Pre and Post Award – What You Should Know

Presented by:

Your Senior Contract & Grant Officers

Sponsored Projects Administration

Agenda

SPA Involvement– Pre Award– Post Award

Award Review Informed Participant Agreements (IPA) Questions / Comments

SPA Involvement – Pre Award

Bring SPA into loop

Send RFP, guidelines, instructions– Any background information

You’ve heard it before…so why again?

We can prioritize and prepare

Guidelines may include terms and conditions that are contrary to UC policy

For Example…

Excerpt from Juvenile Diabetes Research Foundation

Applicant Guidelines

Why?...cont.

We can tailor cover letter Have we done business with this entity

before? Has any precedence been set? What have we don’t in the past? Is there guidance from UCOP? A Master Agreement?

Review of Draft Budget

Review draft budget and budget justification We are required to collect full F&A –

regardless of Sponsor type

When proposal is funded

We have been proactive Should not need to spend lengthy amount of

time negotiating or revising budgets Turnaround time is quicker:

Receipt of award award synopsis

SPA Involvement – Post Award

Notifications to Sponsor – No Cost Time Extensions (NCTEs)– Carry Forward Requests– Rebudget Requests

Submission to Sponsor by SPA

Why is SPA involved??

Terms & Conditions of Agreement– Are we in Compliance?– Is it Allowable?

Delays in Processing – Do we need to go back to Sponsor?– Are there Human/Animal protocols on project?

Remember…

We are here to help you!

Award Review

Importance of reviewing Award documents

Common terms relevant to post-award department administration

Prime Awards

Other matters

Importance of Review

Identifies the parties involved in the administration of the project

The official record detailing legal responsibilities of the parties

Terms and Conditions relevant to post-award administration

Common Terms

Period of Performance– Pre-Award Spending– No-Cost Time Extensions

Funding Restrictions / Usage of Funds– Return of grant monies– Subcontracting restrictions

Contacts / Invoicing Instructions– Back-up documentation requirements– Sponsor notifications for spending thresholds

Common Terms (cont.)

Modifications in Writing– Signatures from both Parties– Authorized Officials only

Confidentiality– Marking proprietary documents– Input from PI and SPA

Reporting / Deliverables– Updated schedules in modifications– Contracts by definition require deliverables

Prime Awards

Prime sponsor is the ultimate source of funds

Flow-through Terms and Conditions and Contractual Obligations

Other Matters

Stock Transfers– Permitted as payment for award– Use of excess funds is determined by sponsor

Foreign Currency– Normally negotiated in US Dollars– Award amount subject to change– Fixed exchange rates desirable

IPA

= Informed Participant Agreement

Informed Participant Agreements

Overview:

Informed Participant Agreement – Definition

IPA Procedure – A Head’s Up

Informed Participant Agreements

Definition:

An agreement that the PI, Department Chair, or Project Participant signs acknowledging acceptance of non-standard contract or grant terms.

*non-standard = differs from UC policy

Informed Participant Agreements

A Head’s Up:

We’re standardizing our process, which means you’ll probably be seeing IPAs on a more frequent basis.

– Significant Intellectual Property Interest = IPA– Significant Financial Interest = IPA or Email

Senior CGO Contact Information:

Barbara Inderwiesche Lauren Ryanx4-7697 x4-0446barbara.i@uci.edu lauren.ryan@uci.edu

Amy Kimble Chris Rigneyx4-8634 x4-9816akimble@uci.edu chris.rigney@uci.edu