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 • 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 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

Pre and Post Award – What You Should Know