Are You Smarter Than a Research Administrator?

Are You Smarter Than a Research Administrator?

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Your Post-Award Specialists

Your Post-Award Specialists

game host:

Elvin Franklin

game host:

Elvin Franklin

game clicker:

Sheila Allen

game clicker:

Sheila Allen

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Pre-Award FunctionsPre-Award Functions

Contract NegotiationContract Negotiation Internal Forms / Approvals

Proposal SubmissionsProposal Submissions Funding Opportunities

Sponsor RequirementsSponsor Requirements

Forms Review/AssistanceForms Review/Assistance

“Just-in-Time” Requests

Budget Review/AssistanceBudget Review/Assistance

Subcontract Preparation

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Post Award FunctionsPost Award Functions

Account Set UpAccount Set Up Allowable Cost

Routing of AwardRouting of Award By the Way

Budget TransfersBudget Transfers

Cost TransfersCost Transfers

Award Close Out

Award ModificationsAward Modifications

???

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What is NOT required to set up a grant account?

What is NOT required to set up a grant account?

1. Notice of Award2. Contract3. Assignment of an Account Number4. Professor’s Home Address5. BlueSheet6. Budget7. Cost Share Form

1. Notice of Award2. Contract3. Assignment of an Account Number4. Professor’s Home Address5. BlueSheet6. Budget7. Cost Share Form

Grant Account Set Up

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The correct answer is:The correct answer is:

The professors home address is NOT required to set up a grant account!.

The professors home address is NOT required to set up a grant account!.

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1. Notice of award: a written authorization from the sponsor providing award terms;

2. Sponsored Research Agreement: a negotiated agreements between University and Sponsor (Not the PI and Sponsor);

3. Accounts number: is assigned based on sponsor classification;

4. Blue sheet: an internal document that is required to notify University officials of the PI’s intent to seek funding;

5. Award budget: the categorical breakdown of costs approved by the sponsor;

6. Cost share form: the approved item and source of committed cost share.

Required Documentation:Required Documentation:

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Grant Account Set Up

1. Please Exit Now!2. A Pig Sty3. Uni-ball Gel Writer4. Project Establishment Notice5. Place Babies Play

1. Please Exit Now!2. A Pig Sty3. Uni-ball Gel Writer4. Project Establishment Notice5. Place Babies Play

What is a PEN?

Routing of AwardRouting of Award

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The answer is:The answer is:

Project Establishment Notice.Project Establishment Notice.

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PENPENThe Project Establishment Notice includes:

PEN Notice of Award, Sponsored Research Agreement (SRA) or

Contract Budget BlueSheet PinkSheet Cost Share Form (if applicable)

Accounting uses this information to enter the awarded budget in DEFINE usually within 2 to 3 days)

The Project Establishment Notice includes:

PEN Notice of Award, Sponsored Research Agreement (SRA) or

Contract Budget BlueSheet PinkSheet Cost Share Form (if applicable)

Accounting uses this information to enter the awarded budget in DEFINE usually within 2 to 3 days)

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Who is responsible for entering budget transfers into DEFINE?Who is responsible for entering budget transfers into DEFINE?

1. Post Award Specialist2. Department Administrator3. Director4. Grant and Contract Accounting5. Dr. Ronald Elsenbaumer

1. Post Award Specialist2. Department Administrator3. Director4. Grant and Contract Accounting5. Dr. Ronald Elsenbaumer

Budget Transfers

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The answer is:The answer is:

Grant and Contract Accounting is responsible for entering budget transfer requests into DEFINE after GCS approval!

Grant and Contract Accounting is responsible for entering budget transfer requests into DEFINE after GCS approval!

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Requests to make a budget transfer should include a programmatic justification and should be sent to the Grant & Contract Services (GCS) post-award specialist for approval. GCS approves and forwards the request to Grant and Contract Accounting to make the entry.

Incorrect: Please transfer $75.00 from M&O to travel.

Correct: For grant # 26-xxxx- xx, please transfer $75.00 from M&O to travel. The purchase of 50 widgets are no

longer need for the project which were budgeted in M&O but Dr. Know-it All needs travel to a conference to present papers related to grant.

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Cost transfers are entered in DEFINE by

Department Administrators.

Cost transfers are entered in DEFINE by

Department Administrators.

o TRUE o FALSEo TRUE o FALSE

Cost Transfers

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Cost transfers are entered in DEFINE by Grant and Contract Accounting after being approved by GCS.

Cost transfers are entered in DEFINE by Grant and Contract Accounting after being approved by GCS.

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FALSE!FALSE!

Requests to make a cost transfer should include an explanation for the need for the transfer (why was it charged incorrectly initially), programmatic justification (if necessary), and, be sent to the GCS specialist for approval.

Correct: The ProCard only allows the use of one grant for processing. The supplies purchased were for the use of both projects. Therefore, please transfer $500 of $1000 on Doc ID# W1vp9992675 from 26-xxxx-25-50 to 26-xxxx-26-50.

Requests to make a cost transfer should include an explanation for the need for the transfer (why was it charged incorrectly initially), programmatic justification (if necessary), and, be sent to the GCS specialist for approval.

Correct: The ProCard only allows the use of one grant for processing. The supplies purchased were for the use of both projects. Therefore, please transfer $500 of $1000 on Doc ID# W1vp9992675 from 26-xxxx-25-50 to 26-xxxx-26-50.

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http://www.uta.edu/ra/GCS/forms/PnP/cost_transfer_policy.doc

Ninety (90) days has emerged as the standard used by government and business auditors to determine whether costs are reasonably assigned to their proper project and function. It is a standard established in federal circulars and grant policy.Standard practice should be to post costs to the most appropriate project/grant. However, subsequent adjustments may be necessary, for example to account for unseen shifts of personnel between closely related sponsored projects, or to correct errors. These actions are reasonable if transferred within 90 days.

In addition to the standard justification requirements, an explanation for the delay in making the request and a second level approval is required.

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What can be processed as an award modification?

What can be processed as an award modification?

1. Continuation2. Supplement3. No Cost Extension4. Change in Scope5. PI Change6. Grant Transfer7. All of the Above

1. Continuation2. Supplement3. No Cost Extension4. Change in Scope5. PI Change6. Grant Transfer7. All of the Above

Award Modifications

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Continuation: incremental funding of a multi year award based on progress or fund availability;Supplement: additional funds awarded to support an ongoing project;No-Cost Extensions: extension of a project’s end date without the award of additional funds;Change in Scope: change in the scope or focus of the research project;PI Change: replacement of the PI on a project;Grants transfer: PI transfers to another institution and the University releases the award to the PI’s new institution.

All the above!All the above!

Award modifications

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Are these costs under the right category?

Are these costs under the right category?

Allowable A. Alcoholic BeveragesB. Conference MealsC. Cowboys TicketsD. TravelE. Advertising

Allowable A. Alcoholic BeveragesB. Conference MealsC. Cowboys TicketsD. TravelE. Advertising

Not Allowable A. LobbyingB. LaserC. PI SalaryD. Spouses’ Travel

ExpensesE. Microscope

Not Allowable A. LobbyingB. LaserC. PI SalaryD. Spouses’ Travel

ExpensesE. Microscope

Allowable Costs

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Correct:Correct:

AllowableAllowable

A. LaserB. Conference mealsC. MicroscopeD. TravelE. PI Salary

A. LaserB. Conference mealsC. MicroscopeD. TravelE. PI Salary

Not AllowableNot Allowable

A. Alcoholic Beverages B. Cowboys TicketsC. Spouses’ Travel

ExpensesD. AdvertisingE. Lobbying

A. Alcoholic Beverages B. Cowboys TicketsC. Spouses’ Travel

ExpensesD. AdvertisingE. Lobbying

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  General Philosophy of OMB Circular A-21           

OMB Circular A-21 represents the federal government's attempt to define the total costs of sponsored project activities (direct and indirect) that can be billed to the federal government.  A-21 applies to all federally funded projects including federal flow through (26-01XX-XX to 26-39XX-XX grant account series).From OMB Circular A-21, Section C.: “The recipient institution is responsible for ensuring that costs charged to a sponsored agreement are

allowable, allocable, and reasonable...”

OMB Circular A21OMB Circular A21

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Reasonableness“A cost may be considered reasonable if the nature of the goods or services acquired or applied, and theamount involved, reflect the action that a prudent person would have taken under the circumstances prevailingat the time the decision to incur the cost was made.”Examples:• Airfare – economy class is typically reasonable.• A leather chair for $1,200.00, even if furniture is in the approved budget, may be unreasonable.

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AllocabilityDoes the proposed cost benefit the sponsored project?

Example:• A laser is usually an allowable cost. If the project doesn’t require lasers, it is not an allocable, and therefore an unallowable cost.

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AllowabilityIs the cost in compliance with the terms and conditions of the award, sponsoring agency policy, OMB Circulars, and University policy?

Example:• General-purpose equipment may not allowable while scientific equipment is typically allowable.

BY THE WAY!BY THE WAY!

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What is an Overdraft?What is an Overdraft?

1. A Means for Covering Up in the Cold2. A Bank Account that is Overdrawn3. Football Draft4. A Way to Access Funds Pending Sponsor

Authorization

1. A Means for Covering Up in the Cold2. A Bank Account that is Overdrawn3. Football Draft4. A Way to Access Funds Pending Sponsor

Authorization

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Who approves Purchase Orders? Who approves Purchase Orders?

1. Grants Accounting2. Grant Specialist 3. Elvin Franklin4. Sheila Allen5. All of the Above

1. Grants Accounting2. Grant Specialist 3. Elvin Franklin4. Sheila Allen5. All of the Above

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A purchase can be made simply to use the unexpended balance at the end of an award

period.

A purchase can be made simply to use the unexpended balance at the end of an award

period.

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True or False

Pooling! What is that?

Pooling! What is that?

1. Playing Billiards at the UC2. Best Done with Towel and Beach Bag3. Putting your Money Together to Buy

a Lottery Ticket4. Combining Available Balances into

One Category.

1. Playing Billiards at the UC2. Best Done with Towel and Beach Bag3. Putting your Money Together to Buy

a Lottery Ticket4. Combining Available Balances into

One Category.

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12 50 EX A 261111 SALARIES 14 50 EX A 261111 STAFF BENEFITS 50 50 EX A 261111 MAINTENANCE AND OPERATION 75 50 EX A 261111 TRAVEL 76 50 EX A 261111 FOREIGN TRAVEL 90 90 EX A 261111 INDIRECT COST 8%MTDC 91 91 IN A 261111 COMMITMENTS RECEIVABLE

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Pooling is used to eliminate the need for budget transfers by combining categories into one line item in the budget (usually category 50) when there are no sponsor restrictions on budget transfers.

External – Varies by Sponsor – usually requires:Programmatic ReportFinal Financial ReportInvention StatementEquipment Report

Close outsClose outs

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Are there any internal or external requirements for award close outs?

InternalCopies of all Reports SubmittedInvention DisclosureGCA Closes Account(s) in DEFINEFor fixed price contracts only – any unexpended balance

is rolled into respective Dean’s account (no earlier than 90-days after end date)

Thanks for Playing!Thanks for Playing!

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Sept 7: Finding Funding Opportunities/ResearchResearch