1. Grants & Contracts Management An Overview University Research Administration

2. Award Instruments  Grants –Assistance  Contracts –Procurement  Cooperative Agreement –Sponsor’s Technical Involvement

3. Response to RFPs and RFAs  RFP – Contract –Provided Workscope must be followed  RFA – Grant –Workscope initiated by P.I.  Are Terms and Conditions Acceptable?

4. 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/guideline s/G300/301A.html http://www.uchicago.edu/adm/ura/guideline s/G300/301A.html

5. 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.htmlhttp://www.uchicago.edu/adm/ura/guidelines/G200/201.html  Suggestion: Make a “To Do” List

6. 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/G 300/307.html http://www.uchicago.edu/adm/ura/guidelines/G 300/307.html  Organize proposal sections, per guidelines – abstract (scientific & lay), objectives, methods, cv’s, bibliographies, current & pending support, etc.

7. 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.

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

9. 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/guideline s/G300/304.html http://www.uchicago.edu/adm/ura/guideline s/G300/304.html  Non-Federal: http://www.uchicago.edu/adm/ura/guideline s/G300/303.html http://www.uchicago.edu/adm/ura/guideline s/G300/303.html

10. 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

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

12. Expendable Equipment and Supplies  Identify and justify  Includes items such as, –Chemicals/glassware –Small electronic components –Software

13. 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

14. Consultant Costs  May be paid to experts outside the University  Sponsor may have a cap on fees

15. Subrecipients  Subcontracting –Transferring Substantive Portion of Research to another institution –http://www.uchicago.edu/adm/ura/guidelines/G400/404.htmlhttp://www.uchicago.edu/adm/ura/guidelines/G400/404.html  Sponsored Consultants –http://www.uchicago.edu/adm/ura/guidelines/G400/403.htmlhttp://www.uchicago.edu/adm/ura/guidelines/G400/403.html –Independent Contractor– (Expertise in the field)  Other Independent Contractors – (Services)

16. 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

17. 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/G 200/217.htmlhttp://www.uchicago.edu/adm/ura/guidelines/G 200/217.html

18. 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.

19. Electronic Research Administration (eRA)  Federal Agencies –NSF FastLane –Army –Department of Energy –Department of Justice –National Institutes of Health (NIH) –Others

20. Electronic Research Administration (eRA) Cont.  Non-Federal Agencies –Alzheimer’s Association –Whitehall Foundation –March of Dimes –Others

21. 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.

22. Electronic Research Administration (eRA) Cont.  Internal Deadline for electronic proposal submissions is the morning before the agency’s announced deadline date.

23. Form 70 Request for Restricted Funds Account  Comptroller’s Office form used, by some units, to request accounts in the Financial Accounting System (FAS)

24. 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

25. 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

26. Allowable Costs  Costs must be allowable under the terms of the sponsors program guidelines  Reasonable  Allowable  Allocable  Consistently Treated

27. 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

28. Allocable Costs  Costs are allocable to a particular project when incurred solely for the benefit of the sponsored project

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

30. Questionable Items,  Computers  Printers  Equipment during last 90-day period  Office supply items  General purpose equipment  Office equipment  Laptops

31. 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.

32. 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

33. Closeouts  Final Reporting –Technical –Financial –Patent/Invention –Check award document for other possible required reports  Collection of Funds –May be contingent on reporting

34. URLs for Resources  URA: http://www.uchicago.edu/adm/ura/  OMB Circular A-21 –http://www.whitehouse.gov/omb/circulars/a021/a021.ht mlhttp://www.whitehouse.gov/omb/circulars/a021/a021.ht ml  OMB Circulars – (A-110, A-133, etc.) –http://www.whitehouse.gov/omb/circulars/http://www.whitehouse.gov/omb/circulars/  Grants and Contracts Useful Information Fact Sheet –http://www.uchicago.edu/adm/ura/ura/factsheet.htmlhttp://www.uchicago.edu/adm/ura/ura/factsheet.html