Pre and Post Award – What You
Should Know
Presented by:
Your Senior Contract & Grant Officers
Sponsored Projects Administration
Agenda
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SPA Involvement
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Pre Award
Post Award
Award Review
Informed Participant Agreements (IPA)
Questions / Comments
SPA Involvement – Pre Award
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Bring SPA into loop
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Send RFP, guidelines, instructions
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Any background information
You’ve heard it before…so why again?
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We can prioritize and prepare
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Guidelines may include terms and conditions
that are contrary to UC policy
For Example…
Excerpt from Juvenile Diabetes Research Foundation
Applicant Guidelines
Why?...cont.
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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
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Review draft budget and budget justification
We are required to collect full F&A –
regardless of Sponsor type
When proposal is funded
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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
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Notifications to Sponsor
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No Cost Time Extensions (NCTEs)
Carry Forward Requests
Rebudget Requests
Submission to Sponsor by SPA
Why is SPA involved??
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Terms & Conditions of Agreement
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Are we in Compliance?
Is it Allowable?
Delays in Processing
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Do we need to go back to Sponsor?
Are there Human/Animal protocols on project?
Remember…
We are here to help you!
Award Review
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Importance of reviewing Award documents
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Common terms relevant to post-award
department administration
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Prime Awards
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Other matters
Importance of Review
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Identifies the parties involved in the
administration of the project
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The official record detailing legal
responsibilities of the parties
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Terms and Conditions relevant to post-award
administration
Common Terms
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Period of Performance
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Funding Restrictions / Usage of Funds
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Pre-Award Spending
No-Cost Time Extensions
Return of grant monies
Subcontracting restrictions
Contacts / Invoicing Instructions
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Back-up documentation requirements
Sponsor notifications for spending thresholds
Common Terms (cont.)
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Modifications in Writing
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Confidentiality
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Signatures from both Parties
Authorized Officials only
Marking proprietary documents
Input from PI and SPA
Reporting / Deliverables
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Updated schedules in modifications
Contracts by definition require deliverables
Prime Awards
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Prime sponsor is the ultimate source of funds
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Flow-through Terms and Conditions and
Contractual Obligations
Other Matters
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Stock Transfers
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Permitted as payment for award
Use of excess funds is determined by sponsor
Foreign Currency
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Normally negotiated in US Dollars
Award amount subject to change
Fixed exchange rates desirable
IPA
= Informed Participant
Agreement
Informed Participant Agreements
Overview:
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Informed Participant Agreement – Definition
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IPA Procedure – A Head’s Up
Informed Participant Agreements
Definition:
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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:
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We’re standardizing our process, which
means you’ll probably be seeing IPAs on a
more frequent basis.
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Significant Intellectual Property Interest = IPA
Significant Financial Interest = IPA or Email
Senior CGO Contact Information:
Barbara Inderwiesche
Lauren Ryan
x4-7697
barbara.i@uci.edu
x4-0446
lauren.ryan@uci.edu
Amy Kimble
Chris Rigney
x4-8634
akimble@uci.edu
x4-9816
chris.rigney@uci.edu