WISPER 201 Award Set Up, Commitments, and Cost Share 1

WISPER 201 Award Set Up, Commitments, and Cost Share 1
WISPER 201
Award Set Up, Commitments,
and Cost Share
1
Award Set Up, Commitment, and Cost Share
Charlie Giese
Melanie Hebl
Senior Grants & Contracts Specialist
Research & Sponsored Programs
Pre-Award, Awards Team
Senior Grants & Contracts Specialist
Research & Sponsored Programs
Pre-Award, Contract Team
For WISPER Help
Email: [email protected]
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WISPER-Agenda
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WISPER Award Negotiation and Setup Process
WISPER Projects tab
Entering protocols
Entering Project Detail Information
Effort commitments & Cost sharing
PI signature
FCOI confirmation and Final Validation
Advance accounts and No cost extensions
Outgoing Subawards
WISPER Resources
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WISPER Status 4.5
Document Status 4.5 is used when an award is in negotiation.
RSP has received the award and is reviewing the language. If necessary we
will negotiate the terms of the award with the Sponsor. We are reviewing to
make sure the language matches Wisconsin State Law, UW Policy and our
Faculty interests.
Examples of terms we look for in agreements:
Invoicing
Intellectual property
Publication
Insurance
Confidentiality
For more information on the status of negotiations you can view the SPO
Action Tab in WISPER.
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WISPER Status 5 – Setup.
Projects Tab
WISPER Document Status 5 is used when an award has been
received and the language is acceptable for account setup.
We need to Capture DETAILS about how to manage the finances
under the award such as:
– Federal/Non-Federal Award
– Mandatory/Voluntary Committed Cost Sharing
– Multiple projects at the time of award
– Compliance protocols
– Spending edits
– Effort commitments
Data can be entered at any time but is required before RSP can
generate the Account Number or Advance Account Number
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WISPER -Agenda
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WISPER Award Negotiation and Setup Process
WISPER Projects tab
Entering protocols
Entering Project Detail Information
Effort commitments & Cost sharing
PI signature
FCOI confirmation and Final Validation
Advance accounts and No cost extensions
Outgoing Subawards
Additional Resources
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Projects Tab
When to start?
If RSP receives the award notice first - we will
send a “Set-Up Projects” approval to the WISPER
Award Setup contact.
If PI or Department receives award notice first:
– You can Upload document(s) to Attachments
tab, Complete Projects tab and Send Setup
approval to Division or RSP
– OR email the award to [email protected]
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WISPER – Division Implementation
Your Division may have specific instructions on the
following items. Please ensure that you
communicate with your Division Research
Administrators to determine if they recommend
any specific method for:
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Who will initiate Project Details?
Who will complete Project Details?
WISPER routing path
Use of approvals
Attachments expected
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Projects Tab
Projects Tab- What to enter
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Award Costs & Dates to match award
If requesting an advance account: enter best known information or $0
Request Multiple Projects if necessary (Subaccounts)
Add them NOW. RSP will require justification if you
ask for them after the award has been generated.
Do you need Multiple Projects?
- The project necessitates separation of budget or accounting by multiple
tasks, departments or other factors.
– The award incorporates multiple F&A rates (such as NSF grant with REU
component).
– Separate fiscal periods require separate accounting, billing or fiscal
reports (such as NIH P, T, or U mechanisms).
If you are not sure if projects will be needed each year, contact RSP
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WISPER-Agenda
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WISPER Award Negotiation and Setup Process
WISPER Projects tab
Entering protocols
Entering Project Detail Information
Effort commitments & Cost sharing
PI signature
FCOI confirmation and Final Validation
Advance accounts and No cost extensions
Outgoing Subawards
Additional Resources
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WISPER – Protocol Details
Protocol Details
For any Compliance question to which you responded yes at
proposal stage…
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WISPER – Protocol Details
The protocol must be approved & valid. Enter under the Details link.
For exempt IRB: Check Yes on the General Page. Enter the protocol number,
approved status, date approved and expiration date of 12/31/2099.
For WIRB: Upload a copy of the approval as an attachment.
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WISPER – Protocol Details
Enter IRB, IACUC, biosafety, and stem cell
protocol approval information in WISPER
Protocol must specifically list this award as a
funding source (MSN#, Sponsor#, Title, etc.)
Special Instructions for NIH Training Grants:
http://www.grad.wisc.edu/research/traininggran
ts/animalhumanbiol.html
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WISPER-Agenda
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WISPER Award Negotiation and Setup Process
WISPER Projects tab
Entering protocols
Entering Project Detail Information
Effort commitments & Cost sharing
PI signature
FCOI confirmation and Final Validation
Advance accounts and No cost extensions
Outgoing Subawards
Additional Resources
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WISPER – Project Details
Project Details – Necessary Info
Description–Use this for your own Reference
(It will appear in reports and WISDM.)
PI Name
Project Type Research, Public Service, etc.
Fund Code
• 144 Federal/Federal pass-through or
• 133 Non-Federal
Department – Responsible for award
Project Dates - Start & End
F&A Information
• F & A Rate Type – Research, Instruction, Public
Service, Off-Campus
• FA Base– MTDC, TDC
• FA Rate - % recovered from Sponsor
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WISPER – Project Details
Enter Project Details Combo Edits
Allowing People to Spend on the Account
• Single or Multiple Departments
• Nodes: Allowance of spending for a range of
departments (ex. 5367 allows all sub-departments
starting with these numbers)
Program Codes
• Reference: http://www.uwsa.edu/fadmin/activity/
Budget Details
• Direct/F&A, Category, or NIH Training Grant
• If Advance Account, we can leave these as $0
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WISPER - Project Details
Export Control Questions
Contact Export Control Office for help
https://www.rsp.wisc.edu/awardsetup/exportcontrols/
[email protected]
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WISPER-Agenda
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WISPER Award Negotiation and Setup Process
WISPER Projects tab
Entering protocols
Entering Project Detail Information
Effort commitments & Cost sharing
PI signature
FCOI confirmation and Final Validation
Advance accounts
No cost extensions
Outgoing Subawards
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WISPER - Effort and Cost-Share
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WISPER – Effort Resources
Effort
RSP Effort Page: https://www.rsp.wisc.edu/effort/
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WISPER - Effort Certification
Effort Certification is required by Federal
Regulation and University policy.
Effort Certification is the UW’s means of providing
assurance to Sponsors that PI’s and Co-PI’s
have met their commitments, paid or unpaid (cost
shared) to sponsored projects.
Effort Certification is done through ECRT but
we use WISPER to confirm Effort Training and
Certification requirements are met.
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WISPER – Effort Training and Certification
UW EFFORT Requirements for Account Set-Up
1.
2.
3.
All key personnel listed in the award notice must complete Effort
Training
PI must certify effort for self and staff (graduate students,
postdocs & classified staff)
Key Personnel listed in the award notice must certify for self
*RSP will not set up awards if any key personnel listed on an award
notice have not met Effort Requirements.
There is a validation warning in WISPER if they have not met effort
requirements. WISPER General Tab has a help icon that provides a
link to RSP ECRT page for help. If questions- Please contact your
Department Effort Coordinator.
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WISPER – Effort & Cost share
UW Effort Policy created in order to:
• Confirm key personnel have met their commitments to sponsored
projects.
• Confirm salaries charged to sponsored projects are reasonable in
relation to the work performed.
The policy states that faculty cannot commit 100% of their effort on
sponsored projects, as time must be reserved for other UW duties.
Cost Share Policy created in order to:
• Provide clear direction for determining cost-sharing in proposals
• Establish expectations for tracking, monitoring and recording cost
sharing by the University.
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WISPER – Effort Commitments
UW Effort Guidelines state:
Must have minimum of 1% effort commitment
to be listed as PI on any WISPER record, regardless of salary
requested.
Exception
No PI Commitments are required for:
Equipment or instrumentation grants, doctoral
dissertation grants, student mentoring grants, and most
clinical trails
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WISPER – Effort Commitments
Who has commitments?
- PI’s and Co-Investigators
- Personnel who are listed &
identified as key in the award notice
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Effort Commitments: What’s Quantified, Where is it Identified?
• Commitments are made at Proposal Stage:
– What? The quantified amount of effort proposed in a
grant proposal or other project application
– Where? Budget, Budget justification, SOW (if specific &
quantified)
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Fellows & trainees do not normally require effort commitments as
they are paid stipend and not salary
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Mentors
No effort required for Career awards or fellowship mentoring
BUT Effort is required for Training Grant PIs
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Effort Commitments – What’s Quantified, Where is it Identified?
Award Stage: Personnel identified on Notice of Award are
the only individuals that commitments will be tracked. This
can vary by award mechanism or sponsor.
• Quantified amount of effort proposed that the sponsor
accepts & awards, regardless of salary support. Sponsor
reductions in budgets do not mean the Sponsor accepts a
reduction in effort.
Options for dealing with budget cuts:
• Keep salaries & effort the same as proposed; reduce
other budget categories (travel, supply etc.)
• Keep effort the same, reduce salaries – document the
increased cost share
• Reduce effort commitments – prior approval needed
from sponsor if reduction is greater than 25% for all
sponsors
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WISPER - Commitments
Conversion Calculator www.rsp.wisc.edu/PMconversion.xls
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WISPER – Effort Commitment Entry, A-basis, Sponsor Paid
Example 1
Professor PI has promised 3 calendar months to the project in
Year 1
• 3 calendar months = 25% effort commitment whether or not
salary is being requested
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WISPER – Effort Commitment Entry, A-basis, Sponsor Paid
One Commitment – Constant, paid by Sponsor, A-basis
appointment. Enter aggregate.
Year 1 -5: Start = 7/1/15. End =6/30/20.
3 Calendar Months: Commitment = 25%
2 Calendar months: Commitment = 16.67% rounded to 17%
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WISPER – Effort Commitment Entry, A-basis, Sponsor Paid
Example 2
Multiple periods – Not constant, paid by Sponsor, A-basis
appointment. Enter each commitment period separately:
1. Year 1: Start = 1/1/15. End =12/31/15. Commitment = 20%
2. Year 2: Start = 1/1/16. End= 12/31/16. Commitment = 5%
3. Year 3: Start = 1/1/17. End =12/31/17. Commitment = 20%
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WISPER – Effort Commitments
Summer Commitments – Academic (C or 9 month)
Appointees
• Typically, budgets list “1 summer month” or “2 summer months”
without identifying which month(s).
• Check with your Dean’s office for method to use.
• You may opt to enter summer effort for the summer period
only:
– 1 summer month: 33% from 6/1 – 8/31
– 2 summer months: 67% from 6/1 – 8/31
– This method enables us to know that an individual is not
overcommitted for the summer months
• You may opt to enter summer effort over the total months
funded:
– 1 summer month: 1/10 = 10% from 9/1 - 6/30
– 2 summer months: 2/11 = 18% from 9/1 – 7/31
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Cost Share Commitment Entry in WISPER/PS
Cost Sharing
• Federal & Non-Federal Awards
• Mandatory
• Required as a condition of proposal submission & award
acceptance
• Voluntary
• Not required, but offered in proposal & accepted by sponsor;
an obligation that university must fulfill
• NSF
• Do not use
• Any committed salary cost sharing (effort committed, but
salary not paid by sponsor) must be entered
• Any non-payroll cost sharing, send email or add approval to
notify RSP & Division
• A term of the award will be added
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WISPER – Cost Share Payroll Commitments
If you are cost sharing, you must be careful while
setting up the Project details.
• An appropriate source of funding should be used to
provide the cost share.
• C-basis appointees are typically only paid on 101
funds during the academic year.
• If using 101 funds for C-basis appointees, cost
share should be set up only during academic year,
9/1-5/31.
• For C-basis appointees, the denominator for cost
share commitment may be different than for the
effort commitment.
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WISPER – Effort Commitment, Abasis, Sponsor Paid & Cost Shared
Example 3
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WISPER – Effort Commitment, Abasis, Sponsor Paid & Cost Shared
3. One Commitment – Paid partly by Sponsor and cost shared
by University, A-basis appointment.
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WISPER – Effort Commitment, C-basis
Example 4
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WISPER – Effort Commitment, Cbasis, Sponsor Paid & Cost Shared
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WISPER – Effort Commitment, Cbasis, Cost Shared
4. One Commitment –Cost shared by University, C-basis
appointment.
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The Effort Process in a Nutshell:
Effort expended by PI
Commitment
Proposed
Commitment
Awarded
WISPER
SFS
Commitment
Management
ECRT
Commitment met
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WISPER – Commitment Changes
Changes
http://www.rsp.wisc.edu/forms/costshare.pdf
You must check the
appropriate box first. Then
appropriate questions will
appear below. Send
completed forms to Dean’s
office, who will route to
RSP.
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WISPER-Agenda
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WISPER Award Negotiation and Setup Process
WISPER Projects tab
Entering protocols
Entering Project Detail Information
Effort commitments & Cost sharing
PI signature
FCOI confirmation and Final Validation
Advance accounts and No cost extensions
Outgoing Subawards
Additional Resources
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WISPER – PI Signature
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Link is only available for those listed as PI
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Link at the top of the General tab & the bottom of all
other tabs
Award Signature must be completed before the
request to set up the advance award or finalize
set up of the projects.
Know whether the PI has signed by clicking on
the Request signature button on the General Tab
or looking in the Document History
(request using button on General Tab if needed)
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WISPER – PI Signature
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WISPER – PI Signature
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WISPER – PI Signature
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WISPER – PI Signature
PI signature on History tab
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WISPER-Agenda
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WISPER Award Negotiation and Setup Process
WISPER Projects tab
Entering protocols
Entering Project Detail Information
Effort commitments & Cost sharing
PI signature
FCOI confirmation and Final Validation
Advance accounts and No cost extensions
Outgoing Subawards
Additional Resources
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PHS FCOI Regulations
• http://www.gpo.gov/fdsys/pkg/FR-201108-25/pdf/2011-21633.pdf
• http://grants.nih.gov/grants/policy/coi/
• All PI/Co-I and Key Personnel on PHS
Awards will need to complete FCOI
training
• All PI/Co-I and Key Personnel will need
to update their OAR at time of Award
Setup
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FCOI Compliance
• Process for FCOI Check
1.
Key personnel other than the PI are identified and listed
on the General tab under Personnel
– All proposed key personnel are tracked here
2.
3.
4.
Record is then loaded to FAST (FCOI Award Setup Tool)
FAST tracks and logs FCOI items in compliance and emails
RSP when items are completed
Only when all items are green and say OK should the
approval be responded to and then the WISPER record can
move forward.
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FCOI Compliance
FAST: https://my.gradsch.wisc.edu/coirsp/setupListView.pl
• Has search options
• Separated by awards that have pending
clearance, reports to submit, and awards ready
for set up
– By selective the specific record you can see all items not completed
and who needs to complete them
– Key personnel need to have FCOI training completed and OAR updated
within the last 30 days of record being added into FAST
– If key personnel have any reportable items they will work with the COI
office to address them and develop a management plan if needed
– RSP will submit all reports to the sponsor if necessary
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WISPER – I’ve Completed Project Entry
Validate!
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If RSP sent you an approval,
respond to it.
Make sure to click “Validate”
button prior to responding to
the approval. Correct any
errors. Errors appear in RED
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WISPER
Account Setup Completion
When validation is complete and the project is
ready for setup- approve the original Setup Projects
Approval request from RSP.
RSP will review the WISPER record and generate
the project number.
The WISPER record will be switched to Status 6 and
locked. The award and project information will be
visible in WISDM.
https://wisdm2.doit.wisc.edu/wisdm2/Main.aspx
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WISPER-Agenda
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WISPER Award Negotiation and Setup Process
WISPER Projects tab
Entering protocols
Entering Project Detail Information
Effort commitments & Cost sharing
PI signature
FCOI confirmation and Final Validation
Advance accounts and No cost extensions
Outgoing Subawards
Additional Resources
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WISPER – Advance Award
Request Advance Award
Projects to be set up in advance of the award a) being
received or b) fully executed.
1. Complete all information on Projects tab
2. Validate!
3. Add approval REQUEST ADVANCE AWARD
SETUP to your Division
4. Division then notifies RSP via Division
Action page
5. The day after advance award set up is
completed, an email notification is sent to
those on Department email contacts list.
Check Document History if you are not
listed.
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WISPER – No Cost Extensions
No Cost Extensions
• Processed in WISPER
• http://www.rsp.wisc.edu/awardmgt/nocost.html
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WISPER-Agenda
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WISPER Award Negotiation and Setup Process
WISPER Projects tab
Entering protocols
Entering Project Detail Information
Effort commitments & Cost sharing
PI signature
FCOI confirmation and Final Validation
Advance accounts and No cost extensions
Outgoing Subawards
Additional Resources
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WISPER- Outgoing Subawards
• RSP is notified that an award includes subaward activity by
the Subaward Question on the WISPER General Tab.
• If the sub question is answered YES, RSP will contact PI and
Department Contact person to initiate the subaward
agreement.
• RSP requires – Subaward Confirmation Form, Sub Scope of
Work and Sub Budget to begin. Email these 3 items to
[email protected]
• RSP will complete an internal risk assessment and
determination prior to issuance and work with the
Department if questions arise.
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WISPER-Agenda
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WISPER Award Negotiation and Setup Process
WISPER Projects tab
Entering protocols
Entering Project Detail Information
Effort commitments & Cost sharing
PI signature
FCOI confirmation and Final Validation
Advance accounts and No cost extensions
Outgoing Subawards
Additional Resources
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Help?
If you need help, try the following steps:
1.
2.
3.
4.
Click on the help icon next to the field in
question
Click on the WISPER Help link on the top of
each page
Contact the SPO Owner (see SPO Action tab)
Consult the WISPER help page at:
http://www.rsp.wisc.edu/WISPER/ for
1.
2.
3.
4.
5.
Training Manual
Desk References
Webcasts
This presentation
Email: [email protected]
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• Additional Tools and Resources:
• Commitment Lookup Tool:
https://www.rsp.wisc.edu/effort/lookup/comlookup/index.cfm
• UW Effort Policy
http://www.rsp.wisc.edu/effort/uwMadisonEffortPolicyFINAL2007-08-29.pdf
• UW Effort Guidelines:
http://www.rsp.wisc.edu/effort/uwMadisonEffortGuidelines2008-03-19.pdf
•
Outgoing Subawards
https://www.rsp.wisc.edu/awardmgt/subagmts.html
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WISPER – Feedback & Questions
Questions?
Thank you for coming!
WISPER 201-HIT or MYTH review
Charlie Giese [email protected]
Melanie Hebl [email protected]
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