Summary of Changes and Anticipated Benefits:
Awards accepted by SPA after June 16, 2008 were held for processing in EFS as of July 1, 2008. Internal Notices of Grant Awards (NOGAs) and awards processed on or after July 1, 2008 will be distributed electronically via email/email attachment using Adobe .pdf files, rather than paper copies sent through campus mail. Recipients will be expanded in the new procedure to include PIs of individual projects (“child accounts” in CUFS) and agency contract or grant award documents will be uploaded to the EFS Contracts module. Investigators and administrators who have access to the EFS Reporting Instance will also be able to reproduce the most current version of the NOGA and/or download award documents for their awards (see EFS-SP web site for step-by-step Job Aids for these functions.) Central office sponsored projects staff (e.g., in SPA, SFR, OAR, or other OVPR units) will also continue to have access to on-line image files in Web Now.
It is expected that distribution of award documents vial email will enhance award initiation by speeding delivery of both account numbers and award documents providing key project terms and conditions. The new process will reduce burden on departmental administrators who currently must make photocopies of award documents for investigators who lead sub-projects. In addition, award compliance is expected to be improved and expedited via the ability to run up-to-date cumulative NOGAs from EFS reducing the administrative burden of manually comparing the terms and conditions of various NOGAs received over the lifecycle of a sponsored project. In addition, lost or missing award documents can be easily replaced by downloading copies from the Contracts module of EFS.
The following procedure is focused on SPA personnel who are involved in performing this function, but it may be of more general interest as well.
Process
- SPA GAs and SPA/SFR joint Award Set-up Team Prepare an E-Award
- Organize the E-Award File
The SPA Grants Administrator (GA) will facilitate the award issuance process by creating a ready-to-image file in the following order:
- Printing (if necessary) the agency award documents
- Selecting which agency award guidance documents (e.g., guidelines, RFP, agency general award terms and conditions ,etc.) should accompany the agency award documents, and which should be filed for reference purposes only
- Selecting the proposal documents that should be included in the award file
- Organizing award and proposal correspondence or negotiation notes that should be retained in the award file
- Discarding duplicate, obsolete, or unnecessary documents
The GA will insert an Award Imaging divider page after the agency award guidance documents to be distributed (if any) and before all remaining award documents. The GA will then place the award/proposal file in the Award Processing box in their team’s Award Setup box.
The Award Setup specialist will, keeping the documents in the order prepared by the GA, complete the award entry into EFS and run and print a NOGA for the award transaction. The NOGA will be placed on top of the document package prepared by the GA. The Award setup specialist will then place the award/proposal file in the Award Processing box in SPA Central Files.
SPA Central Files staff will scan the file to create three images:
- Image 1: Full set of award documents for WebNow
TIFF file containing all documents listed above (for upload to WebNow). The file will be produced and meta-data added (no change from existing process.) The file will be set to “NOGA Drawer” in Web Now, and will be available to central office staff in the usual ways (e.g., searching by PI name, EFS Award #, etc.)
- Image 2: NOGA, Award docs, and Award Guidance (if any) for e-distribution
Central files staff will re-save (as a .pdf file) selected pages from the TIFF file beginning with the first page and ending just before the Award Imaging divider page. This .pdf file will include just the NOGA, agency-furnished Award docs, and Award Guidance docs (if any). Name of file will be set to: EFS Award # - PI Name – Production Date in the form of YYMMDD (e.g., CON000000000001 – GORDER – 080701) and the file will be uploaded to I:\users\noga\. Documents stored on this server will be retained for 12 months and then purged. Production date is the date the file is being created.
- Image 3: Award docs and Award Guidance (if any) for upload to EFS
Central files staff will then re-save (as a .pdf file) selected pages from TIFF file beginning with first page after the NOGA and ending just begin the Award Imaging divider page. Name of file will be set to: “ EFS Award # - Production Date – Award New” (e.g., (CON000000000001 – 080701 – New Award) for new awards, or “EFS Award # - Production Date – Award Mod” (CON0000000000001 – 080701 – Award Mod), and the file will be uploaded to I:\users\efsupload.
SPA Central Files will distribute a single email (all projects under the award) from the address: “nogamail@umn.edu” containing Image 2 as an attachment and with the subject line and email text shown below to:
A. Distribution List
- Active Principal Investigator of each project on the award, including both Primary Project and any subsidiary Projects (Grants > Awards > Projects > Resources where Role = PI )
- Unit contact person (unit head or departmental administrator) of the Principal Investigator on each project (look up based on Dept ID on Project Department screen in Grants > Awards > Projects > Project Department) and manual list of Unit contacts maintained by SPA Central Files
- Dean of the Principal Investigator of each project ((look up based on manual list maintained by SPA Central Files)
- SPA Grants Administrator (listed on NOGA)
- SFR Billing Specialist (listed on NOGA)
- If F&A distribution on any project includes one or more different Dept IDs than that of the Principal Investigator for that project, add the following to the list of Distributees:
- Unit contact of the other Dept ID(s) (if different)
- Dean of the other Dept ID(s) (if different
Operating guidance provided by departments/colleges to SPA about distribution preferences for their areas will be honored if at all possible, however PIs must receive copies of all award documents.
The standard E-Award distribution lists, by department/unit are posted on the EFS-SP web site at: http://www.ospa.umn.edu/efs_sp/index.htm under “Key Policies and Procedures”. Changes may be sent to Jean Delutri in SPA via fax (x44843) or via email at jean-d@umn.edu. Changes must come from the RRC manager, the Dean, the Research Associate Dean, the Unit Head, or other person authorized by those individuals to make such changes. More information is available in Notice #13 on the EFS-SP web site.
B. Email Subject Line:
Notice of Award: Dept ID - Primary Project PI Name - Agency Abbrev - Award ID
(e.g.) “Notice of Award: 10010 – Gorder – NIH – CON000000000001
C. Email Text:
Primary Project PI: [Add name here]
Other Project PIs: [Add name here]
Agency/Award Number: [Add info here – e.g., NIH R01 HL012345-01]
Amount Obligated by this Action: [Add info here]
Award Period of Performance: [Start Date MM/DD/YY – End Date MM/DD/YY]
A sponsored award has been accepted by the University on behalf of the Principal Investigator(s) listed above. A copy of the NOGA and the award documents for this award are attached to this email. These attachments replace the paper copies previously distributed via campus mail. The NOGA provides a summary of the most important terms and conditions, including reporting obligations and deliverable due dates. Also included is the agency’s award documents – please read these documents carefully and let your SPA Grant Administrator or your SFR Billing Specialist named on the attached NOGA know if you have any questions about your award.
Running a NOGA in EFS
If you have access to EFS Reporting, you may re-run the NOGA at any time. The NOGA in the new financial system is cumulative, and will display amounts, periods of performance and terms and conditions for each transaction on your award from inception through the end of the project period. A job aid showing how to download a NOGA may be found on the EFS-SP web site at: http://www.ospa.umn.edu/efs_sp/documents/EFS-SPJobAidHowtoRunaNOGAVersion301Jul08.pdf
Downloading Agency Award Documents
You may also re-download copies of your agency award documents. Instructions may be found at: http://www.ospa.umn.edu/efs_sp/documents/EFS-SPJobAidHowtoLookUpAgencyAwardDocsVersion301Jul08.pdf
Obtaining Access to EFS
If you do not have access to EFS Reporting and would like to obtain access, follow the instructions at: http://www/finsys.umn.edu/ARF.html
D. Email Attachment
Image 2 as described above
- Storing Award Documents in EFS
SPA Central Files will upload Image 3 to the Contracts page in the EFS Award.
The navigation for uploading files is Grants > Award > Award Profile > View Contract (hyperlink) > More (dropdown box on bottom right) > Attachments.
- Storing Award Documents in WebNow
SPA Central Files will upload Image 1 to WebNow using standard SPA procedure (no change from existing process.)
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