Grants 3.0 Departmental Administrator ReviewJanuary 22, 2014

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Agenda• Meeting Objective• Background and Project Objective• Key Changes• Examples:- Amendment Requests – such as End Date Extension- New Research Project Request- Over Expenditure Authorization Request

• Questions

Agenda

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Meeting Objective• Review current design

• Obtain feedback

• Consider suggestions for:- Communication and Training Approach- Final adjustments to design (where feasible)

Meeting Objective

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1998: PeopleSoft Implementation

2004: eTRAC (Project Costing Implementation)

2009: Researcher Home Page (RHP) (Grants 2.0 - Grants & Contracts Implementation)

2014: On-line Research related Requests Researcher Home Page Improvements (Grants 3.0) Future: Implement on-line Approvals

Background

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Why are we doing this?

• Simplify and streamline processing for the complete lifecycle of Grants Management

• Make the system easier to use for the UofA Research Community and provide increased transparency. Make the Researcher Home Page a key tool to get many of your answers and initiate Research related Requests.

• Position us for the future implementation of on-line Approvals

Project Objective

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Key Changes

• Transition Research Request Forms on-line

• Significant improvements to the Researcher Home Page- Initiate new Requests on-line- Inquiry enhancements including Lifecycle Inquiry- Ability to view and save the Flash Report as a PDF file

• Streamline Award Processing (RSO)

• Simplify Revenue Recognition Approach and transition to delivered Indirect Cost Processing (RSO)

Key Changes

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Key Changes - eTRAC

New Project Search Criteria:

Faculty

Sponsor

Sponsor Program

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Key Changes – Researcher Home Page

New Project Search Criteria:Sponsor Sponsor Program

RES # is immediately assigned and visible when a new Request has been saved

Details Tab to include Sponsor, Sponsor Program, Award Reference #

Ability to search for Proposals that were not awarded

Proposal will always be visible during Award Processing

Flash Report Enhancements

Keywords can be assigned to Proposals and Projects

New Over Expenditure Tab: OE Status – OE DateOE Request Status – Authorization Amount – Authorization End Date

Lifecycle Inquiry and Ability to initiate new Requests

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1. Option to generate as PDF file, including option to suppress printing of past due invoices.

2. Remove Milestone section

(transfer to Lifecycle)

3. Header Changes:Renamed to “Financial Overview”

New fields:

Sponsor NameSponsor Program Award Reference NumberAward PI Name

4. PDF version will include direct and indirect cost.

On-line version will only display direct cost

Flash Report – Financial Overview

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Key Changes

Current – Grants 2.0 Proposed Grants 3.0

New Project / Award Set-up

(2,000 annually)

Initiate Request: on Forms Cabinet (PDF)

Status Inquiry:Complex and not intuitive –

Detailed Task Listing

Initiate Request: in Researcher Home Page (On-line Request)

Status Inquiry:in Researcher Home Page (Lifecycle Inquiry)

Amendments and Sub-grants

(3,000+) annually

Initiate Request: on Forms Cabinet (PDF)

Status Inquiry:Not available

Initiate Request: in Researcher Home Page (On-line Request)

Status Inquiry:in Researcher Home Page (Lifecycle Inquiry)

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Key Changes – Forms Cabinet

These six PDF Forms will be replaced with on-line pages accessible via the Researcher Home Page

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Create New Request

Proposed Grants 3.0 Initiate Request

Initiate new Application/Proposal or new Project Requests

Initiate Requests related to existing Projects:

• Amendment• Sub-Grant• Over-Expenditure

Authorization

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RSO actions after signed Forms are received

Since on-line Approval is not implemented in Grants 3.0, signed hard copies of the Request Forms including any required attachments must still be sent to RSO for RSO to action the file.

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Current Grants 2.0 Status Inquiry

Proposal/Award Processing – Task Management Inquiry (50+ RSO Tasks)

Amendment Processing – No Inquiry available

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Create New Request

Proposed Grants 3.0 Status Inquiry

Proposal/Award Processing – Lifecycle

Amendment Processing - Lifecycle

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Proposed Grants 3.0 - Lifecycle

Proposal / Award Processing

Application/Proposal Approved for Submission to Sponsor

Notice of Decision received by RSO

or

Signed Project Request Form received by RSO

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Proposed Grants 3.0 - Lifecycle

Project Activation / PI Notification

Project Activated / PI Notified

Pending Milestones:04/30/2014 NSERC Form 300 signed by PI04/30/2015 NSERC Form 300 signed by PI04/30/2016 NSERC Form 300 signed by PI

Amendment Processing Details:Similar to Award Processing Details

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Lifecycle - Feedback

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Examples

1. Amendment Requests – such as End Date Extension

2. New Research Project Request – Internal Award

3. Over Expenditure Authorization Request

Examples

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Change to Existing Research Project (End Date Extension)

Amendment – Current Process

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Initiate Amendment

Proposed Grants 3.0 - Amendment Processing

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Proposed Grants 3.0 - Amendment Processing

Submit Confirmation!

After submission, print the Signature Form, obtain signatures and forward the completed originals with the required attachments to RSO. 

RSO will not start processing until the authorized Signature Form including required attachments have been received. 

Click OK to confirm.  Click Cancel to return without submitting.

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Proposed Grants 3.0 Amendment Inquiry

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2. Request for New Research Project – Internal Award

1. Create and Submit Request for New Research Project2. Print Request for New Research Project Signature Page3. Forward signed package to RSO4. RSO receives package5. RSO Review and Approval, Award Processing and Set-up6. PI Notification e-mail

Request for New Research Project

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Request for New Research Project

Create New Request

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Request for New Research Project

Submit Confirmation!

After submission, print the Signature Form, obtain signatures and forward the completed originals with the required attachments to RSO. 

RSO will not start processing until the authorized Signature Form including required attachments have been received. 

Click OK to confirm.  Click Cancel to return without submitting.

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Print Request for New Research Project Signature PageForward signed package to RSO

Request for New Research Project

RSO receives package

RSO Review and Approval, Award Processing and Set-up

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Request for New Research Project

1. Award Processing Steps

2. System Set-up:• Award Terms and Milestones• Contract Details, Bill and Revenue Plans• Detailed Project Budgets, SpeedCode, Quality Assurance Review,

Advice Notice, Attachments etc.

3. PI Notification e-mail

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Request for New Research Project

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Request for New Research Project

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Example 3: Over Expenditure Authorization Enhancements

1. Automatic email notifications based on rules

2. Researcher Home Page Improvements

3. On-line OE Authorization Request

Over Expenditure Process

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Automated e-mail Notifications

1. One-time email notifications to the Project Holder when the threshold of 80% is exceeded

2. Monthly e-mail to the Project Holder when the Project is Over Expended and OE is not authorized

3. Monthly e-mail to Departmental Budget Owners with a listing of over-expended projects related to their DeptID.

Over Expenditure Process

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Create New Request

Over Expenditure Process

New Over Expenditure Tab: OE Status – OE Date – OE Request Status – Authorization Amount – Authorization End Date

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Over Expenditure Process

Submit Confirmation!

After submission, print the Signature Form, obtain signatures and forward the completed originals with the required attachments to RSO. 

RSO will not start processing until the authorized Signature Form including required attachments have been received. 

Click OK to confirm.  Click Cancel to return without submitting.

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We want to make the Researcher Home Page a key tool for Researchers and Departmental Administrators to efficiently manage the entire lifecycle of their Grants.

• Answer many Project and Proposal related Questions

• Initiate research related Requests

• Access Reports and other Attachments

Researcher Home Page

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Questions?