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Understanding the
Awards Process
April 14th, 2015
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Introductions
• Aaron Trammell
• Research Administration Training Officer, Sponsored Programs
• Marie Rossi
• Contracts & Grants Officer, Sponsored Programs
• Brian Russ
• Senior Contracts & Grants Analyst
• Valerie Ody
• Contracts & Grants Analyst
• Who are you?
• Name, department,
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Learning Objectives
• Understand what happens from an award’s
arrival in the Sponsored Programs office (SPO)
until it is signed and sent to Extramural Financial
Accounting (EFA)
• Identify “show stoppers” and other items to be
negotiated
• Understand the advance account process
• Identify what to look for in the signed award
document
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What We Do
Sponsored Programs is responsible for reviewing and submitting
research proposals, and negotiating and accepting awards on
behalf of the Regents. Our office is also responsible for drafting,
negotiating, and executing subawards for collaborative research.
*Please see Policy #PPM 230-01 and PPM 230-02
http://manuals.ucdavis.edu/ppm/230/230-01.pdf
http://manuals.ucdavis.edu/ppm/230/230-02.pdf
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Org Chart
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Todays handouts
• Award Review Checklist
• Sponsors Exempt from the 700-U
• The Principles Regarding Rights to Future Research Results in
University Agreements with External Parties
• Quick Reference Guide to the Uniform Guidance
• Activity
• Sample NIH Award
• Sample NSF Award
• Sample CDFA Award
• I will post the presentation on our website after this class
Lets get started!
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The Gift/Grant Determination
Often Requires Analysis
Reference Tool: List of characteristics generally found in GIFTS
and characteristics generally found in GRANTS (1980 UCOP
policy). In many situations, not all characteristics will be present.
• Don’t base decisions upon the presence or absence of a single
characteristic or criterion.
• Do look at the award as a whole in order to make
a judgment as to its proper classification.
• SPO analysts are able to assist with this
determination.
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Quick Guide to Gift/Grant Determination
In general, classify funds as GIFTS when
the following characteristics exist:
In general, classify funds as GRANTS
when the following characteristics exist:
No contractual requirements;
No quid pro quo;
No audit requirements;
No obligation to return unspent funds;
No intellectual property rights to donor;
No obligation for reports (reports not
tied to payments);
• However, stewardship progress
reports okay
• Qualifies for tax treatment as charitable
contribution by donor
• Provision for audits;
• Grantor receives consideration (can be
detailed technical/expenditure reports);
• Involves testing of proprietary products;
• Research is directed to satisfying specific
grantor requirements (e.g., precise scope
of work specified rather than a general
area of research);
• Specified period of performance or
termination at discretion of grantor;
• Unexpended funds returned to grantor;
• Patent/IP rights requested by grantor.
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Determination can only reliably be made upon reading the award
document!
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Award Mechanisms
“Grants vs. Cooperative Agreements vs. Contracts”
• Grants: Assistance relationship where PI has significant freedom to change
the emphasis within the general area of work as the project progresses.
Deliverables are minimal, and benefits of the project are to accrue to the
nation and the world.
• Cooperative Agreements are one type of grant, and used when there will
be substantial Sponsor scientific or programmatic involvement. This means
that, after award, scientific or program staff will assist, guide, coordinate, or
participate in project activities. (NIH definition)
• Contracts: A procurement relationship defined in a legally binding contract
with detailed financial and legal requirements, a specific statement of work
and a specific set of deliverables and/or reports due to the sponsor. A
federal contract typically includes Federal Acquisition Regulations (FARs).
SPO’s Negotiation Team assumes responsibility for all federal contracts.
What to do when the Sponsor has no award mechanism?
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Awards and SPO
• All extramurally funded awards should be sent to SPO at
[email protected]
SPO has delegated authority to accept awards for UC Davis.
*Please see Policy #PPM 230-01 and PPM 230-02
http://manuals.ucdavis.edu/ppm/230/230-01.pdf
http://manuals.ucdavis.edu/ppm/230/230-02.pdf
• How might an award arrive?
• FedConnect or other sponsor electronic systems (SPO will retrieve)
• Email, If you receive an award, please forward it to [email protected]
• Hand delivery, FedEX, campus mail (inter-campus mail delivered 3/week)
• Who do I contact? Should it always be my assigned analyst?
• When SPO receives an award, an analyst is assigned and department notifications
are sent to provide the analyst’s name and contact information.
• Once award is assigned, you may contact your analyst directly.
(having the SPO Project Number available when you call is helpful.)
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Award Process
SPO receives Notice of
Award or contract from
sponsor
SPO notifies the Dept. of
additional documents required
& contacts Sponsor to begin
negotiation if necessary
If NO:
SPO processes award (pending
IRB, IACUC, BUA and COI
approval), makes entry in C&G
database
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Copies are sent to:
PI
PI’s dept. contact
Accounting
Other contacts as
needed
SPO processes award
(pending IRB, IACUC,
BUA and COI approval),
makes entry in C&G
database
Does Award require
signature? Do Terms &
Conditions require
negotiation?
If YES:
SPO sends contract to PI
for concurrent review &
input
SPO initiates
contract
negotiations
If not already signed by
Sponsor, Sponsor signs
award and returns it to
SPO
Upon completion of
negotiation, Award is
signed in SPO, and SPO
sends to the Sponsor
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What will SPO need from me?
• “Required Items” will be requested at the time of
awards receipt if not provided at the proposal
phase
• Data Sheet (completed and signed)
• Budget Information
• Final Scope of Work
• “Applicable Items” may be required by law or
regulatory agency, depending on the research
scope and sponsor
• Please refer to Award Review Checklist
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Award Review Checklist
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Financial Conflict of Interest Items
• Form 700U* – Required for awards from any non-governmental entity
not listed on the exempt list. (This list is on the Research Compliance &
Integrity (RCI) website and provided as handout.)
• Why? 700U’s are required by the State of California
• When? 700U’s must be signed within 30 days of award acceptance
• 700U’s… hope to go paperless
• Form 800* – Required for awards from:
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National Science Foundation (NSF)
Any project involving human subjects
California Institute of Regenerative Medicine (CIRM)
UC Special Research Programs (California Breast Cancer Research Program, TobaccoRelated Disease Research Program, and University wide AIDS Research Program)
*Statement of Economic Interests Supplemental Form required for
positive disclosures (RCI will follow up, and once approved, award will be
released)
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Financial Conflict of Interest Items
• PHS COI (online) is required when PIs and other
Investigators are participating in research that is funded
by any PHS agency or any other sponsor that has adopted
the PHS regulations. Other sponsors include:
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American Cancer Society
American Asthma Foundation
American Heart Association
American Lung Association
Alliance for Lupus Research
Arthritis Foundation
Cure PSP Foundation
Juvenile Diabetes Research Foundation
Lupus Foundation of America
Patient-Centered Outcomes Research Institute
Susan G. Komen for the Cure
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Financial Conflict of Interest Items
PHS defines “Investigator” as the project director or
principal investigator and any other person, regardless
of title or position, who is responsible for the design,
conduct, or reporting of research…”
PHS COI consists of the following 3 items:
• PI certification
• Training
• Disclosure
Questions about COI documents and requirements can
be sent to RCI at [email protected]
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Reviewing Documents
• SPO’s goal is to review terms and conditions of an award subject to policy
and law, and to inform the PI of the outcome of the review as quickly as
possible.
• If problematic terms were identified at the proposal stage such terms
will need to be resolved at the award stage.
• What constitutes a problematic term?
Terms that negatively impact UC’s missions of research, education and public
service. Examples:
• Discriminatory terms disadvantaging foreign nationals
• Issues related to export controlled data or materials
• Infringements on Academic Freedom (“gag clauses”) (also disguised
as “PI may publish with Sponsor’s consent”)
• Sponsor ownership of data or results generated by UC researchers
• Sponsor ownership of inventions created by UC researchers
• Any term in conflict with the “Principles Regarding Rights to Future
Research Results in University Agreements with External Parties” (8
Guiding Principles)
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Principles Regarding Rights to Future Research Results in
University Agreements with External Parties
1.
2.
3.
4.
5.
6.
7.
8.
Open Dissemination of Research Results & Information
Commitment to Students
Accessibility for Research Purposes
Public Benefit
Informed Participation
Legal Integrity and Consistency
Fair Consideration for University Research Results
Objective Decision-Making
http://www.ucop.edu/research-policy-analysiscoordination/policies-guidance/future-research-results/index.html
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Negotiating Changes
• SPO negotiates when the award terms violate one of the
8 Principles, UC policy or law.
• Best practice is for SPO to be the primary negotiator with
the sponsor. However, as an important stakeholder, the
department and the PI will be kept informed. Do not
hesitate to request updates from your analyst.
• PI concurrence is important so that SPO does not
inadvertently accept terms that are consistent with policy
and law, but unacceptable to a PI or department. Please
read your award carefully!
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Advance Accounts
What is an Advance Account and when is it appropriate?
UC Davis Policy 230-06 provides PIs the opportunity to plan activities and under certain
circumstances begin a project before actual receipt of the award document. The policy
designates authority to the Office of Research to approve advance account requests
only if all of the following criteria are met:
• There is a compelling reason to expend funds prior to receipt of award.
• There is verbal or written confirmation to the Office of Research from the sponsor's contract
officer or grants management officer that an award is forthcoming*.
• The requested advance dates fall within the sponsor’s anticipated award period.
• The guidelines from the sponsor do not prohibit commitment of funds before a document is
fully executed.
• Expenditures will be in accordance with the expected budget categories and limits, sponsor's
guidelines, and UCD policies and procedures.
• There are funds available within the department, organized research unit, or
• college/school to cover the expenditures in the event an award fails to materialize. (SPO is not
liable for unreimbursed expenses resulting from establishment of an advance account.)
* UNDER THE NEW UNIFORM GUIDANCE §200.458, PRE-AWARD EXPENDITURES ON FEDERAL
GRANTS (OR FEDERAL FLOW-THROUGH GRANTS) REQUIRE PRIOR WRITTEN APPROVAL FROM THE
FEDERAL AGENCY. THIS IS EFFECTIVE NOW.***
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Advance Accounts
What is the process for getting an Advance Account?
The process for obtaining approval to expend or commit funds prior to receipt of
an award may vary according to the sponsor. However, the general process is:
• The PI prepares a request to expend or commit funds using
• Form 230-06A (available at http://research.ucdavis.edu/wp-content/uploads/Form-230-06AAdvance-Account-Request.pdf )
• The department chair reviews the request and determines whether
departmental funds are available to cover the expenses if an award is not
forthcoming or is not retroactive to the time of expenditure.
• Certain schools/colleges also require dean approval.
• The request is forwarded to SPO for review and approval.
• If approved by the Executive Director of Research Administration, SPO transmits
an approved copy of the request to EFA and EFA assigns the appropriate account
and fund number and advises the department that expenditures may be made in
accordance with the approved form.
• If disapproved, SPO will inform PI and department.
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The award is signed!
• SPO will provide PI, department contact, and EFA with the final
award
• When can I set up my account?
EFA will notify you that you’re able to set up your account.
• Who else should I tell about the award execution?
• Notify HR, Payroll, Co-PIs, and other departments (both
academic and non-academic) who will be involved on the
project.
• EFA and SPO will notify some relevant campus groups (e.g.,
Equipment Management), but you will need to share the project
account number with these groups.
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Activity – 20 minutes
• Go through your sample awards, and in each, find and
highlight the following;
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Award/Grant/Agreement number
Project period
Which award was funded at a level below what was requested?
Dollar amount of each
Reporting Requirements
Other Terms and Conditions
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Understanding the Terms of the Award
• When can spending begin?
• Even if you’ve received similar awards in the past, review each award
carefully – there might be important changes.
• What items to note throughout the project?
• Terms regarding: reports, deliverables, invoicing, prior approvals, due dates
and deadlines…
• Award restrictions, if any.
• Read the award thoroughly for Project “do’s” and “don'ts” and know when and
how a request should be made related to:
• Budget, Scope of Work, requesting supplemental funds, extension of time,
key personnel changes, equipment purchase, etc.
• Prior to expenditure, 60/90 days prior to expenditure, Within X days of
execution? Can you purchase equipment within 120 days of the expiration
of the project?
• Read carefully to spot “options” – for example, Sponsor has the option to
fund the project in year 2, but not a commitment. Don’t spend the money
for year 2 until you have an agreement for year 2!
• Uniform Guidance made changes to prior approval requirements in federal (or
federal flow-thru) awards
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Who to Contact
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Call your Analyst
Attend the OR Research Forums (4th
Wednesday of each month)
Sign up for the CG listserve for
important announcements
Follow us on Twitter - @UCDavisSPO
Other upcoming classes are
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Proposal Preparation and
Submission
•
Writing a Proposal Budget: Lab
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Sponsored Programs: Essentials,
Processes and Best Practices
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Resources…
• Our website - http://research.ucdavis.edu/
• The Compliance Guide (IRB, IACUC, etc.)
• Listserves
• Monthly Research Forums
• Other classes that we offer through Staff Development and
Professional Services (SDPS)
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Our Website…
• Complete facelift in November,
2014!
• The Office of Research main page
is: http://research.ucdavis.edu/
• Faculty Toolkit
• Announcements
• Sponsored Programs main page is:
• http://research.ucdavis.edu/proposals-grants-contracts/spo/
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The Compliance Guide
• Can be found at our website,
under the Award Management
tab http://research.ucdavis.edu/wpcontent/uploads/UCDavis_Guide
_to_Research_Compliance_20132.pdf
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http://research.ucdavis.edu/resources/lists
erv-subscriptions/
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Monthly Research Forums
• The fourth Wednesday of each month from 8:30-10am
• Located at Sponsored Programs office - 1850 Research Park
Drive, Davis.
• Invitations are sent out via the OVCR-cg listserv (visit our
website to sign up for this listserv)
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Other classes that we offer
• Proposal Preparation and Submission
• Writing a Proposal Budget: Lab*
*the “concepts” course is offered online
• Sponsored Programs: Essentials, Processes and Best Practices
• Other courses
• Intellectual Property at UC Davis (In conjunction with Innovation
Access)
Please visit the SDPS website for a list of dates and times and to sign up for
all of our classes
http://sdps.ucdavis.edu/
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Questions?
• What questions do you
still have?
• Don’t forget your
evaluation forms!
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For research-related announcements, you can now
follow SPO on Twitter!
Follow us at
@UCDavisSPO
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