Pre and Post Award What You Should Know

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

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

3. SPA Involvement � Pre Award Bring SPA into loop Send RFP, guidelines, instructions Any background information

4. 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

5. For Example� Excerpt from Juvenile Diabetes Research Foundation Applicant Guidelines

6. 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?

7. Review of Draft Budget Review draft budget and budget justification We are required to collect full F&A � regardless of Sponsor type

8. 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

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

10. 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?

11. Remember� We are here to help you!

12. Award Review Importance of reviewing Award documents Common terms relevant to post-award department administration Prime Awards Other matters

13. 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

14. 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

15. 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

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

17. 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

18. IPA = Informed Participant Agreement Greeting/Beer Joke Greeting/Beer Joke

19. Informed Participant Agreements Overview: Informed Participant Agreement � Definition IPA Procedure � A Head�s Up Specifically, I�ll address: What exactly is and IPA; and Common on the Sr. Desk ? Why you may be seeing more of these. You will: Explain them to your PIs Specifically, I�ll address: What exactly is and IPA; and Common on the Sr. Desk ? Why you may be seeing more of these. You will: Explain them to your PIs

20. 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 Definition of IPAs: why there are used. Common on Sr. Desk because nonprofits� The non-standard terms can affect the research rights, the department�s rights, or both. One example that we see quite frequently � �University will return all funds, if there is any breach of the agreement� Standard Policy = University will return any remaining funds upon breach of agreement Financial risk to the University that will fall upon the department and PI ? possible IPA Definition of IPAs: why there are used. Common on Sr. Desk because nonprofits� The non-standard terms can affect the research rights, the department�s rights, or both. One example that we see quite frequently � �University will return all funds, if there is any breach of the agreement� Standard Policy = University will return any remaining funds upon breach of agreement Financial risk to the University that will fall upon the department and PI ? possible IPA

21. 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 New/Standardized IPA Forms One for: PIs Project Participants Departments More Consistently If significant property interest ? IPA If significant financial interest ? IPA or EmailNew/Standardized IPA Forms One for: PIs Project Participants Departments More Consistently If significant property interest ? IPA If significant financial interest ? IPA or Email

22. Senior CGO Contact Information: Barbara Inderwiesche Lauren Ryan x4-7697 x4-0446 barbara.i@uci.edu lauren.ryan@uci.edu Amy Kimble Chris Rigney x4-8634 x4-9816 akimble@uci.edu chris.rigney@uci.edu