Grants & Contracts ManagementAn Overview

University Research Administration

Award Instruments

Grants– Assistance

Contracts– Procurement

Cooperative Agreement– Sponsor’s Technical Involvement

Response to RFPs and RFAs

RFP – Contract– Provided Workscope must be followed

RFA – Grant– Workscope initiated by P.I.

Are Terms and Conditions Acceptable?

Proposal Transmittal Form (PTF)

Complete all applicable fields VI. Declaration – PI must complete

– Is current COI Assurance on file?

Effort & Salary Contributions/Requests– Academic Yr./Summer; Calendar Yr.

PTF: http://www.uchicago.edu/adm/ura/guidelines/G300/301A.html

Proposal Preparation

Read Current Guidelines PI might talk with agency program officer Compatible Interests? Program Qualifications? Funding Limitations? PI Eligibility

– http://www.uchicago.edu/adm/ura/guidelines/G200/201.html

Suggestion: Make a “To Do” List

Proposal Preparation (cont’d)

Use sponsor-provided forms, if provided – cover page, budget forms, etc.– Sample budget format:

http://www.uchicago.edu/adm/ura/guidelines/G300/307.html

Organize proposal sections, per guidelines – abstract (scientific & lay), objectives, methods, cv’s, bibliographies, current & pending support, etc.

Budget Preparation

Consider (with PI and others) the needs, related to proposed project

Consider resources needed to establish realistic cost estimates – Human Resources contact, equipment and supply vendors, prior experiences, etc.

Direct Costs

Direct Costs – Identifiable as specifically related to a project or program– Anticipate Project Needs– Consider prior related experiences

Facilities and Administrative Costs (F&A) F&A Costs –Can not be precisely allocated

to individual projects– Also known as Overhead and Indirect Costs

Federal: http://www.uchicago.edu/adm/ura/guidelines/G300/304.html

Non-Federal: http://www.uchicago.edu/adm/ura/guidelines/G300/303.html

Equipment

Special Purpose Equipment used only for research, medical, scientific or other technical activities

General Purpose Equipment – Use is not limited only to research, medical scientific or other technical activities

Permanent Equipment

– Identify and justify– Verify not already available – $5,000 or more (including accessories,

installation and delivery costs) – Life expectancy of one year or more

• Information - Equipment: http://www.uchicago.edu/adm/ura/guidelines/G300/307C.html

Expendable Equipment and Supplies Identify and justify Includes items such as,

– Chemicals/glassware– Small electronic components– Software

Administrative Costs

OMB A-21 prohibits most administrative costs from being directly charged to grants and contracts– Salaries of administrative, secretarial and

clerical personnel– Non-personnel costs such as office supplies,

postage, local telephone and membership fees

Consultant Costs

May be paid to experts outside the University

Sponsor may have a cap on fees

Subrecipients

Subcontracting– Transferring Substantive Portion of Research to another

institution

– http://www.uchicago.edu/adm/ura/guidelines/G400/404.html

Sponsored Consultants– http://www.uchicago.edu/adm/ura/guidelines/

G400/403.html

– Independent Contractor– (Expertise in the field)

Other Independent Contractors – (Services)

Caution on Cost Sharing

Cost Sharing Reduces F&A Recoveries– Adding costs to the organized research base

reduces the F&A rate on all projects– When we cost-share direct costs, we also cost-

share the associated F&A– F&A rate decreases, F&A recoveries are

reduced on all projects

Cost Sharing and Matching Funds Mandatory

– Per Program Guidelines Voluntary, Committed

– Included, but not required Voluntary, Uncommitted

– Contributed, not required or committed Approval to commit cost sharing

– http://www.uchicago.edu/adm/ura/guidelines/G200/217.html

Tracking Research Activity System (TRACS) TRACS is University Research

Administration's (URA's) database system for tracking proposals submitted by University of Chicago faculty to federal and non-federal agencies, and awards made in response to those proposals.

Electronic Research Administration (eRA) Federal Agencies

– NSF FastLane– Army– Department of Energy– Department of Justice– National Institutes of Health (NIH)– Others

Electronic Research Administration (eRA) Cont. Non-Federal Agencies

– Alzheimer’s Association– Whitehall Foundation– March of Dimes– Others

Electronic Research Administration (eRA) Cont. URA requires authorization

("Approval to Submit") from the PI or local administrator acting on behalf of the PI, before submitting FastLane proposals.

Electronic Research Administration (eRA) Cont. Internal Deadline for electronic proposal

submissions is the morning before the agency’s announced deadline date.

Form 70 Request for Restricted Funds Account Comptroller’s Office form used, by some

units, to request accounts in the Financial Accounting System (FAS)

Managing Award and Funds

Expenditures within award dates (including allowed pre-award period)

Costs project-related Costs reasonable-Prudent person test Charges may not exceed funds awarded

Managing Award and Funds Cont. Unexpended funds may often, but not

always, be carried forward Deviations from approved budget may

require sponsor’s approval Read and be guided by terms & conditions

Allowable Costs

Costs must be allowable under the terms of the sponsors program guidelines

Reasonable Allowable Allocable Consistently Treated

Reasonable Costs

Costs are considered reasonable if the nature of the goods or services involved and the amount reflect the action of a prudent person

Allocable Costs

Costs are allocable to a particular project when incurred solely for the benefit of the sponsored project

Unallowable Costs

Advertising Alcoholic Beverages Charitable Contributions Entertainment Fines and Penalties Food Costs Overdrafts on sponsored projects Personal use of goods or services

Questionable Items,

Computers Printers Equipment during last 90-day period Office supply items General purpose equipment Office equipment Laptops

Transfer of Expenses Must be timely and appropriate Transfers must be supported by documentation

that contains a full explanation of how the error occurred

An explanation that merely states “to correct error” or “to transfer to correct account” is not sufficient

It should be noted that frequent errors in the recording of costs may indicate the need to review the accounting system and/or internal controls.

Reports

On Federal projects, performance reports are generally required annually

Final reports are due 90 days after expiration

Monitor sub-recipients– Subcontractors must submit reports in time to

meet the 90-day requirement

Closeouts

Final Reporting– Technical– Financial– Patent/Invention– Check award document for other possible

required reports

Collection of Funds– May be contingent on reporting

URLs for Resources URA:

http://www.uchicago.edu/adm/ura/ OMB Circular A-21

– http://www.whitehouse.gov/omb/circulars/a021/a021.html

OMB Circulars – (A-110, A-133, etc.)– http://www.whitehouse.gov/omb/circulars/

Grants and Contracts Useful Information Fact Sheet– http://www.uchicago.edu/adm/ura/ura/factsheet.html