Project ID: Use only if cost share is from another grant; this is rarely allowable and should never be a federal grant (in rare cases, a PI may have a 233 account to cover cost share) From Fund Code: Enter 101 for departmental cost share, 233 for gift account, etc) From Department: Enter Department ID for 101-funded cost share Cost shared %: Must match amount entered in Cost Shared % field of Effort Commitment section Cost Share Type: Use drop-down menu to select Mand(atory), NSF or Vol(untary) Once all sections are complete, click Save and Return to Record to return to the main Projects tab screen On main Projects tab screen: Click Validate to Req Adv Account if requesting account number in advance of award. Click Validate to Req Project/Award Finalized of SPO if responding to an RSPgenerated request to set up project. 50

52 WISPER will indicate if record has passed validation for advance account or award project setup. All errors must be corrected before account(s) will be created. (Note: This validation result is for a sample record created to provide screen shots for this manual and therefore shows an inordinate number of errors.) 51

53 Issuing a subcontract When a new award is received that includes a budgeted subcontract, RSP is not responsible to initiate the subcontract process. The RSP Subcontracting team will send an requesting that we verify the details of the subcontract and provide additional information/documentation. Legal Name and Address: Provide name and address of sub-recipient institution Name of Sub-recipient s Institutional Official: This should be someone in the sponsored programs office of the sub-recipient institution. Address of Sub-recipient s Institutional Official: Self-explanatory 52

54 Sub-recipient PI: Name of PI for subcontract Spending edit (UDDS): Program: Generally 4 (research) for all Primate Center projects Amount of Subaward for this Budget Period: Total budget amount for first year of sub Should first $25,000 be allocated to Account code 3480?: If the first year of a competing cycle of a project, this should be yes. Answer will only be no if this is a subsequent year but is being treated as a new award (projects requiring a new account every year may fall into this category). Subaward Budget Period Start Date: Self-explanatory Subaward Budget Period End Date: Self-explanatory Note: Typically, subaward agreements are issued to run concurrently with the budget period of the prime award. They may also be issued for shorter time periods. However, subawards can not be issued for time periods for which the sponsor has not yet obligated funding, which is why the information above is all for year one only. RSP will generate the subaward and initiate the encumbrance in WISDM for year one of the subcontract. 53

55 Alternate process for new subcontracts Some new subcontracts will not trigger the new award process noted above. Notably, this will occur for any subcontract on the base grant that is issued in a year other than the first year of a competitive cycle (first year after a renewal application). While we receive new account numbers for each year of the base grant, the award is not truly new, so the above process is not triggered at RSP. For these subcontracts, the Primate Center needs to initiate the purchase order, which will trigger Purchasing encumbering the funds and RSP issuing the subagreement. Purchase order request Log in to the Purchase Order Request System on the Primate Center intranet Select New Purchase Order from options at top of screen: 54

56 Warning window will pop up regarding security; click continue: System will prompt to log in again. Select New Purchase Order again. Select a user from User List if you have initiated a purchase order to this entity previously. If not, use drop-down to select Recommended List or New Vendor 55

57 If entering a new vendor, complete required information: 56

58 Once vendor is selected or entered, complete bottom portion of screen: Use drop-down to select account to charge. The account must be a valid account active in the Primate Center internal billing system. If the account number you need is not in the drop-down list, contact Bonnie Gay or Mike Lowery. - The page will then update to indicate the PI name and title. Enter a description of the subcontract (field is limited): Subcontract to Univ. of Minnesota (PI: Skinner) for the period 5/1/11 4/30/12 Leave Unit as Each Unit price: Enter total subcontract price Quantity: 1 Subtotal will auto-fill 57

59 Purchase Order Special Instructions: Because Description field is limited, use this box to indicate additional detail, such as: - Year one of subcontract to University of Minnesota (PI: Pam Skinner) for pilot project - Dates: 5/1/11 4/30/12 - Direct: $xx,xxx - F&A: $xx,xxx Click Submit If purchase order is over $5,000 (almost always the case), you will be required to submit for approval. Select supervisor from drop-down NEED SCREEN SHOT Purchase orders over $5,000 also require justification/bids. We do not submit bids for these, but provide justification in the comments field: This is a subcontract proposed and awarded under NIH award P51RR Dr. Skinner and the University of Minnesota are uniquely qualified to complete the work proposed due to xxxxxx This information may need to be provided by the PI. NEED SCREEN SHOT 58

60 Managing a subcontract During the life of a subcontract, the sub-recipient is instructed in the terms of the subaward to submit invoices directly to RSP. In some cases, especially if there has been previous contact, the sub-recipient will forward invoices to the Primate Center instead, either directly to the PI or to the Grants Office. These invoices should be forwarded to the RSP accountant responsible for the account. RSP has one or more interns assigned to request PI approval on subcontract invoices. The intern will send an to the Grants Manager requesting that the PI review and approve the invoice for payment. Forward the to the PI or designee, requesting that the charges be reviewed and approved. Once approval is received from PI, respond to intern that The invoice has been reviewed and approved by the PI. 59

61 Modifying a subcontract When a subcontract extends into multiple years of a multi-year award (such as a 5-year R01), the project will generally keep the same project number for all years. In these cases, the subcontract simply needs to be modified for subsequent years, rather than re-issued. The mechanism for modifying these subcontracts is the Encumbrance Management Form. Department Contact information: Self-explanatory Change Information: Enter PO number and Vendor Name PI Close/Cancel: Not generally used by Grants Office PO dollar amount changes: Use this drop-down to indicate if adding additional funds or reducing subcontract amount. In order to access the drop-down menu, first click in the cell to activate the drop-down. Use the comments field below Item 3 to enter information regarding the amount to be added and the purpose. 60

62 To complete funding change portion, use WISDM PO/Encumbrance Search to confirm current encumbrance balance: Amount in Open Balance column (far right) is the current encumbrance balance. List Current Enc. Bal.: - Amount: Current balance from WISDM search above - Account: UW account code (3840 for first $25,000, 3845 for amount over $25,000) - Fund: 144 for federal accounts, 133 for non-federal - Dept. ID:

63 - Program: 4 - Project: Account number (PRJxxxx) Change to: - Amount: Current balance plus amount being added (not cumulative subcontract amount) - Account: UW account code (3840 for first $25,000, 3845 for amount over $25,000) - Fund: 144 for federal accounts, 133 for non-federal - Dept. ID: Program: 4 - Project: Account number (PRJxxxx) Other PO changes: Use this drop-down to indicate if changing dates of subcontract. - In order to access the drop-down menu, first click in the cell to activate the dropdown. - Select adjust start/end date of purchase order - Use comments field to indicate the new end date form, along with a budget and justification, to Trude Schwartz (trude@grad.wisc.edu, ) in the Graduate School Accounting Office. 62

64 Progress Reports esnap esnap is used to submit electronic annual progress reports for most NIH grants. Some mechanisms (P51, P01, P40, U01, U24, etc) still require submission of a paper APR. For grants eligible for esnap submission, the PI or his/her delegate must initiate the progress report. It can then be routed to additional people to complete portions. Most PIs route the esnap progress report to the Grants Manager for assistance with business questions and routing. To search for a report: Enter grant number or award information and click Search. Select report from list. PLACEHOLDER: Can t access any esnap reports at this time. Addition of esnap information will include instructions and screen shots for all aspects of esnap completion and routing. The Graduate School has delegated authority to submit esnap progress reports as institutional signatory. PI or delegate should select Petra Schroeder to submit the report. There is no WISPER record required for esnap progress reports. 63

65 Progress Reports Paper Submissions The P51 base grant and some other awards will be submitted on paper. Exact mechanisms or forms will vary by sponsor. NOTE: ALL FINANCIAL REPORTING MUST BE DONE BY RSP. THE CENTER IS NOT AUTHORIZED TO PROVIDE ANY KIND OF FINANCIAL REPORTING DIRECTLY TO SPONSORS. NIH PSH 2590 Progress Reports Paper progress reports to NIH are submitted on the PHS 2590 form set, which can be found at: Face Page: PI may have access to a pre-filled face page in era Commons; if so, use this. If no pre-filled face page is available, download from link above and complete all sections. Note: Be sure to always use current version of form pages. Check link above if any question regarding current version. 64

66 Form Page 1: Face Page Type: From grant award Number (1 for new, 2 for competing continuation, 5 for noncompeting continuation) Activity: Funding mechanism type (i.e., P01, P40, P51) Grant number: Core award number (AA111111) Total Project Period: Dates of full NIH award period (cycle may be three or five years, can be found on Notice of Award) Requested Budget Period: The upcoming year, not the year being reported Title of Project: Title as awarded Program Director/Principal Investigator: PI name and address Address: self-explanatory Department, Service, Laboratory or Equivalent: Use PIs home department Major Subdivision: Based on PIs home department (usually School of Medicine and Public Health) Applicant Organization: The Board of Regents of the University of Wisconsin System, 21 North Park St., Suite 6401, Madison, WI Telephone and Fax: self-explanatory DUNS: Entity Identification Number: A1 65

67 Human subjects: Generally No for Primate Center projects; check with PI if unsure. If No, rest of section and 6b remain blank Name, Title and Address of Administrative Official: Either Director of RSP or a Supervisor (Kim Moreland or Cheryl Gest, currently) Telephone and Fax: RSP phone and fax numbers nih@rsp.wsic.edu Vertebrate Animals: Generally Yes for Primate Center projects. IACUC Approval Date: From approved protocol for project Animal Welfare Assurance Number: Not approved protocol number. Campus-wide assurance number is A Project/Performance Site: The Board of Regents of the University of Wisconsin System DUNS: Address: Primate Center address County: Dane Congressional District: WI-002 Name and Title of Officer: Cheryl Gest, Managing Officer 66

68 Telephone and Fax: RSP phone and fax numbers Face page must be signed by RSP, not PI Form Page 1-continued: Additional form if Multiple PIs are proposed Rarely used Project/Performance Site Format Page - use only if additional space is needed Rarely used Form Page 2: Detailed Budget for Next Budget Period Program Director/Principal Investigator: Self-explanatory From: Begin date of upcoming budget period To: End date of upcoming budget period Grant Number: Activity and core from award number (i.e., R01 AA111111) Personnel: Enter all pertinent information for personnel to be paid on grant. Ensure current salaries and correct fringe benefit rates are used 67

69 Complete all sections. Confine total budget amount to that indicated in the previous award document for the upcoming period - If salaries or fringe rate have changed, specific amounts in the personnel section may have increased or decreased; adjust other budget categories to remain within overall award budget - Explain any significant changes in the budget justification 68

70 Form Page 3: Budget Justification Program Director/Principal Investigator: Self-explanatory Grant Number: Activity and core from award number (i.e., R01 AA111111) Enter detailed budget justification in space provided. Focus on changes to budget as originally proposed. Use Continuation form page if necessary. From: Begin date of current budget period (period being reported) Through: End date of current budget period (period being reported) If there is an estimated unobligated balance of greater than 25% of the current year s total budget, enter explanation in space provided - Because reports are generally due 60 days before the end of the reporting period, expenses must be projected through the end of the budget period (account for salaries, fringe, subaward payments, F&A, and other expenses that have not yet been charged) to determine the unobligated balance - Include any pertinent information regarding how this unobligated balance will be used in the upcoming budget period - Use Continuation form page if necessary Biographical Sketch Include only if new key personnel are being added Biographical Sketch Sample is provided at 69

71 Form Page 5: Progress Report Summary Program Director/Principal Investigator, Grant Number, Program Director/Principal Investigator, Applicant Organization, Title of Project: See instructions for previous form pages Period Covered From: Begin date of current budget period (period being reported) Period Covered Through: End date of current budget period (period being reported) Clearances and requirements check boxes: Check No change or Change as appropriate Use space provided to explain any changes to the clearances and requirements Also use space provided to provide a brief presentation of the accomplishments on the research project during the reporting period, in language understandable to a biomedical scientist who may not be a specialist in the project's research field - Address any changes to specific aims, or indicate that there have been no changes - Describe the studies directed toward specific aims during the current budget year and the positive and negative results obtained. If applicable, address any changes to the innovative potential of the project. If technical problems were encountered in carrying out this project, describe how your approach was modified. - Emphasize the significance of the findings to the scientific field and their potential impact on health. 70