Grant Accounts Set-up and Related Processes

1. Grant Accounts Set-up and Related Processes D. C. Saha, PhD Director, ORSP Office of Research Administration and Finance

2. Assignments • Federal Awards – Zofia Gil, 7222 • Non-Federal Awards – Mark Sziabowski (MS), 8475 • Clinical Trial Accounts – Susan Minicucci, 8737 • Gift Accounts – MS (except UConn Fdn gifts), 8475 • Foundation Accounts – Susan Minicucci, 8737 • Holding Accounts - Susan Minicucci, 8737 • HCRAC Accounts – Pat Young, 3315 • Companion Accounts – General Accounting

3. Assignments (Contd…) • Fiscal Packages – • Zofia Gil and Miriam Johnson (Mon to Wed) • Questions about account set up – Assigned persons • Questions about Fiscal Packages – • Zofia Gil, 7222 And Miriam Johnson, 2133 (Mon - Wed) • Budget, IPAS and other questions • Debbie Gaudreau, 2434; Paul Hudobenko, 3951

4. Work Flow • Notice of Grant Award received • The notice is forwarded to appropriate personnel • Fiscal Package is prepared • Account set up completed • Account set up memo sent to appropriate personnel • Complete package sent to Munson Road Office

5. Types of Account • Pre-award account • Regular, new account • Continuation account • Sub-project account • Companion account • Gift account • Foundation account • Clinical Trial accounts • Holding Accounts • HCRAC Accounts

6. Pre-award Account • Most federal awards allow spending on project activities 90 days prior to the project start date without prior approval from the sponsor • Same principle may apply to private funding agencies, unless it is restricted by a particular sponsor • All regulatory approval must be at hand before an account can be set up • Under certain circumstances preparatory work may start when spending must occur without the regulatory approval. Must check with appropriate authority.

7. Pre-award Account (Contd…) • An IPAS form must be completed. Both PI and Department Chairperson must sign the form. • Must attach a document(s) indicating the likelihood of getting the funding, the start and end dates, types of funding (cost-reimbursement, non-cost reimbursement, letter of credit). • Include a few sentences justifying the need for pre-award account set up in the appropriate box in the form. A separate page(s) may be attached. • Department must initiate the process. • Department must notify ORSP or send the fully executed contract or award with in 90 days of the pre-award account set up.

8. New Account • It is done automatically by ORSP after a Notice of Grant Award (NOGA) is received as long as all the regulatory component of the project is completed and budget matches the award • For most federal awards the ORSP receives the NOGA • A Financial Clerk, APA or Project Officer accesses the Grant Award Mail Box and notifies the PI, PIs Administrator, the communication Department, Research Finance and the appropriate PO Via an email

9. New Account (Contd…) • The Financial Clerk (FC) or APA matches the project file/application to the NOGA and determine if all regulatory approvals are obtained, if required • FC set up the account and enters budget (with appropriate categories) • PO reviews the account information • The FC emails the Account Set Up memo to the PI, Administrator and RF if approved

10. New Account (Contd…) • For other projects a letter confirming the award or the fully executed contract, MOA or MOU would be considered a NOGA • For these awards ORSP does not notify the relevant parties until the account has been set up • Accounts may be set up in different ledgers depending upon the type of funding agency • Types of account will be set up depending upon the type of project and scope of funding

11. New Account (Contd…) • An account will not be set up if: • Regulatory approvals are not obtained. It is usually noted on the routing form if known at the time of routing, i.e., IRB, ACC or Bio-safety issues • There are discrepancies between the proposed budget and the awarded amounts • Nature of projects are not classified appropriately

12. Continuation Account • A new account needs to be set up for each budget period for some projects where the carryover amounts are incorporated into the new budget, 5-23xxx • Generally we allow spending on an account if they are regular federal awards when we are awaiting the continuation award • Account set up process is identical to new account

13. Sub-project account • When multiple projects are included in a larger project, such as PPG, sub-project accounts are set up under the parent grant • Sub-project have the similar number; Main or parent 6-34xxx or 6-36xxx or 64 or 68 60; sub-projects accounts would be 6-40xxx (same last three digits)

14. Companion Account • When there are cost-share this type of accounts are set up in Ledger 2 • When there are supplemental award that are restricted for specific purposes and cannot be readily re-budgeted to other purposes within the grant • If the parent account, 6-34xxx, the companion account will start with numbers 2-8xxx (same last 3 digits) • It is usually set up by the General Accounting Office (ORSP initiates, GA set up the CA).

15. Gift Account • Money received as gift, i.e., unrestricted use of the money • Foundation Gift Accounts – Susan Minicucci, 8737 • Other Gift Accounts – MS, 8475 • It is set up by 6-38xxx

16. Foundation Account • When money comes from UConn Foundation for research purposes • Department Head or Administrator will sent ORSP or RF the request. Requests must be approved by David Gillon. The request may sometimes come directly from David Gillon. David Larkin, Director of Research Finance will review it and MS will set it up (detail budget may not be required) • It is set up as 6-34xxx (state/university/ corporation) or 6-38xxx (donation) • We invoice UConn Foundation for reimbursement; department must initiate the process

17. Clinical Trial Account • Fully executed contract are received (clinical trial budgets are prepared and approved by the Office of Clinical and Translational Research, Judi Kulko, 1395; agreement are negotiated by Judith Gilson, 2742) • IRB approval received by the ORSP (from IRB, Deborah Gibb, 3054) • A FP is prepared • FP is uploaded to InfoEd and PI, administrator and RF is notified • RF (Susan Minicucci) set up the account 6-64xxx; 6-40xxx (sub-account)

18. Clinical Trial Account (Contd…) • Clinical Trial agreements are signed by the AVPRAF, CFO or EVPHA • The contract cannot be signed without IRB approval, except when only item the IRB is waiting to give approval is the fully executed contract • Account will not be set up without IRB approval • This may be true for other project agreements/ contacts that involves human subjects

19. Holding Account • Money received that cannot be attributed to a specific project immediately, i.e., inadequate information available • It must be deposited within 48 hours to an account, i.e., to the holding account • Contact Susan Minicucci, 8737 • It is set up with 6-37799 (not-gift) or 6-38999 (gift)

20. Few Things to Remember • Budget must match the award • If they do not match, revised budget must be submitted to ORSP • If regulatory approvals are needed, they must be obtained and ORSP notified • We are in transition, short-staffed and trying to find replacements and improve the work flow • We are here to listen to your suggestions