Pre and Post Award What You Should Know

Pre and Post Award – What You Should Know Presented by: Your Senior Contract & Grant Officers Sponsored Projects Administration

Agenda l SPA Involvement – – l l l Pre Award Post Award Review Informed Participant Agreements (IPA) Questions / Comments

SPA Involvement – Pre Award l Bring SPA into loop l Send RFP, guidelines, instructions – Any background information

You’ve heard it before…so why again? l We can prioritize and prepare l Guidelines may include terms and conditions that are contrary to UC policy

For Example… Excerpt from Juvenile Diabetes Research Foundation Applicant Guidelines

Why? . . . cont. l l l 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 l l Review draft budget and budget justification We are required to collect full F&A – regardless of Sponsor type

When proposal is funded l l l We have been proactive Should not need to spend lengthy amount of time negotiating or revising budgets Turnaround time is quicker: Receipt of award synopsis

SPA Involvement – Post Award l Notifications to Sponsor – – – l No Cost Time Extensions (NCTEs) Carry Forward Requests Rebudget Requests Submission to Sponsor by SPA

Why is SPA involved? ? l Terms & Conditions of Agreement – – l 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 l Importance of reviewing Award documents l Common terms relevant to post-award department administration l Prime Awards l Other matters

Importance of Review l Identifies the parties involved in the administration of the project l The official record detailing legal responsibilities of the parties l Terms and Conditions relevant to post-award administration

Common Terms l Period of Performance – – l Funding Restrictions / Usage of Funds – – l Pre-Award Spending No-Cost Time Extensions Return of grant monies Subcontracting restrictions Contacts / Invoicing Instructions – – Back-up documentation requirements Sponsor notifications for spending thresholds

Common Terms (cont. ) l Modifications in Writing – – l Confidentiality – – l Signatures from both Parties Authorized Officials only Marking proprietary documents Input from PI and SPA Reporting / Deliverables – – Updated schedules in modifications Contracts by definition require deliverables

Prime Awards l Prime sponsor is the ultimate source of funds l Flow-through Terms and Conditions and Contractual Obligations

Other Matters l Stock Transfers – – l 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: l Informed Participant Agreement – Definition l IPA Procedure – A Head’s Up

Informed Participant Agreements Definition: l 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: l 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 Ryan x 4 -7697 barbara. i@uci. edu x 4 -0446 lauren. ryan@uci. edu Amy Kimble Chris Rigney x 4 -8634 akimble@uci. edu x 4 -9816 chris. rigney@uci. edu